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Energy for Rural Transformation E

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Ministry of Energy and Mineral Development

Rural Electrification Agency

ENERGY FOR RURAL TRANSFORMATION (ERT)

Environmental and Social Management Framework

Revised Edition DECEMBER 2006

Rural Electrification Agency, Workers House, 1 Pilkington Rd, Kampala

MEMDlREA Environment and Social Management Framework (ESMF) September 2006

CONTENTS

INTRODUCTION ........................................................................................................................... -1

Background ..................................................................................................................... I

........................................................................................................................... Purpose 2

How to use this document ............................................................................................... 2

ENVIRONMENTAL AND SOCIAL FRAMEWORK ..................................................................... 4

Overview ......................................................................................................................... 4 2.1.1 Uganda legal requirements for environmental assessment ................................... 4 2.1.2 World Bank requirements ...................................................................................... 5

Government of Uganda and World Bank comparison .................................................... 7 2.2.1 Similarities between GoU and World Bank requirements ...................................... 8

.................................................................................................. 2.2.1.1 Alternatives 8 ..................................................... 2.2.1.2 Stakeholder involvement and disclosure 8

................................................................................ 2.2.1.3 Assessment procedure 8 .................................................................. 2.2.1.4 Social impact assessment (SIA) 8

............................................................................................. 2.2.1.5 Compensation 8 2.2.1.6 Environmental management plans

2.2.2 Differences between GoU and World Bank requirements ..................................... 9 ...................................................... 2.2.2.1 Resettlement and compensation issues 9

...................................................................................... 2.2.2.2 Social Assessment 9 ............................................... 2.2.2.3 Environmental management plans (EMPs) 10

2.2.2.4 Cumulative effects ..................................................................................... I 0

Links between ERT project development cycle and environmental ................................................................................................................... assessment 10

Institutional framework for environmental assessment and management in the energy sector in Uganda ..................................................................................... 11

...................................................... 2.4.1 Ministry of Energy and Mineral Development 11 ..................................................... 2.4.2 National Environment Management Authority 11

.......................................................................................... Environmental Compliance 12 2.5.1 ERT financial intermediaries must ensure compliance ........................................ 12 2.5.2 Tracking system will make it easier to verify compliance ..................................... 12

WHAT ERT SPONSORS I DEVELOPERS HAVE TO DO .................................. .... ................... 13

Timing of the EIA process ............................................................................................. 13

EIA Certificate application procedures .......................................................................... 13 .............................................................................................. 3.2.1 Project screening 13

....................................................................... 3.2.1 . 1 Preparation of Project Brief 15

...................................................................... 3.2.2 Environmental Impact Assessment 15 ............................................................................ 3.2.2.1 Remarks on terminology 15

3.2.2.2 Scoping and terms of reference (TOR) ...................................................... 15 .................................................................................... 3.2.2.3 Impact assessment 16

3.2.2.4 EIA report format ....................................................................................... 17 ............................................................................. 3.2.3 EIA Certificate and Conditions 17

....................................................................................... 3.2.4 Compliance monitoring 18

MEMDIREA Environment and Social Management Framework (ESMF) September 2006

3.3 Roles and responsibilities in the environmental assessment and .................................................................................................... management process 19

4 DISCLOSURE REQI.IIREMENTS AND PROCEDURES ........................................................... 20

4.1 World Bank disclosure requirements ............................................................................ 20

4.2 Uganda (NEMA) disclosure requirements ..................................................................... 20

4.3 Disclosure procedure for ERT sub-projects .................................................................. 20

5 ENVIRONMENTAL MONITORING ............................................................................................ 22

5.1 General. and the monitoring tracking system ................................................................ 22 5.1.1 Self-regulation1 'internal auditing' ...................................................................... 22 5.1.2 Statutory monitoring and auditing: NEMA ............................................................ 22 5.1.3 REA and WBG safeguards tracking ..................... : ............................................... 22

5.2 Monitoring programme and techniques ......................................................................... 23 5.2.1 Scheduling of monitoring ..................................................................................... 23 5.2.2 Types of monitoring and specifying techniques ................................................... 24 5.2.3 Specifying monitoring responsibilities .................................................................. 25

5.3 Institutional and organizational requirements ................................................................ 26

ANNEXURES

Annex A: Summary of Uganda environmental policies and statutes potentially applicable to renewable energy projects

Annex B: Determination of need for addressing World Bank safeguard policies

Annex C: Project Brief Contents

Annex D: Technical guidelines for environmental assessment and impact mitigation

Annex E: Guidelines for resettlement. social assessment and mitigation plans

Annex F: Roles and responsibilities of the district environmental officer and the district environmental committee

Annex G: Public consultation and participation strategy

LlST OF TABLES Table 2-1: World Bank Safeguard Policies ............................................................................................... 6

Table 2-2: Relevance of World Bank Safeguard Policies (except EA policy) to Energy ............................ ......................................................... for Rural Transformation Projects .. 7

Table 2-3: Environmental assessment phases in relation to the project development ...................................................................................................................................... cycle 11

Table 3-1 : EIA Format ............................................................................................................................ 17

Table 3-2: Institutional Roles and Responsibilities ................................................................................. 19

LlST OF FIGURES Figure 3-1: Uganda EIA Process for energy projects (note: ElStudy and EIS referred to in this figure is the same as EIA) (from: NEMA. EIA Guidelines for the Energy Sector. 2004) ................. 14


,GLOSSARY OF TERMS Cumulative impactsleffects: The total effects on the same aspect of the environment resulting from a number of activities or projects.

DeveloperlProponenUSponsor: The entity - person1 companylagency - proposing to develop/implement/install a new projectlsub-project or expand an existing project under the ERT programme.

Direct impacts: An effect on the environment brought about directly by the project.

Disclosure: Information availability to all stakeholders at all stages of the development.

Environmental impact assessment (EIA): A comprehensive analysis of the project and its effects (positive and negative) on the environment and a description of the mitigative actions that will be carried out in order to avoid or minimize these effects.

EIStudy: The environmental impact study process, a Government of Uganda NEMA term that refers essentially to the process of an EIA.

EIR: Environmental Impact Report, a product of intermediate detail which may be called for by NEMA if the information supplied in the Project Brief is not deemed sufficient.

EIS: Environmental Impact Statement, the report on the findings of the EIStudy which is submitted to NEMA for approval.

Environment: The physical, biological and societal components and processes that define our surroundings.

Environmental monitoring: To observe and check the progress or quality of environmental parameters over a period of time; the process of examining or reviewing a project on a regular basis to ensure that it is in compliance with an environmental management plan, GoU EIA certificate of approval conditions and 1 or environmental mitigation measures.

Financial intermediary: A lending institution that borrows loan money (in this case, from the World Bank via the Government of Uganda) and on-lends this money to the end borrower (e.g. an energy company developing the mini-hydro project)

Involuntary resettlement: The forceful loss of land 1 resources that requires individuals, families and 1 or groups to move and resettle elsewhere.

Impact: A positive or negative effect that the project has on an aspect of the environment.

Indirect impact: A positive or negative effect that the project indirectly has on an aspect of the environment.

Lead Agency: The agency with primary responsibility. For instance, the lead agency for environmental matters in Uganda is NEMA.

Mitigation measures: The actions identified in an EIA to negate or minimize the negative environmental impact that a project may have on the environment.

O P (Operational Policy) and BP (Bank Procedures): OPs are the broad policies of the


Bank. They are typically accompanied by BPS (Bank Procedures) that describe how the Bank implements the policies.

Pollution: The presence in or introduction into the environment of a substance that has harmful or toxic consequences; presence of chemicals in concentrations which exceed the assimilative capacity of the environment.

Project and sub-project: A set of planned activities designed to achieve specific objectives within a given area and time frame. With respect to the ERT programme, the terminology can be confusing. In ERTIREA terms, a borrower may apply for a subsidy for a project, such as the West Nile Electrification Project, which comprises several sub-projects eg. Nyagak Hydropower; Bondi-Nebbi Transmission Line. The Project in World Bank terms is the ERT Programme; and all proposals subject to intermediary loans are sub-projects. In this document we use these terms in the ERT sense.

Project Brief: The initial submitted document to NEMA to initiate the process that will lead to the issuance of the EIA certificate of approval.

Project Pipeline: The group of projects that have been submitted to REA for consideration for funding support.

Scoping: The initial stage in an environmental assessment that determines the likely major environmental parameters that will be affected and the aspects of the project that will bring upon these effects.

Screening: An initial step when a project is being considered for environmental assessment. The screening is the determination of the level of assessment that will be conducted. In the case of GoU, screening will place the project into one of three environmental categories (I, 11, or 111).

Significance: Importance.

Significant effect: An important impact on an aspect of the environment.

Stakeholder: Any person or group that has an interest in the project, and the environmental affects that the project may bring about.


ABBREVIATIONS AND ACRONYMS

AFRREI APL

CBD CITES

DECs DEO DWD EA EIR EIA EIS EL U ERA ERT ESMF GD GEF GoU IDA IPP IFC IRC MEMD NEAP NEMA NES NGO OP PV RAP RCDF REA RE Fund REU REUES SWP SME STD TOR

African Rural Renewable Energy Initiative Adaptable Programme Loan Convention on Biological Diversity Convention on International Trade in Endangered Species of Wildlife Fauna and Flora District Environment Committees District Environment Officers Directorate of Water Development Environmental Assessment Environmental Impact Review Environmental Impact Assessment Environment Impact Statement Environmental Liaison Unit Electricity Regulatory Authority Energy for Rural Transformation Environmental and Social Management Framework Game Department Global Environmental Facility Government of Uganda International Development Association Indigenous Peoples Plan International Finance Corporation Information Resource Centre Ministry of Energy and Mineral Development National Environment Action Plan National Environment Management Authority National Environment Act Non Government Organisations Operational Policy Solar Photovoltaic Resettlement Action Plan Rural Communications Development Fund Rural Electrification Agency Rural Electrification Fund Rural Electrification Unit Rural Electrification Unit Environmental Section Sector Wide Planning Small Micro Enterprise Sexually Transmitted Decease Terms of Reference


UEB Uganda Electricity Board UNDP United Nation Development Programme

UWA Uganda Wildlife Authority WB World Bank WPC Water Policy Committee

MEMDIREA Environmental and Social Management Framework September 2006

I INTRODUCTION

1 .I Background

In order to meet the growing demand for and the challenge of providing rural electricity, the Government of Uganda (GoU) has embarked on a large-scale programme entitled 'Energy for Rural Transformation' (ERT) with a goal to bring electricity to currently unserved rural areas. Through the ERT programme the GoU has introduced measures to decentralise electricity generation, as part of a strategy to correct serious shortfalls in performance and to catalyze economic transformation of the rural economy through a provision of energy services. In keeping with the Electricity Act of 1999, which provides for private provision of such electricity services, the ERT Programme will facilitate the private sector as the primary service provider.

The Programme will support financial intermediation for the investment projects in two ways; i) facilitate lending from local financial institutions; and ii) support the creation and operation of a Rural Electrification Fund, also established under the Electricity Act, to provide initial capital subsidies for the private rural electrification projects, which thereafter will operate in a commercial manner. Electricity is not the final product itself, but rather an intermediate product, the value of which is determined by the uses to which it is put. For this reason, the ERT Programme explicitly includes links with electricity consuming sectors of the economy. The Programme includes an investment component aimed at rural telecommunications, as well as energy assistance to health, agriculture, education, and other sectors.

The Government of Uganda requested World Bank (hereafter referred to as the Bank) assistance in implementing the ERT programme. The Bank support for the ERT Programme is a 10-year Adaptable Programme Loan (APL), supported by three separate but linked credits, roughly equal in duration. The loan is not dispersed directly to private investors or sponsors1 of energy projects, but stands as a guarantee of loans dispersed via commercial banks and other lending institutions, these being referred to together with REA in this context asfinancial intermediaries.

All investment projects within the ERT Programme must comply with environmental and social safeguard policies of the Government of Uganda and the Bank. Since the ERT Programme will support investments brought forth by the private sector on a demand driven basis, the specific investments to be supported by the programme are not known in advance. The types of projects that ERT Programme will be including and considering for financial support include:

. power distribution projects

. small hydro power plants less than 20mW

. co-generation projects

. geothermal plants

. fossil fuel thermal plants

' Sponsors are the energy project developers, the entities or individuals who borrow from the Fls or, in the case of REA, receive subsidies. There have been instances where ministries or agencies of the GoU have acted as 'sponsors' for the purposing of commissioning and submitting applications for a Certificate of EIA Approval, in order to expedite funding approval for certain projects, but this is not likely to happen in future.

MEMDIREA Seotember 2006

Environmental and Social Management Framework

The above types of projects will all require an environmental assessment (EA) in accordance to the requirements of the National Environment Management Authority (NEMA). The World Bank would place each of these types of activities into either Category A or B depending largely on the scale of the activity. Since most activities will be small scale, most will fall into Category B where usually only an environmental management plan (EMP) will be required.

For such financial intermediary projects, the Bank requires that a framework be adopted to direct compliance with environmental and social safeguard policies of the Bank and the environmental requirements of the GoU. This document is the Environmental and Social Management Framework (ESMF) for the ERT Programme.

Purpose

The purpose of this document is to provide to the FIs and the sponsors the necessary direction for addressing GoU environmental requirements (environmental impact assessment) and the safeguard policies of the Bank. This document replaces an earlier version of the ESMF prepared by Norplan A.S. in May 2001.

How to use this document

It is recognized that the financial intermediary (FI) and the sponsor are both, first and foremost, focused on the technical and economic delivery of electricity to the rural areas. Their concerns are business oriented and their skills and interests lie in the areas of engineering, economics and business. They have not been trained specifically in areas of environmental management and although they may have a passing interest in environmental and social matters, these are not main areas of focus. FIs and sponsors recognize their environmental responsibilities both to the GoU and the Bank and require guidance in order to meet the needs of these two authorities.

It is not the intention for the FI or sponsor to read this document from the first page to the last. The document provides a summary of relevant issues and requirements, with each chapter covering a different theme. If the reader is familiar with some aspects, hetshe might skip the parts they know and go directly to the chapter where additional guidance is needed. This document does not, however, provide ALL the information required to prepare environmental assessments and to evaluate the impacts of projects; the reader should also consult other detailed environmental and social guidelines of the Bank and the GoU. These guidelines will be referenced throughout this document.

The document is structured as follows:

1 Introduction - what ERT is all about, describing the purpose of the document and indicating in general terms how the document should be used.

2 Environmental and Social Framework - describes the requirements of both the GoU and the Bank; describes in brief the potential consequences of project activity on the Bank's safeguard policies, placing emphasis on resettlement and compensation issues; provides the links between the ERT project cycle and environmental assessment; describes the institutional framework for environmental assessment and management in the Uganda energy sector; and the need to demonstrate compliance.


3 What ERT Sponsors/Developers have to do - all the steps to be followed in order to achieve GoU environmental certificate of approval.

4 Disclosure Requirements and Procedures - stakeholders who have to be involved during the environmental assessment process and how to involve them.

5 Environmental Monitoring - an outline of monitoring, reasons, techniques and application.

Annexures - these include a number of packages of information in support of the main ESMF and provide the FI and sponsor with the details required in order to ensure expediency in meeting both GoU and World Bank environmental requirements.


2 ENVIRONMENTAL AND SOCIAL FRAMEWORK

2.1 Overview

Environmental and social concerns arise out of economic activities (e.g. on-lending or subsidy activities of a financial intermediary) that business undertakes and these must be addressed as an integral part of the business process. In particular, the environmental and social concerns are investigated and clarified through the process of environmental (and social) assessment (EA), undertaken in conjunction with project planning and design.

