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Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Februrary 2008
consultants85 Sainte-Catherine Street West, Montréal, Québec, Canada
REGIONAL POWER TRADE PROJECT
Final Report
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Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005
consultants85 Sainte-Catherine Street West, Montréal, Québec, Canada
REGIONAL POWER TRADE PROJECT
Februrary 2008
Final Report
TABLE OF CONTENTS
page
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MODULE 1
Executive Summary ............................................................................................................. 1
Résumé...............................................................................................................................17 E 1
MODULE 2
1 INTRODUCTION ................................................................................................... 1-1
1.1 Background ........................................................................................................... 1-1 1.2 Objective, purpose and scope of the EA framework for regional power
projects .................................................................................................................. 1-2 1.3 Contents of the EA framework ............................................................................... 1-3
2 NILE RIVER BASIN AND NILE BASIN INIATIVE................................................... 2-1
2.1 General description of the Nile basin ..................................................................... 2-1 2.2 NBI countries ......................................................................................................... 2-5
2.2.1 Eastern Nile countries ................................................................................ 2-6 2.2.2 Nile Equatorial Lakes countries .................................................................. 2-7
2.3 NBI strategic action program.................................................................................. 2-9
3 POWER SECTOR IN THE NBI COUNTRIES ........................................................ 3-1
3.1 Eastern Nile ........................................................................................................... 3-1 3.1.1 Egypt.......................................................................................................... 3-1 3.1.2 Sudan......................................................................................................... 3-3 3.1.3 Ethiopia ...................................................................................................... 3-5 3.1.4 Ethiopia-Sudan Transmission Interconnection Project................................ 3-6
3.2 Nile Equatorial Lakes ............................................................................................. 3-8 3.2.1 Current Situation of the Power Sector ........................................................ 3-8 3.2.2 NELSAP Power Development Strategy .................................................... 3-10
4 ENVIRONMENTAL AND SOCIAL FRAMEWORK AND PROCEDURES IN THE NILE BASIN COUNTRIES ............................................................................. 4-1
4.1 Environmental policy.............................................................................................. 4-2 4.2 EIA procedures and regulations............................................................................. 4-3 4.3 Water resources management policy..................................................................... 4-7 4.4 Climate change policies ......................................................................................... 4-9 4.5 Forest conservation / Biodiversity ........................................................................ 4-10 4.6 International environmental treaties and conventions........................................... 4-11 4.7 Land issues and resettlement policy .................................................................... 4-11 4.8 Poverty reduction and socio-economic development ........................................... 4-13 4.9 Public health policy .............................................................................................. 4-14 4.10 Vulnerable groups including women policy .......................................................... 4-15 4.11 Historical and cultural sites policy and regulation ................................................. 4-17 4.12 Indigenous community policy ............................................................................... 4-18
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4.13 Institutional framework in the NBI countries ......................................................... 4-20
5 ISSUES RELATED TO ENVIRONMENTAL ASSESSMENT CONSIDERED BY FUNDING AGENCIES...................................................................................... 5-1
5.1 Environmental policies ........................................................................................... 5-1 5.2 Environmental and social assessments procedures ............................................... 5-3 5.3 Natural resources management policy ................................................................... 5-6 5.4 Resettlement policy................................................................................................ 5-7 5.5 Poverty reduction ................................................................................................... 5-9 5.6 Public health ........................................................................................................ 5-10 5.7 Vulnerable groups including women..................................................................... 5-11 5.8 Historical and cultural sites policy......................................................................... 5-12 5.9 Indigenous communities policy............................................................................. 5-12 5.10 Participation / Consultation................................................................................... 5-13 5.11 Dams Policy......................................................................................................... 5-14 5.12 International Waterways Policy ............................................................................ 5-14
MODULE 3
6 SUSTAINABILITY IN REGIONAL POWER PROJECTS ........................................ 6-1
6.1 Millennium Development Goals.............................................................................. 6-1 6.2 Ecological aspects of power projects sustainability ................................................ 6-3 6.3 Social aspects of power projects sustainability....................................................... 6-6
6.3.1 Changes to the use of natural resources in the project area ....................... 6-7 6.3.2 Involuntary resettlement ............................................................................. 6-9 6.3.3 Indigenous communities ........................................................................... 6-12 6.3.4 Gender issues .......................................................................................... 6-13 6.3.5 Public health issues.................................................................................. 6-16 6.3.6 Physical cultural resources ....................................................................... 6-18 6.3.7 Participation and consultation of the stakeholders .................................... 6-19
6.4 Economic aspects of power projects sustainability ............................................... 6-22 6.5 Positive impacts of regional power projects on local communities........................ 6-25
7 ENVIRONMENTAL ASSESSMENT PROCESS FOR REGIONAL POWER PROJECTS............................................................................................................ 7-1
7.1 Justification of the EA framework for regional power projects................................. 7-1 7.2 Environmental assessment principles .................................................................... 7-3 7.3 General EA process for regional power projects .................................................... 7-8 7.4 Project identification ............................................................................................. 7-13
7.4.1 Pre-screening (Step 1).............................................................................. 7-13 7.4.1.1 Preparation of the Project Notice................................................ 7-13 7.4.1.2 Analysis of the Project Notice..................................................... 7-14
7.4.2 Screening (Step 2).................................................................................... 7-15 7.4.3 Environmental screening administrative procedure................................... 7-20
7.5 Project preparation............................................................................................... 7-21 7.5.1 Scoping (Step 3)....................................................................................... 7-22
7.5.1.1 Environmental scoping main activities and administrative procedure................................................................................... 7-22
7.5.1.2 Special social issues to consider at the scoping step ................. 7-24
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7.5.2 Impact Assessment (Step 4) .................................................................... 7-26 7.5.2.1 EA Instruments ...........................................................................7-26 7.5.2.2 Environmental Assessment Administrative Procedure ................7-30
7.6 Project appraisal and approval............................................................................. 7-30 7.6.1 Review of the studies (Step 5).................................................................. 7-30
7.6.1.1 Internal review ............................................................................7-33 7.6.1.2 External review (Disclosure of the studies and public
consultation) ...............................................................................7-33 7.6.1.3 Completion of the studies............................................................7-34
7.6.2 Decision-making (Step 6) ......................................................................... 7-34 7.6.3 Review and Decision-making Administrative Procedure........................... 7-35
7.7 Project Implementation and Supervision .............................................................. 7-37 7.7.1 ESMP implementation (Step 7) ................................................................ 7-37 7.7.2 Administrative procedures for the ESMP implementation ......................... 7-39
7.8 Project Post-Evaluation........................................................................................ 7-40 7.8.1 Auditing (Step 8) ...................................................................................... 7-40 7.8.2 Administrative procedures for the audit .................................................... 7-41
7.9 Institutional Responsibilities in the EA Process Implementation........................... 7-42
8 ISSUES TO CONSIDER IN THE PREPARATION OF EIA FOR REGIONAL POWER PROJECTS ............................................................................................. 8-1
8.1 Construction of power facilities .............................................................................. 8-1 8.2 Hydropower projects .............................................................................................. 8-7
8.2.1 General characteristics of hydropower projects .......................................... 8-7 8.2.2 Environmental issues related to hydropower projects................................. 8-9 8.2.3 Social issues related to hydropower projects............................................ 8-10 8.2.4 Potential impacts of hydropower projects and mitigation measures.......... 8-12
8.3 Thermal power projects ....................................................................................... 8-17 8.3.1 General characteristics of thermal power projects .................................... 8-17 8.3.2 Environmental issues related to thermal power projects........................... 8-17 8.3.3 Social issues related to thermal power projects........................................ 8-18 8.3.4 Impacts of thermal power projects and mitigation measures .................... 8-19
8.4 Geothermal power projects .................................................................................. 8-23 8.4.1 General characteristics of geothermal power projects .............................. 8-23 8.4.2 Environmental issues related to geothermal power projects ..................... 8-24 8.4.3 Social issues related to geothermal power projects .................................. 8-24 8.4.4 Potential impacts of geothermal power projects and mitigation
measures ................................................................................................. 8-25 8.5 Power transmission lines ..................................................................................... 8-28
8.5.1 General characteristics of power transmission lines ................................. 8-28 8.5.2 Environmental issues related to power transmission lines ........................ 8-29 8.5.3 Social issues related to power transmission lines..................................... 8-29 8.5.4 Impacts of power transmission lines and mitigation measures ................. 8-31
9 LIFE CYCLE AND SYSTEMS APPROACH IN THE EIA FRAMEWORK................ 9-1
9.1 Life cycle assessment in EA .................................................................................. 9-1 9.2 Definition of life cycle assessment ......................................................................... 9-2 9.3 Life cycle assessment international standards ....................................................... 9-4 9.4 Life cycle assessment in the EA process for regional power projects in
the NBI countries ................................................................................................... 9-5 9.5 Guidelines for conducting a life cycle assessment ................................................. 9-7
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9.5.1 Goal and scope of the project ..................................................................... 9-7 9.5.2 Inventory analysis (extraction and emission) ............................................ 9-10
9.5.2.1 Guidelines specific to hydropower projects ................................ 9-13 9.5.2.2 Guidelines specific to geothermal power plants.......................... 9-14 9.5.2.3 Guidelines specific to thermal power plants................................ 9-15 9.5.2.4 Guidelines specific to transmission lines .................................... 9-16
9.5.3 Impact assessment requirements ............................................................. 9-17 9.5.4 Impact assessment interpretation ............................................................. 9-20
10 ACCESS TO THE CLEAN DEVELOPMENT MECHANISM FUND ...................... 10-1
10.1 Overview of the Clean Development Mechanism ................................................. 10-1 10.1.1 Origins of the Clean Development Mechanism ......................................... 10-1
10.1.1.1 Climate Change Convention ...................................................... 10-1 10.1.1.2 Kyoto Protocol............................................................................ 10-2 10.1.1.3 Convention of Parties 7 (COP-7) in Marrakech .......................... 10-2
10.1.2 International Standards on GHG............................................................... 10-3 10.1.3 Advantages for the host country ............................................................... 10-4
10.2 Requirements and issues related to CDM projects............................................... 10-5 10.2.1 Basic CDM Project Requirements ............................................................ 10-5 10.2.2 Project Participants................................................................................... 10-6 10.2.3 Eligibility to participate in the CDM ........................................................... 10-7 10.2.4 CDM Project Costs ................................................................................... 10-7
10.2.4.1 Project Costs.............................................................................. 10-7 10.2.4.2 Transaction Costs ...................................................................... 10-7 10.2.4.3 Small-scale projects ................................................................... 10-8
10.2.5 Financing Options in a CDM Project ......................................................... 10-9 10.2.5.1 Full or Partial Equity ................................................................... 10-9 10.2.5.2 Financial Contribution .............................................................. 10-10 10.2.5.3 Loan......................................................................................... 10-11 10.2.5.4 CER Purchase Agreement ....................................................... 10-11
10.2.6 Risk, Ownership, and Legal Aspects ...................................................... 10-12 10.3 Establishing a National Authority........................................................................ 10-13
10.3.1 Definition ................................................................................................ 10-13 10.3.2 DNA functions ........................................................................................ 10-13
10.3.2.1 The Regulatory Function.......................................................... 10-14 10.3.2.2 The Promotional Function ........................................................ 10-18
10.3.3 Initial assessment ................................................................................... 10-19 10.3.4 Sustainable Development Criteria .......................................................... 10-22 10.3.5 Steps in Creating a DNA......................................................................... 10-24 10.3.6 Tasks assigned to the DNA .................................................................... 10-26
10.4 Frameworks and directives for developing and implementing a CDM for power project ................................................................................................ 10-27 10.4.1 Integration of CDM in the EA Process for Regional Power Projects........ 10-27 10.4.2 General CDM Process for power projects............................................... 10-29 10.4.3 Step 1: Project screening........................................................................ 10-30 10.4.4 Step 2: Project Development .................................................................. 10-31
10.4.4.1 Choose Project Boundary ........................................................ 10-31 10.4.4.2 Select project baseline ............................................................. 10-32 10.4.4.3 Set crediting period .................................................................. 10-34 10.4.4.4 Calculate Emission reductions ................................................. 10-35 10.4.4.5 Develop Emissions Monitoring and Verification Protocol .......... 10-36 10.4.4.6 Prepare Investment Plan and Undertake Financial Analysis .... 10-37
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10.4.4.7 Prepare Draft Project Design Document (PDD) ........................10-38 10.4.5 Step 3: National Approval....................................................................... 10-40
10.4.5.1 Undertake Environmental Impact Assessment..........................10-40 10.4.5.2 Obtain Stakeholders’ Comments...............................................10-41 10.4.5.3 Obtain Host Country Approvals.................................................10-41 10.4.5.4 Case of multilateral projects......................................................10-41
10.4.6 Step 4: Validation and Registration ........................................................ 10-42 10.4.7 Step 5: Implementation and Monitoring .................................................. 10-43 10.4.8 Step 6: Verification and Certification....................................................... 10-43
10.4.8.1 Verify and Certify Emissions Reductions (CERs) ......................10-43 10.4.8.2 Issuance of Certified Emissions Reduction ...............................10-44
10.5 Potential baselines and CDM eligible projects.................................................... 10-44
11 OPERATIONALIZATION OF THE EA FRAMEWORK ......................................... 11-1
11.1 Proposed enforcement mechanism...................................................................... 11-1 11.2 Capacity building in environmental management ................................................. 11-3
11.2.1 Workshops ............................................................................................... 11-3 11.2.2 Technical assistance ................................................................................ 11-5 11.2.3 Annual participative review....................................................................... 11-5
11.3 Preliminary budget to operationalize the EA framework ....................................... 11-5
LIST OF APPENDICES
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MODULE 4
APPENDIX 1 Bibliography APPENDIX 2 List of consulted stakeholders APPENDIX 3 Public consultation in the environmental assessment process APPENDIX 4 Content of an environmental screening form APPENDIX 5 Typical TOR for the EIA of category A power projects APPENDIX 6 Involuntary resettlement APPENDIX 7 Indigenous peoples APPENDIX 8 Accident Risk Management APPENDIX 9 Examples of Sustainable criteria and CDM guidelines APPENDIX 10 Baseline emissions calculations for power grids and net emissions
reductions calculations
LIST OF TABLES
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Table 2.1 Area of the Nile River basin by country....................................................... 2-1
Table 4.1 EA-related issues of regional power projects.............................................. 4-1
Table 4.2 National institutions concerned by the EA framework for power projects .................................................................................................... 4-20
Table 5.1 World Bank Safeguard Policies potentially applicable to power projects ...................................................................................................... 5-2
Table 6.1 Matrix of Energy and the MDGs in Africa.................................................... 6-2
Table 7.1 Criteria assigning Category A to power projects ....................................... 7-17
Table 7.2 Situations triggering safeguard policies other than OP 4.01 and subsequent actions to undertake.............................................................. 7-19
Table 7.3 EA instruments for regional power projects .............................................. 7-20
Table 7.4 Administrative procedure of environmental screening (steps 1 & 2) ......... 7-21
Table 7.5 Administrative procedure of environmental scoping (step 3)..................... 7-23
Table 7.6 Administrative procedure of environmental assessment (step 4) .............. 7-30
Table 7.7 Administrative procedure of the review and decision-making (steps 5 & 6) .......................................................................................................... 7-35
Table 7.8 Administrative procedure of the ESMP implementation (step 7) ............... 7-39
Table 7.9 Administrative procedure of project auditing (step 8) ................................ 7-42
Table 7.10 EA framework implementation responsibilities.......................................... 7-43
Table 8.1 Potential impacts, mitigation and enhancement measures common to regional power projects – construction phase............................................. 8-3
Table 8.2 Potential impacts, mitigation and enhancement measures specific to hydroelectric projects ............................................................................... 8-13
Table 8.3 Potential impacts, mitigation and enhancement measures specific to thermal power projects ............................................................................. 8-21
Table 8.4 Potential impacts, mitigation and enhancement measures specific to geothermal power projects ....................................................................... 8-26
Table 8.5 Potential impacts, mitigation and enhancement measures specific to power transmission lines .......................................................................... 8-32
Table 9.1 Atmospheric and liquid rejects indicators - World Bank maximum values....................................................................................................... 9-18
Table 9.2 Ambient air quality indicators of different world standing institutions......... 9-19
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Table 10.1 Summary of PCF Financial Contributions to Selected CDM Projects...... 10-11
Table 10.2 NBI countries and climate change .......................................................... 10-21
Table 10.3 Overview of Project Cycle, showing official timelines and responsibilities........................................................................................ 10-29
Table 10.4 Project screening criteria ........................................................................ 10-30
Table 10.5 Baseline methodologies for CDM Power Projects................................... 10-34
Table 10.6 Overview of Emissions Reductions Calculation ...................................... 10-36
Table 10.7 Identification of potential baseline scenarios and eligible projects based on the strategic power investment plans ...................................... 10-45
Table 11.1 Preliminary budget to operationalize the EA framework............................ 11-7
LIST OF FIGURES
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Figure 2.1 Nile River basin .......................................................................................... 2-3
Figure 3.1 Hydro scheme for the existing hydropower plants in Egypt......................... 3-2
Figure 3.2 Map of Sudanese Grid ............................................................................... 3-4
Figure 3.3 Existing and Committed Hydropower Plants in Ethiopia ............................. 3-7
Figure 3.4 Regional development of power and transmission requirements to 2015 in NEL countries .............................................................................. 3-13
Figure 7.1 Illustration of an environmental impact ....................................................... 7-5
Figure 7.2 General EIA Process.................................................................................. 7-7
Figure 7.3 Environmental Assessment Process for Regional Power Investment Projects ...................................................................................................... 7-9
Figure 7.4 Main steps of the EA process for regional power projects ........................ 7-12
Figure 7.5 Organisational chart of the EA process .................................................... 7-45
Figure 9.1 Comparison of LCA and EIA ...................................................................... 9-1
Figure 9.2 Typical Life Cycle (simplified model) for electrical power projects............... 9-3
Figure 9.3 LCA in the EA process for regional power projects..................................... 9-6
Figure 9.4 Simplified procedures for inventory analysis............................................. 9-12
Figure 10.1 Evaluation procedure ............................................................................. 10-17
Figure 10.2 CDM into the EA process for regional power projects............................. 10-28
Figure 11.1 Enforcement of the EA framework for regional power projects ................. 11-2
LIST OF BOXES
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Box 6.1 Guiding principles for the ecological sustainability of power projects .......... 6-6
Box 6.2 Guiding principles for the social sustainability of changes in the access to natural resources.................................................................................... 6-9
Box 6.3 Guiding principles for the social sustainability of resettlement................... 6-11
Box 6.4 Guiding principles of the social sustainability for indigenous communities ............................................................................................. 6-13
Box 6.5 Guiding principles to link gender equity and social sustainability .............. 6-16
Box 6.6 Guiding principles to link health and social sustainability .......................... 6-18
Box 6.7 Guiding principles to link physical cultural resources and social sustainability............................................................................................. 6-19
Box 6.8 Guiding principles to link public consultation and social sustainability....... 6-22
Box 6.9 Guiding principles to take into account economic aspects of projects sustainability............................................................................................. 6-24
Box 6.10 Guiding principles to improve positive impacts of power projects on local communities ..................................................................................... 6-25
Box 7.1 Contents of a Project Notice ..................................................................... 7-13
Box 7.2 Contents of a Project Notice Analysis ....................................................... 7-14
Box 7.3 Involuntary resettlement at the screening step.......................................... 7-18
Box 7.4 Indigenous peoples at the screening step................................................. 7-18
Box 7.5 Contents of an EIA Report........................................................................ 7-27
Box 7.6 Contents of an ESMP ............................................................................... 7-29
Box 7.7 EIA review criteria..................................................................................... 7-32
Box 10.1 Transaction costs ..................................................................................... 10-8
Box 10.2 Key international criteria ......................................................................... 10-15
Box 10.3 Key national elements which should be evaluated.................................. 10-16
Box 10.4 Capacity building opportunities areas ..................................................... 10-18
Box 10.5 Political and technical prerequisites to create a DNA.............................. 10-19
Box 10.6 Criteria that can be used for CDM project screening............................... 10-23
LIST OF ACRONYMS AND ABBREVIATIONS
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AfDB African Development Bank
BP Bank Procedure
Bkwh Billion kilowatt-hours
BOT Build-Operate-Transfer
CER Certified emissions reduction
CDD Community Driven Development
CDM Clean Development Mechanism
CH4 Methane
CIDA Canadian International Development Agency
CO Carbon monoxide
CO2 Carbon dioxide
COP Convention of Parties
DNA Designated National Authority
DOE Designated Operational Entity
DRC Democratic Republic of Congo
EA Environmental Assessment
EAC East African Community
EB Executive Board
EC European Commission
EEAA Egyptian Environmental Affairs Agency
EEHC Egyptian Electricity Holding Co
EEPCO Ethiopian Electric Power Corporation
EIA Environmental Impact Assessment
EMP Environmental Management Plan
ENSAP Eastern Nile Subsidiary Action Programs
ENTRO Eastern Nile Technical Regional Office
ESA Environmental Sensitive Area
ESIA Environmental and Social Impact Assessment
ESMP Environmental and Social Management Plan
EU European Union
EWRMP Ethiopia’s Water Resource Management Policy
FA Funding agency
FEMA Forum of Energy Ministers of Africa
GHG Greenhouse gas
GIS Geographic Information System
GW Gigawatts
LIST OF ACRONYMS AND ABBREVIATIONS
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GWP Global Warming Potential
HCENR High Council of Environment and Natural Resources
HFC Hydrofluorocarbone
HIA Health Impact Assessment
HIPC Heavily Indebted Poor Countries
H2S Hydrogen sulphide gas
IHA International Hydropower Association
IMF International Monetary Fund
IPCC International Panel on Climate Change
IPP Independent Power Project
ISO International Organization for Standardization
LCA Life Cycle Assessment
LCI Life Cycle Inventory
LCIA Life cycle impact assessment
LPG Lamp Petroleum and Gas
MDGs Millennium Development Goals
MW Megawatts
MWRI Ministry of Water Resources and Irrigation
M&V Monitoring and verification
NA National Authority
NAPA National Adaptation Programme of Action
NBI Nile Basin Initiative
NC National Communication
NCCSC National Climate Change Steering Committee
NEA National Environmental Authority
NEAP National EA Process
NEC National Electricity Corporation
NELSAP Nile Equatorial Lakes Subsidiary Action Program
NEMA National Environmental Management Authority
NEMC National Environment Management Council
Nile-COM Nile Council of Ministers
Nile-SEC Secretariat of the Nile Basin
Nile-TAC Nile Technical Advisory Committee
NELSAP Nile Equatorial Lakes Regions Subsidiary Action Programs
NGO Non governmental organization
NGP National Gender Policy
LIST OF ACRONYMS AND ABBREVIATIONS
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NOx Nitrogen oxides
OE Operational Entity
OECD Organisation de Coopération et de Développement Économiques
PAP Project affected people
PCF Prototype Carbon Fund
PDD Project Design Document
PFC Perfluorocarbon
PIGU Projet d’Infrastructures et de Gestion Urbaine
PMU Project Management Unit
PMURR Programme Multisectoriel d’Urgence de Réhabilitation et de Reconstruction
PP Project Proponent
PRADECS Projet d'appui au développement communautaire et social
PRASAB Projet de Réhabilitation et d’Appui au Secteur Agricole du Burundi
PRSP Poverty Reduction Strategy Paper
PUAACV Projet d’Urgence d’Appui à l’Amélioration des Conditions de Vie
RAP Resettlement Action Plan
REAWG Regional Environmental Assessment Working Group
REAP Regional EA Process
REGIDESO Régie de Production et de Distribution de l’Eau et de l’Électricité
RPT Regional Power Trade
RPTP Regional Power Trade Project
SAP Subsidiary Action Programs
SAPP Southern African Power Pool
SD Sustainable Development
SEA Strategic Environmental Assessment
SF6 Sulphur hexafluoride
SSEA Strategic/Sectoral, Social and Environmental Assessment
STD Sexually transmitted diseases
SO2 Sulphur dioxide
SVP Shared Vision Program
TANESCO Tanzania Electric Supply Company Ltd
TOR Terms of reference
TRC Technical Review Committee
UN United Nations
UNEP United Nations Environmental Program
UNDP United Nations Development Program
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UNFCCC United Nations Framework Convention on Climate Change
WHO World Health Organization
GLOSSARY
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Compensation Monetary payment or replacement in kind for an asset (or a resource) to be acquired or affected by a project at full replacement cost that is, the market value of the assets plus transaction costs without considering the depreciation of the asset. Elementary flow Material or energy entering or leaving the product system without human transformation. Environment Organised and dynamic system evolving over time and including biophysical and human factors and in which living organisms act and where human activities take place. Environmental aspect or emission Element of the product system that can interact with the environment. Environmental assessment (EA) Systematic process for evaluating and documenting the capacities and functions of resources and of natural and human systems in order to facilitate the planning of sustainable development and the decision process in general, as well as forecasting and managing negative impacts and the consequences of development proposals. Environmental audit An instrument to determine the nature and extent of all environmental areas of concern at an existing facility. The audit identifies and justifies appropriate measures to mitigate the areas of concern, estimates the cost of the measures, and recommends a schedule for implementing them (World Bank OP 4.01 Annex A). Environmental impact Effect, for a period of time and within a specific space, of a human activity on an environmental or human component, compared with the “without project” situation. Environmental impact assessment (EIA) Instrument to examine the environmental consequences, both beneficial and adverse, of a proposed development project and to ensure that these consequences are taken into account in project design. Environmental and social management plan (ESMP) Instrument that outlines the measures to prevent, minimise, mitigate or compensate for adverse environmental impacts and to enhance beneficial impacts. It specifies how, when and by whom these measures shall be implemented. Environmental monitoring Step of the EA process consisting to ensure that the environment is respected and that the mitigation measures required are applied during construction and operation of the project. Health A complete state of physical and mental well being and not merely the absence of disease and infirmity.
GLOSSARY
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Involuntary resettlement All direct economic and social losses resulting from land taking and restriction of access, together with the consequent compensatory and remedial measures. Resettlement can, depending on the case, include (a) acquisition of land and physical structures on the land, including businesses; (b) physical relocation; and (c) economic rehabilitation of displaced persons, to improve (or at least restore) incomes and living standards (World Bank’s Involuntary Resettlement Sourcebook). Life cycle Consecutive and interlinked stages of a product system from raw material acquisition or generation of natural resources to the final disposal. Life cycle assessment Compilation and evaluation of the inputs, outputs and potential environmental impacts of production system throughout its life cycle. Mitigation Activity aimed at reducing the severity, avoiding or controlling environmental impact of a project. Person affected by a project Any person (individual, household or community) who, as a result of the implementation of a project, loses the right to own, use, or benefit from a built structure, land (residential, agricultural, or pasture), annual or perennial crops and trees, or any other fixed or moveable asset, either in full or in part, permanently or temporarily. Physical displacement Loss of housing and assets resulting from the acquisition of land associated with a project that requires the affected person(s) to move to another location. Product system Collection of materially and energetically connected unit processes which forms one or more defined functions. Project area of influence The area likely to be affected by the project, including all related facilities, such as power transmission corridors, pipelines, canals, tunnels, relocation and access roads, borrow and disposal areas, and construction camps, as well as unplanned developments induced by the project. Resettlement action plan The document in which a project proponent or other responsible entity specifies the procedures that it will follow and the actions that it will take to mitigate adverse effects, compensate losses, and provide development benefits to persons and communities affected by a project. Risk assessment Instrument for estimating the probability of harm occurring from the presence of dangerous conditions or materials at a project site. Stakeholder All individuals, groups, organizations, and institutions interested in and potentially affected by a project or having the ability to influence a project.
GLOSSARY
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Transboundary impact Any impact, not exclusively of a global nature (such as climate change, ozone depletion, biodiversity, etc.), within an area under the jurisdiction of a country caused by a proposed activity which the physical origin is situated wholly or in part within the area under the jurisdiction of another country. Vulnerable group Distinct group of persons characterised by a higher risk and reduced ability to cope with adverse impacts by virtue of gender, ethnicity, age, physical or mental disability, economic disadvantage, or social status.
MO
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LE 1
MODULE 1Executive Summary / Résumé
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
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EXECUTIVE SUMMARY
Background
The Nile riparian countries (Burundi, Democratic Republic of Congo, Egypt, Ethiopia, Kenya,
Rwanda, Sudan, Tanzania and Uganda) established in February 1999 the Nile Basin
Initiative (NBI) to address common concerns and interests, particularly poverty alleviation.
The Vision of the NBI is to achieve sustainable socio-economic development through the
equitable utilization of, and benefit from, the Nile basin water resources. To translate this
Vision into action, the NBI includes two main components: a basin-wide Shared Vision
Program (SVP) and Subsidiary Action Programs (SAP).
The Regional Power Trade Project (RPTP) is one of the components of the Shared Vision
Program. The RPTP is to be implemented basin-wide to help establish a foundation for
transboundary regional cooperation and to create an enabling environment suitable for
investments and action on ground within an agreed basin-wide framework. The RPTP aims
to establish the institutional means to coordinate the development of regional power trade
and markets among the NBI countries.
The Nile Basin covers an area of nearly 3.1 million km2 representing about 10% of the
African continent (Figure 1). Table 1 shows the distribution of the basin within the
10 riparians countries. The two downstream countries of the basin, Sudan and Egypt,
encompass 63% and 10% of the Nile river basin. At the opposite, upstream countries such
as Burundi, DRC and Rwanda occupy each less than 1% of the basin.
Table 1 Area of the Nile River basin by country
CountryTotal area
(km²)Basin area in country (km²)
% of the country
% of the basin
Burundi 27 834 14 318 51.4 0.5DRC 2 345 000 28 180 1.2 0.9Egypt 995 450 304 246 30.6 9.8Eritrea 121 320 24 699 20.4 0.8Ethiopia 1 127 127 349 625 31.0 11.3Kenya 582 650 44 599 7.7 1.4Rwanda 26 338 20 917 79.4 0.7Sudan 2 505 810 1 947 683 77.7 63.0Tanzania 945 087 115 219 12.2 3.7Uganda 250 066 241 359 96.5 7.8Total 8 926 682 3 090 844 34.6 100.00
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Tecsult International
05-16005 – Final Report – February 2008
2
In the Nile basin region, cheap and reliable supply of electricity is a critical input for
economic growth, employment generation and poverty alleviation. The power sector in the
NBI countries is quite diversified, but in general does not meet the total demand in power. It
includes a variety of hydropower, thermal power and geothermal power facilities, as well as
power transmission lines and some interconnections. Table 2 below presents a synopsis of
the existing situation in the NBI countries, and potential power investment plans as identified
in the major power master plans.
Table 2 Power sector in the NBI countries
Countries Current energetic picture Strategic energetic investment plans
Burundi 100% hydroelectric 100% hydroelectric
Democratic Republic of Congo
84.3% hydroelectric 15.7% thermal
52.3% methane (Kivu Lake) 47.7% hydroelectric
Egypt 86% thermal 13% hydroelectric 1% wind
69.3% natural gas 21.5% wind 8.2% nuclear 1% hydroelectric
Ethiopia 87.4% hydroelectric 11.6% thermal 1% geothermal
97.4% hydroelectric 2.6% coal
Kenya
58.3% hydroelectric 17.9% diesel 11.3% geothermal 10.1% gas 2.3% steam
45.6% coal 42.4% geothermal 6% natural gas 6% wind
Rwanda 75.6% hydroelectric 24.4% diesel
57.8% hydroelectric 42.2% methane (Kivu Lake)
Sudan 59% thermal 41% hydroelectric
45.5% hydroelectric 36.8% gas oil 17.2% HFO 0.5% diesel
Tanzania 70.7% hydroelectric 29.3% thermal
31.1% natural gas 1% diesel 67.9% hydroelectric
Uganda 97.5% hydroelectric 2.5% thermal 100% hydroelectric
Ò
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1st Cataract
2nd Cataract
3rd Cataract
4th Cataract
5th Cataract
6th Cataract
SUDAN
DEM. REP.OF CONGO
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ETHIOPIA
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SAUDI ARABIA
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UGANDA
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Nile basin
Nile basin countries
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Review of EIA Frameworks and Procedures in Regional Power Investment Projects
NILE RIVER BASIN
Sources :
FAO, Aquastat, 2005
WGS 84
February 2008
0 100 200 300 400 km
Figure 1International boundary
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
5
Environmental assessment frameworks of NBI countries and funding agencies
The level of detail of the environmental assessment (EA) procedures and frameworks of the
Nile basin countries varies significantly from one country to another. Some countries such as
Egypt and Ethiopia do have comprehensive EA regulations and guidelines, whereas in some
other countries (Burundi and Rwanda for example), EA is essentially based on the general
principles stated by the Law. Key social issues, such as resettlement, indigenous
communities, gender and cultural heritage, are not necessarily covered by EIA frameworks
of each country. Considering the NBI’s Vision which is to achieve sustainable socio-
economic development, the key social issues shall be properly taken into account while
evaluating specific regional power projects in the NBI countries.
No specific framework for power projects exists in the Nile basin countries. However, in
Ethiopia and Egypt for example, there are some EIA guidelines for power projects that can
be considered at the same level as international best practices.
In general, EA frameworks of funding agencies, especially World Bank and European Union,
are much more detailed and restricting than frameworks of NBI countries. Apart from general
EIA guidelines, the funding agencies do not also have specific EA frameworks for regional
power projects. The International Hydropower Association (IHA) has a set of comprehensive
sustainability guidelines for new and existing hydropower projects.
Considering the diversity of EA procedures and frameworks of the NBI countries, funding
agencies and international initiatives, as well as the potential transboundary power projects
in the pipeline, it is justified to develop and enforce a comprehensive standard framework of
integrated environmental and social impact assessment, applicable to all regional power
projects in the NBI countries, inspired from international and regional initiatives, and
complying with international practices and NBI countries’ policies and regulations.
Components of the EA framework for regional power projects
The main objective of this EA framework, which integrates environmental and social issues
of power projects, is to contribute to NBI’s vision, which is to achieve sustainable socio-
economic development through the equitable utilization of, and benefit from, the Nile basin
water resources. Another objective is to plan and implement the regional power projects
according to best practices as far as sustainable development is concerned.
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Tecsult International
05-16005 – Final Report – February 2008
6
In this EA framework, guiding principles to achieve sustainable development through
regional power projects cover ecological, social and economic aspects of projects
sustainability. These guiding principles take into consideration the achievement of the
Millennium Development Goals and important issues such as biodiversity, involuntary
resettlement, changes to the environment and resource use in the area, indigenous
communities, gender issues, public health issues, economic development, physical cultural
resources, participation and consultation of the stakeholders, and positive impacts of the
power projects on local communities.
In order to integrate all these ecological, social and economic guiding principles in the
projects’ cycle phases, a comprehensive environmental assessment process has been
elaborated (see Figure 2). The EA process for NBI regional power projects complies with the
general environmental impact assessments that are applied by most national environmental
agencies and funding agencies, notably the World Bank and the African Development Bank.
It follows the project cycle phases: i) identification; ii) preparation; iii) appraisal and approval;
iv) implementation and supervision; v) post-evaluation. Eight steps are defined for the EA
process: 1) pre screening; 2) screening; 3) scoping: 4) impact assessment; 5) review;
6) decision-making; 7) ESMP implementation and; 8) auditing.
At the project identification phase, the EA screening consists to determine if the power
project is subjected to the Regional EA Process (REAP). Hydropower, thermal, geothermal
and transmission lines projects are subjected to the REAP if i) The project affects or
provides benefits to at least two NBI countries; ii) The project is likely to cause significant
adverse transboundary impacts; or iii) The project is likely to cause significant adverse
impacts on an international heritage site. In any case that the REAP is triggered, it is not
necessary to duplicate the process by implementing the NEAP, because the REAP
harmonizes the EA requirements of all NBI countries and funding agencies in general. The
screening of the project consists also to determine the category of the project and therefore,
the types of environmental and social studies to be carried out before decision-making.
At the project preparation phase, the objective of environmental scoping is to prepare the
Terms of Reference (TOR) of the environmental and social studies in accordance with
applicable national legislation and policies of the funding agency such as World Bank
safeguard policies, while consulting affected groups and local NGOs. The NEA of the
project country of origin approves the TOR prepared by the project proponent.
Nile
Bas
in In
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Tra
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roje
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Env
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r R
egio
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Pro
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05-1
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Fig
ure
2
Org
anis
atio
nal
ch
art
of
the
EA
pro
cess
P
roje
ct P
rop
on
ent
(PP
)
Nat
ion
al E
nvi
ron
men
tal
Ag
ency
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EA
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ion
al E
A W
ork
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AW
G)
Fu
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A)
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iew
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om
mit
tee
(TR
C)
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Tec
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Ad
viso
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Co
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AC
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Ste
p 1
Pre
-scr
eeni
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Pre
para
tion
of th
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pr
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ice
Scr
eeni
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f the
pro
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ag
ains
t NE
AP
and
RE
AP
tr
igge
ring
crite
ria
↓ ↓↓↓
Ste
p 2
Scr
eeni
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Det
erm
inat
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of th
e pr
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t ca
tego
ry
Iden
tific
atio
n of
the
docu
men
ts to
pre
pare
Non
-obj
ectio
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↓ ↓↓↓
Ste
p 3
Sco
ping
Con
sulta
tion
of a
ffect
ed
grou
ps a
nd lo
cal N
GO
s
Pre
para
tion
of th
e T
OR
for
requ
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men
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Con
sulta
tion
of a
ffect
ed
grou
ps a
nd lo
cal N
GO
s
App
rova
l of t
he s
copi
ng
↓ ↓↓↓
Ste
p 4
Impa
ct a
sses
smen
t P
repa
ratio
n of
the
stud
ies
Pub
lic c
onsu
ltatio
ns
Rev
iew
of c
ompl
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↓ ↓↓↓
Ste
p 5
Rev
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of t
he s
tudi
es
Ext
erna
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Com
plet
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of th
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Inte
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Inte
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↓ ↓↓↓
Ste
p 6
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App
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f dis
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Rec
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Rev
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N
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↓ ↓↓↓
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ES
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plem
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ES
MP
impl
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tatio
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port
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↓ ↓↓↓
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Aud
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para
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nd s
ocia
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dit
Rev
iew
of t
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udit
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Tecsult International
05-16005 – Final Report – February 2008
8
The impact assessment step comprises three main activities: 1) preparation of the studies;
2) further public consultations and; 3) review of compliance. Category A projects require a
full Environmental Impact Assessment (EIA), an Environmental and Social Management
Plan (ESMP), a Life Cycle Assessment (LCA). The EA of a Category B project may include a
limited EIA or only an ESMP. Most social issues triggered by power and interconnection
projects will be integrated in the terms of references of the EIA. However, it is likely that a
Resettlement Action Plan (RAP) will be required for most NBI projects at the EIA stage. In
some cases, indigenous people issues may also require special studies.
At the project appraisal and approval phase, the review of the studies comprises : 1) Internal
review of the studies, including the national approval of a Clean Development Mechanism
(CDM) project; 2) External review through disclosure and public consultation; 3) Completion
of the studies; and 4) Decision making. This decision may be to authorize the project, with or
without changes and under some conditions, or to turn down the project, and submitted to
the funding agency for non-objection. Finally, it is important to ensure that the environmental
recommended measures be integrated in the tender and contracting documents.
At the ESMP implementation phase, step 7 of the EA process consists basically to ensure,
during the whole life of the power project, that the measures identified to offset, mitigate or
compensate the environmental and social adverse impacts are properly executed. Finally, at
the project post-evaluation phase, the last step of the EA process include: 1) Environmental
and social audit; and 2) Review of the audit. Environmental auditing is an objective
examination of whether or not practice complies with expected standard.
In order to facilitate the identification and mitigation of the environmental and social impacts
of regional power projects during the preparation of EIAs of such projects in the NBI
countries, this EA framework identifies issues to consider for hydropower, thermal and
geothermal power, as well as for power transmission lines.
As far as hydroelectric projects are concerned, the operation of dams and reservoirs include
several activities or components that can potentially induce significant environmental and
social impacts. Issues include changes in the river system, fisheries and wildlife, non-
resident workers, agriculture and resettlement. Since this type of project often involves
important land acquisition and involuntary resettlement, the project design shall be based on
a comprehensive analysis of alternatives.
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
9
Environmental impacts from thermal power plant operation normally include those on
ambient air, water and soil quality, and the disposal of solid wastes. Impacts on vegetation,
wildlife, local populations, and the health and safety of workers must also be considered.
On the environmental point-of-view, geothermal energy offers a number of advantages over
fossil fuel used by thermal power plants. Indeed, geothermal energy is clean and safe for the
surrounding environment. Moreover, geothermal energy is competitive on the economic
standpoint and reduces reliance on costly fossil fuels.
Power transmission and distribution lines can open up remote lands to human activities such
as settlement, agriculture, hunting, recreation, etc. Construction of the power line right-of-
way can result in the loss and fragmentation of habitat and vegetation along the line. These
effects can be significant if natural areas, such as wetlands or natural forests are affected, or
if the newly-accessible lands are the home of indigenous peoples.
To better guide the preparation of environmental studies on regional power projects, it will be
important that detailed EIA guidelines for power sector activities be prepared based on this
EA Framework in the near future in order to harmonise the contents of the future studies.
Life Cycle Assessment
This EA framework considers also the integration of Life Cycle Assessment (LCA) in the EA
of a regional power project. This approach is quite innovative but also interesting
considering that, on a spatial scale, LCA is a global process encompassing the project from
“cradle to grave”, which makes it complementary to the EIA studies. The LCA study needs to
cover the various stages of the project life cycle, namely extraction and preparation of the
raw materials and energy; construction of infrastructures, machines and inputs, as well as
transportation; main production phase (in this case: electricity production) and transportation;
waste processing; and finally decommissioning of the plant.
LCA is divided into 4 steps: 1) identification of the goal and scope, 2) inventory analysis,
3) impact assessment requirements, and 4) impact assessment interpretation. Figure 3
shows the relation between LCA and the EA process for regional power projects.
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Tecsult International
05-16005 – Final Report – February 2008
10
Figure 3 Life cycle assessment in the EA process
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Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
11
Clean Development Mechanism
The Clean Development Mechanism (CDM), developed under the umbrella of the Kyoto
Protocol, is of greatest interest to the developing world because it allows channelling foreign
investment to these countries to promote sustainable development and abate greenhouse
gas emissions while generating certified emission reduction units (CERs) that industrialized
nations can apply towards meeting their own emission reduction targets. To be eligible to
CDM funds a project have to lead to real and measurable GHG emissions reductions, to
result in additional GHG emissions reductions, and to contribute to sustainable development
in the host country. Besides, more than one country can host an eligible project.
In most cases, selling certified emission reduction units (CERs) through the CDM will provide
only part of the financing necessary for the project. Thus this source of “carbon financing”
will still need to be completed with conventional financing (full or partial equity, financial
contribution, loan or certified emissions reduction purchase agreement).
Figure 4 presents an overview of the integration of CDM in the EA process for regional
power projects. During the whole process, the proponent will have to constitute a Project
Design Document (PDD) which will be evaluated in turn by the Designated National
Authority and the Executive Board (EB) of CDM. Designated Operational Entities (DOE) will
have to report to the EB on the content of the PDD, and on the monitoring of emissions
reductions before the first CERs being issued by the EB.
One of the first and the most crucial elements of the PDD is the baseline scenario. The
baseline of a project is a measure of the emissions that would have occurred in the absence
of the proposed project activity, and is used to estimate the emissions reductions from the
project. Table 3 identifies the potential baseline scenarios in the NBI countries and therefore,
the eligible projects based on the strategic power investment plans.
Operationalization of the EA framework
The process to enforce the EA framework for regional power projects is illustrated on
Figure 5. The proposed enforcing Protocol shall be ratified by each NBI country, through
regulations signed by the Minister in charge of Environment.
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Tecsult International
05-16005 – Final Report – February 2008
12
Figure 4 CDM in the EA process
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Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
13
Table 3 Potential baseline scenarios and eligible projects based on the strategic power investment plans
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(1) Source: Strategic/Sectoral, Social and Environmental Assessment of Power Development Options in the Nile Equatorial Lakes Region, SNC Lavalin International, February 2007
(2) Source: Eastern Nile Power Trade Program Study, EDF – Generation and Engineering Division, March 2007 (3) HFO: heavy fuel oil
In order to ensure the implementation of the EA framework and based on a comprehensive
institutional analysis, it is essential that the concerned staff of the institutional organisations
involved in the process be trained and become familiar with the components of the EA
framework. This EA framework proposes a preliminary capacity building program that will
have to be validated by the proposed analysis of NBI countries environmental institutions.
The preliminary budget required to operationalize the EA framework for regional power
projects is estimated at US$1.62 million during the 10 years following its acceptance by NBI
authorities (Table 4). It is based on the assumption that 30 regional power projects will be
evaluated in the next 10 years in the NBI countries.
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En
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A f
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ewo
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or
reg
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er p
roje
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Tab
le 4
P
relim
inar
y b
ud
get
to
op
erat
ion
aliz
e th
e E
A f
ram
ewo
rk
(i
n c
urr
ent
US
$)
12
34
56
78
910
To
tal
Dev
elop
men
t of t
he E
IA p
roto
col
75 0
0075
000
Det
aile
d E
SIA
gui
delin
es (
3)95
000
97 8
5010
0 78
629
3 63
6
Inst
itutio
nal s
tudy
95 0
0095
000
Wor
ksho
ps (
3)70
000
70 0
00
Tec
hnic
al a
ssis
tanc
e fo
r re
view
of E
IA (
desk
wor
k)25
000
25 0
00
Ann
ual r
evie
w30
000
30 9
0031
827
32 7
8233
765
34 7
7835
822
36 8
9638
003
304
773
Reg
iona
l EA
Wor
king
Gro
up (
part
-tim
e)25
000
25 7
5026
523
27 3
1828
138
28 9
8229
851
30 7
4731
669
253
978
Nat
iona
l Env
ironm
enta
l Age
ncie
s (p
art t
ime)
50 0
0051
500
53 0
4554
636
56 2
7557
964
59 7
0361
494
63 3
3950
7 95
5
To
tal
265
000
297
850
208
936
111
395
114
736
118
178
121
724
125
375
129
137
133
011
1 62
5 34
2
Yea
rs
Cap
acit
y b
uild
ing
Tec
hn
ical
ass
ista
nce
EA
pro
cess
imp
lem
enta
tio
n
Act
ivit
ies
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RÉSUMÉ
Contexte
Les pays riverains du Nil (Burundi, République Démocratique du Congo, Égypte, Éthiopie,
Kenya, Rwanda, Soudan, Tanzanie et Ouganda) ont mis en place en février 1999 l’Initiative
du Bassin du Nil (NBI) pour prendre en compte leurs préoccupations et intérêts communs,
notamment la lutte contre la pauvreté. La Vison du NBI est de réaliser un développement
socio-économique durable par l’utilisation et le partage équitable des ressources en eau du
bassin du Nil. Afin de mettre en œuvre cette Vision, le NBI comprend deux principales
composantes, soit le Shared Vision Program (SVP) et le Subsidiary Action Programs (SAP).
Le Regional Power Trade Project (RPTP) est un des projets du Shared Vision Program. Le
RPTP est mis en œuvre afin de mettre en place les fondations d’une coopération régionale
transfrontalière et de créer un environnement propice aux investissements et aux actions sur
le terrain dans un cadre commun à l’échelle du bassin versant. Le RPTP vise à établir les
moyens institutionnels pour coordonner le développement d’échanges et de marchés
régionaux d’électricité au sein des pays du bassin du Nil.
Le bassin du Nil couvre une superficie de près de 3,1 millions km2 représentant environ 10%
du continent africain (figure 1). Le tableau 1 démontre la répartition du bassin à l’intérieur
des 10 pays riverains. Les deux pays à l’aval du bassin, soit le Soudan et l’Égypte,
englobent respectivement 63% et 10% du bassin du Nil. À l’opposé, les pays en amont
comme le, la RDC et le Rwanda occupent chacun moins de 1% de la superficie du bassin.
Tableau 1 Superficie du bassin du Nil par pays
PaysSuperficie
totale (km²)Superficie du bassin
par pays (km²)% du pays % du bassin
Burundi 27 834 14 318 51,4 0,5RDC 2 345 000 28 180 1,2 0,9Égypte 995 450 304 246 30,6 9,8Éritrée 121 320 24 699 20,4 0,8Éthiopie 1 127 127 349 625 31,0 11,3Kénya 582 650 44 599 7,7 1,4Rwanda 26 338 20 917 79,4 0,7Soudan 2 505 810 1 947 683 77,7 63,0Tanzanie 945 087 115 219 12,2 3,7Ouganda 250 066 241 359 96,5 7,8Total 8 926 682 3 090 844 34,6 100,00
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
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05-16005 – Final Report – February 2008
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Dans les pays du bassin du Nil, l’approvisionnement fiable en électricité à prix modique est
une condition essentielle à la croissance économique, la création d’emplois et la lutte contre
la pauvreté. Le secteur de l’électricité dans les pays du NBI est assez diversifié, mais ne
répond pas de manière générale à la demande totale en électricité. Le secteur inclut une
variété de centrales hydroélectriques, thermiques et géothermiques, ainsi que des lignes de
transport de l’électricité et des interconnections. Le tableau 2 ci-dessous dresse le portrait
de la situation énergétique dans les pays du bassin du Nil, et les plans d’investissements
énergétiques tel qu’identifiés par les principaux plans directeurs.
Tableau 2 Secteur de l’électricité dans les pays du bassin du Nil
Pays Situation énergétique Plan d’investissements énergétiques
Burundi 100% hydroélectrique 100% hydroélectrique
RDC 84,3% hydroélectrique 15,7% thermique
52,3% méthane (Lac Kivu) 47,7% hydroélectrique
Égypte 86% thermique 13% hydroélectrique 1% éolien
69,3% gaz naturel 21,5% éolien 8,2% nucléaire 1% hydroélectrique
Éthiopie 87,4% hydroélectrique 11,6% thermique 1% géothermique
97,4% hydroélectrique 2,6% charbon
Kenya
58,3% hydroélectrique 17,9% diesel 11,3% géothermique 10,1% gaz naturel 2,3% vapeur
45,6% charbon 42,4% géothermique 6% gaz naturel 6% éolien
Rwanda 75,6% hydroélectrique 24,4% diesel
57,8% hydroélectrique 42,2% méthane (Lac Kivu)
Soudan 59% thermique 41% hydroélectrique
45,5% hydroélectrique 36,8% gaz naturel 17,2% HFO 0,5% diesel
Tanzanie 70,7% hydroélectrique 29,3% thermique
31,1% gaz naturel 1% diesel 67,9% hydroélectrique
Ouganda 97,5% hydroélectrique 2,5% thermique 100% hydroélectrique
Ò
Ò
Ò
Ò
Ò
ÒÒ
Ò
Ò
Ò
!\
!\
!\
!\
!\
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!\BUJUMBURA
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Aswan
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Khashm El Gibra
Nag-Hamady
Jebel Aulia
1er Cataracte
2e Cataracte
3e Cataracte
4eCataracte
5eCataracte
6e Cataracte
SOUDAN
RÉP. DÉM.DU CONGO
TCHAD
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ÉTHIOPIE
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RÉPUBLIQUE CENTRAFRICAINE
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Mer Méditerranée
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LacKyoga
LacTurkana
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Pays du bassin du Nil
Ò
!\
Review of EIA Frameworks and Procedures in Regional Power Investment Projects
BASSIN DU NIL
Sources :
FAO, Aquastat, 2005
WGS 84
Février 2008
0 100 200 300 400 km
Figure 1Frontière internationale
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Cadres d’évaluation environnementale des pays du NBI et des bailleurs de fonds
Le niveau de détails des procédures d’évaluation environnementale et sociale des pays du
bassin du Nil varie grandement d’un pays à l’autre. Certains pays tels que l’Égypte et
l’Éthiopie ont des réglementations et directives détaillées alors que dans d’autres pays
comme le Burundi et le Rwanda, l’évaluation d’impact environnemental est essentiellement
basée sur des principes généraux définis par la loi. Les enjeux sociaux importants, tels que
la réinstallation involontaire des populations, les communautés autochtones, le genre et le
patrimoine culturel ne sont pas systématiquement couverts par les procédures des pays
membres du NBI. Considérant la Vision du NBI qui est de réaliser un développement socio-
économique durable, ces enjeux doivent être adéquatement considérés lors de l’évaluation
des projets régionaux de production électrique dans les pays du NBI.
Généralement, les cadres d’évaluation environnementale des bailleurs de fonds, notamment
ceux de la Banque mondiale et de l’Union Européenne, sont nettement plus détaillés et
restrictifs que ceux des pays membres du NBI. Cependant, il n’existe pas, au niveau des
bailleurs de fonds de cadres spécifiques d’’évaluation environnementale de projets
régionaux de production électrique. Toutefois, l’Association Internationale d’Hydroélectricité
(IHA) dispose d’un ensemble de directives applicables aux projets hydroélectriques.
Compte tenu de la diversité des cadres de gestion et des procédures d’évaluation
environnementale des pays membres du NBI, des bailleurs de fonds et des initiatives
internationales, de même que les impacts transfrontaliers des projets d’électricité en
préparation, il apparaît opportun de développer et d’instaurer un cadre d’évaluation
environnementale (CÉE) applicable à tous les projets régionaux de production d’électricité.
Composantes du cadre d’évaluation environnementale proposé
Le principal objectif de ce CÉE, qui intègre les problématiques environnementales et
sociales, est de contribuer à l’application de la vision du NBI sur le développement socio-
économique durable par l’utilisation et le partage équitable des ressources en eau du bassin
du Nil. Par ailleurs, le CÉE vise à planifier et mettre en œuvre des projets régionaux
d’électricité conformes aux bonnes pratiques de développement durable.
Dans le cadre de ce CÉE, les principes directeurs de développement durable à travers les
projets régionaux d’électricité concernent les aspects écologiques, sociaux et économiques
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
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05-16005 – Final Report – February 2008
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de la durabilité des projets. Ces principes prennent en considération les objectifs du
Millénaire pour le Développement des Nations Unies et d’importants enjeux tels que la
biodiversité, la réinstallation involontaire, les changements dans l’environnement et
l’utilisation des ressources naturelles, les populations autochtones, les questions de genre,
la santé publique, le patrimoine culturel, la participation et la consultation des populations et
les impacts positifs des projets de production électrique sur les communautés locales.
Afin d’intégrer ces principes directeurs du développement durable dans le cycle du projet, un
processus détaillé d’évaluation environnementale (ÉE) a été élaboré (voir figure 2). Le
processus d’ÉE pour les projets régionaux de production électrique est conforme aux
principes d’évaluation environnementale appliqués par les agences environnementales des
pays du NBI et les bailleurs de fonds, notamment la Banque Mondiale et la Banque Africaine
de Développement. Il décrit chacune des étapes durant le cycle du projet: i) identification;
ii) préparation; iii) analyse et approbation; iv) mise en œuvre et supervision; v) évaluation. Le
processus comporte huit étapes : 1) tri préliminaire; 2) tri; 3) cadrage; 4) évaluation
environnementale; 5) analyse; 6) prise de décision; 7) mise en œuvre du Plan de Gestion
Environnementale et Sociale (PGES) ; 8) vérification environnementale (audit).
À la phase d’identification du projet, le tri préliminaire consiste à déterminer si le processus
régional d’ÉE s’applique au projet à l’étude. Les projets hydroélectriques, thermiques,
géothermiques et de lignes de transport d’énergie sont soumis à ce processus s’ils :
i) affectent ou bénéficient à au moins deux pays; ii) risquent d’avoir des impacts
transfrontaliers ou; iii) peuvent avoir un impact sur un site du patrimoine mondial. Si le
processus régional s’applique, il n’est pas nécessaire de le dupliquer en mettant en œuvre le
processus d’ÉE national. Le tri préliminaire consiste également à déterminer la catégorie du
projet et ainsi, les études environnementales et sociales requises en vertu de ce CÉE.
À la phase de préparation du projet, l’objectif du cadrage environnemental est de préparer
les termes de référence (TDR) des études environnementales et sociales identifiées durant
le tri environnemental, conformément à la législation nationale et aux politiques applicables
nationales et du bailleur de fonds, telles que les politiques de sauvegarde de la Banque
mondiale. L’agence environnementale nationale du pays d’origine du projet approuve les
TDR préparés par le promoteur.
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Fig
ure
2
Org
anis
atio
n d
u p
roce
ssu
s ré
gio
nal
d’é
valu
atio
n e
nvi
ron
nem
enta
le
P
rom
ote
ur
A
gen
ce
envi
ron
nem
enta
le
nat
ion
ale
Gro
up
e d
e tr
avai
l rég
ion
al
po
ur
l’ÉE
B
aille
ur
de
fon
ds
Co
mit
é te
chn
iqu
e d
’an
alys
e N
ile T
ech
nic
al A
dvi
sory
C
om
mit
tee
(Nile
TA
C)
Éta
pe 1
T
ri pr
élim
inai
re
Pré
para
tion
de l’
avis
de
proj
et
Tri
prél
imin
aire
du
proj
et e
n fo
nctio
n de
s cr
itère
s na
tiona
ux e
t rég
iona
ux
↓ ↓↓↓
Éta
pe 2
T
ri en
viro
nnem
enta
l
Dét
erm
inat
ion
de la
ca
tégo
rie d
u pr
ojet
Iden
tific
atio
n de
s do
cum
ents
à p
répa
rer
Non
-obj
ectio
n
↓ ↓↓↓
Éta
pe 3
C
adra
ge
Con
sulta
tion
des
grou
pes
affe
ctés
et d
es O
NG
lo
cale
s
Pré
para
tion
des
TD
R d
es
étud
es r
equi
ses
Con
sulta
tion
des
grou
pes
affe
ctés
et d
es O
NG
lo
cale
s
App
roba
tion
des
TD
R
↓ ↓↓↓
Éta
pe 4
É
valu
atio
n de
s im
pact
s P
répa
ratio
n de
s ét
udes
Con
sulta
tions
pub
lique
s
Ana
lyse
de
conf
orm
ité
↓ ↓↓↓
Éta
pe 5
A
naly
se d
es é
tude
s A
naly
se e
xter
ne
Ach
èvem
ent d
es é
tude
s
Ana
lyse
ext
erne
Ana
lyse
inte
rne
des
étud
es
Ana
lyse
inte
rne
des
étud
es
↓ ↓↓↓
Éta
pe 6
P
rise
de d
écis
ion
App
el e
n ca
s de
déc
isio
n co
ntes
tée
R
ecom
man
datio
n de
dé
cisi
on
Attr
ibut
ion
du p
erm
is
envi
ronn
emen
tal
Rev
ue d
u pr
oces
sus
et
déci
sion
N
on-o
bjec
tion
A
ppel
en
cas
de d
écis
ion
cont
esté
e
↓ ↓↓↓
Éta
pe 7
M
ise
en œ
uvre
du
PG
ES
D
ocum
enta
tion
de la
mis
e en
œuv
re d
u P
GE
S
Con
trôl
e de
la m
ise
en
œuv
re d
u P
GE
S
S
uper
visi
on
↓ ↓↓↓
Éta
pe 8
V
érifi
catio
n
Pré
para
tion
de l’
audi
t en
viro
nnem
enta
l et s
ocia
l A
naly
se d
e l’a
udit
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L’étape de l’évaluation des impacts comprend trois principales activités: 1) préparation des
études; 2) consultations publiques; 3) analyse de la conformité. Les projets de Catégorie A
demandent une étude d’impact environnemental (EIE) complète, un plan de gestion
environnementale et sociale (PGES) et une analyse du cycle de vie (ACV). Les projets de
Catégorie B peuvent demander une EIE limitée ou seulement un PGES. La plupart des
enjeux sociaux déclenchés par les projets de production électrique seront intégrés dans les
TDR de l’EIE. De plus, il est probable qu’un plan de réinstallation (PR) soit requis pour la
plupart des projets assujettis au processus régional. Dans certains cas, les enjeux liés aux
populations autochtones peuvent également demander des études spéciales.
À la phase d’analyse et d’approbation du projet, le processus d’ÉE comprend l’analyse des
études (étape 5) et la prise de décision (étape 6). L’analyse des études comporte:
1) l’analyse interne des études et l’approbation nationale d’un projet Mécanisme de
Développement Propre (MDP); 2) l’analyse externe par la diffusion des études et la
consultation publique; 3) l’achèvement des études par le promoteur du projet. Cette décision
peut soit autoriser le projet, avec ou sans conditions, ou soit refuser le projet, le tout suivi de
la non objection du bailleur de fonds et l’attribution du permis environnemental. Il est aussi
important de s’assurer que les recommandations des études environnementales et sociales
soient intégrées dans les documents d’appel d’offre et contractuels.
À la phase de mise en œuvre du PGES, l’étape 7 du processus d’ÉE consiste à s’assurer
durant la durée du projet de production électrique que les mesures identifiées pour prévoir,
atténuer, ou compenser les impacts négatifs environnementaux et sociaux sont bel et bien
mises en œuvre. Enfin, en phase d’évaluation, la dernière étape du processus d’évaluation
environnementale comprend: 1) l’audit environnemental et social; 2) L’analyse de l’audit.
L’audit environnemental est une analyse objective qui consiste à déterminer si les activités
du projet sont en conformité ou pas avec les normes.
Afin de faciliter l’identification et l’atténuation des impacts environnementaux et sociaux des
projets régionaux de production électrique, des lignes directrices générales d’évaluation
environnementale et sociale ont été développées dans le cadre de ce CÉE.
En ce qui concerne les projets hydroélectriques, la construction et l’opération de barrages et
réservoirs comprennent plusieurs activités qui peuvent causer des impacts potentiels
environnementaux et sociaux importants. Les principaux concernent les modifications au
régime hydrologique, la pêche, la faune, les travailleurs non-résidents, l’agriculture et la
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
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réinstallation involontaire. Ces projets peuvent entraîner d’importantes acquisitions de terres
et réinstallations involontaires de personnes. C’est pourquoi la conception de ces projets doit
être basée sur d’importantes études d’alternatives.
Par ailleurs, les impacts environnementaux de l’opération d’une centrale d’énergie thermique
sont liés à la qualité de l’air, de l’eau et du sol, ainsi qu’à la gestion des déchets solides. Les
impacts sur la végétation, la faune, les populations locales et la santé des travailleurs
doivent aussi être considérés. D’autre part, l’énergie géothermique offre du point de vue
environnemental un certain nombre d’avantages par rapport aux combustibles fossiles
utilisés dans les centrales thermiques. En effet, l’énergie géothermique est propre et
sécuritaire pour l’environnement. De plus, l’énergie géothermique est compétitive du point
de vue économique et permet de réduire la dépendance aux combustibles fossiles coûteux.
Les lignes de transmission et de distribution d’électricité peuvent permettre à des activités
humaines telles que la colonisation, l’agriculture et la chasse d’accéder à des territoires jadis
isolés. Le déboisement de l’emprise peut résulter dans la perte et la fragmentation d’habitats
et de végétation le long de la ligne. Ces effets peuvent être significatifs si des zones
naturelles telles des milieux humides et des forêts sont touchées, ou si les terres
nouvellement accessibles sont habitées par des peuples autochtones.
Afin de mieux orienter la préparation des études environnementales de projets régionaux de
production électrique, il sera important que des lignes directrices détaillées d’ÉIE soient
prochainement développées afin d’harmoniser les contenus des études futures.
Analyse du cycle de vie
Ce CÉE intègre l’analyse du cycle de vie (ACV) dans l’évaluation environnementale des
projets régionaux de production électrique. Cette approche est très innovatrice mais aussi
très intéressante considérant que, sur une échelle spatiale, elle englobe le projet du
« berceau à la tombe », ce qui rend l’ACV complémentaire à l’évaluation des impacts
environnementaux (ÉIE) du projet. L’ACV comprend 4 étapes: 1) objectif et champ de
l’étude, 2) inventaire du cycle de vie (intrants et extrants), 3) exigences de l’évaluation des
impacts, et 4) interprétation de l’évaluation des impacts. La figure 3 montre la relation entre
l’ACV et le processus d’ÉE des projets régionaux de production électrique.
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Tecsult International
05-16005 – Final Report – February 2008
26
Figure 3 Analyse du cycle de vie dans le processus d’ÉE
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Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
27
Mécanisme de développement propre
Le Mécanisme de Développement Propre (MDP), développé sous l’égide du Protocole de
Kyoto, est d’un grand intérêt pour les pays en voie de développement car il permet d’y
canaliser les investissements étrangers pour promouvoir le développement durable et la
réduction des gaz à effet de serre tout en générant des crédits réduction des émissions de
gaz à effet de serre (GES). Pour être éligible aux fonds du MDP, un projet doit mener à des
réductions réelles et mesurables de GES et contribuer au développement durable du pays
hôte. En outre, plus d’un pays peut accueillir un projet admissible. Dans la plupart des cas,
la vente de crédits d’émissions de carbone dans le cadre du MDP permettra de financer une
partie du projet, qui devra être généralement complétée par un financement conventionnel.
La figure 4 présente une vue d’ensemble de l’intégration du MDP dans le processus d’ÉE
des projets régionaux d’électricité. Durant tout le processus, le promoteur du projet aura à
préparer un document de conception du projet (DCP) qui sera par la suite évalué par une
Autorité Nationale Désignée et le Conseil Exécutif (CE) du MDP. Deux Entités
Opérationnelles Désignées auront aussi à donner un avis au Conseil Exécutif sur le contenu
du DCP et à assurer le suivi des réductions des émissions de GES avant que soient
accordés les crédits d’émissions de carbone.
Un des éléments cruciaux du DCP est de définir le scénario de base, qui est la mesure des
émissions en l’absence du projet proposé et qui est utilisé pour estimer les réductions
d’émissions grâce au projet. Le tableau 3 identifie les scénarios de base potentiels dans les
pays du NBI et par conséquent, les projets éligibles sur la base des plans stratégiques
énergétiques.
Mise en vigueur du cadre d’évaluation environnementale
La figure 5 présente le processus de mise en vigueur du CÉE pour les projets régionaux de
production d’électricité. Le Protocole proposé devra être ratifié par chaque pays du NBI, par
une réglementation entérinée par les Ministres chargé de l’Environnement.
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Tecsult International
05-16005 – Final Report – February 2008
28
Figure 4 Mécanisme de développement propre dans le processus d’évaluation environnementale
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Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
29
Tableau 3 Scénarios de base potentiels et projets éligibles basés sur les plans stratégiques énergétiques
Pays Scénarios de base Projets potentiels de production électrique
Burundi Hydroélectricité Énergies renouvelables (éolien, solaire, biomasse…)
République Démocratique du Congo
Méthane Énergies renouvelables (éolien, solaire, biomasse…) Hydroélectrique Géothermique
Kenya Charbon
Énergies renouvelables (éolien, solaire, biomasse…) Hydroélectrique Géothermique Gaz naturel
Rwanda Méthane Énergies renouvelables (éolien, solaire, biomasse…) Hydroélectrique Géothermique
Tanzanie Gaz naturel Énergies renouvelables (éolien, solaire, biomasse…) Hydroélectrique Géothermique
Ouganda Hydroélectricité Énergies renouvelables (éolien, solaire, biomasse…)
Égypte Gaz naturel Énergies renouvelables (éolien, solaire, biomasse…) Hydroélectrique Géothermique
Éthiopie Charbon
Énergies renouvelables (éolien, solaire, biomasse…) Hydroélectrique Géothermique Gaz naturel
Soudan Fuel
Énergies renouvelables (éolien, solaire, biomasse…) Hydroélectrique Géothermique Gaz naturel
Afin d’assurer la mise en œuvre du CÉE, il est essentiel que le personnel concerné des
organisations institutionnelles impliquées dans le processus soit formé et familiarisé avec les
composantes du CÉE. Celui-ci propose d’ailleurs un programme préliminaire de
renforcement des capacités qui devra être validé par une analyse institutionnelle des
agences environnementales des pays du NBI.
Le budget préliminaire requis pour rendre opérationnel ce CÉE pour les projets régionaux de
production électrique est estimé à 1,62 million $US durant les dix années suivant son
acceptation par les autorités du NBI (tableau 4). Ce budget est basé sur l’hypothèse que 30
projets régionaux seront évalués dans les dix prochaines années par les pays du NBI.
Nile
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05-1
6005
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05-1
6005
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MODULE 2Chapters 1 to 5
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
1-1
1 INTRODUCTION
1.1 Background
The Nile River, the longest river of the world, flows on more than 6,800 km from its source at
the head of the Kagera Basin in Rwanda and Burundi to its delta in Egypt on the
Mediterranean Sea. The river is shared by 10 countries: Burundi, Democratic Republic of
Congo, Egypt, Ethiopia, Eritrea, Kenya, Rwanda, Sudan, Tanzania, and Uganda. Five of
these are among the poorest in the world. The basin covers 3.1 million km2, representing
10% of the land of Africa.
The Nile River has played a key role in human settlement and the development of diversified
cultures and livelihoods for thousand of years. It encompasses famous environmental
assets, such as Lake Victoria, the second largest freshwater body in the world, and the vast
wetlands of the Sudd in Sudan. The population living in the basin is estimated at about
160 million people, and more than 300 million people live in the 10 countries that share the
Nile waters. This number is expected to double in the next 25 years. All of these people rely
to a greater or lesser extent on the waters of the Nile for their basic needs and economic
growth.
Recognizing that cooperative development holds the greatest prospects for bringing benefits
to the entire region, and aware of the challenges, the Nile riparian countries (Burundi,
Democratic Republic of Congo, Egypt, Ethiopia, Kenya, Rwanda, Sudan, Tanzania and
Uganda) established in February 1999 the Nile Basin Initiative (NBI) to address their
common concerns and interests, particularly poverty alleviation. The NBI provides an
institutional mechanism, a shared vision, and a set of agreed policy guidelines to provide a
basinwide framework for cooperative action.
The Vision of the NBI is to achieve sustainable socio-economic development through the
equitable utilization of, and benefit from, the Nile basin water resources. The policy
guidelines define the following as the primary objectives of the NBI:
• To develop the Nile basin water resources in a sustainable and equitable way to ensure prosperity, security, and peace for all its peoples;
• To ensure efficient water management and the optimal use of the resources;
• To ensure cooperation and joint action between the riparian countries, seeking win-win gains;
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
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1-2
• To target poverty eradication and promote economic integration; and
• To ensure that the program results in a move from planning to action.
To translate this Vision into action, the NBI includes a vast program with two main
components:
• The basin-wide Shared Vision Program, to lay the groundwork for cooperative action through a regional program to build confidence and capacity throughout the basin.
• The Subsidiary Action Programs, to pursue cooperative development opportunities to realize physical investments and tangible results through sub-basin activities in the Eastern Nile and the Nile Equatorial Lakes regions.
The Regional Power Trade Project (RPTP) is one of the components of the Shared Vision
Program. The RPT is a project to be implemented basin-wide to help establish a foundation
for transboundary regional cooperation and to create an enabling environment suitable for
investments and action on ground within an agreed basin-wide framework. The RPT aims to
establish the institutional means to coordinate the development of regional power trade and
markets among the NBI countries.