Environmental assessment (including social assessment) is a process that is conducted to identify the negative impacts that a project may have on aspects of the biophysical and social environment. It analyses the impacts of projects, examines project alternatives, and describes actions or measures to be undertaken to eliminate or minimize the identified negative impacts (generally known as mitigating measures). In the case of a comprehensive EA, referred to generally as an environmental impact assessment (EIA) it will include a comprehensive environmental management plan (EMP). An EIA will be required for all Bank Category A projects (or GoU Category I11 projects). All Bank Category A and B projects (as well as GoLT Level 11' and I11 projects) will require an EMP (although the GoU requirement for an EMP is not spelled out, it is implied in the description for EAs). In any project involving the involuntary resettlement of people, the EA / EMP will require a complimentary resettlement action plan.

2.7.7 Uganda legal requirements for environmental assessment

While the financial intermediary is responsible for ensuring that sponsors comply with World Bank environmental and social safeguard policies, it is the project sponsors who must comply with relevant Uganda legal requirements. The most relevant requirement is the National Environmental Act (1995), which establishes tools for environmental management including EIAs. The EIA Regulations (1,998) specify the types of projects subject to EIA and details the required procedures. The Act also establishes the National Environmental Management Authority (NEMA) as the principal agency for the management of the environment.

NEMA, which administers the EIA regulations, has developed a useful guideline document3 for conducting EIAs and the sponsor4 should follow this guideline to ensure that helshe meets all GoU requirements; and that the issuance of a Certificate of Approval of EIA is expedited.

The required procedures are described in greater detail in Chapter 3; the roles of different partiest institutions in EIA procedures and implementation is outlined in Table 3.3.

For purposes of comparison with World Bank requirements, it is worth noting that the EIA approval procedure comprises three steps:

Project screening, on submission of a Project Brief, whereby NEMA categorizes project applications as category I, I1 or 111, where category 111 is a project likely to have many significant impacts and requiring a full, detailed EIA; category I1 is similar to the Bank's Category B and may or may not require an EA. Category I can be

Level II projects are projects that have some level of uncertainty over the nature and level of impacts, thus requiring a more in- depth environmental assessment than would be required for Level I projects, but not the same rigour as would be required for Level Ill (equivalent to Bank Category A projects) projects.

NEMA (2006) Environmental Impact Assessment Guidelines for the Energy Sector. NEMA. Kampala. 2006. The sponsor is responsible for the preparation of the EIA, where one is required -

4

MEMDlREA Environmental and Social Management Framework September 2006

approved on the basis of the Project Brief. Both.Category I1 and Category I11 require environmental management plans;

Environmental Impact Study and submission of the EIS report for approval;

Decision by NEMA on the Certificate of Approval of EIA and Conditions attached to the Certificate.

A summary of Uganda's policy and legal framework relevant to environmental management is provided in Annex A. Note that relevant requirements go beyond the submission of an EIA, to water abstraction wrmits, health and safe&, etc. .

2.1.2 World Bank requirements

The Bank has ten environmental and social safeguard policies, a brief description of which is presented in Table 2.1. The operational policy most relevant to ERT projects is that for environmental assessment (EA), contained in Operational Policy 4.01 Environmental Assessment. Where involuntary resettlement may occur with a project, Operational Policy 4.12 will be relevant.

The Bank requires an EA of projects proposed for Bank financing to ensure that these projects are environmentally sound and sustainable. The Bank screens all projects and places them into one of four categories for EA purposes. These include Categories A, B, C and FI (Financial Intermediary). An FI project is one in which the Bank provides financial lending to a commercial bank or other lending agency, referred to as financial intermediary (FI), for on- lending purposes. Environmental scrutiny is required when the FI on-lends for various sub- projects (such as in the case of REA providing subsidies to sponsors or the Bank of Uganda under the ERT Programme providing loans to commercial banks, which in turn lend to sponsors for rural energy developments).

The FI is responsible for the environmental screening of each sub-project. If a sub-project falls within the Bank's Category A (corresponding to NEMA's Category 111), the sponsor must conduct a comprehensive EIA to meet Bank and GoU requirements. If the sub-project falls within the Bank's Category B (or NEMA's Category 11) an EMP only may be required.

The FI must also ensure that the project will be in compliance with the other nine safeguard policies (Table 2.1).

The World Bank website5 provides a comprehensive description of the Bank's safeguard policies.

Table 2.2 indicates the potential relationship of energy projects under ERT to the Bank's safeguard policies.

Annex B provides further guidelines to determine whether or not a particular safeguard might be triggered by an ERT project.

5 www.worldbank.org/environmen~policies.htm as at July 2006.

MEMDIREA Environmental and Social Manaaement Framework September 2006

Table 2-1: World Bank Safeguard Policies

Environmental Assessment

forest areas and natural habitats are not critical and that there are no feasible alternatives to the project and its siting, and that overall benefits substantially outweigh the environmental costs, the Bank may provide project financing provided that appropriate mitigation measures are incorporated.

only require an EMP. ~ h e s e categories are equivalent to ~ o v e m m e n t ~ o f uganda categories 111 and11 respectively.

I

OP 4.36 Forests

Management such as biological control, cultural practices, and the development and use of crop varieties resistant or tolerant to the pest. The Bank may finance the purchase of pesticides when their use is justified under an IPM approach.

The Bank does not finance projects that, in its opinion, would involve significant conversion or degradation of critical forest areas or related critical natural habitats. If the Bank determines that

- O P 4.04 Natural Habitats

The conservation of natural habitats is essential for long-term sustainable development. The Bank supports, and expects borrowers to apply, a precautionary approach to natural resource management to ensure opportunities for environmentally sustainable development. The Bank does not support projects that involve the significant conversion or degradation of critical natural habitats.

OPBPIGP 4.12 Involuntary Resettlement

For those who are affected by projects, avoid or minimize involuntary resettlement where feasible, exploring all viable alternative project designs; assist affected persons in improving their former living standards, income earning capacity, and production levels, or at least in restoring them; encourage community participation in planning and implementing resettlement; and provide assistance to affected people regardless of the legality of land tenure.

OP 4.10 Indigenous Peoples

Safety

This policy covers local indigenous people or distinct groups who are marginalized in society and who could be adversely affected by the project. The Bank provides financing only when indigenous peoples community supports a project.

P

OP 4.1 ICultural Property

O P 5 P 7.50 International Waterways

The Bank supports the preservation of cultural properties which includes sites with archaeological, paleontological, historical. religious or unique natural values. It seeks to avoid impacts on such sites.

professionals. Dams over 15 metres in height are of concern particularly if there is a large flood handling requirement or the dam is in a zone of high seismicity andlor where foundations and other design features are complex.

If a project has the potential to negatively affect the quality or quantity of water of a waterway shared with other nations the Bank will require that notification regarding the project andpotential effects of theproject begiven to countries sharing the waterway. A negotiated agreement between the two or more nations involved will be established. Irrigation, drainage, water and sewage. industrial and similar projects that involve the use or potential pollution of international waterways (rivers, canals, lakes or similar bodies of water).

' OP = Operational Policy; These operational policies and directives have different status in the Bank, but their implications and requirements for lenders are effectively the same. These ten policies and directives are only ten amongst many policies1 directives, hence the numbering is not sequential. They may also be associated with BPS (Bank Procedures) andlor GP (Good Practice) guidelines. -

6

OP 7.60 Disputed areas

Projects in disputed areas could affect relations between the country within which the project is being developed and neighboring countries. Disputes would be dealt with at the earliest opportunity. This policy does not apply to Uganda.

MEMDIREA Environmental and Social Manaaement Framework Se~tember 2006

Table 2-2: Relevance of World Bank Safeguard Policies (except EA policy) to Energy for Rural Transformation Projects

1 Forests 1 0 1 0 10 I x 1 0 10 I

Safeguard Policy

Cultural Property I XX l x x I X I l o l X I

Type of Project

2.2 Government of Uganda and World Bank comparison

0 X Resettlement

In general, most ERT sub-projects would fall within a Bank Category B or GoU Category 11. National (Uganda) environmental requirements can largely be assumed to cover the Bank's requirements. However, on the occasion where significant differences between national and Bank requirements occur, the Bank may request that additional work be conducted to cover

Hydropower

Indigenous People

International Waterways

Dam Safely

Disputed Areas

its specific requirements.

Grid Extension

NEMA has a keen interest in ERT and is a partner with the Bank to ensure that en~i~onmentally and socially responsible development in the energy sector occurs. It is important that the sponsor, prior to the preparation of an EIA for a project or sub-project7, discusses the internal processes and mechanisms to be used in order to avoid duplication of documentation (e.g. preparation of two separate EIAs to meet each of the two institutional [GoU and the Bank] requirements for such), disclosure procedures and public participation activities. As noted in the descriptions of aspects of the EIA outcome and procedural requirements of Uganda, there is strong compatibility between the Bank's and Uganda's requirements and duplication should not be a concern other than where a World Bank safeguard policy, besides 4.01, is triggered and needs to be addressed separately.

Fossil Fuel Generation

0 - not relevant; X - possibly a minor issue; XX - potentially an issue; and XXX - potentially a major issue

XX

XX

X

0

See Glossary for a definition of these terms. Throughout this document, the generic term project is generally used to refer to a development proposal in the energy sector. -

7

Biomass Generation

PV Geothermal

XX

0

0

0

X

0

0

0

X

0

0

0

0

0

0

0

X

0

0

0


2.2.1 Similarities between GoU and World Bank requirements

Some significant common themes in the Uganda policy, legal framework, and environmental assessment requirements, and WB social and environmental safeguard policies, particularly the EA safeguard policy, are as follows:

2.2.1.1 Alternatives

It is a universal requirement of EIA processes that project alternatives are examined from an environmental viewpoint and are comparatively evaluated to identify the least environmentally damaging alternative. The hierarchy of project alternatives is:

Different project type/ technology Different site Different layouts and scale of project Different design details

Both the National Environment Act and the World Bank guidelines require explicit consideration of the 'No Project' alternative.

2.2.1.2 Stakeholder involvement and disclosure

Stakeholders are identified and are involved in all stages of the EA process and at all levels during the various stages of the project cycle. Transparency in relation to the release of information to the public, public consultation and co-operation with the media is common to both.

2.2.1.3 Assessment procedure

Procedures are provided for evaluating the degree of impacts and necessary actions to address problems in a satisfactory manner - different levels of requirements for developers depending on scale and location of project.

2.2.1.4 Social impact assessment (SIA)

SIA is the process used to assess the likely impacts that a project will have on intended beneficiaries and affected stakeholders. The SIA will identify, amongst other things, the different stakeholders and their interest in the project, participation processes and how these will be adapted to different social groups and stakeholders, social diversity including gender, understanding the role of informal and formal institutions at various levels, and the social risks beyond risks associated with social safeguards. In a comprehensive EIA, impacts on communities, individuals and social and cultural patterns would normally be integrated with the EIA, as is the case in Uganda. An SIA should be conducted where the Bank's involuntary resettlement safeguard policy is triggered.

( More detailed guideIines on conducting SIA are attached in Annex E to this document.

2.2.1.5 Compensation

In both Ugandan law and World Bank social safeguard policies, compensation, either cash or in kind, must be paid for lost or damaged land, resources and assets. A detailed register of affected households, resources, assets, land etc that will be damaged or lost must be included in the SIA report section, and a valuation of these resources made. The amount of compensation due is based on the valuations and should provide for payment of compensation for affected assets at their replacement cost. -

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2.2.1.6 Environmental Management Plans

The Bank requires EMPs for all Category A and B projects. The GoU implies the need for an EMP as a component of the EA.

2.2.2 Differences between GoU and World Bank requirements

2.2.2.1 Resettlement and compensation issues

The most notable difference between Ugandan and Bank policies concerns resettlement and compensation issues.

The Uganda Land Act deals with cash payments alone as a legal requirement where people must be resettled or where they will lose land or resources.

Bank guidelines hold, as a core principle, that affected people should be no worse off than before the project; in fact they should be better off as a result of the project. The requirements for ensuring this may go beyond cash compensation to 'land for land', with the emphasis always placed on the replacement of livelihoods. This almost always results in an involvement with affected communities over an extended period of time and the monitoring of outcomes to verify that the goal is achieved.

The types of renewable energy projects to which this may apply are in any situation where resettlement of inhabitants, alienation of land or loss of productive resources may be required, such as in the case of transmission lines and hydropower scheme impoundments.

In this case, the project sponsor will have to conform to the Bank involuntary resettlement safeguard policy standards, which specify the compilation of a Resettlement Action Plan (RAP). [The NEMA will also, in the event of a RAP being compiled, approve it.]

1 A detailed guide to the compilation of a RAP is provided in Annex E. 1 2.2.2.2 Social Assessment

The Bank discusses the desirability of a separate social impact assessment. A social assessment would be targeted to the needs of the vulnerable and poor. SIA is required when projects involve either indigenous peoples or land acquisition requiring relocation or loss of shelter; loss of assets or access to assets; loss of income sources or means of livelihood, whether or not the affected people must move to another location. From the Bank's perspective, a social impact assessment is desirable, although not a strict requirement, for project approval under the following circumstances:

Where the project is likely to have highly adverse social impacts, particularly on the vulnerable and poor; Where a project is likely to generate high levels of controversy; Where social development outcomes are at risk.

In the event that the World Bank invokes a separate SIA, the borrower would be advised to refer to the Bank's Social Analysis Sourcebook, which can also be accessed via the World Bank website8.

8 www.worldbank.org1socialanalysissourcebo.htm as at June 2006


2.2.2.3 Environmental management plans (EMPs)

The Bank requires a detailed, stand-alone environmental management plan, particularly for Category A projects (equivalent to Category 111 projects in the GoU system). The EMP details the mitigation measures for each significant impact, describes the monitoring requirements, techniques and processes, and places considerable emphasis on the inclusion actions for institutional strengthening.

The NEMA guidelines9 discuss the requirement for the inclusion of mitigation measures and monitoring in the EIA, but not within a separate environmental management plan.

2.2.2.4 Cumulative effects

Although the Bank safeguard policy for EA does not mention a specific requirement for addressing cumulative effects, they nevertheless often are required in EAs that are conducted on Bank projects.

NEMA recognizes the importance of cumulative effects and mentions cumulative impacts as one of the sources for identifying impacts in an EA.

2.3 Links between ERT project development cycle and environmental assessment

Environmental assessment (EA)" is information intensive, so completing environmental impact studies take time. EA, especially for the purposes of authority review and approval, also requires considerable technical detail about the project - scale, layout, design - so that, although guidelines for EA will indicate that the EA process should be started as early in the project development cycle as possible, in effect EA reports are not submitted for approval until fairly late in the cycle, certainly not before feasibility studies are complete and sometimes only at the detailed design stage.

In relation to project development procedures where projects are designed in concept to a certain point and are then put out to tender, with the winning bidder committed to implementing the project, the timing of EA approval may be problematic. Table 2.3 below indicates the environmental assessment activities which should be conducted and at which stage of the project development process. Phases in the EA process which are statutory requirements in Uganda are indicated in red. Other activities/ phases do not have formal, legal standing.

9 Republic of Uganda. 1997. Guidelines for Environmental Impact Assessment in Uganda. (NEMA) 10 A reminder, EA is a generic term for any environmental examination. It includes environmental reviews, environmental scans, initial environmental examinations, environmental audits, etc. -

10


Table 2-3: Environmental assessment phases in relation to the project development cycle

2.4 Institutional framework for environmental assessment and management in the energy sector in Uganda

Project administration phase

PipelinelPreparation Feasibility Permit Subsidy Agreement (loan agreement in the case of on-lending arrangements through commercial banks) Operating License

Subsidy Disbursement (loan disbursement in the case of on-lending arrangements through commercial banks)

2.4.1 Ministry of Energy and Mineral Development

The Ministry of Energy and Mineral Development (MEMD) is the lead agency for all energy projects in Uganda. However, its interests are represented in different capacities by the Electricity Regulatory Authority (ERA) which issues licenses, and by the Rural Electrification Agency (REA), which was established to initiate and bring ERT projects to fruition. REA is the FI (in its case, providing subsidies to sponsors) to which environmental monitoring and evaluation responsibilities have been delegated for the ERT programme.

Project En ineerin base Pre-feasibility

Feasibility

Detailed Design

Construction

Operation

Decommissioning

2.4.2 National Environment Management Authority

Environmental assessment phase

Environmental Scan1' Formulate environmental conditions 1. Project Brief 2. Scoping 3. EIA and EMP preparation 4. Certificate of EIA Approval Certficate of EIA Approval is it? place World Bank EMPI2 (stand-alone, detailed EMP for Bank Category A and B projects) 1. Formulate environmental management specifications in construction contracts 2. Monitor compliance with specifications on site 1 Environmental monitoring and auditing 2. World Bank environmental review Decommissioning Plan

The National Environmental Management Authority (NEMA) is part of the Ministry of Lands, Water and Environment. NEMA is, in terms of the National Environment Act of 1995, the principal agency for the management of the environment and shall coordinate, monitor and supervise all activities in the field of the environment.

NEMA has a cross-sectoral mandate to ensure that proper environmental safeguards are observed in the planning and execution of all development projects, which means that it reviews and approves all environmental impact assessment reports, referred to in its terminology as environmental impact reviews (ETRs), and monitors project implementation. NEMA has prepared a set of EIA guidelines'3 for the energy sector and sponsors and potential sponsors should use these guidelines as supporting documentation to this framework.

11 Environmental Scan is a non-statutory, preliminary scan of potential environmental and socio-economic issues, conducted by pre-feasibility engineers or independent environmental professionals, preferably based on a site visit, to identify environmental and social issues (and will include Bank safeguard policy issues) that could be activated and potential fatal flaws, that is, issues that could stop project implementation. The scan might result in a change of site, for instance 12 EMP is the environmental management plan. It provides a useful management tool and it is required for all projects of Bank Categories A and B although the B category projects may not require an EIA (only an EMP). 13 Republic of Uganda. 2004. Environmental Impact Assessment Guidelines for the Energy Sector. National Environment Management Authority (NEMA). -

11

MEMOIREA Environmental and Social Management Framework September 2006

The Environmental Monitoring and Compliance division of NEMA is responsible for the review and approval of EIAs, post-implementation audits and monitoring of approved projects. Although project sponsors have a responsibility for monitoring their own activities, NEMA carries out its own monitoring largely through district environmental officers and environmental inspectors at NEMA's head office. (The Act also states that NEMA may delegate some of its functions to a Lead Agency, which in the ERT programme may be the REA with respect to project monitoring.)

A brief description of the functions and responsibilities of the district environment officer and the district environment committee is provided in Annex F.

2.5 Environmental Compliance

2.5.1 ERT financial intermediaries must ensure compliance

Where loans or subsidies are disbursed via FIs, such as in the case of the ERT programme, both the Electricity Regulatory Authority (ERA) and FIs are responsible for ensuring compliance with Uganda legal requirements and with Bank safeguard policies. This is done by making the issuing of an Operating License being conditional on the sponsor's having obtained a Certificate of Approval of EIA. l 4

The Bank may periodically verify the compliance situation by means of an independent review or similar process. To ensure compliance REA must ensure that effective monitoring is conducted on a regular basis and that monitoring results are acted upon, when and where required.

[ Monitoring is discussed Anther in Section 5.

2.5.2 Tracking system will make it easier to verify compliance

As part of its support for the ERT programme, the Rural Electricification Agency (REA) has developed a system to track projectlsub-project environmental and social compliance. The core of the tracking system is a Microsoft Access database designed for the purpose and managed by the Monitoring and Evaluation division of REA. All programme stakeholders will interact with the system in one way or another, either as providers of information to the system or as users of information.

14 It is recommended that before approval of financing, and at least for the first year or until such time that the FI has shown adequate due diligence, that all €As, EMPs and RAPS be reviewed by the Bank. All category A subprojects will have Bank review prior to financial approval. -

12


3 WHAT ERT SPONSORS I DEVELOPERS HAVE TO DO

3.1 Timing of the EIA process

For ERT projects, formal EIA procedures will be initiated only when the Feasibility Permit has been awarded by the Electricity Regulatory Authority to the sponsor, and will generally proceed in parallel with project feasibility studies or detailed design (see also Table 2.3).

3.2 EIA Certificate application procedures

There are three interconnected phases of the EIA process in Uganda:

Screening

Environmental impact study (EIStudy), and

The decision-making phase results in the issuing or refusal of a Certificate of Approval of EIA by NEMA.

The EIA certification application procedure is laid out in Figure 3.1.

3.2.1 Project screening

The objective of screening in both the Bank and the Uganda environmental assessment process is to determine the extent to which a project is likely to affect the environment, therefore to determine the level of assessment required.

Uganda screening categories for different energy projects are presented in NEMA's EIA Guidelines for the Energy sector (NEMA 2006), to which the reader should refer, since it is expected that amendments to the categorization will be made relatively frequently.

Screening is generally guided by the following criteria:

Location of project

Type and size of project

Potential impacts against set thresholds and standards

The NEMA screening process first eliminates those projects which are exempt from EIA (category I in Table 3. I), then those that definitely require a full EIA (category 111 in Table 3.1). For projects deemed to fall into category 11, the project may be approved on the Project Brief, if mitigation measures for adverse impacts are adequately prescribed in the Project Brief. If not, then an EIA will be called for although this EIA would not be as comprehensive as that required for a Category 111 (Bank Category A) project. It is noted that the Bank may not require an EIA for a Category B (11) project but an EMP is required.

Applying the Bank's screening process, and depending on the sites and impacts identified, most ERT projects can be classified under the Bank's Category B (applicable to: renewable energy, electrical transmission, rural electrification and rehabilitation, maintenance and upgrading of small-scale projects) or, in the case of PV systems under Category C, due to their low impacts.

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Responsiblllty EIA Step

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Figure 3-1: Uganda EIA Process for energy projects (note: ElStudy and EIS referred to in this figure is the same as EIA) (from: NEMA, EIA Guidelines for the Energy Sector, 2004).


3.2.1.1 Preparation of Project Brief

The initiation of the EIA approval process is marked by the submission of ten (1 0) copies of the Project Brief to the Executive Director of NEMA. If NEMA deems the Project Brief to be complete, a copy is forwarded to MEMD and all key stakeholders for review.

NEMA has a maximum of fourteen working days within which to make comments to the applicant on the document.

The Project ~ r i e f ' ~ contains essential information on the project inputs and outputs; it must provide sufficient information to allow the competent authority (NEMA), in consultation with lead agencies, to screen the project, that is, to decide whether the project may have significant environmental impacts and the level of environmental impact study (EI Study) that will be required. In effect, it comprises a preliminary EIA, containing:

Contact details of the sponsor/developer;

Background to the project (project justification, objectives, project alternatives);

Project description (key features of project, layout, description of construction and operational phases; and supported by site maps, photos);

Baseline information (biophysical environment of the site's characteristics, socio- economic environment characteristics including such issues as population, public health status, cultural resources);

Brief description and evaluation of likely impacts on biophysical and socio-economic environment and mitigation measures designed into the project to reduce impacts.

3.2.2 Environmental Impact Assessment

3.2.2.1 Remarks on terminology

The NEMA guidelines refer to several environmental assessment process and report types, the names of or acronyms for which may be confusing for a reader (EIStudy, EIS, EIR, EIA). While these acronyms are included in the Abbreviations and Glossary to this report, it is worth noting here that NEMA views EIRs, ElSs and EIAs all as essentially products that deliver an analysis of impacts to be expected as a result of the project and the identification of measures to minimize negative impacts and enhance positive impacts.

3.2.2.2 Scoping and terms of reference (TOR)

Scoping is the initial step of the EIA process, the purpose of which is to determine the scope of work to be undertaken. Scoping typically involves all project stakeholders in deciding which issues need detailed examination and which do not. Scoping identifies the critical environmental impacts and issues for which in-depth studies are required.

Project a~ternatives'~ are identified and considered at this stage.

15 Detailed guidelines for the contents of a well-written Project Brief are provided in NEMA's EIA Guidelines for the Energy zector and repeated here in Annex C

Project alternatives go from alternative types of project (eg different energy technologies), through different sites, to alternative site layouts, scale changes and alternatives to a range of project components, e.g. different water sources, different building materials. -

15


The scoping report is the responsibility of the project sponsor (and his consultant) and includes the terms of reference for the EIA. A copy ofthis report is submitted to NEMA for approval, after which the EIA commences. NEMA will forward a copy to MEMD for comment, but where MEMD is the developer, NEMA makes the decision without referral.

Public disclosure is required for Category A projects at two levels: once for the draft terms of reference for the EIA and secondly, for the draft EIA itself. For Category B projects disclosure is only required for the EMP (and for the EIA if one is required).

The relevant information required in scoping is laid out in Annex C1 and C2 in NEMA9s EL4 Guidelines for the Energy Sector. A typical TOR for an energy project is provided in Annex D 1 of the Guidelines.

3.2.2.3 Impact assessment

Conducting an EIA will require:

Commissioning a series of specialist studies;

Identifying affected and interested parties and key decision-makers (all stakeholders);

Identifying policies, laws and regulations that will affect the recommendations;

Engaging stakeholders, sharing information with them, listening to their concerns and responding to them (ensuring that concerns are addressed);

Making contact with the relevant decision-makers and ensuring that their needs are understood;

Deciding how and when to communicate EIA findings to stakeholders;

Compiling an environmental impact statement for submission to NEMA.

The main steps in an EIA are:

Identifying impacts: what are the environmental consequences of the project?

Prediction: quantifying the magnitude and extent of anticipated changes;

Evaluation of significance: what is the importance of the changes (do they matter?);

Mitigation: what can be done to reduce or eliminate adverse effects?

Monitoring and auditing: how can critical impacts and compliance with mitigation measures be monitored?

Documentation: what information is needed by the decision-maker in order to make an informed decision?

Potential impacts of the d i e t e n t types of energy projects and potential mitigation measures are laid out in detail in Chapter Four of NEMA's EIA Guidelines for the Energy Sector.' Technical guidelines for the evaluation of the significance of impacts are provided in Annex D to this Framework.

EIAs must cover socio-economic issues (see Annex E of this framework for detailed guidelines on social impact assessment) and they must include stakeholder or public involvement.


Technical guidelines on public involvement strategies are prt&ided in Annex G of this document. World Bank and Government of Uganda policies regarding public disclosure are the subject of Chapter 4 of &is documkt.

3.2.2.4 EIA report format

An EIA report's suggested format according to NEMA guidelines is presented in Table 3-1.

Table 3-1: EIA Format

1 ChapterlSection I Contents 1

2. Project Description

Executive Summary

1. Introduction

Describes proposed project including project development objectives, technical description and alternatives to the project activities that the project will entail.

A summary of the main findings of the EIA study including the major positive and negative impacts, recommended actions and conclusions.

Background to the study; information on general features of the project; objective of the study; justification of the development, policy, legal and institutional framework.

) 3. Project Setting Describes the geographic, ecological, social and temporal context of the project including transmission lines, power plants, access roads, water supply etc. 1 4 Project Impacts Predicts and assesses environmentally positive and negative impacts anticipatedlidentified as resulting from the project, including an analysis of magnitude, significance and persistence. Mitigation measures are identified and o~~ortunit ies for environmental enhancement ex~lored. I

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[ 5. Analysis of ~ l t G n a t i v 2 ~ G m ~ a i s o n of alternatives to project site, technology, operation. The zero option should be included in the analysis. Recommendations for the most preferable options.

6. Mitigation Measures A detailed description of measures to avoid, eliminate, or minimise adverse impacts, including technical drawings of structures and costs for constructing or incorporating such measures.

7. Environmental Management Plan (specific only to Bank requirements but content is common to Bank and GoU)

An action plan for mitigation measures, giving a schedule for incorporating them, a monitoring schedule, an indication of responsibility for monitoring, identification of indicators that need to be monitored, monitoring methods, funding sources for monitoring, schedules for evaluations and audits, and institutional strengthening arrangements, if any (latter only required by the Bank).

8. Conclusions and A statement of the environmental and social acceptability of the project recommendations and the viability of the proposed alternatives. I

1 References I I 1 Appendices Terms of Reference for the study

List of individualslagencieslorganisations consulted. Record of itinerary and consultation meetings Tables of relevant data Other relevant information

3.2.3 EIA Certificate and Conditions

NEMA may issue an EIA Certificate of Approval without or with Conditions, however a certificate with Conditions is more common. The Conditions are legally binding on the project sponsor and it is compliance with these Conditions that NEMA will expect to monitor.

The Conditions may be project specific, or they may be general. It has become practice to include a 'catch-all', which makes the sponsor liable for addressing any unforeseen environmental consequences of the project.

MEMDIREA Environmental and Social Manaaement Framework Se~tember 2006

As previously noted in footnote 14, for the first year or until such time as when the FI can demonstrate due diligence, all EAs, EMPs and RAPS should be reviewed by the Bank prior to a financial commitment for project implementation. All Category A projects should have Bank review prior to financial commitment.

3.2.4 Compliance monitoring

The National Environment Act also confers on NEMA a mandate to monitor the implementation of all projects for compliance with their Certificate of Approval Conditions.

[ The environmental monitoring of ERT projects is the subject of Chapter 5. 1


3.3 Roles and responsibilities in the environmental assessment and management process

Table 3-2: Institutional Roles and Responsibilities

I 1 Clearance by UWA. NFA required 1

Project stage or activity

Preliminary investigation

Responsible party Sponsor to inform ERA and NEMA

Initial Environmental Assessment (to be part of the Project Brief)

Sponsor responsible for conducting study according to ERT guidelines

Clearance of local authorities required'

1 Review by NEMA and decision on whether to

Co-operation with affected people

Approval of by NEMA and WB

Valuation of losses (quantitative [where possible] and qualitative assessment)

conduct a full-blown EIA or approve EA

Multi-disciplinary Evaluation Team

District and local authorities in co-operation with the sponsor

Public Hearing

Resettlement Plan (if required)

Local consultations and participation plan I

Multi-disciplinary Resettlement Team, including Land Board and local representatives

District and local authorities in co-operation with 1 Developer

Approval of by NEMA and WB

NEMA with assistance from sponsor

Approval by NEMA and the WB (for all Category A projects and for all Category B projects for the first year or until such time as the FI can demonstrate a track record of adequate due diligence)

L

EIA Study

1 ( Relevant statutory permits I

Sponsor's Consultant to conduct studies with input from various experts and stakeholders

I

Funding Approval I REAand WB I

1 Licensing by ERA I

I Monitoring

Project Implementation

NEMA in co-operation with sponsor (EMP Manager), ERA and REA and other interested parties

Sponsor to carry out project implementation in co-operation with various agencies and authorities and in accordance to the EMP


4 DISCLOSURE REQUIREMENTS AND PROCEDURES

4.1 World Bank disclosure requirements

According to Bank policy, the sharing of information is essential for effective and sustainable development. Experience has shown that the quality of projects increases with participation of stakeholders in the development process.

Annex G discusses aspects of public consultation and participation strategy development.

4.2 Uganda (NEMA) disclosure requirements

Disclosure of information forms an essential part of the consultation and planning process of ERT projects as with all development projects. Part XI of the National Environmental Act (1995) states that:

Every person has the right of free access to all information relating to the implementation of the Act to NEMA or Lead Agency Any person wishing to acquire such information may apply to NEMA and be granted access for a prescribed fee Freedom of access does not extend to proprietary information which shall be treated as confidential by NEMA or any Lead Agency NEMA is responsible for dissemination of information to public and private users, to carry out public information and education campaigns, exchange information with concerned agencies, including NGOs and liase with various government authorities in identifying gaps

a NEMA will publish State of the Environment Reports every two years and other necessary publications concerning environmental issues

4.3 Disclosure procedure for ERT sub-projects

Disclosure procedures for ERT sub-projects should conform to both Bank policy guidelines and NEMA guidelines.