1.2 Objective, purpose and scope of the EA framework for regional power projects
The objective of this environmental assessment (EA) framework is to ensure that the
development of regional power trade and markets among the NBI countries be implemented
according to sustainable development principles, including the integration of environmental
and social considerations through sound EA best practices.
The purpose of this EA framework is to guide the environmental agencies of the NBI
countries, project proponents and EIA practitioners to implement the proposed harmonised
EA process for all regional power projects defined as such in this document. It is hoped that
this in turn will facilitate greater consideration and integration of environmental concerns in
regional power projects.
Finally, the scope of this EA framework focuses on hydropower, thermal and geothermal and
transmission lines projects qualifying to the proposed harmonised regional EA process. As
agreed upon between the environmental agencies of the NBI countries, such types of
projects are subjected to the proposed EA process if the project affects or provides benefits
to at least two NBI countries, if the project is likely to cause significant adverse
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
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1-3
transboundary impacts or if the project is likely to cause significant adverse impacts on an
international heritage site.
1.3 Contents of the EA framework
This EA framework comprises 11 chapters and various appendices:
• Following this introduction, Chapter 2 presents background information on the Nile River basin, Nile Basin Initiative (NBI) countries and NBI programs;
• Chapter 3 highlights the main features of the power sector in the NBI countries;
• Chapter 4 describes the environmental and social framework and procedures in the NBI countries;
• Chapter 5 summarises the review of how the environmental and social issues related to power projects are considered by the main international funding agencies;
• Chapter 6 discusses the inter-linkages between environmental sustainability, poverty reduction strategies and socio-economic development activities within the context of regional power investment projects;
• Chapter 7 describes in details the whole EA process for regional power projects;
• Chapter 8 presents issues to consider in the preparation of environmental and social impact assessment for regional power projects;
• Chapter 9 describes the proposed approach to integrate life cycle assessment in the EA process;
• Chapter 10 explains in details how the NBI countries could access to the Clean Development Mechanism through regional power projects;
• Chapter 11 proposes a mechanism to enforce the EA framework in the NBI countries as well as institutional capacity building to ensure its implementation;
• Finally, the appendices comprise the lists of documents and stakeholders consulted to conduct this study, and various supporting documents to implement this EA framework.
This final draft report takes into account the comments received from the environmental
agencies of the NBI countries during the mid-term workshop held in Dar es Salaam on
October 1st and 2nd, 2007, as well as the comments of these agencies and PTC members
during the draft report workshop meeting held on December 14th and 15th 2007 at Entebbe in
Uganda.
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
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2-1
2 NILE RIVER BASIN AND NILE BASIN INIATIVE
This section presents background information on the Nile River basin, Nile Basin Initiative
(NBI) countries and NBI programs.
2.1 General description of the Nile basin
The Nile Basin covers an area of nearly 3.1 million km2 representing about 10% of the
African continent (Figure 2.1). Table 2.1 shows the distribution of the basin within the 10
riparians countries. The two downstream countries of the basin, Sudan and Egypt,
encompass 63% and 10% of the Nile river basin respectively. At the opposite, upstream
countries such as Burundi, DRC and Rwanda occupy each less than 1% of the basin.
Table 2.1 Area of the Nile River basin by country
CountryTotal area
(km²)Basin area in country (km²)
% of the country
% of the basin
Burundi 27 834 14 318 51.4 0.5DRC 2 345 000 28 180 1.2 0.9Egypt 995 450 304 246 30.6 9.8Eritrea 121 320 24 699 20.4 0.8Ethiopia 1 127 127 349 625 31.0 11.3Kenya 582 650 44 599 7.7 1.4Rwanda 26 338 20 917 79.4 0.7Sudan 2 505 810 1 947 683 77.7 63.0Tanzania 945 087 115 219 12.2 3.7Uganda 250 066 241 359 96.5 7.8Total 8 926 682 3 090 844 34.6 100.00
Source: Tecsult, 2007
The Nile River is the longest river in the world (6,825 km), but it is relatively not a big river in
terms of volume of water. The contrast between the size of the basin and the comparatively
small volume of runoff is an important feature and among the main causes of the rising water
scarcity concerns.
The White Nile
The Ruvyironza, considered as the ultimate source of the Nile, is one of the upper branches
of the Kagera River. The Kagera follows northward the boundary of Rwanda, turns where
the borders of Rwanda, Uganda and Tanzania meet, and drains into Lake Victoria. On
leaving Lake Victoria at the site of the now-submerged Owen Falls, the Nile rushes for
483 km over rapids and cataracts, at first northwest and then west, until it enters Lake Albert.
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
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05-16005 – Final Report – February 2008
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The section between the two lakes is called the Victoria Nile. The river leaves the northern
end of Lake Albert as the Albert Nile, flows through northern Uganda, and at the Sudan
border becomes the Bahr al Jabal. At its junction with the Bahr al Ghazal, the river becomes
the Bahr al Abyad, or the White Nile. At Khartoum the White Nile is joined by the Blue Nile,
or Bahr al Azraq. These are so named because of the colour of the water.
The Blue Nile
The Blue Nile is 1529 km long. Its
source is Lake Tana in the Ethiopian
highlands. The Blue Nile rises at a
spring site upstream of Lake Tana in
Ethiopia, at 2,150 m above sea level.
The river flows west then north until it
eventually meets the White Nile at
Khartoum. A length of 800 km is
navigable during high water times.
Some 80% of Sudan's electricity is
provided by hydroelectric schemes at Roseires and Sennar, and these dams provide
irrigation water for over 10,000 km2 of the Gezira Plain.
The Main Nile
From Khartoum, the Nile flows northeast on 322 km below Khartoum where it is joined by
Atbarah River. The black sediment brought down by the Atbarah and Blue Nile rivers settle
in the Nile delta making it very fertile. This process historically occurred during the annual
flooding of the Nile in the summer months. However, the opening of the Aswan High Dam in
the early 1970s allowed for control of the flooding and reduced sediment deposits in the river
as these now settle in Lake Nasser. During its course from the confluence of the Atbarah
through the Nubian Desert, the river makes two deep bends. From Khartoum to Aswan there
are six cataracts. The Nile is navigable to the second cataract on a distance of 1,545 km.
The delta of the Nile is 190 km wide. The water level behind the Aswan Dam fell from 170 m
in 1979 to 150 m (492 ft) in 1988, threatening Egypt's hydroelectric power generation.
Nile River in Ethiopia
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INDIANOCEAN
Mediterranean Sea
Red Sea
LakeVictoria
LakeAlbert
LakeEdward
LakeKivu
LakeTanganyika
LakeKyoga
LakeTurkana
LakeTana
Whi
teN
i leR
.
Sabat R.
Nile
R.
LakeNasser
Nile
R.
AtbaraR.
BlueN
ileR.
Kage
roR.
Semliki R.
LegendNational capitals
Dams
Nile basin
Nile basin countries
Ò
!\
Review of EIA Frameworks and Procedures in Regional Power Investment Projects
NILE RIVER BASIN
Sources :
FAO, Aquastat, 2005
WGS 84
February 2008
0 100 200 300 400 km
Figure 2.1International boundary
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The Nile plays a vital role in the socio-economic development of the Nile riparian states.
Agriculture is the dominant economic sector in most of these countries, and reliable access
to water remains an issue to increasing agricultural productivity, providing employment, and
to raising the standards of living of the people residing in the basin. The Nile also represents
a vast resource for hydropower generation.
The Nile region is characterised by environmental degradation, conflicts, drought, and
poverty. However, the Nile waters represent a tremendous potential for social and economic
development. Collaborative and sustainable development of the shared water resources can
attract investment and contribute to alleviate poverty.
2.2 NBI countries
The countries forming the Nile Basin Initiative can be subdivided in two groups, i.e. Eastern
Nile countries including Egypt, Sudan and Ethiopia, and Nile Equatorial Lakes countries,
namely Burundi, Democratic Republic of Congo (DRC), Kenya, Rwanda, Tanzania and
Uganda.
Ashwan dam in Egypt
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2.2.1 Eastern Nile countries
Egypt, located downstream of Nile river, encompasses 10% of the river basin. Except along
the Mediterranean coast and the Sinai, there is nearly no rainfall over most of the country.
Thus, the Nile constitutes the main source of renewable freshwater of Egypt. Most of the
population lives within the basin, within a narrow strip along the Nile and in the delta area
where the density of the population is important. Environmental issues in Egypt include the
preservation of aquatic habitats and biodiversity for fisheries production, protection of water
quality in order to reduce impacts on human health, as well as soil erosion, desertification,
aquatic weeds, and sea water intrusion in the Nile delta.
Ethiopia includes 11% of the Nile basin. Located in the eastern portion of the Nile basin, the
Ethiopian highlands give rise to some of the major tributaries of the Nile, i.e. the Abbay
(Blue) Nile, the Tekeze (Atbara) River, and the Baro-Akobo (Sobat) River, contributing to
more than 75% of the average annual flow of the Main Nile. Rainfall in the Nile Basin portion
of the country is relatively high, but seasonal and confined to a four month period. During the
rains, the rivers are flashy and transport high loads of sediments. In addition, deforestation
and soil erosion have become very significant environmental problems.
Sudan, the largest country of Africa, lies at the center of the Nile basin, encompassing 63%
of the total basin area. About 85% of the population of Sudan live within the Nile basin, but
the density is relatively low. The major tributaries of the Nile meet within Sudan. As
mentioned above, the White and Blue Nile join at Khartoum to form the Main Nile. The
Women in Ethiopia
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northern part of the country receives very low rainfall and is therefore desert or semi-desert.
The vast wetland areas in the south receive relatively high rainfall, but evaporation is
important. Environmental issues in Sudan include water management for irrigation schemes,
sedimentation and floating trash problems, as well as soil degradation and desertification.
2.2.2 Nile Equatorial Lakes countries
Burundi is a small country located in the southwest of the region. Hosting the most southern
source of the Nile, Burundi encompasses 0.5% of its basin. About half (51%) of Burundi's
land area drains into the Nile basin, whereas the other half drains into Congo River. The
country is mountainous with high rainfall. However, the abundant water resources are used
by a high density of population. Environmental issues include progressive decline of the
water quality due to demographic pressure, deforestation and soil erosion, and high
sediment loads which affect hydropower generation.
DRC is a very large country in the southwest of the Nile basin, but includes only 0.9% of it.
Rainfall over most of the country is important and the abundant water resources drain into
Congo River basin. Only 1.2% of DRC’s land area drains into the Nile, but the population
density in this area is approximately five times higher than in the rest of the country. The Nile
waters from DRC flow into lakes Edward and Albert, which lie on the border between DRC
and Uganda. Environmental issues include high suspended solids loads in rivers and several
degraded wetlands. Water hyacinth problems are important in Kasai and Congo rivers, but
are not yet very significant in the Nile basin part of the country.
Kenya is located on the shore of Lake Victoria in the southeast part of the Nile basin, and
includes 1.4% of it. The portion of the country within the Nile basin is relatively small,
constituting about 10% of the country. However, the population density in this area is high
and represents about 40% of the country's population. Environmental issues in Kenya
include farming activities extended to steep hill slopes resulting in soil erosion and
sedimentation problems. Other environmental issues include the maintenance of water
quality, conservation of wetlands, and control of aquatic weeds in Lake Victoria.
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Rwanda is a small country located in the southwest of the Nile basin. It encompasses 0.7%
of the basin and about 80% of the country is located within the Nile Basin, while the
remaining portion drains into the Congo River basin. The country is mountainous with
relatively high rainfall. Rwanda is the country with the highest population density in the Nile
basin. The Kagera River which drains from Rwanda, as well as from Burundi, Tanzania and
Uganda, is the largest tributary to Lake Victoria. Environmental problems in Rwanda include
localized high sediment loads and toxic materials from mining, pollution from untreated
domestic sources, detrimental effect of aquatic weeds, as well as soil erosion and
desertification in the semi-arid areas.
Tanzania is one the largest country of the region located on the shore of Lake Victoria at the
southern end of the basin and includes 3.7% of it. In general, the country is relatively rich in
water resources, but water availability varies throughout the country. The Nile basin portion,
which represents 12% of Tanzania, is relatively humid, with above average population
density. Environmental problems in Tanzania include among others water pollution
aggravated by increasing population and economic activities, extensive clearing of forests
and bush fires resulting in soil erosion and high turbidity in surface waters.
Uganda is located in the
southern part of Nile
basin and encompasses
7.6% of it. Most of the
country (96%) lies within
the Nile basin. In
Uganda, Lake Victoria
discharges into the
Victoria Nile. Most of the
country has relatively
high rainfall. Surface water resources, therefore are relatively abundant, but the variability is
high too. Uganda serves as an important bridge country as it is downstream of DRC,
Rwanda, Burundi, Tanzania and Kenya and upstream of Sudan and Egypt. Important
environmental issues include land use changes which are having an increasing impact on
the quantity and quality of water and degradation of wetlands, the deterioration in water
quality and ecology of Lake Victoria and the Victoria Nile, proliferation of water hyacinth, and
pollution by toxic metals and other hazardous chemicals from mines. The increasing
Katonga river in Uganda
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encroachment in forested areas resulting in the loss of forest biomass and the drainage and
conversion of wetlands and forest biomass are a large concern in Uganda.
2.3 NBI strategic action program
The Nile Basin Initiative (NBI) is a partnership of the riparian states of the Nile. The NBI
seeks to develop the river in a cooperative manner, share substantial socioeconomic
benefits, and promote regional peace and security. The NBI begun with a participatory
process of dialogue among the riparians that resulted in the agreement on a shared vision:
to “achieve substantial socioeconomic development through the equitable utilization of, and
benefit from, the common Nile basin water resources,” and a Strategic Action Program to
translate this vision into concrete activities and projects1.
The NBI’s Strategic Action Program comprises two complementary programs: the basin-
wide Shared Vision Program (SVP) to build confidence and capacity across the basin, and
Subsidiary Action Programs (SAP) to initiate concrete investments and action on the ground
at sub-basin levels. The SVP, which focuses on building regional institutions, capacity and
trust, lays the foundation for unlocking the development potential of the Nile, which can be
realized through the SAP. These investment-oriented programs are currently under
preparation in the Eastern Nile and the Nile Equatorial Lakes Regions (ENSAP and
NELSAP).
The SVP includes seven thematic projects related to environment, power trade, agriculture,
water resources planning and management, applied training, communications and
stakeholder involvement, and macro-economics. An eighth project, the SVP Coordination
Project, aims at building capacity at the NBI Secretariat for program execution and
coordination. The SVP is being executed by the Secretariat of the Nile Basin (Nile-SEC) on
behalf of the Nile Council of Ministers (Nile-COM). In executing the program, the NBI is
supported by a Technical Advisory Committee (Nile-TAC) drawn from participating member
countries.
The Regional Power Trade Project (RPTP) is one of eight projects being implemented under
the SVP. The project aims to facilitate the development of regional power markets among
1. Nile Council of Ministers, Policy Guidelines for the Nile River Basin Strategic Action Program, February
1999.
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the ten Nile Basin countries and build analytical capacity and provide technical infrastructure
to manage the Nile basin resources in keeping with the Vision.
Cheap and reliable supply of electricity is a critical input for economic growth, employment
generation and poverty alleviation. As such, the long term objective of the RPTP is to
contribute to poverty reduction in the Region by assisting the NBI countries in developing the
tools for improving access to reliable and low cost power in the Nile basin in an
environmentally sustainable manner. An important element in achieving this goal is to create
an effective institutional mechanism to promote and develop power trade opportunities
among the countries participating in the Nile Basin Initiative. Facilitating the development of
a regional electricity market can play a key role in furthering co-operation among the Nile
basin states and in ensuring that the resources of the Nile Basin are developed and
managed in an integrated and environmentally sustainable manner.
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3 POWER SECTOR IN THE NBI COUNTRIES
This section presents the main features of the power sector in the NBI countries, which are
subdivided into the Eastern Nile and Nile Equatorial Lakes (NEL) countries. The current and
potential situations in the Eastern Nile countries are discussed on the basis of the Eastern
Nile Power Trade Program Study (EDF, March 2007), whereas the situation of the NEL
countries is based on the findings of the Strategic/Sectoral, Social and Environmental
Assessment of Power Development Options in the NEL Region (SNC Lavalin International,
February 2007).
3.1 Eastern Nile
3.1.1 Egypt
Egypt has a population of about 70 million inhabitants (2005). Its electric utility comprises
nine regional electricity distribution companies, five regional electricity generation companies
and one electricity transmission companies. All these companies are blended in the Egyptian
Electricity Holding Company (EEHC), under the Ministry of Electricity & Energy.
According to the 2005-2006 annual report of the Egyptian Electricity Holding Co (EEHC),
Egypt's installed generating capacity stood at 20.45 gigawatts (GW), with plans to add
8.38 GW of additional generating capacity by mid-2012. Around 85% of Egypt's electric
generating capacity is powered by natural gas, with the remaining 14% hydroelectric, mostly
from the Aswan High Dam. Wind-farm account for 1%. All oil-fired plants have been
converted to run on natural gas as their primary fuel, and thermal power plants now account
for roughly 65% of Egypt's total gas consumption.
Hydro plants in Egypt are distributed along the Nile (Figure 3.1), with High Dam upstream
using Nasser lake reservoir water, followed by Aswan I and Aswan II, both with a small
intermediate reservoir. Then, downstream, two run of the river power stations complete the
whole hydro system: Esna and Naga Hammadi (with a small power station that will be
replaced by a new one committed to 2007/2008).
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Figure 3.1 Hydro scheme for the existing hydropower plants in Egypt
�
�
�
�
� New Naga Hammadi HPP (64 MW )
Q (2072 m3/s)
High Dam
High Dam HPP (1750 MW )
Aswan Dam (intermediate lake)
Aswan I HPP (322 MW )
Aswan II HPP (270 MW )
Irrigation (103 m3/s)
Esna Dam
Esna HPP (88 MW )
Irrigation (126 m3/s)
New Naga Hammadi
Source: Eastern Nile Power Trade Program Study (EDF, March 2007)
In Egypt, peak demand increased from 5,400 MW (1985/1986) to 17,300 MW (2005/2006).
In the same period, energy generated increased from 32 TWh to 108 TWh, with a growth
rate of 7% in the last ten years (EDF, 2007).
Egypt is interconnected with Libya and Jordan, for emergency situations and for power trade
between Egypt and Jordan. Exports and imports measured from 2003 to 2005 represented
less than 1% of total Egyptian electrical generation, but 20% of Jordanian generation. An
export balance of 20 GWh to Lybia and of 680 GWh to Jordan were measured in 2004/2005.
The existing transmission system is equipped with a double circuit 500 kV backbone along
the Nile river, from Aswan Dam (2,100 MW) to Cairo, and a single circuit (500 KV) from
Cairo to the interconnection with Jordan. A 132 kV and 220 kV circuit follows the 500 kV
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backbone along the Nile river. The delta zone is supplied with a meshed 220 kV network,
and extends towards west to Libya with a double circuit interconnection.
3.1.2 Sudan
Sudan has a population of 35 millions inhabitants (2005). Its electrification ratio is one of the
lowest in the world, estimated at about 19% of households with electricity supply (EDS,
2007).
The power installed capacity in Sudan is about 840 MW, the majority of electricity being
generated by conventional thermal sources (59%), with the remainder coming from
hydroelectricity (41%) (EDS, 2007). The country's main hydroelectricity generating facility is
the 280-MW Roseires dam located on the Blue Nile river basin, approximately 550 km
southeast of Khartoum.
According to NEC master plan, 55% of the power plants identified as committed contributors
to the Sudan generation expansion plan are thermal (mainly steam plant) whereas 45% are
hydropower plants.
The National Electricity Corporation (NEC) is responsible for electricity generation,
transmission and distribution in Sudan. NEC transmits electricity through two interconnected
electrical grids, the Blue Nile Grid and the Western grid, which cover only a small portion of
the country. Regions not covered by the grid often rely on small diesel-fired generators for
power (figure 3.2).
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Figure 3.2 Map of Sudanese Grid
Source: Eastern Nile Power Trade Program Study (EDF, March 2007)
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3.1.3 Ethiopia
Ethiopia has a population of about 75 million inhabitants (2005). Its energy consumption per
capita of 28 kWh is also one of the lowest in the world. Access to electricity is estimated at
17% of the households.
According to the Eastern Nile
Power Trade Program Study. the
Interconnected System of Ethiopia
has a total installed capacity of
766.9 MW (end of 2006) including
96.3 MW of diesel plants at Dire
Dawa, Awash, and Kaliti, and a
geothermal plant at Aluto-Langano
(7.3 MW). The vast majority of
Ethiopia's existing capacity (87%) is hydroelectric. The EEPCO, the state-owned
organisation responsible for electricity generation, plans to construct several new generating
facilities to provide electricity to Ethiopia. Currently, less than half of Ethiopia's towns have
access to electricity, though EEPCO electrified more than eighty towns between 2001 and
2003. Since most of Ethiopia's electricity is generated from hydroelectric dams, the country's
power system is vulnerable to extended droughts. Ethiopia recently endured more than six
months of power cuts due to low water levels in dams around the country.
EEPCO is rapidly expanding its generating capacity. The 73-MW Tis Abay 2 facility, located
on the Blue Nile (Abay) was commissioned in 2001. The 192-MW Gilgel Gibe hydroelectric
facility began its operations in 2004. EEPCO has begun the construction of new
hydroelectric generating facilities at Tekeze (300 MW) and Gilgel Gibe II (420 MW) that are
expected to be in operation in 2008 (see figure 3.3).
In addition, Beles and Yayu coal plants are sought to be on line by 2009 and 2010
respectively.
The Gojeb power plant is Ethiopia's first Independent Power Project (IPP). This 150-MW
hydroelectric plant was built in western Ethiopia and started commercial operation in 2004.
Agreements on additional IPP projects were signed in June 2001. The largest facility will be
the 162-MW Genale hydroelectric facility located on the border between the Oromia Region
Power substation in Ethiopia
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and the Southern Peoples Nationalities Regional State. The plants will be built under the
Build-Operate-Transfer (BOT) system. ENERCO will operate the facilities for 30 years, which
could be renewable for another 30 years.
3.1.4 Ethiopia-Sudan Transmission Interconnection Project
The Ethiopia-Sudan Transmission Interconnection Project is being implemented under the
Nile Basin Initiative under the supervision of the Eastern Nile Technical Regional Office
(ENTRO) representing the Eastern Nile countries of Ethiopia, Egypt and Sudan. The Project
forms part of the Program on Integrated Development of the Eastern Nile.
The Project involves the construction of a double circuit 230 kV transmission line from
Ethiopia to Sudan in order to utilise surplus hydropower from Ethiopia to replace oil-based
thermal generation in Sudan. The interconnection would also provide benefits of common
reserves in emergency cases (electricity could be transferred from Sudan to Ethiopia under
severe hydrological conditions in Ethiopia) and achieve considerable savings in timing of
power plants in the long run. Three alternative routes have been investigated and the
recommended route is approximately 446 km long, starting from Bahir Dar in Ethiopia and
connecting to the El Gedaref Substation in Sudan via the border towns of Metema and
Gallabat.
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Figure 3.3 Existing and Committed Hydropower Plants in Ethiopia
Source: Eastern Nile Power Trade Program Study (EDF, March 2007)
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3.2 Nile Equatorial Lakes
The East African Power Master Plan Study (BKS Acres, 2005) and the Strategic/Sectoral,
Social and Environmental Assessment of Power Development Options in the NEL Region
(SNC Lavallin, 2007) provide details on the existing situation of the power sector of the NEL
countries and on potential power projects.
3.2.1 Current Situation of the Power Sector
In 2007, installed electric generating capacity for the Great Lakes region totalled about
1,914 MW (SNC-Lavallin, 2007), the majority being hydropower. In the framework of the
East African Community (EAC), Kenya, Tanzania and Uganda are developing plans to share
power supplies, including the EAC Power Master Plan that will enable any EAC country to
connect with another nation's electricity supply. Burundi and Rwanda have recently joined
the EAC and will therefore participate in the interconnection plan. Among the nations of the
region, Uganda has the biggest hydropower potential (from the Nile River) and could play a
major part in any power-sharing project.
The electricity demand in Uganda is supplied by two main hydroelectric plants, i.e.
Nalubaale (180 MW) and Kiira (200 MW) generating stations, both located about 3 km
downstream from the mouth of the Victoria Nile. Other small hydro generating plants include
Maziba (1 MW) and Kikagati (1.25 MW but not in operation) located in the southwest,
Kilembe Mines (5 MW) and Kasese Cobalt (10 MW) plants, privately owned, located in the
west. There are three other micro hydro plants. The Bujagali expansion hydro project and
Karuma hydroelectric power station will add an additional 200 MW each to the national grid.
The main transmission voltage in Uganda is 132 kV with the sub-transmission system
operating at 66 kV. Generation at Nalubaale and Kiira is transmitted to the east via a
117 km double circuit 132 kV transmission line to the Tororo substation at the border with
Kenya. The double circuit line continues to Lessos substation in Kenya. From the Tororo
substation a 132 kV transmission line extends 260 km to the northwest to supply the town of
Lira. To the west of Nalubaale and Kiira, a double circuit line and a single circuit line serve
the load centre of Kampala and the west of the country. A 132 kV line crosses the
Tanzanian border and supplies the Kagera region in Tanzania.
The interconnected system in Kenya has a total installed capacity of 1,232 MW made up of
707 MW of hydro, 398 MW of thermal, 127 MW of geothermal, and 0.35 MW of wind.
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KenGen, the government owned utility, owns 83% of the generation while independent
power producers own the remaining 17% of the effective capacity (BKS Acres, 2005).
Generation capacity is expected to be enhanced when ongoing committed generation
projects with a combined capacity of 556MW are commissioned between 2007 and 2010
(KPLC Annual report 2006-2007).
There are seven cascaded hydro stations along the Tana River with a total installed capacity
of 565 MW and these stations range in size from 7.4 MW to 225 MW. The other major
station is the Turkwel hydro station completed in mid 1991 and with an installed capacity of
106 MW.
Kenya has two steam stations, the Olkaria renewable power station (45 MW) and the Kipevu
Thermal Station (45.5 MW). Nairobi is promoting additional geothermal power, and plans to
commission at least six geothermal power plants, with a combined capacity of 3,894 MW.
The government has also identified the northern Kenyan town of Marsabit as a potential site
for installation of a wind-powered electricity generation site that would add 4,400MW to the
national grid.
Kenya’s transmission system comprises 220 kV, 132 kV and 66 kV transmission lines. The
system load is concentrated in Nairobi and Mombasa. From Mombasa, a single circuit
132 kV transmission line runs northwest to Nairobi (440 km). From Nairobi a double circuit
132 kV line extends to the Ugandan border and then continues to Nalubaale hydropower
station in Uganda passing by Olkaria I and II and Lessos.
The Tanzanian system comprises six hydro plants at Mtera, Kidatu, Hale, Pangani Falls,
Nyumba ya Mungu and Kihansi. The total effective hydro capacity of the grid system is
555 MW. The installed capacity of thermal generating sets within the Tanzania grid has
increased to 302 MW after the inclusion of 100 MW from an independent power producer i.e.
Tegeta thermal power plant which started commercial operation in January 2002. The
largest thermal plant is located at Ubungo and is fired by natural gas from Songo Songo.
The transmission voltages in Tanzania are 220 kV, 132 kV and 66 kV, but most energy is
carried out on the 220 kV system. Dar es Salaam is the major load centre.
At this time there are no new hydro projects that have been committed. Due to drought,
Tanzania is experiencing some power shortages and there is an emergency power plan to
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alleviate the shortage. This plan provides for addition of two 40 MW gas fired combustion
turbines located near or at Ubungo.
DRC has extensive potential hydroelectric capacity of approximately 100,000 MW. Due to
continuing political uncertainties and the resulting lack of investor interest, only a fraction of
this amount has been developed. In 2003, the DRC had a total installed generating capacity
of 2,568 MW. However, actual production is estimated at no more than 600-700 MW
because two-thirds of the turbines are not functioning. In May 2006, MagEnergy (Canada)
began overseeing the refurbishment and rehabilitation work on Inga Dam, which is operating
at 40%. The repairs should allow Inga to work at full capacity (1,774 MW) by 2010. DRC
exports hydroelectricity to its neighbour, Republic of Congo along a 220-kilovolt (KV)
connection. The interconnection supplies nearly one third of the electricity consumed in
Congo-Brazzaville. Power from Inga is also transmitted to the Zambian grid along a 500-KV
DC line from Inga to Kolwezi in southern DRC, and a 220-KV line from Kolwezi to Kitwe in
northern Zambia. South Africa also imports DRC's energy output through the Southern
African Power Pool (SAPP) grid.
In Burundi and Rwanda, most of the electricity produced is generated through
hydroelectricity. Hence, the highly variable climate in central and eastern Africa exposes the
power systems of the two countries to great fluctuation in hydropower generation. This has
resulted in power rationing of various degrees being introduced in recent years. Even in wet
years, there is insufficient reliable energy for supplying new customers and rural
electrification. Industrialization processes and, hence, their economic development are
severely constrained by the lack of power. The installed capacity in Burundi and Rwanda
totals 37 MW and 41 MW respectively (SNC Lavallin, 2007).
3.2.2 NELSAP Power Development Strategy
The Strategic/Sectoral, Social and Environmental Assessment (SSEA) of Power
Development Options in the Nile Equatorial Lakes Region (SNC Lavallin International, 2007)
provides a foundation for planning the development of the power sectors of the region as it
contains a proposed development strategy and a NELSAP indicative development plan to
the year 2020. It is based on a review of the current environmental and social context, the
existing legal and regulatory framework, an assessment of the power needs for the region,
an identification of the power development options available in the region and a comparison
of these options in terms of environmental, socio-economic and risk considerations. It also
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takes into account the conclusions and recommendations of the East African Power Master
Plan Study (BKS Acres, 2005).
The following are specific recommendations for a NELSAP Indicative Power Development
Strategy based on a medium load growth scenario. Because of the long time required for the
construction of power development options, there is little that can be done to improve the
power supply situation other than to implement options already committed or under
construction and to install units that can be built quickly such as diesel and gas turbine units
as well as combined cycle plants, which use expensive fuels. Therefore, the following
options, as illustrated on Figure 3.4, are proposed to be implemented during the period 2009
to 2020:
• Gas turbines, combined cycle units and diesel plants (250 MW) in Tanzania;
• Geothermal plant (140 MW) in Kenya;
• Kivu gas engine #2 and # 3 (60 MW) in Rwanda and DRC;
• Rusumo Falls hydropower (62 MW) in Burundi, Rwanda and Tanzania;
• Bujagali 1 to 5 hydropower (250 MW) in Uganda;
• Kabu 16 hydropower (20 MW) in Burundi;
• Kakono hydropower (53 MW) in Tanzania;
• Ruzizi III hydropower (82 MW) between Rwanda and DRC;
• Gas turbines (60 MW) in Kenya;
• Ruhudji hydropower (358 MW) in Tanzania;
• Karuma hydropower (200 MW) in Uganda;
• Wind plants (50 MW) in Kenya;
• Coal-fired plants (200 MW) in Tanzania;
• Coal fired plants (450 MW) in Kenya.
The East African Community Master Plan has proposed a substantial investment in lines
within each of the EAC countries. In addition, the plan proposes two interconnection lines:
• 330 kV transmission line Arusha – Embakasi (Nairobi); and
• Double circuit 220 kV transmission line Tororo – Lessos.
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The following interconnection lines were also proposed by the NELSAP SSEA:
• 110 kV line from Kigoma, Rwanda to Rwegura, Burundi;
• 132 kV line from Kabarondo, Rwanda passing near Ngara to Biharamuro in the Kagera Province of Tanzania;
• 132 kV line from near Ngara, Rwanda to Gitega, Burundi; and
• 110 kV line from Gitega, Burundi through Bururi to Kigoma, Tanzania.
The DRC has also proposed substantial investments in transmission lines, primarily to
interconnect with neighbouring countries and to evacuate power from new or rehabilitation
options being considered. These lines include:
• 70 kV from Ruzizi, DRC to Bujumbura, Burundi to be upgraded to 110 kV;
• 70 kV from Bukavu to Goma, both in the DRC to be upgraded to 110 kV;
• 110 kV line between Goma and Beni via Butembo;
• 110 kV line between Mukungwa, Rwanda and Goma, DRC, then on to the proposed hydro plant of Mugomba in Uganda;
• a line between Beni and Bunia to be connected to the exiting plant at Budana and the proposed plant at Semliki;
• lines from the Mpiana Mwanga and Kiyimbi plants to the Ruzizi- Bujumbura line;
• a submarine cable linking Kalemie, DRC to Kigoma, Tanzania.
The location of some of these lines was based on the assumption that the Rusumo Hydro
option would be built. As currently proposed, it includes transmission lines from the site to
Gitega, Burundi; Kabarondo, Rwanda; and Biharamuro, Tanzania.
The power options prevailing in the development strategy consist of hydropower and thermal
power plants as well as interconnection transmission lines. Other types of options such as
wind farms, geothermal plants and other renewable energy (solar) have a limited capacity,
are planned for local needs and do not involve trade with neighbouring countries (regional
power market).
!\
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SUDAN
DEM. REP.OF CONGO
ETHIOPIA
KENYA
UGANDA
TANZANIA
BURUNDI
RWANDA
BUJUMBURA
KAMPALA
KIGALI
NAIROBI
Mtera
Tsavo
Kyimbi
Tegeta
Kidatu
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Mkumbara
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Ruzizi I
Bujagali
Menengai
Rumakali
Masigira
Bujumbura
Ruzizi II
Mchuchuma
Owen Falls
Ruzizi III
Sondu Miriu
Kakono High
Rusumo Falls
Piana Musanga
Lower Kihansi
Upper Kihansi
Geothermal Field
Nyumba Ya (Mungu)
Complexe tana (7)
NYUNZU KALEMI
Baraka
GOMA
EMBUNYERI
NAKURUKISUMU
MOMBASA
KERICHO
NANYUKI
ELDORET
MACHAKOS
TANGA
MOSHI
IRINGA
DODOMA
TABORA
ARUSHA
MWANZA
Musoma
Mufindi
SINGIDA
MOROGORO
SHINYANGA
DAR ES SALAAM
Lira
Lusu
Kivu
Kydia
Kiwoko
Lessos
Masaka
Bukoba
Gitega
Njombe
Masindi
Mbarara
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Makambako
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Biharamuro
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IND
IAN
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!\ National Capital
Major City, Town
International boundary
River
Lake
Nile Basin
Nile Basin Country
Existing Stations
!(H Hydropower Station
!(G Gas Turbine
!(F Fuel Power Plant
Proposed Stations
!(HHydropower Station (including transmission)
!(G Gas Turbine
!(TG Geothermal Power Plant
!(C Coal Power Plant
!(M Methane Power Plant
!(W Wind Farm
Shown Main Existing Transmission Line
Proposed New Transmission Line
Proposed Upgrating of Voltage of Existing Transmission Line
LakeVictoria
LakeAlbert
LakeEdward
LakeKivu
LakeTanganyika
LakeKyoga
LakeTurkana
LakeNyasa
LakeRukwa
Review of EIA Frameworks and Procedures in Regional Power Investment Projects
REGIONAL DEVELOPMENT OF POWER AND TRANSMISSION
REQUIREMENTS TO 2015IN NEL COUNTRIES
Source :
SNC-Lavalin, 2007
WGS 84
February 2008
0 50 100 150 200 km
Figure 3.4
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4 ENVIRONMENTAL AND SOCIAL FRAMEWORK AND PROCEDURES IN THE NILE BASIN COUNTRIES
The environmental and social policies, legislative frameworks and procedures include all
available information related to environmental assessment (EA) of power projects in the NBI
countries. Table 4.1 presents the environmental and social issues related to EA of regional
power investment projects for which information has been collected in the NBI countries.
This section summarises the review of how these environmental and social issues are
considered by each NBI country.
Appendix 1 and 2 present respectively the list of documents examined and the stakeholders
consulted in the different NBI countries to carry out the review of the EA frameworks and
procedures in the Nile basin countries.
The detailed analytical grids on these issues have been presented in the document that was
prepared specifically for the mid-term workshop that was held in the framework of this study,
and validated by the representatives of the Nile basin countries environmental agencies
attending this workshop held in October 2007 at Dar es Salaam, Tanzania.
Table 4.1 EA-related issues of regional power projects
Environmental subjects
1 Environmental policy
2 Environmental and social assessments procedures and regulation
3 Water resources management policy
4 Climate change policies and regulation
5 Forest conservation / Biodiversity policy and regulation
6 International environmental treaties and conventions
Social subjects
7 Land issues and resettlement policy
8 Poverty reduction strategy and socio-economic development
9 Public health (especially water-borne diseases and HIV/AIDS) policy
10 Vulnerable groups including women policy
11 Historical and cultural sites policy and regulation
12 Indigenous communities policy
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4.1 Environmental policy
Almost all NBI countries have adopted environmental policies and laws in the last ten years.
These environmental laws require to carry out the EIA of projects likely to cause
environmental impacts. Only the DRC does not have yet a framework law on the
environment or a set of environmental policies. However, the Environment Framework Law
and the Water Act of DRC are currently in preparation.
The protection and improvement of the environment are integral part of the environmental
strategies in the NBI countries. The policies, strategies and sectoral economic plans
established on a national scale must consider the environment and sustainable development
in their objectives using the action plans identified within this framework, including:
• Rationally use natural resources and ensure their environmental sustainability;
• Develop strategies of protecting and reducing negative effects on the environment;
• Adopt production technologies that do not involve environmental pollution;
• Dispose waste and residues in areas and under conditions established by law;
• Integrate environmental protection in their projects;
• Promote the social welfare of the population considering equal distribution of the existing wealth;
• Consider the durability of the resources with an emphasis especially on equal rights on present and future generations.
Sustainable development, which is a key condition to access to the Clean Development
Mechanism (CDM), is not systematically addressed by NBI countries policies. However,
Tanzania’s National Environmental Policy highlights sustainable development as its core
concept. In DRC, the Ministry of Environment is in charge to implement the orientations of
Nile River in Egypt
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the Forestry Law as far as sustainable development is concerned, including the questions of
climate change, deforestation, land degradation and biodiversity conservation.
4.2 EIA procedures and regulations
Burundi, Rwanda and Sudan have no specific EIA regulations, but only general principles
in the environmental law. In general, the law of these countries specifies that when projects,
plans or programs pose a potential risk of harming the environment including the population,
the governmental authorities will require an environmental impact study in order to assess
the impacts of the project and to identify the appropriate mitigation measures. It also
provides the contents of an environmental impact assessment report and specific details on
the responsibilities. In Sudan in particular, EIAs and SIAs (strategic impact assessment)
guidelines are in preparation under a capacity building project. However, any development
project should be subjected to EIA.
RDC does not have a specific EIA procedure regulation. However, a handbook of
environmental and social assessment procedures has been published in September 2006
within the framework of the Programme Multisectoriel d’Urgence de Rehabilitation et de
Reconstruction (PMURR) funded by the World Bank. This handbook provides all the
procedures to carry out when a sub-project of the program is submitted to the EIA
framework.
Egypt has a comprehensive EIA procedure that is managed by the Egyptian Environmental
Affairs Agency (EEAA). Law No. 4 states that the environmental impact of certain
establishments or projects must be evaluated before any construction works are initiated or
a license is issued by the competent administrative authority or licensing authority. The
Executive Regulations relating to Law No. 4 identifies the types of establishments or projects
which must be subjected to an EIA based upon the following main principles:
1. Type of activity performed by the establishment.
2. Extent of natural resources exploitation.
3. Location of the establishment.
4. Type of energy used to operate the establishment.
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The procedure involves a flexible screening system and projects are classified into three
groups or classes reflecting different levels of environmental impact assessment according
to severity of possible environmental impacts:
• White list projects for establishments/projects with minor environmental impact.
• Grey list projects for establishments/projects which may result in substantial environmental impact.
• Black list projects for establishments/projects which require complete EIA due to their potential impacts.
The level of the EIA study to submit depends of the list in which the project falls. All power
projects fall into the black list and therefore require a full EIA report. For hydropower and
thermal power plants projects, the EEAA has prepared EIA guidelines. The decision taken
by the authorities regarding the assessment and/or the proposals required to be
implemented as considered necessary by the EEAA can be appealed by the developer
within 30 days after receiving such decision. However, the classification according to
environmental impacts of the projects (white, grey or black) cannot be appealed.
Ethiopia has a comprehensive EIA procedure similar to Egypt, through the 2002 EIA
Proclamations and the 2003 Environmental Impact Assessment Procedural Guideline. The
EIA framework provides lists of projects that require a full EIA, projects that require a
preliminary environmental impact study and projects that may not require environmental
impact assessment. All projects in environmentally sensitive areas should be treated as
equivalent to Schedule 1 (projects requiring full EIA). Such areas include:
Nile River in Sudan
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• Land prone to erosion;
• Land prone to desertification;
• Areas which harbour protected, threatened or endangered species;
• Areas of particular historic or archaeological interest;
• Primary forests;
• Wetland of national or international importance;
• National Park and protected area;
• Important landscape;
• Religiously important area.
In Kenya, the Environmental Management and Coordination Act (1999) make EIA
mandatory for all projects specified in the Act. The process begins by the proponent who
submits plans for the project and proposes terms of reference for the environmental impact
study to the National Environmental management Authority (NEMA), which reviews the
plans and terms of reference, determines whether a shorter procedure “Project Report” is
sufficient, or whether a full Environmental Impact Assessment Study must be carried out.
The environmental impact study is carried out according to the terms of reference and
NEMA issues statement on the project and the study to be public in the gazette and in
newspapers of national circulation and in local areas of the project. NEMA also circulates the
report to lead agencies and key stakeholders, before reviewing the report and comments
made by stakeholders and public, suggests amendments and additions. If no consensus can
be reached with respect to opposing interests of stakeholders, NEMA will conclude
conditions in the environmental permit to solve these as part of the project.
Finally, NEMA issues environmental permits for the project according to the report, including
Environmental Management Plan, eventual Resettlement and Compensation Plan, and
eventual conditions, or refuses environmental permit. The whole process is completed in a
little more than three months.
Tanzania’s environmental registration and regulations of 2005 and the EIA and Audit
Regulations of 2005 and guidelines provide guidance and basis for performing
environmental assessments and regulation. Under these regulations, environmental experts
should be registered with the National Environment Management Council (NEMC).
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In Tanzania, EIA is mandatory for projects proposed to be developed within or in proximity to
environmentally sensitive/critical areas (ESA), which are areas that are known from
experience to be fragile or valuable environment that can be easily harmed or destroyed by
effects of the intended development. EIA is also mandatory for projects listed in Appendix 1
of the EIA Guidelines. The definitions in this appendix incorporate an indication of scale, in a
form of quantified threshold, which clearly identifies the projects requiring EIA. For projects
listed in Appendix 2 of the Guidelines, a preliminary EIA is to be carried out to determine
whether a full EIA is needed or not. EIA is required if the particular project in question is
judged likely to give rise to significant environmental effects after that preliminary
assessment.
The proponent prepares a scoping report and terms of reference for environmental impact
assessment of a proposed project and submits to the NEMC for approval. During the
baseline study, adequate stakeholder participation must be engaged and the impact
assessment shall follow appropriate techniques and approaches as specified in the
guidelines issued under the regulations. Concerns and views from stakeholders must be
carefully taken into account during assessment of impacts and all possible alternatives and
their impacts must be assessed. The most appropriate option must be recommended. The
proponent shall also prepare an environmental and social management plan with details
about institutional responsibilities, monitoring framework, parameters indicators for
monitoring and costs of monitoring when appropriate. The Environmental Impact Statement
must be accompanied with non-technical summary in both Kiswahili and English languages.
Finally, Uganda’s has also a comprehensive EIA framework. The Environmental Impact
Assessment Regulations (1998) were enacted by the National Environment Act to make
operational the requirements for carrying out environmental impact assessments. They
contain detailed procedures for undertaking environmental impact assessments, impact
studies as well as environmental audits and monitoring. Since projects related to power
projects require large construction, they are subjected to environmental impact
assessments.
These regulations shall apply to all projects included in the Third Schedule to the Act. They
also apply to any major repairs, extensions or routine maintenance of any existing project
which is included in the Third Schedule to the Act. No developer shall implement a project
for which environmental impact assessment is required under the Act and under these
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regulations, unless the environmental impact assessment has been concluded in
accordance with these regulations.
Except as provided for in the Act and these regulations, a licensing authority under any law
in force in Uganda, shall require the production of a certificate of approval of environmental
impact assessment before issuing a license for any project identified in accordance with sub-
regulation of this regulation. An inspector may, at all reasonable time, enter on any land,
premises, or other facilities to determine whether a project has complied with the
requirements for environmental impact assessment under the Act.
4.3 Water resources management policy
Water resources management in the NBI countries is a critical issue for the socio-economic
development of each country and of the region as a whole. To this end, the NBI seeks to
develop the river in a cooperative manner, by developing the Nile Basin water resources in a
sustainable and equitable way and ensuring efficient water management and the optimal use
of the resources.
In Burundi, the Law regulates the use of water resources, including licensing, management
and quality standards. In addition, the Environment Code (2000) makes it explicit that works
and construction likely to modify the hydraulic network ecosystem must be subject to the EIA
procedures and cannot be carried out until there is an agreement with the Minister in charge
of Environment.
In DRC, a draft water code is under discussion. However, the Loi du 20 juillet 1973 portant
régime general des biens, régime foncier et immobilier states that nobody can pollute water
or divert it, which means that all pollution actions must be avoided or remedied through
antipollution measures.
In Egypt, the Ministry of Water Resources and Irrigation (MWRI) has prepared a National
Water Policy till the year 2017 including three main themes: (i) optimal use of available water
resources, (ii) development of water resources, and (iii) protection of water quality and
pollution abatement.
Water Quality is separately addressed by two laws and three decrees, the most important
ones being Law No. 48 of 1982 on Protection of Nile and its waterways and Law 96 of 1962
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concerning disposal of wastewaters to municipal sewers. Law 4 of 1994 on Environment
plays a significant role in the management and protection of water quality.
Ethiopia’s Water Resource Management Policy (EWRMP) was set up in 1999. Its objective
is to enhance and promote efforts towards an efficient, equitable, and optimum utilization of
the available water resources and contribute to the country's socioeconomic development on
a sustainable basis.
Kenya’s Water Act of 2002 provides the institutional and legal framework for implementing
the National Water Policy and is the basis of the country's water sector reform currently
under implementation. The Water Act of 2002 aims at providing a harmonized and
streamlined management of water resources and water supply and sewerage services. The
current reform involves the separation of water resources and water and sewerage service
provision. It vests all Kenyan water resources in the State and specifies how rights to water
usage may be acquired. It creates a corporate body called the Water Resources
Management Authority that will, in particular, receive and determine applications of permits
for water use. It also creates a Regulatory Board, called the Water Services Regulatory
Board, with powers over the provision of water services.
Rwanda has a sectoral Policy on Water and Sanitation and a Water Act under preparation.
The objective of the law is to define the applicable rules to the use, conservation, protection
and management of water resources.
Sudan has a water policy which objectives are: (i) Review and adapt water policy to meet
changing circumstances within the country, (ii) ensure that the water resources of Sudan are
properly managed, protected and efficiently utilized for the benefit of all, (iii) provide the
basis for the on-going development of water related regulations and legislation, and (iv)
strengthen and clarify the functions and responsibilities of water related institutions in both
the public and private sectors in Sudan.
Tanzania’s policy for Water Resources Management has the objective to promote the
sustainable and equitable development and use of water resources. Finally, Uganda has a
Water Policy and Water Act which provide for the use, protection and management of water
resources and supply.
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4.4 Climate change policies
All NBI countries have ratified the United Nations Framework Convention on Climate
Change (UNFCC) and are non-annex 1 parties to that Convention. They have also all ratified
the Kyoto Protocol. Burundi, DRC, Rwanda, Sudan and Tanzania have developed their
National Adaptation Plan of Action that identifies various strategies in each sector of the
economy depending on vulnerability to climate change.
Burundi has set up a National
Strategy of implementation of
the UNFCC, especially for the
energy sector by prioritizing
hydroelectricity and increasing
solar energy.
Egypt has developed its own
Clean development Mechanism
Strategy undertaken in
collaboration with the Ministry
of State for Environmental
Affairs and Egyptian
Environmental Affairs Agency
(EEAA). Egypt’s strategy on the
CDM aims at mainstreaming
environment into the relevant
sectors and minimizing the
environmental impacts of
development, through
identification of priority policies
and planning for their
implementation.
The objective of Egypt’s CDM strategy is to develop options and opportunities presented by
potential international markets for greenhouse gas (GHG) emission reductions through the
Clean Development Mechanism (CDM) of the Kyoto Protocol and to identify the institutional
Sand and salt crust
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prerequisites needed to participate in the CDM. In order to achieve these objectives, the
strategy provides:
• An overview on existing work and earlier initiatives in GHG emission abatement and the CDM in Egypt;
• An assessment of the potential for CDM projects in Egypt in the energy, industry, transportation, solid waste management and forestry sectors;
• An assessment of the demand, size and prices in the international market for emission reductions from CDM projects and the identification of Egypt’s opportunities in the market;
• Options and recommendations for the development of the institutional framework and the identification of key capacity building needs that will enable Egypt’s participation in the CDM;
• A portfolio of possible CDM projects to facilitate prompt start of the CDM in Egypt.
Ethiopia has developed general sectoral policies which relate to climate change. In Kenya
and Tanzania, the need to reduce greenhouse gases emissions is indirectly addressed in
energy and environmental laws and in Uganda, the need to reduce greenhouse emissions is
specifically addressed in the National Environment Management Policy.
4.5 Forest conservation / Biodiversity
Most NBI countries have a
Forestry Code, mostly those
of the Nile Equatorial Lakes
where forest is abundant, to
ensure sustainable forest
management. In DRC for
example, the Forestry Code
indicates that the
government will improve
environmental management
and calls for the adoption of
specific regulations for that purpose. The Code includes the obligation to consult affected
populations but does not explicitly provide for EIAs even if it mentions that EIA are part of
modern management of forestry resources. In general, the Forest Code of NBI countries set
the rules and regulations governing the management, exploitation and monitoring of forests
as well as the forest police force.
Waterfall in Uganda
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In addition, most NBI countries have ratified the 1992 Convention on Biological Diversity
prepared during the Earth Summit at Rio, and have developed national strategies and action
plans for conservation of biodiversity, including the establishment of protected areas
networks.
4.6 International environmental treaties and conventions
The NBI countries are party to several international conventions and protocols that deal with
the environment. The most important related to power projects are:
• United Nations Framework Convention on Climate Change and
Kyoto Protocol
• Convention Relative to the Preservation of Fauna and Flora in their Natural State
• International Plant Protection Convention
• African Convention in the Conservation of Nature and Natural Resources
• Convention on Biological Diversity
• Convention on Wetlands of International Importance especially as Waterfowl Habitat (RAMSAR).
• Convention for the Protection of the World Cultural and Natural Heritage
4.7 Land issues and resettlement policy
Land issues and expropriation procedures are regulated by land related
laws in all NBI countries. However, there are differences from one country
to another.
In some cases, the laws are quite old. For instance in Sudan, the Land
Registration and Settlement Act was enacted in 1925. The Land
Acquisition Act, enacted in 1930, outlines detailed procedures to be
followed in the acquisition of land and rules governing payment of
compensation of land for public purposes.
In other cases, the land regulations are entangled and land issues can not be adequately
addressed. For instance, Kenya does not have a clearly articulated land policy and hence
Nile River delta
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important land issues such as land use, management, tenure, reforms, environmental
protection, planning and conflict resolution are currently inadequately addressed through the
existing system. Land administration is operated on the basis of outdated legal framework
and many legislations, making conveyance a nightmare.
The situation is different in Tanzania where the land policy has been updated in 1999 when
the village land act was formulated. However, there still remains confusion in the operation
of land policy issues related to customary laws. In Tanzania, there is no resettlement act but
the World Bank regulations are followed when resettlement issues arise in projects
particularly those financed by the World Bank.
In most countries, the
existing laws specify the
expropriation procedures in
the case of public utility
interest projects such as
dams or infrastructure
projects. In some countries,
compensation rates are
determined. However, in
most case the existing
compensation rates and
laws do not cover all aspects of involuntary resettlement such as income restoration of
livelihoods and living standards. This situation affects negatively the standard of living of the
affected people, in some cases resulting into impoverishment.
Ethiopia does have a national resettlement and rehabilitation policy framework which
addresses the importance of compensation payments for the loss of assets at replacement
costs, giving opportunities to locals to share project benefits and assisting Person Affected
by a Project (PAP) in relocation / rehabilitation.
In many countries, resettlement policy frameworks complying with national regulation and
the World Bank safeguard policy OP 4.12 applying to involuntary resettlement, have been
developed lately in specific projects funded by multilateral development banks. For instance:
Kibera - Kenya
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• In 2003, the “Ministère de l’Agriculture et de l’Élevage” of Burundi has developed a Resettlement Policy Framework within the Projet de Réhabilitation et d’Appui au Secteur Agricole du Burundi (PRASAB);
• In 2006, the “Ministère du Plan” of the Democratic Republic of Congo has developed a Resettlement Policy Framework within the “Projet d’Urgence d’Appui à l’Amélioration des Conditions de Vie” (PUAACV);
• In 2006, the “Ministère des Infrastructures” of Rwanda has developed a Resettlement Policy Framework within the “Projet d’Infrastructures et de Gestion Urbaine (PIGU).
However, these frameworks only apply to the concerned projects. They do not constitute
national legal frameworks for involuntary resettlement.
4.8 Poverty reduction and socio-economic development
With the assistance of multilateral development banks mainly the World Bank and the
International Monetary Fund, most of the countries have developed poverty reduction
strategies summarized in a “Poverty Reduction Strategy Paper” (PRSP). These papers
describe a country's macroeconomic, structural and social policies and programs to promote
growth and reduce poverty. They are prepared by governments through a participatory
process including the civil society. In addition, there have been constant reviews to update
the process for better performance. The countries PRSP can be consulted through the
following link:
http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTPOVERTY/EXTPRS/0,,menuP
K:384207~pagePK:149018~piPK:149093~theSitePK:384201,00.html
All the poverty reduction strategies are aimed to the achievement of the Millennium
Development Goals by 2015. The poverty reduction strategies are the core objectives of the
socio-economic development of all countries.
The specific objectives and means of the strategies vary from one country to another
depending on the country’s baseline situation and priorities in terms of socio-economic
development. However, some general objectives are shared by most of the countries:
• Promote good governance and security: strengthening the rule of law, reforming the justice system, increasing the democratic culture, promoting efficient public administration, pursuing decentralization, tackling corruption, improving security in certain countries through demobilization and disarmament of militants.
• Promote stable, sustainable and equitable economic growth: revitalizing of agriculture as this sector is the source of livelihood of most of the population.
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Agriculture is also believed as a potential source to generate primary surplus to fuel the growth of export and industry, strengthening the private sector growth, rehabilitating or upgrading of transport, energy and telecommunication infrastructures, restoration of macro economic equilibrium, prudent monetary and fiscal policies aimed at low inflation, competitiveness, trade and expanding integration in regional or world markets.
• Improve access to social services to develop human capital: targeting the health and education sectors, water supply and sanitation, urban planning and decent housing, social safety nets. In all countries, actions toward vulnerable groups are emphasized. In some of the countries such as Burundi and DRC, some actions are geared toward refugees and the displaced people.
• Fight against the HIV/AIDS pandemic: bring a sharp reduction in the spread of the pandemic through prevention of the transmission, access to medicines, support for affected individuals, families and communities, institutional capacity building and, mitigation of the social and economic impacts of HIV/AIDS.
In each country, these major issues are translated in medium and long term sectoral policies
and programs which are to move the countries forward on the human development index.
4.9 Public health policy
In the NBI countries, the main diseases almost always include malaria, diarrhoea, respiratory
infections, sexual related diseases including HIV/ AIDS.
All NBI countries have public health policies aimed to ensure primary health care for all and
reduce morbidity and mortality from major causes of illness. Tanzania for instance, has been
implementing health reforms to improve the quality health care delivery system to clients.
Fighting against HIV/AIDS is part of most public health policies.
In collaboration with the World Health Organization, most of the countries have put in place a
specific policy on HIV/AIDS in order to reduce the spread of the pandemic and provide
proper care for the affected people. These policies are tackled to the poverty reduction
strategies of the countries.
Improving access to drinking water is also addressed by the poverty reduction strategies of
the countries. A better access to water is a key issue in the improvement of the access to
social services to develop human capital. In the public health policies, water-borne diseases
are mainly addressed by programs or actions based on:
• developing water sources and rehabilitate potable water supply systems;
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• strengthening water production facilities;
• strengthening existing sanitation programs and expanding them nationwide;
• promoting community management of water supply;
• training and informing populations about hygiene and sanitation techniques appropriate to their environment.
Public health issues related to power projects mainly concern sexually transmitted diseases
including HIV/AIDS during construction phase and water-borne diseases during exploitation
phase. The NBI countries do not have specific guidelines regarding public health and power
projects, apart from those, quite general, developed in EIA guidelines. However, the
tendency of international EIA guidelines is to pay an important attention to these issues
especially HIV/AIDS.
4.10 Vulnerable groups including women policy
Within their poverty reduction strategy papers, NBI countries identify their vulnerable groups.
Depending on the specific social context and history of each country, the vulnerable groups
may vary but they are generally identified in the following groups:
• rural and urban poor people;
• internal and external refugees or displaced persons;
• households suffering from HIV/AIDS;
• widowed heads of household;
• children;
• the elderly and disabled; and
• orphans (special attention is paid to orphans as the result of HIV/ AIDS disease).
In some case, for instance in Burundi, indigenous communities are identified as vulnerable
groups and a special policy has been developed for them.
In order to assist vulnerable groups, the poverty reduction strategies of the countries focus
on the necessity to identify the specific needs of these groups to reduce risks of further
Poor rural people housing
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vulnerability. They also highlight that particular actions must be engaged to make sure that
these needs are taken into account in all sectoral programs and projects.
In addition, the ministry of social affairs of most countries have specific targeted actions for
the vulnerable groups under the pillar of social safety nets or social security. The aim of
these actions is to help improve the economic and social life of the vulnerable groups
whether they be handicapped, widowed heads of household or else.
All NBI countries have recently developed and implemented gender policies to encompass
women promotion, gender and equity issues. The principal elements of the policies or
strategies are generally as follows:
• empower women economically, politically and socially;
• eliminate all forms of discrimination against women;
• increase the participation of women in decision making;
• raise awareness and increase education;
• establish and coordinate the implementation of campaigns against the violence against women;
• encourage economic projects that promote the status of women while reducing poverty as well;
• integrate gender and equity issues into all policies and development programs.
To some extent, the policies on women are embedded into the policies for vulnerable
groups. Particular attention must be given to women’s specific needs and specific actions
must be taken to ensure the integration of these needs in all programs and projects in the
countries development process.
The engagement of NBI countries to enhance the role of women in society varies from one
country to another. In Sudan for instance, the government initiated policies and programs in
the 1990s but since then, no such initiative has been recorded. Of all NBI countries, Rwanda
can be considered as a leader in women’s issues. Rwanda applies affirmative action for the
promotion of women, for example, 30% of decision-making positions at all levels are
allocated to women, women communal funds (micro-credit) have been set-up, women forum
structures like the National Women Council have been formed and constitutionalised by the
2003 Rwandan Constitution, article 187. A Gender Monitoring Office has been established
under article 185 of the constitution to enable women to participate in and benefit equally
from development efforts. Rwanda has a National Gender Policy (NGP) established in 2003.
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The goal of the NGP consists in clearly defining the process of integrating gender in all
sectors of development and for the promotion of gender equality and equity in Rwanda.
Since April 2007, specific strategies have been developed to effectively make Rwanda’s
NGP operational.
4.11 Historical and cultural sites policy and regulation
All NBI countries have ratified the 1973 UN Convention concerning the protection of the
world culture and natural heritage. In addition, except for Sudan, the countries have laws
which aim to protect their national cultural heritage. However, Sudan’s environmental policy
covers the issue. These laws usually cover at least the following subjects:
• The discovery of any objects related to history, prehistory art or archaeology found during authorized excavations or fortuitously must be notified to the Minister of Culture within a time frame;
• All goods discovered on the national territory and that are relevant to history, prehistory art or archaeology, are part of the national cultural heritage and are subject to classification.
In some countries such as Egypt of course, the laws go much further:
• Creation of lists of the archaeological and historical sites;
• Protection of the archaeological and historical sites;
• Prohibition of the exportation of antique objects without authorization.
Nile River in Egypt
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Due to its history, historical and cultural sites of Egypt are considered as a very important
heritage that must be integrally protected against development. The law governing the
protection of Egyptian cultural heritage covers the definition of cultural property, system of
ownership, and extension of protection.
Ethiopia’s historical and cultural sites policy is a bit different from other countries as it
encourages communities to play a leading role in assessing and nominating places or items
of heritage significance and in conserving them. Ethiopia’s policy promotes a sustainable
heritage conservation and management programme that seeks to understand all the
elements of the system, their interrelationships and the ways in which each contributes to
social and economic development. It promotes the perception of heritage conservation as
part of, and integrated with, Ethiopia's general social and economic development
Though, historical and cultural issues are not always covered by national IA regulations,
some countries have developed appropriate frameworks within specific projects. For
instance in DRC, a Historical and cultural sites policy framework has been elaborated in July
2004 within the Programme Multisectoriel d’Urgence de Réhabilitation et de Reconstruction
(PMURR). The document entitled « Cadre de gestion des sites culturels : sites
paléontologiques, sites archéologiques, sites historiques et sites naturels uniques »,
complies with the World Bank O.P. 4.11 safeguard policy on cultural property.
4.12 Indigenous community policy
Many of the NBI countries have indigenous communities notably Rwanda, Burundi, DRC,
Tanzania, Uganda, Kenya and Ethiopia.
Some countries such as DRC and Tanzania have no specific indigenous community policies
even though the countries may in fact comprise indigenous communities. In DRC, a law is
being considered to promote and protect the pygmies and arrangements exist in the
Constitution to protect all minorities and ethnic groups. In Tanzania, the concept of
indigenous community does not exist in the law. In the country, there are Hadzabe,
Sandawe and Tindiga tribes which are hunters and fruit gathers and are practising traditional
styles of living. They live in bushes and wear hide skins or tree barks. The government has
not formulated a special policy for these groups but is putting a lot of efforts to transform the
groups, by bringing important social services such as school and water closer to them.
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Ethiopia and Kenya are in the process of developing indigenous peoples policies. In certain
countries such as Rwanda, home to Batwa pygmy communities, the government is still
arguing whether or not the Batwas are an indigenous community. The government does not
give them that status but does recognize them as vulnerable and marginalized.
A few countries have programs or projects aimed to improve the status of indigenous
communities. It is notably the case for Kenya and Burundi.
In Kenya, the Justice and Equality
program has started the process of
enhancing dialogue, conducting
active and strategic advocacy
processes and monitoring activities
all aimed at mainstreaming the rights
of minorities and indigenous
communities within the National
Action Plan on human rights, Kenya
National Commission on Human
Rights and other national processes
that affect minorities and indigenous
communities.
The Dubbed, Dialogue, Advocacy and Monitoring (DAM) project seeks to highlight, promote
and protect minority and indigenous peoples’ rights. The project objectives are:
• To strengthen the capacity of minority and indigenous communities in Kenya to mitigate the violations of their rights by increasing their access to the Kenya National Commission on Human Rights;
• To highlight, identify and elaborate critical human rights issues among minorities and indigenous communities in Kenya to the media and policy makers with a view to their being recognised and mainstreamed;
• To monitor state compliance with international standards that promote and protect minority and indigenous peoples’ rights.
In Burundi, a special project aims at improving the status of indigenous communities. The
PRADECS (Projet d'appui au développement communautaire et social) established in
October 2006, has a plan for the Batwa populations of Burundi based on three specific
Batwa housing
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issues: 1) institutional opportunities; 2) organizational opportunities and; 3) legal
opportunities.
Though Kenya and Burundi have taken important steps to ensure the protection of the rights
of indigenous communities, indigenous community policies have not spread out in the NBI
countries. It has to be noticed that in the NBI countries where indigenous communities live,
projects recently funded by the World Bank are required to develop, when relevant, specific
frameworks complying with the Bank 4.10 safeguard policy regarding indigenous peoples.
4.13 Institutional framework in the NBI countries
The national institutions concerned by the regional EA framework for power investment
projects are listed in Table 4.2.
Table 4.2 National institutions concerned by the EA framework for power projects
Country EIA regulatory body Ministry in charge of energy * Main power utility *
Burundi
Ministère de l’Aménagement du Territoire, du Tourisme et de l’Environnement
Ministère de l’Énergie et des Mines
Régie de Production et de Distribution de l’Eau et de l’Électricité (REGIDESO-SP)
DRC Ministère de l’Environnement
Ministère de l’Énergie Société nationale d’Électricité
Egypt Egyptian Environmental Affairs Agency
Ministry of Electricity and Energy
Egyptian Electricity Holding Co. (EEHC)
Etiopía Federal Environmental Protection Authority
Ministry of Water Resources Ministry of Mines and Energy
Ethiopian Electric Power Corporation (EEPCO)
Kenya National Environment Management Authority Ministry of Energy
Kenya Electric Generating Co (KenGen) Kenya Power and Lighting Co. Ltd.
Rwanda Rwanda Environment Management Authority
Ministry of Infrastructure
ELECTROGAZ
Sudan Higher Council of Environment
Ministry of Energy and Mining
National Electricity Corporation
Tanzania National Environment Management Council
Ministry of Energy and Minerals
Tanzania Electric Supply Company Ltd (TANESCO)
Uganda National Environment Management Authority
Ministry of Energy and Mineral Development
Uganda Electricity Transmission Co. Ltd.
* The institutions in charge of power planning, generation and transmission have in general environmental units within their organisation. For example in Ethiopia, such environmental units exist within the Ministry of Water Resources, the Ministry of Mines and Energy and the Ethiopian Electric Power Corporation (EEPCO).
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The consultations carried out with representatives of national environmental agencies of the
NBI countries allowed to conclude that they seem quite capable to manage the EA
framework proposed in this document for regional power projects. They affirm that they are
used to deal with projects submitted to EA and analyse environmental impact assessments
(EIA) studies presented to them. However, there are some differences in the level of
institutional capability and means from one country to another. Moreover, regional power
projects represent major projects for which environmental and social issues must be
analysed according to very restrictive international practices and important to comply with in
order to ensure the protection of the natural and human components in the Nile basin.
Therefore, an analysis of the institutional capacities in the environmental management of
major power projects is essential to better understand the existing level and regional
differences of capacities in order to identify in details the required capacity building actions to
handle environmental matters and cope with the requirements of the proposed EA
Framework. Such an analysis may be divided in four stages:
• Identification of the institutional requirements of the EA framework for regional power projects;
• Individual analysis of each national environmental agency;
• Definition of the capacity building program;
• Reporting.
First, the Consultant mandated to conduct the institutional analysis shall evaluate in detail
the requirements in terms of means to establish in each national environmental agency.
These means refer to required qualifications of the staff, equipment, and financial resources.
Another important aspect to consider is the need in regional coordination required for the
implementation of this EA framework. This evaluation shall be completed by the preparation
of the profile of requirements to which the national environmental agencies should comply
with in order to be capable to implement the EA framework for regional power projects.
Following the initial evaluation, the Consultant shall meet each national agency to analyse its
existing situation in comparison with the required profile. This analysis should allow to
identify the gaps to fulfil in terms of qualifications, means and financial resources, as well of
regional coordination to meet the requirements of the EA framework.
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The analysis of gaps will provide the essential information to prepare a comprehensive and
quantified capacity building program for each national agency, at short term and long term.
In function of the gaps analysis, the capacity building program may include individual or
global training sessions. The last step of the institutional analysis will consist in reporting the
approach, the gaps identified for each national agency, and the detailed capacity building
program with its budget and schedule.
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5 ISSUES RELATED TO ENVIRONMENTAL ASSESSMENT CONSIDERED BY FUNDING AGENCIES
This section summarises the review of how the environmental and social issues related to
power projects are considered by major international funding agencies, i.e. World Bank,
African Development Bank, Canadian International Development Agency and European
Union.
5.1 Environmental policies
The four considered funding agencies have developed environmental policies which
objectives are quite similar: environmental sustainability, poverty reduction, improvement of
the people's quality of life, and protection of the quality of the regional and global
environment.
The World Bank’s environmental policy framework can be distinguished from the policies of
the other funding agencies by its ten safeguard operational policies:
• Environmental Assessment (O.P. 4.01)
• Natural Habitats (O.P. 4.04)
• Pest Management (O.P. 4.09)
• Indigenous Peoples (O.P. 4.10)
• Cultural Property (O.P. 4.11)
• Involuntary Resettlement (O.P. 4.12)
• Forestry (O.P. 4.36)
• Safety of Dams (O.P. 4.37)
• International Waterways (O.P. 7.50)
• Disputed Areas (O.P. 7.60)
These are indeed critical to ensuring that potentially adverse environmental and social
consequences are identified, minimized, and mitigated. The O.P. 4.01 is considered to be
the umbrella policy for the Bank's environmental safeguard policies. Table 5.1 presents the
safeguard policies potentially applicable to regional power projects.
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Table 5.1 World Bank Safeguard Policies potentially applicable to power projects
Policy General description
Environmental Assessment (OP 4.01)
Outlines Bank policy and procedures for the environmental assessment of Bank lending operations. Environmental consequences should be recognized early in the project cycle and taken into account in project selection, siting, planning, and design by preventing, minimizing, mitigating, or compensating for adverse environmental impacts and enhancing positive impacts.
Natural Habitats (OP 4.04)
States that the Bank does not support projects involving the significant conversion of natural habitats, unless there are no other feasible alternatives for the project and its siting, and unless comprehensive analysis demonstrates that overall benefits from the project substantially outweigh the environmental costs. If the EA indicates that a project significantly converts or degrades natural habitats, the project must include mitigation measures acceptable to the Bank.
Indigenous Peoples (OP 4.10)
This policy provides guidance to ensure that indigenous peoples benefit from development projects, and to avoid or mitigate adverse effects of Bank-financed development projects on indigenous peoples. Measures to address issues pertaining to indigenous peoples must be based on the informed participation of the indigenous people themselves.
Cultural Property (OP 4.11)
The Bank policy is to assist in cultural property preservation and take actions to avoid their elimination. Specifically, the Bank normally declines to finance projects that will significantly damage non-replicable cultural property, and will assist only those projects that are sited or designed so as to prevent such damage. The Bank will assist in the protection and enhancement of cultural properties encountered in Bank-financed projects, rather than leaving that protection to chance.
Involuntary Resettlement (OP 4.12)
Involuntary resettlement as used in this policy covers both (a) the involuntary displacement (physical and nonphysical) of affected peoples that arises from change in land or water use, loss of productive assets, or loss of income or means of livelihood, whether or not the people move to another location; and (b) the measures for mitigating the impacts of displacement.