NEMA EIA guidelines l7 and the EIA guidelines for the energy sector l 8 both detail the requirements of public consultation and participation throughout the EIA process. The requirements are:

a Information access will be provided to all public documents, including the Environmental Impact Statement, Project Brief and other relevant material concerning the project;

a Public consultation during all project stages, involving all stakeholders as required, and this involvement will include time for feed-back and comments to draft documents (see also Annex G )

" Republic of Uganda. 1997. Guidelmes for Environmental Impact Assessment in Uganda. '' Republic of Uganda. 2004. Environmental lrnpact Assessment Guidelines for the Energy Sector


NEMA will coordinate the involvement of relevant government line ministries1 departments and NGOs and will disseminate information to them; Public hearings will be organised as a requirement for EIA approval including invitations and updates to local and national media.

In addition to the requirement by the Bank that public consultation during the EIA process must occur, the Bank will submit the final, approved EIS to the Bank's Infoshop, thus making it a public document.


5 ENVIRONMENTAL MONITORING

5.1 General, and the monitoring tracking system

Having produced EIAs and EMPs, how is anyone to know that on the ground environmental and social issues are being taken care of? Disclosure will partly ensure this, but this is where environmental monitoring and auditing come into play.

Monitoring means to observe and check the progress or quality of (something) over a period of time; to keep under systematic review or to maintain regular surveillance over something. The word's origin is from the Latin meaning 'warning', which is the objective of environmental monitoring: to provide information that will give warning of things going wrong. Environmental monitoring is the periodic, regular, systematic checking of quality or performance against given criteria.

Monitoring the performance of ERT projects against environmental and social commitments is also sometimes referred to as compliance auditing. The definition of environmental auditing is, "a systematic, documented verification process of objectively obtaining and evaluating evidence to determine whether specified environmental activities, events, conditions, management systems of information about these matters conform with audit criteria; and communicating the results of this process to the client'' (IS0 1401 0). Thus auditing is probably a more rigorous process than is intended in the ERT context, and we shall stick with the term 'monitoring'.

Environmental/ social compliance monitoring in the context of the ERT programme will be conducted by a number of agencies. REA and ERA shall take the lead in coordinating the monitoring entities.

5.1.1 Self-regulation/ 'internal auditing'

First and foremost it will be the responsibility of the sponsor to monitor its own project, in accordance with the EMP, to ensure that mitigation measures are being implemented, including mitigation of unforeseen impacts that may occur. It is in the best interest of the sponsor to conduct its own, objective monitoring and to ensure that environmental management activities are being implemented as agreed. The sponsor must also communicate the results of this monitoring to REA and to ERA (see also 5.1.3).

5.1.2 Statutory monitoring and auditing: NEMA

NEMA has its own monitoring and auditing division and a number of designated environmental inspectors, whose task is to monitor project implementation. In addition, the districts have District Environmental Officers (DEOs) who play the role of environmental inspectors. The purpose of NEMA monitoring1 auditing is to ensure compliance with the Certificate (of Approval of EIA) Conditions.

5.1.3 REA and WBG safeguards tracking

The REA has the primary responsibility for environmentall social monitoring of all project activities that are financed through the ERT programme, in relation to Bank


Loan conditions, which are applicable mostly in the project preparation through construction phases. However, the ERA has a major role to play too in monitoring compliance with the environmental conditions of operating licenses. Therefore, long term operational monitoring becomes the responsibility of the ERA. REA has a manager dedicated to monitoring and evaluation. Amongst his duties for overall monitoring is the responsibility for ensuring that all supported ERT projects are in compliance with the ESMF. ERA is able to assist REA in enforcing ESMF requirements by altering operating license conditions, if necessary.

To support this responsibility, REA has developed an environmental monitoring and tracking system based on Microsoft Access. This system will allow sponsors to provide monitoring data directly to the tracking system so that at any time REA can view the environmental status of a project. REA will also periodically conduct its own audits of projects, as a quality check against data and information inputs to the tracking system being provided by the sponsors. Results available through the tracking system may also be made available to the ERA, World Bank, NEMA, MEMD and other interested parties.

Detailed guidelines to the use and contents of the tracking system are provided in another document, the Environmental and Social Safeguards Tracking System HANDBOOK (REA, 2006), available through the Monitoring and Evaluation Manager at REA.

5.2 Monitoring programme and techniques

An appropriate monitoring programme will include:

identifying the predicted impacts and mitigation measures to be monitored and the indicators of performance for each (eg. at a hydropower dam construction site, downstream water turbidity, an actual measurement, would be an indicator of performance on the mitigation measure 'minimize or prevent deterioration in water quality')

the monitoring techniques to be applied (see 'Types of monitoring' below);

a schedule for conducting monitoring;

individuals responsible for monitoring;

format for and periodicity of reporting.

It is likely that if monitoring programmes are to be designed, developed and implemented, and if the monitoring tracking system is to be at all effective, sponsors will require specific guidance, including some training, in monitoring processes.

5.2.1 Scheduling of monitoring

Construction phase

It is during the construction phase that most of the impacts of these energy projects will occur. During construction changes on the site may happen on a daily or weekly


basis, therefore monitoring needs to be frequent. However, it is unlikely that most of the ERT projects will be able to afford an impact control officer (ICO) full time, or that REA would be able to cope with the volume of monitoring data coming in on a monthly basis. It is therefore proposed that construction site EMP compliance monitoring takes place every 2 months and that the results of that exercise be submitted to REA for inclusion in the tracking system database.

1 The format for submission of monitoring data must be discussed with REA's 1 Monitoring and Evaluation Manager, who will indicate how field monitors are to draw up monitoring templates and how to complete them and submit them.

Operational phase

There are few impacts during the operational phases, therefore environmental and social monitoring may be conducted six-monthly or annually.

Decommissioning and post-closure

It is hard to envisage any of these projects being decommissioned and closed, but this must be considered in project management. During the decommissioning phase itself monitoring would be frequent, as in the construction phase, but thereafter annual monitoring for a period of two years should suffice to ensure that no harmful residual impacts occur.

5.2.2 Types of moniforing and specifying fechnigues

Environmental monitoring may be conducted using either quantitative or qualitative techniques. The bulk of the compliance monitoring conducted on ERT projects will fall into the qualitative category, but quantitative measurement of some parameters will be needed (e.g. number of people who have been compensated adequately and who have been resettled). Sponsors should prepare the specifics of their monitoring programmes with input from the REA monitoring and evaluation division.

As all ERT projects are of a construction nature, the environmental impacts and monitoring of mitigation is clearly defined in the EIAs and is mostly likely to be the focus of monitors, particularly monitors with an environmental background. However, there are social aspects to all of these projects that must be monitored as well. Such concerns as the social sustainability of a project and the need for social development as an outcome of a particular project must also be monitored. And of course, the monitoring of the implementation of any RAP that has been prepared for the project is mandatory.

Quantitative monitoring

Quantitative monitoring relies on the measurement of some physical parameter to provide an indication of whether the criterion of compliance is being met or not. Examples of quantitative monitoring would be the sampling and measurement of water quality and air quality parameters. Monitoring of RAP implementation can be a largely quantitative exercise, where actual compensation can be measured by, for example, the monetary value of cash payouts, number of new houses built, number of trees planted, area of agricultural lands given in lieu of such lands lost.


Quantitative monitoring invariably implies the use of indicators. The term "indicator" stems from the Latin verb 'indicare' meaning to disclose or to point out. Indicators provide a means of communicating information in a simplified manner. They focus and condense information about complex issues for management, monitoring and reporting. A good environmental indicator:

has a scientifically sound meaning that is relevant to the issues at hand;

represents something of importance to society;

displays trends or change over time;

has a sound and practical measurement process;

is cost-efficient.

When monitoring indicators are being identified, you must ensure that the indicators selected are practical, easily measured, and where possible, measurements are quantitative.

Qualitative monitoring

Many environmental issues are not easily measured or management measures are formulated in a way which makes it difficult to measure. For instance, 'increased soil erosion' is almost always identified as an impact of civil engineering construction works and "prevent or reduce erosion" is the corresponding mitigation measure. Now, this does not specify what level of erosion is acceptable - erosion is, after all, also a natural process - and soil erosion is notoriously complex to measure and calculate. It would simply be far too expensive and not particularly useful, to attempt to measure it on an ERT project. A qualitative approach is therefore appropriate where it is not possible or cost-effective, or not useful, to make precise quantitative measurements.

The qualitative approach relies heavily on professional judgement, in that an experienced professional directly observes conditions and makes a judgement on whether the state of the environmental parameter of interest is acceptable or not. With respect to the example of erosion: the inspector will look for signs of erosion on the site which have clearly been caused by the contractor's activities, then look to see if there are any detectable consequences of that erosion in the surrounding environment. If not, then the inspector may score this 'acceptable'; if he deems the impacts on the surrounding environment to be significant, he will score it 'unacceptable' and direct the contractor to take remedial measures. Much construction mitigation measurement monitoring is of this nature, and the tracking system is set up to deal mainly with this form of project monitoring.

5.2.3 Specifying monitoring responsibilities

Monitoring is unlikely to be conducted regularly if someone is not specifically given the responsibility for implementing it. At the programme level, the ERA and REA shall take the lead in coordinating monitoring entities.


During construction, a professional who is frequently on site should be tasked with monitoring implementation of and compliance with the EMP, and submitting the monitoring reports to the appropriate persons andlor agencies. During the operating phase, the general manager would generally be responsible for seeing to it that the sponsor's monitoring responsibilities are conducted and annual reports submitted to ERA or other designated agency.; or the GM should appoint someone to do so on his behalf.

Ideally, all sponsor organizations should employ an environmental manager to carry the company's responsibilities for all environmental and social management and compliance matters.

REA and ERA will in turn be responsible for submitting appropriate reports to their World Bank counterparts and other key stakeholders, as required.

5.3 Institutional and organizational requirements

Effective mitigation of environmental and social issues for the ERT projects will be achieved by establishing an institutional framework with qualified and experienced staff. It is imperative that certain institutional arrangements be in place before the ERT projects go ahead and in accordance to Uganda law and Bank requirements.

The following are institutional requirements:

Functioning and trained Environmental Liaison Unit at MEMD;

Functioning and trained Rural Electrification Agency Environmental Unit within the REA;

Agreement on Environmental and Social Management Guidelines between MEMD and the Bank;

Approaches to issues of resettlement and compensation will have to be reviewed and modified in order that the Bank and the GoU are making reference to a common approach;

Information Resource Centre at REA;

An effective and operating environmental monitoring tracking system.

As additional organizational and institutional requirements are met, the ESMF will be modified accordingly.


ANNEXURES


Annex A

Summary of Uganda environmental policies and statutes potentially applicable to renewable energy projects

Policy 1 Statute I Description . / Uganda Constitution 1995 I Establishes the general right to a clean and healthy environment

Provides tools for environmental management including EIA. ElA Regulations 1998 gave this force and established the

National Environmental Act (NES) 1995

and a general duty to maintain a sound environment. Established the National Environmental Protection Agency (NEMA) as the principal agency to coordinate, supervise and monitor all environmental management matters.

1 I I It includes provisions regarding environmental protection and 1

National Energy Policy 2002

National Water Policy 1997

procedures and protocols for E M S , as well as specifying the project types subject to E IA requirements. The policy goal is to meet the energy needs of the Ugandan

I people in a sustainable manner.

Water Act 1995

I information to NEMA I Land Act 1998 I Requires the developer of an energy project to enter into mutual

monitoring. Provide for the use, protection and management of water resources. NES requires a permit from Department of Water Development (DWD) for any construction on water courses1 bodies, and D W D requires E IA before such permit is

Uganda Wildlife Policy

Uganda Wildlife Act 1996

Electricity Act 1999

I

Land Acquisition Act 1965

I / development projects, pollution incidents, etc. I Investment Code 199 1 I Requires investors in the energy sector to obtain an EIA

granted, especially for hydropower. An EIA is to be conducted for any project likely to have a significant impact on wildlife resources Section 30 requires applicants for licenses to furnish relevant 1,

agreement with the owner/occupier of any land required for project construction, and the payment of fair compensation to such owner1 occupier. Section 78 establishes principles for compensation Provides for the expropriation of land needed for public purposes, but requires the payment of compensation for any

Local Government Act 1997 damage suffered due to such works Provides for the decentralization and devolution of government functions and services. Local governments are responsible for the protection of the environment at district level. A District Environmental Officer (DEO) is mandated to inspect

1 1 225 ( suffered and scheduled diseases incurred in the course of their 1 Petroleum Act 1957 Workers Compensation Act Cap

certificate from NEMA before project implementation Unlikely to be applicable to ERT projects Provides for compensation of workers for personal injuries

I employment, which lead to temporary or permanent

Public Health Act 1964 Town and Country Planning Act Cap. 30; Roads Act 1964;; international agreements*

incapacitation or to death. To cover such liabilities, it is , mandatory for employers to insure themselves1 their companies.

Developers need to check if they are relevant


Annex B

Guidelines for determining the need for addressing bank safeguard policies

Although the following descriptions are provided for all ten Bank safeguard policies, the key policies are those for Environmental Assessment and Involuntary Resettlement (nos. I and V)

1 I. Environmental Assessment ( O P 4.01) I

Summary: The Bank requires environmental assessment (EA) of projects proposed for Bank financing to help ensure that they are environmentally sound and sustainable. The environmental assessment is a process that is conducted to identify the negative impacts that a project may have on aspects of the biophysical and social environment. It analysis the impacts of project alternatives, provides mitigative actions to be undertaken to eliminate or minimize the impacts identified.

Objective: To identify potential impacts that a project may have on the environment and to provide mitigative solutions to eliminate or minimize these impacts.

i) Will the project financed through the FI result in significant adverse environmental impacts that are sensitive, diverse or unprecedented? Most of these impacts would be irreversible.

Questions:

If 'yes' this will be a Category A project and would require a full environmental impact assessment (EIA) that will be the full responsibility of the project proponent. An environmental management plan will be required.

Actions: 1

- impacts that can be readily mitigated ?

I

conducted with much less rigour than that for a Category A project.

ii) Will the project financed through the F1 have identifiable

If 'yes' this will be a Category B project and would require at least an EMP. If it is detcrmined that an EA is required it will be one

I

Other comments:

iii) Will the project havc minimal or no adverse environmental impacts?

An outline of the contents of a full EIA is provided elsewhere in this ESMF.

If 'yes' this will be a Category C project and beyond screening the project will require no further EA action.


11. Natural Habitat (OP 4.04)

Summary: The conservation of natural habitats is essential for long-term sustainable development. The Bank supports, and expects borrowers to apply, a precautionary approach to natural resource management to ensure opportunities for environmentally sustainable development. The Bank does not support projects that, in its opinion, involves the significant conversion or degradation of critical natural habitats. It does not support impacts on other natural habitats without suitable mitigation measures.

Objective: To ensure the protection, maintenance and rehabilitation of natural habitats and their functions within the financed project.

Questions:

i) Will the project be sited on lands that were converted from a critical natural habitat in anticipation of the project?

ii) Will the project be sited on lands that require conversion of critical natural habitat?

iii) On a site with critical natural habitat, are there feasible alternatives for the project?

iv) Do the overall benefits of the project substantially outweigh the environmental costs of affecting the critical natural habitat?

Other comments:

Actions:

If 'yes', the Bank will not support the project.

If 'yes' the Bank will not support the project. Proceed to question iii). If 'no', proceed with the project.

If the habitat is not critical and there is an acceptable mitigation measure available, the Bank will support the project.

If, 'yes' go to the feasible alternative. If 'no', go to question iv)

If 'yes', the Bank will likely support the project. If the environmental assessment indicates that a project would significantly convert or degrade natural habitats, the project will include mitigative measures acceptable to the Bank and these could include minimizing habitat loss, and/or establishing and maintaining an ecologically similar protected area. Other forms of mitigation will be approved if they are technically feasible.

If 'no', the Bank will not support the pro-ject.

i) In deciding whether to support a project with potential impacts on a natural habitat, the Bank takes into account the borrower's ability to implement the appropriate conservation and mitigation measures. If there are potential institutional capacity problems, the project includes components that develop the capacity of national and local institutions for effective environmental planning and management.

ii) The Bank expects the borrower to take into account the views, roles and rights of interest groups including NGOs and local communities affected by the project. It expects that such interested parties be involved in the planning, design, implementing and evaluating of such projects.


Ill . Forests (OP 4.36)

Summary: The management, conservation, and sustainable development of forest ecosystems and their associated resources are essential for lasting poverty reduction and sustainable development. The Bank can assist borrowers with forest restoration activities that maintain or enhance biodiversity and ecosystem functionality. It can also assist with the establishment and sustainable management of environmentally appropriate, socially beneficial, and economically viable forest plantations to help meet growing demands for forest goods and services. The Bank does not finance projects that, in its opinion, would involve significant conversion or degradation of natural forests or related critical natural habitats.

Objective: To assist borrowers to harness the potential of forests to reduce poverty in a sustainable manner, integrate forests effectively into sustainable economic development, and protect the vital local and global environmental services and values of the forests

Questions: Actions:

i) Will the project have an impact If 'yes', the Forests Policy is triggered. If such forests are critical the on the health and quality of Bank will not approve the project. If non-critical, the Bank will forests? consider financing providing the appropriate mitigation measures are

put in place. ii) Will the project affect the If 'yes' the Forests Policy is triggered and unless the project benefits rights and welfare of people and significantly ,outweigh the social and culturaI costs and that their level of dependence upon or appropriate and effective mitigation measures are put into place, the interaction with the forests? Bank will not approve project financing.

iii) Will the project bring about changes in the management, protection or utilization of forests, regardless of their ownership?

Other comments:

If 'yes' the Forests Policy is triggered. The project proponent will be requircd to show that project benefits significantly outweigh negative aspects of changed management and will also incorporate appropriate mitigation measures into its program in order to receive Bank approval for financing.

i) For natural forests and natural habitats that are not critical, the Bank may finance the project if the Bank determines that there are no feasible alternatives of the project and its siting, and that the overall benefits from the project substantially outweigh the environmental costs, and that appropriate mitigative measures are put into place.

- - -

ii) The Rank does~not finance projects that contravene applicable international environmental agreements.


IV. Pest Management (OP4.09)

Summary: In assisting borrowers to manage pests that affect either agriculture or public health, the Bank supports a strategy that promotes the use of biological or environmental control methods and reduces reliance on synthetic chemical pesticides. The borrower has to address pest management issues in the context of the project's environmental assessment.

Objective: To reduce the amount and build-up of chemical pesticides in the environment to ensure maintenance of public health and the health of the biophysical environment.

Questions: Actions:

i ) Will the project require the use If 'yes', the Bank will assess the country' s pest management of pesticides to control forest, programmes and procedures. The Bank will promote the adoption of agricultural or public health integrated pest management (IPM) programmes. The Bank will also pests? appraise the country's regulatory framework and institutions to

promote and support safe, effective and environmentally sound pest 1 management.

O the r comments:

i) The Bank may finance the purchase of pesticides when their use is justified under an IPM approach.

ii) The procurement of any pesticide in a Bank financed proiect is contingent on an assessment of the nature and degree of associated risks, taking into accouni thk proposed use and the intended users. The Bank refers to the World Health Organization's Kecommended Classification of Pesticides by Hazard and Guidelines to Classification (Geneva: WHO 1994-95)

iii) Where pesticides have to be used in Bank financed projects, they must have negligible adverse health effects; they must be shown to be effective against the target species; they must have minima1 effects on non-target species and the natural environment; and, their use must take into account the need to prevent the development of resistance in pests.


V. Involuntary Resettlement (OP 4.12) Summary: Bank experience indicates that involuntary resettlement under development projects, if unmitigated, often gives rise to severe economic, social and environmental risks: production systems are dismantled; people face impoverishment when their production assets or income sources are lost; people are relocated to environments where their productive skills may by less applicable and the competition for resources greater; community institutions and social networks are weakened; kin groups are dispersed; and cultural identity, traditional authority, and the potential for mutual help are diminished or lost. Where people are forced into resettling as a result of a Bank project or a component of the project that may be under other financial arrangements, the Bank requires that those who are resettled are done so in such as way as to minimize their disruption and to compensate for their losses. The borrower will be responsible for preparing, implementing, and monitoring a resettlement plan, a resettlement policy framework, or a process framework, as appropriate, that conforms to the policy. Objective: Involuntary resettlement will be avoided where feasible, or minimized. Where resettlement is required, resettlement activities will be conceived and executed as sustainable development programmes, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits. Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them to

Questions: i) 1s it necessary to use any land for this particular project and is anyone using that land for any purpose? ii) Will the taking of land result in relocation or loss of shelter? iii) Will the taking of land result in a loss of assets or access to assets? iv) Will the taking of land result in the loss of income sources or means of livelihood? v) Will there be an involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons?

Other comments:

levels prevailing prior to the beginning of project implementation. Actions:

If the answer to one or more of the questions is yes, then a comprehensive resettlement programme will be required and this will be predicated with a resettlement plan. Depending upon the significance of the impacts (e.g, minor or less than 200 resettled) an abbreviated resettlement plan would be required only). The plans will ensure that: i) people are informed of their options and rights pertaining to resettlement; ii) they are consulted and given feasible resettlement alternatives; iii) they are provided prompt and full compensation for losses incurred. If physical relocation is required the plan will: i) provide assistance during relocation; ii) be provided with housing, housing sites, or agricultural sites; iii) offered support after resettlement; iv) provided with development assistance such as land preparation, credit facilities. training or job opportunities.

Resettlement planning includes early screening, scoping of key issues, the choice of resettlement instrument, and the information required to prepare the resettlement component. To prepare the plan the borrower will draw upon appropriate social, technical, and legal expertise and on relevant community based organizations and NGOs.

i) Bank experience has shown that resettlement of indigenous peoples with traditional land-based modes of production is particularly complex and may have significant adverse impacts on their identity and cultural survival. The Bank will wish to be satisfied that the borrower has explored all viable alternative project designs to avoid physical displacement of these groups. ii) At the borrower's request the Bank may provide technical, legal and financial support for resettlement planning and for institutional capacity strengthening as this relates to resettlement planning and implementation. iii) The full cost of resettlement activities to achieve the objectives of the project are included in the total costs of the project.

v) If financial intermediary (FI) projects are to involve involuntary resettlement the Bank requires that the FI screen subprojects to be financed to ensure consistency with this policy. The Bank will require, before appraisal, the FI to submit a resettlement policy framework that will include an assessment of the institutional capacity and procedures of the F1.


VI. Indigenous Peoples (OP 4.10)

Summary: Special action is required where Bank investments (directly or indirectly) affect indigenous peoples, tribes, ethnic minorities, or other groups whose social and economic status restricts their capacity to assert their interests and rights in land and other productive resources. Indigenous peoples include those social groups with a social and cultural identity that is distinct from the dominant society and which makes them vulnerable to being disadvantaged in the development process. The borrower for a project that may affect indigenous peoples must engage in a process of free, prior, and informed consultation.

Objective: The development process of the Bank must foster full respect for the dignity, human rights and cultural uniqueness of all people. Indigenous peoples must not suffer adverse effects during the development process and they must receive culturally compatible social and economic benefits.

Questions:

i) Will the project have adverse effects on indigenous peoples' communities?

ii) Is there broad community support for the project following a process of free, prior, and informed consultation?

iii) Can the adverse effects be avoided, minimized, mitigated or compensated for?

Other comments:

Actions:

If the answer to i) is 'no', proceed. If the answer is 'yes' proceed to question ii). In either case, a social assessment conducted by the project proponent's qualified social scientists will be required.

If the answer to ii) is 'no', a project alternative that will not affect indigenous peoples' communities will have to be found. If the answer to ii) is 'yes', proceed to question iii).

If the answer is 'no', the project can not go ahead. If the answer is 'yes', the Bank will support the project and the project proponent will be required to prepare an indigenous peoples' plan (IPP).

The IPP will be culturally appropriate and be based on full consideration of the options preferred by the indigenous people to be affected. Development activities described in the plan should support production systems that are well adapted to the needs and environment of indigenous peoples. The plan should avoid creating or aggravating the dependency of indigenous people on project entities. Full public consultation with the potentially affected groups will be necessary in order to effectively reflect the groups' needs and requirements as well as to identify cultural aspects that could be threatened by the proposed project.

i) Any IPP must take into account the host country's legal framework relating to indigenous peoples.

ii) This safeguard policy is difficult to address since the definition of an indigenous group is not always clear. The project proponent may require assistance from the Bank in this matter.

iii) The proponent may require the input of an anthropologist or social specialist to assist in the preparation of an IPP.


V11. Cultural Property ( O P 4.11)

Summary: Cultural property includes sites having archaeological (prehistoric), paleontological, historical, religious andlor unique natural values. The Bank will normally decline to finance a project that will significantly damage non-replicable cultural property, and will assist only those projects that are sited or designed in a way that will prevent such damage. The policy pertains to any project in which the Bank is involved, regardless of whether or not the Bank is itself financing the part of the project that may affect cultural property.

Objective: To assist in the preservation of, and to seek to avoid elimination of, cultural property.

Questions:

i) Will the project damage or remove cultural property?

Actions:

If 'yes', the proponent must take appropriate action to meet the Bank requirements of cultural property protection. If the project benefits are great and the loss or damage of the cultural property is judged by competent authorities to be unavoidable, minor, or otherwise acceptable, the Bank may allow deviation from this policy.

If significant damage to non-replicable cultural property is likely, the Bank will normally decline its support for the pro-ject.

Other comments:

i) The Bank will assist in the protection and enhancement of cultural properties encountered in Bank- financed projects, rather than leaving their protection to chance. In some cases, the project is best relocated in order that sites and structures can be preserved, studied, and restored in situ. In other cases, structures can be relocated, preserved, studied, and restored on alternative sites. Often, scientific study, selective salvage. and museum preservation before destruction is all that is necessary. Such actions, including the necessary training and strengthening of the relevant institutions (e.g. local museum specialists) should be included in the scope of the project.


VIII. Safety of Dams (OP 4.37)

Summary: For the life of any dam, the owner is responsible for ensuring that appropriate measures are taken and sufficient resources provided for dam safety, irrespective of its funding sources or construction status. For new dams, construction must be supervised by experienced and competent professionals and the borrower must adopt and implement certain dam safety measures for the design, bid tendering, construction, operation and maintenance of the dam and associated works.

Objective: T o ensure that all dams designed and built with, in part or whole, Bank funding will function properly and will not fail under any circumstances.

Questions:

i) What is the height of the proposed dam?

ii) Is the dam an existing dam or one under construction?

Othe r comments:

Actions:

Dams over 15 metres in height are considered to be large dams. For dams less than 15 metres in height, generic dam safety measures designed by qualified engineers are usually adequate. Dams less than 15 metres in height are treated as large dams if they present design complexities. Dams under 10 metres in height are treated as large dams if they are expected to become large dams during the operation facility.

Large dams require: i) reviews by an independent panel of experts; ii) detailed plans including construction supervision, instrumentation plan, 0 and M plan and an emergency preparedness plan; iii) prequalification of bidders during procurement and bid tendering; iv) periodic safety inspections of the dam after completion.

If yes, the borrow must arrange for one or more independent dam specialists to inspect and evaluate; review and evaluate owner's 0 and M procedures; and provide written report of remedial work or safety measures required to upgrade existing dam

i) If substantial remedial work is required the work must be designed and supervised by trained and competent professionals and a panel of experts may be required in the case of high-hazard dams involving significant and complex remedial work.


1X. Projects on International Waterways (OP 7.50)

Summary: Projects on international waterways may affect relations between the Bank and its borrowers and between states (whether members of the Bank or not). It is important that riparians make appropriate agreements or arrangements to ensure the efficient use and protection of waterways. Projects with an effect would include hydroelectric, irrigation, flood control, navigation, drainage, water and sewerage, industrial and similar projects that involve the use or potential pollution of international waterways.

Objective: To ensure that Bank funded projects that may affect an international waterway directly or indirectly do not interfere with other riparian needs or requirements or contravenes other riparian laws pertaining to the use andlor protection of the waterway.

i) Will the project affect a If the answer to any of these questions is 'yes' and the project may waterbody (river, canal, lake) that affect relations between the Bank and its borrowers and between states forms a boundary between two or then the riparians should make appropriate agreements or more states? arrangements for these purposes for the entire waterway or any part

thereof. The Bank will assist riparians in achieving this end. ii) Will the project affect a waterbody that flows through two Where differences remain unresolved between the state proposing the or more states? project (beneficiary state) and the other riparians, prior to financing

the project the Bank normally will urge the beneficiary state to offcr to iii) Will the project affect a bay, negotiate in good faith with the other riparians to reach appropriate gulf, strait or channel bounded by agreements or arrangements. two or more states, or if within one state, recognized as a necessary channel of If the proponent does not wish to inform the potentially affected state communication between the open of the proposed project the Bank to do so on its behalf. If the sea and other states - and any beneficiary state objects to the Bank's doing so, the Bank will river flowing into such waters? discontinue processing the project.

Other comments:

i) If other riparians raise objections to the proposed projects, the Bank may appoint independent expertise to examine the issues in accordance with best practices. Should the Bank decide to proceed with the project despite the objections of other riparians, the Bank will inform other riparians of this decision.

ii) In the case of ongoing schemes, projects involving additions or alterations that require rehabilitation, construction, or other changes that in the judgement of the Bank will not adversely change the quality or quantity of water flows to other riparians or will not be adversely affected by the other riparians' possible water use, the Bank's requirement to notify other riparian states may be waived. Such an exception applies only to minor additions or alterations to an ongoing scheme and does not cover works and activities excecding the original scheme, change its nature, or so alter or expand its scope and extent as to make it appear a new or different scheme.


X. Projects in Disputed Areas (OP 7.60)

Summary: Projects in areas where an international border in dispute may raise a number of delicate problems affecting relations not only between the Bank and its member countries, but also between the country in which the project is carried out and one or more neighbouring countries. In order not to prejudice the position of either the Bank or the countries concerned, any dispute over an area in which a proposed project is located will be discussed at the earliest possible stage.

Objective: To ensure that no Bank supported project interferes with the rights or perceived rights of neighbouring countries by directly or indirectly ccurring in a disputed area.

Questions: Actions: 1 Does lhe project lake piace in, Or does it affect an area that is under, dispute?

- -

If the answer is 'yes', the project may advance but not without discussions leading to agreements with neighbouring countries which have a stake or perceived stake in the disputed area.


ANNEX C

Content of Project ~ r i e f ' ~ ' ~ ~

Project Briefs are concise documents (20 pages) that should contain the following information:

1. Contact details of the Developer (sponsor)

Name of the developer (sponsor)

6 Main postal address, telephone, fax and e-mail details of the developer (sponsor)

Name of the main contact person and direct postal address, telephone, fax, and e- mail details

2. Characteristics of the project

Brief description of the proposed project including type of project, the form of energy source, size of the project (capacity installed), transmitted or distributed, length of transmission and distribution lines, number of people to benefit from the project, raw materials needed, products and by-products and waste disposal.