Safety of Dams (OP 4.37)
When the Bank finances a project that includes the construction of a new dam, it requires design and construction supervision by experienced and competent professionals. The borrower is also required to implement certain dam safety measures for the design, bid tendering, construction, operation, and maintenance of the dam and associated works. For small dams, generic dam safety measures designed by qualified engineers are considered adequate. For large dams—dams that are 15 meters or more in height, or are between 10 and 15 meters and present special design complexities—the Bank requires special reviews by an independent panel of experts. Review requirements include design, construction, plans for construction supervision and quality assurance, instrumentation, operations and maintenance, and emergency preparedness. The Bank requires prequalification of bidders during procurement and bid tendering and periodic safety inspections of the dam after completion.
International Waterways (OP 7.50)
The Bank recognizes that the cooperation and goodwill of riparians is essential for the efficient utilization and protection of international waterways and attaches great importance to riparians making appropriate agreements or arrangements for the entire waterway or any part thereof. Projects requiring clearance include hydroelectric, irrigation, flood control, navigation, drainage, water and sewerage, industrial, and similar projects that involve the use or potential pollution of international waterways.
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5.2 Environmental and social assessments procedures
The World Bank and the African Development Bank (AfDB) have quite similar environmental
impact assessment procedures, since AfDB’s procedures were recently reviewed in order to
get harmonised with those of the World Bank. These procedures generally follow the project
cycle: identification, preparation, appraisal, loan negotiations, project implementation and
supervision, and project completion. For each of these steps, environmental and social
aspects to consider are clearly defined within a set of ESIA procedures.
World Bank’s OP 4.01 and BP (Bank Procedure) 4.01 define the EA procedure. At the
identification phase, screening is carried out by examining the type, location, sensitivity and
scale of the project and the nature and magnitude of its potential impacts. The project is then
assigned to one of the following four categories, reflecting the potential environmental risks
associated with the project:
• Category A: A proposed project is classified as Category A if it is likely to have significant adverse environmental impacts that are sensitive, diverse, or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works. EA for a Category A project examines the project’s potential negative and positive environmental impacts, compares them with those of feasible alternatives (including the “without project” situation), and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance. For a Category A project, the borrower is responsible for preparing an EIA report, or a suitably comprehensive regional or sectoral EA.
• Category B: A proposed project is classified as Category B if its potential adverse environmental impacts on human populations or environmentally important areas, including wetlands, forests, grasslands, and other natural habitats, are less adverse than those of Category A projects. These impacts are site-specific; few if any of them are irreversible; and in most cases mitigation measures can be designed more readily than for Category A projects. The scope of EA for a Category B project may vary from project to project, but it is narrower than that of Category A EA. Like Category A EA, it examines the project’s potential negative and positive environmental impacts and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance.
• Category C: A proposed project is classified as Category C if it is likely to have minimal or no adverse environmental impacts. Beyond screening, no further EA action is required for a Category C project.
• Category FI: A proposed project is classified as Category FI if it involves investment of Bank funds through a financial intermediary, in subprojects that may result in adverse environmental impacts.
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At the preparation phase, the Bank’s task team assists the borrower in drafting the terms of
reference (TOR) for the EA report, while ensuring adequate interagency coordination and
consultation with affected groups and local NGOs. The EA must be carried out in
accordance with OP 4.01, national legislation and international environmental agreements.
At the project appraisal phase, the main tasks include the review of the EA results based on
the TOR, by paying attention to the consultation process and the environmental
management plan (EMP).
The European Commission has developed a comprehensive Environmental Integration
Handbook in order to assist partner countries to mainstream environment. The EIA process
described in this Handbook is quite similar to the procedures of the World Bank and AfDB.
The integration of environmental measures is planned throughout all phases of the
operations cycle, but emphasis is put on the initial phases of design and preparation as they
are of key importance.
EIA screening of projects supported by the European Commission (EC) should be based on
national legislation and procedures and on EC criteria which classify individual projects into
three categories:
• Category A projects which always require an EIA;
• Category B projects, as well as projects that are not clearly classified, require further information to decide if an EIA is required or not;
• Category C projects do not require an EIA.
An EIA is required for projects that are likely to have significant impacts on the environment.
It should be prepared if one the following conditions applies:
• Required for this type of project under national legislation;
• The project is classified as Category A;
• The project is classified as Category B but, considering the particular vulnerability of the recipient environment, the screening process recommends an EIA;
• An existing Strategic Environmental Assessment (SEA) clearly recommends an EIA for this kind of project.
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Examples of Category B power projects that will require an EIA are the following:
• The project affects a protected area or other areas classified as vulnerable;
• The project requires the acquisition or conversion of significant areas of land that are important for environmental services;
• The project requires (during or after construction) significant amounts of water, energy, materials or other natural resources;
• The project is likely to result in the production of significant quantities of wastes, especially hazardous or toxic wastes;
• The project produces significant volumes of effluents or air pollutants;
• The project affects important water bodies or significantly affect water regimes;
• The project requires significant accommodation or service amenities to support the workforce;
• The project attracts or displaces a significant population and economic activities;
• There is a risk that the project creates suitable habitats for disease vectors of for pests;
• The project is likely to cause important soil erosion or degradation, considering its activities and its location on steep slopes or vulnerable soils;
• The project affects particular ecosystems, such as natural forests, wetlands, coral reefs, mangroves or habitats of endangered/threatened species; and
• The project is located in or close to a site of high cultural or scenic value.
Following the identification of the project, including screening, the formulation phase includes
the scoping and the preparation of the EIA study. Scoping is the operation used to define
the aspects that need to be covered in the EIA study. The views and concerns of key
stakeholders should be taken into account in defining the scope of the EIA.
After approval of the scoping study by the authorities, the EIA study is carried out and its
report should provide conclusions and recommendations regarding (i) the environmental
acceptability of the project, (ii) the best alternative and (iii) the measures that should
accompany this alternative to mitigate negative environmental impacts and increase positive
effects. These measures should be organized in an Environmental Management Plan
(EMP), including a monitoring programme. The EMP should be reflected in the project’s
contractual documents.
Participation and consultation of stakeholders must be integrated in this process within the
local institutional framework. Particular care should be taken to (i) make full use of the
experience and know-how of the population living in the environment being studied, (b) take
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into consideration the needs, values and interests of the population concerned, including
women and marginalized social groups. Public participation should be provided for from the
earliest stages of the process.
5.3 Natural resources management policy
The integrated water resources management approach (including river basin management),
defined as a comprehensive approach that views water as a single resource with competing
uses and inter linkages with the ecological, social and economic systems, is privileged by
the funding agencies when projects and development involve the use of water.
The World Bank’s water resources management policy (O.P. 4.07) aims notably at providing
water for productive activities, including hydropower, in a manner that is economically viable,
environmentally sustainable, and socially equitable. The policy encourages borrower
countries to develop and allocate water resources, by considering cross-sectoral impacts in
a regional setting (e.g., river basin). The AfDB has a similar water management policy. CIDA
and the European Union both supports the achievement of the water targets in the UN
Millennium Development Goals, helping countries develop and implement integrated water-
resource management plans.
The OP 4.04 – Natural
habitats prohibits World Bank
support for projects which
would lead to the significant
loss or degradation of any
Critical Natural Habitats,
whose definition includes
those natural habitats which
are either:
• Legally protected;
• Officially proposed for protection; or
• Unprotected but of known high conservation value.
In other (non-critical) natural habitats, Bank supported projects can cause significant loss or
degradation only when there are no feasible alternatives to achieve the project's substantial
Nile River in Sudan
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overall net benefits, and acceptable mitigation measures, such as compensatory protected
areas, are included within the project.
5.4 Resettlement policy
Under World Bank OP 4.12 – Involuntary Resettlement, any operation that involves land
acquisition or is screened as a Category A or B project for environmental assessment
purposes should be reviewed for potential resettlement requirements early in the project
cycle. The overall objectives of OP 4.12 are the following:
(a) Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative project designs.
(b) Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits. Displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs.
(c) Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.
The OP 4.12 covers impacts caused by:
(a) The involuntary taking of land resulting in: relocation or loss of shelter; loss of assets or access to assets; or loss of income sources or means of livelihood, whether or not the affected persons must move to another location; or
(b) The involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons.
Different planning instruments are used to comply with OP 4.12: Resettlement plan,
Abbreviated resettlement plan, Resettlement policy framework, and Resettlement process
framework.
• A resettlement plan is a condition of appraisal for all projects that entail involuntary resettlement.
• An Abbreviated resettlement plan may be agreed by the World Bank with the borrower for a project where impacts on the entire displaced population are minor, or fewer than 200 people are displaced.
• A Resettlement policy framework is required for sector investment operations, financial intermediary operations, other World Bank-assisted project with multiple
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subprojects and each subproject in a project that may involve involuntary resettlement.
• A Resettlement process framework is prepared when World Bank-supported projects may cause restrictions in access to natural resources in legally designated parks and protected areas.
The resettlement plan covers the elements below:
• socio-economic studies;
• Legal framework;
• Institutional framework;
• Eligibility for compensation;
• Resettlement measures;
• Site selection, site preparation, and relocation;
• Housing, infrastructures and social services;
• Environmental protection and management;
• Community participation by both resettlers and hosts;
• Grievance procedures;
• Organizational responsibilities;
• Valuation and compensation for lost assets;
• Land tenure, land acquisition, transfer and productive re-establishment;
• Implementation timetable, monitoring and evaluation.
Kibera - Kenya
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5.5 Poverty reduction
For the World Bank, poverty reduction is covered under OP 1.00. The Bank is committed to
assist in reducing poverty in its member countries. It focuses mainly on integrating poverty
reduction objectives in country programming and monitoring progress. The major tool is a
poverty assessment that includes a poverty profile of the country and recommendations for
government action.
Poverty Reduction Strategy Papers provide the basis for World Bank and IMF assistance as
well as debt relief under the HIPC (Heavily Indebted Poor Countries) initiative. According to
the World Bank, PRSPs should be country-driven, comprehensive, partnership-oriented, and
participatory. A PRSP should be written by a country every three years.
The African Development Bank has adopted in 2004 a policy on poverty reduction with a set
of guiding principles based on the major elements of the new conceptual and strategic
frameworks. Specifically, it is based on principles of poverty-focus, national ownership,
participation of civil society and outcome orientation. Recently, the AfDB has also
emphasized the importance of strengthening and rationalizing regional integration schemes,
addressing problems of population growth and developing poverty reduction strategies for
conflict as well as post-conflict countries. This emphasis on regional integration is specific to
the AfDB; it is particularly relevant for the NBI EIA framework for regional power investment
projects.
Major measures that the AfDB
intends to use to integrate
poverty alleviation dimensions
in the Bank’s interventions
include:
• All projects proposed for inclusion in the pipeline should be screened with respect to their possible contribution to the reduction of absolute poverty, and results reflected in the Project Brief.
Children from Rwanda
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• Projects/programs in the pipeline may be categorized into two categories: P for those with strong poverty reduction focus and G for those with general impact.
• The preparation phase is critical to identify the poor from the population affected, define poverty reduction components and determine the required institutional framework for implementation.
• Project matrices should take into account poverty indicators and beneficiary assessment criteria that would allow monitoring and evaluating the effectiveness of poverty interventions.
The screening of projects with respect to their possible contribution to poverty alleviation and
the categorization of projects/programs into categories according to their impact on poverty
reduction are good planning practices that should be integrated in the NBI EIA framework for
regional power investment projects.
5.6 Public health
Within the World Bank environmental and social assessments procedures, the Occupational
Health and Safety issue is identified as an issue that must be reviewed in an EA when
applicable. Relevant projects, particularly industry and energy projects, should include formal
plans to promote occupational health and safety.
Moreover, human health and safety concerns should be integrated in EA by:
• Introducing the relationship between the environment and health hazards, health risks, and health impacts;
• Screening development proposals for hazards to human health and safety;
• Assessing and quantifying the risks to human health and safety of hazards identified with, or resulting from, projects;
• Developing health risk management proposals as part of the overall environmental management plan (EMP).
There are a variety of health impacts associated with a power project. Possible health
impacts include sexually transmitted diseases (STD), HIV/AIDS and accidents resulting
during construction activities. Waterborne diseases are other possible health impacts which
might result from a project. Waterborne diseases are usually caused by a lack of water
supply and sanitation. Access to safe drinking water may be jeopardized as a result of a
project in a riparian country or region. Therefore, waterborne diseases impacts should be
considered during an Environmental Impact Assessment.
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Like the World Bank, the AfDB, CIDA and European Union have made strong commitments
to address HIV/AIDS and access of populations to safe drinking water. Consequently, these
issues should be addressed in an EIA framework for regional power investment projects.
5.7 Vulnerable groups including women
Thru its different policies notably OP 4.12, the World Bank specifies that particular attention
must be paid to the needs of vulnerable groups among those affected by a project (in the
case of OP 4.12, the displaced people), especially those below the poverty line, the landless,
the elderly, women and children, indigenous peoples, ethnic minorities, or other persons who
may not be protected through national legislation. Therefore, an EIA should identify the
vulnerable groups among those affected and state specific mitigation measures to assist
these groups.
The World Bank’s OP 4.20 specifically addresses Gender and Development issues. The
objective of OP 4.20 is to assist member countries to reduce poverty and enhance economic
growth, human well-being, and development effectiveness by addressing the gender
disparities and inequalities that are barriers to development, and by assisting member
countries in formulating and implementing their gender and development goals.
Though only the World Bank
addresses vulnerable group
issues in its EIA framework,
all considered funding
agencies address gender
issues. For these funding
agencies, incorporating
gender dimensions in the
environmental impact
assessment process is
compulsory. Therefore, it is
recommended that the NBI EIA framework for regional power investment projects include
gender issues.
Poor African family
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5.8 Historical and cultural sites policy
Obviously, historical and cultural property is an issue in the Nile riparian states. Accordingly,
this issue must be reviewed in an Environmental Impact Assessment of NBI regional power
investment projects. Therefore, it shall be integrated in the EIA framework and procedures.
The World Bank OP 4.11 on Cultural Property may be used as a reference for this
integration in the project cycle.
The World Bank is the only funding
agency with a specific policy
regarding historical and cultural
sites. According to OP 4.11 –
Cultural Property, the World Bank’s
does not intend to finance projects
that will significantly damage non-
replicable cultural property and to
assist initiatives design to prevent
such damage. When cultural
property is identified in the project
area, a brief reconnaissance survey must be undertaken to assess the archaeological,
paleontological, historical, religious or natural value of such cultural property. The
significance of heritage impacts shall be assessed during the preparation phase, and
appropriate measures should be developed to avoid, minimize or mitigate the impacts.
5.9 Indigenous communities policy
Since 2005, the World Bank has a specific Operational Policy (OP 4.10) dedicated to
Indigenous People. According to this policy, the Bank’s mission of poverty reduction and
sustainable development must ensure that the development process fully respects the
dignity, human rights, economies, and cultures of Indigenous Peoples. Some of the steps
projects likely to affect (negatively or positively) indigenous populations have to undertake
are:
1. Screening by the Bank to identify whether Indigenous Peoples are present in, or have collective attachment to, the project area;
2. A social assessment by the borrower;
Hierogliph in Egypt
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3. A process of free, prior, and informed consultation with the affected Indigenous Peoples’ communities at each stage of the project, and particularly during project preparation, to fully identify their views and ascertain their broad community support for the project;
4. The preparation of an Indigenous Peoples Plan or an Indigenous Peoples Planning Framework;
5. Disclosure of the draft Indigenous Peoples Plan or draft Indigenous Peoples Planning Framework (all these steps are detailed in OP 4.10).
5.10 Participation / Consultation
The World Bank and African Development Bank integrate compulsory consultations of the
population in the EIA process. The consultation objectives and steps during the EA process
are:
• Review national law and practice relating to consultation and ensure compatibility with Bank requirements during the validation of environmental procedures and standards (identification);
• Identify stakeholder groups, secure proponent commitment on consultation program and agree on the extent and mode of consultation (screening or characterisation);
• Identify specific stakeholders, disclose relevant project information and determine stakeholder concerns to include them in the TOR (Scoping and agreement on TOR and schedule);
• Disclose information on study methods and findings, agree on mitigation measures with stakeholders and let stakeholders determine if their concerns are adequately addressed (environmental analysis and production of draft EA);
• Finalize mitigation plan and disclose to stakeholders (production of final EA reports);
• Inform the public about scheduling of potentially disruptive events, disclose results on environmental monitoring, and maintain effective complaints procedure (EMP implementation and monitoring phase);
• Assess effectiveness of consultation process and consult stakeholders for their assessment (final evaluation).
The major tool to plan and implement consultation is the Consultation Plan which should
propose a variety of consultation techniques as a function of the audience to reach.
Consultation and participation of the stakeholders of a project being compulsory for the
World Bank and the AfDB, it is recommended to integrate these issues in the NBI
procedures for regional power investments projects.
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5.11 Dams Policy
The World Bank OP 4.37 – Safety on Dams requires that experienced and competent
professionals design supervise the construction of dams, and that the borrower adopts and
implements dam safety measures through the project cycle. In addition, OP 4.37
recommends, where appropriate, that Bank staff discuss with the borrowers any measures
necessary to strengthen the institutional, legislative, and regulatory frameworks for dam
safety programs in those countries.
The Bank distinguishes between small (less than 15 m high) and large (more than 15 m)
dams. Dams between 10 and 15 m high are treated as large dams if they present special
design complexities (unusually large flood-handling requirement, location in a zone of high
seismicity, etc.). For large dams, the Bank requires (i) reviews by an independent panel of
experts of the investigation, design, and construction of the dam and the start of operations;
(ii) preparation and implementation of detailed plans; (iii) prequalification of bidders during
procurement and bid tendering; and (iv) periodic safety inspections of the dam after
completion.
5.12 International Waterways Policy
The Operational policy 7.50 –
Projects on International
Waterways of the World Bank
applies to (i) any water body that
forms a boundary between or
that flows through two or more
states; (ii) any other water body
part of the watershed of a
waterway described in (i); and
(iii) any bay, gulf, strait, or
channel bounded by two or more
states or, if within one state,
recognized as a necessary channel of communication between the open sea and other
states.
Nile River
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This policy applies to the following types of projects:
• Hydroelectric, irrigation, flood control, navigation, drainage, water and sewerage, industrial, and similar projects that involve the use or potential pollution of international waterways;
• Detailed design and engineering studies of above-mentioned projects.
Projects on international waterways may affect the relations between the World Bank and its
borrowers, and between riparian states. Therefore, the Bank attaches great importance to
the riparians making appropriate agreements or arrangements for the entire waterway, or
parts thereof, and stands ready to assist in this regard. In the absence of such agreements
or arrangements, the Bank requires, as a general rule, that the prospective borrower notifies
the other riparians of the project. The Policy lays down detailed procedures for the
notification requirement.
MO
DU
LE 3
MODULE 3Chapters 6 to 11
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6 SUSTAINABILITY IN REGIONAL POWER PROJECTS
It is known that a country’s energy development is closely linked to economic development.
Even if energy development is often seen as a consequence of the level of development of a
country, a new point of view is surfacing nowadays in the field of poverty reduction and
socio-economic development. Power projects are now seen as major motive forces of
socio-economic development. If socio-economic development is viewed through health,
education and revenue improvement, it becomes clear that such socio-economic
development is in key with efficient and clean forms of energy.
Moreover, to guarantee socio-economic development and poverty reduction, it is not
sufficient to develop any kind of energy. The most efficient and clean types of energy are to
be privileged because they render more possibilities for income generation and deteriorate
less public health and the environment.
This chapter discusses the inter-linkages between environmental sustainability, poverty
reduction strategies and socio-economic development activities within the context of regional
power investment projects. It also suggests how these can be best implemented to benefit
project host communities and environmental protection efforts in the Nile Basin countries.
6.1 Millennium Development Goals
In 2000, the United Nations Assembly established eight goals with their targets and
indicators known as the “Millennium Development Goals (MDGs)” to reduce extreme poverty
worldwide by 2015 using 1990 as the reference situation. The MDGs have made energy
supply a major factor in sustainable development. Energy services destined to consumption
(kitchen, lighting, heating, means of communication, etc.) are crucial to improve social
welfare, and the energy services needed for production purposes, transportation and
mobility, are indispensable for economic development. Power supply projects can contribute
in different ways to all of the eight MDG.
In 2006, the Forum of Energy Ministers of Africa (FEMA) published a special report entitled
“Energy and the Millennium Development Goals in Africa”. Considering the role of modern
forms of energy in achieving the MDGs in Africa, FEMA stated energy targets for African
countries. These five targets are:
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• “Doubling of the consumption of modern energy services including increased energy access for productive uses. The use of modern biomass technologies for industrial purposes to be explored.
• 50% of inhabitants in rural areas should use modern energy for cooking. Options should include improved cook stoves, which will result in both reduced air pollution and energy savings. Use of pressurized kerosene stoves and LPG stoves where the necessary support infrastructure is available can assist rural areas.
• 75% of the poor in urban and peri-urban should have access to modern energy services for basic needs.
• 75% of schools, clinics and community centres should have access to electricity as this would enhance their competitiveness.
• Motive power for productive uses should be made available in all rural areas”.
Linkages between energy and the eight MDGs have been established for Africa by FEMA.
They are summarized in Table 6.1.
Table 6.1 Matrix of Energy and the MDGs in Africa
1 Eradicate extreme poverty and hunger
Increased modern energy is essential to generate jobs, industrial activities, transportation, and modernised agriculture in Africa. Most African staple foods need processing, conserved and cooked, and these require modern energy for reasonable quality of life.
2 Achieve universal primary education
Good educational facilities need electricity for teaching aids and for homes of students and teachers. Many children, especially girls, do not attend school in order to satisfy family subsistence needs.
3 Promote gender equality and empower women
Lack of access to modern fuels and electricity affects women and so lead to gender inequality. Household activities mostly done by women could be made easier with modern energy and save time. Time saved could be used for more productive activities.
4 Reduce child mortality Diseases caused by poor quality water, and respiratory illness caused by the effects of indoor air pollution from traditional fuels and stoves, directly contribute to infant and child mortality
5 Improved maternal health Women are disproportionately affected by indoor air pollution and water- and food-borne illnesses. Lack of electricity in health clinics, poor illumination in night deliveries, and daily household chores all contribute to poor maternal health, especially in rural areas.
6 Combat HIV/AIDS, malaria and other diseases
Electricity for communication (radio and television) is needed to spread important public health information to combat deadly diseases. Also, electricity is needed for illumination, refrigeration, sterilization, etc for effective health services.
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7 Ensure environmental sustainability
Energy production, distribution and consumption in Africa has many adverse effects on the local, regional and global environment including indoor, and air pollution, and land degradation. Cleaner energy systems are needed to address environmental sustainability.
8 Develop a global partnership for development
The World Summit for Sustainable Development called for partnerships between public entities, development agencies, civil society and the private sector to support sustainable development, including the delivery of affordable, reliable and environmentally sustainable energy services.
Source: FEMA, 2006 (adapted from UNDP 2005)
The MDGs will be taken into account by the NBI EA framework for regional power
investment projects. This aspect will be implemented in the Environmental Assessment
procedure at different stages of the life cycle project. For instance, the scoping of a project
will identify to what extent it contributes or not to the achievement of the MDGs in the host
countries and communities.
6.2 Ecological aspects of power projects sustainability
The development of regional power projects such as an important hydroelectric project may
have various sources of impact on natural ecosystems. These impacts include changes in
annual flow and sedimentary regime downstream and upstream of the dam, modification to
terrestrial ecosystems and losses of biodiversity, emission of greenhouse gas, interference
with migration pattern of fish and reduction in flooding of riparian habitats downstream.
Finally, new hydroelectric projects can generate cumulative impacts when they are planned
within a basin including existing dams.
Hydroelectric projects require dams and reservoir which often flood large areas. The area of
influence of the projects extend from the upper limits of the watershed zone for the reservoir
to the downstream extremity, whether an estuary, a coast or an off-shore area.
The creation of a reservoir requires to flood valleys which are normally the habitat of a larger
number of animal and vegetal species than other physiographic units of the catchment.
Areas surrounding new reservoirs support habitats less attractive for wildlife than those lost
in the reservoir and thus represent some limits for wildlife species displaced by the flood.
Consequently, large impoundment can have dramatic effects for endangered species. Land
used by human populations relocated upstream of the flooded areas can exhacerbate the
degradation of habitats for wildlife and vegetation due to various activities like deforestation,
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irrigation and agriculture. In addition, the loss of vegetation in the upstream catchment can
increase the volume of sediments trapped in the reservoir, and thus affect water quality. The
sedimentary regime downstream of the reservoir can also be significantly modified by the
presence of the dam. All these adverse effects are difficult to mitigate.
However, hydropower development can facilitate other uses than power generation, such as
commercial or subsistence fisheries for riparian populations. Shallow reservoirs are
generally more productive for aquatic wildlife. This increase in productivity, enhanced by
flooding terrestrial ecosystems and the release of important quantities of nutrients, is
significant in the first years following the filling of the reservoir. Thereafter, these effects
gradually decrease. The fisheries potential of new reservoirs can significantly increase by
implementing multi-functional techniques such as clearing the vegetation in productive areas
of the reservoir.
Large reservoirs can contribute to greenhouse gas emissions due to the decomposition of
flooded vegetation. These emissions can be mitigated by the deforestation of the reservoir
before filling it, particularly areas where the vegetation is quite dense. By clearing the
vegetation of the future reservoir, this can force the displacement of animal populations
before the flooding, and thus minimise mortality by drowning during the filling of the
reservoir. In addition, the period of filling shall be considered as a mitigation measure that
could have positive effects on the rate of mortality of most vulnerable species.
The important changes in downstream hydrology of the river system have well known
impacts on riparian and aquatic ecosystems. Fish population may decline downstream in
consequence of change in flow regime (ex: lack of dissolved oxygen, sedimentation dynamic
or riparian vegetation, blocking migration of aquatic organisms). One good way to mitigate
the adverse effects of hydrological changes downstream of the dam is to maintain an
environmental flow. The experience shows that to be efficient, this measure should be
integrally part of the project planning. The environmental flow can vary in accordance with
the life cycle of wildlife populations (ex: spawning period of fish species) living downstream
of the dam or to ensure navigation for riparian human populations. Other measures, such as
the establishment of sills or fish ladders, can contribute to minimise the effects of
hydrological changes on the water level regime, bank erosion and fish migration.
Like any power plant, thermal power projects can change the biodiversity in the area of the
proposed project. Emissions from thermal plants, in particular coal-fired plants, can act as
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precursors of acid rains. These will alter aquatic ecosystems and damage forest
ecosystems. Taking big volumes of water from rivers and bays for plants cooling system can
induce mortality of aquatic organisms encroached in the cooling system. This can reduce the
populations of fishes and other aquatic organisms. Heated water discharges from the plants
in the rivers can raise water temperatures thereby reducing plant and fishes in the natural
water bodies. However, thermal power plants can also favour a significant rise in some fish
species adapted to the new temperatures. These species may compensate for the decline
and provide an important source of income. Anticipatory planning must identify these
changes and opportunities in the natural water resources in order for the local populations to
benefit from them.
Power transmission lines are typical linear projects. They have a long but narrow corridor of
impacts. A transmission line is usually only 12 to 25 meters wide. The sources of impact that
may affect the environment are development and clearing of the host sites and the clearing
required for installation of the power transmission line. The clearing anticipated for the
project will leave valuable firewood or lumber resources in its wake. These timber resources
represent a benefit of the project, which should be redistributed to the persons affected by
the project. Natural resources located under the line, substations and pylons may be lost
temporarily or permanently.
In addition, construction of the power line right-of-way may result in the loss and
fragmentation of habitat and vegetation along the line. These effects can be significant if
fragile natural areas, such as wetlands or natural forests are affected. Appropriate planning
and identification of the power transmission line route can allow to minimise the impacts on
fragile and sensitive components of the environment.
The control of vegetation in the right-of-way is often necessary to protect the power line.
Various techniques exist for controlling the growth of vegetation. From an environmental and
social point of view, selective clearing using mechanical means by local workers is most
preferable in NBI countries and should be evaluated in the framework of the project
environmental assessment. Aerial spraying of herbicides should be absolutely avoided
because it may result in contamination of surface waters and terrestrial food chains, as well
as elimination of desirable species and direct poisoning of wildlife which would be very
harmful for the environment, its resources and biodiversity.
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Box 6.1 Guiding principles for the ecological sustainability of power projects
1. Through the preparation of an hydropower project, and especially during the EIA, plan for multi-functional techniques such as clearing the vegetation of the reservoir in order to enhance fisheries development in potential productive areas, minimise greenhouse gas emissions, water quality degradation and wildlife mortality, and facilitate navigation in the reservoir.
2. Plan for an environmental flow to minimise changes in downstream hydrology of the river system, in accordance with the life cycle of wildlife populations and to ensure navigation for riparian human populations.
3. Plan for other measures to minimise the effects of hydrological changes on the water level regime, bank erosion and fish migration, such as the establishment of sills or fish ladders.
4. Implement integrated watershed management in the catchment area of the reservoir in order to minimise soil erosion.
5. For thermal power projects, plan to minimise atmospheric emissions in compliance with emissions and ambient air international standards.
6. Minimise heated water discharge by favouring closed cooling system circuits. 7. Anticipate changes in the natural water resources in order for the local population to
benefit from the new opportunities. 8. Plan and identify power transmission lines routes to minimise impacts on fragile,
sensitive and protected areas. 9. Plan for local populations to benefit from the cleared forest resources.
6.3 Social aspects of power projects sustainability
Power projects may reduce poverty and benefit the population. Access to electricity
promotes economic activities, eases domestic chores, improves health and education
services, etc. However, they may also have negative impacts which will deepen poverty if
those impacts are not identified and mitigated up front.
It is essential that the social benefits and impacts of power projects be considered in order to
contribute to the MDGs and achieve sustainable development. Guidelines shall be followed
for the integration of the socio-economic key issues in the unified standard EA framework for
the regional power investment project. These guidelines will ensure an inter-linkage between
environmental sustainability, poverty reduction and socio-economic development.
Several socio-economic key issues must be considered in the NBI EA framework in order to
ensure that the social impacts of the projects to be screened will be examined in depth
during the EA procedure. Key issues that must be considered are:
• Changes to the use of natural resources in the project area;
• Involuntary resettlement of population which may result in a worsening of poverty;
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• Indigenous communities;
• Gender issues;
• Public health issues;
• Physical cultural resources or cultural heritage;
• Consultation of the stakeholders.
6.3.1 Changes to the use of natural resources in the project area
The use of natural resources refers to all uses by local populations of water, vegetation,
wildlife and minerals which availability may be affected during the construction and operation
of a power project. In rural areas such as the Nile Basin, most of the population livelihoods
are land-based. Therefore, these people are very dependent on their biophysical
environment. Any change in the forests and the aquatic ecosystem may entail reduction of
the volume of available fishes, game, medicine plants, fruit-trees, etc. These are either used
for self-consumption or income generation. Their reduction is likely to cause impoverishment
of entire communities or the most vulnerable groups among them if programmes and
measures are not planned to maximize the potential benefits of the projects.
Failure to identify these impacts at an early stage of the project preparation makes it difficult
to find appropriate solutions afterwards. Therefore, changes in the access to natural
resources shall be identified at the screening stage of the project.
One way of doing so is to take advantage of rural traditional knowledge. Indeed, rural
populations in the NBI countries have been living over centuries in harmony with their
surroundings, gained a deep understanding of the complex way in which the components of
their environment are interconnected. Rural traditional knowledge has been and continues to
be accumulated through time spent living on the land for many generations. It encompasses
all aspects of the environment and sees humans as an intimate part of it. Traditional
knowledge is part of the collective memory of the communities. The holistic view of the
environment is generally based on fundamental values that support sustainability. In
addition, traditional knowledge includes qualitative information on animals, plants and other
natural phenomena. Traditional knowledge of local populations may help scientists
recognize and evaluate species and spaces at risk and therefore, save time and money by
guiding field work.
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The changes produced by hydroelectric projects to the environment and resources used in
the area, also offer important economic opportunities for the local communities. A major
option is to incorporate affected people within irrigation schemes and develop reservoir
fisheries. Dams and reservoirs offer chances to develop irrigation which can generate
important increases in crop production and living standards of peasants in a sustainable
environment. Well-planning, implementing and managing of the irrigation facilities and,
giving priority to resettlers and downstream villagers in the irrigation schemes can produce
very important benefices for local populations.
When soils present no important limitation to agricultural production, it is possible to promote
local small irrigation projects around reservoirs. Manual or mechanical pumping from the
reservoir can allow the growth of a large variety of products (vegetable, fruit, cereal, others).
However, water availability (quantity, distance of transport) is subject to seasonal water level
variations of the reservoir. In addition, a detailed market study is generally required to ensure
that the increase in food production can be matched with a proper demand, on a local,
national and/or international level. It could also be important to introduce small scale
processing industries that could easily absorb the raw products, add value to these products
and create more job opportunities for the local population.
Gravity irrigation can generally be achieved downstream in proximity of dams. Large gravity
irrigated perimeters represent high investment cost but allow lower operational cost inj
comparison with pumping irrigation. Proper water management organizations need to be
created and technical support must be provided. Local small irrigation projects can also be
achieved downstream of dams, with manual or mechanical pumping. In every case,
appropriate enhancement measures such as improved seeds, fertilizers, tools and
equipments must be planned in the project.
Large dams also offer important opportunities to develop reservoir fisheries for project
affected people. In order to ensure that these people will become beneficiaries, it is essential
to plan for instance training programs and technical assistance for them and to grant them a
privileged access to the reservoir. In addition, it should be highlighted that hydroelectric
projects offer important opportunities to expand fishing activities for local communities on the
upstream of the dam and also downstream through the regulation of water levels. All these
opportunities and appropriate enhancement measures must be investigated on a
participatory basis and designed at an early stage of the project planning.
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Besides, it should be noticed that the lessons learned from the past have resulted in
improved hydroelectric projects. More and more, a sustainable development approach
guides the planning and management of dams and reservoirs. They are designed to serve a
wider range of development purposes.
Transmission lines can generally open up remote lands to human activities such as
settlement, agriculture, hunting, fishing, recreation, etc. These activities will inevitably entail
changes to the environment and resource use in the area. For instance, housing
development may occur in uninhabited areas, unexploited lands may be used for crop
production, hunting may reduce game in forests unexploited until then, etc. Therefore,
transmission lines will have an impact on the environment and resource use in the area of
the proposed project.
Indigenous peoples are distinct populations in that the land on which they live, and moreover
the natural resources on which they depend, are part of their identities and cultures. They
have very closed ties to forests, water, wildlife and natural resources. Therefore, if a
transmission line project involves land acquisition or, commercial development of natural
resources on land or territories that the indigenous peoples use or occupy, this project will
have adverse impacts on the affected indigenous community. In this case, there will be a
need for an Indigenous Peoples Plan.
Box 6.2 Guiding principles for the social sustainability of changes in the access to natural resources
1. Throughout the project planning and especially during the EIA, integrate the local communities’ knowledge concerning the area’s environment and its natural resources.
2. Consider potential losses in the access to natural resources as a social and economic risk for the population.
3. Perform an inventory and evaluate all the potential natural resources losses which will affect the income sources or means of livelihood of the population.
4. Consider the affected people as part of the displaced population even though they are not physically relocated.
5. Therefore, integrate these affected people in the resettlement plan in order to restore their livelihood and living standards.
6.3.2 Involuntary resettlement
Power projects require land acquisition and therefore, they entail displacement of population.
In many African countries, involuntary resettlement is one of the major issues of
hydroelectric projects. According to a former World Bank’s senior advisor for social policy
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and sociology, “Forced population displacement caused by dam construction is the single
most serious counter-developmental social consequence of water resource development”
(cited in IUCN and the World Bank, 1997, p.42).
The risks of impoverishment that involuntary resettlement may cause, are well known. They
include:
• The physical loss of homes and lands;
• The loss of productive assets;
• The loss of means of incomes and livelihood;
• The physical loss or access deprivation to basic community facilities and services (schools, clinics, wells, markets, etc.);
• Change in land use which affects the fertile and productive land for agriculture;
• The disruption of community networks and institutions, loss of cultural identity and loss of social fabric;
• The economic marginalization;
• Host-resettlers conflicts;
• Social exclusion;
• Impoverishment of the affected households;
• Marital conflict resulting to divorce and family instability.
Failure to identify these issues at an early stage of the project preparation makes it difficult to
find appropriate solutions. Therefore, resettlement issues shall be identified from the
screening and scoping stages of the project.
At the same time, objectives and programmes shall be defined to take advantage of the
economic opportunities generated by a power project, including for the local population. For
Cairo
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instance, early planning of training and building capacity programs will favour the
assignment of contracts to local enterprises and the recruitment of local manpower during
construction of the power plant and the subsidiary structures. Assessment of the population
training needs should be carried out on a participatory basis. This will enable the project to
design the appropriate training and other requirements for the target population.
Early formulation of a resettlement plan elaborated to fit the particular context of the project
is the recommended strategy to deal with displacement. The guiding principles figure in
Box 6.3.
Box 6.3 Guiding principles for the social sustainability of resettlement
1. Minimize displacement through an investigation of all feasible project alternatives. 2. Plan carefully the resettlement plan ensuring that the resources will be sufficient to
enable the displaced population to directly share the project benefits. The resettlement plan must represent a development opportunity for the resettlers.
3. Consult and involve the potentially displaced groups in the preparation and implementation of the resettlement plan. The technical design of the plan should integrate the options and solutions formulated by the affected persons. The involvement of project affected people (PAP) can be done by establishing working group with a representation from the affected communities and the respective authorities. The process should be transparent enough for all parties in order to avoid unnecessary confusions in due course.
4. Provide resettlers and host communities with sufficient compensation and assistance to guarantee that their livelihoods are improved or at least restored, to ensure that they are not put at a disadvantage. Special attention should be given to the vulnerable groups including women, orphans, elderly groups, etc.
5. Favour local businessess and local manpower in the resettlement process in order to induce economic development.
6. Develop an entitlement framework for the affected people and disseminate the information to the affected people. This will reduce the complaints about the eligibility and entitlements.
7. Put aside adequate provisions for compensation activities. There should be a reasonable and tolerable time from the time of decision to the time of effecting compensation to avoid loss of value due to inflation.
8. Put in place a practical institutional set up to administer the compensation process. 9. Allow for a close monitoring of the plan to identify any need to make changes during
implementation. Even detailed plans will require adjustments to adapt to changing circumstances among the resettlers and the host communities.
10. Make provision for a monitoring of the resettlement operations until the livelihood and living standards of the displaced population and host communities are restored.
11. Develop the monitoring indicators to track socio-economic changes taking place during and after project implementation. Therefore, the basic information / profile of the affected households should be collected before any development intervention.
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6.3.3 Indigenous communities
Identification of the project impacts on the potential changes in the environment and
resources used by the population may highlight the existence of indigenous communities
nearby the project area. Indigenous peoples are distinct populations in that the land on
which they live, and moreover the natural resources on which they depend, are part of their
identities and cultures. They have very close ties to forests, water, wildlife and natural
resources. Ensuring that a development project respects the human rights, economies and
culture of indigenous peoples contributes to poverty reduction and sustainable development.
In the NBI countries, indigenous peoples used to be nomadic. Most of them are still semi-
nomadic, living in camps in the forests. Though they trade with specific groups of
neighbouring farmers to get cultivated food, they are hunter-gatherers, living mostly on the
wild products of their environment. Forest-dwellers, indigenous peoples are frequently
among the most marginalized groups in their country. Their collective attachment to
ancestral territories and usage of the resources of these territories may not be recognized by
national or customary laws relative to ownership, occupancy and land use. However, their
access to these territories is essential to the sustainability of their cultures and livelihoods.
If a project involves land acquisition or, commercial development of natural resources on
land or territories that the indigenous peoples use or occupy, this project will have adverse
impacts on the affected indigenous communities.
Batwa women
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Involuntary resettlement of indigenous peoples or, involuntary restrictions on access to
territories that these people traditionally use or occupy, must be identified at a very early
stage of the project. Since physical relocation of indigenous peoples is very complex,
alternatives to the project design must be explored to avoid such relocation.
At the screening stage, it is essential to identify whether or not, indigenous people live in, or
have collective attachment, to the project area. For the purposes of planning the
development of any area of land, it should be assumed a priori that any forest may be
occupied or claimed by groups including indigenous communities. Even if there are no
visible signs of occupation, the land may be occupied intermittently and exploited by
communities whose lifestyles depend on frequent movements.
In exceptional circumstances when project designs may not be modified, the project
proponents must prepare an Indigenous Peoples Plan. This process will be detailed in
chapter 7.
Box 6.4 Guiding principles of the social sustainability for indigenous communities
1. At the screening stage of project preparation, identify whether or not, indigenous people live in, or have collective attachment, to the project area.
2. Based on the screening, undertake a social assessment to evaluate the projects potential impacts on the indigenous communities.
3. Examine project alternative designs to avoid any involuntary restrictions on access to territories that indigenous people traditionally used or occupied.
4. If alternatives can not totally avoid involuntary restrictions or resettlement, engage in free, prior and informed consultation with indigenous communities during social assessment.
5. If the project receives a broad support by the affected indigenous communities, develop with them an Indigenous Peoples Plan. This plan will set out the measures that will ensure that the affected people receive culturally appropriate benefits from the project and get compensations for the adverse impacts which can not be avoided.
6.3.4 Gender issues
The linkage between gender, energy, poverty reduction and sustainable development has
been well demonstrated. The following document provides detailed information on the
subject: UNDP, Gender and Energy for a sustainable development: a toolkit and
resource guide, New York, 2004, 85 pages.
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Access to affordable energy services is an essential condition to achieve poverty reduction
and socioeconomic development. Approximately 2 billion people throughout the world have
no access to electricity. About the same number depend on traditional fuels, mainly wood
and wood coal, for cooking and heating.
Grid-based electrical power does not reach many rural areas in the Nile Basin Initiative
countries, nor is there adequate distribution of gas or other efficient domestic fuels. Women
are more affected than men by limited access to energy. Because of their traditional
responsibilities for providing household energy by collecting fuel, women and girls would
benefit the most from access of the households to improved energy services.
Literacy rates and school enrolment
levels are very different for men and
women in the NBI countries. The time and
physical effort spent by women and girls
in gathering fuel (and carrying water)
obviously limits their ability to enrol in
school and engage in income-generating
activities. Much of women’s time is
consumed by chores related to producing
and cooking food without clean-burning
fuels and energy efficient appliances.
In addition to the time and physical
burdens involved in gathering wood or other traditional fuel, women endure long-term
physical harm from tiring work without sufficient rest time. It has also been demonstrated that
using biomass for cooking exposes women to health hazards due to cooking over poorly
ventilated indoor fires.
Reduced chores for women and increased access to non-polluting power for household and
productive activities can have remarkable effects on women’s levels of health,
empowerment, education, literacy, economic development, and involvement in community
activities. These improvements in women’s lives can have significant beneficial impacts to
reduce poverty of these women, their families and communities.
African women
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Energy policies relating to fuel choices, electricity generating capacity, and energy delivery
systems have impacts on development that are not generally analysed in their gender
dimensions. Men and women may be affected differently by energy policies. For instance,
the distribution of electricity without paying attention to the provision of modern cooking fuels
or appliances may result in rural electrification that in fact increases the hardships of women:
the working day is prolonged while traditional cooking fuel collecting and use remain
unchanged. Attention to these kind of differing needs is required to achieve effective and
equitable distribution of energy services.
Assessing the impacts of a power project on women involves an approach based on users’
needs: “Energy planning is often focused on increasing supplies of fuel or electricity,
especially for industrial and urban uses, with little attention to the energy demand
characteristics of women, especially those in underserved rural areas. Rural energy needs
for domestic, agricultural, and small-scale informal production activities, where women
predominate, are given low priority. As a starting point for gender-sensitive energy planning,
it is important to identify the energy services of primary importance to women and to
consider options for providing those services. Approaches that favour demand-side
considerations rather than supply-side energy targets are more likely to positively reflect
women’s actual needs. Overall, in order to reach the MDGs, energy should be considered
within the context of community life, and energy policies and projects should be integrated in
a holistic way with other programmes related to health, education, agriculture, and job
creation” (UNDP, 2004, p.9-10).
Moreover, gender variations shall be a core concern in social analysis throughout the
environmental impact assessment. Social analysis will focus on the fact that communities
are composed of diverse groups and that gender is a variable likely to be environmentally
significant. Since women and men have different social status and distinct needs, play
different economic roles and, have diverse accesses and uses of resources, a given power
project will have different impacts on men and women.
In accordance with the World Bank Social Analysis Sourcebook (2003), social diversity and
gender issues will be incorporated in the environmental impact assessment’s Terms of
Reference. Gender analysis will focus on gathering gender-disaggregated information and
data on men’s and women’s status, roles, activities, needs, constraints, opportunities and
relationships.
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Box 6.5 Guiding principles to link gender equity and social sustainability
1. Take into account demand-side considerations as well as supply-side energy targets while assessing a power project impact.
2. Incorporate social diversity and gender issues in the EIA Terms of references. 3. Analyse social dimensions of a project impact using gender-disaggregated information
and data.
6.3.5 Public health issues
Section 6.1 has highlighted the links between a better access to electricity and the
improvement of health conditions and the achievement of the MDGs through reduction of
child mortality, improvement of maternal health, fight against HIV/AIDS, malaria and other
diseases. Though power projects have the potential to reduce poverty, their operation may
also present health hazards. The typical health impacts of power projects are reminded here:
• Hydroelectric projects: creation of a reservoir and associated water management structures may increase water-borne or water-related diseases as a result of standing water providing habitat for mosquitoes and other disease-carrying animals: malaria, schistosomiasis, onchocerciasis, encephalitis, etc.
• Thermal power projects: Large power plants can be noisy, inducing long term health problems to the population living in the vicinity of the plant.
• Electric power transmission systems: Low-slung lines near human activity raise the risk for electrocution. Electric power transmission lines generate electromagnetic fields (EMFs). The strength of EMF decreases with distance from transmission lines. Though there is no scientific consensus, the evidence suggests that health hazard may exist in the EMF of high-voltage transmission lines.
Besides those health impacts which might occur during the operation phase of the projects,
expansion of VIH/AIDS during construction of the infrastructures is a major health concern.
Power plant construction, especially dams, usually takes several years to build. It may
extend from two to ten years, sometimes even longer. This involves the influx of several
thousand workers for building the plant. Local workers tend to be only a small minority of the
labour force since they seldom have the skills required to be hired. The desire to build the
structures as fast as possible will often mean that cheap but well-trained workers will be
hired from other regions or other countries. These workers are usually either single or living
on the construction sites without their families. They generally receive cash wages on a
regular basis and are often much wealthier than the local populations of the area. This
situation is likely to promote the development of prostitution. This is a high potential for
expansion of sexually transmitted diseases (STDs) including HIV/AIDS.
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Moreover, most power projects include transmission lines. It is well known that transportation
corridor projects in Africa are a predominant route for the spread of HIV/AIDS on the
continent. The construction of a transmission system entails the use of a team of workers
which moves with the progression of the construction, all along the corridor of the line for
hundreds of kilometres. This situation represents an ideal pattern for the transmission of
HIV/AIDS in the remote rural areas crossed by the transmission line.
Short and long term effects of a project on public health have an important impact on poverty
and sustainable development. Considering the potential health hazards of power projects
notably during the construction phase, this issue must be considered at the initial stage of
preparation of the project. The scoping of the project will determine if a Health Impact
Assessment (HIA) is required.
According to the World Health
Organization (WHO), “When
HIA is undertaken early in the
development process of a
proposal it can be used as a
key tool for sustainable
development. HIA allows the
identification and prevention of
possible health (and other)
impacts right from the start in
policy and decision-making.
This enables health objectives
to be considered at par with socio-economic and environmental objectives, bringing
sustainable development closer. Another feature of HIA is its possible combination with other
impact assessment methods. This integration allows proposals to be assessed from a
sustainable development perspective including: health; education; employment; business
success; safety and security; culture, leisure and recreation; and environment. Drawing on
the wider determinants of health, and working across different sectors, HIA has the ability to
link well with the sustainability agenda” (www.who.int/hia/about/why/en/index1.html).
Aquatic weeds in Nile River
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Box 6.6 Guiding principles to link health and social sustainability
1. Consider potential health impact of a project at the initial stage of its preparation notably transmission of HIV/AIDS during construction of all type of power projects and, water-borne or water-related diseases associated with reservoirs of hydroelectric projects.
2. Transportation corridor projects being a predominant route for the spread of HIV/AIDS in Africa pay a special attention to the health risks entailed by the construction of power transmission lines.
3. At the scoping stage, establish if a Health Impact Assessment is required for the project as part of the EIA
6.3.6 Physical cultural resources
Physical cultural resources are important as sources of precious historical and scientific
information and, as resources for economic and social development. They are also basic
elements of people's cultural identity; they keep alive ties of the societies to their past and
their cultural traditions. Therefore, their preservation for future generations is essential and
as such, it is part of sustainable development.
The World Bank defines physical cultural resources (or cultural heritage) as follows:
“movable or immovable objects, sites, structures, groups of structures, an natural features
and landscapes that have archaeological, paleontological, historical, architectural, religious,
aesthetic, or other cultural significance. […] Their cultural interest may be at the local,
provincial or national level, or within the international community” (World Bank, OP 4.11,
p.1).
More and more physical cultural
sites are being endangered by
the need for development and by
project activities. The loss of
such resources is irreversible,
but it is generally avoidable.
Potential impacts of a project on
physical cultural resources can
be identified and, avoided or
mitigated thru an environmental
assessment process.
Nile River in Egypt
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Power projects located in the vicinity of physical cultural sites may endanger similar sites.
For instance, a reservoir may perhaps inundate sites of important cultural significance.
Excavation and earth moving during construction of a power plant might destroy
archaeological artefacts. Air emission sources (sulphur dioxide, oxides of nitrogen, carbon
monoxide and particulates) from the combustion of fuels of thermal power projects may
possibly have long term negative impacts on constructions of high historical value.
Therefore, impacts of a power project on physical cultural resources shall be identified
during the EA procedure (see chapter 7).
Box 6.7 Guiding principles to link physical cultural resources and social sustainability
1. Consider potential impacts of a project on physical cultural resources at the initial stage of its preparation.
2. Incorporate physical cultural resources issues in the EIA Terms of references.
6.3.7 Participation and consultation of the stakeholders
While planning and implementing projects, affected people have often been viewed as the
target of poverty reduction efforts. Nowadays, a new approach called Community Driven
Development (CDD) is adopted by major funding agencies. This approach treats poor
people and their institutions as stakeholders in the search for sustainable solutions to
development challenges. CDD is an approach that gives power to community groups and
local governments for planning decisions and investing resources to reduce poverty. The
principles of CDD include consultation and participation of the population in the planning,
implementation and monitoring of projects.
Understanding the social implications of projects is critical in ensuring that the proposed
project contributes to equitable and sustainable development. In the EIA, social analysis
aims to identify the social dimensions of projects including the different stakeholder
perspectives and priorities. Therefore, social analysis needs to establish participatory
processes with the stakeholders, incorporate their views in the assessment and take into
account their options in the design of the project.
Public consultation in the EA process is well documented. Since 1989, the World Bank
requires that affected groups and NGOs be consulted as part of the environmental
assessment of projects particularly those classified as Category A. This requirement is
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based on the important links existing between public consultation and project social
sustainability in host communities. Consultation leads to a better understanding of public
concerns and more acceptable decisions by projects proponents.
Consultations serve to give project information to the public and affected communities. They
also serve to incorporate stakeholders’ opinion and needs in the project design including
their fears and expectations.
The benefits of public consultation are numerous. During EA process, the consultations
serve, among other things, to identify:
• Socio-economic profile of the affected communities;
• major issues to be resolved;
• specific concerns notably about land acquisition and resettlement;
• adverse social impacts that may entail a decline in the living standards of the population;
• appropriate mitigation measures to protect the community’s livelihoods;
• additional measures to maximize benefits to the project host communities;
• stakeholders’ institutions and their potential responsibilities during project preparation and implementation.
Public consultation and participation are commonly accepted as important components of
the decision making process regarding large dam projects. They are required to generate
appropriate and sufficient information for impact assessment, but also, they provide insights
on the means by which public support for a project can be mobilised.
Yet, public consultation is essential for all types of power projects. For instance, the corridor
selection process for an electric power transmission system can include key stages where
the project proponent invites and encourages inputs from decision-making authorities,
representative groups and from members of the community. Community workshops will
provide a valuable opportunity to listen to community concerns and to incorporate
suggestions into the project planning process. Furthermore, the participants may provide
valuable local knowledge about significant sites located within the corridors. Features may
include:
• areas of high agricultural/ horticultural value;
• sites of indigenous heritage significance;
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• features of environmental significance;
• recreational areas;
• future development proposals.
The constraints and sites that attendees identify can be GIS mapped and presented in a
second workshop. They are then analysed and the corridor options are refined in light of this
feedback. Following the workshops, a series of meetings can be held with affected
landowners or occupants in the transmission corridor.
In any case, the results of
the consultations shall be
reflected in the design of
the project. Box 6.8 gives
the basic principles to
ensure that public
consultation is integrated
to the EA process to
ensure social
sustainability of power
projects. Appendix 3
provides details on the
consultation objectives at
each step of the EA process, the designing and implementation of a public consultation plan
and, the techniques for public consultation.
Cruise on mid-Nile River
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Box 6.8 Guiding principles to link public consultation and social sustainability
1. Identify stakeholders groups 2. Provide effective and timely disclosure of project information to the stakeholders 3. Ensure their involvement starting from the scoping stage of the EA 4. Identify their concerns and include them in the Terms of Reference of the EIA 5. Ensure that expertise for an effective consultation is provided 6. During the EIA, identify mitigation and additional required measures with the
stakeholders 7. Ensure that the concerns and proposals of the stakeholders are reflected in the project
design 8. Disclose the results of the EIA to the stakeholders 9. During project implementation, inform the stakeholders about the Environmental
Management Plan, ensure their involvement in the project’s monitoring and, maintain a complaints and grievance procedure
10. Throughout the life cycle project, keep a record of all consultations including dates, names, topics of discussion and outcomes.
6.4 Economic aspects of power projects sustainability
As discussed in the previous sections, power projects can be closely linked to economic
development if proper impact mitigation measures are elaborated, if comprehensive
resettlement plans are established and if local development plans are included in the project.
In such cases, power projects can have a positive economic influence by increasing labour
productivity, creating jobs, creating more added value to local production, converting
economic activities, converting land use, diversifying economic activities, increasing food
production and increasing economic activity. Moreover, health improvement, better
education, time saved, better living standards, better transportation, better access to natural
resources, are also contributing factors to economic development.
Ferry on Nile River
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In projects where no proper attention is paid to the economic impacts and their mitigation,
negative impacts such as a decrease in food production, impoverishment, inflation,
fluctuation in currency, decrease of economic activity, job losses and concentration of
economic activity can be observed, thus, the importance of analysing the economic impact
of a project up front.
Power projects entail various impact sources such as involuntary resettlement, changes in
the environment, alterations in resource use in the area, disturbances to indigenous
communities, modifications in gender issues and changes in public health. All of these
impact sources can generate positive and/or negative economic impacts on the persons
affected by the project (PAP).
In the case of involuntary resettlement, power projects can induce the loss of productive
assets, the loss of means of income and the loss of livelihood. In order to minimize these
impacts, projects must identify proper mitigation and development measures that can ensure
local economic development. Proper resettlement plans accompanied by comprehensive
development plans can become efficient tools in economic development in the resettlement
areas. These plans must identify the pertinent development opportunities according to the
PAP’s socio-economic characteristics and economic development needs. A good
comprehension of the PAP’s development needs will become a solid base to economic
development in their new environment.
When hydroelectric power projects and their reservoirs change the environment and modify
the resources used in the area, they can cause significant losses in pasture and agricultural
land in the reservoir area and cause a decrease in fish captures downstream. On the other
hand, these projects offer great economic opportunities for the local communities. In fact,
presence of regulated water levels downstream and the newly created reservoirs can
develop new fishing opportunities as well as develop irrigation schemes. These new
economic development opportunities cannot fully contribute to economic growth if they are
not elaborated on the basis of socioeconomic baseline studies and if they are not
accompanied by extensive training programs for the beneficiaries. The development
programs must also take in consideration the indigenous communities that may have
different development needs than the majority of the PAPs.
Regarding gender issues associated with power projects, it is well known that affordable
energy supply is an essential factor in poverty reduction and socio-economic development.
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Because of women’s traditional responsibilities in their homes, improved access to energy
services can alleviate women’s workload usually dedicated to collecting fuel. This chore
reduction, as well as the new access to non-polluting power for household and productive
activities, can have beneficial effects on women’s levels of health, empowerment, education
and literacy. These opportunities can be transformed in sustainable economic development
if the power projects identify appropriate gender oriented mitigation measures.
In terms of public health, power projects, through their resettlement and development plans,
can improve the general public health level, through better health services, better disease
prevention. Good health is directly correlated with better labour productivity, which in turn
contributes to economic development.
Moreover, in order to maximise a project’s influence on local economic development, the
project’s benefits must not only be shared with the project beneficiaries but also with the
persons directly affected by the project. Therefore, power projects will need to pay particular
attention to the persons they directly affect by financing local energy distribution to them
through the project’s economic rent2 for example.
Box 6.9 Guiding principles to take into account economic aspects of projects sustainability
1. Analyze the economic impacts of a specific power project up front. 2. Mitigate the negative economic impacts in order to avoid situations such as decrease
in food production, impoverishment, inflation, fluctuation in currency, decrease of economic activity, job losses and concentration of economic activity.
3. Enhance the positive economic impacts to attain increases in labour productivity, jobs creation, more added value to local production, conversion of economic activities, conversion of land use, diversification of economic activities, increases in food production and increases in economic activity.
4. Include local development plans as important parts of the project power. 5. Finance local energy distribution to the communities directly affected by the power
project through the project’s economic rent for instance.
2 The economic rent is the revenue surplus related to a production factor in addition to what is required to
induce this factor’s participation in the production process. The value of the economic rent is measured by the difference in a product’s sale price and its economic cost of production, including the normal return on capital. Economic rents exist in hydroelectric dam projects because these projects use natural resources and because there usually is a gap between world and cost prices for basic products such as electricity and petroleum for example.
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6.5 Positive impacts of regional power projects on local communities
As demonstrated previously in this Chapter, power projects can have many positive impacts
on local communities. These impacts include:
• Economic opportunities for peasants with the development of irrigation schemes and significant increases in crop production and living standards;
• Economic and health opportunities for rural populations with the development of reservoir fisheries which in addition to an increase of incomes, will allow an intake of proteins and a diversity of diet;
• Enhancement of living standards thru comprehensive resettlement and local development plans including social infrastructures, upgrading of housing, training, etc.;
• Economic development thru Increases in labour productivity, job creation, added value to local production, diversification of economic activities, rise of food production, etc.
Moreover, one of the most important positive impacts on local communities is rural
electrification. Power projects offer important opportunities to bring affordable energy
services to local communities. Access to these services is an essential condition to achieve
poverty reduction and socioeconomic development of these communities. Therefore,
affordable local energy services must be planned as part of the power project during its
preparation. This can be done by taking into account demand-side considerations as well as
supply-side energy targets while assessing a power project impact assessment. Demand-
side considerations will involve the construction of transforming terminals and distribution
lines which must be planned and budgeted in the project costs.
Box 6.10 Guiding principles to improve positive impacts of power projects on local communities
1. Develop irrigation schemes to increase crop production and living standards. 2. Develop fishing reservoirs which will increase incomes, allow an intake of proteins
and a diversity of diet. 3. Develop comprehensive resettlement and local development plans to improve social
infrastructures, upgrade of housing and, training of local communities’ members. 4. Take into account demand-side considerations as well as supply-side energy targets
while assessing a power project impact assessment. 5. Plan and budget in the project costs, construction of transforming terminals and
distribution lines for the villages affected by the project.
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7 ENVIRONMENTAL ASSESSMENT PROCESS FOR REGIONAL POWER PROJECTS
Chapter 6 has presented the guiding principles to achieve sustainable development through
regional power projects. In order to integrate these guiding principles in the projects’ cycle
phases, this chapter defines the environmental assessment process.
This chapter comprises nine sections. The first three sections concern: 7.1 the justification of
the EA framework; 7.2 the environmental assessment principles; 7.3 the general process for
regional power projects. These sections are followed by five technical sections linked to the
project cycle phases: 7.4 identification; 7.5 preparation; 7.6 appraisal and approval;
7.7 implementation and supervision and; 7.8 post evaluation. Sections 7.4 to 7.8 are the
core of this chapter. They provide detailed information on the steps to follow, the activities to
conduct and the administrative procedures to respect during EA process. Finally, section
7.9 identifies institutional responsibilities for EA process implementation.
7.1 Justification of the EA framework for regional power projects
As presented in the above section 4, the level of details of the environmental and social
impact assessment procedures and frameworks of the NBI countries varies significantly from
one to another. Some countries such as Egypt and Ethiopia do have comprehensive EIA
regulations and guidelines, whereas in some other countries (Burundi and Rwanda for
example), EIA is essentially based on general principles stated by the Law. Even DRC does
not have yet an environmental framework law, even though it is currently in preparation. In
addition, procedures of some countries provide for comprehensive EIAs in the case of major
projects and simplified EIAs for small projects (such as maintenance of existing facilities).
Key social issues, such as resettlement, indigenous communities, gender and cultural
heritage, are not always covered by EIA frameworks of each country. Considering the vision
of the NBI Vision which is to achieve sustainable socio-economic development through the
equitable utilization of, and benefit from, the Nile basin water resources, the key social
issues shall be properly taken into account while evaluating specific regional power projects
in the NBI countries.
No specific framework for power projects exists in the NBI countries. However, in Ethiopia
and Egypt for example, there are some EIA guidelines for power projects that can be
considered at the same level than international best practices.
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In general, EA frameworks of funding agencies, especially World Bank and European Union,
are much more detailed and restricting than frameworks of NBI countries. Apart from general
EIA guidelines, the funding agencies do not have also specific EIA frameworks for regional
power projects.
The International Hydropower Association (IHA) has a set of comprehensive sustainability
guidelines for hydropower projects, for new and existing power facilities. These guidelines
promote greater consideration of environment, social, and economic sustainability in the
assessment of new energy supply options, new hydro projects and the management and
operation of existing hydropower facilities. The guidelines provide guidance for aspects
related to the evaluation of alternative energy options, alternative hydropower options,
environmental assessment of hydropower projects, safety, management of existing
hydropower schemes, legal and institutional arrangements and environmental management
systems. The IHA guidelines provide useful information on the environmental, social and
economic aspects of sustainability.
In addition, the Southern African Power Pool (SAPP, 2001) has developed EIA Guidelines
for thermal power plants in the SAPP Region. The objective of these Guidelines is to provide
procedures for the systematic performance of consistent, cost-effective, responsive, and
approvable EIAs specific to thermal power projects in SAPP member countries.
Moreover, numerous EIA guidelines exist for the EIA of power transmission lines, such as
Hydro-Quebec’s approach, tools and methods covering the whole project cycle of
transmission lines and substations from feasibility to decommissioning, the EIA guidelines
for transmission lines within the Southern African Power Pool Region (1999), etc.
As presented in the above Section 3, numerous power projects involving more than one
country (transboundary projects) are planned for the near future in the NBI countries.
Indeed, the mission of the NBI and the RPTP in particular is to develop regional power trade
and markets among the NBOI countries. A harmonised EA framework will be required to
assess the environmental and social impacts of these projects according to the international
practices and to the NBI countries’ policies and regulations.
Considering the diversity of EA procedures and frameworks of the NBI countries, funding
agencies and international initiatives, as well as the potential transboundary power projects
in the pipeline, it is therefore justified to develop a comprehensive standard framework of
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integrated environmental and social impact assessment applicable to all NBI countries in the
frame of the NBI.
The main objective of the comprehensive EA framework which integrates environmental and
social issues of power projects is to contribute to the vision of the NBI, which is to achieve
sustainable socio-economic development through the equitable utilization of, and benefit
from, the Nile basin water resources. Another key objective is to plan and implement the
regional power projects according to best practices as far as sustainable development is
concerned.
7.2 Environmental assessment principles
Environmental assessment (EA) comprises a number of processes aiming to incorporate the
environment into the planning of operations and development of projects, programs plans or
policies. It is a systematic process for evaluating and documenting the possibilities,
capacities and functions of resources and of natural and human systems in order to facilitate
the planning of sustainable development and the decision process in general, as well as
forecasting and managing negative impacts and the consequences of development
proposals (André et al., 2004).
According to World Bank’s OP 4.01, the level, depth, and type of analysis of the EA process
depend on the nature, scale, and potential environmental impact of the proposed project. EA
consists:
Waterfalls on the Blue Nile
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• To evaluate a project’s potential environmental risks and impacts in its area of influence;
• To examine project alternatives;
• To identify ways of improving project selection, location, planning, design, and implementation by preventing, minimizing, mitigating, or compensating for adverse environmental impacts and enhancing positive impacts;
• To mitigate and manage adverse environmental impacts throughout project implementation. Preventive measures rather than mitigation or compensatory measures are more favourable.
For OP 4.01, EA considers (i) the natural environment (air, water and land), (ii) human health
and safety, (iii) social aspects (involuntary resettlement, indigenous peoples, and physical
cultural resources), and (iii) transboundary and global environmental aspects (climate
change, ozone-depleting substances, pollution of international waters, and adverse impacts
on biodiversity). EA considers natural and social aspects in an integrated way. It also takes
into account the variations in project and country conditions, the findings of country
environmental studies, national environmental action plans, the country’s overall policy
framework, national legislation, and institutional capabilities related to the environment and
social aspects, and obligations of the country under relevant international environmental
treaties and agreements. The Bank does not finance project activities that would contravene
such country obligations. EA is initiated as early as possible in project planning and
integrated closely with the economic, financial, institutional, social, and technical analyses of
a proposed project.
Environmental assessment processes or instruments include:
• Environmental studies and strategies, in the broad context of environmental action plans;
• Strategic environmental assessment, in the context of programs, plans and policies, sectoral and regional investments;
• Life cycle assessment, in order to consider the energy and materials used and discharged in the environment from a design to the disposal of a product;
• Environmental impact assessment, for projects and sometimes programs and activity plans;
• Environmental audit, in order to evaluate the compliance of operations with the rules, regulations, programs or policies of an organisation or a State.
An environmental impact assessment (EIA) is a “procedure to examine the environmental
consequences, both beneficial and adverse, of a proposed development project and to
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ensure that these consequences are taken into account in project design” (André et al.,
2004). An EIA, as proposed in this framework, takes into account impacts on both the
biophysical and human environment. It includes a whole range of specialised assessments
dealing with environmental, social, economic and health impacts, and risk analysis. It studies
the impacts of projects taken individually as well as the cumulative effects induced by the
combination of several projects and activities in time and space.
An environmental impact can be defined as the effect, for a period of time and within a
specific space, of a human activity on an environmental or human component, compared
with the “without project” situation. Figure 7.1 illustrates the notion of magnitude of an
environmental impact, which indicates the change in the value of a component of the
environment within which a project is located.
Figure 7.1 Illustration of an environmental impact
Indicator
With project
Impact magnitude
Without project
Implementation
Time Source: André et al., 2004
The general EIA process that is applied by most funding agencies and national
environmental agencies is illustrated on Figure 7.2. The EIA process begins when the
project proponent decides to undertake a project by presenting a project notice describing
the project to the authorities in charge of EIA. This first step is followed by the preliminary
screening in order to determine the importance of the environmental impact assessment
(EIA) study to conduct, i.e. simplified, detailed, management plan, etc. As previously
mentioned, World Bank OP 4.01 provides project categories (A, B or C) for which the level of
EIA is proportional to the anticipated importance of the project impacts.
If the preliminary screening determines that an EIA is required, the scoping is the next step
to undertake in order to define the scope of the EIA by preparing the terms of reference or
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guidelines of the study. Preliminary consultations of stakeholders can be required to conduct
the scoping of the EIA. The results of the scoping will generally include the main
environmental issues raised by the project, the timing and extent of analysis required, the
sources of relevant expertise and suggestions for mitigation measures.
The EIA studies (impact assessment, resettlement plan, environmental and social
management plan, etc.) are normally the responsibility of the project proponent who usually
calls for expertise to carry out the study according to international standards and
requirements of the funding agency. Additional public consultations shall be carried out
during the study. To conduct the EIA studies, the expertise can often rely on general sectoral
guidelines that must be adapted to the project background and environmental context.
Once the EIA studies are completed, the project proponent submits it to the relevant
authorities and will then be subjected to internal and if necessary, external review. The
internal review consists in checking the compliance between the terms of reference and the
EIA studies reports. The preparation of a technical analysis report is generally the result of
the internal review step. The external review is to get an impartial point of view of the
particular interests of various parties involved in the project, such as the persons affected by
the project (further public consultations).
The decision to go ahead with the proposed project is based on the internal and external
review reports and the conclusions of the EIA report conclusions. Finally, environmental
monitoring and follow-up measures normally recommended by the EIA study shall be
carried out during the whole construction and operation phases of the project.
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Figure 7.2 General EIA Process
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7.3 General EA process for regional power projects
The general process of the EA framework for regional power projects is illustrated on
Figure 7.3. This process follows the general EIA process that is applied by most funding
agencies and national environmental agencies explained in the previous section. In addition,
it integrates additional aspects such as the implementation of social sustainability, life cycle
assessment (LCA) and access to the Clean Development Mechanism (CDM). Additional
diagrams are provided in chapters 9 and 10 dealing with LCA and CDM respectively. The
implementation of this EA process will require a Regional EA Working Group (REAWG)
coordinated by an existing institution of the NBI. The proposed composition and
responsibilities of the REAWG are further discussed in Section 7.9 below dealing with the
institutional responsibilities of the EA process implementation.
Regional power projects include any hydropower,
thermal, geothermal and transmission lines projects
affecting or providing benefits to at least two NBI
countries, including projects likely to cause
significant adverse transboundary impacts, and/or
significant adverse impacts on international
heritage sites.
According to the Convention on Environmental Impact
Assessment in a Transboundary Context (called the
Espoo EIA Convention of 1991 prepared under the
auspices of the United Nations Economic Commission
for Europe), transboundary impacts can be defined as
any impact, not exclusively of a global nature (such as
climate change, ozone depletion, biodiversity, etc.),
within an area under the jurisdiction of a country caused
by a proposed activity which the physical origin is
situated wholly or in part within the area under the
jurisdiction of another country.