Reasons for proposing the project (justification of the project, project objectives)

Background of the project: How was the project conceived? Findings from previous studies such as energy supply and demand analysis that contributed to the conception of the project; relationship with other existinglplanned projects.

Project site: Maps and photographs showing the location ofthe project relative to surrounding physical, natural and man-made features; existing land uses on and adjacent to the site and any future planned land uses; protected and sensitive areas such as national parks, forests, wetlands, sites of cultural interest; alternative project sites; reasons for choosing the particular site.

Baseline data: The baseline data should include information relevant to the proposed project that will depend on the source of energy of a particular project. It will include data on some of the following: geology and soils, climate and rainfall conditions, settlement areas, land requirements for construction, land use and tenure, sites of cultural or historic value, human population and demographic trends, local government structure, major economic activities of the area, public health status, social-economic activities

IY Source: Republ~c of Uganda. 2006. Environmental Impact Assessment Guidel~nes for the Energy Sector. NEMA. Much of the description, particularly the section on impacts, would be described in a similar manner but in much greater detail,

in an EIA that would be required for a Category 11 or 111 (Uganda system) project.


and cultural issues. Particularly for hydro generating projects, the following: drainage patterns, total river basin, long term average flow of a river, water level of reservoir, design flood level, reservoir area during normal storage, minimum and maximum water level in downstream sections, and submerged land.

Physical form of the development: layout, buildings, other structures, construction materials, etc., including details of: energy source, energy generated, transmitted or distributed. Particularly for hydro-generation: size of dam, spillways, size of penstock, pipeline or storage capacity, reservoir areas and height; transmission line, voltage, number, length; distribution lines - voltage, number and length; energy demand and supply in the project area; raw material consumption rate; access roads; project land within project boundary; site preparation activities such as clearing of land, forests, drilling blasting and excavation of land; time needed for project development.

Construction practices: Specific construction techniques to be used with emphasis on any potential impacts of construction such as noise and dust. Needed housing, transportation and other facilities for workers.

Preliminary analysis of alternatives: The brief should indicate reasonable alternatives to meet project objectives. This may lead to alternatives that are sounder from an environmental, social, cultural and economic point of view from the original proposed project. Alternatives can be other energy sources, construction of smaller energy facilities, alternative sites and different technologies.

Other large development projects ongoing or planned for within the area of influence of the energy project.

3 . Characteristics of the potential impacts

A brief description of the likely impacts of the project considering the following factors:

Impacts on people (accidents due to falling objects), human health, gender distribution of social-economic benefits, fauna and flora, soils, land use, material aspects, water quality and hydrology, air quality, climate, noise and vibration, the landscape and visual environment, historic and cultural heritage resources, and the interactions between them.

Nature of the impacts (are they direct, indirect, secondary, cumulative, short, medium or long-term, permanent or temporary, positive or negative.

Extent of the impacts (geographical area, size of the affected population / habitat / species)

Magnitude and complexity of the impacts

Probability of the impacts


Duration, frequency and reversibility of the impacts

Mitigation incorporated into the project design to reduce, avoid or offset significant adverse impacts

Transboundary nature of the impact

MEMDIREA Environment and Social Management Framework (ESMF) September PO06

ANNEX D

Technical guidelines for environmental assessment and impact mitigation

1. Baseline Studies

Baseline studies are the first stage in the EIA process. The goal of collecting baseline data is to determine the value of natural and human environments (high to low value) to be affected by project activities. With this pre-project baseline information, it will then be possible to identify and measure impacts of future project activities and preparation of a monitoring plan. Much of the baseline information may be contained in the Project Brief. However, during the baseline study any gaps should be identified and filled.

The baseline study will make use of a number of standard methods, including surveys, field visits and review of existing literature. Baseline studies for ERT projects may consist of the following main elements, depending on the type and scale of the specific project:

Description of terrestrial vegetation, including important or rare species, accounts of human interventions such as clearing, cutting wood !%el and grass fires and the agro- ecosystem

Description of fauna and habitats, including important or rare species, interaction with human populations and hunting practices

Description of the aquatic ecosystem, including physical and chemical features, sediments, river flow characteristics, zooplankton, macro-invertebrates, fish species and fish migration, fishing practices, aquatic plants, water hyacinths and wetland vegetation

Identification of conservation status of project area in relation to natural environment and biodiversity issues on an international, national and regional/local basis

Demography: sample population and household surveys to provide information on number of households and affected people; population profile, birth and mortality rates, ethnic composition

Cultural Heritage: account of history and migrations, settlement patterns, household composition, religious practices and survey of any archaeological finds or cultural heritage sites

Gender Issues: household composition, division of labour, women's position in society

Resource Use: agricultural production, land holdings, cropping system, livestock, fishing, use of forests, water sources and energy use (particularly wood fuel)

Economic Activities: characteristics of the household economy, trading centres, account of skills and description of the standard of living

Health and Education: health and education facilities, major diseases, sanitation, education levels and literacy levels

Infrastructure and Services: roads, waterways and other forms of transportation, community water supply, eIectricity and sewage systems


Visual and Aesthetic Aspects: local perceptions of landscape and cultural importance and tourism potential of site

Stakeholders: District and local authorities, local groups related to project, national and international NGOs operating in the project area, International Donor programmes as well as public perception of the project

All baseline data should be examined according to designated Direct and Indirect Impact Zones of the project. Direct Impact Zone refers to any area that is subjected to physical disturbances caused by project activities. Indirect Impact Zone refers to any other influences or changes caused by project activities on adjacent areas or surrounding communities.

Analysis of Impacts

The methods used for assessing project impacts and arriving at recommendations and conclusions is based on a three-step procedure of making assessment of impacts, conclusions and recommendations more objective, easier to understand and possible to trace back if desired. The core of the procedure is to combine the 'value' of the affected environment and the 'magnitude of impacts' to arrive at an 'overall impact assessment'.

Step I

Firstly, baseline conditions, both environmental and social, are described in detail and a value, on a scale fiom 'low value' to 'high value', is assigned to the impact zones and the characteristics thereof. This value is related to international, national or local guidelines, standards and evaluations. In the case of the human environment, people, cultures and health cannot be ranked in such a manner and, unlike the varying values of the biophysical environments, should be all classified as having a 'high value'.

Medium High

Step 2

The second step is to describe and evaluate the magnitude of potential project impacts. The impacts are measured in terms of their extent in time and space, the vulnerability of the environments affected, the probability that impacts will occur and the reversibility of impacts. The magnitude of impacts is evaluated on a scale from 'high negative' to 'high positive'. In addition, distinction between the construction (i) and operational (ii) phases of the project. The example below is for terrestrial vegetation such that possible disruption during construction would cause some negative impacts but afier construction there would be little or no negative impacts.


Step 3

Phase

i

I i

The third and final step is combining the "value" (step 1) and "the magnitude of impacts" (step 2) to obtain the "overall impact assessment" (step 3). This assessment evaluated the importance of an impact on a scale from "very large negative" to "very large positive". For instance, an area of 'high value' affected by a 'high negative impact' results in an overall impact assessment of 'very large negative impact', while an area of 'low value' affected by a 'high negative impact' may give an overall assessment of 'small negative impact'. It is then possible to illustrate how different mitigation measures can reduce, offset or even eliminate negative impacts or how interventions can enhance benefits. An example is given below of the overall impact assessment:

Magnitude of impacts on Terrestrial vegetation ...

Negative Positive High Medium Little I no Medium High

1 1 I --+--

--+--

As a result of this procedure, positive and negative impacts are ranked in a relatively objective manner. An additional benefit of this approach is that the overall impact assessment also generates a priority list for mitigation and monitoring activities as well as priority of measures to optimise potential project benefits.

Study

Terrestrial Vegetation

Analysis of Alternatives

The analysis of alternatives for ERT projects should seek to compare various alternative options that may be available for any project, and thus determine which represents the most desirable in view of environmental and social factors. The process should therefore include an analysis and discussion of a range of alternatives to the proposed project that could feasibly meet the basic GoU and Bank environmental and social standards. The analysis and discussion should include an evaluation of the merits of each alternative with respect to the following:

Without mitigation

Medium Negative >(--)

Nature of the alternative sites/locations of the project

With mitigation

Little or no impact (-10)

Feasibility of the alternative

The trade-offs of advantages and disadvantages of each alternative

Cost effectiveness, including associated environmental costs and benefits of each alternative


a Technology and engineering design

Interference and/or harmony with the surroundings and future plans

Construction practices for each alternative

Operations, including associated demands for energy and other inputs by the various alternatives

Risks associated with the alternative, including potential risks to human health

Existence of important cultural and sensitive ecological systems and habitats in the proposed project area

Presence of endangered, rare andlor threatened species that may be at risk if the project is implemented

Conformity to existing policies, plans, laws, regulations, etc

The "No Project" alternative

During alternative analysis, the environmental losses and gains associated with the various alternatives are compared to provide a balanced and full picture for energy development. A recommendation and indication of the preferred alternative and why it was chosen shall normally be given in the discussion of alternatives. If the preferred alternative is not the one with the least impacts, the discussion shall indicate why it was chosen. The environmental and social analysis associated with alternative analyses is an important aid to the decision-making process.

Where it may not be possible to quantify or attach monetary value to a certain set of environmental impacts for purposes of comparing the various alternatives, other approaches may be adopted for placing value on such environmental impacts and thus permitting a decision to be made on the alternative to be implemented. This may involve holding meetings, seminars andlor round table discussions involving stakeholders, and/or ranking the alternatives using various important weighting techniques adopted on a project-by-project basis.

4. Impact Mitigation Guidelines

The purpose of impact mitigation is to look for alternative and better ways of implementing the proposed project or associated activities so that the negative impacts are eliminated or minimised, while benefits are enhanced. Impact mitigation requires that the full extent of the anticipated environmental problems be understood. In the following sections key environmental issues are outlined as guidelines for assessing impacts and formulating mitigation measures.

Avoidance of Areas of High Biodiversity

The most important guideline in relation to the development of ERT or any project of this kind is the avoidance of sensitive and high biodiversity sites as locations for projects. This would relate to hydropower and diesel generator schemes since PV


systems would be preferable in such areas as National Parks. This includes avoidance of National Parks and other areas with a high biodiversity or conservation value. Avoidance of these areas concerns not only project impacts but also the anticipated population influx and human development that may remain after project completion.

Water Flow

Changes in water flow and water quality are likely to occur when constructing a hydropower project, including run-of-the-river and mini-hydropower schemes. It is necessary to measure existing flows in terms of velocity of the proposed affected stretch of the river. Determining minimum by-pass flows will depend on good hydrological data. Another consideration is the generation capacity and needs which will in turn affect river flow. These fluctuations in flow will be most noticeable in the dry season when greater percentages of water will be diverted to generate power. Water flow issues concern only ERT hydropower projects.

Water Quality

Water quality covers a range of issues and a number of ERT projects, both hydropower and co-generationldiesel generation schemes. The issues relating to water quality are sedimentation and erosion, various forms of pollution and changing flora.

Sediment loads may increase during construction periods for hydropower projects and then may decrease during operation due to a reduction of flow in reservoirs. Measuring sediment loads during the various stages of project development and introducing measures to reduce loads during construction may be required for some ERT projects. Measures could include limiting construction activities to certain areas and protecting riverbanks from erosion. In addition, human activities that could contribute to erosion, such as increases in population and subsequent strains on natural resources, should also be addressed and monitored. Measures for controlling human impacts could consist in establishing camps away from sensitive areas and working with local authorities in limiting population influx.

Pollution in the form of fuel, oil, lubricants and other chemicals need to be controlled and carefully monitored. This is not only for the construction period but in the case of diesel generation it will be an integral part of the operation period. Safe sites away from water sources and human population need to be designated for such harmful materials.

Increases in population due to camps and population influx into project areas also presents problems in terms of pollution and health. Poor sanitary conditions can lead to the increased biological pollution in the form E. coli bacteria and unsafe drinking water. Other diseases to be aware of are the spread of malaria (increases in stagnant water) and parasites (unsanitary conditions).

Finally, the spread of water hyacinth due to stagnant waters may be a problem in relation to hydropower development. Monitoring and the introduction of physical and chemical (minimal) controls may need to be considered.


Soil Degradation and Erosion

Related to water quality are the themes of soil degradation and erosion due to construction activities and potential increases in agricultural activities in ERT project areas. This may be primarily in the case of hydropower projects but population increases can be expected in area where electricity is made available given the advantages of electricity and the relatively few rural areas that are presently supplied. Increased demand for food could result in shorter fallow periods, use of areas prone to erosion and other negative impacts that degrade the soil and cause erosion.

Pollution

Changes in air quality in terms of dust, gaseous substances and other particles should be monitored carefully. Noise pollution is also an issue during construction and in the running of diesel generators. Limitations on location of machines and permanent structures should conform to safety and acceptable standards and may require consultations with locally affected people.

Impacts on Vegetation

Charting potential and actual changes in the biological environment will form an important part of assessing and monitoring of impacts. Many ERT projects will involve some clearing activities, potential population influx into new areas and possible destruction of natural habitat. Measures to control negative impacts may include demarcating areas, limiting project activities away from sensitive areas and conducting environmental awareness programmes. The latter would be imperative when projects are located near National Parks or other areas of important biodiversity. After project construction, revegetation programmes and reforestation programmes may be undertaken and should be funded by the project developer as part of the overall mitigation plan.

Impacts on Fauna

Most ERT projects are likely to be in inhabited areas but there may be some examples of impacts on mammals, herpetofauna, avifauna and aquatic life. If this is the case, a proper baseline study of wildlife needs to be undertaken and measures suggested by experts to offset or eliminate risks to habitats or hunting. Environmental awareness programmes and strengthening government authorities would be typical measures.

In addition to the above, a number of socio-economic impacts could occur and these need to be addressed in a similar manner.

Tables 7.2 - 7.5 in this annex summarise the main environmental and social issues and the mitigation measures for each of the four types of ERT projects, hydropower, grid extension, co-generation or diesel and PV systems. These tables combine both impacts on the natural and human environments.


5. Identifying Opportunities from Positive Impacts

The EIA study should address positive impacts that may arise from the electrification. It should also explore opportunities for environmental enhancement. The involvement of local communities is essential in developing ways to enhance positive impacts.

6. Environmental Management Plan

Goals and Objectives

An Environmental Management Plan (EMP) should clearly define all environmental requirements for the successful integration of measures to eliminate, offset or reduce the expected impacts as identified in the EIA The EMP forms the link between the impacts and mitigation measures presented in the EIA and the implementation of a range of management activities. The EMP should outline the mitigation measures, monitoring activities and institutional arrangements to be followed during the pre- construction, construction, operation and decommissioning (if applicable) phases to avoid or control impacts as well as indicating the scheduling, budgets and responsibilities for the recommended mitigation and monitoring activities.

EIA studies for ERT projects should identify a variety of impacts that a particular project is likely to have on the natural and human environments. Timely and efficient implementation of mitigation measures and monitoring activities should be recommended in the EIA in order to ensure the environmental and social sustainability of the project, which is the overall objective for the EMP.

Stakeholders

A large number of stakeholders or partners are likely to be involved in the EIA consultations and project planning of an ERT project. These could include the Ministry of Energy and Mineral Development, District Authorities, Local Councils, NEMA, UWA, NGOs and the local population. The involvement of these groups should be maintained during the implementation of mitigation measures and monitoring. Certain mitigation and monitoring activities, in terms of project design, construction methods and project operation are clearly the responsibility of the developer. However, other stakeholders could be heavily involved in the implementation of the EMP, particularly in the mitigation and monitoring activities relating to such issues as conservation areas, agricultural intensification and social development strategies. It is especially important to involve relevant stakeholders in these types of 'developmental' activities in order for the benefits to be maintained in the long term. The Project developer has the financial responsibility for the EMP. However, particular activities may be the responsibility of other stakeholders who will also participate in the implementation.