For the application of the Espoo (EIA) Convention, a proposed activity is likely to cause
significant adverse transboundary impacts by virtue of one or more of the following criteria:
Waterfalls on Nile River
Project notice
Environmental pre-screening
National EA process (NEAP)
Identification of documents to prepare
Non-objection of the Funding Agency
Non-objection of the Funding Agency
Deliverance of the environmental permit (if NEAP triggered)
Not triggered Triggered
REAP triggered
REAP screening
Cat. A & B1 projectsrequiring an EA and ESMP
Cat. B2 projectsrequiring an ESMP
Preparation of TOR for required documents
Approval of the scoping
Preparationof the studies
Publicconsultations
Reviewof compliance
Preparationof the ESMP
Internal review of the studies
Disclosure of the studies and public consultation (external review)
Reviewof compliance
Completionof the studies
ESMP implementationreporting
Control of the ESMP implementation
Supervision
Consultation of affected groups and local NGOs
REAP triggeredREAP not triggered REAP not triggered
Category BNo funding Category A
Not triggered Triggered
Regional EA process (REAP)
Environmental and social audit
Review of the audit
If objection
Not complying Not complying
PP
NEA
NEA NEA
REAWG
REAWG
FA
PP - NEA
NEA
PP
PP-NEATRC - FA
PPPP
NEA
PP
NEA
PP
Recommendationfor decision
NEA
Review of the process and decision
REAWGAppeal in case of disputed decision
PP - Nile TAC
FANEA PP
NEA
REAWG
PP
NEA
FA
Projectimplementation
Projectimplementation
NEAP studies
1
05_16005_Fig 7-3_cm_pc.ai
Environmental Assessment Process for Regional Power Investment Projects FIGURE 7.3
STEP 1
STEP 2
STEP 3
STEP 4
STEP 5
STEP 7
STEP 8
Any hydropower, thermal and geothermal power, and power transmission lines project in a NBI country.
PP Project proponent NEA National environmental agencyREAWG Regional EA Working GroupFA Funding agency TRC Technical review committeeNile TAC Nile technical advisory committeeESMP Environmental and social management plan
ABBREVIATIONSAU
DIT
ING
ESM
P IM
PLEM
ENTA
TIO
NR
EVIE
W
STEP 6
DEC
ISIO
N-M
AK
ING
IMPA
CT
ASS
ESSM
ENT
SCO
PIN
GSC
REE
NIN
GPR
E-SC
REE
NIN
G
1
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(a) Size: proposed activities which are large for the type of the activity;
(b) Location: proposed activities which are located in or close to an area of special
environmental sensitivity or importance (such as wetlands designated under the Ramsar
Convention, national parks, natural reserves, sites of special scientific interest, or sites of
archaeological, cultural or historical importance); also, proposed activities in locations where
they would likely have significant effects on the population;
(c) Effects: proposed activities with particularly complex and potentially adverse effects,
including those giving rise to serious effects on humans or on valued species or organisms,
those which threaten the existing or potential use of an affected area and those causing
additional loading which cannot be sustained by the carrying capacity of the environment.
International heritage sites are defined as any cultural, natural or mixed property that is on
the World Heritage List of UNESCO.
Figure 7.4 summarises the eight main steps of the EA framework for regional power
investment projects within the project cycle. The following sections (7.4 to 7.8 inclusively)
describe in details the eight steps of the EA framework for regional power projects. For each
step, activities to conduct and administrative procedures to follow are specified.
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Figure 7.4 Main steps of the EA process for regional power projects
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7.4 Project identification
At the project identification phase, the EA includes two steps:
Step 1: Preliminary screening
Step 2: Screening (or environmental screening)
7.4.1 Pre-screening (Step 1)
The pre-screening involves two main activities:
(1) the preparation of the project notice and;
(2) the analysis of the project notice.
7.4.1.1 Preparation of the Project Notice
The proponent of any hydropower, thermal and geothermal power and
transmission lines project in the NBI countries (Burundi, DRC, Egypt,
Ethiopia, Kenya, Rwanda, Sudan, Tanzania, and Uganda) has the
responsibility to prepare a project notice which the content is presented in
Box 7.1.
Box 7.1 Contents of a Project Notice
• Name and type of the project • Identification of the proponent • Nature and location of the project area; • Area that may be beneficially or adversely affected by the project; • Characteristics of the project design; • Activities to be undertaken during the construction and operation of the project; • Materials needed for construction and inputs required for operation; • Potential products and by-products, including wastes generated by the project; • Number of people that the project will employ and the economic and social
benefits to the local community, the nation and neighbouring countries; • Transboundary adverse environmental and social effects of the project, and
how they will be eliminated or mitigated; and • Any other matter, which may be required by the Environmental Agency of the
country of origin.
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The proponent shall submit five copies of the project notice to the National Environmental
Authority (NEA) of the project country of origin.
7.4.1.2 Analysis of the Project Notice
Upon reception of the project notice, the NEA has to analyse it to decide whether the power
project is subjected to the National EA Process (NEAP) or to the Regional EA Process
(REAP).
In all cases, whether the project involves only one or more than one country, the NEA shall
transmit the project notice with the results of its analysis to the Regional EA Working Group
(REAWG) in charge to coordinate the REAP, with copy of the project notice analysis to the
project proponent.
The analysis of a project notice shall include the information listed in Box 7.2.
Box 7.2 Contents of a Project Notice Analysis
• Name and type of the project • Identification of the proponent • Project country of origin • Other countries involved in the project • Potential significant adverse transboundary impacts • Potential significant adverse impacts on international heritage sites • Project subjected or not to the national EIA process • Project subjected or not to the regional EA process, with justification
Hydropower, thermal, geothermal and transmission lines projects are subjected to the REAP
if one of the following criteria is met:
• The project affects or provides benefits to at least two NBI countries;
• The project is likely to cause significant adverse transboundary impacts;
• The project is likely to cause significant adverse impacts on an international heritage site.
In any case that the REAP is triggered, it is not necessary to duplicate the process by
implementing the NEAP, because the REAP harmonizes the EA requirements of all
NBI countries and funding agencies in general.
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7.4.2 Screening (Step 2)
In the case that the pre-screening determines that the project proposal is submitted to the
REAP, the REAWG undertakes the proper screening of the project in order to determine the
category of the project and therefore, the types of environmental and social studies that will
need to be carried out before making the decision on the project.
The screening involves the following activities:
(1) Determination of the project category
(2) Identification of documents to prepare
(3) Non-objection by the funding agency
(4) CDM project screening (see Chapter 10)
Determination of project categories
The World Bank, African Development Bank and European Union
categorize the project proposals according to various criteria, such as
the type and scale of the project, location of the project, its
environmental and social impacts and the importance of these impacts.
The World Bank and AfDB use qualitative criteria, whereas the
European Union has quantitative criteria (thresholds).
The proposed EA framework for regional power projects suggests the following categories of
project:
• Category A if the project is likely to have significant adverse environmental impacts that are sensitive3, diverse, or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works and may be transboundary. The EIA for a Category A project examines the project’s potential negative and positive environmental impacts, compares them with those of feasible alternatives (including the “without project” situation), and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance. For a Category A project, the borrower is responsible for preparing the EIA report and other related documents such as a resettlement plan, if required, and an environmental and social management plan (ESMP).
3 A potential impact is considered “sensitive” if it may be irreversible (e.g., lead to loss of a major natural
habitat) or raise issues covered by OP 4.10, Indigenous Peoples; OP 4.04, Natural Habitats; OP 4.11, Physical Cultural Resources; or OP 4.12, Involuntary Resettlement.
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• Category B if the project potential adverse environmental impacts on human populations or environmentally important areas, including wetlands, forests, grasslands, and other natural habitats, are less adverse than those of Category A projects. These impacts are site-specific; few if any of them are irreversible; and in most cases mitigation measures can be designed more readily than for Category A projects. The scope of environmental assessment (EA) for a Category B project may vary from project to project, but it is narrower than an EA for Category A. Like Category A EA, it examines the project’s potential negative and positive environmental impacts and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance. Depending on the type of project and the nature and magnitude of the impacts, the EA report of a Category B project may include a limited environmental impact assessment, or an environmental and social management plan (ESMP) if an environmental and social analysis is not required and that typical mitigation measures are sufficient.
• The “no funding” category applying to projects that funding agencies do not finance in accordance to their policies. For example, the World Bank does not support projects that involve the significant conversion or degradation of critical natural habitats in accordance with its OP 4.04 – Natural Habitats. Other similar situations may occur, depending of the characteristics of the project and the funding agency involved in its financing.
Clear criteria are required to assign the proper category to a given power project. This EA
process defines such criteria only for category A projects (Table 7.1), meaning that if a given
project does not meet any of the Category A criteria, then it is automatically assigned to
category B, unless the “no funding” category applies for the reasons previously mentioned.
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
05-1
6005
– F
inal
Rep
ort –
Feb
ruar
y 20
08
Tec
sult
Inte
rnat
iona
l
7-17
Tab
le 7
.1
Cri
teri
a as
sig
nin
g C
ateg
ory
A t
o p
ow
er p
roje
cts
Typ
e an
d s
cale
of
the
pro
ject
L
oca
tio
n o
f th
e p
roje
ct
Imp
acts
an
d is
sues
N
atu
re o
f th
e im
pac
ts
Con
stru
ctio
n or
exp
ansi
on o
f:
• La
rge
dam
s an
d re
serv
oirs
(m
ore
than
10
Mm
3 res
ervo
ir)
Sou
rce:
EU
• P
ower
sta
tion
(K 2
00 M
W)
Sou
rce:
Can
adia
n E
A A
ct
• T
rans
mis
sion
line
s (K
220
kV
an
d >
15 k
m)
Sou
rce:
EU
• E
nviro
nmen
tal s
ensi
tive
area
s,
such
as
wet
land
s, h
abita
ts o
f th
reat
ened
spe
cies
, etc
. • O
ffici
ally
pro
tect
ed a
rea
• In
or
near
arc
haeo
logi
cal o
r hi
stor
ical
site
s
• In
inha
bite
d ar
eas,
whe
re
rese
ttlem
ent c
an b
e re
quire
d or
nu
isan
ces
of th
e pr
ojec
t can
si
gnifi
cant
ly a
ffect
the
loca
l po
pula
tions
• In
are
as o
f con
flict
s fo
r na
tura
l re
sour
ces
• A
long
wat
er b
ody,
in a
reas
of
grou
ndw
ater
rec
harg
e or
dr
inki
ng w
ater
sup
ply
• O
n la
nds
or in
wat
ers
with
pr
ecio
us r
esou
rces
(fis
herie
s,
min
eral
s, m
edic
inal
pla
nts,
fe
rtile
soi
ls, e
tc.)
• S
igni
fican
t pol
lutio
n lik
ely
to
affe
ct th
e qu
ality
of a
ir, w
ater
or
soil
• La
rge
scal
e ph
ysic
al
dist
urba
nce
of th
e si
te a
nd
surr
ound
ings
• S
igni
fican
t los
s of
fore
sts
or
othe
r na
tura
l res
ourc
es
• S
igni
fican
t cha
nge
in th
e hy
drol
ogic
al r
egim
e • P
rese
nce
of h
azar
dous
pr
oduc
ts in
sig
nific
ant q
uant
ity
• In
volu
ntar
y re
settl
emen
t and
ot
her
sign
ifica
nt s
ocia
l im
pact
s (s
ee B
ox 7
.3)
• Lo
ss o
r irr
ever
sibl
e de
grad
atio
n of
a n
atur
al h
abita
t and
loss
of
biod
iver
sity
or
ecol
ogic
al
func
tions
• R
isks
on
hum
an h
ealth
• Im
pact
s on
indi
geno
us
com
mun
ities
(se
e B
ox 7
.4)
• N
o m
itiga
tion
or c
ompe
nsat
ion
mea
sure
s in
the
proj
ect d
esig
n
• Ir
reve
rsib
le e
nviro
nmen
tal o
r so
cial
impa
ct
• N
eura
lgic
impa
ct (
trig
gerin
g a
safe
guar
d po
licy
of th
e W
orld
B
ank
– se
e T
able
7.2
bel
ow)
• Lo
cal o
r re
gion
al im
pact
, as
appo
sed
to s
ite s
peci
fic im
pact
• A
dver
se e
nviro
nmen
tal o
r so
cial
im
pact
of m
ajor
impo
rtan
ce
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Box 7.3 Involuntary resettlement at the screening step
The screening must identify if the project will require land acquisition or restriction of access to resources. Involuntary resettlement safeguard policy is triggered if a project causes people to lose land or other assets. The impacts covered include: 1. loss of housing or shelter; 2. loss of assets or access to assets; 3. loss of income sources or means of livelihood, whether or not the people
will have to move to another location. This includes people with formal property rights but also land held under customary rights and squatters residing on public lands. Involuntary loss of common property resources or access to resources without losing possession of them is also considered involuntary resettlement. Therefore, the project screening analysis should include a brief land acquisition assessment stating actual ownership, occupancy and use of the land identified for the purpose of the project. The land includes anything growing on or built on the land.
Box 7.4 Indigenous peoples at the screening step
The screening must identify whether indigenous peoples live in the project area or have collective attachment to the project area. In compliance with the World Bank policy (World Bank, OP 4.10 p.1-2)., the term “indigenous peoples” is used as a generic term to design distinct, vulnerable, social and cultural groups presenting the following characteristics in varying degrees:
a. “self-identification as members of a distinct indigenous cultural group and recognition of this identify by others;
b. collective attachment to geographically distinct habitats or ancestral territories and to the natural resources in these habitats and territories. “Collective attachment” means that for generations there has been a physical presence in and economic ties to lands and territories traditionally owned, or customary used or occupied, by the group concerned, including areas that hold special significance for it, such as sacred sites. “Collective attachment” also refers to the attachment of transhumant/nomadic groups to the territory they use on a seasonal or cyclical basis.
c. customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and
d. an indigenous language, often different from the official language of the country or region”
In conducting this screening, it might be necessary to get technical advice from social scientists and/or to consult indigenous communities representatives. If indigenous peoples do live in the project area or have collective attachment to the project area, the environmental assessment of the project shall include a specific indigenous peoples social assessment.
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Safeguard policies other than OP 4.01 triggered by the project and required actions
In addition to determine the environmental category and the EA instrument to undertake, the
environmental screening should allow to identify the safeguard policies of the World Bank
other than OP 4.01 triggered by the project and therefore, the documents required by these
policies (resettlement plan, indigenous communities plan, cultural property plan, etc.). As
previously mentioned, the World Bank safeguard policies potentially applicable to power
projects are the following:
OP 4.01: Environmental Assessment
OP 4.04: Natural Habitats
OP 4.10: Indigenous Peoples
OP 4.11: Cultural Property
OP 4.12: Involuntary Resettlement
OP 4.37: Safety of Dams
OP 7.50: International Waterways
On the basis of the description of these policies presented in the above Section 5, table 7.2
shows the situations that can trigger safeguard policies other than OP 4.01 and subsequent
actions to undertake.
Table 7.2 Situations triggering safeguard policies other than OP 4.01 and subsequent actions to undertake
Policy Trigger Actions
OP 4.04 Impacts on natural habitat or on critical natural habitat
� Mitigation and/or compensation measures
� No funding for projects affecting critical natural habitat
OP 4.10 Land acquisition, use of natural resources or restrictions on access to territories that indigenous people traditionally used or occupied
� Explore alternatives to the project design in order to avoid such territories
� Engage in free, prior and informed consultation with affected indigenous communities
� Elaborate an Indigenous Peoples Plan
OP 4.11 Impacts on physical cultural resources that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance
� Mitigation measures as part of the environmental management plan
� Measures range from full site protection to selective mitigation
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Policy Trigger Actions
OP 4.12 Permanent or temporary land acquisition that entails either: 1) loss of housing or shelter; 2) loss of assets or access to assets; 3) loss of income sources or means of livelihood, whether or not the people will have to move to another location.
� Elaboration of a Resettlement Action Plan (or of an abbreviated resettlement plan in certain circumstances).
OP 4.37 Construction of a new dam � Design and construction supervision by experienced and competent professionals
� Dam safety measures
OP 7.50 Hydroelectric project that involve the use of any water body that forms a boundary or flows through two or more states, and/or the use of a tributary of such water body
� Appropriate agreements or arrangements for the entire waterway or any part thereof between the riparian countries.
Environmental assessment instruments for regional power projects
The types of EA to undertake for each project category are presented in Table 7.3:
Table 7.3 EA instruments for regional power projects
Type of project EA instrument
Category A project EIA, including an ESMP, and Life Cycle Assessment (LCA)
Category B1: Category B project requiring an environmental and social analysis Limited EIA, including an ESMP
Category B2: Category B project not requiring an environmental and social analysis and for which typical mitigation measures are sufficient:
ESMP
No funding category No EA is required as the project is not retained
7.4.3 Environmental screening administrative procedure
The administrative procedure to undertake the environmental screening of a regional power
project is detailed in Table 7.4.
This procedure includes the preparation of an environmental screening form which content is
presented in Appendix 4. This form allows to identify the project category and the safeguard
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policies triggered by the project, as well as the documents required according to these
policies.
Table 7.4 Administrative procedure of environmental screening (steps 1 & 2)
No Action Responsibility Delay
1 Preparation of the project notice and transmission to the National Environmental Authority (NEA) of the project country of origin
Project proponent N/A
2 Pre-screening of the project notice and notification to the project proponent
NEA of the project country of origin
According to national legislation. If none, maximum 2 weeks after reception of the project notice
3 Transmission of the project notice analysis to the Regional EA Working Group Agency (REAWG)
NEA of the project country of origin
2 weeks after reception of the project notice
4 Validation of the project notice analysis and notification to the NEA(s) concerned by the project
REAWG 2 weeks after reception of the project notice analysis
5 Preparation of the Environmental Screening Form and transmission to the Funding Agency
REAWG 1 month after reception of the project notice analysis
6 Non-objection by the funding agency on the project category and safeguard policies triggered by the project
Funding agency 2 weeks after reception of the Environmental Screening Form
7 Transmission of all relevant information to the NEA(s) concerned by the project
REAWG 1 week after reception of the funding agency reply
Following environmental screening, if the project is modified or if new information become
available, the NEA and REAWG consider the relevance to change the category of the
project and if this the case, review the Environmental Screening Form and submits it again
to the funding agency for non-objection.
7.5 Project preparation
At the project preparation phase, step 3 and step 4 of the EA process are set in motion:
Step 3: Scoping (or environmental scoping)
Step 4: Impact assessment (or environmental assessment)
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7.5.1 Scoping (Step 3)
This section presents: (I) the administrative procedure of environmental scoping and (II)
special social issues to consider at the scoping step.
7.5.1.1 Environmental scoping main activities and administrative procedure
The objective of Environmental Scoping is to prepare the Terms of
Reference (TOR) of the environmental and social studies identified during
screening, according to the environmental and social issues highlighted in
the Environmental Screening Form, so that these studies comply with
applicable national legislation and policies of the funding agency.
This EA framework requires that scoping for the EA of a regional power
project be conducted by the project proponent in consultation with the
concerned NEA(s), and other interested stakeholders in the country of origin
of the project as well as in the country of impact in case of significant
adverse transboundary impact. The proponent has to prepare a scoping
report which presents the results of scoping and also constitutes part of the
Terms of Reference of the EA.
Environmental scoping involves the following activities:
(1) preliminary consultation of stakeholders
(2) the preparation of the TOR for the required documents
(3) approval of the scoping.
(4) step 1 of LCA (Goal and scope of the project – see Chapter 9)
(5) preparation of the project design document (PDD) for CDM application (Chapter 10)
At the scoping stage, preliminary consultation of stakeholders has the following objectives:
• To identify project stakeholders;
• To identify existing local information and traditional knowledge sources;
• To inform potential stakeholders of the ongoing EIA process and of the need for their inputs;
• To identify the local perceptions of the social and environmental key issues of the project.
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Scoping involves visiting the project site and consultation with potentially affected groups,
relevant governmental agencies, and representatives of other interested stakeholders
including local non-governmental organizations (NGOs). This will include meetings to obtain
their comments on what environmental and social issues the EA shall consider. The
methodology for public consultations is provided in Appendix 3.
The project proponent shall prepare the TOR of the required studies and these shall be
reviewed and approved by the NEA of the project country of origin. In case of significant
adverse transboundary impacts, the NEA of the country of impact should also be consulted.
The contents of TOR for an EIA, a Resettlement Action Plan (RAP) and Abbreviated RAP of
a category A project are presented in Appendix 5 and 6. For a Category B project requiring
an EIA, the scope of the TOR can be reduced in accordance with the nature of the project,
its potential impacts and the environment in which it is proposed.
The administrative procedure to undertake the environmental scoping (step 3 of the EA
process) of a regional power project is detailed in Table 7.5.
Table 7.5 Administrative procedure of environmental scoping (step 3)
No Action Responsibility Delay
1 Notification to the project proponent to begin scoping
NEA of the project country of origin
1 week after reception of all relevant information from the REAWG
2 Selection of the consultant to prepare the TOR of the studies
Project proponent N/A
3 For category A projects, consultations of affected communities and local NGOs
Consultant and NEA N/A
4 Preparation of the scoping report, including the TOR of the required documents according to screening results, and transmission to NEA of the project country of origin
Consultant N/A
5 Transmission of the scoping report to the NEA of the country of impact in case of significant adverse transboundary impacts
NEA of the project country of origin
1 week after reception of the TOR
6 Transmission of comments on the TOR to the NEA of the project country of origin
NEA of the country of impact
2 weeks after reception of the TOR
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No Action Responsibility Delay
7 Approval of the TOR and notification to the project proponent
NEA(s) 1 month following the reception of TOR from the Project proponent
8 Transmission of all documents to the REAWG
NEA of the project country of origin
1 week after approval of the TOR
7.5.1.2 Special social issues to consider at the scoping step
The social issues triggered by power and interconnection projects are involuntary
resettlement, poverty reduction and socio-economic development, public health, gender,
vulnerable groups, indigenous communities and, historical and cultural sites. The objective
of the scoping is to assess the extent of these issues in the project in order to identify the
scope of studies that shall be carried out during project preparation. Most issues will be
integrated in the terms of references of the Environmental Impact Assessment. However,
involuntary resettlement and indigenous peoples issues will require special studies. The
scoping shall determine the type and scale of these issues to establish the level of surveys
and documentation required.
I. Involuntary resettlement
Generally, involuntary resettlement is one of the major social issues of power projects.
Therefore, the screening will categorize the project to establish which type of study and
planning instrument shall be used for the resettlement:
1. A Resettlement Action Plan (RAP) or;
2. An abbreviated resettlement plan.
A Resettlement Action Plan is required for any project that entails involuntary resettlement
for 200 or more severely affected persons because of:
• Physical displacement due to loss of land;
• Permanent lost of more than 10% of the person’s productive assets.
An abbreviated resettlement plan may be used if the project impacts are minor. The
impacts are considered minor if one of the following conditions occurs:
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• Less than 200 persons are physically displaced;
• The number of affected people is more than 200 but they are not physically displaced and they lose less than 10% of their productive assets.
In order to define exactly which type of resettlement instrument shall be used, the scoping
needs an estimation of the number of people who will:
• loose their house or shelter;
• loose their productive assets or access to these assets;
• loose their income sources or means of livelihood.
It is likely that a RAP will be required for most NBI projects at the Environmental and social
impact assessment stage. A RAP is the most detailed planning instrument for resettlement.
Preparation of the RAP is a major task of the EIA.
Appendix 6 provides the Terms of Reference for a Resettlement Action Plan and for an
Abbreviated resettlement plan. It also provides the overall objectives and the guidelines for
preparing a resettlement instrument in accordance with the World Bank and the African
Development Bank standards.
II. Indigenous peoples
If indigenous peoples do live in the project area or have collective attachment to the project
area, the environmental assessment of the project shall include a specific indigenous
peoples social assessment to.
• Evaluate the project’s potential impacts on the indigenous communities;
• Examine project’s alternative to avoid significant adverse affects on these communities especially their physical relocation;
• If alternatives cannot totally avoid involuntary restrictions or resettlement, engage in free, prior and informed consultation with indigenous communities.
Appendix 7 gives details on the items that should be covered by an indigenous peoples
social assessment.
The indigenous peoples social assessment must provide the project proponent all
information to determine whether or not the affected indigenous communities give a broad
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support to the project. Such a support will be a condition to proceed with the project. If such
a support is confirmed and the project planning is carried on, the project proponent will need
to elaborate an Indigenous Peoples Plan (IPP). The IPP will specify the measures required
to ensure that indigenous peoples receive social and economic benefits from the project.
The proposed measures will be detailed and their cost will be budgeted for. The IPP will be
integrated in the project design. Appendix 7 provides Terms of references to conduct an IPP.
7.5.2 Impact Assessment (Step 4)
This step comprises three main activities:
(1) Preparation of the studies, including steps 2 to 5 of LCA
(2) Public consultations
(3) Review of compliance
7.5.2.1 EA Instruments
Based on the information from the scoping exercise as required in the
Terms of Reference, the proponent or normally its consultant carries out
the EA of the power project submitted to the Regional EA process. The
above Table 7.3 presents the EA instruments to be used for each category
of regional power projects.
Manantali dam
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Category A projects require a full EIA, an ESMP, a LCA and social studies if required by this
EA framework. The EA of a Category B project may include a limited environmental impact
assessment, or only an environmental and social management plan (ESMP) in the case that
an environmental and social analysis is not required. Guidelines to conduct a LCA are
presented in Chapter 9 below.
Environmental Impact Assessment
First, it is important to underline that an EIA report for a Category A project shall focus on the
significant environmental and social issues of the project. The scope and level of detail of the
report shall be representative of the potential impacts of the project. The EIA for a Category
A project examines the project’s potential negative and positive environmental impacts,
compares them with those of feasible alternatives (including the “without project” situation),
and recommends any measures needed to prevent, minimize, mitigate, or compensate for
adverse impacts and improve environmental performance.
Box 7.5 Contents of an EIA Report
• Executive Summary, presenting in a non-technical language a concise summary of the
EIA Report with a particular attention on the methodology of the study, baseline conditions, alternatives considered, mitigation/enhancement/monitoring measures, public consultations, institutional aspects, and cost implications. This Executive Summary shall be written in English and in the local language of the project area, if necessary for public consultations.
• Introduction, presenting the purpose of the EIA, an overview of the proposed project to
be assessed, including its purpose and needs, the project proponent and the consultant assigned to carry out the EIA, and mentioning the contents of the EIA Report and the methods used to carry out the study.
• Policy, Legal, and Administrative Framework, describing the relevant environmental and
social policies of the funding agency and project country of origin, national legal requirements and relevant international environmental agreements ratified by the country.
• Project Description and Justification describing the project location, various project
components, capacity, construction activities, facilities, staffing, working conditions, availability and source of raw materials, production methods, products, schedule of works, land tenure, land use system, potential beneficiaries, affected groups, including any offsite investments that may be required (i.e. access roads, water supply, housing for workers, and raw material and product storage facilities), and the need for any resettlement plan or indigenous peoples development plan.
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• Description of the Project Environment, first fixing the limits of the study area that shall encompass all project direct and indirect impacts, then describing the relevant physical, biological, and socioeconomic conditions, including any changes anticipated before the project commencement, and by paying particular attention to rare, threatened, sensitive or valorised environmental and social components.
• Public Consultations, summarising the actions undertaken to consult the groups affected
by the project, as well as other concerned key stakeholders including Civil Society Organisations. Detailed records of consultation meetings shall be presented in annex to the EIA Report. The records will include: location and day of the meeting, name of all participants, issues that have been raised.
• Analysis of alternatives, i.e. comparison of feasible alternatives to the proposed project
site, technology, design, and operation, including the “without project” scenario, in terms of their potential environmental impacts incorporating life cycle and system approach, feasibility of mitigating these impacts, capital and recurrent costs, suitability under local conditions, and institutional, training, and monitoring requirements.
• Potential Impacts and Mitigation/Enhancement Measures, presenting the methodology of
impact assessment, the detailed analysis of beneficial and adverse impacts of the selected project alternative on the physical, biological and human (social, cultural and economic) environments, indicating the importance and probability of the impacts. Irreversible impacts shall be clearly identified. Cumulative effects shall also be addressed taking into account other projects or actions planned in the study area. Appropriate mitigation measures shall be identified to prevent, minimise, mitigate or compensate for adverse environmental and/or social impacts. Moreover, enhancement measures shall be developed in order to improve project environmental and social performance.
• Accident Risk Management Plan, including safety measures and preliminary emergency
plan for the construction and operation phases of the project including potential accident scenarios, major actions to properly react to accidents, responsibilities and means of communications. For projects that may cause major accidents whose consequences may exceed the project site (such as dam failure), the EIA shall include an analysis of the risk of accident including the identification of hazard and potential consequences, estimation of the consequences’ magnitude and frequency, and risk evaluation (see Appendix 8 for more details).
• Environmental and Social Management Plan (ESMP), including mitigation and safety
measures, monitoring, and institutional capacity building (see details hereafter). • Conclusion, stating the environmental and social acceptability of the project, taking into
account the impacts and measures identified during the assessment process. It shall also identify any other condition or external requirement for ensuring the success of the project.
• Appendixes, including the list of EA report preparers, consulted documents, record of
interagency and consultation meetings, including consultations for obtaining the informed views of the affected people and local (NGOs).
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Environmental and Social Management Plan
The environmental and social management plan (ESMP) consists in the set of mitigation,
monitoring, and institutional measures to be taken during implementation and operation of
the project to eliminate adverse environmental and social impacts, offset them, or reduce
them to acceptable levels. The plan also includes the actions needed to implement these
measures. In summary, the EA team shall (i) identify the set of responses to potentially
adverse impacts; (ii) determine requirements for ensuring that those responses are
effectively implemented and in a timely manner; and (iii) describe the means for meeting
those requirements.
Box 7.6 Contents of an ESMP
• Impacts Mitigation: summarizes all anticipated significant adverse environmental and
social impacts; describes feasible and cost effective measures to address these impacts, in order to increase project benefits (enhancement measures) or to reduce potentially adverse environmental and social impacts to acceptable levels (mitigation measures). Each measure shall be described in detail, providing all technical information required for its implementation (design, equipment description and operating procedures, as appropriate).
• Environmental and social monitoring: provides specific description, and technical details,
of monitoring measures, including the parameters to be measured, methods to be used, and definition of thresholds that will signal the need for corrective actions; also provides monitoring and reporting procedures to ensure early detection of conditions that necessitate particular mitigation or corrective measures, as well as information on the progress and results of mitigation.
• Responsibilities and Institutional Arrangements: identifies the responsibilities of the
funding agency, project country of origin, implementing agencies and other stakeholders in applying the ESMP, particularly the mitigation and monitoring measures. In addition, the ESMP shall propose support to the organisations that may have insufficient capacities to fulfil their obligations. This support could be provided through various means including technical assistance, training and/or procurement.
• ESMP Schedule and Costs Estimate: Implementation schedule taking into account all
activities related to the proposed mitigation and monitoring measures, as well as institutional arrangements. This schedule shall be coordinated with the overall project implementation plan.
• Integration of the ESMP with Project: integration of the ESMP into the project’s overall
planning, design, budget, and implementation, in order to be funded and supervised along with the project’s other components.
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7.5.2.2 Environmental Assessment Administrative Procedure
The administrative procedure to undertake the environmental assessment (step 4 of the EA
process) of a regional power project is detailed in Table 7.6.
Table 7.6 Administrative procedure of environmental assessment (step 4)
No Action Responsibility Delay
1 Selection of the consultant(s) to carry out the studies
Project proponent N/A
2 Preparation of the environmental and social studies
Consultant According to TOR
3 For category A projects, consultations of affected communities and local NGOs
Consultant According to TOR
4 Submission of the draft reports of the studies to the NEA of the project country of origin
Consultant According to TOR
5 Review of compliance of the draft reports and emission of compliance or non-compliance notice to the consultant
NEA 2 weeks after reception of the reports
6 In case of non-compliance, revision of the reports
Consultant N/A
7 Transmission of the draft reports to the NEA of the country of impact in case of significant adverse transboundary impacts
NEA of the project country of origin
1 week after emission of compliance notice to the project proponent
7.6 Project appraisal and approval
At the project appraisal and approval phase, steps 5 and 6 of the EA
process are set in motion:
Step 5: Review of the studies
Step 6: Decision making
7.6.1 Review of the studies (Step 5)
The review of the studies comprises three main activities:
(1) Internal review of the studies, including the national approval of
a CDM project
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(2) External review through disclosure and public consultation
(3) Completion of the studies
The review of the studies aims to establish whether the information provided is sufficient and
complete and complies with the terms of reference. It judges the reliability of analysis and
interpretation of data to find if it is consistent with the stated methodology and state of
scientific knowledge. Further, it establishes the relevance of the findings in the studies for
decision-making. In order to ensure objectivity in the review of EIA reports, a
multidisciplinary review team shall be established. The objectives of the review process are
the following:
• To determine whether the project EIA report constitutes a sufficient assessment of environmental and social impacts and to evaluate its relevance and quality for decision-making purposes;
• To gather a variety of opinions expressed by stakeholders concerning the acceptability of the project and the quality of the EIA process undertaken;
• To ensure that the EIA report and process comply with this EA framework;
• To establish whether the project complies with the policies of the project country of origin and the funding agency.
The review process shall include the analysis of the required studies and recommendations
for the decision-maker. The following steps for EA review have been identified by the
Regional EA Guidelines for Shared Ecosystems of the East African Community (EAC, 2006):
• Set the boundaries and scope of the review: the composition of the EA review team will depend on the significant environmental and social issues being addressed.
• Identify review criteria (examples are provided in Box 7.7): the TOR should be used as the main basis for identifying the review criteria (project objectives and description, baseline data, alternatives, environmental and social impacts, mitigation, monitoring, etc.). Special consideration should be given to significant adverse transboundary impacts and impacts on international heritage sites.
• Use input from public stakeholders: helps to check and determine the quality of descriptions in the EIA, including the description of the environment, the importance of the potential impacts and the acceptability of the possible alternatives; public review and hearings can provide significant stakeholder inputs.
• Carry out the review: by identifying the deficiencies in the EIA, focusing on crucial shortcomings observed in the report.
• Determine the required remedial measures: either the need for a supplement to the EIA (or a new EIA) in case of significant shortcomings; attaching conditions for implementation in case of easily rectifiable shortcomings; or need for clarification in case of minor shortcomings.
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• Publish the review report: this is essential to ensure the objectivity and transparency of the whole process.
Box 7.7 EIA review criteria
• Compliance with the approved Terms of Reference • Consistence/compliance with applicable laws, policies, and existing guidelines • Sufficient quantitative information to make an informed decision about environmental and
social components with a high degree of confidence • Statement of confidence in findings • Statements regarding gaps in information, uncertainties, risks • Assessment of the project impacts on the environment, especially transboundary
impacts • Determination of the costs of mitigating and compensation measures • Probability of significant indirect and/or cumulative effects • Clear statement of likely irreversible or irreplaceable impacts • Consistence with all environmental planning frameworks and policies • Clear statement of any advantages for, or benefits to, the environment Source: Regional EA Guidelines for Shared Ecosystems of the East African Community (EAC, 2006)
According to the above Table 7.3, the environmental and social studies of regional power
projects in NBI countries include:
• An EIA, including an ESMP, for all projects of Category A and for most projects of Category B (Category B1);
• An ESMP for Category B projects which do not require an environmental and/or social analysis and for which typical mitigation measures are sufficient (Category B2);
• A Life Cycle Assessment for Category A projects;
• Social studies, such as resettlement plan and indigenous community plan, in accordance with the policies of the funding agency.
In order to comply with the environmental and social policies of funding agencies and
regulations of NBI countries, the review of the studies shall include internal and external
review processes.
However, the ESMP of Category B projects which do not require an environmental and/or
social analysis can be approved directly by the NEA of the project country of origin, before
the non-objection by the funding agency.
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7.6.1.1 Internal review
Following the emission of compliance to the consultant in charge of preparing the studies,
the NEA of the project country of origin has the responsibility to establish an ad hoc technical
review committee (TRC). Members of this committee may include representatives of the
following organisations:
• NEA of the project country of origin;
• NEA of the country of impact, in case of significant adverse transboundary impacts;
• Environmental unit of the power utility of the project country of origin;
• Environmental unit of the Ministry responsible for Electricity.
Each member of the TRC participates in the technical evaluation of the studies, integrates
relevant environmental, social and sectoral dimensions and prepares technical evaluation.
The NEA of the project country of origin is responsible of the evaluation process, ensures
the coordination of the TRC activities and prepares the Internal Review Report. The NEA
can consult other ministries or environmental organisations concerned by the project or
request the services of other experts to accomplish the review of the EA studies.
The structure of the Internal Review Report may follow the contents of the scope of work
included in the TOR of the studies, or the typical table of contents of an EIA report as
indicated in this EA framework. For each item, comments shall indicate if the information is
appropriate and complete, or not. If not, they should clearly state what is lacking and what
should be done to comply with the TOR.
7.6.1.2 External review (Disclosure of the studies and public consultation)
Involvement of, and inputs from stakeholders, interest groups and affected groups, form an
integral part of the objectivity and transparency of the review process.
Public consultation is a very important cross-cutting issue for all World Bank safeguard
policies. Public consultation is required by OP 4.01 as well as OP 4.10 and OP.4.12. The
disclosure of project information to the population is requested by The World Bank Policy on
Disclosure of Information. Therefore, proponents of all category A or B projects, are
compelled to disclose relevant project documentation prior to the consultations. The
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documentation shall be written in a language understandable by the affected parties and it
shall be properly disseminated.
For category A and B projects, the proponent must provide the parties with an appropriate
abstract of the conclusions of the EIA preliminary reports. These preliminary reports must be
made available to affected parties and local NGOs in an accessible public location.
Afterwards, public consultation sessions must be held to receive the comments of the parties
on the preliminary reports. These comments shall be taken into account in the final reports.
Records of the sessions shall be held and put in appendix to the final reports.
7.6.1.3 Completion of the studies
Following the internal and external review of the studies, the Consultant of the Project
Proponent shall prepare the final version of the required studies, on the basis of the Internal
Review Report, the Public Consultations records and the comments of the funding agency
on the draft version of the studies transmitted by the NEA of the project country of origin.
Once completed, the project proponent submits to the NEA of the project country of origin
the final version of the required studies.
7.6.2 Decision-making (Step 6)
At the end of the review of the studies, the NEA of the project country of
origin submits all final documents to the Regional EA Working Group
(REAWG) along with its recommendation on the regional power project.
In light of the NEA’s recommendation, based on the report of the TRC, the
minutes of the public consultations and the contents of the final report of the
required studies, the REAWG makes the final decision concerning the
project. This decision may be to authorize the project, with or without
changes and under the conditions that the REAWG determines, or to turn
down the project.
In case that the Project Proponent disputes the decision of the REAWG,
then the case could be referred to a higher instance of the Nile Basin
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Initiative, such as the Nile Technical Advisory Committee (Nile-TAC) or even the Council of
Ministers of the Nile Basin Countries (Nile-COM).
Following the decision of the REAWG or the settlement of the dispute by the higher instance
of the NBI, the case is submitted to the funding agency for non-objection on the decision.
Finally, in case that the National EIA Process was identified at the screening step as
applicable to the project proposal, then the NEA of the project country of origin delivers the
relevant environmental permit. As mentioned in the section on screening, in any case that
the REAP is triggered, it is not necessary to duplicate the process by implementing the
NEAP, because the REAP harmonizes the EIA requirements of all NBI countries and funding
agencies in general.
7.6.3 Review and Decision-making Administrative Procedure
The administrative procedure to undertake the review and decision-making (steps 5 & 6 of
the EA process) of a regional power project is detailed in Table 7.7.
This table describes all activities that lead to the decision on a proposed regional power
project in the NBI countries. Following the approval, non-objection of the funding agency and
deliverance of the environmental permit, an important step consists to ensure that the
environmental and social measures recommended by the studies be integrated in the tender
and contracting documents.
Table 7.7 Administrative procedure of the review and decision-making (steps 5 & 6)4
No Action Responsibility Delay
1 Emission of compliance notice to the consultant
NEA of the project country of origin
2 weeks after reception of the reports
2 Transmission of the draft environmental and social studies to the funding agency
NEA of the project country of origin
1 week after the emission of the compliance notice
3 Provision of the draft environmental and social studies at a public place accessible to project-affected groups and local NGOs
Project proponent and NEA
1 week after the compliance notice emission
4 Establishment of the Technical Review Committee
NEA of the project country of origin
2 weeks after the compliance notice emission
4 This process does not apply to Category B2 projects requiring only an ESMP.
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No Action Responsibility Delay
5 Analysis of the draft environmental and social studies and preparation of the Internal Review Report
Technical review Committee
2 months after the compliance notice emission
6 Public consultations in the project area Project proponent and NEA
2 months after the compliance notice emission
7 Transmission of comments on the draft studies to the NEA of the project country of origin
Funding agency 2 months after the compliance notice emission
8 Transmission of the Internal Review Report, Public Consultations Minutes and comments of the funding agency to the Project Proponent consultant
NEA of the project country of origin
2 months after the compliance notice emission
9 Completion of the environmental and social studies and transmission to the NEA of the project country of origin
Consultant N/A
10 Transmission of all final documents along with recommendation for decision to the REAWG
NEA 2 weeks following the reception of final reports
11 Review of the EA process and decision on the project
REAWG 2 weeks following the reception of final reports
12 Transmission of all final documents along with the decision to the funding agency and the NEA
REAWG 2 weeks following the reception of final reports
13 Deliverance of the environmental permit, in case that the NEAP is triggered
NEA After the non-objection of the funding agency
14 Integration of environmental and social measures recommended by the studies in the tender documents and contracting documents
Project proponent and NEA
After the deliverance of the environmental permit
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7.7 Project Implementation and Supervision
At the project implementation and supervision phase, the EA step 7 is set in motion. Step 7
consists basically in implementing the environmental and social management plan (ESMP).
7.7.1 ESMP implementation (Step 7)
This step includes the following activities:
(1) Implementation of the mitigation, monitoring and institutional measures by the project proponent
(2) Control of the ESMP implementation by the NEA
(3) Supervision by the funding agency
(4) Verification and certification of a CDM project
The project proponent shall ensure, during the whole life of the power
project, that the measures identified to offset, mitigate or compensate the
environmental and social adverse impacts are properly executed. This
requires the involvement of at least one environmental and/or social officer
on site in order to verify the implementation of the proposed measures. The
supervisor(s) shall have the authority to modify the schedule or methods of
work in order to reach the objectives of protecting the natural and human environments, if
necessary.
The main objective of monitoring activities is to measure and evaluate the project impacts on
affected environmental and social components and to implement remedial measures, if
necessary. Monitoring activities allow to evaluate the accuracy of the potential environmental
and social impact assessment, as well as the effectiveness of the recommended mitigation
measures. Moreover, they allow to detect any unanticipated environmental or social impact
which may occur during project implementation or operations and to adjust project activities
accordingly.
The monitoring activities intent to quantitatively estimate the real impacts of a project on
affected environmental and social components. They shall be overseen by a specialist with
environmental or social expertise, according to the responsibilities and institutional
arrangements defined in the ESMP.
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Monitoring activities are based on indicators that measure changes over time of key
environmental and social components affected by the project interventions. Therefore, for
each major or undetermined environmental or social impact identified in the EIA and/or
ESMP, an indicator shall be established to monitor the impact during project implementation
and/or operations.
The selected indicators shall be easily measurable according to a pre-determined schedule,
in order to adjust project implementation activities in case of unanticipated or non-mitigated
adverse impacts. The proponent shall regularly report monitoring.
Adequate project funding shall be allocated to relevant agencies for efficient monitoring.
During project implementation, the project proponent shall periodically report to the NEA and
the funding agency on:
• compliance with the measures agreed upon in the ESMP;
• the status of mitigation measures;
• the findings of monitoring programs.
The control of the ESMP implementation is the responsibility of the NEAs of the project
country of origin and country of impact.
Finally, the funding agency bases the supervision of the project’s environmental aspects on
the findings and recommendations of the EA, including measures set out in the ESMP and
other project documents.
Power transmission line
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7.7.2 Administrative procedures for the ESMP implementation
The administrative procedure to undertake the ESMP implementation of a regional power
project is detailed in Table 7.8.
Table 7.8 Administrative procedure of the ESMP implementation (step 7)
No Action Responsibility Delay
1 Designation of an officer in charge to verify the implementation of the ESMP measures
Project proponent As soon as possible following the project approval
2 Integration of environmental clauses in tender documents
Project proponent As soon as possible following the project approval
3 Implementation of the mitigation measures
Contractors and operators
During project construction and operation
4 Verification of mitigation measures implementation
Environmental officer of the project proponent
During project construction and operation
5 Supervision Funding agency During project construction and operation
6 Reporting mitigation implementation to the NEA and funding agency
Environmental officer of the project proponent
In accordance with the ESMP
7 Environmental and social monitoring Project proponent consultant
In accordance with the ESMP
8 Reporting monitoring results to the NEA and funding agency
Project proponent consultant
In accordance with the ESMP
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7.8 Project Post-Evaluation
7.8.1 Auditing (Step 8)
At the project post-evaluation phase, the EA step 8 is set in motion.
Step 8 concerns auditing. It comprises two main activities:
(1) Environmental and social audit
(2) Review of the audit
Auditing consists basically in evaluating the effective environmental and
social performance of the project, by noting notably if the environmental
and social impacts caused by the project were anticipated in the EA
report, and noting also the effectiveness of the mitigation measures taken.
Therefore, before the project decommissioning, the proponent shall
undertake an environmental audit of the project to establish the resulting
state of the natural and human environments once the project has been
implemented.
Environmental auditing is an objective examination of whether or not practice complies with
expected standard. Broadly, environmental auditing means to check the results of the
environmental management during the project implementation and implies testing and
verification. Auditing deals with the organization of monitoring data to establish the record of
change associated with a project and the comparison of actual and predicted impacts for the
purpose of assessing the accuracy of predictions and the effectiveness of impact
management practices and procedures.
The environmental audit provides a systematic evaluation of environmental and social
information on the extent to which a project complies with relevant policies and national
regulations as well as with the project ESMP. In general, audits undertaken at the project
completion phase shall help to better design future projects.
In general, Category A projects require a full audit, whereas Category B projects require a
desk audit.
The full audit consists in a systematic, independent and documented process for obtaining
evidence and evaluating objectively the extent to which audit criteria are fulfilled. The full
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audit requires a field mission. The desk audit is based on a desk review of environmental
and social information provided during monitoring.
The auditing process includes
three phases: (i) audit
preparation, (ii) auditing
activities, and (iii) audit reporting.
The aim of the audit preparation
is to plan the audit activities so
that the audit can be conducted
effectively and efficiently. It
includes the preparation of the
audit TOR, if necessary, audit
plan and audit questionnaire.
Other documents may be prepared such as registers, the audit checklist, and the template
for the audit report. This phase also involves the identification of the audit team and
associated tasks.
For a full audit, the on-site auditing activities involve an opening meeting with the proponent,
document review, inspections, interviews, team meetings, preparation of audit findings and
conclusions and a closing meeting with the project proponent.
On the other hand, a desk audit involves the review of available project documentation, the
audit questionnaire and other relevant documents collected for this purpose. Audit findings
shall be communicated to the project proponent.
The final phase of an audit involves the production of the audit report presenting the findings,
conclusions and recommendations.
7.8.2 Administrative procedures for the audit
The administrative procedure to undertake the environmental and social audit (step 8 of the
EA process) of a regional power project is detailed in Table 7.9.
Power substation
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Table 7.9 Administrative procedure of project auditing (step 8)
No Action Responsibility Delay
1 Selection of the consultant to prepare the TOR of the environmental audit
Project proponent N/A
2 Preparation of the TOR of the environmental audit and transmission to NEA of the project country of origin
Consultant N/A
3 Transmission of the TOR to the NEA of the country of impact in case of significant adverse transboundary impacts
NEA of the project country of origin
1 week after reception of the TOR
4 Transmission of comments on the TOR to the NEA of the project country of origin
NEA of the country of impact
2 weeks after reception of the TOR
5 Approval of the TOR and notification to the project proponent
NEA(s) 4 weeks following the reception of TOR from the Project proponent
6 Preparation of the audit and transmission of the draft to the NEA of project country of origin
Consultant According to TOR
7 Transmission of the draft audit to the NEA of the country of impact in case of significant adverse transboundary impacts
NEA of the project country of origin
1 week after reception of the audit
8 Transmission of the draft audit to the funding agency
NEA of the project country of origin
1 week after reception of the audit
9 Transmission of comments on the draft audit to the NEA of the project country of origin
Funding agency and NEA of country of impact
1 month after reception of the audit
10 Transmission of comments to the Project Proponent consultant
NEA of the project country of origin
1 month after reception of the audit
11 Completion of the environmental audit and transmission to the NEA of the project country of origin
Consultant N/A
12 Transmission of all final documents to the REAWG
NEA 2 weeks following the reception of final reports
7.9 Institutional Responsibilities in the EA Process Implementation
Various stakeholders will be involved in the implementation of the whole EA framework for
regional power projects. Table 7.10 resumes the responsibilities of each responsible
organisation. In addition, Figure 7.5 presents the organisational chart of the EA process
implementation.
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Table 7.10 EA framework implementation responsibilities
Main steps Activities Responsible organisation
• Preparation of the power project notice Project proponent (PP) 1. Pre-screening
• Screening of the project against NEAP and REAP triggering criteria
National environmental agency (NEA)
• Determination of the project category (A or B)
Regional EA Working Group (REAWG)
• Identification of the documents to prepare REAWG
2. Screening
• Non-objection Funding agency (FA)
• Consultation of affected groups and local NGOs
PP and NEA
• Preparation of the terms of reference for required documents
PP
3. Scoping
• Approval of the scoping NEAs of countries of origin and impact
• Preparation of the studies PP
• Public consultations PP
4. Impact assessment
• Review of compliance NEA
• Internal review of the studies Technical review committee (TRC) and FA
• Disclosure of the studies and public consultation (external review)
PP and NEA
5. Review of the studies
• Completion of the studies PP
• Recommendation for decision NEA
• Review of the process and decision REAWG
• Appeal in case of disputed decision PP – Nile technical advisory body (Nile TAC)
• Non-objection FA
6. Decision-making
• Deliverance of the environmental permit NEA
• ESMP implementation reporting PP
• Control of the ESMP implementation NEA
7. ESMP implementation
• Supervision FA
• Environmental and social audit PP 8. Auditing
• Review of the audit NEAs
The implementation of this regional EA process will require the involvement of a Regional
EA Working Group (REAWG) coordinated by an existing institution of the NBI to be identified
during the operationalization phase of this EA framework (see Chapter 11 below), as agreed
upon by all NBI countries.
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The proposed composition of the REAWG is the following:
• One director, senior expert in environmental assessment of power projects;
• One social sciences expert specialised in social assessment of power projects;
• Support staff.
The main responsibilities of the REAWG would be the following:
• Coordination of the implementation of the EA framework for regional power projects;
• Determination of the category of projects subjected to the EA framework;
• Identification of the documents to prepare for each project subjected to the EA framework;
• Review of the EA process for each subjected project and decision-making regarding the project;
• Review of the EA framework when necessary.
Nile
Bas
in In
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ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
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ewor
k fo
r R
egio
nal P
ower
Pro
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s in
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Fig
ure
7.5
O
rgan
isat
ion
al c
har
t o
f th
e E
A p
roce
ss
P
roje
ct P
rop
on
ent
(PP
)
Nat
ion
al E
nvi
ron
men
tal
Ag
ency
(N
EA
)
Reg
ion
al E
A W
ork
ing
G
rou
p
(RE
AW
G)
Fu
nd
ing
Ag
ency
(F
A)
Tec
hn
ical
Rev
iew
C
om
mit
tee
(TR
C)
Nile
Tec
hn
ical
Ad
viso
ry
Co
mm
itte
e (N
ile T
AC
)
Ste
p 1
Pre
-scr
eeni
ng
Pre
para
tion
of th
e po
wer
pr
ojec
t not
ice
Scr
eeni
ng o
f the
pro
ject
ag
ains
t NE
AP
and
RE
AP
tr
igge
ring
crite
ria
↓ ↓↓↓
Ste
p 2
Scr
eeni
ng
Det
erm
inat
ion
of th
e pr
ojec
t ca
tego
ry
Iden
tific
atio
n of
the
docu
men
ts to
pre
pare
Non
-obj
ectio
n
↓ ↓↓↓
Ste
p 3
Sco
ping
Con
sulta
tion
of a
ffect
ed
grou
ps a
nd lo
cal N
GO
s
Pre
para
tion
of th
e T
OR
for
requ
ired
docu
men
ts
Con
sulta
tion
of a
ffect
ed
grou
ps a
nd lo
cal N
GO
s
App
rova
l of t
he s
copi
ng
↓ ↓↓↓
Ste
p 4
Impa
ct a
sses
smen
t P
repa
ratio
n of
the
stud
ies
Pub
lic c
onsu
ltatio
ns
Rev
iew
of c
ompl
ianc
e
↓ ↓↓↓
Ste
p 5
Rev
iew
of t
he s
tudi
es
Ext
erna
l rev
iew
Com
plet
ion
of th
e st
udie
s
Ext
erna
l rev
iew
Inte
rnal
rev
iew
of t
he
stud
ies
Inte
rnal
rev
iew
of t
he
stud
ies
↓ ↓↓↓
Ste
p 6
Dec
isio
n-m
akin
g
App
eal i
n ca
se o
f dis
pute
d de
cisi
on
Rec
omm
enda
tion
for
deci
sion
Del
iver
ance
of t
he
envi
ronm
enta
l per
mit
Rev
iew
of t
he p
roce
ss a
nd
deci
sion
N
on-o
bjec
tion
A
ppea
l in
case
of d
ispu
ted
deci
sion
↓ ↓↓↓
Ste
p 7
ES
MP
Im
plem
enta
tion
ES
MP
impl
emen
tatio
n re
port
ing
Con
trol
of t
he E
SM
P
impl
emen
tatio
n
Sup
ervi
sion
↓ ↓↓↓
Ste
p 8
Aud
iting
Pre
para
tion
of th
e en
viro
nmen
tal a
nd s
ocia
l au
dit
Rev
iew
of t
he a
udit
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8-1
8 ISSUES TO CONSIDER IN THE PREPARATION OF EIA FOR REGIONAL POWER PROJECTS
This chapter provides general environmental and social impact assessment guidelines for
hydropower, thermal and geothermal power, as well as for power transmission lines. The
objective of these guidelines is to facilitate the identification and mitigation of the
environmental and social impacts of regional power projects during the preparation of EIAs
of such projects in the NBI countries.
However, it will be important that detailed EIA guidelines for power sector activities be
prepared based on this EA Framework in the near future in order to harmonise the contents
of the future studies. These guidelines shall focus on the major power projects planned in
the NBI countries, i.e. hydropower projects, thermal power projects and transmission lines,
and explain for each step of an EIA (i.e. description of the project, description of the
environment, analysis of alternatives, environmental and social impacts, mitigation
measures, risk management, monitoring, etc.) the aspects to consider in the frame of the
studies. The guidelines shall also provide detailed information on the main issues related to
each type of project.
The first section of this chapter identifies the typical potential environmental and social
impacts which may be caused by the construction of a power facility in general. Common
mitigation measures for the period of construction are also recommended.
In the four subsequent sections, specific guidelines related to each type of power projects,
include the following information:
• General characteristics of the type of power project;
• Environmental issues related to the type of power project;
• Social issues related to the type of power project
• A check list of specific environmental and social impacts normally anticipated for the type of project;
• A check list of typical mitigation measures.
8.1 Construction of power facilities
The construction of a power facility, whichever is hydropower, thermal or geothermal power
or even transmission lines, involves activities and sources of environmental impacts that are
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similar from one type of project to another. Therefore, Table 8.1 identifies the typical
potential environmental and social impacts which may be generated by the construction of a
power project in general, as well as the measures to prevent, offset, minimise or
compensate these impacts related to construction.
Manantali dam
Nile
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in In
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– R
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Tra
de P
roje
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Env
ironm
enta
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essm
ent F
ram
ewor
k fo
r R
egio
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ower
Pro
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s in
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Tab
le 8
.1
Po
ten
tial
imp
acts
, mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
com
mo
n t
o r
egio
nal
pow
er p
roje
cts
– co
nst
ruct
ion
ph
ase
Po
ten
tial
ad
vers
e an
d b
enef
icia
l Im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
A
mb
ien
t ai
r
• D
egra
datio
n of
am
bien
t air
qual
ity
• In
crea
se o
f am
bien
t noi
se
• N
ear
resi
dent
ial a
reas
, avo
id n
oisy
wor
ks a
fter
regu
lar
wor
king
hou
rs.
• M
aint
ain
the
vehi
cles
and
mac
hine
ry in
goo
d co
nditi
on in
ord
er to
min
imis
e ga
s, n
oise
and
dus
t em
issi
ons.
•
Use
app
ropr
iate
mea
ns to
avo
id d
ust d
ispe
rsio
n du
ring
cons
truc
tion.
Wat
er
• C
onta
min
atio
n of
sur
face
and
und
ergr
ound
w
ater
•
Dis
turb
ance
of
wat
er r
unof
f and
dra
inag
e
• C
hang
e in
sur
face
wat
er fl
ow c
ausi
ng in
dire
ct
impa
cts
on w
ater
use
s an
d fis
h ha
bita
t •
Incr
ease
d se
dim
enta
tion
in w
ater
wa
ys
• W
aste
wat
er d
isch
arge
in th
e en
viro
nmen
t
• M
aint
ain
vehi
cles
, mac
hine
ry a
nd e
quip
men
t in
good
con
ditio
n in
ord
er to
avo
id le
aks
and
disc
harg
e of
ha
zard
ous
mat
eria
ls
• T
ake
all p
reca
utio
ns d
urin
g th
e re
fuel
ling
of v
ehic
les,
mac
hine
ry a
nd p
umps
, and
forb
id th
e re
fuel
ling
near
wat
er b
odie
s •
Ens
ure
a sa
fe m
anag
emen
t of h
azar
dous
mat
eria
ls
• A
void
cro
ssin
g pe
rman
ent w
ater
wa
ys
• W
hen
it is
nec
essa
ry to
cro
ss a
per
man
ent w
ater
wa
y, lo
cate
the
cros
sing
whe
re th
e ba
nks
are
stab
le
and
the
mos
t nar
row
, use
as
muc
h as
pos
sibl
e ex
istin
g in
fras
truc
ture
s or
inst
all c
ulve
rts
with
ade
quat
e su
ppor
ting
capa
city
, and
at t
he e
nd o
f wor
ks, t
ake
away
all
tem
pora
ry in
stal
latio
ns u
sed
for
cros
sing
•
Do
not h
ampe
r dr
aina
ge o
f su
rfac
e w
ater
and
pla
n fo
r re
stor
atio
n m
easu
res
afte
r co
nstr
uctio
n •
Pla
n w
orks
in a
reas
pro
ne to
floo
ding
out
side
the
rain
y se
ason
•
Inst
all a
ppro
pria
te s
anita
ry f
acili
ties
in w
orke
rs’ c
amps
So
ils
• S
oil e
rosi
on
• S
oil c
ompa
ctio
n •
Soi
l con
tam
inat
ion
• C
hang
e in
loca
l top
ogra
phy
• S
tabi
lise
the
soil
in o
rder
to r
educ
e po
tent
ial e
rosi
on
• A
t the
end
of c
onst
ruct
ion
wor
ks, l
evel
off
the
soils
and
faci
litat
e ve
geta
tion
rege
nera
tion
•
Lim
it th
e ci
rcul
atio
n of
hea
vy m
achi
nery
to m
inim
al a
reas
•
Use
exi
stin
g bo
rrow
pits
rat
her
than
cre
atin
g ne
w o
nes.
•
Afte
r th
e w
orks
, res
tore
bor
row
pits
by
stab
ilisi
ng s
lope
s an
d fa
cilit
atin
g ve
geta
tion
rege
nera
tion
E
cosy
stem
s
• E
ncro
achm
ent i
n ec
olog
ical
ly s
ensi
tive
area
s •
Red
uctio
n of
the
biod
iver
sity
•
Est
ablis
h a
prot
ectio
n pe
rimet
er a
roun
d ec
olog
ical
ly s
ensi
tive
area
s su
ch a
s w
ater
bod
ies,
wild
life
habi
tat,
drin
king
wat
er s
ourc
es, s
lope
s pr
one
to e
rosi
on a
nd w
etla
nds
• M
inim
ise
the
leng
th o
f w
orks
in s
ensi
tive
area
s
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
T
ecsu
lt In
tern
atio
nal
05-1
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Feb
ruar
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08
8-4 P
ote
nti
al a
dve
rse
and
ben
efic
ial I
mp
acts
M
itig
atio
n a
nd
en
han
cem
ent
mea
sure
s
V
eget
atio
n
• Lo
ss o
f veg
etat
ion
and
fore
st p
rodu
cts
• D
amag
es to
tree
s •
Cle
arly
mar
k th
e la
nd c
lear
ing
area
s an
d op
timiz
e th
e st
ruct
ures
loca
tion
in o
rder
to m
inim
ize
defo
rest
atio
n •
Pro
tect
the
tree
s fr
om m
achi
nery
and
car
ry o
ut th
e op
erat
ions
in s
uch
a w
ay
as to
pre
vent
the
tree
s to
fa
ll ou
tsid
e of
the
logg
ing
area
s
• Im
med
iate
ly a
fter
the
wor
ks, f
acili
tate
veg
etat
ion
rege
nera
tion
with
ada
pted
spe
cies
to th
e pr
ojec
t are
a
• M
inim
ize
vege
tatio
n de
stru
ctio
n al
ong
wat
er b
odie
s.
W
ildlif
e
• D
istu
rban
ce o
f w
ildlif
e
• F
ragm
enta
tion
and
degr
adat
ion
of w
ildlif
e ha
bita
t
• F
orbi
d w
orke
rs to
hun
t and
fis
h in
the
proj
ect a
rea
•
Pla
n w
orks
out
side
of t
he r
epro
duct
ion
perio
d of
wild
life
pres
ent i
n th
e pr
ojec
t are
a •
Pla
n co
rrid
ors
for
mig
ratin
g do
mes
tic a
nd w
ild a
nim
als
L
and
use
• Lo
ss o
f hou
sing
, ass
ets
or a
cces
s to
ass
ets
(pro
duct
ive
land
s an
d na
tura
l res
ourc
es)
and,
in
com
e so
urce
s •
Cha
nge
in la
nd o
wne
rshi
p rig
hts
and
uses
al
ong
acce
ss r
oads
and
rig
hts-
of-w
ay, w
hich
ca
n le
ad to
soc
ial c
onfli
cts.
•
Dis
turb
ance
or
loss
of t
he te
rrito
ry fo
r in
dige
nous
peo
ples
•
Dis
turb
ance
of o
ther
land
use
rs a
ctiv
ities
•
Dev
elop
men
t of a
gric
ultu
ral a
nd p
asto
ral l
and
due
to a
n ea
sier
acc
ess.
•
Acc
ess
to n
ew te
rrito
ry le
adin
g to
an
incr
ease
d pr
essu
re o
n na
tura
l res
ourc
es.
• T
ake
into
acc
ount
the
vario
us la
nd u
ses
whi
le d
esig
ning
the
proj
ect i
n or
der
to m
inim
ise
the
loss
of
land
, par
ticul
arly
pro
duct
ive
land
. •
Exp
lore
all
alte
rnat
ives
to a
vert
or
min
imiz
e re
settl
emen
ts
• P
lan
land
use
alo
ng a
cces
s ro
ads
and
right
s-of
-way
in o
rder
to p
rese
rve
agric
ultu
ral a
nd p
asto
ral l
and
• In
volv
e tr
aditi
onal
aut
horit
ies
in th
e de
sign
of t
he p
roje
ct, p
artic
ular
ly in
def
inin
g th
e rig
hts-
of-w
ay.
• E
labo
rate
and
impl
emen
t a r
eset
tlem
ent p
lan
to im
prov
e or
at l
east
res
tore
, affe
cted
peo
ple
livin
g co
nditi
ons
and
stan
dard
s •
Pro
vide
equ
ival
ent o
r be
tter
hous
ing
and
acco
mpa
nyin
g fa
cilit
ies
to in
volu
ntar
ily d
ispl
aced
peo
ple
in
acco
rdan
ce w
ith c
onsu
ltatio
n re
sults
. •
In a
ccor
danc
e w
ith p
riorit
ies
of d
ispl
aced
peo
ple,
ens
ure
appr
opria
te fu
ndin
g fo
r pr
oduc
tive
land
co
mpe
nsat
ion
to p
eopl
e ow
ning
or
occu
pyin
g/cu
ltiva
ting
the
land
and
to p
eopl
e liv
ing
from
exp
loita
tion
of n
atur
al r
esou
rces
•
Inte
grat
e th
e pr
ojec
t inf
rast
ruct
ures
into
land
use
and
dev
elop
men
t pla
ns.
• E
labo
rate
an
Indi
geno
us P
eopl
es P
lan
(IP
P)
• C
oord
inat
e pr
ojec
t wor
ks w
ith th
e va
rious
land
use
rs
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
05-1
6005
– F
inal
Rep
ort –
Feb
ruar
y 20
08
Tec
sult
Inte
rnat
iona
l
8-5
Po
ten
tial
ad
vers
e an
d b
enef
icia
l Im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
Q
ual
ity
of
life
• P
oor
livin
g co
nditi
ons
for
wor
kers
•
Red
uctio
n in
the
qual
ity o
f life
due
to
nuis
ance
s su
ch a
s no
ise,
dus
t and
traf
fic
• Im
prov
emen
t in
qual
ity o
f life
due
to n
ew
econ
omic
opp
ortu
nitie
s •
Soc
ial c
onfli
cts
due
to th
e ve
nue
of n
ew
settl
ers
• D
isru
ptio
n of
indi
geno
us p
eopl
e’s
lifes
tyle
an
d cu
stom
s •
Dis
rupt
ion
of s
ocia
l and
cul
tura
l val
ues
and
patte
rn fo
r al
l pro
ject
aff
ecte
d pe
rson
s •
Con
stra
ints
in a
djus
ting
to r
eset
tlem
ent a
nd
chan
ges
in p
rodu
ctiv
e ac
tiviti
es.
• P
opul
atio
n pr
essu
re d
ue to
the
arriv
al o
f m
igra
nts
attr
acte
d by
new
eco
nom
ic
oppo
rtun
ities
.
• P
rovi
de w
orke
rs w
ith p
rope
r ac
com
mod
atio
ns in
san
itary
con
ditio
ns a
nd p
lan
acco
mm
odat
ion
for
cam
p fo
llow
ers
• E
stab
lish
a fo
rmal
con
sulta
tion
mec
hani
sm w
ith lo
cal a
utho
ritie
s to
dis
cuss
issu
es d
istu
rbin
g in
habi
tant
s an
d to
find
sol
utio
ns s
atis
fyin
g al
l par
ties
• T
rain
wor
kers
in th
e fie
ld o
f env
ironm
enta
l pro
tect
ion
• Im
plem
ent a
n ad
equa
te c
omm
unic
atio
n pl
an to
info
rm p
rimar
y st
akeh
olde
rs
• A
t the
end
of
wor
ks, c
lean
up
and
rest
ore
the
cons
truc
tion
area
•
Com
pens
ate
for
impo
rtan
t res
idua
l im
pact
s •
Avo
id b
uild
ing
acce
ss r
oads
acr
oss
indi
geno
us p
eopl
e tr
acks
or
path
way
s.
• F
avou
r re
settl
emen
t are
as a
llow
ing
indi
geno
us p
eopl
e to
pre
serv
e th
eir
lifes
tyle
and
cus
tom
s.
• E
nsur
e ap
prop
riate
sup
port
from
soc
ial s
ervi
ces
to fa
cilit
ate
the
tran
sitio
n an
d to
pre
vent
con
flict
s w
ithin
fa
mili
es o
r am
ong
grou
ps.
H
ealt
h
• In
crea
sed
risk
of a
ccid
ents
on
wor
king
site
s an
d ac
cess
roa
ds
• In
crea
se in
com
mun
icab
le d
isea
ses
prev
alen
ce r
ates
, esp
ecia
lly H
IV
• D
evel
op, c
omm
unic
ate
and
impl
emen
t saf
ety
and
prev
entiv
e m
easu
res
for
wor
kers
, prim
ary
stak
ehol
ders
and
the
popu
latio
n (s
uch
as tr
affic
cal
min
g de
vice
s)
• C
ontr
ol a
cces
s to
wor
king
site
s
• In
stal
l and
mai
ntai
n ap
prop
riate
sig
ns
• In
crea
se a
war
enes
s on
sex
ually
tran
smitt
ed d
isea
ses
and
prov
ide
cond
oms
at lo
w c
ost t
o m
en a
nd
wom
en
• P
rovi
de m
alar
ia p
roph
ylax
is a
nd im
preg
nate
d be
dnet
s to
wor
kers
and
cam
p fo
llow
ers,
in m
alar
ia-p
rone
re
gion
s •
Whe
neve
r po
ssib
le e
mpl
oy
wom
en r
athe
r th
an m
en, o
r m
arrie
d m
en w
ith n
earb
y fa
mili
es
• F
avou
r la
bour
cam
p si
tes
that
are
not
loca
ted
too
clos
e to
vill
ages
•
Pro
vide
ade
quat
e he
alth
ser
vice
s to
res
pond
to a
dditi
onal
nee
ds
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
T
ecsu
lt In
tern
atio
nal
05-1
6005
– F
inal
Rep
ort –
Feb
ruar
y 20
08
8-6 P
ote
nti
al a
dve
rse
and
ben
efic
ial I
mp
acts
M
itig
atio
n a
nd
en
han
cem
ent
mea
sure
s
E
con
om
ic a
ctiv
itie
s
• Jo
b op
port
uniti
es
• In
crea
sed
reve
nues
for
loca
l sho
pkee
pers
an
d st
allh
olde
rs
• Lo
ss o
f sub
sist
ence
or
inco
me
sour
ces
due
to la
nd a
cqui
sitio
n an
d re
settl
emen
t
• G
ive
pref
eren
ce to
loca
l lab
our
(men
and
wom
en)
• F
avou
r lo
cal p
urch
ases
as
muc
h as
pos
sibl
e (f
ood,
bas
ic m
ater
ial)
• O
ffer
com
pens
atio
n or
alte
rnat
ive
reve
nue
oppo
rtun
ities
to a
ffec
ted
peop
le a
s pa
rt o
f the
res
ettle
men
t pl
an
• P
rovi
de te
mpo
rary
food
sup
plie
s to
invo
lunt
arily
dis
plac
ed p
eopl
e, a
s ne
eded
. •
Pro
vide
com
plem
enta
ry tr
aini
ng /s
uppo
rt to
men
and
wom
en to
faci
litat
e ad
just
men
t dur
ing
the
tran
sitio
n pe
riod.