A table outlining mitigation measures, responsible party, involved other parties and costs will need to be presented as part of a EMP.


Mitigation Measures

Mitigation measures, depending on the scale and type of project, may be divided into two levels: Level I will include measures that are required by WB and NEMA guidelines as conditions for approval of a project. Level I1 will include measures that are highly recommended although not considered of such importance that they should be set as conditions for project implementation. Although not conditions for development these mitigation measures could still have major positive effects.

An approximate cost should also be presented with each main mitigation measure. Budgeting must be further detailed during the refinement of the plan by those responsible for implementation of the EMP. In order to implement the recommended mitigation measures effectively and in a timely manner it is considered important that adequate organisational and managerial bodies are in place.

EMP Manager

A suitably qualified EMP manager should be appointed to lead the detailing and implementation of the Environmental Management Plan (EMP). This position will vary considerable depending on the scale and type of ERT project: for hydropower projects and transmission lines the EMP manager could be full-time during the construction phase. However, for smaller projects the role of the EMP manager will be limited in scope and time. The EMP manager should have a broad background in environmental management including experience with EIAs, with respect to environmental, socio-economic, health and cultural issues. He/she should also have experience with hydropower projects if this type of generation is employed. The sponsor I developer should provide financing for this position.

The main tasks for the EMP manager will include:

Co-ordination of detailing and implementation of the mitigation measures and monitoring activities.

Compilation of data from monitoring activities.

Monitor how project activities conform with the analysis, conclusions and recommendations of the EIA.

Monitor and follow-up implementation of measures set as conditions and requirements for the Government licence to develop the Project.

Internal and external reporting on the implementation of the mitigation measures and monitoring activities, including monthly internal reports for the Environment Review Committee (ERC) and quarterly as well as annual external reports to NEMA and other relevant parties.

Acting as contact person for the people in the direct impact zone (DIZ) and indiriect impact zone (MDIZ), the general public, District authorities, Conservation Area Authorities (UWA), NEMA, MEMD, NGOs, the Contractors and the financiers.


Environmental Review Committee

An Environmental Review Committee may be required for ERT activities such as hydropower projects that can have significant impacts. NEMA will be responsible for setting up such a committee. The Committee should meet regularly (for example, quarterly), and more often if certain issues arise, to review how project activities conform with the analysis, conclusions and recommendations of the EIA. The Committee should evaluate the progress of the EMP and follow-up on the conditions and requirements for the licence to develop the project. Generally, it will provide advice and guidance on environmental and social issues related to a particular ERT project.

Capacity building

Capacity building is an important element in any project that has long term objectives. In the case of ERT projects, efforts to maintain the environment and improve social conditions will be greatly enhanced by improving the capacity of local and district organisations to deal with the new situation. Regular meetings and workshops will be needed to discuss ongoing concerns and improve understanding. Regular interactions between the sponsor / developer, the EMP Manager, local authorities and other implementing organisations will be essential.

The district and local authorities will also be involved in a number of activities that will require training and capacity building in areas such as social development programmes and conservation awareness. Some of these programmes could be run with the involvement of experienced NGOs.

EMP Schedule

In addition, to outlining mitigation measures, responsibilities, participants and costs, a schedule of activities for mitigation and monitoring is required as an integral part of an EMP. A schedule should indicate implementation of mitigation measures in relation to project activities as a whole and the project stages of pre-construction, construction, operation and decommissioning (if applicable).

7 Summary of Safeguard Issues and Mitigation Measures for ERT Projects

The following tables summarise all issues and mitigation measures for the four main types of ERT projects.


I Water and soil quality I Minimum bypass flows

Table D.O-I: Broad Social and Environrnenfal Issues and Mitigation Measures for ERTHydropower Projects

I I Measures to reduce organic and inorganic waste runoff into water systems

Issues

Natural Habitat Disturbance

Appropriate material handling, storage and disposal systems Appropriate disposal of waste materials Establish appropriately designed landfill sites Restrictions on blasting

Mitigation Measures

Strengthening local authorities and conservation personnel responsible for managing natural resources Public Awareness Programme Agricultural extension programmes Provision for energy (kerosene subsidies and woodfuel lots as required during the construction period) Avoidance of significant areas during pre-construction and construction phases Downstream flow releases to maintain aauatic habitats

I I Reveaetation programme

I

1 Erosion and sedimentation 1 I

Impacts on Landscape

I Loss of Cult~ral Property Consultations with local leaders and spiritual leaders to identify important sites and avoidance of important site disturbance

Appropriate locations for handling, storing and disposing of oil products and other harmful chemicals Limited use of pesticides

Appropriate drainage, erosion prevention and modified construction techniques during the construction period Site revegetation programme Installation of settlement ponds and sediment traps

Considerations of aesthetic and cultural values in design of project features

1 1 Provisions for relocation of important cultural sites I 1 Funds for conductina necessarv rituals and ceremonies related to beliefs

I I lnvolu"tary Resettlement ~ G i d siting infrastructure where people will be disturbed and where resettlement could be an issue

I I Consultations with affected persons

I Prepare and implement resettlement plan and alternatives for affected' persons Cash compensation based on District assessment rates for loss of up to 25% of property or production

I Relocation support and livelihood development plan for those affected by more than 25% of property or production

1 I Affected peoples given opportunity to identify potential settlement areas

I 1 Host communities brought into the planning process for resettlement

Health awareness programmes - hygiene, malaria and other water-borne 1 diseases and STDs

Health and safety

Supervision of health facilities and worker safety measures during construction period

Strengthening of local author',ties and line agencies responsible for carrying out resettlement and agricultural extension and possible involvement of local NGOs

Strengthening existing health facilities - perhaps with the active involvement of NGOs as support

Provisions to ensure safe drinking water Ensure effective sewage treatment and properly designed and managed camps to avoid insect and mammal disease carriers

) Ensure safety training for workers, safety equipment for workers, and


I I ~ rov ide safe work conditions and safetv manaaement and inspections 1 I International Agreements I Review of all relevant international agreements as required for projects 1 ( Dam Safety 1 Independent review of dam design and safety I

Table D.O-2: Broad Environmental and Social Issues and Mitigation Measures for ERT Grid Extension Projects

I Mitigation Measures I Issues I

I Natural Habitat Disturbance Strengthening local authorities and conservation personnel responsible for managing natural resources Public Awareness Programme Agricultural extension programmes Provision for energy (kerosene subsidies and woodfuel lots as required during the construction period) Avoid disturbance of important areas of biodiversity Avoid placement of transmission lines across bird flyways and provide devices that will discourage birds from flying into lines and nestina on ~ i l ons

Erosion and sedimentation Drainage and erosion prevention and modified I construction techniques during the construction period 1

I I Reveaetation roara am me 1 Appropriate locations for handling, storing and disposing of oil products and other harmful chemicals

1 I Limited use of ~esticides I ppppp

Involuntary resettlement -

Avoid siting infrastructure where people will be disturbed and where resettlement could be an issue Consultations with affected persons Prepare and implement resettlement plan and alternatives for affected persons Cash compensation based on District assessment rates for loss of up to 25% of property or production Relocation support and livelihood development plan for those affected by more than 25% of property or production Affected peoples given opportunity to identify potential settlement areas Host communities brought into the planning process for resettlement Strengthening of local authorities and line agencies responsible for carrying out resettlement and agricultural extension and possible involvement of local NGOs

Impacts on Landscape Considerations of aesthetic and cultural values in design of project features

I I Reveaetation roara am me 1 ~ - - - - - - - - - - -

) Loss of Cultural Property Avoidance of all culturally important sites


Table D.3: Environmental andSocial Issues and Mitigation Measures for ERT Co-generation and Diesel Projects

I lssues I Mitigation Measures I Natural Habitat Disturbance and lmpacts on Forestry

lmpacts on Water Quality

Strengthening local authorities and conservation personnel responsible for managing natural resources

Measures to reduce organic and inorganic waste Appropriate disposal of waste materials Appropriate locations for handling, storing and disposing of oil products and other harmful chemicals Limited use of ~esticides

Erosion and sedimentation Drainage and erosion prevention and modified construction techniques during the construction period

I 1 Reveaetation roara am me if reauired 1 I lmpacts on Landscape Considerations of aesthetic and cultural values in design of I ~ro iect features

Table D. 4: Environmental and Social Issues and Mitigation Measures for ERT P Y System Projects

Loss of Cultural Property Avoidance of all culturally important sites

1 Loss of Cultural Property I Avoidance of all culturallv im~ortant sites 1

Issues

Impacts on Landscape

Mitigation Measures

Considerations of aesthetic and cultural values in design of project features I

Resettlement Avoid disturbing existing landuse patterns and inhabited areas or alterations of existing structures Consultations with affected persons if required Mechanism for prompt and fair payments, monitoring and grievance procedures if necessary


ANNEX E

Guidelines for resettlement, social assessment and mitigation plans

1. Resettlement Issues

One of the negative impacts of ERT projects is involuntary displacement of people and thus the possible need for compensation and resettlement.

Displacement could bring about disruption and impoverishment to communities. Therefore it should be avoided or minimised by exploring all viable alternatives. If displacement is inevitable, compensation plans should be developed in the early stages of the planning process of the project.

The main objective in resettlement is to ensure that the displaced people receive benefits from the project. Involuntary resettlement, if necessary and unavoidable, therefore, should be an integral part of the ERT projects and should be handled at the onset of the project, i.e. at the planning and feasibility stages. When communities or individuals are displaced, it is likely that production systems are dismantled, kinship groups may be scattered, jobs may be lost, and social networks may collapse leading to a number of other socio-economic problems. Therefore, the involuntary resettlement programme should consider all these socio-economic aspects of the affected people.

For the majority of ERT projects it is envisaged that involuntary resettlement will not be on a large scale and that most impacts will concern compensation issues for loss of property and production (see below). Assessments of losses should be carried out by an evaluation team in co-operation with District authorities and Lead Agencies. Consultation with local people in the assessment is imperative in order to ensure fair assessments and transparency and to build trust between developers and authorities on the one hand and affected peoples on the other. Implementation and financing of mitigation measures will be the responsibility of the developer and need to be scheduled before construction commences in the overall project schedule.

2. Outline for Resettlement Action Plan and Social Mitigation Plan

Table D. 1 outlines the contents of a Resettlement Action Plan (RAP) as well as the Social Mitigation Plan for ERT projects. This is a full Table of Contents and each project context and degree of impacts will define whether all elements are required and to what extent. This outline conforms to the WE3 operational guidelines and best practice.


Table E.O-I: Outline for Resettlement Action Plan and Social Mitigation Plan

I Chapter I content -

I I Introduction Overview of main goals and objectives as well as methods and general conclusions I

I Participation I Seek public comments on Project Briefs, public opinions on I environmental and social aspects of the EIA, comments on social I ~:sultation I impact statement, assessment of affected communities and their I

I 1 orooertv, qrievances from affected oersons 1 -

Regional Detailed information on the regional land use and economy as well Context as information on district plans and development strategies for the I region

Basis for Planning

Description of impacts and their entitlements

Account of baseline survey results including stakeholder identification, livelihood activities, agricultural production, resource usage, public health and the present state of services and infrastructure

Full account of all impacts and discussion of project features (physical aspects)

Legal and Review of policies, including issues relating to resettlement and eligibility for compensation

Organisational Framework and Res~onsibilities

Outline of organisational framework and a clear division of responsibilities defined between project developers and aovernment authorities

- -- - - -

Outline compensation procedure, options and implementation arrangements, including a full account of number of affected parties and attention to vulnerable groups, list of affected people

Training and Outline of training programmes and continued participation and Participation interaction with stakeholders - show a feedback loop in planning

Site Selection and Housing

Livelihood lmprovement

Social lmprovement

In the case of resettlement, include site selection, host community situation and choice of housing

Resource assessment, livelihood options for resettlers and affected communities, assessment of labour requirements and risks

Health, education and livelihood data from the Environmental Analysis covering health, education and income generation, etc. and ~ossiblv involving the participation of NGOs in implementation

Socio-economic Studies and Evaluation Reports

Budget

Schedule

Socio-economic study is a baseline data that is collected within the project area about people/communities that would be affected by the project. The study should be carried out after demarcating the project area.

Careful and detailed account of all costs for resettlement and social improvements

Implementation programme focusing on development as well as

Socio-economic issues are normally considered during Environmental Impact Assessment. However, most times it is not suff~cient enough to be relied on completely for planning resettlement. A comprehensive survey of affected populations/communities is required in the case of the latter.

Monitoring mitigation measures e.g relocation of persons, affected &Evaluation oeooles' incomes and their qeneral welfare and food security


A comprehensive census should be carried out to identify the affected people on the household level. Vulnerable groups (women and children, female-headed households) should be considered in particular during this survey. The World Bank states that resettlement and compensation in terms of livelihood restoration and development is preferable to cash compensation. In agricultural zones, compensation should be land based in order to ensure that a household economy can be reconstructed at a level that is not worse than before resettlement. Further more, if the project activities will have an impact on more than 20% of equivalent of the total household economy, the family may need to be resettled on new land. Therefore, detailed calculation of household economies will be necessary in the social assessment and be the determinant in the compensation process. This is because most developments that have given cash compensation have left affected people worse off than they were before project development. Furthermore, the family heads tend to use the money for other things, leaving their families homeless.

The evaluation of assets (land and structures) and crops should be done in accordance with the laws of Uganda and the World Bank Guidelines. A multi-disciplinary team of different experts (land surveyors, project technicians, resettlement/compensation specialists, government representatives and others) will be required to evaluate project land and acquire the sizes of the individual plots that will be taken by the project. During this exercise of census and evaluation, the affected people, representatives of Local Councils (Government Representative), the Developer and Resettlement Officer from the Rural Electrification Agency (REA) must be involved. A list of affected people and their affected properties should be clearly laid out in the Evaluation Report. The results of the report will be included in the resettlement plan which will then need to be approved by the Government and the WB.

4. Identification of Affected People

The category of affected people are determined by the project area (Direct and Indirect Impact Zones) earmarked by the developer in consultation with the communities. The project area is then surveyed to establish exact boundaries. The people whose land lies within the demarcated land are those that are directly affected by the project. A survey of the individual plots should be carried out to establish the exact number of households affected, the area and the sizes of those plots to be obtained by the project. After the survey, a map of the project area showing the individual plots should be produced.

The actual implementation of resettlement and compensation will be carried out by the sponsor. In case of the construction of new houses and other infrastructure, the sponsor will hire a consultant to supervise contractors and/or the labour of affected people if the plan indicates that they construct their own dwellings. The transportation of affected people to their new locations will also be effected by the Developer supervised by the Rural Electrification Agency (REA). The vulnerable will be assisted by the sponsor together with the ERT Development Committees and REA.

The Uganda Constitution does not provide for a category of people known as "indigenous people." It refers to citizens of Uganda only. It instead has provision for minorities who have a right to participate in decision making processes, and their views are to be taken into account in the making of national plans and programmes.


Minorities refer to tribes with very small populations that can easily be overlooked. In Uganda, migrants from one district to another are in most cases in this category. Every person has a right to belong, enjoy, maintain and to promote any culture in community with others. Hence, it is not foreseen that the Bank guidelines concerning Indigenous People (OD 4.20) need to be applied to ERT projects in Uganda.