Infr
astr
uct
ure
s
• D
evel
opm
ent o
f new
infr
astr
uctu
res
or
impr
ovem
ent t
o ex
istin
g on
es
• D
egra
datio
n of
exi
stin
g in
fras
truc
ture
s •
Insu
ffic
ient
infr
astr
uctu
res
to r
espo
nd to
w
orke
rs’ n
eeds
• B
efor
e co
nstr
uctio
n, c
onsu
lt co
ncer
ned
min
istr
ies
to v
erify
the
adeq
uacy
of t
he p
ropo
sed
infr
astr
uctu
res
• In
volv
e th
e po
pula
tion
(men
and
wom
en)
in th
e m
aint
enan
ce a
nd m
anag
emen
t of t
he n
ew
infr
astr
uctu
res
to a
ssur
e th
eir
sust
aina
bilit
y •
Pro
tect
exi
stin
g in
fras
truc
ture
s an
d en
sure
thei
r re
pair
in c
ase
of d
amag
es
• P
rovi
de d
omes
tic w
ater
sup
plie
s to
sat
isfy
all
peop
le’s
nee
ds
• E
nsur
e ad
equa
te e
nerg
y su
pplie
s
Cu
ltu
ral h
erit
age
• D
egra
datio
n or
des
truc
tion
of c
omm
unity
cu
ltura
l her
itage
•
Bef
ore
cons
truc
tion,
car
ry o
ut a
n ar
chae
olog
ical
sea
rch
in th
e po
tent
ial a
reas
con
tain
ing
arte
fact
s an
d pr
eser
ve a
ny d
isco
vere
d ar
tefa
ct
• N
egot
iate
with
trad
ition
al a
utho
ritie
s th
e pr
eser
vatio
n of
impo
rtan
t cul
tura
l, re
ligio
us, h
isto
rical
and
ae
sthe
tic s
ites
and
reso
urce
s an
d ag
ree
on p
oten
tial c
ompe
nsat
ion
for
the
com
mun
ities
•
Dur
ing
cons
truc
tion,
ens
ure
an a
rcha
eolo
gica
l sur
veill
ance
in th
e po
tent
ial a
reas
con
tain
ing
arte
fact
s an
d in
cas
e of
a d
isco
very
, adv
ise
the
conc
erne
d au
thor
ities
•
Invo
lve
trad
ition
al a
utho
ritie
s in
mon
itorin
g cu
ltura
l, re
ligio
us, h
isto
rical
and
aes
thet
ic s
ites
and
reso
urce
s du
ring
cons
truc
tion
activ
ities
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
8-7
8.2 Hydropower projects
8.2.1 General characteristics of hydropower projects
Hydroelectric projects consist of dams, reservoirs, powerhouses and related structures such
as switchyards for the generation of electricity. They require the construction of a
transmission line to convey the power to its users. Electric power transmission lines are
discussed further.
The dam and reservoir may be used for other purposes than electricity generation such as
irrigation, flood control, water supply, recreation, fisheries, navigation and sediment control.
However, these uses shall be well examined in order to ensure that the priority use
(electricity) is optimised.
The construction and operation of dams and reservoirs include several activities or
components that can potentially induce significant environmental and social impacts:
• River diversion, including the construction of a diversion canal.
• Land clearing and relocation/demolition of existing infrastructures in the future reservoir.
• Construction of secondary dykes.
• Population resettlement.
• Construction of access roads.
Hydropower dam in concrete
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Tecsult International
05-16005 – Final Report – February 2008
8-8
• Construction, maintenance and closure of labour camps and other temporary infrastructures.
• Construction of the dam: digging, blasting, construction of foundations, transportation and storage of material, operation of heavy machinery, etc.
• Exploitation of borrow pits (on-site and off-site).
• Activities associated with construction works such as the manipulation of fuel, waste and hazardous materials, production of wastewater, etc.
• Flooding and management of the reservoir.
Dams are built on a natural waterway in order to impound water. They can be made of
concrete, rocks or earth. Dykes, generally in rocks or earth, intend to prevent water stocked
in the reservoir to flow out of the reservoir through secondary valleys.
In general, a powerstation includes the following hydraulic and electric components:
• The water intake in the reservoir, which is normally equipped with grills to prevent debris entering into the system.
• The water conveyance canal that brings the water to the pressure pipeline.
• The pressure pipeline in which the water is directed to a turbine on a steep slope.
• The turbine consisting of a hydraulic wheel turning with the pressure of the water; the electricity is produced with an alternator, before being directed to electric transformers and a substation.
• Surging facilities to take care of overpressures as a result of sudden opening/closing of valves/gates.
• The water discharge canal that brings the water downstream into the waterway.
A hydroelectric complex is normally equipped with spillway, which are structures allowing the
water to flow out of the reservoir when the maximum capacity is reached.
The design of hydropower projects varies according to local characteristics and energy
needs. For example, to avoid problems related to the creation of a reservoir, the construction
of a run-of-river powerstation might be preferred.
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
8-9
8.2.2 Environmental issues related to hydropower projects
Changes in the river system
Building a dam on a river and creating a reservoir can cause important impacts on the
hydrology and limnology of the river system. The modification of the river water flow alters
the quality, quantity and use of water, aquatic habitat, and sedimentation dynamics in the
river basin. Major changes in the flow patterns downstream of the dam may occur because
water storage and releases are managed for power demand rather than for downstream
ecological balance.
The decomposition of organic matter on lands flooded by the presence of the dam creates
an environment rich in nutrients. In addition to organic matter leaching from the watershed
upstream of the reservoir, this organic input may enhance the growth of invasive aquatic
weeds, such as water lettuce and water hyacinth, which can become real nuisances to the
dam outflows, irrigation canals, fisheries, recreation, and navigation. Moreover, if the flooded
land is heavily wooded, as it can be the case in the Nile Equatorial lakes countries, and not
sufficiently cleared prior to flooding, decomposition will reduce oxygen levels in the water,
thus affecting aquatic life (fisheries) and drinking water supplies, especially downstream of
the dam, due to the production of hydrogen sulphide and methane, a greenhouse gas.
Suspended particles normally carried by the river settle in the reservoir, thus limiting its
storage capacity and lifetime, and robbing downstream floodplains agricultural areas of silt
rich in nutrients to sustain productivity. Moreover, the release of waters free of sediment can
result in the scouring of downstream riverbeds and banks.
For hydroelectric projects in Tanzania and Kenya located on rivers flowing in the Indian
Ocean, the habitat of aquatic wildlife in estuaries may be affected by the changes in water
flow and quality due to variations in the salinity balance. Changes in nutrient levels and the
degradation of water quality may also generate impacts on the productivity of an estuary.
Finally, hydroelectric projects in NBI countries may alter the levels of groundwater both
above and below the reservoir.
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Tecsult International
05-16005 – Final Report – February 2008
8-10
Fisheries and wildlife
The changes in the river system may adversely affect fisheries, upstream and downstream
of the dam, through the degradation of water quality, loss of spawning grounds and barriers
to fish migration. However, the reservoir may sometimes enhance the development of
fisheries.
The greatest impact on wildlife will come from loss of habitat resulting from reservoir filling
and land-use changes in the watershed. Migratory patterns of wildlife may be disrupted by
the reservoir and associated developments. Poaching and eradication of species considered
to be agricultural pests have a more selective effect. Aquatic fauna, including waterfowl,
reptiles, and amphibian populations are expected to increase in the reservoir.
8.2.3 Social issues related to hydropower projects
Non-resident workers
One major issue related to hydropower projects involves the arrival of hundred of workers for
building the plant. This can have a significant adverse effect on the existing community
infrastructure: school, police, fire protection, medical facilities, and so forth. Moreover, the
influx of workers from other localities or regions may have a serious impact on the
transmission of sexually transmitted infections such as HIV/AIDS and disrupt local social and
cultural values, as well as the quality of life of the residents.
Agriculture
The selection of dam site must take into account the agricultural potential of the soils that will
be lost under the flooded areas. Indeed, sites with the lowest soil potential shall be preferred
in order to minimise the impacts for farmers. If the selected dam site has many good soil
potential areas, the flooded surface should be minimized.
During its design, engineers must conceive a dam with a reservoir large enough to store
sufficient water not only for electricity production but also for irrigation purposes, upstream
and downstream of the dam. Whenever possible, design parameters should consider the
exploitation of the marling zone for pasture and/or agricultural production. Marling zone is
the portion of land flooded at the highest water level but not flooded at the lowest water level
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
8-11
of the reservoir. Because of the growth period necessary between seeding and harvesting,
only the upland portion of the marling zone can be profitably used.
Furthermore, electricity produced at the dam could also contribute to the sustainable
development of the agricultural sector by improving agricultural product conservation (cold
chain for vegetable, fruit, meat, fish, etc.) and transformation (juice manufacturing, cannery,
dairy). Finally, hydroelectricity can also be used as an energy source for water pumps and
this way reduce fuel consumption which contributes to air pollution (particle emission) and
climatic changes (greenhouse effect).
Resettlement
Though the powerhouses and all related infrastructures involve land acquisition and
involuntary resettlement, large dams and reservoirs often entail complex and difficult
resettlement operations. If a dam is constructed and a large reservoir is produced, the
reservoir may flood an entire river valley. Riverine fisheries and traditional floodplain
agriculture are disrupted.
In NBI countries, river valleys and river banks are usually densely inhabited. The floodplains
are vast areas of great importance for population. For instance, the population density in the
area of the Nile Basin in DRC is approximately five times higher than in the rest of the
country. In Kenya, 40% of the country’s population live in the Nile basin though this area
constitutes only 10% of the country.
In NBI countries, rural people depend on water resources for their living: agriculture,
gardening, fishing, stockbreeding, drinking water, etc. The people have a land-base
livelihood. River banks are generally fertile lands. They are often inhabited by farmers whose
families have worked the land for generations.
Inundation of a valley will force people very attached to their land to move out. The
relocation of the people affected is difficult since upland areas are generally already used by
other farmers living next to the valley. Finding agricultural sites of vocational advantage or
productive potential at least equivalent of those of the pre-displacement sites is very hard.
The traditional means of livelihood of the affected people are difficult to restore. In addition,
these rural people are often illiterate and their skills are likely to be location specific. The
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Tecsult International
05-16005 – Final Report – February 2008
8-12
transition to alternative means of earning a livelihood thru training and job opportunities is
not an easy process.
The reservoir will not only entail relocation. It will also disrupt the use of the river by people
living outside the edge of the river banks. Access to common-property resources such as
fishes in the downstream stretches of the river or forests in the surrounding area of the
proposed reservoir will be compromised. The resettlement plan will need to compensate all
these losses of incomes or means of livelihood whether or not the affected people must
move to another location.
Resettlement issues related to dam construction and reservoir being very important, the
selection of dams for construction must be based on a comprehensive analysis of
alternatives. The severity of resettlement impacts will be a key criterion for screening these
alternatives.
8.2.4 Potential impacts of hydropower projects and mitigation measures
Over all past experiences related to hydropower development, the environmental community
has made substantial improvements to understand the environmental and social impacts of
dams. The management of environmental issues arising from hydropower is undergoing
rapid improvement. Targeted studies and monitoring programs have identified viable
mitigation options and provided long-term assessments of their effectiveness. Changes in
the approach to hydroelectric project planning and design have resulted in the optimisation
of beneficial impacts and the reduction of adverse impacts.
Table 8.2 below summarises the environmental and social impacts specific to hydroelectric
projects, and presents the common measures to offset, minimise, mitigate or compensate
these impacts. General impacts and mitigation measures related to the construction of
hydroelectric projects have been listed in Section 8.1 above.
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
05-1
6005
– F
inal
Rep
ort –
Feb
ruar
y 20
08
Tec
sult
Inte
rnat
iona
l
8-13
Tab
le 8
.2
Po
ten
tial
imp
acts
, mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
spec
ific
to
hyd
roel
ectr
ic p
roje
cts
Po
ten
tial
ad
vers
e an
d b
enef
icia
l im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
W
ater
• A
ltera
tion
of w
ater
flow
dow
nstr
eam
impa
iring
ag
ricul
tura
l act
iviti
es o
n flo
odpl
ains
.
• F
lood
con
trol
.
• P
rolif
erat
ion
of a
quat
ic w
eeds
in r
eser
voir
and
dow
nstr
eam
impa
iring
dam
dis
char
ge, i
rrig
atio
n sc
hem
es, n
avig
atio
n an
d fis
herie
s.
• D
egra
datio
n of
the
rese
rvoi
r w
ater
qua
lity.
•
Sal
t wat
er in
trus
ion
in e
stua
ry a
nd u
pstr
eam
.
• C
lear
the
vege
tatio
n be
fore
floo
ding
the
rese
rvoi
r.
• A
pply
app
ropr
iate
wee
d co
ntro
l mea
sure
s.
• C
ontr
ol la
nd u
ses,
was
tew
ater
dis
char
ge a
nd a
gric
ultu
ral c
hem
ical
inpu
ts in
wat
ersh
ed.
• Li
mit
rete
ntio
n tim
e of
wat
er in
res
ervo
ir.
• M
aint
ain
a m
inim
um fl
ow to
pre
vent
sal
t-w
ater
intr
usio
n.
S
oils
• Lo
ss o
f pro
duct
ive
soils
by
flood
ing.
•
Sco
urin
g of
riv
erbe
d do
wns
trea
m o
f the
dam
due
to
the
low
con
tent
of s
edim
ents
in w
ater
. •
Sal
inis
atio
n of
floo
dpla
in s
oils
.
• A
void
are
as s
ensi
tive
to e
rosi
on.
• C
arry
out
the
cons
truc
tion
wor
ks in
the
dry
seas
on.
• Li
mit
the
circ
ulat
ion
of h
eavy
mac
hine
ry to
min
imal
are
as.
• A
void
est
ablis
hing
acc
ess
road
s al
ong
stee
p sl
opes
; ins
tead
, loc
ate
the
acce
ss r
oads
pe
rpen
dicu
larly
or
diag
onal
ly to
the
slop
e.
• U
se e
xist
ing
borr
ow p
its r
athe
r th
an c
reat
ing
new
one
s; a
fter
the
wor
ks, r
esto
re b
orro
w p
its b
y st
abili
sing
slo
pes
and
faci
litat
ing
vege
tatio
n re
gene
ratio
n.
• S
tabi
lise
the
soils
in o
rder
to r
educ
e po
tent
ial e
rosi
on.
• A
t the
end
of c
onst
ruct
ion
wor
ks, l
evel
off
the
soils
and
faci
litat
e ve
geta
tion
re-g
ener
atio
n.
• Im
plem
ent i
nteg
rate
d w
ater
shed
man
agem
ent i
n or
der
to c
ontr
ol s
oil e
rosi
on.
• P
reve
nt la
nd c
lear
ing
in w
ater
shed
and
faci
litat
e th
e re
fore
stat
ion
of c
lear
ed a
reas
. •
Des
ign
the
wor
ks in
ord
er to
rel
ease
sed
imen
ts (
hydr
aulic
rel
ease
).
• D
redg
e ac
cum
ulat
ed s
edim
ents
. •
Reg
ulat
e w
ater
flow
to m
inim
ise
soil
salin
isat
ion.
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
T
ecsu
lt In
tern
atio
nal
05-1
6005
– F
inal
Rep
ort –
Feb
ruar
y 20
08
8-14
Po
ten
tial
ad
vers
e an
d b
enef
icia
l im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
B
iod
iver
sity
• D
estr
uctio
n of
eco
syst
ems
of p
artic
ular
inte
rest
. •
Deg
rada
tion
of e
colo
gica
lly s
ensi
tive
area
s.
• Lo
ss o
f rar
e or
thre
aten
ed s
peci
es.
• D
esig
n th
e pr
ojec
t by
taki
ng in
to a
ccou
nt e
cosy
stem
s of
par
ticul
ar in
tere
st a
nd e
colo
gica
lly s
ensi
tive
area
s.
• P
rote
ct e
qual
are
as o
f eco
syst
ems
of p
artic
ular
inte
rest
to o
ffse
t los
ses.
•
Est
ablis
h a
perim
eter
of p
rote
ctio
n ar
ound
sen
sitiv
e ec
osys
tem
s su
ch a
s w
etla
nds
and
uniq
ue
habi
tats
she
lterin
g en
dang
ered
spe
cies
. •
Avo
id fl
oodi
ng w
etla
nds
and
prot
ecte
d ar
eas.
Veg
etat
ion
• D
estr
uctio
n of
veg
etat
ion.
•
Loss
of f
ores
t pro
duct
s (f
uelw
ood,
tim
ber,
non
- tim
ber
fore
st p
rodu
cts)
.
• M
inim
ise
the
land
cle
arin
g ar
eas
arou
nd th
e re
serv
oir.
•
Rec
uper
ate
the
fore
st p
rodu
cts
extr
acte
d fr
om la
nd c
lear
ing
and
iden
tify
mec
hani
sms
to d
istr
ibut
e th
e pr
oduc
ts to
the
loca
l pop
ulat
ion.
Wild
life
• Lo
ss o
f wild
life
and
fish
habi
tats
. •
Dis
rupt
ion
of w
ildlif
e m
igra
tions
. •
Adv
erse
impa
ct o
n fis
hes
due
to c
hang
es in
wat
er
flow
and
dis
rupt
ion
of fi
sh m
igra
tions
. •
Cre
atio
n of
res
ervo
ir fis
herie
s.
• D
esig
n th
e pr
ojec
t by
taki
ng in
to a
ccou
nt w
ildlif
e re
prod
uctio
n ar
eas
and
mig
ratio
n co
rrid
ors.
•
Min
imis
e se
dim
enta
tion
in s
paw
ning
gro
unds
dow
nstr
eam
. •
Rel
ocat
e an
imal
s be
fore
floo
ding
the
rese
rvoi
r.
• M
aint
ain
a m
inim
um w
ater
flow
for
fishe
s.
• P
rovi
de a
ppro
pria
te m
eans
of p
assa
ge fo
r fis
hes.
•
Pre
serv
e sp
awni
ng g
roun
ds.
• F
acili
tate
the
deve
lopm
ent o
f cul
ture
fish
erie
s in
res
ervo
ir as
a m
ean
of c
ompe
nsat
ion.
Hea
lth
ou
tco
mes
• C
hang
es in
exp
osur
e to
wat
er b
orne
dis
ease
s (d
iarr
hoea
and
cho
lera
ass
ocia
ted
with
mis
use
of
rese
rvoi
r w
ater
for
dom
estic
pur
pose
s).
• C
hang
es in
exp
osur
e to
wat
er r
elat
ed d
isea
ses
(mal
aria
, onc
hoce
rcia
sis,
fila
riasi
s as
soci
ated
with
in
crea
ses
in v
ecto
r br
eedi
ng a
nd c
onta
ct).
•
Impr
ovem
ent i
n he
alth
con
ditio
ns d
ue to
bet
ter
acce
ss to
dom
estic
wat
er.
• In
crea
sed
risk
of d
row
ning
.
• P
rovi
de a
ppro
pria
te d
omes
tic w
ater
sup
ply
to a
ddre
ss a
dditi
onal
nee
ds.
• F
acili
tate
the
impl
emen
tatio
n of
app
ropr
iate
latr
ines
and
oth
er s
anita
tion
faci
litie
s.
• In
form
atio
n, e
duca
tion
and
com
mun
icat
ion
abou
t saf
e us
es o
f res
ervo
ir w
ater
and
occ
upat
iona
l sa
fety
. •
Env
ironm
enta
l man
agem
ent f
or v
ecto
r co
ntro
l; co
ntac
t avo
idan
ce v
ia s
ettle
men
t loc
atio
n an
d de
sign
, use
of b
edne
ts a
nd r
epel
lent
s, c
onst
ruct
ion
of je
tties
; rap
id d
iagn
osis
and
tre
atm
ent;
foca
l in
sect
icid
e an
d m
ollu
scic
ide
appl
icat
ion.
•
Str
engt
hen
med
ical
ser
vice
s to
ens
ure
rapi
d di
agno
sis
and
trea
tmen
t and
enh
ance
dia
gnos
tic s
kills
, ta
king
into
con
side
ratio
n th
e pa
rtic
ular
nee
ds o
f men
and
wom
en.
• P
lan
lifes
avin
g eq
uipm
ent a
nd m
easu
res.
•
Ens
ure
that
dow
nstr
eam
vill
ages
are
info
rmed
in a
dvan
ce o
f wat
er fl
uctu
atio
ns.
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
05-1
6005
– F
inal
Rep
ort –
Feb
ruar
y 20
08
Tec
sult
Inte
rnat
iona
l
8-15
Po
ten
tial
ad
vers
e an
d b
enef
icia
l im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
S
oci
o-e
con
om
ic d
evel
op
men
t
• D
isru
ptio
n of
exi
stin
g ac
tiviti
es p
artic
ular
ly
flood
plai
n ag
ricul
ture
and
art
isan
al fi
sher
ies
dow
nstr
eam
. •
Dis
rupt
ion
of a
ctiv
ities
in c
atch
men
t are
as,
part
icul
arly
if th
ey r
epre
sent
pot
entia
l sou
rces
of
pollu
tion
for
the
rese
rvoi
r.
• In
duce
d de
velo
pmen
t due
to n
ew o
ppor
tuni
ties
such
as
in fi
sher
ies
and
irrig
atio
n.
• O
ffer
appr
opria
te c
ompe
nsat
ions
or
alte
rnat
ive
inco
me
oppo
rtun
ities
to m
en a
nd w
omen
hav
ing
a re
duce
d ac
cess
to o
r lo
osin
g pr
oduc
tive
mea
ns.
• W
hene
ver
poss
ible
, giv
e an
opp
ortu
nity
to m
en a
nd w
omen
who
are
dire
ctly
loos
ing
from
the
proj
ects
to b
enef
it fr
om n
ew jo
bs o
r re
venu
e-ge
nera
ting
oppo
rtun
ities
(e.
g. in
duce
d de
velo
pmen
t).
L
and
use
• Lo
ss o
f pro
duct
ive
land
and
nat
ural
res
ourc
es in
flo
oded
are
as.
• In
suffi
cien
t ara
ble
land
to s
atis
fy s
ubsi
sten
ce
agric
ultu
ral n
eeds
. •
Loss
of t
errit
ory
for
loca
l pop
ulat
ions
. •
Riv
alry
ass
ocia
ted
with
inco
mpa
tible
wat
er u
ses
upst
ream
and
dow
nstr
eam
.
• T
ake
into
acc
ount
the
vario
us la
nd u
ses
whi
le d
esig
ning
the
proj
ect i
n or
der
to m
inim
ise
loss
of l
and,
pa
rtic
ular
ly p
rodu
ctiv
e la
nd.
• C
oord
inat
e pr
ojec
t wor
ks w
ith th
e va
rious
land
use
rs.
• In
volv
e tr
aditi
onal
aut
horit
ies
in th
e de
sign
of t
he p
roje
ct.
• W
here
ver
poss
ible
, com
pens
ate
the
loss
of l
and
by
prot
ectin
g an
equ
ival
ent l
and
area
in th
e re
gion
. •
Pre
vent
food
inse
curit
y b
y al
loca
ting
land
and
cre
dit t
o fo
od c
ropp
ing.
•
Reg
ulat
e da
m r
elea
ses
to p
artia
lly r
eplic
ate
natu
ral f
lood
ing
regi
me.
•
Cle
arly
def
ine
wat
er r
ight
s an
d es
tabl
ish
wat
er u
ser
fees
in c
onsu
ltatio
n w
ith c
once
rned
st
akeh
olde
rs.
In
fras
tru
ctu
res
and
ser
vice
s
• D
estr
uctio
n of
exi
stin
g in
fras
truc
ture
s in
the
rese
rvoi
r.
• R
elia
ble
wat
er s
uppl
y fo
r irr
igat
ion,
dom
estic
and
ot
her
uses
. •
Con
tam
inat
ion
of d
omes
tic w
ater
sup
plie
s du
e to
th
e m
ism
anag
emen
t of t
he r
eser
voir.
•
Incr
ease
d pr
essu
res
on e
xist
ing
soci
al s
ervi
ces
due
to m
igra
tion.
•
Incr
ease
d pr
ices
of s
ervi
ces
(wat
er, e
lect
ricity
, et
c.).
• C
onsu
lt co
ncer
ned
adm
inis
trat
ions
to v
erify
the
adeq
uacy
of p
ropo
sed
new
infr
astr
uctu
res.
•
Invo
lve
the
loca
l pop
ulat
ion
in th
e m
aint
enan
ce a
nd m
anag
emen
t of n
ew in
fras
truc
ture
s to
ens
ure
thei
r su
stai
nabi
lity.
•
Ens
ure
adeq
uate
soc
ial s
ervi
ces,
incl
udin
g dr
inki
ng w
ater
sup
plie
s, fo
r ad
dres
sing
the
basi
c ne
eds
of th
e lo
cal p
opul
atio
ns a
nd m
igra
nts.
•
Ass
ist s
ocia
l ser
vice
adm
inis
trat
ions
in c
oord
inat
ing
thei
r ef
fort
s to
offe
r ad
ditio
nal s
ervi
ces
and
impr
ove
serv
ice
deliv
ery
if re
quire
d.
• E
stab
lish
qual
ity c
ontr
ol fo
r w
ater
sup
plie
s.
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
T
ecsu
lt In
tern
atio
nal
05-1
6005
– F
inal
Rep
ort –
Feb
ruar
y 20
08
8-16
Po
ten
tial
ad
vers
e an
d b
enef
icia
l im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
C
ult
ura
l her
itag
e
• Lo
ss o
f site
s of
cul
tura
l, ar
chae
olog
ical
or
hist
oric
al
impo
rtan
ce b
y flo
odin
g of
ver
y la
rge
area
s.
• B
efor
e co
nstr
uctio
n, c
arry
out
an
arch
aeol
ogic
al s
earc
h in
the
pote
ntia
l are
as c
onta
inin
g ar
tefa
cts
and
pres
erve
dis
cove
red
arte
fact
s.
• N
egot
iate
with
trad
ition
al a
utho
ritie
s th
e pr
eser
vatio
n of
impo
rtan
t cul
tura
l, re
ligio
us, h
isto
rical
and
ae
sthe
tic s
ites
and
reso
urce
s an
d ag
ree
on p
oten
tial c
ompe
nsat
ion
for
the
com
mun
ities
. •
Dur
ing
cons
truc
tion,
ens
ure
an a
rcha
eolo
gica
l sur
veill
ance
in th
e po
tent
ial a
reas
con
tain
ing
arte
fact
s an
d in
cas
e of
a d
isco
very
, adv
ise
the
conc
erne
d au
thor
ities
. •
Invo
lve
trad
ition
al a
utho
ritie
s in
mon
itorin
g cu
ltura
l, re
ligio
us,
hist
oric
al a
nd a
esth
etic
site
s an
d re
sour
ces
durin
g co
nstr
uctio
n ac
tiviti
es.
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8-17
8.3 Thermal power projects
8.3.1 General characteristics of thermal power projects
Thermal power projects may include gas, oil, coal or combined fuel-fired steam plants. The
major components of these projects include the power system itself and many associated
infrastructures: cooling system, stack gas cleaning equipment, fuel storage and handling
areas, fuel delivery systems, solid waste storage areas, workers compounds and electrical
substations. They also involve transmission lines and may require a pipeline in case of gas
power systems.
8.3.2 Environmental issues related to thermal power projects
Atmospheric emissions
Thermal power plants can constitute major air emission sources, including nitrogen oxides
(NOx), carbon monoxide (CO), sulphur dioxide (SO2), carbon dioxide (CO2) and particulates
(which may contain trace metals). These emissions, caused by the combustion of fuels, can
affect local and regional air quality and contribute to greenhouse gas emissions. The
dispersion and ground level concentrations of these emissions are determined by the
interaction of the characteristics of the plant stack, chemical characteristics of the emissions,
and local meteorological and topographical conditions.
Thermal power station
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Wastewater
The bulk of wastewater from thermal power plants are typically clean cooling water and can
be either recycled or discharged into a surface water body. However, the impact of waste
heat on the water quality needs to be considered. Indeed, the increase in temperature can
affect the aquatic habitat for vegetation and wildlife. Other liquid waste, particularly of coal-
fired power plants, can also affect water quality.
8.3.3 Social issues related to thermal power projects
Non-resident workers
One of the major issues related to thermal power plants involves the arrival of hundred of
workers for building and operating the plant. This can have a significant adverse effect on
the existing community infrastructure: school, police, fire protection, medical facilities, and so
forth. Moreover, the influx of workers from other localities or regions may have a serious
impact on the transmission of sexually transmitted infections such as HIV/AIDS and disrupt
local social and cultural values, as well as the quality of life of the residents.
Agriculture
The selection of a construction site for a thermal power plant must take into account soil
potential (quality) of the land that will be lost for agriculture or pasture. For example, between
two sites having good technical characteristics, the one with the lowest soil potential shall be
selected. Thereby, it will be easier to compensate the losses with land having similar or
higher potential. When ever possible, plant designers should pay attention in minimizing the
surface area of the building in order to limit land lost.
Retrieving large volumes of water from rivers for industrial purposes can reduce significantly
the volume of water use for agriculture (mainly for land irrigation and livestock watering
purposes). For instance, water retrieved for a plant cooling system will be warmer when it
will be pumped back to the stream. This raise of water temperature can decrease plant
growth and disturb animals in the surrounding area. A planning phase must be done in order
to carefully identify all changes and opportunities for the local population.
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05-16005 – Final Report – February 2008 Tecsult International
8-19
Resettlement
Gas pipelines do not entail much land acquisition. If the pipelines are underground, they
involve restrictions on the use of the land inside their corridor. Therefore, they involve
compensations for the restrictions imposed.
Depending on the type of facility, location and size of the thermal power projects, the
resettlement impacts will vary significantly. The impacts are typical involuntary resettlements
due to land acquisition for the plant site and the associated facilities. Thermal power projects
have less severe resettlement impacts than those of dams. Security and safety
considerations may require a large land area but resettlement can be minimized thru site
selection. The plant may be installed in a vacant or scantily inhabited area. Like other
projects, thermal power projects may cause indirect displacement. Scantily inhabited areas
or isolated forests can shell resources used for instance by indigenous communities for their
livelihood. Therefore, the resettlement planning will pay careful consideration to participatory
assessment of social risks in the selection of the site process.
8.3.4 Impacts of thermal power projects and mitigation measures
Environmental impacts from thermal power plant operation are normally far more important
than those of construction. Impacts that need to be analysed and reported include those on
existing air, water, and soil quality, and the disposal of solid wastes. Impacts on the
vegetation, wildlife, local populations, and the health and safety of workers must also be
considered. According to the Thermal Power Plant Projects Environmental Impact
Assessment: Guidelines of the Southern African Power Pool (SAPP, 2001), primary sources
of environmental impacts of thermal power plant operation include:
• Fuel delivery, storage, and handling;
• Products of combustion;
• By-products of pollution control (ash, sludge, solid waste);
• Vehicular traffic;
• Fugitive emissions;
• Wastewater;
• Cooling water discharge, or salt drift in the case of the use of cooling towers; and
• Leaks and spills.
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Table 8.3 below summarises the typical environmental and social impacts specific to thermal
power projects, and presents the common measures to offset, minimise, mitigate or
compensate these impacts. General impacts and mitigation measures related to the
construction of a thermoelectric facility are listed in Section 8.1.
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Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
05-1
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inal
Rep
ort –
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ruar
y 20
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Tec
sult
Inte
rnat
iona
l
8-21
Tab
le 8
.3
Po
ten
tial
imp
acts
, mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
spec
ific
to
th
erm
al p
ower
pro
ject
s
Po
ten
tial
ad
vers
e an
d b
enef
icia
l im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
A
mb
ien
t ai
r
• D
eter
iora
tion
of a
ir qu
ality
due
to s
tack
gas
es e
mitt
ed
follo
win
g fu
el c
ombu
stio
n.
• G
reen
hous
e ga
s em
issi
ons.
•
Odo
urs
due
to o
nsite
sew
age
or w
aste
wat
er tr
eatm
ent o
r du
e to
hig
h su
lphu
r co
nten
t in
fuel
.
• Lo
cate
the
faci
lity
awa
y fr
om s
ensi
tive
air
qual
ity r
ecep
tors
. •
Des
ign
high
er s
tack
s to
red
uce
grou
nd le
vel c
once
ntra
tions
of p
ollu
tant
s.
• U
se c
lean
fuel
, i.e
. low
sul
phur
coa
l.
• In
stal
l and
mai
ntai
n pr
oper
air
pollu
tion
cont
rol e
quip
men
t. •
Use
equ
ipm
ent c
ompl
ying
with
res
tric
tive
stan
dard
s.
Wat
er
• D
egra
datio
n of
sur
face
wat
er q
ualit
y du
e to
ther
moc
hem
ical
pl
ume
impa
cts,
gen
erat
ion
of s
anita
ry w
aste
str
eam
, and
in
crea
sed
run-
off d
ue to
rem
oval
of v
eget
atio
n.
• In
crea
se o
f the
sur
face
wat
er te
mpe
ratu
re d
ue to
coo
ling
wat
ers
disc
harg
e.
• D
raw
dow
n of
the
grou
ndw
ater
tabl
e in
cas
e of
sup
ply
of
proc
ess
wat
er fr
om w
ells
. •
Deg
rada
tion
of g
roun
dwat
er q
ualit
y du
e to
per
cola
tion
from
se
ttlin
g an
d sl
udge
pon
ds, l
eaka
ge o
f fue
ls, p
roce
ss
chem
ical
s, o
r ot
her
com
poun
ds u
sed
onsi
te.
• U
nder
take
the
colle
ctio
n an
d tr
eatm
ent o
f sew
age
and
orga
nic
was
te.
• D
ilute
was
tew
ater
at p
oint
of d
isch
arge
•
Use
bio
degr
adab
le o
r ot
herw
ise
read
ily tr
eata
ble
addi
tives
. •
Incr
ease
rec
yclin
g an
d re
use
of w
ater
. •
Use
alte
rnat
ive
heat
dis
sipa
tion
desi
gn (
ex. C
lose
d cy
cle
cool
ing)
. •
Dilu
te th
erm
al c
ondi
tion
by
disc
harg
ing
wat
er in
to la
rger
rec
eivi
ng w
ater
bod
y.
• C
ool w
ater
on-
site
in h
oldi
ng p
ond
prio
r to
dis
char
ge.
• In
stal
l mec
hani
cal d
iffus
ers.
•
Exp
lore
opp
ortu
nitie
s to
use
was
te h
eat.
•
Dew
ater
ing
of s
ludg
e an
d ap
prop
riate
dis
posa
l of s
olid
s.
• U
se d
eep
wel
l inj
ectio
n be
low
pot
able
leve
ls.
• C
onst
ruct
line
rs fo
r po
nds
and
solid
was
te d
ispo
sal.
So
ils
• S
oils
con
tam
inat
ion
due
to d
epos
ition
of w
indb
low
n fu
gitiv
e du
st a
nd c
oal.
• S
oils
con
tam
inat
ion
due
to d
epos
ition
of s
ulph
ates
, nitr
ates
an
d m
etal
s fr
om th
e st
ack
plum
e.
• S
oils
con
tam
inat
ion
due
to c
hem
ical
dis
char
ges
and
spill
s.
• Im
plem
ent a
bove
miti
gatio
n m
easu
res
unde
r th
e “a
mbi
ent a
ir” c
ompo
nent
. •
Dev
elop
spi
ll pr
even
tion
plan
s.
• D
evel
op tr
aps
and
cont
ainm
ent s
yste
ms
and
chem
ical
ly tr
eat d
isch
arge
s on
site
.
E
cosy
stem
s an
d v
eget
atio
n
• V
eget
atio
n re
mov
al a
nd lo
ss o
f hab
itat.
•
Sel
ect a
ltern
ativ
e si
te to
avo
id lo
ss o
f eco
logi
cal r
esou
rces
. •
Com
pens
ate
the
loss
of v
eget
atio
n an
d/or
hab
itat.
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
T
ecsu
lt In
tern
atio
nal
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inal
Rep
ort –
Feb
ruar
y 20
08
8-22
Po
ten
tial
ad
vers
e an
d b
enef
icia
l im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
A
qu
atic
wild
life
• T
herm
al s
hock
to a
quat
ic w
ildlif
e.
• E
ntra
inm
ent a
nd im
ping
emen
t of a
quat
ic w
ildlif
e.
• Im
plem
ent a
bove
miti
gatio
n m
easu
res
unde
r th
e “w
ater
” co
mpo
nent
. •
Loca
te th
e w
ater
inta
ke in
are
a th
at a
void
s si
gnifi
cant
impa
ct o
n aq
uatic
wild
life.
•
Inst
all s
cree
ns o
n th
e w
ater
inta
ke to
avo
id e
ntra
inm
ent a
nd im
ping
emen
t.
Q
ual
ity
of
life
• In
crea
se o
f am
bien
t noi
se d
ue to
the
oper
atio
n of
hea
vy
equi
pmen
t, tr
ansf
er a
nd h
andl
ing
of fu
el, t
urbi
nes,
ste
am
relie
f, w
hist
les
and
alar
ms,
traf
fic (
truc
ks a
nd m
achi
nery
).
• C
ontr
ol th
e tim
ing
of n
oise
and
vib
ratio
n to
leas
t dis
rupt
ive
perio
ds.
• In
stal
l noi
se b
arrie
rs.
• D
evel
op p
lan
to e
duca
te w
orke
rs o
n se
nsiti
ve v
alue
s an
d pa
ttern
s.
H
ealt
h o
utc
om
es
• W
orke
r ex
posu
re to
dus
t fro
m a
sh a
nd c
oal.
• W
orke
r ex
posu
re to
toxi
c ga
ses
leak
ing
from
the
broi
lers
. •
Wor
ker
expo
sure
to e
xces
sive
noi
se.
• P
oten
tial f
or fi
re r
isk.
• P
rovi
de d
ust c
olle
ctor
equ
ipm
ent.
• M
aint
ain
dust
leve
ls le
ss th
an 1
0mg/
m³.
•
Mon
itor
for
free
sili
ca c
onte
nt.
• P
rovi
de d
ust m
asks
whe
n le
vels
are
exc
eede
d.
• M
aint
ain
boile
rs p
rope
rly.
•
Mon
itor
conc
entr
atio
ns w
ith le
vels
not
to e
xcee
d: S
O2
- 5p
pm; C
O -
50p
pm; N
O2
- 5p
pm.
• M
aint
ain
nois
e le
vels
from
bel
ow 9
0dB
A.
• P
rovi
de e
ar p
rote
ctio
n if
in e
xces
s.
• E
nsur
e th
at fi
re p
reve
ntio
n an
d fig
htin
g eq
uipm
ent i
s su
pplie
d to
the
proj
ect s
ite.
In
fras
tru
ctu
res
and
ser
vice
s
• In
crea
sed
dem
and
on in
fras
truc
ture
due
to in
duce
d se
cond
ary
deve
lopm
ent.
• P
rovi
de in
fras
truc
ture
pla
n an
d fin
anci
al s
uppo
rt fo
r in
crea
sed
dem
ands
. •
Con
stru
ct fa
cilit
ies
to r
educ
e de
man
ds.
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05-16005 – Final Report – February 2008 Tecsult International
8-23
8.4 Geothermal power projects
8.4.1 General characteristics of geothermal power projects
Depending on temperature, depth and quality of the water and steam in the project area,
three different types of power plants are used to produce electricity from geothermal energy,
i.e. dry steam, flash, and binary.
Dry steam is extremely hot steam, typically above 235 °C. This steam is used for direct
running of generators. This is the most simple and oldest principle and still in use because it
is the far cheapest principle of generating electrical energy from geothermal resources.
Flash steam plants are the most common type of geothermal power generation plants in
operation. Flash steam power plants use hot water above 182°C from geothermal reservoirs.
As the water is pumped from the reservoir to the power plant, the drop in pressure causes
the water to convert (flash) into steam to power the turbine. Any water not flashed into steam
is injected back into the reservoir for reuse. Flash steam plants, like dry steam plants, emit
small amounts of gases and steam.
Binary cycle power plants use water cooler than flash steam plants (i.e. from 107 to 182°C).
The hot fluid from geothermal reservoirs is passed through a heat exchanger which transfers
heat to a separate pipe containing Iso-butane or Iso-pentane, which are vaporized to power
the turbine. The advantage of binary-cycle power plants is their lower cost and increased
efficiency. These plants also do not emit any excess gas and, because they use fluids with a
Geothermal power station
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8-24
lower boiling point than water, are able to utilize lower temperature reservoirs, which are
much more common.
In all cases the condensed steam and remaining geothermal fluid is injected back into the
ground to pick up more heat.
8.4.2 Environmental issues related to geothermal power projects
On the environmental point-of-view, geothermal energy offers a number of advantages over
fossil fuel used by thermal power plants. Indeed, geothermal energy is clean and safe for the
surrounding environment. It is also sustainable because the hot water used in the
geothermal process can be re-injected into the ground to produce more steam. Moreover,
geothermal energy is competitive on the economic standpoint and reduces reliance on costly
fossil fuels.
Geothermal power plants do not involve important environmental concerns, except for low
levels of carbon dioxide, nitric oxide, and sulfur emissions. However, geothermal plants can
be built with emissions-controlling systems that can inject these gases back into the earth,
thereby reducing carbon emissions to non-significant levels.
8.4.3 Social issues related to geothermal power projects
Land use
The space requirements of geothermal installations (wells, pipelines and plant) are quite
modest, so these facilities hardly interfere with agricultural utilization of the surrounding land
and rarely require involuntary resettlement.
However, the selection of a construction site for a geothermal power plant must take into
account soil potential (quality) of the land that will be lost for agriculture or pasture. For
example, between two sites having good technical characteristics, the one with the lowest
soil potential shall be selected. Thereby, it will be easier to compensate the losses with land
having similar or higher potential. Whenever possible, plant designers should pay attention
in minimizing the surface area of the facility in order to limit land lost.
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
8-25
8.4.4 Potential impacts of geothermal power projects and mitigation measures
General impacts and mitigation measures related to the construction of a geothermoelectric
facility have been listed in Section 8.1. Specific environmental and social impacts are
presented in Table 8.4.
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
T
ecsu
lt In
tern
atio
nal
05-1
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inal
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ort –
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ruar
y 20
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8-26
Tab
le 8
.4
Po
ten
tial
imp
acts
, mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
spec
ific
to
geo
ther
mal
pow
er p
roje
cts
Po
ten
tial
ad
vers
e an
d b
enef
icia
l im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
A
mb
ien
t ai
r
• Lo
w le
vel g
reen
hous
e ga
s em
issi
ons.
•
Odo
urs
due
to o
nsite
sew
age
or w
aste
wat
er tr
eatm
ent.
• In
stal
l and
mai
ntai
n pr
oper
air
pollu
tion
cont
rol e
quip
men
t. •
Use
equ
ipm
ent c
ompl
ying
with
res
tric
tive
stan
dard
s.
Wat
er
• D
egra
datio
n of
sur
face
wat
er q
ualit
y du
e to
incr
ease
d ru
n-of
f fol
low
ing
the
rem
oval
of v
eget
atio
n.
• D
egra
datio
n of
gro
undw
ater
qua
lity
due
to p
erco
latio
n fr
om
settl
ing
and
slud
ge p
onds
, lea
kage
of f
uels
, pro
cess
ch
emic
als,
or
othe
r co
mpo
unds
use
d on
site
. •
Pot
entia
l for
gro
undw
ater
con
tam
inat
ion
from
pip
elin
e br
eaka
ge.
• U
nder
take
the
colle
ctio
n an
d tr
eatm
ent o
f sew
age
and
orga
nic
was
te.
• D
ilute
was
tew
ater
at p
oint
of d
isch
arge
•
Dew
ater
ing
of s
ludg
e an
d ap
prop
riate
dis
posa
l of s
olid
s.
• C
onst
ruct
line
rs fo
r po
nds
and
solid
was
te d
ispo
sal.
• In
spec
t reg
ular
ly (
mon
thly
) th
e pi
pelin
e ro
ute
for
poss
ible
pip
elin
e da
mag
e.
S
oils
• S
oils
con
tam
inat
ion
due
to c
hem
ical
dis
char
ges
and
spill
s.
• D
esig
n th
e pi
pelin
e ac
cord
ing
to s
tand
ard
engi
neer
ing
prac
tices
and
cod
es.
• D
evel
op s
pill
prev
entio
n pl
ans.
•
Dev
elop
trap
s an
d co
ntai
nmen
t sys
tem
s an
d ch
emic
ally
trea
t dis
char
ges
on s
ite.
E
cosy
stem
s an
d v
eget
atio
n
• V
eget
atio
n re
mov
al a
nd lo
ss o
f hab
itat.
•
Sel
ect a
ltern
ativ
e si
te to
avo
id lo
ss o
f eco
logi
cal r
esou
rces
. •
Com
pens
ate
the
loss
of v
eget
atio
n an
d/or
hab
itat.
Qu
alit
y o
f lif
e
• In
crea
se o
f am
bien
t noi
se d
ue to
the
oper
atio
n of
hea
vy
equi
pmen
t, tu
rbin
es, w
hist
les
and
alar
ms,
traf
fic
• D
isru
ptio
n of
soc
ial a
nd c
ultu
ral v
alue
s an
d pa
ttern
s.
• C
ontr
ol th
e tim
ing
of n
oise
and
vib
ratio
n to
leas
t dis
rupt
ive
perio
ds.
• In
stal
l noi
se b
arrie
rs.
• D
evel
op p
lan
to e
duca
te w
orke
rs o
n se
nsiti
ve v
alue
s an
d pa
ttern
s.
• P
rovi
de b
ehav
iour
al a
nd p
sych
olog
ical
rea
djus
tmen
t pro
gram
s an
d se
rvic
es.
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
05-1
6005
– F
inal
Rep
ort –
Feb
ruar
y 20
08
Tec
sult
Inte
rnat
iona
l
8-27
Po
ten
tial
ad
vers
e an
d b
enef
icia
l im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
H
ealt
h o
utc
om
es
• W
orke
r ex
posu
re to
toxi
c ga
ses.
•
Wor
ker
expo
sure
to e
xces
sive
noi
se.
• P
oten
tial f
or fi
re r
isk.
• A
void
exp
osur
e to
hyd
roge
n su
lphi
de g
as (
H2S
) us
ing
mon
itorin
g an
d w
arni
ng s
yste
ms,
an
d co
ntin
genc
y pl
an fo
r H
2S r
elea
se e
vent
s.
• M
aint
ain
nois
e le
vels
from
bel
ow 9
0dB
A.
• P
rovi
de e
ar p
rote
ctio
n if
in e
xces
s.
• E
nsur
e th
at fi
re p
reve
ntio
n an
d fig
htin
g eq
uipm
ent i
s su
pplie
d to
the
proj
ect s
ite.
In
fras
tru
ctu
res
and
ser
vice
s
• In
crea
sed
dem
and
on in
fras
truc
ture
due
to in
duce
d se
cond
ary
deve
lopm
ent.
• P
rovi
de in
fras
truc
ture
pla
n an
d fin
anci
al s
uppo
rt fo
r in
crea
sed
dem
ands
. •
Con
stru
ct fa
cilit
ies
to r
educ
e de
man
ds.
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05-16005 – Final Report – February 2008
8-28
8.5 Power transmission lines
8.5.1 General characteristics of power transmission lines
Power transmission and distribution lines aim to transport and distribute the power
generated by a power station. The main structures of power lines include electric wires,
conductors, towers, supports, transformers and substations. Access roads are also required
for constructing and maintaining the line.
The size of the electrical structures depends on the voltage and the capacity of the power
line. Wood poles are often used for low-voltage distribution lines in urban and rural areas. H-
frame wood pole structures are used for intermediate voltage lines. High-voltage
transmission lines of 161 kV and more are usually built on self-supporting and guyed-wired
pylons.
The length of power lines, which can vary from a few to hundreds of kilometres, depends on
the purpose of the line. Low-voltage lines, used for power distribution, are usually much
shorter than high-voltage lines, which are used to carry the energy from power plants located
in remote areas.
The width of the power line right-of-way also ranges according to the voltage. The
distribution line right-of-way in urban or rural areas is usually narrow (5 to 20 m), whereas
the right-of-way of high-voltage power transmission lines can be hundreds of meters wide,
particularly when there is more than one line in the right-of-way.
Power distribution line
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05-16005 – Final Report – February 2008 Tecsult International
8-29
8.5.2 Environmental issues related to power transmission lines
Biological aspects
Transmission lines can open up more remote lands to human activities such as settlement,
agriculture, hunting, recreation, etc. Construction of the power line right-of-way can result in
the loss and fragmentation of habitat and vegetation along the line. These effects can be
significant if natural areas, such as wetlands or natural forests are affected, or if the newly-
accessible lands are the home of indigenous peoples.
The control of vegetation in the right-of-way is often necessary to protect the power line.
Various techniques exist for controlling the growth of vegetation. From an environmental and
social point of view, selective clearing using mechanical means by local workers is most
preferable in NBI countries and should be evaluated in the framework of the project
environmental assessment. Aerial spraying of herbicides should be absolutely avoided
because it may result in contamination of surface waters and terrestrial food chains, as well
as elimination of desirable species and direct poisoning of wildlife.
8.5.3 Social issues related to power transmission lines
Agriculture
The route of the power transmission lines must take into account soil potential of the land
(agriculture, pasture) that will be lost under these infrastructures. For example, among routes
sharing the same technical characteristics, the one covering the area with the lowest soil
potential shall be selected. Whenever possible, designers should pay attention in minimizing
the size of the line towers at the ground level in order to limit surface lost for pasture et
agriculture.
In order to minimize fragmentation of agricultural plots (increasing the workload for farmers),
it is recommended to layout the line towers parallel to other existing linear infrastructures
such as highways, railways or roads.
Resettlement
Electric power transmission lines are typical linear projects. They have a long but narrow
corridor of impacts. Therefore, land acquisition or restriction consists of a strip along property
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Tecsult International
05-16005 – Final Report – February 2008
8-30
borders. Acquisition or restrictions imposed on this strip only affect a small part of one’s
property. Seldom, relocation of occupants will be required. In this case, the inhabitants can
usually be resettled in the same area and often, on their own plot of land.
A transmission line is usually only 12 to 25 meters wide but it extends for hundreds of
kilometres in rural areas. For instance, Ethiopia-Sudan transmission project, being
implemented under the NBI, involves a corridor of approximately 450 km long.
Except if they cannot avoid densely populated areas, transmission lines do not require
permanent land acquisition apart from the towers which impact will be very slight. However,
construction of associated infrastructures such as power substations may entail land
acquisition.
Construction of a transmission line will involve compensation for temporary losses such as
crop damage. The resettlement plan will also provide compensations for restrictions imposed
on land use under the transmission lines if such restrictions are applied. The land acquisition
for the towers being of only a few square meters per tower, the residual of the asset being
taken will remain economically viable. An easement fee will generally suffice to compensate
this permanent loss.
While transmission lines have less severe impacts than those of large-area such as
hydroelectric projects, they pose challenges in resettlement planning. By their linear nature,
transmission lines involve many stakeholders spread out in numerous localities. Public
information and consultation of the stakeholders including local authorities will be held over
hundreds of kilometres. Because the geographically dispersed populations are likely to be
culturally and linguistically heterogeneous, the information and consultation will entail case-
by-case adjustments. The census of the population and valuation of the lost assets and, the
organizational coordination and monitoring during implementation will face the same
problems. In addition, the resettlement plan for a transmission line will pose an important
institutional challenge since the line cuts through many administrative jurisdictions.
Health and safety
Even if it is not clearly demonstrated, several studies concluded that electromagnetism
emanating from power transmission lines could affect the health of people living and/or
working nearby. In order to avoid any problems, it is recommended that electric power lines
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8-31
should not be layout in irrigated perimeters as farmers spend numerous hours in their plots
for soil preparation, seeding, weeding or harvesting.
Placement of low-slung lines or lines near human activity (e.g., highways, buildings)
increases the risk for electrocutions. Technical guidelines for design ordinarily minimize this
hazard. Towers and transmission lines can disrupt airplane flight paths in and near airports
and endanger low-flying airplanes, especially those used in agricultural management
activities.
8.5.4 Impacts of power transmission lines and mitigation measures
Table 8.5 below summarises the typical environmental and social impacts specific to power
transmission, and presents the common measures to offset, minimise, mitigate or
compensate these impacts. General impacts and mitigation measures of a power
transmission line have been listed in Section 8.1.
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
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Bas
in C
ount
ries
T
ecsu
lt In
tern
atio
nal
05-1
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inal
Rep
ort –
Feb
ruar
y 20
08
8-32
Tab
le 8
.5
Po
ten
tial
imp
acts
, mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
spec
ific
to
po
wer
tra
nsm
issi
on
lin
es
Po
ten
tial
ad
vers
e an
d b
enef
icia
l im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
A
mb
ien
t n
ois
e
• In
crea
se in
am
bien
t noi
se n
ear
the
subs
tatio
ns.
• Lo
cate
sub
stat
ions
in r
emot
e ar
eas.
•
Est
ablis
h ve
geta
tion
edge
s ar
ound
sub
stat
ions
, in
orde
r to
min
imis
e no
ise.
Wat
er
• C
onta
min
atio
n of
sur
face
and
gro
undw
ater
by
pest
icid
es u
sed
for
the
mai
nten
ance
of t
he
tran
smis
sion
line
rig
ht-o
f-w
ay.
• F
avou
r th
e us
e of
veg
etat
ion
mec
hani
cal m
aint
enan
ce b
y lo
cal w
orke
rs r
athe
r th
an p
estic
ides
. •
If m
echa
nica
l mai
nten
ance
is n
ot fe
asib
le (
in a
reas
diff
icul
t of a
cces
s fo
r ex
ampl
e, s
elec
t her
bici
des
with
min
imal
und
esire
d ef
fect
s.
• D
o no
t app
ly h
erbi
cide
s b
y ae
rial s
pra
ying
.
So
ils
• S
oil e
rosi
on a
long
the
right
-of-
way
. •
Ris
k of
soi
l con
tam
inat
ion
from
sub
stat
ions
. •
If po
ssib
le, l
ocat
e th
e tr
ansm
issi
on li
ne r
oute
in fl
at a
reas
. •
Dev
elop
spi
ll pr
even
tion
plan
s.
• D
evel
op tr
aps
and
cont
ainm
ent s
yste
ms
and
chem
ical
ly tr
eat d
isch
arge
s on
site
.
Bio
div
ersi
ty
• E
ncro
achm
ent i
nto
ecol
ogic
ally
sen
sitiv
e an
d pr
otec
ted
area
s.
• In
crea
sed
acce
ss to
eco
syst
ems
of p
artic
ular
in
tere
st.
• D
esig
n th
e rig
ht-o
f-w
ay
layo
ut a
void
ing
ecol
ogic
ally
sen
sitiv
e an
d pr
otec
ted
area
s.
• E
stab
lish
a pe
rimet
er o
f pro
tect
ion
arou
nd s
ensi
tive
ecos
yste
ms
such
as
wet
land
s an
d un
ique
ha
bita
ts s
helte
ring
enda
nger
ed s
peci
es.
• M
inim
ise
the
leng
th o
f w
ork
in e
colo
gica
lly s
ensi
tive
area
s.
• M
inim
ise
the
right
-of-
way
layo
ut in
wet
land
and
nat
ural
for
est.
W
ildlif
e
• F
ragm
enta
tion
of w
ildlif
e ha
bita
ts.
• B
irds
haza
rds
from
tran
smis
sion
line
s an
d py
lons
. •
Incr
ease
in p
oach
ing.
• M
aint
ain
wild
life
habi
tat b
enea
th tr
ansm
issi
on li
ne.
• A
void
impo
rtan
t bird
hab
itat.
• In
stal
l def
lect
ors
on li
nes
in a
reas
with
pot
entia
l for
bird
col
lisio
ns.
• D
esig
n th
e rig
ht-o
f-w
ay
layo
ut b
y ta
king
into
acc
ount
wild
life
repr
oduc
tion
area
s.
• C
ontr
ol il
lega
l hun
ting.
Qu
alit
y o
f lif
e
• V
isua
l deg
rada
tion
of th
e la
ndsc
ape
due
to n
ew
infr
astr
uctu
res.
•
Fav
our
an a
rchi
tect
ural
des
ign
inte
grat
ing
proj
ect i
nfra
stru
ctur
es in
to th
e la
ndsc
ape.
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
05-1
6005
– F
inal
Rep
ort –
Feb
ruar
y 20
08
Tec
sult
Inte
rnat
iona
l
8-33
Po
ten
tial
ad
vers
e an
d b
enef
icia
l im
pac
ts
Mit
igat
ion
an
d e
nh
ance
men
t m
easu
res
H
ealt
h o
utc
om
es
• E
ffect
of e
lect
rom
agne
tic fi
elds
. •
Incr
ease
d ris
k of
acc
iden
ts d
ue to
airc
raft
colli
ding
w
ith tr
ansm
issi
on li
nes
and
pylo
ns.
• In
crea
sed
risk
of e
lect
rocu
tion
asso
ciat
ed w
ith
illeg
al a
bstr
actio
n.
• A
void
irrig
ated
per
imet
ers.
•
Loca
te th
e rig
ht-o
f-w
ay
to a
void
airp
ort f
light
pat
hs.
• In
stal
l mar
kers
to m
inim
ise
risks
of l
ow-f
lyin
g ai
rcra
ft.
• C
ontr
ol il
lega
l abs
trac
tion.
S
oci
o-e
con
om
ic d
evel
op
men
t
• D
iver
sific
atio
n of
inco
me
gene
ratin
g ac
tiviti
es d
ue
to a
bet
ter
acce
ss to
ene
rgy.
•
Dis
rupt
ion
of s
ome
econ
omic
act
iviti
es s
uch
as
tour
ism
.
• E
ncou
rage
the
purs
uing
of
agric
ultu
ral a
ctiv
ities
in r
ight
s-of
-way
afte
r co
nstr
uctio
n.
• A
void
tour
ist s
ites.
In
fras
tru
ctu
res
and
ser
vice
s
• B
ette
r ac
cess
to e
nerg
y.
• In
clud
e an
acc
ess
com
pone
nt in
pro
ject
s to
favo
ur a
bro
ader
dis
trib
utio
n of
ele
ctric
ity to
hou
seho
lds.
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9-1
9 LIFE CYCLE AND SYSTEMS APPROACH IN THE EIA FRAMEWORK
9.1 Life cycle assessment in EA
The integration of Life Cycle Assessment (LCA) in the environmental assessment (EA) of a
power project is very innovative. Indeed, the LCA studies conducted so far were for general
construction projects, especially after project implementation.
This EA framework considers three types of projects: hydropower, thermal and geothermal
power plants. In addition, these projects require the construction of a power line to transport
electricity to users.
The comparison of LCA and Environmental Impact Assessment (EIA) according to spatial
(global versus local) and time (cradle versus local) scales is presented in Figure 9.1.
Figure 9.1 Comparison of LCA and EIA
Contrary to EIA which is a specific site study, LCA is a method of evaluating the
environmental impact systematically and quantitatively in the entire life cycle of a certain
action by analysing all stages of the entire process “from craddle to grave”. LCA consists of
three parts: identification and quantification of the flows of energy and materials; estimation
of the consumption of energy and materials as well as emissions generation in every
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9-2
process; assessment of the total environmental impact of the entire life cycle and a proposal
of solution to protect environment. However, LCA only assess the effects on ecology, health
and the consumption of resources, and doesn’t take into account economic or social effects..
That is the reason why, both LCA and EIA are complementary studies, especially for
regional power projects in the NBI countries.
9.2 Definition of life cycle assessment
Life cycle assessment evaluates the global environmental impacts of a product (or a
process) in relation of a functional unit, and this, for each step on its life cycle. According to
ISO 14040, life cycle assessment shall include four different phases: definition of goal and
scope, inventory analysis, impact assessment, and finally, interpretation of results. In other
terms, LCA carries out an assessment quantified on all the project life cycle, thus covering a
large number of different impacts. Moreover, it is the only assessment binding the
environmental impacts and the principal function of the product or the project. For that
reason, Life Cycle Assessment is a relevant holistic study, in complement to the
Environmental Impact Assessment.
Applied to power projects, LCA must include the incidences of the raw material extraction,
the treatment and the transport of fuels as well as the construction of the project, the
activities of electricity production on the site and the decommissioning waste. Figure 9.2
shows the typical life cycle for an electrical power project.
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9-3
Figure 9.2 Typical Life Cycle (simplified model) for electrical power projects
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9-4
9.3 Life cycle assessment international standards
To make sure the LCA is recognized, it has to be conducted and based on international
standards. The applicable international standard for LCA is the ISO 14040 series. The two
most important standards of the ISO 14040 series are:
• ISO 14040 (2006): Environmental management – Life Cycle assessment – Principles and framework; and
• ISO 14044 (2006): Environmental management – Life Cycle assessment – Requirements and Guidelines.
They will be completed with:
• ISO 14047 (2003): Environmental management – Life Cycle assessment – Examples of application of ISO 14042;
• ISO 14048 (2002): Environmental management – Life Cycle assessment – Data documentation;
• ISO 14049 (2000): Environmental management – Life Cycle assessment – Examples of application of ISO 14041 to goal and scope definition and inventory analysis.
ISO 14040 defines the principles and the framework and ISO 14044 defines the
requirements and the guidelines, all applicable to carry out a life cycle analysis. These two
standards include: definition of the objectives and the scope of the life cycle analysis, the
phase of life-cycle inventory and the evaluation of the impact of the life cycle. They also
include the interpretation phase, the communication and critical review and the limitations of
the life cycle assessment as well as the relationship between phases of the life-cycle
assessment and the conditions for using choice of values and optional elements.
ISO 14047 is a technical report illustrating practices to conduct a life cycle impact
assessment. They reflect the key elements of the life cycle impact assessment (LCIA)
phases.
ISO 14048 provides the requirements and the structures for transparent and clear data
documentation, so the exchange of Life cycle analysis and inventory cycle life data analysis
will be facilitated.
The purpose of the Technical Report ISO 14049 is to provide examples of the method of
realization of a life-cycle inventory. Those examples represent only a sample that would
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05-16005 – Final Report – February 2008 Tecsult International
9-5
meet the provisions of the standard. They should not be regarded as the only way to put this
standard into practice, but as a medium or resources.
9.4 Life cycle assessment in the EA process for regional power projects in the NBI countries
The following points will help the proponent to understand what step of the Environmental
Assessment Process it must undertake in the LCA study of the regional power project.
• Only Category A projects requires life cycle assessment.
• LCA is divided into 4 steps: 1) identification of the goal and scope, 2) inventory analysis, 3) impact assessment requirements, and 4) impact assessment interpretation. The first step is necessary in the scoping step of the EA Process. As for steps 2 to 4, they are carried out during the preparation of the studies during step 4 of the EA process (Impact assessment). In other terms, the LCA will be integrated in the EA process from the scoping stage up to the final decision.
Figure 9.3 shows the relation between LCA and the EA process for regional power projects.
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9-6
Figure 9.3 LCA in the EA process for regional power projects
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9.5 Guidelines for conducting a life cycle assessment
9.5.1 Goal and scope of the project
According to ISO 14040, the goal of a LCA study shall unambiguously state the intended
application, the reasons for carrying out the study and the intended audience, i.e. to whom
the results of the study are intended to be communicated.
Moreover, the LCA study shall clearly describe the scope of the project. According to ISO
14040, the following items shall be considered:
• Goal and scope of the project;
• Function (ex: electricity production);
• Functional unit (ex: number of MWh generated);
• System boundary or main system components to be included in Electrical Power and transmission line project during construction, production, transportation, use and decommissioning phases;
• Sub-systems functions, functional units and boundaries among others related to the raw material production (ex: cement plant, steel plant, metal production plants, etc.), energy supply and land use;
• Data quality requirements;
• Critical review considerations based on international standard requirements.
Each of these items is developed in the following section.
System function and functional unit
The LCA study shall clearly specify the functions of the power investment project being
studied. For example, the principal function should be “electricity generation”.
When the function of the system is clearly defined, the LCA study shall identify the functional
unit of the project. This functional unit indicates the unit being used to quantify the system
function. Usually, the functional unit must be the same suggested in the others scenarios
(generic scenarios). As an indication, the functional unit generally used in power projects is
the MegaWatt hour (MWh).
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System Boundary
The study shall determine which unit processes shall be included within his LCA. In order to
establish the system boundary, the study needs to cover the various stages of the project life
cycle:
• Extraction and preparation of the raw materials and energy;
• Construction of infrastructures, machines and inputs, as well as transportation;
• Main production phase (in this case: electricity production) and transportation;
• Waste processing (taking into consideration the possibilities of re-use, recycling and utilisation for energy purposes);
• Decommissioning of the plant.
Data quality requirements
The proponent shall define the data quality requirements to enable the goal and scope to be
met by the LCA study. These data quality requirements specify the characteristics of data
needed for the study. Data quality should be characterized by both quantitative and
qualitative aspects and by the methods used to collect and integrate this data.
The data quality requirements include:
• Time-related coverage: the desired age of the data and the minimum length of time over which data should be collected;
• Geographical coverage: geographical area from which data for unit processes should be collected to satisfy the goal of the study (local, regional, national…);
• Technology coverage: technology mix (weighted average of the actual process mix, best available technology or worst operating unit).
The study shall also consider descriptors defining the nature of the data, such as the fact
that they were collected from specific sites versus data from published sources, and whether
the data should be measured, calculated or estimated.
The LCA study should use data from specific sites or representative averages for the unit
processes contributing to the majority of the mass and energy flows in the systems being
studied, as determined in the sensitivity analysis. The LCA should also use data from
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specific sites for unit processes that are considered to have environmentally relevant
emissions.
The study must also consider the following additional data quality requirements in all studies,
in a level of detail depending on the goal and the scope definition:
• Precision: measure of the variability of the data values for each data category used;
• Completeness: percentage of locations reporting primary data from the potential number existing for each data category in a unit process;
• Data representativeness: qualitative assessment of the degree to which the data set reflects the true population of interest (geographical coverage, time period and technological coverage);
• Consistency: qualitative assessment of how uniformly the study methodology is applied to the various components of the analysis;
• Reproducibility of the methods used throughout the LCA: qualitative assessment of the extend to which the methodology and data values allows an independent practitioner to reproduce the results reported in the study;
• Sources of the data and their representativeness;
• Uncertainty of the information.
Critical review considerations
The study shall consider conducting a critical review to verify if the LCA study has met the
requirements of international standards related to methodology, data and reporting. This
process gives more credibility to the study. The study shall define, in the scope of the study,
whether and how to conduct the critical review and who is going to conduct the review. The
scope and type of critical review desired shall be defined in this phase of the LCA (goal and
scope definition).
The critical review will facilitate understanding of the LCA studies and enhance their
credibility, by involving a third part (i. e. the interested parties). It should be mentioned in the
scope of the study why the critical review is undertaken, what will be covered and what is the
level of details desired. It is also important to specify who will be involved in the critical
review process.
In the phase of LCA’s scope definition, the study should consider the following information
while defining the scope of the process of its critical review:
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• The methods used to carry out the LCA are consistent with the International Standards ISO 14040 (2006);
• The method used to carry out the LCA are scientifically and technically valid;
• The data used is appropriate and reasonable in relation to the goal of the study;
• The interpretations reflect the limitations identified and the goal of the study;
• The study report is transparent and consistent.
It is important to know that ISO 14040 (2006) does not specify requirements on the goal or
use of LCA, so the critical review can’t neither verify nor validate the goals that are chosen
for the LCA or the use of the LCA’s results.
The critical review may be undertaken by three types of parties:
• An internal expert could be chosen in the case that an internal review is carried out. This expert needs to be familiar with ISO 14040 process and is scientifically and technically qualified. A review statement is prepared by the person conducting the LCA study and then reviewed by the internal, independent expert. This review statement may also be prepared by the internal, independent expert. It should be included in the study report;
• External expert could be chosen in the case that an external review is carried out. This expert needs to be familiar with ISO 14040 process and is qualified (scientifically and technically). A review statement is prepared by the person conducting the LCA study and then reviewed by the external, independent expert. This review statement may also be prepared by the external, independent expert. It should be included in the study report;
• An external independent expert is selected to act as the chairperson and, considering the goal, scope and budget available for the review, he will select another independent qualified reviewer.
9.5.2 Inventory analysis (extraction and emission)
The LCA study shall conduct an inventory analysis, which includes a data collection and
calculation procedures to quantify relevant inputs and outputs of the system. These inputs
and outputs may include the use of resources (energy, raw material, transport
consumptions…) and releases to air, water and land associated with the system. The study
must draw interpretations from these data, depending on the goals and scope of the LCA.
The data also constitute the input to the life cycle impact assessment.
The study shall collect, for each unit process that is included within the system boundaries,
the qualitative and quantitative data for inclusion in the inventory. The procedure used for
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data collection may vary depending on the scope, unit process or intended application of the
study. Data collection can be a resource-intensive process. The study should consider in the
scope the practical constraints on data collection and document it in the study report.
The LCA should pay attention to the significant calculation considerations outlined in the
following.
• Allocation procedures are needed when dealing with systems involving multiple products (e.g. multiple products from petroleum refining). The material and energy flows as well as associated environmental releases shall be allocated to the different products according to clearly stated procedures, which shall be documented and justified.
• The calculation of energy flow should take in consideration the different fuels and electricity sources used, the efficiency of conversion and distribution of energy flows as well as the inputs and outputs associated with the generation and use of that energy flow.
As shown on Figure 9.4, the approach to conduct a life cycle inventory analysis is the
following:
• From reference flow defined in relation to the functional unit, the tree of the process for all basic unit modules of the system is established;
• For each unit basic process, its inputs and direct emissions are determined in a production inventory;
• The data regarding emissions and extractions of these inputs are sought in a database or throughout direct contact with the manufacturer of the product. These data could also be obtained in situ. Regarding indirect emissions and extractions, they are calculated by multiplying the quantity of input used by functional unit with factors of emissions per unit of inputs;
• Total emissions and extractions are calculated by summing direct elementary flows and emissions and extractions indirectly linked to inputs.
As data are collected and more is learned about the system, the study could identify new
data requirements or limitations. These may require a change in the data collection
procedures so that the goals of the study will still be met. In another hand, the study may
identify issues that require revisions of the goal and scope of the study.
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Figure 9.4 Simplified procedures for inventory analysis
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As shown on Figure 9.2 above, the LCA of the three types of power plant project have to
take in consideration the following aspects during life cycle inventory:
1. Raw material
2. Construction phase
3. Electricity production
4. Electricity transportation
5. Decommissioning
9.5.2.1 Guidelines specific to hydropower projects
For hydro-power projects the LCA inventory shall quantify material and energy flows
considering the following inputs and outputs:
Inputs, including:
o material extracted to produce concrete: fly ashes, sand, stone, water, limestone...
o material extracted to produce steel: ores, limestone, coal (used to produce coke, a sub-product of steel)…
o energy consumed at each phase of the LCA in MWh
Outputs, including:
o energy produced during the operational phase (Electricity Production) in MWh
o emissions to air: mainly nitrogen oxides (NOx), carbon dioxide (CO2),sulphur dioxide (SO2), methane (CH4), and dust
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o emissions to water: mercury pollution during commissioning phase
o waste for treatment: mainly waste water during the pre-construction phase, waste liquids during the construction, and waste material from decommissioning
o recyclable material from the decommissioning
9.5.2.2 Guidelines specific to geothermal power plants
For geothermal power projects the LCA inventory shall quantify material and energy flows
considering the following inputs and outputs:
Inputs, including:
o material extracted to produce concrete: fly ashes, sand, stone,water, limestone...
o material extracted to produce steel: ores, limestone, coal (used to produce coke, a sub-product of steel)…
o material extracted to produce plastic pipes: mainly crude oil
o energy consumed at each phase of the LCA in MWh
o hydrogen sulfide coming with the hot ground water which is re-injected in the pipes into the ground
Outputs, including:
o energy produced during the operational phase (Electricity Production) in MWh
o emissions to air: mainly nitrogen oxides (NOx), carbon dioxide (CO2),sulphur dioxide (SO2), methane (CH4), polycyclic aromatic hydrocarbons (PAH), VOCs and dust
o emissions to water: hydrogen sulfide if not totally re-injected into the ground
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o waste for treatment: mainly waste water during the pre-construction phase, waste liquids during the construction, and waste material from decommissioning
o recyclable material from the decommissioning
9.5.2.3 Guidelines specific to thermal power plants
For thermal projects the LCA inventory shall quantify material and energy flows considering
the following inputs and outputs:
Inputs, including:
o material extracted to produce concrete: fly ashes, sand, stone, water, limestone...
o material extracted to produce steel: ores, limestone, coal (used to produce coke, a sub-product of steel)…
o energy consumed at each phase of the LCA in MWh
o raw fuel extracted to feed the thermal power plant: lignite, oil or gas
Outputs, including:
o energy produced during the operational phase (Electricity Production) in MWh
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o emissions to air: mainly nitrogen oxides (NOx), carbon dioxide (CO2),sulphur dioxide (SO2), methane (CH4), PAH and VOCs
o emissions to water: acid rains
o waste for treatment: mainly waste water during the pre-construction phase, waste liquids during the construction, and waste material from decommissioning
o recyclable material from the decommissioning
9.5.2.4 Guidelines specific to transmission lines
For transmission projects the LCA inventory shall quantify material and energy flows
considering the following inputs and outputs:
Inputs, including:
o material extracted to produce posts (steel or wood)
o material extracted to produce copper wires: ores, crude oil…
o energy consumed at each phase of the LCA in MWh
Outputs, including:
o emissions to air: mainly nitrogen oxides (NOx), carbon dioxide (CO2),sulphur dioxide (SO2),methane (CH4), PAH, VOCs and dust
o emissions to water: mainly waste liquids used for equipment maintenance during the installation phase
o waste for treatment: mainly waste material from decommissioning
o recyclable material from the decommissioning
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9.5.3 Impact assessment requirements
This phase is the third step of the LCA. With the inventory analysis, the study has allowed to
determine the quantities of material and energy extracted, and the emissions in water, air
and ground. It is now time to link the information to their impact on the environment. This
process involves associating inventory data with specific environmental impacts and
attempting to understand those impacts. The level of detail, choice of impacts evaluated and
methodology used depends on the goal and scope of the study.
The assessment may include the iterative process of reviewing the goal and scope of the
LCA study to determine when the objectives of the study have been met, or to modify the
goal and scope if the assessment indicates that they cannot be achieved.
The impact assessment phase includes elements such as the following:
• Selection of the impact categories, environmental indicators and characterization models; Tables 9.1 and 9.2 present examples of environmental indicators;
• Assignment of the inventory results to the impact categories;
• Determination of the category indicator results;
• Comparison to the environmental indicators.
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Table 9.1 Atmospheric and liquid rejects indicators - World Bank maximum values
Atmospheric Emissions Liquid Effluents Industry
Particulate matter
(mg/Nm3)
Sulfur oxides (mg/Nm3)
Nitrogen oxides
(mg/Nm3)
pH COD (mg/l)
TSS (mg/l)
Oil and grease (mg/l)
Phenol (mg/l)
Temp. increase
Metals and other (mg/l)
Cement manufacturing
50 400 600 6-9 50
L 3�C
Coal mining and production 50 6-9 50 10 L 3�C Mercury: 3.5
Steel manufacturing
50 500 750 6-9 250 50 10 0.5 L 3�C
Cadnium: 0.1 Chronium: 0.5 Mercury: 0.01
Plomb: 0.2 Zinc: 2
CN- free: 0.1
total: 1
Thermal power, new plants 50
0.2 tpd/MWe (to 500 MWe) 0.1 tpd/MWe (incr. over 500 MWe) Not to exceed 2000 mg/Nm3 in flue gases Not to exceed 500 tpd
750 6-9 50 10 L 3�C
Chronium: 0.5 Copper: 0.5
Iron: 1 Zinc: 1
Chlorine shoking: max. value is 2 mg/l for up to 2 hrs, not to be repeated more frequently than once in 24 hrs, with a 24-hrs average of 0.2mg/l.
Source: World Bank, Pollution Prevention and Abatement Handbook, Summary of air emission and effluent discharge requirements presented in the industry Guidelines Section. Abbreviations: N in mg/Nm3 stands for “normal” that is to say a temperature of 0�C and an atmospheric pressure of 1 atmosphere. tpd/MWe: metric tons per day per megawatt of electricity COD: Chemical oxygen demand TSS: Total suspended solids CN: cyanide
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Table 9.2 Ambient air quality indicators of different world standing institutions
Criterion Institution Parameter
Type Value (μg/m3)
Daily 125
Sulfur dioxide
Yearly 50 Nitrogen dioxide Daily 150
Daily 70
World Bank (1)
Particulate matter
Yearly 50 Daily 125 Sulfur dioxide
Yearly 50 Nitrogen dioxide Yearly 40
Hourly 30 000 World Health Organization (2)
Carbon monoxide 8 hours 10 000
Daily 250 Sulfur dioxide (3)
Yearly 80 Nitrogen dioxide (4) Hourly 200
Daily 250
European Union
Particulate matter (3)
Yearly 80 Daily
365 Sulfur dioxide
Yearly 80 Nitrogen dioxide Yearly 100
Hourly 40 000 Carbon monoide 8 hours 10 000
Daily 150
USEPA – United-States (5)
Particulate matter
Yearly 50 (1) Source: World Bank, Pollution Prevention and Abatement Handbook, General Environmental Guidelines Section. (2) Source: Air Quality Guidelines, WHO, Genève, 2000. (3) Source: Council of European Communities, 1980, Council Directive of 15 July 1980 on air quality limit values and guide
values for sulphur dioxide and suspended particulates. (4) Source: Council of European Communities, 1985, Council Directive 85/203/EEC of 7 March 1985 on air quality
standards for nitrogen dioxide (98th percentile of the distribution of hourly values throughout the year). (5) Source: USEPA, National Ambient Air Quality Standards.
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The proponent needs to understand that because there is subjectivity in the life cycle impact
assessment phase such as the choice, modelling and evaluation of impact categories, and in
order to ensure that assumptions are clearly described and reported, transparency is critical
in impact assessment.
9.5.4 Impact assessment interpretation
The goal of this life cycle assessment stage is to identify the steps of the project on which
the proponent shall take actions to reduce the environmental impacts of the system.
The study must combine the findings from the inventory analysis and the impact assessment
in the interpretation phase of LCA, or, in a case of life cycle inventory studies, the findings of
the inventory analysis only. The interpretation has to be consistent with the defined goal and
scope, in order to reach conclusions and recommendations.
The interpretation findings may take the form of conclusions and recommendations to
decision-makers, consistent with the goal and scope of the study. The interpretation phase
may involve the iterative process of reviewing and revising the scope of the LCA, as well as
the nature and quality of the data collected consistently with the defined goal.
The findings of the interpretation phase should reflect the results of any sensitivity analysis
that is performed. Though subsequent decisions and actions may incorporate environmental
implications identified in the findings of the interpretation, they lie beyond the scope of the
LCA study, since other factors such as technical performance, economic and social aspects
are also considered.
To facilitate the interpretation, the study must interpret each phase of the LCA which are the
definition of goal and scope, the life cycle inventory analysis (emission and extraction) and
the impact assessment. The study could also compare each LCA step contribution (for
example, material preparation, transportation and energy), consider each component of the
system contribution and for each pollutant and substances extracted, consider their
contribution for each type of impact (what are the emissions and extractions which generate
the major part of the impact.
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10 ACCESS TO THE CLEAN DEVELOPMENT MECHANISM FUND
10.1 Overview of the Clean Development Mechanism
10.1.1 Origins of the Clean Development Mechanism
The global climate is changing and it is now demonstrated that it is due to human activities.
The complex climate models developed these last years enabled the population to
understand the potential irreversible and catastrophic consequences of this change.
Although the exact extent of the impacts and the speed at which this will occur remain
unknown, it is certain that industrialized countries, with their high levels of greenhouse gas
emissions, carry the major part of responsibility. It is equally obvious that developing
countries will assume the major burden of the negative impacts, due to their particular
vulnerability in geographic location, as well as economic, political, social and environmental
conditions.
10.1.1.1 Climate Change Convention
In this context, in 1992 after the Earth Summit of Rio de Janeiro, 154 countries signed the
United Nations Framework Convention on Climate Change (UNFCCC), an environmental
treaty that provides the outline of a global action plan to reduce emissions of greenhouse
gas and combat global warming.
The treaty as originally framed set no mandatory limits on greenhouse gas emissions for
individual nations and contained no enforcement provisions; it is therefore considered legally
non-binding.
Rather, the treaty included provisions for updates (called "protocols") that would set
mandatory emission limits. The principal update is the Kyoto Protocol, which has become
much better known than the UNFCCC itself.
Signatories to the UNFCCC are split into two groups:
• Annex I countries (industrialized countries).
• Developing countries.
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Annex I countries agree to reduce their emissions (particularly carbon dioxide) to target
levels below their 1990 emissions levels. If they cannot do so, they must buy emission
credits or invest in conservation. Developing countries have no immediate restrictions under
the UNFCCC.
10.1.1.2 Kyoto Protocol
The Kyoto Protocol was designed to further strengthen the provisions of the UNFCCC and
introduced flexible mechanisms that would allow a reduction of greenhouse gas emissions in
the most cost-effective, efficient and sustainable manner.
It was agreed on 11 December 1997 at the 3rd Conference of the Parties to the treaty when
they met in Kyoto, and entered into force on 16 February 2005.
As stated in the treaty itself, the objective of the Kyoto Protocol is to achieve "stabilization of
greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous
anthropogenic interference with the climate system"5.
As of June 2007, 172 parties have ratified the protocol. Of these, 36 countries (plus the EU
as a party in its own right) are required to reduce greenhouse gas emissions to the levels
specified for each of them in the treaty (representing over 61.6% of emissions from Annex I
countries)6, with three more countries intending to participate. Notable exceptions include
the United States and Australia. One hundred thirty seven (137) countries have ratified the
protocol, but have no obligation beyond monitoring and reporting emissions.
10.1.1.3 Convention of Parties 7 (COP-7) in Marrakech
Of these instruments, the Clean Development Mechanism (CDM) is of greatest interest to
the developing world. It allows channeling foreign investment to these countries to promote
sustainable development and abate greenhouse gas emissions while generating certified
emission reduction units (CERs) that industrialized nations can apply towards meeting their
own emission reduction targets.
5 The United Nations Framework Convention on Climate Change. Retrieved on November 15, 2005. http://unfccc.int/essential_background/convention/background/items/1353.php 6 Kyoto Protocol: Status of Ratification, 10 July 2006 (PDF). UNFCC. Retrieved on October 30, 2006. http://unfccc.int/files/essential_background/kyoto_protocol/application/pdf/kpstats.pdf
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At the COP-7 meeting in Marrakech, Morocco October 29-November 10, 2001, negotiators
in effect completed the work of the Buenos Aires Plan of Action, finalizing most of the
operational details and setting the stage for nations to ratify the Protocol7. The completed
package of decisions is known as the Marrakech Accords. The United States delegation
continued to act as observers, declining to participate in active negotiations. The main
decisions at COP-7 included operational rules for international emissions trading among
parties to the Protocol and for the CDM and joint implementation.
In fact, the CDM was an important feature of the negotiations leading up to the Kyoto
Protocol. Some governments desired flexibility in the way that emission reductions could be
achieved and proposed international emissions trading as a way of achieving cost-effective
emission reductions. At the time it was considered a controversial element and was opposed
by environmental NGOs and, initially, by developing countries that feared the environmental
integrity of the mechanism would be too hard to guarantee. Eventually, and largely on US
insistence, the CDM and two other flexible mechanisms were written into the Kyoto Protocol.
The purpose of the CDM was defined under Article 12 of the Kyoto Protocol. Apart from
helping Annex I countries comply with their emission reduction commitments, it must assist
developing countries in achieving sustainable development, while also contributing to
stabilization of greenhouse gas concentrations in the atmosphere.
The CDM gained momentum in 2005 after the entry into force of the Kyoto Protocol.
10.1.2 International Standards on GHG
International standards were also developed to facilitate the implementation of CDM. In this
project, the applicable standards are:
• ISO 14064-1: Specification with guidance at the organization level for quantification and reporting of greenhouse gas emissions and removals includes requirements for the design, development, management, reporting and verification of the GHG inventory of an organization.
• ISO 14064-2: Specification with guidance at the project level for quantification, monitoring and reporting of greenhouse gas emission reductions or removal enhancements details requirements for planning a GHG project, the identification and selection of sources, sinks and reservoirs of greenhouse gases relevant to the project and the baseline for monitoring, measurement, documentation and report of the project GHG, and the management of data quality.
7 See http://www.climnet.org/COP7/cop7.htm
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• ISO 14064-3: Specification with guidance for the validation and verification of greenhouse gas assertions enounces requirements for selecting GHG validators/verifiers, establishing the level of assurance, objectives, criteria and scope, determining the validation/verification approach, assessing GHG data, information, information systems and controls, evaluating GHG assertions and preparing validation/verification statements.
Finally the use of the Guidelines for National Greenhouse Gas Inventories (2006 Guidelines)
issued by the International Panel on Climate Change (IPCC) upon invitation of the United
Nations Framework Convention on Climate Change (UNFCCC) shall be necessary to
develop successful CDM projects. The 2006 Guidelines are divided into five volumes and
provide methodologies for estimating national inventories of anthropogenic emissions by
sources and removals by sinks of greenhouse gases. The recent revision of the Guidelines
provides good practices guidance based on internationally agreed methodologies to help
countries to estimate their greenhouse gas (GHG) emissions. These guidelines shall be
excessively useful to report GHG inventories to the UNFCCC.
Regarding regional power projects in the NBI countries, the applicable section of the IPCC
guidelines is included in Volume 2: Energy.
10.1.3 Advantages for the host country
The prime objective of the CDM is to contribute to the sustainable development objectives of
the non-Annex I countries.
Taking into account the fact that investments provided for the CDM will be made in
developing countries and that they will generally be financed by countries (“Parties”, or
authorized legal entities, within the meaning of the Protocol) or companies from these later.
This innovative mechanism can be considered as a new source of funding for projects.
The role of the CDM is to support project that can:
a. Contribute to the local environment;
b. Contribute to the economy in parallel, and generate positive social impacts;
c. Encourage Foreign Direct Investment in new low emission technology transfer;
d. Provide an additional financial contribution to render a project financially viable by lowering the cost of its implementation and operation.
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Accordingly, the appeal of this new system for host countries is that it can set up structures,
in an increasing number of developing countries, for the promotion, support and validation of
these projects.
10.2 Requirements and issues related to CDM projects
10.2.1 Basic CDM Project Requirements
Real and Measurable GHG Emissions Reductions
CDM projects must lead to real, measurable reductions in greenhouse gas emissions, or
lead to the measurable absorption (or “sequestration”) of GHGs in the Nile basin countries.
The “project boundary” defines the area within which emissions reductions occurs.
Emissions reductions must occur on the project site or “upstream” from the project. For
example, in projects that reduce electricity use through efficiency or fuel substitution in a
region where power is produced from fossil fuels, the emissions reductions occur upstream
at the power plant.
Additional GHG Emissions Reductions
GHG emissions from a CDM project activity must be reduced below those that would have
occurred in the absence of the project. In fact, it must be shown that the project would not
have been implemented without the CDM. Without this “additionality” requirement, there is
no guarantee that CDM projects will create incremental GHG emissions reductions
equivalent to those that would have been made in Annex I countries, or play a role in the
ultimate objective of stabilizing atmospheric GHG concentrations.
There are six eligible GHGs: carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O),
hydrofluorocarbone (HFC), perfluorocarbon (PFC) and sulphur hexafluoride (SF6). A project
can only be eligible if emissions of one or more of these GHGs are reduced.
All CDM projects, therefore, require the estimation or measurement of “baseline” emissions
— those that would have occurred without the project — and actual emissions that occur
after a project has been implemented. For example, a wind power generation project might
displace emissions from an existing fossil fuel power plant in a region or delay the
construction of a new plant. The emissions reductions from improved fuel efficiency in an
industrial process would be measured against existing plant emissions. Section 10.4
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provides more details about how to select the boundaries of a project and establish its
baseline.
Sustainable Development
All CDM projects must contribute towards sustainable development in the host country and
must also be implemented without any negative environmental impacts. To ensure that
these conditions are met, host countries determine whether the CDM project activity meets
the sustainable development objectives in their country, and also decide whether an
environmental assessment of the project is required. More details and guidance on defining
Sustainable Development priorities are given in Section 10.3.4.
10.2.2 Project Participants
In general, the following represent the participants involved in CDM projects. In some cases,
the project proponent may also include the CER purchaser, should the company choose to
play an active role in the development of the project, in addition to receiving the CERs.
Project Proponent: An entity, such as a company or local NGO, that develops and
implements a CDM project.
CER Purchaser: A company that invests in the project or purchases CERs generated by the
project.
Host Country: The developing country in which the CDM project takes place.
Executive Board: The supervisory body of the CDM, accountable to the Conference of the
Parties, that oversees the global negotiations on climate change until the Kyoto Protocol is
ratified. The Executive Board was elected at COP 7 and comprises 10 members of the
Parties of the Protocol, representing various economic blocs. For more information on the
Executive board, visit the UNFCCC CDM Web Site at www.unfccc.int/cdm.
Designated Operational Entity: An independent legal entity designated to validate CDM
activities and emissions reductions. The Designated Operational Entity is accredited by and
accountable to the Executive Board. Project Proponents may designate the Designated
Operational Entity of their choice from a list maintained by the Executive Board.
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10.2.3 Eligibility to participate in the CDM
All projects that satisfy the additionality and sustainable development criteria are acceptable
under the CDM. However, CDM credits will only be granted to national governments and
companies in Annex I countries that have ratified the Kyoto Protocol and agreed to meet
their obligations under the Protocol regarding compliance and reporting of emissions. There
is no legal limit or ceiling on the number of CDM credits that an Annex I country can use to
meet its Kyoto reduction target; however, individual countries may enforce internal limits or
targets.
The Executive Board has decided that a project can have more than one host country. This
former aspect is thus very relevant for interconnection transmission lines, or hydro projects
on the Nile River running along borders.
10.2.4 CDM Project Costs
The costs of a CDM project include those of the project itself and the additional “transaction”
costs associated with using the CDM.
10.2.4.1 Project Costs
Considering power generation investments, project costs shall include the following
categories:
• Project design costs, including engineering studies and financial analysis.
• Capital costs or, if the project upgrades an existing system, the incremental capital costs of a low-emissions option over a baseline technology.
• Fuel and operating costs, or the net increase or decrease in fuel or operating costs over baseline technology.
10.2.4.2 Transaction Costs
It is important, for a project developer, to evaluate the costs due to the CDM process, known
as “transaction costs”. These additional CDM project costs are detailed in Box 10.1.
CDM projects will also incur costs related to contractual, or legal, arrangements that are not
normally encountered in other development projects. For example, a broker, or intermediary,
may be required to facilitate the project transaction or a CER purchase agreement (see
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Section 10.2.5). Other related legal fees may also apply (see Section 10.2.6 for more
details).
In general, CDM project transaction costs can run as high as $200,000 for a large project8.
Box 10.1 Transaction costs
Project preparation phase
• Selection of baseline methodology and estimation of emissions reductions
• Preparation of a CDM CER purchase agreement
• Host country approval, stakeholder input, and environmental assessment
• Preparation of the Project Design Document (PDD)
• Project validation by a Designated Operational Entity
• Registration fee
Project operational phase
• Emissions reduction measurement
• Validation by a Designated Operational Entity
• 2% adaptation fee
Source: adapted from Pembina 2003
10.2.4.3 Small-scale projects
The baseline setting and approval processes for small-scale CDM projects will be simplified
or eliminated, significantly reducing the transaction costs for these projects. Regarding
power generation investments, small-scale project are defined as renewable energy project
activities with a maximum output capacity equivalent of up to 15 megawatts. As regional
power projects in NBI countries are not likely to include such small initiatives, this case will
not be detailed in this report. More details on simplified procedures for small-scale projects
can be found in CDM - Information and Guidebook, Second Edition UNEP9 (Sections 4.1.3
and 5.3).
8 See Table 2, page 24, Guide to the Kyoto Protocol project mechanism, 2nd edition, Clean Development
Mechanism (CDM), 2004, for more details on transaction costs http://carbonfinance.org/docs/b_en_cdm_guide_ld.pdf
9 See CDM - Information and Guidebook, Second Edition, UNEP , 2003 http://cd4cdm.org/Publications/cdm%20guideline%202nd%20edition.pdf
About 10% of
transaction costs
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10.2.5 Financing Options in a CDM Project
In most cases, selling CERs through the CDM will provide only part of the financing
necessary for the project. A project developer wanting to use this source of “carbon
financing” to make a project feasible will still need conventional financing. Nevertheless, the
sale of the CERs from the project will provide the additional revenue or start-capital to make
the project feasible, or remove other barriers that favour the baseline technology.
An Annex I country or company participating in the CDM may choose from a variety of
financial options to gain CERs from a CDM project:
• Full or Partial Equity: A company finances all of a CDM project, or co-finances part of a CDM project, in return for full or shared financial returns and CERs;
• Financial Contribution: A company financially contributes towards the cost of a CDM project an amount equal to some portion of the incremental cost of the project over and above the baseline technology, or finances the removal of market barriers, in return for CERs;
• Loan: A company provides loan or lease financing at concessional rates in return for CERs; or,
• Certified Emissions Reduction Purchase Agreement: A company agrees to buy CERs as they are produced by the project.
10.2.5.1 Full or Partial Equity
An investing company may finance all or part of the capital cost of the CDM project in return
for both financial and CER returns. The level of financing will depend on the type of project.
For example, projects with relatively large capital costs, such as building hydropower dam
facilities, may benefit from co-financing from the investor. As in any foreign investment, the
level of involvement of an investor will represent a balance between the amount of equity
required to implement the project and the risk involved, as well as the expected rate of return
based on the value of the CERs.
The particulars of the financial arrangement are determined on a project-by-project basis by
the local project proponents and the potential investing company. The ownership of CERs
becomes the subject of an annex to the conventional financing agreement. The agreement
should stipulate the nature of the returns of the investing company; for example, an investor
may request either full or shared financial returns, as well as CERs.
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If a company is using the CDM solely to obtain credit for emissions reductions, a financial
contribution or CER purchase agreement is a better option (see below).
10.2.5.2 Financial Contribution
For power investment projects, a financial contribution is used when a company finances
part of the incremental cost of the low-emission technology over the baseline technology.
In most cases, the company makes the financial contribution at the beginning of the project,
and receives the rights to the CERs as they are produced. This should be clearly stipulated
in a contractual arrangement between the project proponents.
Risk assessment and due diligence are still important parts of project development, but in
this case it is the risk associated with the emissions reduction that must be assessed.
Questions regarding the reliability of the technology and the certainty of the reductions, for
example, should be considered.
Financial contributions can be used to obtain credits on any project where an incremental
can be easily identified including renewable energy power plants. Although the level of
contribution may vary from project to project, the contribution would normally amount to no
more than 10% of the total project cost.
Emissions reduction projects financed by the World Bank Prototype Carbon Fund (PCF) are
good examples of projects where a financial contribution is used to secure a stream of CERs
with up-front co-financing. The financial contributions for selected PCF projects are provided
in Table 10.1 In general, the PCF limits its funding to 2% to 10% of the total project cost, or
limits its contribution to a maximum of US$5/tonne of CO2 10.
10 See http://carbonfinance.org/Router.cfm?Page=PCF&ItemID=9707&FID=9707 for more information on
Prototype Carbon Fund
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Table 10.1 Summary of PCF Financial Contributions to Selected CDM Projects
Project Total Project Cost (US$)
PCF Contribution
(US$)
Basis of PCF Contribution
Schedule of PCF Contribution
Wind power facility, Honduras
$58,000,000 $4,048,275 Sale of carbon credits (at US$3.50/tonne CO2)
Contributions to be paid on an annual basis for 10 years
Two wind farms, Morocco
$200,000,000 By competitive bidding
PCF funding to supplement electricity sales in order to capture commercial rate of return to investors
Payment schedule to coincide with payment schedule under power purchase agreement
Three micro-hydro facilities, Guatemala
$320,000 $15,000 Up-front value of 4,755 tonnes CO2 over 10-year period
PCF to provide up-front financing
Geothermal facility, Guatemala
$30,000,000 Not specified Sale of carbon credits Yearly contributions starting when CO2 displacement begins
Run-of-river hydro plant, Chile
$34,000,000 $3,400,000 10% of total cost
Initial payment followed by balance payments as emissions reductions are generated
Source: based on Pembina 2003.
10.2.5.3 Loan
Another option is to provide partial financing for a CDM project in the form of a loan to the
local proponents, to allow them to implement the emissions reduction project. In such cases,
the loan principal would be repaid over an agreed upon period, with a return in the form of
CERs rather than a financial return.
10.2.5.4 CER Purchase Agreement
As an alternative arrangement to the up-front financing of a CDM project, a company may
wish to buy emissions reductions as they are produced. In this case, payment for the CERs
becomes an additional revenue stream for the project host. For example, in a small hydro or
wind power generation project, payment for CERs provides an annual income, along with
payment for electricity produced.
This option reduces the risk to the buyer of the CERs as all of the risk associated with
generating the emissions reductions remains with the project developer. It also makes the
transaction of purchasing credits as simple as purchasing a product. The project developer,
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however, must ensure that the sale price of the credits reflects all of the costs and risks
associated with registering the CDM project and verifying the emissions reductions. A CER
purchase agreement formalizes the agreement to purchase the credits from the CDM project
as they are produced. In many ways it is similar to a power purchase agreement, used by
independent power producers. The CER purchase agreement should be finalized before the
project is implemented, and can be used by a project developer to obtain conventional
project financing and to steer the project through the CDM approval process.
10.2.6 Risk, Ownership, and Legal Aspects
Besides the normal financial and other risks associated with any new project, there is also a
risk with CDM project that the emission reduction may not occur.
Assessment of the risk of emission reductions not occurring becomes an important part of
the due diligence assessment of the project for companies taking an active investment role
in a CDM project or making an up-front contribution towards the cost of the project in return
for future CERs. Conservative selection of baselines and clear emissions monitoring
protocols will help to reduce the risk of overestimating emissions reductions. (Section 10.4
provides the necessary details to ensure these elements are considered.)
Political risks and natural hazards that could reduce the ability to generate CERs need to be
considered. Although this type of event is beyond the control of both the buyer and seller,
both parties must come to an agreement regarding the ultimate responsibility for CER
production should such an event occur. Financial tools such as hedging, guaranties and
insurance products can be used to minimize the risk.
Investment agreements must clearly state how risks will be mitigated and shared. If a CER
purchase agreement is being used, all of the risk is borne by the project developer or host,
and this must be reflected in a higher price per tonne of emissions. The investment
arrangement — which should be negotiated prior to project implementation — may be
influenced by two factors:
• The financial arrangement that has been negotiated: For example, a company that prefers to simply purchase CERs as they are produced will most likely not be a direct participant in the project; in this case, the seller assumes all the risk and may, as a result, sell the CERs at a premium.
• The ability of the project proponents to fulfill certain project approval requirements: For example, a company may have acquired knowledge in baseline determination
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and thus be well suited to carry out the emissions reduction calculation (i.e., to be more directly involved than simply acting as a buyer). Doing so may help reduce the risks associated with the verification of CERs. As a result, the investing company may be able to negotiate a lower price.
It may be prudent to hire a qualified independent verifier to ensure the validity of the CERs.
However, the buyer and seller will have to work out between themselves which entity will pay
this cost. In cases in which the seller is simply purchasing CERs, this cost will be borne
solely by the seller.
10.3 Establishing a National Authority
A CDM Project must be validated by the Designated National Authority (DNA). This DNA has
the responsibility of validating the project based on the sustainable development priorities
defined by the host country.
This section which is mainly based on the document Establishing National Authorities for the
CDM - A Guide for Developing Countries of Christiana Figueres (2002)11, details the steps to
undertake in order to properly set the DNA which will play a critical role in the CDM project.
10.3.1 Definition
The DNA is the National Entity with authority (both legal and technical) for CDM project
assessment, in other words responsible for:
• Evaluation and approval (written);
• Confirming compliance with national and international criteria;
• Confirming support to Sustainable Development and national development priorities.
This entity is required by the Annex Decision 17/CP7 of the Conference of Parties 7 which
stipulates: “To participate in CDM, parties must designate a NA”.
10.3.2 DNA functions
The DNA has two main functions: a regulatory function and a promotional function.
11 Electronic document available at http://www.cckn.net/pdf/cdm_national_authorities.pdf
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10.3.2.1 The Regulatory Function
The regulatory function is mandatory according to the international agreement. It constitutes
a prerequisite for project validation and certification.
Indeed the DNA will have to ensure the evaluation and approval of projects.
Evaluation and approval of the project will consist in assessing if the CDM project
contributes to Sustainable Development (SD) in the host country and if it complies with
national and international criteria in order to:
• Increase probability of success;
• Create incentive for specific projects and/or priorities; and
• Reduce perceptive and real risks for national and foreign investors.
The four steps to set up an evaluation and approval process are the following:
• Adopt international criteria;
• Develop national criteria;
• Establish national procedures for evaluation; and
• Establish guidelines for project presentation.
International criteria
The DNA will have to become familiar with the adopted international eligibility criteria in order
to secure the benefits. This acknowledgement will enable it to verify that the CDM projects:
• Assist Non Annex I parties in achieving both SD and the ultimate objective of the UNFCCC;
• Result in real, measurable and long-term benefits related to mitigation of climate change;
• Result in reduction of emissions that are additional.
Box 10.2 outlines some of the key international elements that should be assessed as part of
the national evaluation process.
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Box 10.2 Key international criteria
Source: Figueres C., 2002
National criteria
In the same way, the national evaluation and approval process aims at confirming the
projects’ contribution to sustainable development based on the framework of the CDM
national climate policy and/or carbon offset strategy. Therefore, the DNA has to develop
national criteria which should be based on those listed in Box 10.3. In choosing the criteria
that are relevant for the host country, the DNA should take into account that the more criteria
it will select, the more expansive will result the preparation and then the transaction costs.
Eligibility of project type: • Consistency with UNFCCC decisions. Additionality: • Preparation of a quantitative baseline assessment. • Inclusion of a qualitative description and justification of baseline scenario. Measurability: • Quantification of impacts of project interventions on carbon stocks and flows (difference
between baseline and project scenario). • Projections of and accounting principles for emissions reductions projections and the
carbon offsets generated and accumulated over the project’s lifetime. • Accounting provisions for dealing with permanence and reversibility of project
interventions. Externalities: • Provisions for management of leakage. • Provisions for management of other risks related to carbon stocks and flows. Securing carbon benefits: • Monitoring plan assessment. • Suitable provisions in the monitoring plan for preparing and facilitating periodic verification
and final certification of emission reductions.
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Box 10.3 Key national elements which should be evaluated
1. Compliance with relevant policy and regulatory regimes National scope:
• Compatibility with national sustainable development objectives.
• Congruence with the national climate policy and/or carbon offset strategy.
• Eligibility of the project proposal according to a positive or negative list of eligible CDM activities, technologies and/or sectors, eventually adopted by the host country.
Sectoral scope:
• Compliance with related political and legal framework.
• EIA in accordance with procedures as required by the relevant sector.
Local scope:
• Compatibility with local priorities, as stated in local development agendas.
• Comments by local stakeholders directly and indirectly involved with the project.
2. Financial Review • Review if project is dealing with a negative cost mitigation option and, if so, describing barriers that have impeded the project from being implemented.
• Excluding the use of official development aid for project funding.
• Overview of financing structure.
3. Technical and institutional feasibility Management capacity
• Description of the institutional arrangements and participation of each institution’s in the implementation of the project.
• Previous experience and performance in the field.
Infrastructure and technical capacity
• Local availability of qualified human resources.
• Local availability of adequate institutional resources.
Transfer of technology and know-how
• Description of the implications for local institutional enhancement.
• Description of the implications for national capacity building.
• Description of technology transfer.
4. Special consideration of other environmental and developmental impacts Additional environmental, socio-economic, technical and institutional benefits (and costs) that are considered relevant. Source: Figueres C., 2002
Guidelines for project presentation
The project proponent has to describe the project features in the Project Design Document
(PDD) form established by the UNFCCC. This document will assess the international criteria.
However, to be able to evaluate the national criteria, the DNA may add sections to the
existing PDD form or require an additional document to collect the information. In all cases,
the DNA has to supply transparent and consistent guidelines to the project proponent on the
way to present the project.
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National procedures
To attract project investors in the host country, the DNA shall standardize a transparent and
quick process to screen, evaluate and approve CDM projects.
Figure 10.1 illustrate a possible evaluation procedure.
Figure 10.1 Evaluation procedure
Source: Figureres C., 2002
Tracking and reporting to the UNFCCC Secretariat
Regulatory functions also include tracking and annual reporting to the UNFCCC secretariat.
For this purpose, the DNA must design a system for registering and tracking the holding and
transfer of CERs of the project. This tracking system, preferably electronic, should facilitate
the drafting of the annual report.
Receipt of documents PRIMARY SCREENING
Does it comply?
Return for Reformulation
SECONDARY SCREENING
Consultation period
Provide Additional Information
Reformulate
Does not qualify
End
Approval
Letter of Approval
NO
YES
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10.3.2.2 The Promotional Function
The promotional function is voluntary for the host country and it is not regulated
internationally. Its adoption should suit the specific necessities of the host country from the
point of view of capacity building and marketing development.
Capacity building
The capacity building offered by the DNA shall support the project proponent in the
implementation of the CDM project in several areas, listed in Box 10.4.
Box 10.4 Capacity building opportunities areas
1. Project Identification and Formulation DNA can hold training sessions for project developers during which they are shown how to identify carbon mitigation projects, and they start to familiarize themselves with UNFCCC, carbon market, and the PDD form.
2. Baselines Definition DNA should also train project developers on the different approaches to baseline definition and on the corresponding consequences on the transaction cost and in meeting emission reduction verification requirements. They should also know how to properly document the establishment of baselines. Moreover, in order to lower project preparation costs, the DNA may establish national baseline parameters for each of the main project sectors.
3. Quantification of Emissions Reductions Due to the critical role that estimated emissions reduction potential can play in financing decisions for CDM projects, it is important that project developers are knowledgeable about the procedures for estimating the emissions reduction potential of CDM projects.
4. Project Monitoring A monitoring plan should be established that is transparent and in accordance with international standards in order for independent third party agents to verify the results. To enhance the capacity and knowledge on monitoring requirements for CDM projects, the DNA should provide training for project proponents on efficient and accepted methods of collecting the required project indicators. Source: based on Figueres C., 2002
Marketing
Marketing is another important task to be performed by the DNA. As the CDM market is
highly competitive for host countries and quite restrictive (partly because of the exit of the
United States from the Kyoto Protocol) only high quality CDM projects will be able to prevail.
Therefore, a host country interested in being actively engaged in the carbon market needs
an aggressive marketing strategy. It should take full advantage of international experiences,
internal and external consultants that provide inputs for identification, formulation and
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development of proposals for potential CDM project activities, as well as multilateral banks
acting as intermediaries for buyers in addition to brokers that bring potential buyers and
CERs suppliers together.
10.3.3 Initial assessment
Prior to creating a Designated National Authority, it is advisable to undertake a quick
assessment of the political and institutional feasibility of setting up an effective entity. This
first evaluation should mainly consider the political environment and the technical expertise.
The items to be assessed are listed in Box 10.5.
Box 10.5 Political and technical prerequisites to create a DNA
1. Political Elements Kyoto Protocol ratifying Developing countries wiling to participate in the CDM must have ratified the Kyoto Protocol.
Political stability These long-term effect projects need a frank commitment to the CDM concept. It may be necessary to work with the opponent groups (climate change sceptics, environmentalists, activists…) in order to identify with them how national needs can be met through the CDM.
Institutional rivalries The institution which drafts the National Communication (NC) for the UNFCCC is usually a scientific one and may become involved in the DNA, but it is not necessarily the ideal institution to head it up. Given the various functions of the DNA (see section 3.2 & 3.6) it is advisable for it to have participation from various sectors. Thus, there may be competition between institutions, which desire control over the new program. Relevant institutions should be brought together to discuss common interests in the CDM.
Level of inter-institutional and intersectoral communications The variety of CDM projects types gives a crucial importance to the efficiency of the intersectoral and inter-institutional channels of communications.
2. Technical expertise
General level of Interest and Understanding It consists in evaluating how much general awareness rising is needed to build the institutional capacity.
Level of technical/scientific expertise for project development and evaluation It determines the level of external capacity building needed for developing, appraising and approving CDM projects.
Availability of Resources Availability of resources can be assessed through the identification of the stakeholders and an institutional analysis (whether there is a critical mass of support to establish a DNA).
Source: based on Figueres C., 2002
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As shown on Table 10.2, all the countries of the Nile Basin have ratified and put in force the
Kyoto Protocol since 2005.
However it is noticeable that all the CDM potential of these countries remains underexploited
since only five large scale and four small scale projects are currently registered for the
9 countries.
In addition, this table stresses that the NC author is sometimes the same entity as the DNA
officially registered at the UNFCCC. As mentioned earlier this solution is not always the most
efficient considering that day-to-day tasks involved in preparing and processing CDM project
activities could be carried outside of a state administration, to ensure greater and more rapid
scope for action.
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Table 10.2 NBI countries and climate change
Source: UNFCC website
Abbreviations used in the table: NC: National Communications NAPA: National Adaptation Program of Action Both are national reporting documents submitted to the UNFCCC.
Country Kyoto
Protocol ratification
Registered CDM projects NC NAPA Registered DNA NC author
Burundi 2001/10/18 N/A Yes Yes None Ministère de l`Aménagement du Territoire, et de l`Environnement
Democratic Republic of Congo
2005/03/23 N/A Yes Yes Ministère de l'Environnement
Ministère des affaires, foncières, environnement et développement touristique
Egypt 2005/01/12 4 large scale projects
Yes No Egyptian Environmental Affairs Agency (EEAA)
Egyptian Environmental Affairs Agency (EEAA)
Ethiopia 2005/04/14 N/A Yes No Environmental Protection Authority (EPA)
Tadege, Abebe
Kenya 2005/02/25 N/A Yes No National Environment Management Authority (NEMA)
Ministry of Environment and Natural Resources
Rwanda 2004/07/22 N/A Yes Yes Environment Unit in Ministry of Lands, Environment, Forestry, Water and Mines
Ministry of Lands, Environment, Forestry, Water and Mines
Sudan 2004/11/02 N/A Yes Yes High Council of Environment and Natural Resources (HCENR)
Ministry of Environment and Physical Development
Tanzania 2002/08/26 1 small-scale project 1 large scale project
Yes Yes Division of Environment, Vice-President's Office
Ministry of Environment Centre for Energy Environment, Science and Technology
Uganda 2002/03/25 1small-scale multi-location project
Yes No National Climate Change Steering Committee (NCCSC) Ministry of Water and Environment,
Ministry of Water, Lands and Environment
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10.3.4 Sustainable Development Criteria
The analysis of current policies and regulations in the Nile basin countries has revealed a
diversity of environmental and social policies and regulations within the Nile basin countries
and, in general, the absence of clear sustainable development policy. Consequently, the
relevant governmental authorities should define sustainable development policies and
priorities and/or reinforcing social and environmental legislations allowing the development
of criteria and requirements which will be necessary for the project validation by the DNA.
While many countries will take different approaches to setting Sustainable Development
(SD) criteria for CDM projects, it is useful to define a basic set of sustainability principles. In
general, any project should contribute to three types of sustainability:
Ecological Sustainability
• Maintain productive capacity and renewability of species and of biologically productive land and water surfaces;
• Maintain Earth’s life support systems, including living ecological processes and functions, and global physical systems;
• Preserve biological diversity.
Economic Sustainability
• Provide all with meaningful employment and a place to make a contribution;
• Create sufficient wealth to allow all to meet their needs, and attain a high quality of life;
• Drive innovation and technology improvement, meeting human needs with fewer resources and less ecological damage;
• Maintain physical and social infrastructure and knowledge assets for future generations.
Social Justice and Equity
• Maintain cultural identity and respect;
• Empower and support the participation of individuals, while protecting the strength and viability of community;
• Equitably share natural resources and the benefits of development;
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• Provide equal access to nutrition, health, education, self confidence, and opportunity;
• Foster peace and security.
Amongst the Nile basin countries Kenya have already begun to identify criteria for CDM
projects. Others countries like Egypt or Tanzania have also formalized Sustainable
Development priorities.
The lists presented in Box 10.6 have been compiled from different country’s CDM criteria.
Appendix 9 provides extracts of Tanzania SD strategy as well as CDM project guidelines
developed by Kenya as illustrations of what can be expected from host countries.
Box 10.6 Criteria that can be used for CDM project screening
Social Criteria
• Improves quality of life, especially for the very poor
• Alleviates poverty (e.g., by providing regular income)
• Improves equity (e.g., by improving the income of poor women) Economic Criteria
• Provides financial returns to local entities
• Results in a positive impact on balance of payments (e.g., through new investment)
• Transfers new technology Environmental Criteria
• Reduces GHGs and the use of fossil fuels
• Conserves local resources
• Reduces pressure on local environments
• Provides heath and other environmental benefits
• Meets local renewable energy portfolio standards and other environmental policies Source: Pembina, 2003
Once the criteria defined, the next step in the assessment process is to define SD indicators
that will reflect them in order to be able to measure the performance of the project regarding
these specific points.
First of all, an SD indicator as to be comprehensive (i.e., reflecting the environmental,
economic and social dimensions of SD) and measurable (unambiguous and obtainable with
no excessive effort) in order to be useful to the decision maker.
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Regarding CDM projects, the host country shall select a set of SD indicators that are:
a. Complete to verify that the overall objective of sustainability has been met (local and global, three dimensions of SD);
b. Operational: balance coverage of the area, unambiguous, policy-relevant;
c. Decomposable: the set of indicators should be breakable into different section to facilitate the decision making;
d. Non-redundant in order to avoid double counting;
e. Minimal: as small as possible in order to reduce the dimensionality of decision problem and reduce the costs of measuring process and assessment process.
More detailed information and examples of potential SD indicators are presented in the CDM
- Information and Guidebook from the UNEP, Section 312.
10.3.5 Steps in Creating a DNA
Once the initial assessment is accomplished indicating favourable conditions for the DNA,
the steps provided below present a general framework for establishing a DNA.
1. Define the DNA’s mission and objectives
It must at a global level contribute to the ultimate objective of the Convention, and at the
domestic level it should help meet national sustainable development goals.
2. Obtain official status
Seek support of political entities such as Ministries of Environment, Energy, National
Resources, etc; and establish a legal framework via Presidential or Ministerial Decree or any
other legal instrument. This legal instrument shall contain justifications, authorities,
objectives and organisational structure, financing functions and procedures that will be the
platform for the development and sustainability of the DNA. Furthermore, the DNA should
have the authority to grant export of emissions right (CERs).
12 3.1.2 How to select SD indicators (page 19) and 3.1.3 Examples of potential SD indicators that can be
applied to CDM project evaluation (page 20), available at http://cd4cdm.org/Publications/cdm%20guideline%202nd%20edition.pdf
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3. Review and establish national legal framework
A review of the national legislation is crucial. The legal framework of a host country will
directly affect the success of the national authority. Depending upon the development
priorities of the host country, some legislation might be compatible with CDM. As such with
trade and investment in general, those host countries with most transparent rules and most
streamlined procedures, will be in the best positions to compete for CDM resources.
At this level, the Nile basin countries will be able to refer to the review of national legislation
made under this study and presented.
4. Align program strategies with national sustainable development priorities
National strategies for CDM should be based on local sustainable development objectives. It
is important to identify national policies already established for social and economical
development in areas related with climate change such as energy, land use change and
forestry, industry, etc. These policies will ultimately have the greatest impact on national
resources and the environment at the local level and on climate change at the global level.
CDM is a real opportunity to channel resources towards projects that are most likely to
further national development priorities.
5. Attain broad stakeholder participation
This is one of the most challenging steps. Some countries have centralised programs within
the central government institutional framework. Others have achieved active participation
from all sectors of the society and different sectors of the economy. Including participation of
the private sector encourages a less bureaucratic, more result-oriented and business-like
approach. Private and public developers together or by themselves are the real actors and
the driving force for the implementation of cost-effective mitigation options.
6. Obtain financial and non-financial resources
Funds will be crucial and the source of funds will depend on stakeholders’ involvement.
DNAs based on public funding may face funding constraints and one way to deal with is to
broaden the sources of in-kind support from stakeholders for items such as the physical
facilities for offices as well as logistic assistance such as financial and accounting
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management support from private or NGO entities. This will allow for more flexibility to the
NDA. Operational costs for running a NA might also be financed via a small commission fee
on CER trading.
7. Staff the NA
The staff for the DNA will typically be donated from government agencies in part or full-time
regime. This team shall benefit from the assistance from NGO’s and/or private companies
(consulting hours).
8. Establish relationships with the national focal point for climate change and other ministries
The DNA needs to have open communications with the government agencies of the sectors
relevant to the CDM for technical review and national approval activities. The DNA staff
members shall also represent their country at the climate change negotiations.
10.3.6 Tasks assigned to the DNA
To sum up, according to Paulo Manso13, from the OECD, the DNA would carry out the
following tasks:
• Carrying out secretariat duties for the CDM Board;
• Serving as a focal point and provide support for investors/buyers;
• Promoting the CDM project approach;
• Providing potential projects for investors;
• Processing framework agreements with investors/buyers;
• Assessing statements made on environmental impact;
• Providing legal advice for investors/buyers;
• Coordinating with other official entities and authorities;
• Drawing up standardised baselines;
• Monitoring ongoing CDM projects;
• Conducting public relations work, updating the web, etc.
13 Establishing a National Authority (NA) for the Clean Development Mechanism (CDM): The Costa Rican
Experience By Paulo Manso, 2003, http://www.oecd.org/dataoecd/11/32/2957712.pdf
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10.4 Frameworks and directives for developing and implementing a CDM for power project
This section shows how the CDM is integrated in the EA Process and details the steps that
should be followed when implementing a CDM project.
10.4.1 Integration of CDM in the EA Process for Regional Power Projects
Figure 10.2 shows an overview of the integration of CDM in the EA process for regional
power projects. The six step process are detailed in the following section.
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Figure 10.2 CDM into the EA process for regional power projects
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10.4.2 General CDM Process for power projects
The project cycle can be divided into six steps, as shown in Table 10.3. Also provided in the
table are the parties responsible and the official time requirements for certain tasks. If the
DNA role seems to be limited in this representation, it is important to remember that CDM
process frameworks and other preparation activities have to be handled beforehand. This
necessary preparation shall help to attract project proponents and to convince investors.
Table 10.3 Overview of Project Cycle, showing official timelines and responsibilities
Source: adapted from Pembina, 2003
Abbreviations DOE: Designated Operational Entity EB: Executive Board DNA: Designated National Authority
Step Task Timeline Responsible Party
1 Project Screening Project proponent
2
Project Development • Estimate real emissions reductions • Develop emissions monitoring and verification protocol • Prepare investment plan, undertake financial analysis • Draft Project Design Document
Project proponent Project proponent Project proponent Project proponent
3
National Approval • Carry out an EIA if necessary • Invite stakeholders’ comments • Approve the project
Project proponent Project proponent
DNA
4
Validation and Registration • Finalize Project Design Document • Invitation of stakeholder comments • Validation • Registration
30 days 8 weeks
Project proponent
DOE a DOE a
EB
5 Implementation and Monitoring • Implement project • Monitor and record emissions
Project proponent Project proponent
6
Verification and Certification • Verify emissions reduction • Certify emissions reduction • CER issuance
15 days
DOE b
EB EB
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10.4.3 Step 1: Project screening
The purpose of this step is to determine whether the proposed project is eligible to earn
CDM credits. Screening should also be used to ensure that the project meets the project
developer’s and investing company’s own criteria, and to generally assess risks associated
with the project.
This step shall occur at the very beginning of the EA Process for Regional Power Projects,
even before the project proposal is submitted to the National Environmental Agency (NEA)
of the host country.
Table 10.4 summarizes a basic procedure that can be used to screen a CDM project.
Table 10.4 Project screening criteria
Answer Question Yes No
1 Is the project consistent with sustainable development priorities in the host country?
Proceed to next question.
The project is not eligible as this is a crucial element for the CDM.
2 Does the project result in real, measurable and long-term emissions reductions below those that would have happened without the project?
Proceed to next question.
The project is not eligible as this is a crucial element for the CDM.
3 Is the project activity mandated, directly or indirectly, by laws or regulations that are enforced in the host country?
The project is not eligible since the host country would have required the activity anyway in the absence of the CDM.
Proceed to next question.
4 Could the project have been undertaken as a result of normal business investment practice prevailing in the host country without the CDM?
The project is not eligible since it could have occurred in the absence of the CDM.
Proceed to next question.
5 Does the project lead to the transfer of new, environmentally efficient technologies or management practices to the host country?
Proceed to next question.
Technology transferred under the CDM must be the best commercially available in terms of GHG emissions per unit of production.
6 Is the project financed by a pre-existing official development assistance (ODA) program?
The project is not eligible.
Proceed to next question.
7 Does the project meet local country development priorities and have local support?
Proceed to next question.
It will be more difficult to obtain host country and stakeholder approval.
8 Does the project have negative environmental or social impacts?
An EIA may be required and there could be negative international publicity.
Proceed to next question.
9 Is there general stakeholder support for the project?
Proceed with project development.
It is unlikely that the CDM project will be approved by the host country.
Source: Pembina, 2003
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To answer the first question on SD, the project proponent will need to consult the host
country SD priorities and/or policy.
10.4.4 Step 2: Project Development
Once the decision has been made to proceed with submitting a project to the CDM, the
project will need to be analyzed and developed in more detail. The following activities are
involved:
1. Estimate emissions reductions
• Choose project boundary — the physical area within which emissions reductions occur and the actual types of GHG emissions to be reduced.
• Select project baseline — the “business as usual case” against which emissions reductions are measured.
• Set crediting period — the period over which emissions reductions will be claimed.
• Calculate emissions reductions against baseline.
2. Preparation of the emissions monitoring plan
3. Preparation of the investment plan and initiation of the financial analysis
4. Preparation of the draft Project Design Document
The Project Design Document (PDD) is the official document required by the host country,
Designated Operational Entity (DOE), and Executive Board (EB) for project approval. It
contains information about the project boundary, baseline, expected emissions reductions,
and monitoring plan. The financial analysis provides a measure of how valuable the CDM is
to the project at different carbon prices. The following sections describe in detail the
essential aspects of each of the above steps.
10.4.4.1 Choose Project Boundary
The project boundary clearly identifies the sources and sinks of all six GHGs that will be
reduced by the project, and sets the physical area within which the emissions will be
reduced. All GHG emissions that are “significant and reasonably attributable” to the project
activity must be included.
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Generally speaking, there are two types of emissions related to CDM project activities within
the project boundary: on-site and off-site. GHG reductions (or increases) that result from the
project outside of the project boundary are called “leakage”.
• On-site emissions are those that arise immediately from the project activity itself. For example, when a biomass gasifier is installed in place of a diesel burner at a small manufacturing business, GHG emissions reductions will occur on-site because diesel fuel is being replaced.
• Off-site emissions are those that occur upstream or downstream from the project. The same gasifier project will also reduce emissions in the supply system of the displaced diesel fuel. This would include reduced emissions in oil exploration, the refining process, and fuel transportation.
Where electricity is saved or generated on-site, all of the emissions reductions occur
upstream. For example, a hydropower project will result in a decrease in the demand for grid
electricity. If this electricity is derived from a power grid that uses fossil fuel–based power
plants, there will be a decrease in emissions at these plants. Upstream emissions reductions
from grid electricity savings are usually characterized by an emissions factor that is either
the weighted average of emissions reductions for all plants in the power grid, or the next new
fossil fuel power plant that will be added to the grid (see also Select Project Baseline and
Calculate Emissions Reductions below).
10.4.4.2 Select project baseline
The baseline of a project is a measure of the emissions that would have occurred in the
absence of the proposed project activity, and is used to estimate the emissions reductions
from the project. Baselines for CDM projects are normally determined on a project-by-
project basis and are based on previously accepted methodologies (outlined below).
There are three acceptable methodologies that can be used to measure the baseline of a
CDM project. The choice of which to apply will depend mainly on the type of project, but will
also be affected by the availability of data.
1. Status quo emissions: This approach assumes that without the CDM project future emissions would have been the same as current or historic emissions. Reductions from the proposed project are measured against this future projection, using an emissions factor based on current information. Although relatively easy to measure, and useful in projects that affect grid electricity, this methodology fails to take into account technological developments that lead to more efficient processes, as well as regulatory revisions and significant market restructuring that may affect the intensity of future emissions.
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2. Market conditions: This approach assumes that the technology normally used under current market conditions is the baseline and allows market barriers, such as lack of financing and product distribution channels, to be taken into account when selecting the baseline. This is particularly important where these barriers discourage adoption of otherwise cost-effective high efficiency technologies.
3. Best available technology: This approach is most useful in rapidly changing markets where historic emissions are not relevant, and the “best commercially available technology” is used as the baseline. It takes the average emissions of similar project activities undertaken in the previous five years (in similar social, economic, environmental, and technological circumstances), whose performance is among the top 20% of their category.
Sometimes, a combination of the above methodologies is required to reveal a complete
picture of what would have happened in the absence of the project activity. If none of these
methodologies is applicable to the project activity, a new methodology may be proposed.
However, newly proposed methodologies must be approved by the Executive Board before
the project can commence, so this approach may delay implementation. Regardless of the
chosen methodology, a baseline must meet the following criteria:
• It must be established in a transparent and conservative manner, regarding the choice of approaches, assumptions, methodologies, parameters, data sources, and key factors.
• It must take into account relevant national and/or sectoral policies and circumstances (e.g., sectoral reform initiatives, local fuel availability, and the economic situation in the project sector). Equally important are any proposed or anticipated future policies that may affect the project or baseline scenario, as these may change the overall situation and, therefore, the allowable credits (which, in turn, will have an impact on the financial gain of the project). It is advisable to obtain, in writing, any relevant government or business documents whose content is anticipated to have an impact on the project scenario.
• It must provide a justification of the appropriateness of the baseline choice.
When emission reduction occur upstream from a project within an electricity grid and there is
no obvious baseline power plant that can be used as a baseline, then a weighted average
regional grid emissions coefficient should be used. This approach allows the use of
published or commonly used standard emission coefficients for the local or regional power
grid based on current common characteristics of the grid. These include annual power
production and efficiencies for each power plant (hydro, coal, geothermal) in each year that
CERs will be claimed. These coefficients will be the same for all CDM projects operating in
the region, unless the project specifically addresses one aspect of the load curve — e.g., it
reduces peak demand. In the RPIP perspective, countries of the NBI shall refer to Volume 2
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of the IPCC Guidelines for National Greenhouse Inventories14 to access the coefficients
usually used for power generation projects.
Appendix 10 provides more details and an example of how weighted average emissions
factors can be derived, and shows when and how a baseline should allow for transmission
and distribution losses.
Examples of baseline choices for several projects financed under AIJ or by the World Bank
PCF are provided in Table 10.5 below.
Table 10.5 Baseline methodologies for CDM Power Projects
Type of project Baseline Approach Type of CDM Baseline
Wind power facility, Honduras
Current power is generated by hydropower, with thermal plant back-up. The wind farm would displace the need for the thermal plant, and, therefore, the emissions from this plant were used as the basis for the emissions reduction calculation.
Best available technology. The average emissions of typical thermal plants in the previous five years (in similar social, economic, environmental, and technological circumstances), whose performance is among the top 20% of their category.
Two wind farms, Morocco
Emissions are compared to current fossil fuel–derived electricity (from coal, oil, and gas), measured by carbon intensity. Since future additions of similar oil-based plants were expected, current emissions could be used as the baseline.
Status quo (current) emissions.
Three micro-hydro facilities, Guatemala
The three communities did not have access to electricity, so the analysis was based on the displacement of kerosene lamps for lighting.
Market conditions. Kerosene normally used under current market conditions (market barriers prevent use of more effective technologies).
Source: based on Pembina, 2003
10.4.4.3 Set crediting period
The time period during which credits arising from the project can be claimed is not
necessarily equal to the operational lifetime of the project activity. It is assumed that, without
the project, the baseline technology will gradually improve over time and “catch up” with the
CDM project technology. There are two options for the crediting period of CDM projects:
14 See 2006 IPCC Guidelines for National Greenhouse Gas Inventories Volume 2 Energy http://www.ipcc-
nggip.iges.or.jp/public/2006gl/vol2.htm Chapter 2: Stationary combustion will be used to estimate for coal combustion emissions for power
generation GHG inventory. Chapter 4: Fugitive Emissions will apply to coal extraction and transport fugitive emissions, as well as all
greenhouse gas emissions from oil and gas systems except contributions from fuel combustion.
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• an initial period of seven years, which may be renewed a maximum of two times, for a total of 21 years (renewals are contingent on re-validation of the original project baseline, and, in some cases, the baseline may need to be updated with newly available data); or,
• a maximum of 10 years with no option of renewal.
10.4.4.4 Calculate Emission reductions
After determining the project boundary and the baseline emissions, the net emissions
reductions can be estimated. For each year in the project period, the on-site and off-site
emissions of both the baseline and the project must be tallied. To estimate emissions, it will
be necessary to use an emissions factor specific to the fuel displaced and project and
baseline technologies.
Emissions factors for on-site emissions will be dependent on the following:
• the chemical composition of the fuel used (e.g., carbon content);
• the efficiency of fuel conversion (e.g., fuel combustion efficiency affecting CO2, CO, and unburned fuel emissions); and,
• other characteristics of the technology that affect the production of GHGs (e.g., NOx production related to combustion temperature).
Emissions factors for upstream emissions will depend on the characteristics of the electricity
grid or fuel supply chain. In electricity projects, upstream emissions factors are expressed in
tonnes per kWh and based on either the weighted average emissions from all power plants
used in the grid or the “marginal” or next plant that would added to the grid if the CDM
project were not built. Appendix 10 provides an example of how weighted average emissions
factors are estimated. These factors will depend on the location of the CDM project, but it is
expected that standard emissions factors that can be used by all projects in a given area will
be developed to simplify this process.
In fuel efficiency or substitution projects, the upstream emissions factors will depend on the
energy used to produce and refine the fuel, and the energy used to transport the fuel to the
site. In many projects these emissions are small compared with those on-site, and,
therefore, the supply chain is not included within the project boundary. These emissions,
therefore, become “leakage.”
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The following provides an overview of the steps involved in determining net emissions
reductions. Each step must be completed for each GHG associated with the project. A
template for these calculations is provided in Appendix 10.
Table 10.6 Overview of Emissions Reductions Calculation
1 Estimate Total Baseline Emissions = Baseline On-Site + Baseline Off-Site
2 Estimate Total Project Emissions = Project On-Site + Project Off-Site
3 Calculate Net Emissions Reductions = Total Baseline - Total Project
4 Estimate the CO2 Equivalent Reduction = Net Emissions x Global Warming
Potential15
5 Calculate Total Emission Reductions = Sum of CO2 Equivalent Reductions
Most of the power generation projects eligible to CDM lead to a reduction of upstream or
“off-site” emissions.
10.4.4.5 Develop Emissions Monitoring and Verification Protocol
All GHG emissions related to the project must be measured and recorded throughout the
crediting period. The monitoring of emissions essentially re-tests whether the project is
actually reducing GHG emissions and meeting the condition of real emissions reductions. A
monitoring plan is required for project validation and must be provided in the Project Design
Document (see Section 10.4.4.7 below).
In general, a monitoring plan collects and archives all data relevant for determining all GHG
emissions related to the project activity. These include the following:
• project sources within the boundary area;
• baseline sources within the boundary area; and,
• any sources outside the project boundary that are significant and reasonably attributable to the project.
Most monitoring and verification (M&V) protocols will use a similar approach to that used to
estimate GHG reductions described above. In an M&V protocol, emissions factors are used
to convert actual measured fuel or electricity production or savings into GHG reductions.
Weighted average grid emissions factors are used when a project results in upstream 15 See Appendix 10 for more details on Global Warming Potentials
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emissions reductions and the mix of power plants in the grid may change from year to year
(see Appendix 10).
10.4.4.6 Prepare Investment Plan and Undertake Financial Analysis
Before undertaking a financial analysis of how the value of carbon credits from the CDM will
benefit the project, an investment plan outlining the role of each party (local debt and equity
financing, CER purchaser, etc.) should be prepared. The investment plan should identify the
expected returns (i.e., financial returns and emissions reductions) that each party expects
from the project. See Section 10.2.5 for more details on carbon financing options.
Next, identify the expected conventional financing requirements and arrangements for cost
recovery that would be expected in the project. For example, in a renewable energy–based
power project, conventional financing will be required for the base cost of the technology,
and the sale of the power produced will contribute to cost recovery.
Most companies seeking credits for emissions reductions through a CDM project will be
interested only in contributing to the part of the project that actually reduces the emissions.
In some types of projects, such as small hydro or wind power, the CDM would help finance
the incremental cost of the renewable energy project over the baseline technology (e.g., a
gas-fired turbine or coal plant). In others, such as a landfill gas recovery project, the CDM
might finance the whole project. More details on the types of financial positions that
companies can take to earn CERs in CDM projects are provided in Section 10.2.5.
Once the expected emissions have been estimated, and the financial and investment
arrangements agreed to, a financial analysis should be performed for each investor in the
project, at several CER prices (per tonne). The analysis should include all costs and revenue
streams associated with projects, such as an estimate of capital and operating costs, and
any costs to remove barriers (such as marketing, financing, etc.). It should also include an
assessment of sensitivity and risk. The results will provide an estimate of the financial
returns to each investor, and the impact of the CDM on the viability of the project.
Completing the financial analysis and answering the following questions will help determine
whether the project should be pursued from a financial point of view, and answer the
questions on the project’s “additionality” included in the CDM approval process:
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• Is the project financially viable without the sale of CERs?
• Does the CDM financing or sale of CERs have a sufficient impact on the financial returns from the project or the removal of market barriers to make the project more easily implemented?
• Can financial returns and CERs be recovered effectively and at a reasonable risk?
• Is the investor’s entitled share of CERs satisfactory?
• Are the emissions reduction costs (cost per tonne) satisfactory?
10.4.4.7 Prepare Draft Project Design Document (PDD)
The draft Project Design Document (PDD) sets the basis for the final PDD which will be
submitted to the Executive Board (EB).
The following provides an overview of the major components required in a PDD16
, while the
UNFCCC website is resourceful regarding guidelines17 and real registered CDM project’s
PDDs18
.
Description of the project. A general description of the project should identify:
• the name of the project;
• a listing of all project proponents, including their coordinates;
• the project location, including the host country and regions, as well as a discussion of the physical location of the project activity;
• the project type — for example, reduction projects may be fuel substitution, renewable energy, or energy efficiency projects;
• a description of the technology to be employed, and, if the technology will be transferred (e.g., to local stakeholders), a discussion of how this will be accomplished;
• a brief explanation of the GHG emissions reductions that will occur as a result of the project, including a discussion of why these reductions would not occur in the absence of the project, and a discussion of any relevant national circumstances; and
• a description of the public funding of the project, if relevant.
Baseline methodology. The name of the chosen baseline methodology must be included
(see Section 10.4.2.2 above), along with a discussion of the following:
16 An electronic version of the CDM PDD can be accessed through the UNFCCC Website at
http://cdm.unfccc.int/Reference/PDDs_Forms/PDDs/index.html 17 See http://cdm.unfccc.int/Reference/Guidclarif/index.html 18 See http://cdm.unfccc.int/Projects/registered.html
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• why it was selected;
• how it will be applied in the context of the project;
• how it was established in a transparent and conservative manner; and
• why the project is additional to the baseline scenario.
Duration of the project/crediting period. The starting date of the project must be provided,
and the chosen crediting period must be clearly stated (i.e., 10 years, or 21 years with
baseline renewal every seven years). The expected operational lifetime (which is not
necessarily the same as the crediting period) of the project should also be stated.
Monitoring methodology and plan. As with the baseline, the monitoring methodology
should be chosen from an approved list to be made available on the UNFCCC CDM Web
site. In addition, a justification of the choice must be provided. The monitoring plan should
identify the data used to calculate the emissions reductions, and discuss why this data is
accurate, comparable (i.e., to similar projects), complete, and valid. In other words, it must
show that quality assurance for data monitoring, collecting, and reporting has been
implemented. If a new monitoring methodology is to be used, a detailed discussion must be
presented, including the methodology’s strengths and weaknesses, and whether it has been
applied successfully elsewhere (Annex 4 of the PDD provides a template for this discussion).
Calculation of how GHG emissions are reduced. The net reductions in GHG emissions must
be clearly identified and compared to emissions reductions that would have occurred without
the project activity.
Environmental impacts. A description of the identified environmental impacts, as well as a
discussion of the EIA, if applicable, must be included.
Stakeholder comments. Stakeholders must be consulted prior to the implementation of a
project. Their comments, as well as the ways these comments were taken into account,
must be documented.
Annex 1. Information on participants in the project activities.
Annex 2. Information regarding public funding. Since official development assistance from
Annex 1 countries cannot be used directly in the implementation of a CDM project (purchase
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of CERs), it must be clearly shown that funding support for any part of a project — for
technology transfer, for example — is exclusive of official development assistance.
Annex 3. Baseline information
Annex 4. Monitoring plan
The draft PDD can be prepared by, or on behalf of, the project proponent (e.g., the local
company, community, or NGO in the host developing country) or the company providing the
CDM financing. The information provided at this stage is normally sufficient for a preliminary
investment or CER purchase agreement to be prepared between the project proponent and
the contributing company.
10.4.5 Step 3: National Approval
At this stage, the project process must start to follow the procedures and schedule set out in
the Marrakech Accords. An Environmental Impact Assessment must be performed if
negative impacts are suspected. All CDM projects incorporate stakeholder input and host
country approval prior to implementation. The steps during this stage are as follows:
1. Undertake environmental impact assessment (if required).
2. Obtain stakeholders’ comments.
3. Obtain host country approvals.
The host country shall refer to Figure 10.1 Evaluation procedure to customize the
procedure in this domain.
10.4.5.1 Undertake Environmental Impact Assessment
If either the project proponent(s) or the host country believes that negative environmental or
social impacts from the project activity will be significant, then an environmental impact
assessment (EIA) must be carried out. This EIA will be undertaken in the Environmental
Assessment Process defined in Chapter 7 above either at a national scale or at the regional
scale if it concerns a regional power project (see figure 7.3).
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The results of the environmental assessment must be attached to the final Project Design
Document. Section 10.3.1 provides more details on sustainable development criteria that
may serve as a basis for the EIA.
10.4.5.2 Obtain Stakeholders’ Comments
Local stakeholders and the international community have two opportunities to provide
comments on the CDM project activity. The first is the responsibility of the project proponent,
who must consult with stakeholders to garner input and support for the project. A summary
of this consultation process, as well as the comments received and the ways the comments
were taken into consideration, must be included in the final Project Design Document.
The second opportunity for input occurs when the Designated Operational Entity makes the
Project Design Document public (see Section 10.4.4.7). In this stage, stakeholders and
others have 30 days to provide their comments. The DOE then evaluates the comments and
determines whether the project should go forward.
10.4.5.3 Obtain Host Country Approvals
The project proponent must obtain written approval of the voluntary participation of each
party involved — that is, the country of the project proponent and the host country. Written
confirmation from the host country that the project will achieve sustainable development is
also required. This will be determined either on a project-by-project basis or by assessment
against national sustainable development criteria (see Section 10.3.4).
Host country confirmation must also be attached to the final Project Design Document by the
Designated Operational Entity (see below).
10.4.5.4 Case of multilateral projects
If the project has impacts on several countries of the Nile basin, “multilateral funds do not
necessarily require written approval from each participant’s DNA. However those not
providing a written approval may be giving up some of their rights and privileges in terms of
being a Party involved in the project. A written approval from a Party may cover more than
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one project provided that all projects are clearly listed in the letter.”(CDM Glossary of Terms,
UNFCCC)19
10.4.6 Step 4: Validation and Registration
The validation process is based on the UNFCCC requirements and on the standards ISO
14064-3 (Specification with guidance for the validation and verification of greenhouse gas
assertions) and ISO 14065 (Requirements for greenhouse gas validation and verification
bodies for use in accreditation or other forms of recognition).
Additional stakeholder comments, as well as national approval, constitute the final
requirements for project approval. Once these elements are incorporated into the draft PDD
produced earlier, the PDD may be finalized and submitted to the Designated Operational
Entity (DOE). The DOE evaluates a project against the requirements of the CDM, and then
approves (i.e., validates) the project and refers it to the CDM Executive Board for
registration. Registration is the formal acceptance of a validated project, and must be
obtained prior to project implementation. In its validation of the project activity, the DOE will
ensure the following:
• voluntary participation by all parties (who must be Parties to the Kyoto Protocol) was invited;
• stakeholders’ comments were received and taken into account;
• an analysis of the environmental impacts – and, if necessary, an EIA – was conducted;
• a real emissions reduction will ensue as a result of the project;
• baseline and monitoring methodologies comply with Executive Board guidelines; and
• written confirmation by the host country that the project meets sustainable development criteria has been received.
When the DOE is satisfied that these conditions have been met, it will make the PDD public
for further stakeholder input and receive comments for 30 days. After this time, any
comments are taken into consideration, and the DOE will make a decision on whether to
validate the project.
19 See http://cdm.unfccc.int/Reference/Guidclarif/glossary_of_CDM_terms.pdf
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Once validated, the PDD and any supporting materials are forwarded to the Executive Board
for approval. Approval by the Executive Board results in registration of the project.
Registration is final eight weeks after the Executive Board receives the validated document,
unless further review is warranted. After a project is registered, the CDM registration fee is
paid (see Section 10.2) and the project developer may proceed with implementation.
10.4.7 Step 5: Implementation and Monitoring
Once a project is implemented, emissions must be monitored. It is important to ensure that
the measurement of project-related GHG emissions is done in accordance with the protocol
prescribed in the PDD. Monitoring reports must be forwarded to the DOE (DOEb on
Figure 10.2 and in Table 10.3) so that emissions reductions can be verified and CERs
issued.
Simplified monitoring protocols for small-scale projects may not involve actual measurement
of emissions, but all the necessary information set out in the simplified protocol must be
collected by the project operator to enable verification by the DOE.
10.4.8 Step 6: Verification and Certification
The verification process is based on the UNFCCC requirements and on the standards ISO
14064-3 (Specification with guidance for the validation and verification of greenhouse gas
assertions) and ISO 14065 (Requirements for greenhouse gas validation and verification
bodies for use in accreditation or other forms of recognition).
10.4.8.1 Verify and Certify Emissions Reductions (CERs)
The project developer must select a new OE (DOE b on Figure 10.2 and in Table 10.3)
which must make sure that the certified emissions reductions have resulted according to the
conditions agreed upon in the initial validation of the project.
The DOE will periodically review the monitoring reports associated with the project and will
ensure that GHG measurement is being performed in a prudent manner. In its analysis, the
DOE may conduct on-site inspections, speak with project participants and local
stakeholders, and collect its own data. If necessary, the DOE may insist on additional data,
which it will source. It may also require changes to the monitoring methodology for future
reporting periods.
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Once the DOE is assured that the requirements for verification are met, it will issue a written
confirmation of verification for the project activity. The verification report will be forwarded to
the Executive Board and project participants, and will also be made public. The DOE then
issues a certification report to the public and the Executive Board.
10.4.8.2 Issuance of Certified Emissions Reduction
The certification report serves as the official request for the issuance of CERs by the
Executive Board. Unless a review is required (for example, in cases of fraud or
incompetence attributed to the DOE), the issuance will be deemed final 15 days after the
Executive Board receives the certification report.
The CERs are dispersed by the Executive Board as follows: a 2% adaptation levy (see
Section 10.2.7) will be deposited into the appropriate accounts of the CDM registry; the
remainder will be deposited into the registry accounts of the parties and the project
participants.
10.5 Potential baselines and CDM eligible projects
Table 10.7 identifies the potential baseline scenarios in the NBI countries and therefore, the
eligible projects based on the strategic power investment plans.
Nile
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Tab
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0.7
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As summarized here in the second column of table 10.7, the power profile of the Nile Basin
Countries varies a lot (see chapter 3 for more details).
The third column shows the portfolios of the additional power investments illustrating the
strategic power development that have been chosen by the Nile Basin Countries following
the studies handled in the Nile Equatorial Lakes Region and in the Eastern Nile Region in
2007.
The typical baseline scenario is indicated in the table 10.7 as a guideline only as it will have
to be re-evaluated to consider the local parameters of the project (see section 10.4.4.2). In
the same way, the DNA shall take into account the specificity of the project to select and
accept CDM projects among the potential acceptable projects listed here.
This table also takes into account the fact that this study focuses on hydroelectric,
geothermal and natural gas power stations for future development of electricity generation
systems. However, considering the potential baseline scenarios listed for the nine concerned
countries, wind power as well as solar power could be added as eligible scenarios for each
country.
As far as transmission lines are concerned, the same potential baseline scenario has been
identified for the whole Nile basin: a lack of power transmission lines can be identified in
every site where the electricity is provided by local diesel power stations which require the
transportation of fuel by trucks to be fed. This transportation, highly polluting, is the baseline
scenario.
In Burundi, the electricity originates from hydroelectric dams and the country has decided to
continue developing this hydroelectric potential in the future. This means that the production
of electricity in Burundi is not a source of GHG and can hardly be “cleaner”. As a
consequence, to elect projects to access to CDM funds, the Burundi will have to consider
renewable energy projects with less impact on the environment such as wind farms and
solar power stations.
In the case of the DRC, the power development portfolio shows that the new investments will
be made in two directions: around 50% of hydroelectric power and the other 50 % in
methane power. Although the extraction of methane from the Kivu Lake represents many
environmental advantages (Unité de Promotion et d'Exploitation du Gaz du Lac Kivu in
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Rwanda) the production of electricity from methane is not totally neutral for the environment
(escaping of H2S, CO2...). This explains why the hydroelectricity, geothermal and renewable
energy projects are cleaner than the methane fired stations. Moreover a methane power
station is easier and shorter to build and to commission than an hydroelectric dam so that
the methane power station represents a potential baseline more relevant than the
hydroelectric power plant for this country. It is thus easy to understand that any
hydroelectric, geothermal and renewable energy projects will be eligible to the CDM program
if the additionality criterion is demonstrated.
Considering Kenya, the worst scenario regarding the environment for future power
investments would be the construction of a new coal-fired power station. As a consequence,
the list of eligible projects goes from natural gas power stations (GHG emissions are less
important than for coal fuel) to hydroelectric dams (no GHG emissions), including
geothermal power station which would be situated in between on an environmental friendly
scale.
As Rwanda has the same strategic investment plan as DRC, the baseline and potential
eligible projects are the same as mentioned above in the DRC section.
As far as Tanzania is concerned, the power development portfolio designed for this country
indicates that the less environmental friendly scenario would consist in investing in a natural
gas power station. Therefore, the only options that have to be taken into account to access
to CDM credits are the geothermal, hydroelectric and renewable energy power plants.
In the same way as Burundi that plans to develop only hydroelectricity, the projects that
would be potentially interesting for the CDM program in Uganda are less harmful renewable
power projects including wind power and solar power.
Egypt forecasts a strong development of its natural gas power generation facilities in the
next years. Thus, like Tanzania, the projects to be considered by the Egyptian government
for the CDM projects are the geothermal, hydroelectric and renewable energy solutions,
emitting less GHG than natural gas power stations.
In Ethiopia, the energy plan for future investments shows that coal fired plants will be the
more polluting power generation systems among the new installations. As a consequence, it
could be the baseline of a CDM project if it is proven that it would have been the retained
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solution if no additional financing is available. In such a scenario, the eligible projects would
be, from the less harmful for the environment to the worst: hydroelectric power generation,
geothermal projects, natural gas fired stations, renewable energy projects.
According to its energy investment portfolio, the worst power development option for the
environment in Sudan is the construction of heavy fuel oil power stations. It would be the
baseline in most cases for Sudan. As this fuel is more harmful than diesel and natural gas,
the eligible projects to access to CDM funding would be, among the solutions this project
focus on: hydroelectric power generation, geothermal power projects, natural gas fired
stations and renewable energy projects.
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11 OPERATIONALIZATION OF THE EA FRAMEWORK
This Chapter provides the information required to enforce and implement (operationalize) the
proposed EA framework for regional power projects. First, a mechanism tying the NBI
countries is proposed to operationalize the framework. Secondly, recommendations for
capacity building in environmental management are provided and finally, a preliminary
budget is presented to operationalize the EA framework.
11.1 Proposed enforcement mechanism
The process to enforce the EA framework for regional power projects is illustrated on
Figure 11.1.
Following its approval by the RPTP, it is proposed that the final version of the EA framework
be transmitted to the NBI Secretariat (NBI-SEC), which will have the task to prepare, with
technical assistance, a draft Protocol allowing the NBI countries to approve and adopt the
EA framework.
The Nile-SEC will submit for approval the draft Protocol to the NBI Technical Advisory
Committee (Nile-TAC). On the basis of the comments of the Nile-TAC, the Nile-SEC will
prepare the final Protocol enforcing the implementation of the EA framework in the NBI
countries. After final approval by the Nile-TAC, the Protocol shall be signed by the NBI
Council of Ministers (Nile-COM).
The Protocol allowing the NBI countries to approve and adopt the EA framework shall be
ratified by each NBI country, through regulations signed by the Minister in charge of
Environment. Following ratification, the resulting regulations and the Protocol shall be largely
publicised in each NBI country
.
Nile
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Fig
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11.
1 E
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The national environmental agencies shall be responsible to implement the resulting
regulations enforcing the implementation of the EA framework for regional power projects in
the NBI countries.
11.2 Capacity building in environmental management
In order to ensure the implementation of the EA framework and on the basis of a
comprehensive institutional analysis, it is essential that the concerned staff of the institutional
organisations involved in the process be trained and become familiar with the components of
the EA framework. The institutions involved are those identified in the above Chapter 7.
Three activities are proposed and detailed in the following sections:
• Four-day capacity building workshops on the EA framework;
• Technical assistance along the EIA review process;
• A two-day annual participative review of the projects studied during the period.
11.2.1 Workshops
The four-day workshops shall deal with the EA framework and its different components
(applicable policies and regulations, safeguard policies of the World Bank, evaluation of
regional power investment projects). These workshops shall be directed by two international
experts (one environmentalist and one sociologist), assisted by local consultants as needed.
Various training methods and tools shall be used, such as formal presentations, group
discussions, case studies, application exercises and field visit.
These workshops shall be offered at the regional (Regional EA Working Group) and national
levels (nine NBI countries). Around twenty participants, separated in three groups shall be
trained.
The proposed topics of the workshops shall be as follows:
• Existing Power Master Plans in the NBI countries.
• Short review of the existing environmental and social framework and procedures in the NBI countries:
Environmental topics - NBI environmental policy - EIA procedures and regulations
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- Water resources management policy - Greenhouse gas emissions policies and regulations - International environmental treaties and conventions
Social topics - Land issues and resettlement policy - Poverty reduction and socio-economic development - Public health policy - Vulnerable groups including women policy - Historical and cultural sites policy and regulation - Indigenous community policy - Institutional framework in the NBI countries
• Issues related to environmental assessment considered by four funding agencies:
World Bank, African Development Bank, Canadian International Development Agency and European Union. The issues to be discussed include the environmental policies and environmental and social assessment procedures, natural resources management policy, resettlement policy, poverty reduction, public health, vulnerable groups, historical and cultural sites policy, indigenous communities policy, public participation and consultation, dams policy and international waterways policy.
• Guiding principles to achieve sustainable development through regional power projects: achievement of the Millennium development goals and important issues, such as biodiversity, involuntary resettlement, changes to the environment and resource use in the area, indigenous communities, gender issues, public health issues, economic development, physical cultural resources and, participation and consultation of the stakeholders.
• Environmental assessment process for regional power projects. The steps to follow at each phase of the project cycle shall be explained in details: 1) pre screening; 2) screening; 3) scoping: 4) impact assessment; 5) review; 6) decision-making; 7) ESMP implementation and; 8) auditing.
• Environmental and social impact assessment guidelines. Case studies shall be presented and discussed for the four types of projects considered in this EA framework (hydropower, thermal power, geothermal power and transmission lines). Specific environmental and social issues shall be identified, potential impacts specified and mitigation measures provided. Different topics could be studied in more details such as: Public consultation in the environmental assessment process; Involuntary resettlement; Indigenous peoples; Accident Risk Management.
• Integration of the Life Cycle Approach (LCA) in the EA process. The international standards shall be presented and life cycle assessment in the EA process for regional power projects in the NBI shall be discussed. Guidelines for conducting a life cycle assessment could also be studied.
• Various requirements to access to the benefits of the Clean Development Mechanism (CDM). After an overview of the CDM, requirements and issues related to CDM projects shall be presented. Frameworks and directives for developing and implementing a CDM for power projects shall also be detailed and examples given, such as baseline emissions calculations for power grids and net emissions reductions calculations.
• A one-day field visit could be programmed to a power plant and/or transmission station and lines site. Among others, participants could be invited to fill an
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
05-16005 – Final Report – February 2008 Tecsult International
11-5
environmental and social impact grid and discuss the different issues raised by the operation of the infrastructures.
11.2.2 Technical assistance
Customized assistance could be offered to the Technical Review Committees during the first
EIA’s review processes, especially for projects showing significant transboundary adverse
impacts.
11.2.3 Annual participative review
A two-day participative review meeting could be hold annually regarding the environmental
reviews of power projects in the pipeline. This annual meeting would gather together
regional and national participants.
A month before the seminar, participants would have to present a short document describing
the different projects submitted to them through the year and the difficulties they
encountered dealing with them. The problematic situations would then be discussed during
the seminar conducted by two international experts (environmentalist and sociologist), who
would be assisted by local experts as needed. Solutions would be presented, studied and
discussed in order to ease the application of the environmental assessment framework and
its components in the following year.
11.3 Preliminary budget to operationalize the EA framework
Table 11.1 presents a preliminary budget in current US dollars required to operationalize the
EA framework for regional power projects during the 10 years following its acceptance by
NBI authorities. This budget plans for funds required to:
• develop and get approved the binding mechanism (Protocol) by the NBI countries;
• develop detailed environmental and social impact assessment (ESIA) guidelines for hydropower, thermal power and transmission lines projects;
• undertake an institutional analysis of the environmental agencies of the NBI countries (as described in Section 4.13 above);
• build the capacity in environmental management of stakeholders identified to implement the EA framework;
• coordinate the implementation of the EA framework (Regional EA Working Group);
• implement the EA framework at the national level (National Environmental Agencies);
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• annual participative review to identify the problems encountered in the EA process implementation and propose corrective actions.
Considering the projects mentioned in the different power master plans and power trade
studies (see Chapter 3 above), this preliminary budget is based on the assumption that 30
regional power projects (3 per year), identified as such in accordance with this EA
framework, will be evaluated in the next 10 years in the NBI countries.
Waterfalls on the Blue Nile
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
05-1
6005
– F
inal
Rep
ort –
Feb
ruar
y 20
08
Tec
sult
Inte
rnat
iona
l
11-7
Tab
le 1
1.1
Pre
limin
ary
bu
dg
et t
o o
per
atio
nal
ize
the
EA
fra
mew
ork
(in
cu
rren
t U
S $
)*
12
34
56
78
910
To
tal
Dev
elop
men
t of t
he E
IA p
roto
col
75 0
0075
000
Det
aile
d E
SIA
gui
delin
es (
3)95
000
97 8
5010
0 78
629
3 63
6
Inst
itutio
nal s
tudy
95 0
0095
000
Wor
ksho
ps (
3)70
000
70 0
00
Tec
hnic
al a
ssis
tanc
e fo
r re
view
of E
IA (
desk
wor
k)25
000
25 0
00
Ann
ual r
evie
w30
000
30 9
0031
827
32 7
8233
765
34 7
7835
822
36 8
9638
003
304
773
Reg
iona
l EA
Wor
king
Gro
up (
part
-tim
e)25
000
25 7
5026
523
27 3
1828
138
28 9
8229
851
30 7
4731
669
253
978
Nat
iona
l Env
ironm
enta
l Age
ncie
s (p
art t
ime)
50 0
0051
500
53 0
4554
636
56 2
7557
964
59 7
0361
494
63 3
3950
7 95
5
To
tal
265
000
297
850
208
936
111
395
114
736
118
178
121
724
125
375
129
137
133
011
1 62
5 34
2
Yea
rs
Cap
acit
y b
uild
ing
Tec
hn
ical
ass
ista
nce
EA
pro
cess
imp
lem
enta
tio
n
Act
ivit
ies
*
See
det
aile
d br
eakd
own
on n
ext p
age
Nile
Bas
in In
itiat
ive
– R
egio
nal P
ower
Tra
de P
roje
ct
Env
ironm
enta
l Ass
essm
ent F
ram
ewor
k fo
r R
egio
nal P
ower
Pro
ject
s in
Nile
Bas
in C
ount
ries
T
ecsu
lt In
tern
atio
nal
05-1
6005
– F
inal
Rep
ort –
Feb
ruar
y 20
08
11-8
Det
aile
d b
reak
dow
n o
f F
igu
re 1
1.1
60 0
00 $
15 0
00 $
75 0
00 $
75 0
00 $
20 0
00 $
95 0
00 $
annu
al in
flatio
n of
3%
dur
ing
year
s 2
& 3
70 0
00 $
25 0
00 $
95 0
00 $
5 00
0 $
38 4
00 $
9 60
0 $
17 0
00 $
70 0
00 $
24 0
00 $
1 00
0 $
25 0
00 $
25 0
00 $
5 00
0 $
30 0
00 $
23 0
00 $
2 00
0 $
25 0
00 $
annu
al in
flatio
n of
3%
from
yea
rs 3
to 1
0
45 0
00 $
5 00
0 $
50 0
00 $
annu
al in
flatio
n of
3%
from
yea
rs 3
to 1
0N
atio
nal E
nv. A
genc
ies
(par
t-tim
e / f
irst y
ear)
Sal
arie
s:E
xpen
ses:
T
ota
l:
Sal
arie
s:E
x pen
ses:
T
ota
l:R
egio
nal E
A W
orki
ng G
roup
(pa
rt-t
ime
/ firs
t yea
r)
Pro
fess
iona
l fee
s :
Exp
ense
s:
To
tal:
Par
ticip
atio
n at
the
annu
al r
evie
w
Pro
fess
iona
l fee
s :
Exp
ense
s:
To
tal:
Tec
hnic
al a
ssis
tanc
e fo
r re
view
of E
IA (
desk
wor
k)
To
tal :
Dev
elop
men
t of t
he E
IA p
roto
col
Pro
fess
iona
l fee
s:
Exp
ense
s:
To
tal:
Pro
fess
iona
l fee
s –
prep
arat
ion:
Cap
acity
bui
ldin
g w
orks
hops
:
Pro
fess
iona
l fee
s:
Exp
ense
s:
To
tal:
Det
aile
d E
SIA
gui
delin
es (
first
yea
r)
Pro
fesi
onal
fees
– w
orks
hops
(3)
: P
artic
ipan
ts (
20)
– w
orks
hops
: 9 6
00$
Exp
ense
s:
Inst
itutio
nal s
tudy
P
rofe
ssio
nal f
ees:
E
xpen
ses:
T
ota
l:
MO
DU
LE 4
MODULE 4Appendices
AP
PE
ND
IX 1
APPENDIX 1 Bibliography
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BIBLIOGRAPHY Regional Documents
African group of experts, Response note to "The draft aide mémoire of the African group on the UN declaration on the rights of indigenous peoples, 21 march 2007, 16 pages, in www.ipacc.org.za/uploads/docs/AideMemoireResponse.pdf East African Community, Environmental assessment guidelines for shared ecosystems in East Africa, Arusha, June 2006, 30 pages + appendices. East African Community. The East African Power Master Plan Study. Final Phase II Report. EDF. Eastern Nile Power Trade Program Study. March 2007. Ethiopia-Sudan Power System Interconnection ESIA Project Environmental and Social Impact Assessment Final Report prepared by SMEC (Consultants), October 2006, 194 pages. Ethiopia-Sudan Power System Interconnection ESIA Project Resettlement Action Plan Draft Final Report prepared by SMEC (Consultants), July 2007, 117 pages. International Hydropower Association Sustainability Assessment Protocol July 2006, 68 pages. SNC Lavalin International, Strategic / Sectorial, social and environmental assessment of power development options in the Nile Equatorial Lakes Region, Final report, volume 1, main report, report for the Nile Basin Initiative, February 2007, 275 pages. SNC Lavalin International, Strategic / Sectorial, social and environmental assessment of power development options in the Nile Equatorial Lakes Region, Final report, volume 2, Appendices, report for the Nile Basin Initiative, February 2007,491 pages.
Burundi
Action Batwa, Missionnaires d'Afrique, Regard sur L'œuvre entreprise par Action Batwa: Présentation d'un Plan Durable en vue de venir en aide a cette population, document disponible http://www.africamission-mafr.org/batwa.htm 12 pages. Commission Économique pour L'Afrique, Centre de Développement Sous-Régional pour l'Afrique de l'Est (EA-SRDC) Étude sur la Perspective Genre dans la Reconstruction Post-Conflit au Burundi, Novembre 2006, 96 pages. Project d'appui au dévelopment communautaire et social (PRADECS), Burundi, Plan concernant les populations Batwa, RP483, Octobre 2006, 16 pages. Republic of Burundi, Poverty Reduction Strategy Paper - PRSP, September 2006, 138 pages. République du Burundi, Cabinet du President, Loi n° 1/010 du 30/06/2000 portant code de l'environnement de la République du Burundi, 2000, 55 pages. République du Burundi, Cabinet du President, Loi No. 1/02 du 25 mars 1985 portant Code forestier, 32 pages. République du Burundi, Loi n°1/6 du 25 mai 1983 portant protection du patrimoine Culturel National.
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République du Burundi, Ministère de l'Agriculture et de l'Élevage / Banque Mondiale, Cadre réglementaire de réinstallation, document élaboré dans le cadre due Projet de Réhabilitation et d'Appui au secteur Agricole du Burundi (PRASAB) par Dr. Gaspard Bikwemu, décembre 2003, 23 pages. République du Burundi, Ministère de l'Aménagement du Territoire et de l'Environnement, Convention Cadre des Nations Unies sur les Changements Climatiques Première Communication Nationale, Août 2001, 145 pages. UNESCO, Conventions ratifiées par pays, Burundi, 1 page, in www.portal.unesco.org/la/conventions_by_country World Bank, Project appraisal document to the Republic of Burundi for a multisectoral HIV/AIDS control and orphans project, Report No: 22918-BU, 28 March 2002, 98 pages. World Health Organization, Summary country profile for HIV/AIDS treatment scale-up, Burundi, December 2005, 3 pages, in www.who.int/hiv/HIVCP_BDI.pdf
Democratic Republic of Congo
République Démocratique du Congo, Document de la stratégie de croissance et de réduction de la pauvreté, juillet 2006, 120 pages.
République Démocratique du Congo Évaluation environnementale et sociale du PMURR (Programme multisectoriel d'urgence de réhabilitation et de reconstruction), volume 1 : Conditions Initiales de l’Environnement du Programme et Diagnostic Institutionnel préparé par SOFRECO, Paris, France, Septembre 2006, 87 pages. République Démocratique du Congo Évaluation environnementale et sociale du PMURR (Programme multisectoriel d'urgence de réhabilitation et de reconstruction) - Volume 3: Manuel d’Opération Procédures de l’évaluation des projets du Volet A préparé par SOFRECO, Paris, France, Septembre 2006, 180 pages République Démocratique du Congo, Ministère du plan, Unité de coordination des projets, Évaluation Environnementale et Sociale du PUAACV (Projet d’urgence d'appui à l'amélioration des conditions de vie) Volume 3 – Plan cadre de réinstallation, préparé par BUURSINK, USA et Nederland, Janvier 2006, 51 pages. Programme Multisectoriel d'Urgence de Réhabilitation et de Reconstruction (PMURR), Cadre de Gestion des Sites Culturels: Sites Paléontologiques, Sites Archéologiques, Sites Historiques et Sites Naturels Uniques juillet 2004, 19 pages. République Démocratique du Congo, Services de l'Office des Voiries et Drainage (OVD),Plan de réinstallation involontaire concernant les travaux de lutte antiérosive dans la region dite "Drève de Selembao" (Commune de Ngaliema,Ville-Province de Kinshasa), mai 2005, 98 pages.
Ethiopia
Eastern Nile Power Trade Program Study, Afdb, Energy Sector Profile & Projections, Vol-3 Ethopia, Draft Main Report, 15 January 2007 Eastern Nile Power Trade Program Study, AfDB, Market and Power Trade Assessment Environmental And Social Impact Assessment for the Ethopia-Sudan Transmission Interconnection Project Draft Final Report, September 2006. Ethiopia-Sudan Power System Interconnection ESIA Project Resettlement Action Plan Ethiopia Final Report prepared by SMEC (Consultants), October 2006, 128 pages.
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Federal Democratic Republic of Ethiopia (FDRE) Environmental Policy prepared by The Environmental Protection Authority and the Ministry of Economic Development and Cooperation, Addis Ababa, April 1997, 31 pages. Federal Democratic Republic of Ethiopia (FDRE) Environmental Protection Authority (EPA) National Capacity Needs Self-Assessment Action Plan A Synthesis Report, Document prepared by Addis Anteneh Consultant/Economist, Addis Ababa, April 2006, 63 pages. Federal Democratic Republic of Ethiopia (FDRE) Environmental Protection Authority Environmental Impact Assessment Procedural Guideline Series 1, Addis Ababa, November 2003, 32 pages. Federal Democratic Republic of Ethiopia (FDRE) Environmental Protection Authority Guidelines on Integrated Pollution Prevention and Control (IPPC) circa 1999, 16 pages in http://www.epa.gov.et/epa/departments/pollution_control/pollution_control.asp?dep_Id=3&sub_depId=13 Federal Democratic Republic of Ethiopia (FDRE) Ethiopia: Sustainable Development and Poverty Reduction Program-PRSP July 2002, 223 pages. Federal Democratic Republic of Ethiopia (FDRE) Proclamation No.300/2002 Environmental Pollution Control Proclamation, Addis Ababa, December 2002, 8 pages. Federal Democratic Republic of Ethiopia (FDRE),Federal Environmental Protection Authority Environmental And Social Impact Assessment Guidelines for Dams and Reservoirs, Addis Ababa, 2004, 21 pages. Federal Democratic Republic of Ethiopia (FDRE). Proclamation No. 29912002 Environmental Impact Assessment Prolamation. Federal Democratic Republic of Ethiopia, Environmental Protection Authority, State of Environment Report for Ethiopia April 2003, 191 pages. Government of Ethiopia, Ministry of Water Resources, Environmental and Social Management Framework, Ethiopia Irrigation & Drainage Project, Report, Document prepared by Environmental Resources Management Ltd, Washington, Report no E 1573, February 21, 2007, 74 pages. Swedish International Development Cooperation Agency (SIDA) Country Gender Profile Ethiopia prepared by Haregewoin Cherinet and Emebet Mulugeta/Consultants, Addis Ababa, May 2002, 50 pages.
Egypt
Arab Republic of Egypt Ministry of Water Resources and Irrigation Resettlement Policy Framework prepared by The West Delta Water Conservation and Irrigation Rehabilitation Project, RP525, January 2007, 43 pages. Arab Republic of Egypt Ministry of Water Resources and Irrigation Environmental and Social Impacts and a Framework Management Plan Executive Summary prepared by The West Delta Water Conservation and Irrigation Rehabilitation Project, E1572, February 2007, 30 pages. Arab Republic of Egypt, Egyptian Environmental Affairs Agency Environmental Impact Assessment Guidelines for Electricity Generating Facilities Based on Hydropower, December 2001, 22 pages.
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Arab Republic of Egypt, Egyptian Environmental Affairs Agency Environmental Impact Assessment Guidelines for Electricity Generating Facilities Based on Thermal Power, December 2001, 24 pages. Arab Republic of Egypt, Egyptian Ministry of Health and Population Monitoring and Evaluation Plan for Voluntary HIV Counselling and Testing Services at the Central Laboratory prepared in collaboration with Family Health Initiative (FHI) and United States Agency for International Development (USAID) 2004, 27 pages. Arab Republic of Egypt, Egyptian Ministry of Health and Population National HIV Clinical Care A Reference Guide for Physicians prepared in collaboration with Implementing AIDS Prevention and Care Project (IMPACT) and United States Agency for International Development (USAID) 2006, 114 pages. Arab Republic of Egypt, Ministry of Planning A Poverty Reduction Strategy for Egypt prepared by the World Bank Report No. 27954-EGT, September 2004, 78 pages. Arab Republic of Egypt, Prime Minister's Decree No. 338 of 1995 Issuing the Executive Regulations of the Environment Law promulgated by Law No. 4 of 1994, 88 pages available at http://www.eeaa.gov.eg/English/main/law4.asp Eastern Nile Power Trade Program Study, AfDB, Energy Sector Profile & Projections. Eastern Nile Power Trade Program Study, AfDB, Market And Power Trade Assessment. Eastern Nile Technical Regional Office (ENTRO) Eastern Nile Power Trade Program Study, Energy Sector Profile and Projection Vol 2- Egypt Final Main REport February 2007, 45 pages. Egypt is a Signatory, 1 page, http://www.eeaa.gov.eg/English/main/intlaw.asp Egypt Organization for Energy Planning (OEP) Energy Situation in Egypt, Efficiency Perspectives presented by OEP Chairman Dr. Ibrahim Abdel Gelil, Cairo, October 2002, 14 pages. Ministry of Communication and Information Technology National Center for Documentation of Cultural and Natural Heritage Strategic Approach to Egypt's Cultural Heritage Final Report-part VII prepared by CULTNAT, UNESCO and UNDP, July 2001, 228 pages available at http://www.cultnat.org/download/Pdf_strategic_approach.html Nile Basin Initiative (NBI) Multipurpose Development of The Eastern Nile Eastern Technical Regional Office (ENTRO) One System Inventory: Environment Theme Draft Report-Egypt prepared by Dr.Rifaat Abdel Wahaab, Cairo, January 2006, 96 pages. United Nations Development Program Initial Country Environmental Education and Awareness Reviews, prepared for the Nile Transboundary Environmental Action Project by H. Morsy, Egypt National Consultant, Cairo, December 2004, 168 pages.
Kenya
Center for Minority Rights and Development Mainstreaming Minorities and Indigenous People's Rights in Kenya's Human Rights Policy (…), April 2007, 1 page, available at http://www.cemiride.info/NewsDetails.asp?ID=30 Republic of Kenya The Environmental Management and Co-ordination Act (EMCA) 1999 No 8 of 1999, 38 pages. Republic of Kenya, 13 June, 2003: The Environmental (Impact Assessment and Audit) Regulations, 2003 – Special Issue, Kenya Gazette Supplement No. 31: Legal Notice No. 101
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Republic of Kenya, 2005: Sessional Paper No. 9 of 2005 on Forest Policy – Ministry of Environment and Natural Resources. Republic of Kenya, 30th December 2006: The HIV and AIDS Prevention and Control Act, 2006 - – Special Issue, Kenya Gazette Supplement No. 98 (Acts No. 14). Republic of Kenya, 6 January 2000: The Environmental Management and Coordination Act, 2000 – Kenya Gazette Supplement, Acts, 2000, Nairobi, 14th January, 2000. Republic of Kenya, April 29, 1999: Sessional Paper No. 1 of 1999 on National Water Resources Management and Development. Republic of Kenya, December 2006: The Energy Act, 2006 – Kenya Gazette Supplement, Acts, 2006, Nairobi, 2nd January, 2007. Republic of Kenya, Ministry for Planning and National Development Economic Recovery Strategy For Wealth and Employment Creation: 2003 - 2007, 61 pages available at http://www.planning.go.ke/ Republic of Kenya, Ministry for Planning and National Development Poverty Reduction Strategy Paper prepared by the International Monetary Fund, Country Report No. 05/11, 2005, 152 pages. URT, 11 February 2005: The Environmental Management Act, 2004 – Act Supplement No.3. URT, 2005: The Environmental (Registration of Environmental Experts) Regulations, 2005 – G.N. 348 OF 2005. URT, 2005: The Environmental Impact Assessment and Audit Regulations, 2005 – G.N. NO. 349 OF 2005 URT, 2006: Power Sector Reform Strategy (Draft) - Ministry of Energy and Minerals. URT, December, 1997: The National Environmental Policy – The Vice President’s Office, Division of Environment.
Rwanda
Agence Canadienne de Développement International, Rwanda Cadre de programmation 2005-2011, page web www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/Fr/JUD-22212111-MYG Fond des Nations Unies pour la Population (FNUAP), Participation des femmes et égalité des sexes : la voie du redressement / Au Rwanda, le pouvoir par le scrutin, in État de la population mondiale 2005, 1 page, in www.unfpa.org/swp/2005/francais/ch8/chap8_page2.htm Government of Rwanda, Ministry of Finance and Economic Planning Economic Development and Poverty Reduction Strategy June 2007, 155 pages. Ministry of Local Government, Community Development and Social Affairs, Social Assistance, page web www.minaloc.gov.rw/social_affaires/protection_vulnerable.htm Présidence de la République du Rwanda, Commission Nationale de Lutte contre le Sida, Plan stratégique national multisectoriel de lutte contre le VIH/SIDA 2005-2009, version finale, décembre 2005, 96 pages.
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Présidence de la République du Rwanda, Commission Nationale de Lutte contre le Sida, Politique nationale de lutte contre le VIH/SIDA, décembre 2005, 20 pages. Preti Taneja, Rwanda's forgotten people, 1 page in www.uk.oneworld.net Republic of Rwanda, Ministries of Land, Environment, Forestry, Water and Mines Draft Water Law (Bill n..of..on fixing rules of use, conservation, protection, and management of water resources, August 2006, 51 pages. Republic of Rwanda, Ministries of lands, Environment, Forests, Water and Natural Resources Sectorial Policy on Water and Sanitation October 2004, 21 pages. Republic of Rwanda, Ministry of Finance and Economic Planning 2020 Vision Draft 3 English Version November 2002, 60 pages. Republic of Rwanda, Ministry of Lands, resettlement and environment, National strategy and action plan for the conservation of biodiversity in Rwanda, April 2003, 85 pages. Republic of Rwanda, No. 04/2005 of 08/04/2005 Organic Law determining the modalities of protection, conservation and promotion of the environment in Rwanda, 32 pages Republique du Rwanda Ministère a la Primature Charge de la Promotion de la Famille et du Genre Strategie de mise en œuvre de la politique nationale du genre ecrit par MCI Entreprise et finance par UNFPA, Avril 2007, 43 pages. République du Rwanda, Ministère des Infrastructures / Banque Mondiale, Plan succinct de recasement (PSR), document élaboré dans le cadre du Projet d'Infrastructures et de Gestion Urbaine (PIGU) par Wardat Monjoin, rapport définitif, octobre 2006, 75 pages. Rwanda Development Gateway, Gender concepts, 1 page, 9th-February 2005 in www.rwandagateway.org/article.php3?id_article=124 The Government of Rwanda, Poverty Reduction Strategy Paper, document prepared by the Ministry of Finance and Economic Planning for the National Poverty Reduction Programme, June 2002, 160 pages. UNESCO, Conventions ratifiées par pays, Rwanda, 1 page, in www.portal.unesco.org/la/conventions_by_country World Rainforest Movement, Rwanda: Indigenous Batwa Opening Channels of Cooperation with Conservation, article written by John Nelson, bulletin 70, 2003, 1 page, in www.wrm.org.uy/bulletin/70/Rwanda.html Zephyrin Kalimba, President de la Communaute des autochtones du Rwanda, Déclarations à l'Instance permanente sur les questions autochtones, 2006 à L'ONU. Evaluation de l'état des droits dans mon pays le Rwanda. May 2006, 5 pages disponible http://www.docip.org/Permanent%20Forum/pfii5_101.PDF.
Sudan
Eastern Nile Power Trade Program Study, AfDB Market And Power Trade Assessment. Eastern Nile Technical Regional Office (ENTRO) Data and Information on Environment and related issues in the Eastern Nile sub-basin in Sudan prepared by Dr. Balgis M.E. Osman Elasha, April 2006, 121 pages. Ethiopia-Sudan Power System Interconnection ESIA Project Resettlement Action Plan Sudan Final Report prepared by SMEC (Consultants), October 2006, 97 pages.
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Food and Agriculture Organization of the United Nations Forest Genetic Resources No. 30, 2002, 70 pages available at http://www.fao.org/docrep/005/y4341e/Y4341E13.htm#P2596_180691 Government of Sudan Sudan Stabilization and Reconstruction Country Economic Memorandum (In Two Volumes) Volume 1: Main Text Report No. 24620-SU prepared by the World Bank, June, 2003, 185 pages. World Food Programme Khartoum Food Aid Forum Background Paper Interim Poverty Reduction Strategy Paper 2004-2006 Draft , 34 pages. Paper available at http://nutrition.tufts.edu/pdf/research/famine/food_aid_forum_kit/papers/background_paper_3_interim_poverty_reduction_strategy_paper_2004-2006.pdf BUT not at http://info.worldbank.org/etools/library/view_p.asp?lprogram=&objectid=39371
Uganda
The Republic of Uganda, Ministry of Gender, Labour and Development Culture Policy, 4th draft July 2003, 26 pages.
The Republic of Uganda, Ministry of Finance, Planning and Economic Development Poverty Eradication Action Plan (2004/5-2007/8) prepared by the International Monetary Fund IMF Country Report No. 05/307, 2005, 288 pages. The Republic of Uganda, National Environment Management Authority A Review of the Application of Environmental Impact Assessment (EIA) in Uganda, prepared for the United Nations Economic Commission for Africa October 2004, 72 pages. The Constitution of the Republic of Uganda, 1995. National Environment Act (Policy) was in 1995. The Act established the National Environment Management Agency (NEMA) as the main administrative body for EIA in Uganda. Environmental Impact Assessment Regulations, 1998. (Practitioners) Regulations 2003 which provide for a uniform system of certification and registration of EIA practitioners. Dispute settlement mechanisms/procedures. The Act provides for the establishment of a Technical Committee on EIA to provide advisory services to NEMA on critical aspects of EIA implementation. Guidelines for EIA preparation. The Act provides for public participation and it is a central policy of the Uganda EIA process that opportunity is provided for public involvement.
Tanzania
Agricultural and Livestock Policy (1997). Assessment of the Value of Land for Compensation) Regulations, 2001. Community Development Policy, Ministry of Community Development, Women Affairs and Children, URT, Dar es Salaam, June 1997.
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Cultural Policy (Policy Statements) Ministry of Education and Culture, September, 1997. Environmental Impact Assessment (EIA) procedures (March 2002). Environmental Impact Assessment and Audit Regulation of 2005. Forest Act, 1957 (Revised in 2002). Land Act of 1999. Land Use Planning Commission Act 1984. National Policy on HIV/AIDS, Prime Minister’s Office, URT, Dodoma, November 2001. Protected Public Places and Recreation Areas Act. 1969. Social Impact on Large Dams: Equity and Distributional Issues, A Working Paper of the World Commission on Dams. The Land (Forms) Regulation 2001. The Land Acquisition Act 1967 and land ordinance. The Mining Act No 5 of 1998. The National Social Security Policy, URT, 2003. The Regional Administration Act No 9 of 1997. The United Republic of Tanzania, Ministry of Water and Livestock Development National Water Policy, 2002, 49 pages. The United Republic of Tanzania, Ministry of Water and Livestock Development National Water Policy, 2002, 49 pages. The United Republic of Tanzania, Vice President's Office National Strategy for Growth and Reduction of Poverty, 2005 109 pages. The United Republic of Tanzania, Vice President's Office National Strategy for Growth and Reduction of Poverty, 2005 109 pages. Town and Country Planning Act Cap 378. URT 2003: National Energy Policy 2003 - Ministry of Energy and Minerals. Village Land Act 1999. Water utilisation Act of 1974. Wildlife Conservation Act, No 12 of 1974. Women and Gender Development Policy, Ministry of Community Development. Women’s Affairs and Children, URT, Dar es Salaam, 2000.
Funding Agencies-World Bank
World Bank, The World Bank’s Global HIV/AIDS Program of Action, December 2005, 90 pages.
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World Bank, The World Bank Operational Manual, Operational Polices OP 4.00 March 2005, 12 pages. World Bank, Integrating Gender into the World Bank’s Work: A Strategy for Action, January 2002, 92 pages.
World Bank, The World Bank Policy on Disclosure of Information, June 2002, 38 pages.
World Bank Biodiversity in EA at the World Bank available at http://go.worldbank.org/MOWPMTKWA0.
World Bank The World Bank Operational Manual, Poverty Reduction, OP 1.00, 2 pages.
World Bank The World Bank Operational Manual, Water Resources Management, OP 4.07 , 2000, 2 pages.
World Bank The World Bank Operational Manual, Gender and Development, OP 4.20, 2003, 4 pages. World Bank The World Bank Operational Manual, Dam Safety OP 4.37, January 2001, 4 pages.
World Bank The World Bank Operational Manual, Forests OP 4.36 (5 pages) and Bank Procedures BP 4.36 (3 pages), August 2004.
World Bank The World Bank Operational Manual, Indigenous Peoples OP 4.10 (10 pages) and Bank Procedures BP 4.10 (6 pages), January 2007.
World Bank The World Bank Operational Manual, Involuntary Settlement OP 4.12 (11 pages) and Bank Procedures BP 4.12 (6 pages), March 2007.
World Bank The World Bank Operational Manual, Physical Cultural Resources OP 4.11 (4 pages) and Bank Procedures BP 4.11 4 pages), January 2007. World Bank The World Bank Group's Energy Program Poverty Reduction, Sustainability and Selectivity, 2002, 26 pages. World Bank The World Bank Operational Manual, Projects on International Waterways, OP 7.50, January 2005, 3 pages.
World Bank The World Bank Operational Manual, Projects in Disputed Areas, OP 7.60, January 2006, 1 page.
Funding Agencies-African Development Bank
African Development Bank Bank Group Policy on Poverty Reduction, February 2004, 53 pages.
African Development Bank Involuntary Resettlement Policy, November 2003, 42 pages.
African Development Bank Gender Plan of Action (GPOA)-2004-2007 for the African Development Bank Group, 32 pages.
African Development Bank African Development Bank Group's Policy on the Environment, February 2004, 42 pages.
African Development Bank The Gender Policy June 2001, 58 pages.
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Funding Agencies-CIDA
Canada International Development Agency (CIDA) CIDA's Policy on Poverty Reduction, (no date), 10 pages. CIDA Sustainable Development Strategy 2007-2009, 53 pages. CIDA CIDA’s Policy on Gender Equality, 1999, 34 pages. CIDA Environmental Assessment, available at http://www.acdi-cida.gc.ca/ea#1, 2 pages.
Funding Agencies-European Union
European Union Guidance on EIA-Screening, June 2001, 32 pages.
European Commission Programming Fiche-Indigenous Peoples, January 2006, 2 pages.
European Commission Programming Fiche-HIV/AIDS, January 2006, 5 pages.
European Commission Programming Fiche-Gender Equality, January 2006, 6 pages.
Commission of the European Communities Communication from the Commission Halting the Loss of Biodiversity by 2010-and beyond Sustaining ecosystem services for human well-being COM (2006) 216 final, May 2006, 15 pages.
Commission of the European Communities, Communication from the Commission to the council and the European parliament / External Action: Thematic programme for environment and sustainable management of natural resources including energy, Brussels, January, 25th 2006, 25 pages.
Communication from the Commission of 4 November 1999-Forests and Development: the EC approach, 38 pages.
Impact assessment and related documents
André, Pierre, Delisle, Claude E., Revéret, Jean-Pierre, Environmental Assessment for Sustainable Development, Processes, Actors and Practice, Presses Internationales Polytechnique, Montreal, 2004, 511 pages. Duchemin, Éric, Hydroelectricity and Greenhouses Gases, VertogO, Vol 2 N°1, April 2001, 8 pages. E7 Network of expertise for the global environment, Environmental impact assessment, an electricity utility overview, Montreal, June 1997, 47 pages. Forum of Energy ministers of Africa (FEMA), Energy and the Millennium. Development Goals in Africa, April 2006, 34 pages. Gagnon and Bélanger, Comparison of various electricity generation, with a life-cycle approach, Review of Energy, may 2003, 10 pages. Institue de l'énergie et de l'environnement de la francophonie, EIA , An electric Utility Overview, Network expertise E7 for the global environment, October 2000, 103 pages. International Finance Corporation, Environmental, Health, and Safety Guidelines Electric Power Transmission and Distribution, April 2007, 23 pages.
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International Finance Corporation, Environmental, Health, and Safety Guidelines Geothermal Power Generation, April 2007, 13 pages. International Finance Corporation, Environmental, Health, and Safety Guidelines Electric Power Transmission and Distribution, April 2007, 23 pages. International Hydropower Association, Sustainability Guidelines, February 2004, 24 pages. Loerincik, Y. and Prof. O. Jolliet, Life-cycle analysis and eco-design: Comparison of production of electricity, EPFL, March 2007, 5 pages. Olivier Jolliet, Myriam Saadé and Pierre Crettaz, Life-cycle analysis, understand and realize an eco-balance, 2005, 242 pages. Peuportier Bruno, European Project REGENER, Life-Cycle analysis of building, Mines school of Paris, june 1998, 28 pages. South African Power Pool, Guidelines for Environmental Impact Assessment (EIA) for Thermal Power Plants in the SAPP Region, December 2001, 274 pages. South African Power Pool, Environmental Impact Assessment Guidelines for Transmission Lines within the Southern African Power Pool Region, August 1999, 25 pages. SEIMENS, Environmental management of electrical devices, Power transmission and distribution, 2006.33 pages. UNDP, Achieving the Millennium Development Goals: The role of Energy services, UN, New York, 2005, 78 pages. UNDP, Gender and Energy for a sustainable development: a toolkit and resource guide, New York, 2004, 85 pages. World Bank, Involuntary Resettlement Sourcebook, 2004, 434 pages. World Bank, Environmental Assessment Sourcebook, chapter 3, Social and cultural issues in environmental review, 1999, 26 pages. World Bank, Environmental Assessment Sourcebook, chapter 10, Energy and industry, 1999, 99 pages. World Bank, Environmental Assessment source book Update, Public consultation in the EA process: A strategic approach, Number 26, May 1999, 14 pages. World Bank, Social Analysis Sourcebook: Incorporating social dimensions into Bank-supported projects, Washington, December 2003, 105 pages. World Bank, Thermal Power: Guidelines for New Plants. Pollution Prevention and Abatement Handbook, July 1998, 14 pages. World Commission on Dams (2000). Dams and Development: A New Framework for Decision-making. Earthscan, London.
World Conservation Union (IUCN) and the World Bank, July 1997. Large Dams: Learning from the Past, Looking at the Future. Workshop Proceedings. IUCN, Gland, Switzerland and Cambridge, UK and the World Bank Group, Washington, DC. v. + 145 pp. World Health Organization, Health impact assessment (HIA), Reasons to use HIA, in www.who.int/hia/about/why/en/index1.html
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Clean Development Mechanism UNFCCC, 2005, The United Nations Framework Convention on Climate Change. http://unfccc.int/essential_background/convention/background/items/1353.php UNFCCC, 2006 a, Kyoto Protocol: Status of Ratification http://unfccc.int/files/essential_background/kyoto_protocol/application/pdf/kpstats.pdf COP7, 2001, Marrakech Accords, http://www.climnet.org/COP7/cop7.htm UNFCCC, Information on the Executive Board, www.unfccc.int/cdm UNEP, 2003, CDM - Information and Guidebook, Second Edition, http://cd4cdm.org/Publications/cdm%20guideline%202nd%20edition.pdf Pembina Institute, 2003, A User’s Guide to the CDM (Clean Development Mechanism), Second Edition, http://pubs.pembina.org/reports/user_guide_2nd_ed.pdf The World Bank Finance Unit, Information on Prototype Carbon Fund http://carbonfinance.org/Router.cfm?Page=PCF&ItemID=9707&FID=9707 Figueres, C.,2002, Establishing National Authorities for the CDM - A Guide for Developing Countries, http://www.cckn.net/pdf/cdm_national_authorities.pdf Egyptian Environmental Affairs Agency (EEAA), 2001, The National Environmental Action Plan of Egypt 2002/17, draft version http://www.eeaa.gov.eg/English/reports/neap/Neap_Eng-last.pdf Planning Commission, Tanzania Strategy Profiles National Strategies for Sustainable Development, http://www.nssd.net/country/tanzania/tz05.htm Republic of Kenya, 2001, Kenya national guidelines on the clean development mechanism (CDM) http://www.nema.go.ke/downloads/Kenya%20National%20Guidelines%20on%20the%20CDM.pdf Paulo Manso, 2003, Establishing a National Authority (NA) for the Clean Development Mechanism (CDM): The Costa Rican Experience, OECD, http://www.oecd.org/dataoecd/11/32/2957712.pdf International Panel on Climate Change, 2006, Guidelines for National Greenhouse Gas Inventories, Volume 2 Energy http://www.ipcc-nggip.iges.or.jp/public/2006gl/vol2.htm International Panel on Climate Change, 1995, IPCC Second Assessment Report “Climate Change 1995, the science of Climate Change”. UNFCCC, 2006 b, CDM PDD template, last version available http://cdm.unfccc.int/Reference/PDDs_Forms/PDDs/index.html UNFCCC, Glossary of CDM terms http://cdm.unfccc.int/Reference/Guidclarif/glossary_of_CDM_terms.pdf République Française, 2004, Climate Change, Guide to the Kyoto Protocol Mechanism, Second Edition, Volume B, The Clean Development Mechanism, http://www.ffem.fr/jahia/webdav/site/ffem/users/administrateur/public/projets%20FFEM/b_en_cdm_guide_ld.pdf
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APPENDIX 2
List of consulted stakeholders
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LIST OF CONSULTED STAKEHOLDERS Burundi • Mr. Pierre Barampanze, Director of Energy, Ministry of Energy and Mines, PTC
member. • Mr. Audace Sunzu, Director, REGIDESO, PTC member. • Mr. Stanislas Nsabimana, Head of the Department of Geography, University of
Burundi. Democratic Republic of Congo • Mr. Mawalala, Director of the Department of Water Resource, Ministry of Environment. • Mr. Cifarha Male, Rural Electrification Officer, Société Nationale d’Électricité (SNEL),
PTC member. • Mr. Badila, Ministry of Energy. Egypt • Eng. Hassan Mahmoud, General Manager of Technical Offices, Ministry of Electricity
and Energy, PTC member. • Eng. Hoda Wadia, Egyptian Electricity Holding Company, PTC member. • Eng. Maher Haziz, Managing Director for Environmental Sector, Egyptian Electricity
Holding Company. • Dr. Eng. Ithar Khalil, National Project Coordinator, Nile Transboundary Environmental
Action project, NBI. • Dr. Hisham El Agamawy, General Director of Energy Projects, Egyptian Environmental
Affairs Agency. • Eng. Mahmoud A. Shawky, General Director of Industrial Projects, Egyptian
Environmental Affairs Agency. Ethiopia • Dr. Fatma Moustafa, PCU manager, ENTRO, NBI. • Mr. Zelalem Gebrehiwot, Assistant Director Corporate Planning, Ethiopian Electric
Power Corporation, PTC member. • Mr. Teferra Beyene Asfaw, Advisor to the Minister, Ministry of Water Resources, PTC
member.
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• Mr. Michael Abebe, Head, Dams and Hydropower Design, Ministry of Water Resources, PTC member.
• Mr. Solomon Kebede, Head of EIA Service, Federal Environmental Protection Agency. • Mr. Mohammed Ali, Head of Environmental Pollution Control Department, Federal
Environmental Protection Agency. • Dr. Babiker Abdalla Ibrahim, PCU environmentalist, ENTRO, NBI. Kenya • Mr. John Githinji, Ministry of Energy, PTC member. • Mr. Albert Mugo, Power System Development Manager, Kenya Power Lighting Co.,
PTC member. • Mr. David Mwangi, Kenya Power Lighting Co., PSC member. • Mr. Boniface Kinyanjui, Kenya Power Lighting Co. • Mr. Martin Shimba, National Environmental Management Authority. • Ms. Minnie Ndindiri, Kenya Power Lighting Co. • Mr. F. Msuya, Lake Victoria Commission. Rwanda • Mr. Alexis Karani, Director of Planning of the Ministry of Infrastructures. • Mr. Félicien Ndabamenye, Power Generations Projects Officer, Ministry of
Infrastructures, PTC member. • Mr. Désiré Nzayanga, NELSAP, PTC member. Sudan • Mr. Henry Busulwa, Wetlands Lead Expert, Nile Transboundary Environmental Action
project, NBI. • Mr John Omwenga, Water and Sanitation Lead Expert, Nile Transboundary
Environmental Action project, NBI. • Dr. Ahmed Abdelsalam, National Project Coordinator, Nile Transboundary
Environmental Action project, NBI. • Ms. El Khitma El Awad, Ag. General Secretary Higher Council for Environment and
Natural Resources.
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• Mr. Amin Sabri Ahmed, Secretary General, Sudan Electricity Regulatory Authority. • Mr. Mario Peter Ugali, Director Planning and Information, Sudan Electricity Regulatory
Authority, PTC member. • Mr. Salah Eldin Ali Mohamed Nour, Director General, Advisory Commission for
Environment and Safety of the Ministry of Energy and Mining. • Eng. Osman Ahmed A. Kariem, Director General Directorate of Planning and Projects
of the Sudan Electricity Regulatory Authority. Tanzania • Mr. Lebby Chengulla, Senior Planning Engineer, TANESCO, PTC member. • Erick Buberwa (on behalf of Mr. Leonard Masanja – PTC member), Ministry of Energy
and Minerals. • Mr. Kabiruddin Rahim Abdullar, Director Corporate Planning and Research,
TANESCO. • Mr. Mansour, Environmentalist, TANESCO. Uganda • Dr. Henry Aryamanya Mugisha, Executive Director, National Environment Management
Authority (NEMA), Kampala. • Mr. Arnold Ayazika Waiswa, EIA Co-coordinator, National Environment Management
Authority (NEMA), Kampala. • Mr. Tom Waako, Program Officer, NBI Secretariat, Entebbe. • Mr. Fred Sajjabi, Senior Energy Officer, Ministry of Energy and Mineral Development. • Mr. Gerald Muganga, Engineering Services Manager, Uganda Electricity Transmission
Co. Ltd, Kampala. • Mr. Henry Bidasala Igaga, Assistant Commissioner Electrical Power, Ministry of Energy
and Mineral Development, Kampala.
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APPENDIX 3
Public consultation in the environmental assessment process
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PUBLIC CONSULTATION IN THE ENVIRONMENTAL ASSESSMENT PROCESS
Procedures and methodology
Many documents provide detailed and useful information on the procedures and
methodologies for public consultation in the environmental assessment process. The
following documents may serve as references:
• André, Pierre, Delisle, Claude E., Revéret, Jean-Pierre, Environmental Assessment for Sustainable Development , Processes, Actors and Practice, Presses Internationales Polytechnique, Montreal, 2004, 511 pages. Chapter 8 is dedicated to public participation.
• World Bank, Environmental Assessment source book Update, Public consultation in the EA process: A strategic approach, Number 26, May 1999, 14 pages.
Based on the quoted references, this appendix provides summarized information on: 1) the
consultation objectives at each step of the EA process; 2) the designing and implementation
of a public consultation plan and; 3) the tools and techniques for public consultation.
1. Consultation objectives
In the environmental assessment process, consultation of the stakeholders is mandatory to
deliver a sustainable project and to protect the affected communities notably the vulnerable
groups.
Public consultation must be integrated throughout the life cycle project, from planning to
implementation, monitoring and evaluation. Consultation goals can be specified for each
stage of this continued process. They figure on the following table.
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Phases Objectives Before the project notice
Establish and maintain credibility Avoid the propagation of rumours and false information Demonstrate respect for local communities by informing them first Recognize the potential actors
Preliminary screening
Recognize the importance given by the public to the project and its environmental impacts
Scoping Identify the principal environmental issues Establish project alternatives Establish links with actors
Assessing impacts
Do as much as possible to favour acceptance of the project Collect and update information Lay the bases for consensus Involve the public in impact assessment and identification of mitigation measures Reconcile interests in the development of the environmental management plan, including monitoring and follow-up programs
Review Ensure a quality assessment Define present and future conflicting values Assess social acceptability Search for consensus Identify and find responses to unresolved questions Bring out mitigation measures and acceptable forms of compensations, including new ones
Decision Reach specific agreements to facilitate integration of the project Reaffirm one’s position Obtain second options of specific issues
Monitoring and follow-up
Inform the public of success in applying mitigation measures and in implementing the measures imposed with the decision Assure the public that the Project Proponent respects the environment Involve the public in monitoring and follow-up
Source: André, Pierre. , Delisle, Claude E., Revéret, Jean-Pierre, 2004, p.223.
2. Designing and implementation of a public consultation plan
Designing and implementation of a public consultation plan for a power project raises some
issues. They are exposed below.
Definition of specific goals: Though the broad goals of consultation at each stage of the
life cycle have been defined in the above table, specific goals must be assigned in relation
with the project examined. In addition, they may include building capacity of local institutions
and national NGOs.
Commitment to use the outputs of the consultations: consultation of the affected people
and different stakeholders is a time consuming process for these parties. Their involvement
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and participation level will depend on the commitment of the project proponent to use the
results of the consultation for the project design. Therefore, the proponent must be
convinced of the usefulness of consultations and he must give the process the needed
credibility. The commitment of the proponent may be particularly important for power
projects. Considering that these big projects are decided at a national or regional level, local
populations might have the feeling that major decisions and the project design have already
been finalized by the project proponents.
Identification of responsibilities: in the planning process of a project, the responsibilities
for undertaking the consultations and producing the outputs must be clearly defined at each
stage of the project. When national regulations require the implication of specific institutions
or agencies in the public consultations, these institutions must be identified and involved in
the whole process. In the case of transboundary projects such as transmission lines, more
than one agency may be involved in the public consultation plan. Therefore, coordination of
these agencies and definition of their own responsibilities must be clearly stated to avoid
overlapping.
Provision for adequate resources: Consulting the stakeholders of a project involves
specialized skills, financial resources and time. The cost of the consultation activities must
be fully evaluated and incorporated in the budget of the project planning and implementation.
Fees for consultation activities should take into account a whole set of factors. For instance,
rural area where affected people are dispersed such as in a transmission line project, tend to
make consultations more difficult and costly. Prior information of the population before
consultation sessions will also be more costly if affected people are illiterate. Illiteracy
prevents from the use of printed documents. Therefore, it entails information methods which
are more expensive than the distribution of a report. Inaccessibility of the area and poor
communications will add to the costs. Cultural factors in affected communities notably
restrictions on women involvement during public consultations, might involve holding distinct
sessions for men and women. These will also add to the costs. If the population’s past
experience with different projects proponent has been fairly negative or if affected
communities are likely to be worry, as it might be the case with a big dam project or a
thermal power project, the consultation strategy will need to include much more information
sessions and trust-building mechanisms. Such context will require the intervention of very
skilled professionals, necessitate additional activities and involve extra costs.
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The NBI power projects will require trans-boundary EIA and consultation process. A trans-
boundary public participation involves supplementary time, resources and costs since it
engages several responsible authorities, different sets of stakeholders, institutional and
cultural differences, language barriers, etc. In addition, the country of origin of impacts and
the country of impacts being different, the issues for which the consultation is needed will
vary from one country to another. Therefore, the strategy will require country-specific
methods and tools.
Planning the consultation process
The planning of the consultation process will consider the different issues highlighted above
and will conduct the following tasks:
• Identification of all stakeholders groups;
• Identification of the issues for which the consultation is needed;
• Identification of the historical and social environment and, the site-specific sensitivities and decision making process of the communities to be consulted;
• Selection of consultation techniques and tools;
• Definition of a communication strategy;
• Identification of the professionals required;
• Elaboration of a schedule;
• Preparation of a budget.
Throughout the EA process and reports, the consultation sessions should be well
documented. Reports shall include: a description of the methodology used, the name of the
attendees, a presentation of information gathered, topics of discussion and outcomes,
recommendations on how the project might address the issues raised during consultation
sessions including the mitigation measures suggested by the attendees, recommendations
for on going consultations during the monitoring of the project.
The budget for consultation exercises during the EA process varies according to the type,
the scope and the extent of the project. The World Bank estimates that this budget
represents approximately 0.0025% of total project costs (World Bank, Environmental
Assessment source book Update, Public consultation in the EA process: A strategic
approach, May 1999, p.11).
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3. Techniques and tools for consultation
Consultation of the populations during the EA process involves: 1) conveying information to
the population; 2) listening to the population’s opinions; 3) involving the population in
decision making.
Conveying information may be done thru different techniques and tools: printed material
(reports, brochures, etc.), displays and exhibits, newspapers, electronic media (television,
radio and video), advertising, formal information sessions, informal information sessions
such as field visits. All of them have advantages and disadvantages; they should be chosen
after analysis of the social context of the project.
Listening to the population’s opinions can be conducted thru surveys, focus groups,
interviews with community advocates, public seminars, and large public meetings. Most of
the time, a combination of these techniques is used. For instance, formal surveys using
questionnaires will give statistically representative results to access the views of the majority
on such issues as preferences for relocation sites in case of a resettlement entailed by the
construction of a power plant. Nonetheless, focus groups with women might be a proper
technique to take into account demand-side considerations while assessing a power project
impact.
Involving the population in decision making especially in high profile projects such as power
projects is a complex process. The principle techniques used are:
• Setting up tasks committees as advisory groups;
• Problem-solving techniques such as brainstorming with selected participants;
• Consensus-building techniques such as negotiations and mediation;
• For conflicting parties, arbitration based on employing an impartial mediator agreed upon by the parties.
Depending on the project, the stage of planning or implementation, the nature of
stakeholders, the level of the involvement of the population in the decision making and the
approach, these techniques and tools will be selected and adapted.
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APPENDIX 4
Content of an environmental screening form
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CONTENT OF AN ENVIRONMENTAL SCREENING FORM 20
1. General information
a) Project proponent.
b) Name and address of the contact technical officer .
c) Name of the power project.
d) Location of the project.
2. Description and justification of the project
a) Description of the project:
Nature and location of the power project area; area that may be beneficially or
adversaly affected by the project; characteristics of the project design; activities to be
undertaken during the construction and operation of the project; materials needed for
construction and inputs required for operation; manpower.
b) Planning of the project:
Relevance of the project in the Nile Basin countries power plan.
Environmental planning activities of the project in order to minimise its environmental
and social impacts (ex. involuntary resettlement) and optimise the site location.
c) Justification of the project:
Current situation of the power sector, problems or needs to address and constraints
of implementing the project.
d) Attached documents (feasibility study, detailed design study, etc.)
3. Environmental and social issues of the project
a) Brief description of the environmental and social components in the project area:
ambient air, water, soils, vegetation, wildlife, population, socio-economic and sanitary
conditions, economic activities, land use, cultural aspects.
b) Discussion on the following issues and the project:
- Proximity to critical natural habitat (primary forest, wetland, etc.) or protected
area.
- Resettlement, expropriation of agricultural or forest lands, restricted access to
this land and to revenues from their exploitation.
- Presence of indigenous communities.
- Proximity to cultural heritage sites, such as cemetery, archaeological and/or
historical site, etc. 20 Form to be filled in by the Regional Environmental Assessment Working Group (REAWG)
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- Deforestation.
- Other anticipated important impacts: significant adverse transboundary impacts;
consumption of water and other natural resources; hazardous waste generated
by the project, impacts on vulnerable groups, economic and social benefits to the
local community, the nation and neighbouring countries.
c) Actions proposed to minimize the environmental and social impacts of the project.
4. Other relevant information
Indicate any other relevant information related to the project, such as public consultations
and other studies already conducted, etc.
5. Project environmental category and justification (SN)
a) Project category: A, B or no funding.
b) Justification.
6. World Bank safeguard policies triggered by the project
On the basis of the environmental and social issues of the project, indicate the safeguard
policies of the World Bank that will be triggered by the power project:
- OP 4.01: Environmental Assessment
- OP 4.04: Natural Habitats
- OP 4.10: Indigenous Peoples
- OP 4.11: Cultural Property
- OP 4.12: Involuntary Resettlement
- OP 4.37: Safety of Dams
- OP 7.50: International Waterways
7. Documents required to be prepared
According to the project environmental category and policies triggered by the project, identify
the documents required to be prepared for the project:
- Environmental impact assessment (EIA)
- Environmental and social management plan (ESMP)
- Environmental audit
- Risks assessment
- Resettlement action plan (RAP)
- Dam safety measures
- Other relevant document (indigenous community plan, cultural property plan etc.)
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APPENDIX 5
Typical TOR for the EIA of category A power projects
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TYPICAL TOR FOR THE EIA OF CATEGORY A POWER PROJECTS
This appendix describes the typical contents of Terms of Reference for the environmental
impact assessment of a power project screened as Category A project according to this EA
framework.
a) Introduction
This first section of the TOR indicates the purpose of the TOR, identifies the project
proponent, the contact technical officer and the consultant mandated to prepare the TOR
and the EIA, briefly describes the type of power project (hydropower, thermal, geothermal
and/or transmission line) to be assessed and explains the arrangements made at this stage
to undertake the EIA.
b) Context
This section explains the institutional, geographical, environmental, social and economic
context in which the power project is to take place. Moreover, it provides sufficient
information on the objectives and components of the project, as well as on the study area, so
that any person interested in the project can understand the situation and constraints
surrounding the project and the EIA to be carried out. Also, it shall mention any source of
information (documents such as Country Environmental Profiles and Poverty Reduction
Strategy Papers) that could be useful for the completion of the EIA.
c) Requirements
This section indicates which policies and guidelines must be followed in carrying out the EIA.
Among others, those can include:
• Environmental and social policies of the project country of origin;
• Environmental and social policies of the country impacted in case of significant adverse transboundary impacts;
• Funding agency’s applicable environmental and social policies;
• Relevant international environmental/social agreements ratified by the project country of origin.
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d) Objectives and Scope of Work
This section defines the objectives of the EIA and summarises the scope of work to carry
out, by indicating the key tasks to undertake during the study. The scope and level of work
involve in the preparation of the EIA shall be proportional to the project's potential impacts.
For instance, an EIA for a project that would likely have major adverse impacts on social
components but limited impacts on the environment should focus mainly on the affected
social components.
Major tasks that shall be highlighted in this section because of their importance in the
preparation of an EIA include:
• Describing and justifying the proposed project by providing a synthetic description of the national power sector and project relevant components and presenting appropriate maps plans and figures.
• Identifying the policy, legal and administrative framework relevant to the project.
• Defining and justifying the project study area for the assessment of environmental and social impacts; in case of significant adverse transboundary impacts, include the concerned impacted territory in the project study area.
• Describing and analysing the physical, biological and human environment conditions in the study area before project implementation. This analysis shall include the relevant environmental and social components, especially those of important value for the society and local populations.
• Presenting and analysing other power alternatives to the proposed project, including the “without project” option, by identifying and comparing the alternatives on the basis of technical, economic, environmental and social criteria.
• For the selected alternative, identifying and assessing potential importance of beneficial and adverse environmental and social, direct and indirect, short and long-term, temporary and permanent impacts, on the basis of a rigorous scientific method.
• Defining appropriate measures to prevent, minimise, mitigate, or compensate for adverse impacts or to enhance the project environmental and social benefits, including responsibilities and associated costs.
• Addressing potential cumulative effects taking into account other initiatives planned in the study area.
• Defining appropriate environmental and social monitoring measures, including indicators, institutional responsibilities and associated costs.
• As appropriate, preparing an environmental emergency plan including an analysis of the risk of accident, the identification of appropriate safety measures and the development of a preliminary contingency plan.
• Preparing a resettlement plan, if necessary.
• Identifying institutional responsibilities and needs for capacity building if necessary to implement the recommendations of the environmental and social assessment.
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• Carrying out consultations with primary and secondary stakeholders in order to obtain their views on and preoccupations about the project.
• Preparing the EIA Report according to the generic contents presented in this EIA framework.
• Preparing an Environmental and Social Management Plan (ESMP) according to the generic contents presented in this EIA framework.
e) Schedule
To be defined by the project proponent and agreed by the NEA(s).
f) Team of Experts and Level of Effort
This section identifies the experts who will be involved in the EIA and indicates, if possible,
the level of effort estimated for each expert. The consultant’s team shall include competent
experts in the relevant environmental and social fields of expertise, such as water resources
and health specialists when water management and health constitute key issues of the
project.
g) Reporting
The EIA Report shall be presented in a clear and concise manner and focus on relevant and
significant environmental and social issues that assist in understanding the project and its
impacts. The scope and level of details of the Report shall be proportional to the project's
potential impacts.
The EIA Report shall describe the methodology to carry out the studies. In particular, the
models, methods and criteria used in the studies shall be presented and explained. The
Report shall also include maps and plans at the appropriate scale and list all consulted
documents.
AP
PE
ND
IX 6
APPENDIX 6
Involuntary resettlement
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INVOLUNTARY RESETTLEMENT
This appendix comprises 3 parts:
1) Overall objectives and guidelines to prepare a resettlement instrument
2) Terms of reference for a full Resettlement Action Plan
3) Terms of reference for an abbreviated resettlement plan
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PART I
OBJECTIVES AND GUIDELINES FOR A RESETTLEMENT PLAN
In undertaking the preparation of a resettlement instrument, the project proponents must
achieve the following overall objectives:
A. When possible, avoid resettlements. At least, minimize the resettlements by exploring alternative project designs.
B. When it is not possible to avoid resettlements, enhance or at least restore the livelihoods and living standards of displaced or affected persons.
C. Consult displaced or affected people and give them opportunities to participate in the planning and implementation of the resettlement plan.
To comply with these objectives, the resettlement instruments will respect the following
requirements:
1. The resettlement instruments will include measures to guarantee that the displaced or affected persons will:
a. be informed on their rights and consulted on resettlement alternatives; b. be compensated before their displacement at full replacement cost for losses
attributable to the project. The replacement cost shall not take into account the depreciation of the structures or assets and, it will covert all transaction costs;
c. receive assistance in addition to compensations to make sure that their livelihoods and living standards are improved or at least restored. Assistance will vary: land preparation, training, etc.
2. If the resettlement involves physical relocation of the affected people, the
resettlement instrument will include measures to: a. Assist the people during relocation; b. Provide housing or housing site, business premises or agricultural sites of
locational advantage or productive potential at least equivalent of those of the pre-displacement sites.
3. When physical relocation is required, develop a strategy based on land replacement
rather than cash compensation especially for the persons whose livelihoods are land-bases.
4. When physical relocation is required, compensate for the loss of access to
community services or land holdings (grazing, gardening and fishing areas, substances for energy, etc) and public infrastructures or services (schools, health centers, markets, places of worship, water facilities, etc.) in order to restore or improve the accessibility and quality of the services.
5. When physical relocation is required, preserve the pre-existing communities pattern
of social and cultural organization by involving the displaced and host communities in the relocation decisions.
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6. When necessary after displacement, assist during a transition period the affected people to make sure they will restore their livelihood and living standards.
7. When planning the resettlement instrument, ensure that displaced and host
communities are consulted and given opportunities to participate at each stage or the resettlement’s preparation, implementation and monitoring.
8. When developing a resettlement instrument, always pay a particular attention to the
specific needs of vulnerable groups among the affected persons. These groups must to be identified first. They can often be found amongst the poorest inhabitants, the landless peasants, women and children, displaced persons or refugees, households suffering from HIV/AIDS and, the indigenous peoples.
9. When the impacts of a project require the preparation of a full resettlement action
plan (RAP) or an abbreviated resettlement plan, carry out a census in the project area where land acquisition is intended. The census will identify the affected persons who will be eligible for compensation including those who have no recognizable legal right or claim to the land they are occupying.
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PART 2
TYPICAL TERMS OF REFERENCE FOR A FULL RESETTLEMENT ACTION PLAN
I. Background The Nile Basin Initiative (NBI), through the Regional Power Trade Project (RPTP), has
produced in 2008 a comprehensive standard framework for the integrated environmental
and social impact assessment of regional power projects applicable in all NBI countries.
Therefore, the impacts of regional power investment projects initiated in the Nile Basin
countries need to be assessed using this framework in order to meet the national and
international standards requirements in terms of environmental and socio-economic
considerations.
Following the environmental screening of the project under study, it has been established
that it will require land acquisition or restriction of access to resources. A Resettlement
Action Plan (RAP) is required since this project entails involuntary resettlement for 200 or
more severely affected persons.
II. Objective
The general objective of this consultancy is to elaborate a Resettlement Action Plan for the
project under study. The RAP shall comply with NBI’s EIA framework for regional power
investment projects. The RAP shall also be developed as part of the EIA of the project.
Accordingly, the consultant shall produce a document whose content will be harmonized with
the EIA of the project.
III. Scope of work
The consultant shall prepare a RAP document covering the following subjects and among
other things, perform the following tasks.
1. Description of the project and justification of the study The consultant will give a general description of the project and its context. He will describe
the project zone and provide a map or a plan of its location. He will present the size, position
and limits of the potential expropriation area. With the relevant ministry, he will set out the
cadastral situation of the area.
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2. Identification of the project potential impacts The consultant will identify the project components or activities that may result in the
displacement of population. The term “displaced population” refers to persons who will be
affected in any of the following ways:
• lost of their house or shelter; • lost of their productive assets; • lost of their income sources or means of livelihood.
For the impacts that can be located, the location of the impacts will be identified. When
possible, the location will be positioned on a map or a plan.
The alternatives considered (and steps taken if any) to avoid or minimize the displacement
of population will be presented and discussed.
3. Objectives of the resettlement action plan The consultant will present the NBI requirements regarding involuntary resettlement
instruments as figuring in its EIA framework for regional power investment projects.
According to these requirements and in the light of the project potential impacts, the
objectives of the resettlement action plan will be specified.
4. Socioeconomic studies The consultant will carry out socio-economic studies including a census in the early stages
of his assignment. To comply with the NBI requirements regarding resettlement plans, he will
consult the potentially affected communities during these studies.
The census shall provide details of:
• Spatial distribution of the occupants; • Nominative list of the current occupants of the affected area; • Standard characteristics of the listed households: size of the household, gender, age
and occupation of each member, gender of head of household, livelihoods (including if relevant and possible, production levels and income derived);
• Inventory of the affected houses or shelters (distinguishing owners and tenants); • Inventory of the affected assets (lands, fruit-trees, businesses, etc); • Identification of the different category of affected people according to their different
type of rights on the land they are occupying; • Inventory of community or public services, infrastructures and collective holdings
(grazing, gardening and fishing areas, schools, health centers, markets, places of
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worship, wells, graveyards, etc.): the ones situated in the area and the ones out of the area for which the access will be lost if the people are displaced.
The other studies shall provide baseline information on:
• Characteristics of the affected communities: demography, social and households organization, housing and living standards, production systems (agriculture, stockbreeding, fishing, handcraft, trading and business, forest, natural and common property resources used for livelihood and sustenance, etc.),health status, education, cultural characteristics, religion or beliefs, position, situation and activities of women, formal and informal institutions present in the area or involved in the communities (community organizations, NGOs, women associations, etc).
• Vulnerable groups in the affected communities: identification of the groups, estimation of the number of persons, assessment of their specific needs, valuation of the provision that shall be needed to meet those specific needs if the persons are displaced.
• Patterns of social interaction in the affected communities: social networks and social support systems, how they will be potentially affected, what measures need to be taken to maintain the existing interactions, etc.
• Land tenure and transfer systems including the customary systems and any issues raised by different tenure systems in the project area
5. Legal and institutional framework The consultant will describe and analyse the legal framework for the resettlement and
compensation of persons to be displaced:
• Laws (including customary law and traditional usage) governing law tenure, valuation of assets and losses, compensation and natural resources usage rights.
• Applicable national laws and administrative procedures in case of expropriation and displacement of population.
• Judicial process and the timeframe for the procedures. • Scope, nature and rates of compensations in case of expropriation. • Methodology of valuation of the lost assets, mode of payment, dispute resolution
mechanisms. • Agencies responsible for expropriation and implementing resettlement (including an
assessment of their institutional capacity to conduct those activities). • Gaps, if any, between national laws and NBI requirements, and the mechanisms to
bridge those gaps.
6. Eligibility criteria and cut-off date The consultant will give a definition of the displaced persons in the context of the project. He
will specify the criteria by which displaced persons will be deemed eligible for compensation
or any other assistance. He will state the cut-off date after which persons who encroach the
area won’t be entitled to any form of compensation or assistance.
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7. Valuation of and compensation for losses The consultant will plan out the methodology for evaluation all the losses and determine their
replacement cost. He will describe the compensations and other resettlement measures that
will assist each category of eligible persons. The measures will be compatible with the
cultural preferences of the affected persons which will have been identified by consulting
them. The consultant will describe the types and levels of compensation for each type of
losses.
He will prepare a resettlement entitlement matrix which will give a clear view of each
different categories of:
• Project impacts; • Affected populations/entities; • Compensation measures; • Complementary measures.
Complementary measures include those aimed to the vulnerable groups. Where a project is
likely to have adverse impacts on households or individual belonging to vulnerable groups,
the RAP should specify measures additional to the compensation measures.
An other matrix will give detailed information on the rates of compensation for each type of
losses.
The matrixes will be used by the team in charge of the implementation of the resettlement
plan. They should be user friendly in order to give clear and full answers to the following
questions: Which type of compensation for a given loss? What rate for that specific
compensation?
Based on the results of the socioeconomic studies particularly those of the census, the
consultant will proceed to the evaluation of all the expected losses - either total or partial,
permanent or temporary- and of their replacement cost.
8. Consultation and community participation During RAP preparation, the consultant shall hold consultations with potentially affected
populations, local authorities (including traditional authorities) and when possible, with host
communities. The consultation will examine among other things:
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• Conditions under which the resettlement will be socially acceptable; • Measures required to guarantee that the affected people will enhance or at least
restore their livelihoods and living standards; • Preferences regarding forms of compensation and resettlement assistance; • Measures need to be taken to maintain the existing social networks and social
support systems; • Definition of criteria for the selection of relocation sites and when possible, choice of
specific sites; • Measures to mitigate impacts of resettlement on host communities and arrangements
for addressing conflicts that may occur between resettlers and host communities; • Institutional and organizational arrangements by which displaced people can
communicate their concerns to project authorities and participate throughout planning, implementation and monitoring of the RAP.
The view expressed and the results of the consultations shall be summarized and annexed
to the PAR. The view expressed shall be taken into account in the design of the RAP.
The consultant will also describe the strategy for consultation and community participation of
affected people and host communities throughout the preparation and implementation of the
resettlement activities.
9. Grievance procedures The consultant will propose grievance mechanisms and procedures that should be used for
third-party settlement of disputes that may arise from resettlement. These procedures should
be affordable and accessible for the affected people. They should also be based on existing
judicial recourses and traditional mechanisms for dispute settlement.
10. Organizational responsibilities The consultant will propose an organizational framework for implementing the RAP. The
proposition should be based on the existing institutional framework if any exist. The
proposition will integrate the institutional and organizational arrangements for community
participation. Any measure (including technical assistance) required to strengthen the
capacity of implementation agencies’ and community institutions should be identified.
Provisions for those measures should be valuated. Provisions for the transfer of
responsibilities to local authorities or displaced and host communities themselves should
also be taken into account when appropriate. These provisions should be included in the
cost estimates for implementation of the RAP.
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11. Implementation activities The consultant will describe the different steps and activities that shall be conducted to carry
out the RAP from preparation through implementation. Without restricting to compensation
process, it will notably detail this process explaining for instance the following measures:
• If necessary, updating of the census; • Disclosure and validation of the list of persons deemed eligible for compensation; • Disclosure of the valuation of individual and community losses and compensations; • Negotiation for each individual record with the affected person or household; • Negotiation for community compensations; • Reconstruction of assets and/or payment of cash compensation; • Physical displacement and resettlement; • Assistance to displaced persons notably to vulnerable groups.
12. Relocation site selection Based on the consultation of population and technical considerations such as locational
advantage or productive potential, the consultant will review the suitability of different
relocation sites. He will specify the site selection criteria. He will identify preliminary
relocation options. If applicable, he will provide socioeconomic datas regarding host
population. He will list the activities that shall be undertaken for the selection of relocation
sites during the early stages of implementation of the RAP.
13. Schedule and budget The consultant will propose a schedule covering all defined activities from preparation
through implementation. The schedule will indicate how the resettlement activities are linked
to the implementation of the project and tied to overall sub-project timetable.
He will prepare detailed cost estimates for preparation and implementation of the PAR
including monitoring activities and administrative overheads. The budget will include a
detailed estimation of aggregate costs for each type of asset losses and compensation. If
for instance the area covers many villages, the costs will be broken up by village.
14. Monitoring and evaluation The consultant will describe the mechanisms and arrangements for monitoring and
evaluating of the resettlement activities. Among other things for the monitoring, he will
define:
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• Method of monitoring and responsibilities; • Performance monitoring indicators to measure outputs and outcomes of activities; • For each indicator, data to be collected, instrument, periodicity and responsible unit.
He will also give indications on the method and indicators for an evaluation of the impact of
resettlement after all resettlement and related development activities have been achieved.
IV. Delivrables
Unless otherwise specified, the documents shall be written in English and shall include:
1. At the early stage of the assignment, a paper on the methodology for socioeconomic studies notably for the census: the questionnaire, the census tactic plan to cover the area, the public information strategy, the team, etc. These instruments shall be discussed and approved before the beginning of the census.
2. A preliminary RAP document complying with NBI’s EIA framework for regional power investment projects. Among others, the document shall contain all the points covered by the above scope of work and the following appendices: • Detailed results of the census including the methodology, the nominative list of
the current occupants of the affected area and their individual losses (per household or when relevant, per person).
• Report on the consultation summarizing the expressed views and including a nominative list of participants.
3. After production of a preliminary RAP, the consultant will hold consultation sessions with affected people to present the content of the RAP and its guiding principles. He will get their feedback and take into account the expressed concerns in the final RAP. A report of these consultation sessions will be annexed to the final document.
4. A final RAP document integrating comments of the NBI on the preliminary document and concerns of the population as expressed during consultation.
V. Reporting requirements
To be defined by the project manager.
VI. Expertise
The consultant shall have solid background and knowledge of international standards
requirements for environmental impact assessments. In particular, the consultant shall:
• Demonstrate practical experience exceeding 10 (ten) years in conducting social assessments in developing countries, preferably in African and in the Nile Basin countries.
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• Have solid experience in developing resettlement plans complying with the World Bank 4.12 safeguard policy concerning involuntary resettlement preferably in Africa and in the Nile Basin countries.
• Have solid experience in conducting socioeconomic studies in general and census in particular preferably in Africa and in the Nile Basin countries.
• Demonstrate experience in carrying out EIA for power projects. • Demonstrate experience in dealing with environmental protection, gender, vulnerable
groups and poverty reduction issues in development projects.
VII. Timing
To be defined by the project manager.
VIII. Supervision
To be defined by the project manager.
IX. Facilities provided by the client
To be defined by the project manager.
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PART 3
TYPICAL TERMS OF REFERENCE FOR AN ABBREVIATED RESETTLEMENT PLAN
I. Background The Nile Basin Initiative (NBI), through the Regional Power Trade Project (RPTP), has
produced in 2008 a comprehensive standard framework for the integrated environmental
and social impact assessment of regional power projects applicable in all NBI countries.
Therefore, the impacts of regional power investment projects initiated in the Nile Basin
countries need to be assessed using this framework in order to meet the national and
international standards requirements in terms of environmental and socio-economic
considerations.
Following the environmental screening of the project, it has been established that the project
will require land acquisition or restriction of access to resources. The scoping of the project
has highlighted that there is no need for a full Resettlement Action Plan (RAP) since this
project does not entail involuntary resettlement for 200 or more severely affected persons.
An abbreviated resettlement plan (ARP) will be sufficient.
II. Objective
The general objective of this consultancy is to elaborate an abbreviated resettlement plan for
the project under study. The plan shall comply with NBI’s EIA framework for regional power
investment projects. The plan shall also be developed as part of the EIA of the project.
Accordingly, the consultant shall produce a document whose content will be harmonized with
the EIA of the project.
III. Scope of work
The consultant shall prepare an abbreviated resettlement plan document covering the
following subjects and among other things, perform the following tasks.
1. Description of the project and justification of the study
The consultant will give a general description of the project and its context. He will describe
the project zone and provide a map or a plan of its location. He will present the size, position
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and limits of the potential expropriation area. With the relevant ministry, he will set out the
cadastral situation of the area.
2. Identification of the project potential impacts
The consultant will identify the project components or activities that may result in the
displacement of population. The term “displaced population” refers to persons who will be
affected in any of the following ways:
• lost of their house or shelter; • lost of their productive assets; • lost of their income sources or means of livelihood.
For the impacts that can be located, the location of the impacts will be identified. When
possible, the location will be positioned on a map or a plan.
The alternatives considered (and steps taken if any) to avoid or minimize the displacement
of population will be presented and discussed.
3. Objectives of the abbreviated resettlement plan
The consultant will present the NBI requirements regarding involuntary resettlement
instruments as figuring in its EIA framework for regional power investment projects.
According to these requirements and in the light of the project potential impacts, the
objectives of the abbreviated resettlement plan will be specified.
4. Census
The consultant will carry out a census in the early stages of his assignment. To comply with
the NBI requirements regarding resettlement plans, he will consult the potentially affected
communities during the census.
The census shall provide details of:
• Spatial distribution of the occupants; • Nominative list of the current occupants of the affected area; • Standard characteristics of the listed households: size of the household, gender, age
and occupation of each member, gender of head of household, livelihoods (including if relevant and possible, production levels and income derived);
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• Inventory of the affected houses or shelters (distinguishing owners and tenants); • Inventory of the affected assets (lands, fruit-trees, businesses, etc); • Identification of the different category of affected people according to their different
type of rights on the land they are occupying; • Inventory of community or public services, infrastructures and collective holdings
(grazing, gardening and fishing areas, schools, health centers, markets, places of worship, wells, graveyards, etc.): the ones situated in the area and the ones out of the area for which the access will be lost if the people are displaced.
5. Valuation of and compensation for losses
The consultant will plan out the methodology for evaluation all the losses and determine their
replacement cost. He will describe the compensations and other resettlement measures that
will assist each category of eligible persons. The measures will be compatible with the
cultural preferences of the affected persons which will have been identified by consulting
them. The consultant will describe the types and levels of compensation for each type of
losses.
He will prepare a resettlement entitlement matrix which will give a clear view of each
different categories of:
• Project impacts; • Affected populations/entities; • Compensation measures; • Complementary measures.
Complementary measures include those aimed to the vulnerable groups. Where a project is
likely to have adverse impacts on households or individual belonging to vulnerable groups,
the abbreviated resettlement plan should specify measures additional to the compensation
measures.
An other matrix will give detailed information on the rates of compensation for each type of
losses.
The matrixes will be used by the team in charge of the implementation of the resettlement
plan. They should be user friendly in order to give clear and full answers to the following
questions: Which type of compensation for a given loss? What rate for that specific
compensation?
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Based on the results of the census, the consultant will proceed to the evaluation of all the
expected losses - either total or partial, permanent or temporary- and of their replacement
cost.
6. Consultation and community participation
During ARP preparation, the consultant shall hold consultations with potentially affected
populations. The consultation will examine among other things:
• Acceptable alternatives; • Conditions under which the resettlement will be socially adequate; • Measures required to guarantee that the affected people will enhance or at least
restore their livelihoods and living standards; • Preferences regarding forms of compensation and resettlement assistance; • Measures to mitigate impacts of resettlement and arrangements for addressing
conflicts that may occur between resettlers and host communities; • Institutional and organizational arrangements by which displaced people can
communicate their concerns to project authorities and participate throughout planning, implementation and monitoring of the ARP.
The view expressed and the results of the consultations shall be summarized and annexed
to the resettlement plan. The view expressed shall be taken into account in the design of the
plan.
The consultant will also describe the strategy for consultation and community participation of
affected people throughout the preparation and implementation of the resettlement activities.
7. Institutional responsibilities for implementation of the plan and grievance procedures
The consultant will describe the legal and institutional framework for the resettlement and
compensation of persons to be displaced:
• Laws (including customary law and traditional usage) governing law tenure, valuation of assets and losses, compensation and natural resources usage rights;
• Applicable national laws and administrative procedures in case of expropriation and displacement of population;
• Judicial process and the timeframe for the procedures; • Range of the power of the national eminent domain; • Scope, nature and rates of compensations in case of expropriation; • Methodology of valuation of the lost assets, mode of payment, dispute resolution
mechanisms; • Agencies responsible for expropriation and implementing resettlement (including an
assessment of their institutional capacity to conduct those activities);
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• Gaps, if any, between national laws and NBI requirements, and the mechanisms to bridge those gaps.
The consultant will propose an organizational framework for implementing the abbreviated
resettlement plan. The proposition should be based on the existing institutional framework if
any exist. The proposition will integrate the institutional and organizational arrangements for
community participation.
The consultant will propose grievance mechanisms and procedures that should be used for
third-party settlement of disputes that may arise from resettlement. These procedures should
be affordable and accessible for the affected people. They should also be based on existing
judicial recourses and traditional mechanisms for dispute settlement.
8. Implementation and monitoring activities
The consultant will describe the different steps and activities that shall be conducted to carry
out the abbreviated resettlement plan from preparation through implementation. Without
restricting to compensation process, it will notably detail this process explaining for instance
the following measures:
• If necessary, updating of the census; • Disclosure and validation of the list of persons deemed eligible for compensation; • Disclosure of the valuation of individual and community losses and compensations; • Negotiation for each individual record with the affected person or household; • Negotiation for community compensations; • Reconstruction of assets and/or payment of cash compensation; • Physical displacement and resettlement; • Assistance to displaced persons notably to vulnerable groups.
The consultant will describe the mechanisms and arrangements for monitoring the
resettlement activities. Among other things, he will define:
• Method of monitoring and responsibilities; • Performance monitoring indicators to measure outputs and outcomes of activities; • For each indicator, data to be collected, instrument, periodicity and responsible unit.
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9. Schedule and budget
The consultant will propose a schedule covering all defined activities from preparation
through implementation. The schedule will indicate how the resettlement activities are linked
to the implementation of the project and tied to overall sub-project timetable.
He will prepare detailed cost estimates for preparation and implementation of the
abbreviated resettlement plan including monitoring activities and administrative overheads.
The budget will include a detailed estimation of aggregate costs for each type of asset
losses and compensation.
IV. Delivrables
Unless otherwise specified, the documents shall be written in English and shall include:
1. At the early stage of the assignment, a paper on the methodology for the census: the questionnaire, the census tactic plan to cover the area, the public information strategy, etc. These instruments shall be discussed and approved before the beginning of the census.
2. A preliminary abbreviated resettlement plan complying with NBI’s EIA framework for regional power investment projects. Among others, the document shall contain all the points covered by the above scope of work and the following appendices: • Detailed results of the census including the methodology, the nominative list of
the current occupants of the affected area and their individual losses (per household or when relevant, per person).
• Report on the consultation summarizing the expressed views and including a nominative list of participants.
3. After production of a preliminary resettlement plan, the consultant will hold a consultation session with affected people to present the content of the plan and its guiding principles. He will get their feedback and take into account the expressed concerns in the final plan. A report of this consultation session will be annexed to the final document.
4. A final abbreviated resettlement paln document integrating comments of the NBI on the preliminary document and concerns of the population as expressed during consultation.
V. Reporting requirements
To be defined by the project manager.
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VI. Expertise
The consultant shall have solid background and knowledge of international standards
requirements for environmental impact assessments. In particular, the consultant shall:
• Demonstrate practical experience exceeding 5 (five) years in conducting social assessments in developing countries, preferably in African and in the Nile Basin countries.
• Have solid experience in developing resettlement plans complying with the World Bank 4.12 safeguard policy concerning involuntary resettlement preferably in Africa and in the Nile Basin countries.
• Have solid experience in conducting socioeconomic studies in particular preferably in Africa and in the Nile Basin countries.
• Demonstrate experience in carrying out EIA. • Demonstrate experience in dealing with environmental protection, gender, vulnerable
groups and poverty reduction issues in development projects.
VII. Timing
To be defined by the project manager.
VIII. Supervision
To be defined by the project manager.
IX. Facilities provided by the client
To be defined by the project manager.
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APPENDIX 7
Indigenous peoples
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INDIGENOUS PEOPLES
This appendix comprises 2 parts:
1. The content of an indigenous peoples social assessment
2. Terms of reference for an Indigenous Peoples Plan (IPP)
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PART 1
CONTENT OF AN INDIGENOUS PEOPLES SOCIAL ASSESSMENT
If based on the screening, it as been established that indigenous peoples are present in the
project area or have collective attachment to it, it is mandatory to undertake a social
assessment to:
• Evaluate the project’s potential impacts on the indigenous communities; • Examine project’s alternative to avoid significant adverse affects on these
communities especially their physical relocation; • If alternatives can not totally avoid involuntary restrictions or resettlement, engage in
free, prior and informed consultation with indigenous communities.
The indigenous peoples social assessment will cover the following items:
• The description of the legal and institutional framework applicable to indigenous peoples in the country.
• A baseline social study of the characteristics of the affected indigenous peoples: limits of the lands traditionally used or occupied, demographics, internal social organization, gender and intergenerational relations, economic activities notably the natural resources on which the peoples’ economy is based, civic rights and position in the society, groups with which they have relations, housing, health, education, cultural features, religious beliefs, etc.
• An analysis of the vulnerability of the affected peoples for instance their traditional ties to the land, their dependence to the land and natural resources from which they live, the absence of legal or recognized rights on the land they use, etc.
• The identification of key stakeholders for consultation and the definition with them of a culturally appropriate consultation process throughout project preparation and implementation. The consultation framework will be gender and intergeneration inclusive. Stakeholders will include the affected communities, the indigenous organizations if any exist, and NGO or social society organizations suggested by the indigenous communities.
• A detailed identification of the potential negative and positive effects of the project on the affected indigenous peoples based on their free, prior and informed consultation.
• With the affected peoples, an identification of: i) the alternatives to avoid negative impacts; ii) the mitigation measures to minimize or compensate in a culturally appropriate manner for the unavoidable adverse impacts and; iii) an identification of the measures to ensure that they will benefit from the project.
Consultation and participation of the indigenous communities will be central in the process of
conducting the social assessment. The affected communities shall receive all relevant
information about the project and its potential impacts in a culturally appropriate manner.
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Culturally appropriate methods shall be used to ensure their participation and consultation.
The process, the view expressed and the results of the consultations will be documented. It
will figure as an appendix to the social assessment report.
The social assessment report shall be disclosed to the affected indigenous peoples in an
appropriate form, manner and language.
The social assessment must provide the project proponent all information to determine
whether or not the affected indigenous communities give a broad support to the project.
Such a support will be a condition to proceed with the project. If such a support is confirmed
and the project planning is carried on, the project proponent will need to elaborate an
Indigenous Peoples Plan (IPP). The IPP will specify the measures required to ensure that
indigenous peoples receive social and economic benefits from the project. The proposed
measures will be detailed and their cost will be budgeted for. The IPP will be integrated in
the project design.
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PART 2
TERMS OF REFERENCE FOR AN INDIGENOUS PEOPLES PLAN (IPP)
I. Background The Nile Basin Initiative (NBI), through the Regional Power Trade Project (RPTP), has
produced in 2008 a comprehensive standard framework for the integrated environmental
and social impact assessment of regional power projects applicable in all NBI countries.
Therefore, the impacts of regional power investment projects initiated in the Nile Basin
countries need to be assessed using this framework in order to meet the national and
international standards requirements in terms of environmental and socio-economic
considerations.
Following the environmental scoping of the project under study, it has been established that
the project will require land acquisition or restriction of access to resources that will affect
indigenous peoples. Indigenous people live in the project area and/or have collective
attachment to geographically distinct habitats or ancestral territories and to the natural
resources in these habitats and territories in the project area.
A social assessment of the indigenous peoples’ communities, based on free, prior and
informed consultation with the affected communities has been conducted during project
preparation. It provided details on the potential adverse impacts of the project. Unfortunately,
avoidance of some of these impacts is not feasible. Provided that the indigenous
communities will receive their share of the benefits and that they will be compensated for the
adverse effects, they have given a broad community support to the project. Therefore, it has
been established the need for an Indigenous Peoples Plan (IPP) to ensure that indigenous
peoples receive social and economic benefits from the project.
II. Objective
The general objective of this consultancy is to elaborate an Indigenous Peoples Plan (IPP)
for the project under study. The IPP shall comply with NBI’s EIA framework for regional
power investment projects. The IPP shall also be developed as a part of the planning
process of the project notably as result of the social assessment and the consultation
already held with the indigenous peoples. Accordingly, the consultant shall produce a
document whose content will be integrated in the design of the project.
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III. Scope of work
The consultant shall prepare an IPP document covering the following subjects and among
other things, perform the following tasks.
1. Description of the project and justification of the study
The consultant will give a general description of the project and its context. He will describe
the project zone and provide a map or a plan of its location. He will present the size, position
and limits of the area where indigenous people live in or have collective attachment.
2. Identification of the project potential impacts
Based on the results of the social assessment, the consultant will recall the project
components or activities that may result in adverse impacts on the indigenous peoples’
communities.
For the impacts that can be located, the location of the impacts will be identified. When
possible, the location will be positioned on a map or a plan.
The alternatives considered (and steps taken if any) to avoid or minimize the adverse
impacts on the indigenous peoples will be presented.
3. Objectives of the Indigenous Peoples Plan (IPP)
The consultant will present the NBI requirements regarding indigenous peoples as figuring in
its EIA framework for regional power investment projects. According to these requirements
and in the light of the project potential impacts, the consultant will specify the objectives of
the IPP.
4. Scope of the IPP
Consultations have been conducted with the indigenous peoples during the social
assessment of the project. However, the consultant will conduct deepened consultations in
order to elaborate the IPP. Thru these consultations and researches he will conduct, the
consultant will set out the measures through which the project will make sure that:
• Indigenous affected peoples will receive culturally appropriate social and economic benefits from the project;
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• The identified adverse impacts on the indigenous peoples will be minimized and compensated.
The consultant will prepare the IPP in a flexible manner so adjustments can be made during
its implementation to ensure an iterative approach including the affected communities. In all
cases, the consultant will ensure that benefits and compensations to the indigenous
communities shall be given in culturally appropriate manners.
The IPP will be integrated into the project design documents. Therefore, the proposed
measures shall be detailed and their cost shall be budgeted for.
Elaborating the IPP, the consultant will pay special attention to two specific considerations: i)
lands and related natural resources; ii) commercial development of natural and cultural
resources.
i. Lands and related natural resources
The IPP will pay attention to: a) the patterns of long-time traditional land and resources
usage by the indigenous community including seasonal and cyclical usage rather than legal
rights on these sites; b) the need to protect such sites against prohibited intrusion especially
if traditional occupation or usage, or access to the natural resources of the sites, are
essential to the sustainability of the livelihood of the indigenous community; c) the cultural
and spiritual usage of the sites by the indigenous community since they may be important for
the sustainability of their culture; d) the traditional knowledge and practices of the indigenous
community for the management of the natural resources of the sites since their holistic view
of the environment supports long-term development sustainability.
In some cases, the project activities may involve the establishment of legal rights on lands
traditionally used by indigenous communities. In this case, the IPP shall include measures
for legal recognition of the indigenous communities’ long-term custody or usage rights on
these lands.
ii. Commercial development of natural and cultural resources
In some cases, the project may involve the commercial development of natural resources
located on lands traditionally owned, occupied or used by indigenous communities. In such
cases, the IPP must include measures to enable indigenous peoples to share fairly in the
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benefits to be made from the commercial development. At a minimum, they will receive
benefits equivalent to those to which they would be entitled if they had legal ownership titles
on the affected site.
In some other cases, the project may involve the commercial development of the indigenous
communities’ cultural resources and traditional knowledge. In such cases, the IPP must
reflect the free, prior and informed consultation of the concerned communities and their
agreement for such development. The IPP must include measures to ensure that the
concerned people receive an equitable share of the benefits derived from the commercial
development of their cultural resources and knowledge.
5. Consultation and participation of the indigenous communities
During IPP preparation, the consultant shall hold consultations with potentially affected
indigenous communities. He will use culturally appropriate consultation methods: use of
indigenous language during sessions, holding the sessions in an appropriate place and at an
appropriate moment to allow wide participation, allowing sufficient time for meetings and
discussions, etc.
After elaborating a draft report for the IPP, the consultant will present its content to the
indigenous communities in an appropriate form and manner. He will verify that the IPP, as
designed, receives a broad community support.
The view expressed and the results of the consultations will be summarized and annexed to
the IPP. The view expressed shall be taken into account in the design of the final IPP
document.
The consultant will also describe the strategy for consultation and community participation of
indigenous communities throughout the preparation and implementation of the IPP.
6. Elements to be included in the IPP
The consultant will elaborate an IPP document including the following items:
i. A summary of the social assessment conducted at a previous stage in the project planning.
ii. A summary of the results of the consultation sessions held during the social assessment.
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iii. A framework and guidelines to ensure appropriate consultation with the affected indigenous communities during the IPP implementation and more generally during the whole project implementation.
iv. An action plan of the identified measures which will ensure that indigenous affected peoples will receive culturally appropriate social and economic benefits from the project.
v. An action plan of the identified measures which will ensure that the identified adverse impacts on the indigenous peoples will be minimized and compensated.
vi. Appropriate grievance mechanisms and procedures that should be used for third-party settlement of indigenous peoples’ claims that may arise during project implementation. These procedures should be affordable and accessible for the indigenous people. They should also be based on existing judicial recourses and traditional mechanisms for dispute settlement.
vii. Organizational framework for implementing the IPP. The proposition should be based on the existing institutional framework if any exist. The proposition will integrate the institutional and organizational arrangements for indigenous communities’ participation. Any measure (including technical assistance) required strengthening the capacity of implementation agencies’ and community institutions should be identified. Provisions for those measures should be valuated and included in the cost estimates for implementation of the IPP.
viii. Mechanisms and arrangements for monitoring and evaluating of the IPP. Among other things for the monitoring, the consultant will define: • Method of monitoring and responsibilities. • Performance monitoring indicators to measure outputs and outcomes of
activities. • For each indicator, data to be collected, instrument, periodicity and
responsible unit. The consultant will also give indications on the method and indicators for an
evaluation of the impact of the IPP after all related activities have been
achieved and the project completed.
ix. Budget and time-frame for the implementation of the IPP. The consultant will propose a schedule covering all defined activities from preparation through implementation. The schedule will indicate how the IPP activities are linked to the implementation of the project and tied to overall sub-project timetable. He will prepare detailed cost estimates for preparation and implementation of the IPP including monitoring activities and administrative overheads.
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IV. Deliverables
Unless otherwise specified, the documents shall be written in English and shall include:
1. At the early stage of the assignment, a paper on the methodology for consultation and participation of the indigenous peoples affected by the project.
2. A preliminary IPP document complying with NBI’s EIA framework for regional power investment projects. Among others, the document shall contain all the points covered by the above scope of work and the following appendix: • Report on the consultation summarizing the expressed views and including a
nominative list of participants. 3. After production of a preliminary IPP, the consultant will hold consultation sessions
with affected communities to present the content of the IPP and its guiding principles. He will get their feedback and take into account the expressed concerns in the final IPP. A report of these consultation sessions will be annexed to the final document.
4. A final IPP document integrating comments of the NBI on the preliminary document and concerns of the population as expressed during consultation.
V. Reporting requirements
To be defined by the project manager.
VI. Expertise
The consultant shall have solid background and knowledge of international standards
requirements for environmental impact assessments and indigenous peoples issues. In
particular, the consultant shall:
• Demonstrate practical experience exceeding 10 (ten) years in conducting social assessments in developing countries, preferably in African and in the Nile Basin countries
• Have solid experience in conducting socioeconomic studies and consultation sessions preferably in Africa and in the Nile Basin countries.
• Have experience in developing indigenous peoples plan or planning frameworks complying with the World Bank 4.10 safeguard policy concerning indigenous peoples
• Demonstrate experience in carrying out EIA for power projects • Demonstrate experience in dealing with vulnerable groups, environmental protection,
gender, and poverty reduction issues in development projects
VII. Timing
To be defined by the project manager.
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VIII. Supervision
To be defined by the project manager.
IX. Facilities provided by the client
To be defined by the project manager.
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APPENDIX 8
Accident Risk Management
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ACCIDENT RISK MANAGEMENT
Power projects such as hydropower and thermal power projects can cause accidents with
major consequences that can become transboundary. Therefore, the environmental
assessment of Category A projects shall include an accident risk analysis. In all cases, the
study shall describe the safety measures and a preliminary emergency plan for the
construction and operation phases.
Before filling the reservoir of a hydropower project, the proponent shall submit the detailed
operation, maintenance and security plans, indicating the repercussions on the river basin
and safety of the population, upstream and downstream of the dam. This plan shall include
all safety measures and describe how the dam operator will protect the population and the
environment in case of major accident or unusual situation (climatic or other). The proponent
shall comply with the dam policy of the funding agency, such as World Bank OP 4.37: Safety
on Dams.
1. Risks of major accidents
The risk analysis of major accidents is based on the identification of hazards (hazardness of
products, systems failure, sources of breaks, dams failure, etc.) from which accident
scenarios are established. The analysis of previous accidents from similar projects in the last
five to ten years provides additional information to establish the scenarios. All activities of the
project shall be considered.
If the proponent can prove that the project is not likely to cause major accidents, the
information gathered in the previous analysis can be used for the preparation of the
emergency plan. In order to prove the absence of potential major accident, the proponent
can use the concept of « worst-case scenario ».
If the proponent cannot prove the absence of potential major accident, the risk analysis shall
continue by considering in details the hazards and ensuing accident scenarios in order to
determine the related consequences and risks.
The analysis shall identify the elements of the natural and human environment that can be
significantly sensitive to and affected by an accident (dwellings, hospitals, natural sites of
interest, etc.). It shall also include the appraisal of the consequences related to the accident
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scenarios. The objective of this task is to identify the areas within which the safety of the
populations and the integrity of the biophysical and human environment can be affected, as
well as the presence of sensitive elements previously identified. This information is also
useful for emergency planning.
If there are sensitive elements in the areas that can be affected by an accident, the analysis
also includes an estimate of the frequency of occurrence in order to establish the risks of the
project. The risks can then be assessed according to their location from the project site.
Considering the characteristics of the dam and other structures of a hydroelectric complex,
the proponent shall estimate the consequences of the dam failure, in order to identify the
areas likely to be flooded and the populations and infrastructures that can be affected.
The study shall also include a brief analysis of external factors likely to cause major
technological accidents on the project site. All natural (flood, earthquake, etc.) and human
(neighbouring facility, train derailment, plane crash, etc.) events shall be considered. This
information is integrated in the emergency planning.
2. Safety measures
The study shall describe the onsite and offsite safety measures. The following elements shall
be described:
• Access restrictions to the site;
• Safety installations and prevention measures (systems of surveillance, emergency interruption, fire fighting, automatic extinguishers, emergency generators, leak detector, retention basin, safety distances, etc.);
• The mechanisms for detecting defective equipment;
• The storage of hazardous products.
3. Emergency plan
The study shall include a preliminary emergency plan enabling to adequately react in case of
accident. This plan identifies the main actions to face a situation of accident. It describes the
link with local authorities and alert mechanisms. If an emergency plan already exists in the
area of the project, this plan should be updated to integrate the proposed power project.
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In general, an emergency plan includes the following elements:
• The description of the accident scenarios as identified in the risks analysis: consequences, probability of occurrence, affected areas, etc.;
• The description of the various potential situations;
• The relevant information in case of emergency (responsible authorities, available equipment, plan of the site, safety equipment, etc.);
• The structure of intervention and the decision mechanisms of the organisation;
• The communication plan with the external civil security;
• The measures of intervention in case of spill, fire, explosion, etc.;
• The actions and sequence of interventions in case of emergency (emergency interruption, alert on the site, emergency call, evacuation, etc.);
• The measures of protection to protect the populations within the areas likely to be affected;
• The means to alert the populations that could be affected, in collaboration with local governmental authorities;
• The safety measures in force on the project site;
• The program to update and evaluate the emergency measures.
The proponent shall complete the comprehensive emergency plan before the project
implementation.
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APPENDIX 9 Examples of Sustainable criteria and CDM
guidelines
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EXAMPLES OF SUSTAINABLE CRITERIA AND CDM GUIDELINES
This appendix comprises 2 parts:
1. Tanzania SD Strategy
2. Kenyan Government Guidelines on the CDM
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PART 1
TANZANIA SD STRATEGY
Source: Tanzania Strategy Profiles National Strategies for Sustainable Development, Planning Commission, http://www.nssd.net/country/tanzania/tz05.htm#1
Table of Contents 1. Introduction 2. Strategies with Economic Emphasis
Export Development Strategy and Action Plan National Debt Management Strategy (External Debt) Export Processing Zone (EPZ)
3. Strategies Dominated by Social Priorities Country Report on Implementation of the Beijing Platform for Action (Beijing + 5)
4. Strategies which Emphasize Environmental Issues The National Anti-Corruption Strategy and Action Plan for Tanzania The National Tourism Policy of Tanzania The National Energy Policy (2000) National Biodiversity Strategy and Action Plan Final Draft (1999) National Action Programme to Combat Desertification National Environment Action Plan (1994) The National Conservation Strategy for Sustainable Development (1995).. National Plan of Action to Combat Desertification The National Forest Policy
5. Strategies with Issues Cutting Across the three Pillars of Sustainable Development namely Economic, Social and Environment
National Population Policy The National Poverty Eradication Strategy Ministry of Agriculture and Cooperative Medium Term Strategic Plan (MMTSP) 2000-2005 Civil Service Department Medium Term Strategic Plan The Mineral Policy of Tanzania (1997) Institutional and Legal Framework for Environmental Management Project (ILFEMP) Tanzania Development Vision National Fisheries Sector Policy and Strategy Statement Tanzania Assistance Strategy (TAS) Poverty Reduction Strategy Paper
6. Conclusions and Recommendations… Conclusions Recommendations
[…]
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2. STRATEGIES WITH ECONOMIC EMPHASIS
2.1 Export Development Strategy and Action Plan
(A Dynamic strategy to Expand and Diversify Exports 2000 – 2004)
The Origin of the Idea
Taking into account Tanzania’s low export supply response, the Government of Tanzania
(URT) requested the World Bank to assist in preparing an Export Development Strategy and
Action Plan as part of Economic Reform measures which started in 1986. The agreement
was reached towards the end of 1994 and the exercise commenced in February 1995. The
exercise was completed in June 1996.
2.1.2 Major Objectives of the Strategy
The major objective of Export Development Strategy and its action plan is to "expand and
diversify Tanzania Exports".
2.1.3 Key Stakeholders involved in the Strategy
(a) Formulation
Planning Commission and Ministry of Finance, Ministry of Industries and Trade, Other 3 key
ministries (Agriculture, Natural Resources and Tourism and Prime Minister’s office), Bank of
Tanzania (BOT).
The Private sector including representatives of exports, public and private sector institutions,
donor community and multilateral financial institutions, academic & research institutions,
local business community (regional and district representatives), regional representatives,
and the media.
(b) Planning
Planning Commission, Ministry of Finance Bank of Tanzania, World Bank,
(c) Implementation, Management, Monitoring and Evaluation
(The strategy is not yet implemented)
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2.1.4 Methodology/Process used to Formulate the Strategy
(i) A Task Force consisting of 15 senior Government and Private sector representatives
worked with a joint World Bank/ED/Team to identify key export development constraints.
(ii) To deepen the Task Force understanding of the problems identified, specific studies were
undertaken by special consultants in particular sectors such as garments, leather, tourism
and customs. The main aim of engaging theses consultants was to dwell more deeply into
these subsectors in order to identify opportunities for accelerating the pace of exports from
these subsectors.
(iii) To understand how export problems have been solved in other countries, which are
currently major exporters, the Task Force visited Thailand, Malaysia, Singapore and
Mauritania.
(iv) Based upon the analysis undertaken in the foregoing phases, the task force then
produced the first draft of the "Export Development Strategy and Action Plan".
The Task Force members and World Bank sought comments on the first draft from within
and outside the Country through workshops and soliciting written comments. Within
Tanzania, comments were sought at the regional level and by representatives of the public
and private sector. Those comments were reviewed and reflected in the final document.
2.1.5 Current Status of Implementation of the Strategy
The strategy is at the early stage of implementation.
2.1.6 Major Problems during Strategy Formulation
A number of problems emerged during strategy formulation. These problems are presented
below:-
1. Political support; 2. Financial constraint; 3. Inadequate donor support especially bilateral competing donors; 4. Vested interests of the lead institutions in export and investment (Interested in Status
Quo situation – fear of change); 5. The strategy was not widely distributed (Voluminous and language used).
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Three things will have to take place if the strategy is to be effectively implemented:-
1. political support from the beginning; 2. support from both bilateral and multilateral international development partners; 3. Need for participation of the general public and other government and private sector
institutions in order to create awareness and ownership.
[…]
3. STRATEGIES DOMINATED BY SOCIAL PRIORITIES
3.1 Country Report on Implementation of the Beijing Platform for Action (Beijing + 5)
3.1.1 The Origin of the Idea
In 1946, the UN Commission on the Status of Women was established in order to facilitate
the process of enhancing women’s rights. The year 1975 was declared by the UN as the
International Women’s Year so as to focus public attention throughout the world, on the
plight of women. The critical issues of women were then deliberated upon during the Nairobi
Forward Looking Strategies, the Dakar and Beijing Conferences.
This report reviews the progress made in the implementation of the commitments
undertaken by the Government of Tanzania at the 4th World Conference on Women held in
Beijing in 1995.
Following the Beijing Conference, the Government of Tanzania formulated and adopted an
Action Plan known as the National Sub-Programme for Women’s and Gender Advancement
as part of the national strategy. This plan aims at implementing the Beijing Platform of Action
within the framework of the Community Development Policy.
3.1.2 Major Objectives of the Strategy
The "National Sub-Programme for Women’s and Gender Advancement" focuses on four out
of the twelve critical issues raised at the Beijing Conference. These four areas of concern,
which can be considered as broad development objects, are:
i. Enhancement of women’s legal capacity; ii. Economic empowerment of women and poverty eradication; iii. Enhancement of Women’s political empowerment and decision making.
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Improvement of women’s access to education, training and employment
3.1.3 Key Stakeholders involved in the Strategy
Various international organizations are involved in the implementation of the strategy. These
include the United Nations Development Programme (UNDP), UNIFEM, World Bank, ILO,
FAO, UNFPA, UNICEF, WFP, DFID, USAID, NORAD, CIDA, WHO, UNIDO, SIDA, DANIDA,
GTZ, Royal Netherlands, Irish Aid, AIDOS (Italy), JOICIP, and FHI. National institutions and
NGOs which are implementing the strategy include: VETA, EOTF, TGNP, TAMWA,
KULEANA, TAWLA, FWETA and UMATI, WLAC, TAHEA, Women and Law in East Africa
(T), and Plan International. At the grassroot level, the main stakeholders are the women.
3.1.4 Methodology/Process used to Formulate the Strategy
With respect to the enhancement of women’s legal capacity, several methods or actions are
being pursued as follows:
i. The review of laws which oppress women, and the enactment of new laws which give fair treatment to women. This includes review of the inheritance law, the marriage Act and child custody laws;
ii. To carry out legal literacy programmes and mass campaigns as a way of educating the public, both women and men alike, regarding their human rights. This includes teaching various issues related to women in the school curriculum and adult education programmes. In some cases para-legal training is offered to females;
iii. Steps are being taken to establish a Commission on Human Rights in Tanzania which would include the promotion of the rights of women;
iv. Since the Beijing Conference, the Government of Tanzania has passed two laws, which protect the rights of women. One is the Sexual Offences Special Provisions Act of 1998, the other is a set of laws known as the Land Law Act and the Village Land Act of 1999.
Methodologies for the economic empowerment of women and poverty eradication include:
• The promotion of the establishment of women’s groups as a way of making credit facilities available.
• Training women in entrepreneurial skills, management capabilities, and marketing skills.
• Improving women’s access to technology and social services. • Assisting women in setting up savings and credit societies. • Establishment of the "Women’s Development Fund (WDF)" for giving loan support to
income-generating projects. • Establishment of the "Credit for Rural Enterprises for Women (CREW) (T)". • Numerous other credit facilities are operated by CBOs and local and international
NGOs.
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Methodologies for women’s political empowerment and decision making
(i) Increasing the number of women in parliament and local councils
Women have been mobilized to contest for various seats
i. Encouraging women to be involved in elections, both as voters and candidates, through media campaigns, public meetings, workshops and seminars.
ii. The government plans to ensure that at least 30% of those appointed in political and public services are women. Gender focal points were set up in all ministries and regional structures.
Methodologies for improving women’s access to education, training and employment
• Steps to increasing the enrolment of girls in schools by making the school environment more attractive to female students by, for example, increasing the number of female teachers, providing financial support to girls, improving reproductive health education in schools, providing more boarding facilities, and making curricula and textbooks more gender sensitive.
• Establishment of girls’ vocational training centers and technical secondary schools. • Sensitization of parents so that they encourage girls to further their education. • Launching of short courses relevant to women’s needs.
3.1.5 Current Status of Implementation of the Strategy
Generally, the achievements have been short of the goals set. Major constraints have been
financial limitations on the part of the government and non-fulfilment of the international
obligations (according to the Beijing Platform for Action), including the debt burden.
[…]
4. STRATEGIES WHICH EMPHASIZE ENVIRONMENTAL ISSUES
4.3 The National Energy Policy (2000)
4.3.1 The Origin of the Idea
The first National Energy Policy of Tanzania was put in place in April 1992. Since then, the
energy sector, as well as the overall economy, has gone through profound changes. In line
with the recommendations in the National Energy Policy of 1992, the policy has been revised
taking into account structural changes in the national economic and global political
transformations, which together have led to the restructuring and liberalization of all sectors
of the economy. Following these changes, the Government of Tanzania felt it was important
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for each sector to have or revise policies and strategies so that they suit the new
macroeconomic environment.
4.3.2 Major Policy Objectives of the Strategy
Overall Objective
The National Energy Policy overall objective is to ensure availability of reliable and
affordable energy supplies and their use in a rational and sustainable manner in order to
support national development goals.
Specific Objectives
The specific objectives of the policy include:-
i. To establish an efficient energy production, procurement, distribution and end-use system in an environmentally sound manner with due regard to international energy cooperation and gender issues.
ii. To enhance the harnessing of indigenous energy resources in order to diversify energy services and reduce the dependence on imported petroleum based products.
4.3.3 Key Stakeholders involved in the Strategy
A list of stakeholders (institutions) who participated in one way or another during formulation
stage include the Ministry of Finance, Planning Commission, the Ministry of Natural
Resources and Tourism and Ministry of Water. Other institutions were the Ministry of Lands
and Human Settlements Development, Ministry of Transport and Communication, Ministry of
Trade and Commerce and the Swedish International Development Cooperation Agency
(SIDA).
4.3.4 Methodology /Process used to Formulate the Policy
During the process of revising the energy policy an interactive and participatory process
between the government, stakeholders and relevant groups was an important part of the
process in order to incorporate views of market actors and energy consumers to address the
complex nature of the sector.
The exercise involved a consultant AF International who also involved the local stakeholders
to form a task force. The task force came up with a draft Energy Policy. Among the local
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consultants and NGOs who were involved in the process are Kipondya & Company (a local
consulting firm) and CEEST (a local NGO).
Also important to mention is the fact that AF International was working very closely with the
ministry’s experts. The task force organised three stakeholders’ workshops where the draft
policy was discussed and improved accordingly. One workshop was organized for
parliamentarians. In addition, a study visit was carried out to South Africa, Uganda and
Sweden.
4.3.5 Current Status of Implementation of the Policy
Regarding the extent of implementation and achievement of the objectives of the strategy,
some progress has been made. More energy comes from local sources today than it used to
be before the revision of the policy. Approximately 80% of the domestic energy consumption
comes from indigenous sources, as exploration works for e.g. fuel have to a certain extent
been accomplished. There is coal production at Kiwira where the plan is to expand
production from 6 to 30 megawatts. A new hydropower station has just been officially
opened at Kihansi in Morogoro region.
4.3.6 Major Problems during Policy Formulation
The major problems which were pointed out by stakeholders as drawback implementing the
policy included the following:-
i. dependency on foreign assistance; ii. inadequate commitment of the key stakeholders; iii. financial constraint; iv. poor expertise and technological capacity.
What is more problematic is, that the solutions to the problems depend on foreign
assistance, and there is no clear indication in the document of some kind of political
commitment. Nevertheless, stakeholders made the following observations in respect of
political commitment: many key stakeholders were involved during the formulation stage.
They included members of parliament (MPs) and the ministers through the Inter-Ministerial
Technical Committee and the Cabinet. Further, MPs were involved during the stakeholders’
workshops, and for the minister’s during the approval of the policy.
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PART 2
KENYAN GOVERNMENT GUIDELINES ON THE CDM
In order to ensure that CDM projects are environmentally effective and lead to sustainable
development as well, they must be based on principles of equitable allocations and be
directed to projects focused on non-greenhouse gas emitting technologies, especially
renewable energy technologies. Consequently, for developing countries like Kenya to derive
maximum benefits from CDM projects, a number of issues must be taken into account,
including, but not limited to, the following:
Project Criteria �All CDM projects must satisfy the following requirements:
• demonstrate a firm and tangible contribution to sustainable development;
• be supportive of and consistent with national development priorities and be linked to poverty reduction;
• implement technologies that are locally appropriate, environmentally friendly, and energy efficient; have necessary precautions in place to avoid dumping of substandard technologies;
• contribute to the enhancement of national institutional and human capacity building;
• accord highest priority to activities that generate maximum economic, social, and environmental benefits;
• address community needs and priorities through effective public participation in project design, planning, and implementation to ensure equitable distribution of sustainable development benefits;
• contribute to global efforts to achieve stabilisation of greenhouse gas concentrations in the atmosphere in accordance with Article 2 of the Convention;
• ensure that CDM financial inflows are over and above the existing Official Development Assistance (ODA); and
• be consistent with the objectives of Agenda 21 and relevant environmental conventions, such as the Convention on Biological Diversity, the Ramsar Convention on Wetlands, and the Convention to Combat Desertification, as well as with local and national environmental management laws.
Share of Proceeds
The sharing of proceeds from CDM activities is a crucial issue of interest to Kenya, like any
other Party to the UNFCCC. However, the share of proceeds shall be based on a formula to
be agreed on by the international community under the auspices of the Conference of the
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Parties/Meeting of the Parties (COP/MOP). The proceeds to be shared will include the
emissions reduction or offset credits. CDM projects must include a nominal levy (adaptation
levy) of the savings accruing to the investing country Party, the percentage of which will be
determined by COP/MOP. Kenya will support such an agreement on the share of proceeds
provided that a significant portion of the shares remain behind.
Methodological Issues
The methodological issues that deal with operation of CDM projects at the national level
should take the following into consideration:
Baselines
Baselines need to be developed on a project-by-project basis during the initial phases of
CDM. Sectoral baseline arrangements should be avoided as they could result in “free-riding”
projects that claim emissions reductions that either would have happened anyway or that in
reality do not accrue. Moreover, any project proposed under CDM must result in lower
emissions than the current business-as-usual scenario. The prevailing business-as-usual
scenario will serve as the basis for determining the level of CERs accruing from project
implementation.
Project Validation
Every CDM project must be thoroughly assessed to determine whether the proposed action
conforms to the criteria identified above before it is validated by the CDM National Clearing
House (NCH).
Verification and Certification
Verification and certification will take place at two levels. At the national level, the National
Climate Change Focal Point (NCCFP) will appoint a panel of local experts to verify the CERs
accruing from all CDM projects while, at the international level, a body designated by the
COP/MOP will perform certification and verification of all CDM projects.
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Project Monitoring and Evaluation (M&E)
Once a CDM project implementation gets underway, a mechanism for regular M&E will be
developed. The purpose of M&E is to ensure that the project implementation conforms to the
set criteria throughout the project lifecycle.
Project Financing
The financing arrangement will be agreed upon by a host entity and the Annex I Party
investor. Once an agreement has been reached, the project proposal will be submitted to the
respective governments for approval and any other necessary action.
Land Use, Land Use Change, and Forestry (LULUCF)
There are still far too many scientific uncertainties associated with carbon sequestration by
forests and land use changes. These uncertainties are compounded by the lack of capacity
to quantify these changes in Kenya. CDM forestry projects are long term by nature and it
would be difficult to deny Kenyans the use of forest products and services reserved for CDM
when the Kenyans need them. Moreover, there is minimal or no technology transfer in the
afforestation programs as stated in the CDM.
While the demand for forestry products is growing nationally and internationally against the
background of a dwindling forestry resource base, there is no doubt about the need for
forestry projects in Kenya. Forestry projects should continue within other frameworks, such
as the UN Convention on Biodiversity and the UN Convention to Combat Desertification, as
well as through other bilateral or multilateral arrangements. Decisions on LULUCF projects
under CDM should be suspended until scientific uncertainties and other outstanding issues
are resolved at the COP/MOP level.
AP
PE
ND
IX 10
APPENDIX 10
Baseline emissions calculations for power grids and net emissions reductions
calculations
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BASELINE EMISSIONS CALCULATIONS FOR POWER GRIDS AND NET EMISSIONS REDUCTIONS CALCULATIONS
Greenhouses gazes and their properties
Greenhouse gases (GHGs) in the atmosphere create a “greenhouse effect” that keeps the
Earth’s surface much warmer than it would otherwise be by trapping outgoing infrared
radiation. The six primary GHGs of concern are carbon dioxide (CO2), methane (CH4),
nitrous oxide (N2O), hydrofluorocarbons (HFCs), perfluorocarbons (PFCs), and sulphur
hexafluoride (SF6).
The greenhouse effect is predicted to instigate a rise in average global temperatures of
1.4°C to 5.8°C over this century — hence the term “global warming.” However, this
temperature rise will be accompanied by weather extremes, which is why this phenomenon
is more accurately described as climate change.
High levels of emissions from human activities have caused concentrations of GHGs in the
atmosphere to increase markedly since the beginning of the industrial era, adding an extra
“human-induced greenhouse effect.” Since 1750, atmospheric concentrations of carbon
dioxide have increased by 31%, methane by 151%, and nitrous oxide by 17%.
Measures that can be taken to reduce GHG emissions include improving energy efficiency,
switching to less carbon-intensive fuels, increasing the use of renewable energy, and
adopting cogeneration technologies. Some sectors also have cost-effective opportunities to
reduce fugitive and industrial process emissions.
Table A provides an overview of the various GHGs and their properties. The standard for
reporting GHG emissions is in carbon dioxide equivalent (CO2e). To obtain this, each GHG
must be multiplied by its Global Warming Potential (GWP). For example, if a landfill releases
10 Mt of methane a year, the CO2 equivalent is 10 Mt x 21 (GWP) = 210 Mt. Therefore, the
landfill releases 210 Mt CO2e/year.
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Table A: Properties of Greenhouse Gases
Greenhouse Gas Chemical Symbol Global Warming Potential (GWP)
Carbon dioxide CO2 1 Methane CH4 21 Nitrous oxide N2O 310 Hydrofluorocarbons HFC-23 11,700 HFC-125 2,800 HFC-134a 1,300 HFC-152a 140 Perfluorocarbons CF4 (Tetrafluromethane) 6,500
C2F6
(Hexafluroethane) 9,200
Sulphur hexafluoride SF6 23,900
�
Emissions Coefficients for Electric Power Grids
Weighted Average Grid Emissions Coefficients
In a CDM project that displaces grid electricity through electricity efficiency or fuel
substitution, the project baseline emissions are those from the generation of electricity in the
national grid for each year of the CDM crediting period (7 or 10 years).
To estimate these baseline emissions, two things are required:
1. the typical daily load curve; and 2. the power plants dispatched to satisfy that typical load curve each hour of the day.
The baseline is, therefore, the weighted average CO2 emission per unit of electricity
(kWh) produced by the grid for the different years of the crediting period.
This can be computed using a simple dispatch rule from the following information:
• the daily load curve; • the type of power plant, i.e., baseload or peaking; • the efficiencies of the different power plants; • the fuel used in each power plant; • planned capacity expansion; and • assumed marginal power plants beyond the utility plan period.
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This approach must be used when the electricity displaced is from any grid that does not use
a single power source (e.g., a diesel mini-grid). It allows the use of published or commonly
used standard emissions coefficients for the local or regional power grid based on current
common characteristics of the grid. These include annual power production and efficiencies
for each power plant (hydro, coal, natural gas) in each year that CERs will be claimed.
These coefficients will be the same for all CDM projects operating in the region, unless the
project specifically addresses one aspect of the load curve — e.g., reducing peak demand.
Weighted average emissions coefficient (kg/kWh) = Sum product [electricity produced by each plant (kWh/yr) * emissions coefficient for that plant (kg/kWh)]
Total electricity generated
In areas where there is a rapid increase in the demand for electricity, emissions coefficients
for the so-called “built marginal” plants may be used. This is the weighted average of the five
most recently built power plants or the plants that meet the most recent 20% of demand.
Weighted average emissions coefficient for built marginal (kg/kWh) =
Sum product [electricity produced by each plant (kWh/yr) * emissions coefficient for that plant (kg/kWh)] Electricity generated by the five most recent plants or 20% of current demand
If the project addresses peak demand, then emissions coefficients for the plants that are
used to meet peak demand (e.g., gas turbine generators) may be used.
How to Allow for Transmission and Distribution (T&D) Losses
Transmission losses occur in the high voltage network that delivers power to local
substations. These losses are relative low and usually are less than 5%.
Distribution losses occur in the medium and low voltage feeders that supply individual
customers. These losses depend on the length and loading of the feeders, and the voltage in
these feeders. However in the case of low voltage rural feeders, very long, and chronically
overloaded, the voltage drops of 40% can occur by the end of the feeder and losses up to
20% or more are common.
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These T&D losses are called “technical losses,” Many States, however, include “non-
technical losses,” such as theft or other unmetered/uncollected uses, in T&D losses. The
usual practice is also to load all losses for all sectors into the catch-all of “agriculture.” This
means the total “losses” can be 35% or even higher.
T&D losses only need to be taken into account in end-use demand side electricity efficiency
CDM projects. A power generation project, such as wind or micro-hydro, will still be subject
to the same losses, whereas an efficiency project will displace both generation and technical
losses (not theft, etc.).
In an efficiency project, care must be taken to use T&D losses that are appropriate to the
end use. A rural efficiency project should use typical or published technical losses for rural
feeders. An urban efficiency project should use lower losses.
Baseline electricity usage = electricity consumption by baseline technology / (1 – T&D
losses)
Annual electricity savings = end-use savings in electricity / (1 – T&D losses)
A Case Study – Bangladesh
Chemical Engineering Department Petroleum and Mineral Resources Engineering Department Bangladesh University of Engineering and Technology Dhaka, Bangladesh
The average daily load curve for Bangladesh shows that approximately 85% of the energy
dispatched is baseload, even though the peak power requirement is nearly 50% of the
baseload requirement. This implies that the intermediate and peaking plants will have an
average annual load factor (ALF) below 30%, and indeed some will have an ALF of 20% or
less. Table 1 presents data related to the gas-based power plants that can only be used as
base load.
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Table 1: Baseload Natural Gas Power Plants and Their Base Year (2001) Generation
No. Name Type (fuel)
Generation Capacity
(MW)
Base Year Net
Generation (GWh)
Heat Rate
Retirement Year
1 Ashuganj 1-2 ST (gas) 100 670 15,034 2006 2 Ghorasal 1-2 ST (gas) 80 415 16,022 2006 3 Siddhirganj ST (gas) 50 293 13,812 2006 5 Ashuganj CC (gas) 74 173 15,873 2010 7 Chittagong ST (gas) 55 328 15,350 2014 8 Ashuganj 3-5 ST (gas) 450 2,730 11,724 2015 9 Fenchuganj CC (gas) 90 273 13,110 2015 10 Ghorasal 3-6 ST (gas) 840 4,077 12,141 2017 11 Rauzan ST (gas) 420 1,583 11,981 2017
Total 2,159 10,542
From the existing power plants, nearly 1,500 MW will remain operational up to and
beyond 2014. The box below shows the gas turbines and oil-fired power plants of the
national grid, along with their base year generation.
�Gas turbine Oil-fired power plants (i) Steam turbine (FO) (ii) Diesel (iii) LDO/SKO
763 MW 436 MW 262 MW 132 MW 49 MW
3,621 GWh 1,123 GWh 905 GWh 191 GWh 27 GWh
As can be seen, 262 MW of the oil-fired capacity is baseload, while the remaining 181 MW is
peaking capacity. The oil-fired power plants are all expected to be phased out and the
predominant peaking plant will be a gas-fired combustion turbine power plant. In the base
year (FY01), the gas turbines and peaking oil-fired power plants produced a total of
3,839 GWh of electricity, which is 24% of the total 16,254 GWh produced.
To estimate future emission coefficient, the marginal power plants need to be identified. It is
obvious that the starting point for this is the government/utility plan. The national utility’s
capacity expansion plan up to 2008 is shown in summarized form in Table 2.
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Table 2: Utility Capacity Expansion Plan
FY02 FY03 FY04 FY05 FY06 FY07 FY08 New CC 360 810 980 1,380 2,280 2,370 2,820 New coal 250 250 250 New ST 210 210 270 690 690 New hydro 100 ST addition to simple cycle 40 149 149 149 149
NOTE: CC = Combined Cycle; ST = Steam Thermal; FY = Financial Year.
The most noteworthy aspect of the proposed expansion program is the nearly 3,000 MW
combined cycle power plants. With increasing demand for electricity, more and more new
baseload plants will be added. It is now almost a certainty that most new baseload power
plants will be gas-fired combined cycle ones, with a heat rate of 7,200 kJ/kWh or better. This
implies that emissions from the national grid baseload power generation will keep on
decreasing.
A very simplified dispatch rule, as detailed below, was used to estimate the year-wise
weighted average CO2/kWh for the national grid for the crediting period from 2005 to 2014.
(i) In the financial year 2001 (FY2000–01), the central load dispatch centre dispatched
16,254 GWh of electricity. The power plants used for this purpose, along with their
base year data, are shown in Appendix A. The base year production has been
used to determine the annual load factor (ALF) for the existing plants in the national
grid.
(ii) The available capacity during the crediting period has been worked out based on
the information provided in Table 1 about the existing gas-fired baseload plants.
(iii) The general shape of the load curve is assumed to remain the same over the 10-
year crediting period. In particular, it is assumed that the intermediate and peak
electricity will be a fixed proportion of the total electricity requirement.
(iv) From an analysis of the energy curve of August 20, 2002, the intermediate and
peak electricity consumed is estimated to be 15% of the total electricity consumed.
Since it has been assumed that this ratio will remain fixed for every day of the
crediting period, the annual energy electricity requirement can be multiplied by 0.15
to determine the intermediate and peak electricity requirement for any given year.
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(v) During the crediting period, the intermediate and peak MWh requirement, above
that which can be supplied by the existing plants and those planned up to 2008,
has been assumed to be entirely supplied by gas turbine power plants with an
efficiency of 27.5% (heat rate of 13,091 kJ/kWh).
(vi) The electricity requirement up to 2008 is met by the existing plants minus the
retired ones plus the planned power plants shown in Table 1.
(vii) Beyond 2008, the baseload is supplied predominantly by combined cycle gas-fired
power plants with a thermal efficiency of 50% (heat rate of 7,200 kJ/kWh). A small
amount of supply is projected to be available from a 250 MW addition to the coal-
fired power plant expected to go into operation in 2006. Additionally, 1,000 MW of
steam thermal power plants, which might be built as extensions to the existing and
planned steam thermal plants, and for which finance may be made available
through mechanisms like supplier’s credit, have been assumed.
The Bangladesh Power Development Board’s Power Sector Master Plan has estimated that
the electricity demand growth would be approximately 8% up to 2015. There is already
evidence that such a high growth rate will probably not be realized. There are clear
indications that the economy will not perform as projected and that the ambitious capacity
expansion plans will not materialize. Thus, for this project, a 7% demand growth has been
used. Assuming a demand growth of 7%, the electricity requirement between 2005 and 2014
has been calculated starting with a base year (FY01) net generation of 16,254 GWh, and is
presented in the second column of Table 3. These data have been used along with the
dispatch rule discussed above to arrive at the weighted average CO2 emission of the grid.
The full details of the calculations appear in Annex A. Table 3 presents a summary of the
final results of those calculations. Column 3 presents the power requirement in MW to meet
the projected demand. The weighted average CO2 emission for the grid is presented in
column 5, while column 4 presents the hypothetical equivalent based on entirely natural gas
generation.
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Table 3: Weighted Average CO2 Emissions During the Crediting Period (2005 to 2014)
Year GWh MW
Average Heat Rate Based on Natural
Gas Generation (kJ/kWh)
Weighted Average CO2
Emissions (kg/kWh)
2001 16,254 3,588 12,993 0.7289 2005 21,306 4,242 11,168 0.6159 2006 22,797 4,465 11,587 0.6421 2007 24,393 4,803 11,614 0.6455 2008 26,100 5,068 11,375 0.6329 2009 27,927 5,343 11,137 0.6202 2010 29,882 5,590 11,293 0.6313 2011 31,974 5,922 11,055 0.6183 2012 34,212 6,270 10,856 0.6075 2013 36,607 6,643 10,673 0.5974 2014 39,170 6,946 10,358 0.5788
Mean (2005 to 2014) weighted average CO2 emissions = 0.6190 kg/kWh
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Annex A
Calculation of Weighted Average Grid Emissions Coefficient for Bangladesh
GAS TURBINES
MW Heat Rate MW-% HR-Weight Ashuganj 50 23569 0.0655 1544 Shah 1 70 19818 0.0917 1818 Shah 2 70 15561 0.0917 1428 Shylet 20 15899 0.0262 417 Haripur 90 11266 0.1180 1329 Chattagong 52 13110 0.0682 893 Baghabari 71 13753 0.0931 1280 Westmont 90 16275 0.1180 1920 NEPC 110 16275 0.1442 2346 RPCL 140 13110 0.1835 2406
763 15381 GAS STEAM TURBINES and COMBINED CYCLE
MW GWh Heat Rate MW-% HR-Weight Ashuganj 1-2 100 670 15034 0.0463 696 Ghorasal 1-2 80 415 16022 0.0371 594
Siddhirganj 50 293 13812 0.0232 320 Ashuganj CC 74 173 15873 0.0343 544
Chittagong 55 328 15350 0.0255 391 Ashuganj 3-5 450 2730 11724 0.2084 2444
Fenchuganj 90 273 13110 0.0417 547 Ghorasal 3-6 840 4077 12141 0.3891 4724
Rauzan 420 1583 11981 0.1945 2331 2159 10542 12590
OIL-FIRED – STEAM TURBINES, CT and DIESEL ENGINES
MW Heat Rate MW-% HR-Weight Khulna 1 95 14982 0.2179 3264 Khulna 2 55 15000 0.1261 1892 Khulna 3 46 13110 0.1055 1383 Bheramara 54 16444 0.1239 2037 Saidpur 18 16108 0.0413 665 Barisal 40 16108 0.0917 1478 Rangpur 18 16108 0.0413 665 KPCL 110 16275 0.2523 4106 436 124135 15490
23.4% Weighted Average Efficiency
28.6% Weighted Average Efficiency
23.2% Weighted Average Efficiency
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WEIGHTED AVERAGE GRID EMISSION FOR 2005
Electricity Power Efficiency CO2
GWh (%) MW ALF HR (%) kg/kWh Weight
New CC 3638 16.5% 519 0.8
7200 50.0%
0.4039
0.0665
New Coal 0 0.0% 0 0.7
11077 32.5%
1.0479
0.0000
New ST 1288 5.8% 210 0.7 11077 32.5% 0.6214 0.0362
New GT 1567 7.1% 358 0.5 13091 27.5%
0.7344 0.0521
ST addition 914 4.1% 149 0.7 0 100.0% 0.0000 0.0000
Hydro (old+new) 1007 4.6% 230 0.5
0 100.0% 0.0000 0.0000
Old ST+CC (gas) 10402 47.0% 2159 0.55 12587 28.6% 0.7062 0.3322
Old Oil (all) 883 4.0% 336 0.3 15517 23.2% 1.1379 0.0454
Old GT 2414 10.9% 501 0.55 15385 23.4% 0.8631 0.0942
TOTAL 22113 100.0% 4462 0.6265
CC - Combined Cycle, ST - Steam Turbine, GT - Gas Turbine ST Addition - Adding steam turbine to existing gas turbine ALF - Annual Load Factor Gas Generation HR - Heat Rate (kJ/kWh)
WEIGHTED AVERAGE GRID EMISSION FOR 2014
Electricity Power Efficiency CO2 GWh (%) MW ALF HR (%) kg/kWh Weight New CC 17132 38.8% 2445 0.8 7200 50.0% 0.4039 0.1565
New Coal 3066 6.9% 500 0.7 11077 32.5% 1.0479 0.0727
New ST 4231 9.6% 690 0.7 11077 32.5% 0.6214 0.0595
New GT 6721 15.2% 1534 0.5 13091 27.5% 0.7344 0.1117
ST addition 914 2.1% 149 0.7 0 100.0% 0.0000 0.0000
Hydro (old+new) 1445 3.3% 330 0.5 0 100.0% 0.0000 0.0000
Old ST+CC (gas) 8432 19.1% 1750 0.55 12587 28.6% 0.7062 0.1347
Old Oil (all) 289 0.7% 110 0.3 15517 23.2% 1.1379 0.0074
Old GT 1975 4.5% 410 0.55 15385 23.4% 0.8631 0.0386
TOTAL 44205 100.0% 7918 0.5811
CC - Combined Cycle, ST - Steam Turbine, GT - Gas Turbine ST Addition - Adding steam turbine to existing gas turbine ALF - Annual Load Factor HR - Heat Rate (kJ/kWh)
Average Heat Based on Natural 10358 Gas Generation
Average Heat Based on Natural 11168 Gas Generation
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Net Emissions Reductions Calculation
Determination of the net emissions reduction will facilitate the financial analysis since the
international carbon market will be based on $ per tonne of CO2equivalents (CO2e) or C. The
conversion of CO2e to C is easily accomplished by multiplying the tonnes of CO2e by 0.273.
The units of each gas must be specified individually. Not all greenhouse gases (GHGs) are
easily measured in tonnes or megatonnes (the conventions for emissions reporting) since
they are present in much smaller quantities. However, the final calculation should report all
GHG emissions in tonnes (t) of carbon dioxide equivalent (CO2e).
Note also that there are several types of HFCs and CFCs, as identified in Step 4 below;
each, if applicable, should be included in Steps 1 to 3.
1. Determine Total Baseline Emissions
2. Determine Total Project Emissions
3. Determine Net Emissions Reduction
CO2 CH4 N2O HFC CFC SF6
A On-site emissions
B Off-site emissions
C Total Baseline Emissions (A+B)
CO2 CH4 N2O HFC CFC SF6
D On-site emissions
E Off-site emissions
F Total CDM Project Emissions (D+E)
CO2 CH4 N2O HFC CFC SF6
C On-site emissions
F Off-site emissions
G Net Emissions Reductions (C-F)
Nile Basin Initiative – Regional Power Trade Project Environmental Assessment Framework for Regional Power Projects in Nile Basin Countries
Tecsult International
05-16005 – Final Report – February 2008
A10-12
4. Convert Net Reductions into CO2e using the Global Warming Potential (GWP)
of Each GHG
Net GHG Reduction (From G above, in
tonnes) GWP
CO2e (tonnes)
CO2 1 CH4 21 N2O 310 HFC-23 11,700 HFC-125 2,800 HFC-134a 1,300 HFC-152a 140 CF4 6,500 C2F6 9,200 SF6 23,900 Total Emissions Reductions
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