Table E.2: Bank framework for a social impact assessment report

I Report Sections I Description 1 I Introduction 1 Identification of develo~ment ~roiect to be assessed and im~lementation 1

Objectives

Project Description

Description of socio- cultural, institutional, historical and political context

Legislative and regulatory considerations

Key social issues

Data collection and research methods Strategy to achieve social development outcomes

Implications for analysis of alternatives and implementation arrangements

Monitoring plan

Expected outputs, schedule and reporting

arrangements for the social assessment. Rationale for the project, intended objectives, description of major components of the project, implementing agencies, current status and timetable, and presence of any associated projects. Summary of the general scope of the social assessment and discussion of its timing to the project preparation, design and implementation. Full description of the project including size, location, schedule, sequence of activities, resources available, expected implementation arrangements and life span. Description of the socio-cultural, institutional, historical and political context through a rapid review of available information. Qualitative descriptions and quantitative indicators of development trends relevant to the project such as significant demographic changes, patterns of asset ownership and livelihoods, external political or economic environment, etc. This will describe the constraints and opportunities posed to the project. Review all national legislation and regulations relevant to the project. Particular emphasis on laws and regulations governing the project's implementation and the access of poor and excluded groups to goods, sewices and opportunities to be provided by the project. Review enabling environment for public participation and development planning. Social analysis will build on strong aspects of the legal and regulatory systems to facilitate programme implementation and identify weak aspects while recommending alternative arrangements. Key elements relevant to the project encompass social diversity and gender; institutions, rules and behavior; stakeholders; participation; and social risks. These elements are examined to assess and describe opportunities, constraints and likely social impacts of the project. Describe the design and research methodology for the social analysis.

ldentifythe likely social development outcomes of the project and propose a social development strategy to achieve them, based on findings of the social assessment. Review the approaches that planners considered when they designed the project and compare them in terms of their relative impacts and social development outcomes. Consider the implications the findings of the social assessment might have on the different approaches. If the social assessment reveals the need for changes in the approach, describe what likely budgetary and administrative effects such changes may have. Design transparent monitoring and evaluation procedures by identifying social development indicators and by helping to design systems and identify organizational responsibilities for monitoring the project's effectiveness during implementation. Prepare detailed schedule of the social assessment activities. Explain outputs to be expected and provide delivery schedule of preliminary and final drafts of these outputs.


5. Legal Framework for Land Acquisition, Resettlement and Cultural Property

The position of the government of Uganda in relation to compensation to be paid if damage is caused to land is clear under the constitution and other Ugandan laws and deals primarily with cash compensation. The Bank guidelines, however, deal with income restoration and advise against cash compensation for affected people beyond 20% loss of property and production. It is necessary that Bank guidelines be followed for ERT projects which implies that Uganda laws may need to be modified in areas of resettlement and compensation.

The Uganda Constitution (1995)

Article 237(1) of the Constitution vests all land in Uganda in the citizens of Uganda. However, under Article 237(1) (a), the Government or Local Government may acquire land in the public interest. Such acquisition is subject to the provisions of Article 26 of the same Constitution, which gives every person in Uganda a right to own property. The Constitution also prescribes the tenure regimes in accordance with which rights and interest in which land may be held (Customary, Leasehold, Mailo, Freehold). It provides procedures to follow during the acquisition of land for public interest and provides for the "prompt payment of fair and adequate compensation" prior to taking possession of land. The Constitution however does not make resettlement a right.

The Electricity Act (1999)

The Electricity Act (1999) is a principal applicable law in respect to the construction and operation of the power station. Part VIII of the Act provides for acquisition of land and requires the "prompt payment of fair and adequate compensation" to all interested parties on the land. Section 71 of the Electricity Act (1999) deals with compensation for affected people to be determined in accordance with the Land Act (1 998) and Land Acquisition Act (1 965). The Act gives the Electricity Regulatory Authority powers to handle claims for compensation for land acquired.

The Land Act (1998)

The Act addresses land holding, management control and dispute processing. The developer should seek to enter into mutual agreement with the occupier or owner of the land upon payment of compensation. The Act creates a series of land administration institutions consisting of Uganda Land Commission (ULC), District Land Boards (DLB), Parish Land Committees (PLC) and land tribunals. Section 78 of the Act gives valuation principles for compensation i.e. compensation rates to be yearly approved by DLBs. Value for customary land is the open market value, buildings on land taken be on replacement cost in rural areas, 30% and 15% (of total sum assessed) disturbance allowance be paid if less than six months or six months notice respectively is given up to vacant possession. Section 40 requires the written consent from the spouse(s) and children before the household head transfers, sale or enter into contract of land where the household derives its livelihood. 'The District


Land Tribunals have power to determine any disputes arising out of compensation for land.

Under the Land Fund, there is a provision for resettling persons who have been rendered landless by Government action.

Land Acquisition Act (1965)

This Act makes provision for the procedures and method of compulsory acquisition of land for public purposes whether for temporary or permanent use. The minister responsible for land may authorise any person to enter upon the land and survey the land dig or bore the subsoil or any other thing necessary for ascertaining whether the land is suitable for a public purpose.

The Government is supposed to pay compensation (cash) to any person who suffers damage as a result of any action. Any dispute as to the compensation payable is to be referred by the Attorney General to court for decision.

The Land Acquisition Act stops at payment of compensation. It is not a legal requirement to purchase alternative land for the affected people by the project. Once they are promptly/adequately compensated, then the obligations stop there. The Government through the Ministry of Lands, Water and Environment, will pay the compensation to the affected persons.

There is no requirement or provision in Uganda law that people need to be moved or that alternative land be made available or bought. Each affected person entitled to be compensated in cash only, on receipt of hisher compensation is expected to move and has no further claim.

World Bank Group Safeguard Policies and Guidelines

Draft BP 4: 12 and OD 4:30 "Involuntary Resettlement" require that displaced persons should be compensated at full replacement cost, assisted with relocationlresettlement and during the transition period. The developer should be encouraged to offer replacement land rather than cash compensation when the residual land holdings are not economically viable. In addition, the Bank guidelines stipulate that the resettlers should not be worse off after the move and that there should be measures to restore livelihood to at least the former (preferably a higher) standard of living. This implies that a livelihood restoration programme, long-term support and monitoring are essential.

Differences between Uganda Laws and the World Bank Policy

There are some differences between the World Bank Policy and the Ugandan Laws on this matter. The apparent difference is on the modality of implementation. While the Ugandan Laws restrict themselves to fair, adequate and prompt compensation (which is interpreted to mean cash), the Bank policy extends it to providing alternative land and resettling the persons.


It is necessary that an agreement be reached by the Bank and the funding mechanisms for the ERT and existing Uganda law and procedures to the satisfaction of both parties. Since the Bank will need to approve resettlement and compensation plans (at least for those affected by a loss of more than 20% of property and production), that costs for additional programmes aimed at income restoration and livelihood development and monitoring be covered in developers' budgets for ERT projects.

6. Compensation Rates

Land

Land management and control of its transactions are decentralised at District and Parish levels through District Land Boards and Parish Land Committees respectively.

Fixing the value of land in Uganda depends on whether it is public (Government owned) or privately owned according to land tenure types indicated in the section on land acquisition. If it is public land, the Chief Government Valuers' office will fix the rates of compensation. If owned privately, the sponsor will negotiate with the owner and agree on the amount to pay for the land to be acquired.

In both instances, the value of land varies from one location to another. For example, land in Kabaale District will not have the same value as that in Masindi District due to agricultural productivity and population density.

Structures and Assets

In Uganda, it is the responsibility of the sponsor to engage a professional valuer to carry out an assessment of all structures and assets in the affected area. However, rates of structures/ buildings in urban areas are fixed by the Chief Government Valuers' office.

In Uganda, rates of structures which are located on land which has a Title Deed are normally negotiated with the owner of the structure. Rates for structures on land that lacks a Title Deed are fixed by the District Land Board just like crops and trees. However, in Bank funded projects, ownership and occupancy are treated equally, therefore in both cases the affected people are entitled to the same compensation and have the same opportunity to negotiate. This should be the procedure adapted for ERT projects in conformity to Bank requirements.

If people agree to build their own houses, they should receive compensation equivalent to paid labour. If they cannot build their own houses for obvious reasons, labour shortage, etc, they should be compensated for the cost of hired labour. Particular attention should be given to vulnerable groups which may include orphans, widows, old people or handicapped and they should receive special assistance from the sponsor.

In the process of valuation of affected structures, the methods of replacement cost, comparable market price and a combination of these two are usually used by professional valuers to get compensation rates. For ERT projects, an evaluation team that is multi-disciplined will be required.


The affected people should be provided with full replacement cost for the lost structures so that they are able to build their own houses with out difficulties. When valuation of individual structures is completed, detailed compensation rates for different structures will be included in the Resettlement Action Plan, which will include income restoration and long-term monitoring of adjustments.

Crops and Trees

A number of trees and crops may be left by the affected communities when they move to other areas due to displacement. Crops and trees will also be damaged during feasibility studies in preparation for ERT projects. These (young and mature) will have to be compensated for. In Uganda, each District Land Board adopts its own compensation rates. As a result, variation exists among different districts for compensation rates.

Compensation rates are reviewed every year. They could either be higher or lower depending on the demand of such crop/ tree type. However, it is very rare for these rates to be lower than the previous year due to inflation. Again, in the case of resettlement or replacement for loss over 20%, additional livelihood support and follow-up may be required for ERT projects.

7. Strategies for Income Restoration

Resettlement plans must target restoration of lost incomes for ERT projects. In densely populated areas, costs for compensation and resettlement could be substantial because such areas may be densely populated and the people may have a limited number of income generating activities. The plan to restore lost incomes for affected persons must include livelihood restoration. Since the majority of people in Uganda depend on the land for income and subsistence, agricultural extension, intensification and improvement of agricultural production and other interventions should form part of a comprehensive livelihood plan. Monitoring beyond the project construction period will be necessary in order to ensure that income generation targets are met.

8. Criteria and Eligibility for Compensation

Affected persons irrespective of their status (whether they have formal title, legalizable rights, non-ligalizabe) are eligible for some kind of assistance if they occupied the land before the entitlement cut-off date (OP 4.30). The entitlement cut-

, off refers to the time when the assessment of persons and their property in the project area is carried out. Thereafter, no new cases are considered. The following categories will be eligible for compensation.

People who are in any way affected by the project

People whose houses/structures will be affected by land acquisition.

People who borrow land for cultivation and their crops or trees will be removed or damaged due to land acquisition activities.


Any other group of persons that has not been mentioned above but is entitled to compensation according to the laws of Uganda and World Bank policies.

Persons who encroach the area after the resettlement survey (census and valuation) are not eligible to compensation or any form of resettlement assistance.

9. System for Complaints and Grievances

It is envisaged that a number of issues (grievances) will arise as a result of land acquisition by the project. A system ought to be put in place to settle these issues amicably through recognised institutions to the satisfaction of involved parties.

Although affected people will be given an opportunity to review the survey results and compensation policies during the process of resettlement planning and implementation, a number of issues may arise among the settlers during implementation. If a person is not satisfied with the compensation or rehabilitation measure given, he could raise a complaint through the mechanism that will have been put in place.

In order to address the above concerns, a Grievance Committee shall be formed before implementation. Such a committee should be formed at the village level and may include Local Council members, representatives of the affected persons (1 man and 1 woman) and one representative from the sponsor. Issues concerning the way the compensation /benefits have been handled in families should also be brought to the committee.

If the person complaining still does not agree with the decision of the committee, he could appeal to the Probation Officer of the local government based at every district. If he still does not agree to the decision, he could go to the court as a last option.

10. Resettlement funding, Time Frame and Budget

The resettlement budget for the proposed ERT project components will be fully included in the total project cost, which will be funded by the sponsor. Approval of the project proposal by a sponsor will be dependent on a detailed budget that covers all social and environmental issues.

Time Frame

It is very important that a resettlement timetable which is well coordinated with ERT projects' activities be put in place early enough so that the resettlement exercise is implemented before project activities begin.

Resettlement timetables should provide phased resettlement to allow work to go on in some locations of the project area that are not affected by resettlement. This will allow the sponsor to effectively maximise the use of time. However, synchronised resettlement may not work for all projects in the ERT programme since it will depend on the extent of resettlement and the size of the project.


Budget

It is necessary to prepare an adequate budget to meet the costs of resettlement to avoid resettlement programme failure. While preparing the budget for the ERT programme, two aspects may arise;

A budget which is too low, resulting in resettlement programme implementation delays. A budget which is excessive, resulting in the discouragement of private investors from investing in the particular project.


ANNEX F

Roles and responsibilities of the district environmental officer and the district environment committee

The District Environment Officer (DEO) has the following functions:

Advise the District Environmental Committee on all matters relating to the environment.

Liaise with NEMA on all matters relating to the environment.

Monitor the environmental impacts of projects being implemented in the district.

Provide environmental information to communities.

Compile and manage information on the environment and the utilisation of natural resources in the district.

The District Environment Committee (DEC) is responsible for:

Co-ordinating environmental activities at the district and with the Authority (NEMA).

Assisting in formulation of policies and regulations relating to the environment.

Promoting dissemination of environmental information at the district level.

Formulating District environmental by-laws.

Ensuring that EIAs are carried out for projects likely to have environmental impacts.

The DEC and DEO are important entities with whom ERT project/sub-project sponsors must liaise and work in partnership.


ANNEX G

Public consultation and participation strategy

5.1 General

Public consultation and participation in rural electrification programmes is essential because it accords the public (particularly those most likely to be affected by the project) an opportunity to contribute both to its design and operation. In this way the concerns and views of the public are heard and their anxieties tend to be reduced. Moreover, the public in the project area has a wealth of knowledge and information about the local conditions which would be valuable to the rural electrification programme. The public is therefore expected to play a role in defining the concerns that may arise and in suggesting other available alternatives. In all rural electrification projects, it is imperative to have a complete public consultation plan or a public participation strategy.

5.2 Participation Strategy

The major strategy evolves around the provision of a full opportunity for involvement of all stakeholders, who include the project beneficiaries, those likely to be adversely affected and other stakeholders who may have an interest in the rural electrification programme for one reason or another. Because of the diff~culty in identifying the public, care must be taken in deciding who participates to ensure that a fair and balanced representation of views is obtained from those directly affected, the poor, minority groups as well as influential members of the public.

As a matter of strategy, public consultation and involvement should be an ongoing activity taking place through out the entire EIA process/project cycle and should include the following:

Public consultation before the inception of the project and before the environmental and social study is conducted.

Public consultation during the environmental and social impact study and during the project design stages.

Consultations after the environmental and social impact study have been conducted.

Holding of a public hearing if the Lead Agency should find it necessary.

5.3 Public Consultation Plan

Where the project could be large 1 or controversial and of concern to a variety of stakeholders, it will be wise to prepare a public consultation plan and the sponsor will be responsible, with input from REA, for preparing such a plan. The plan will address the following and provide a detailed description of each:

Method of identifying stakeholders Description of stakeholders Which stakeholders will be involved at which stages of the preparation of the project and the EIA


Most appropriate methods of involving stakeholders, and at which stages Level of participation (e.g. information only or dialogue) Scheduling of participation Responsibility for participation programme implementation Costs for implementation of programme

The method of involving the public will be determined by the size of the rural electrification project and the nature of the communities to be affected

5.4 Some methods of public participation

Depending upon the level of participation required, there are several methods that can be used either singularly or in combination. It is assumed the process will be open and all views and comments will provide meaningful input to design, implementation and operation. The following is an example of participation approaches and methods, and stages of project development and implementation that could be considered.

At project concept stage: o Local and national newspaper announcements inviting comments o Contact of key stakeholders (e.g. immediately affected communities) to

discuss concepts and alternative designs, and to receive feedback from community members (at this stage the sponsor should solicit the identification of social and environmental effects that could be expected)

At project pre-feasibility and feasibility stage o Announcement in local and national newspapers that such a project is

about to take place and that the public are invited to make their views known

o Close liaison with most directly affected stakeholders including local communities and government agencies (e.g. national parks, water development, agriculture, etc.)

o Workshops to be held with most directly affected stakeholders to present findings and to further solicit views that could lead to modifications

o Possibly working together closely with community representative task groups that will assist in directing the sponsor from a social and environmental point of view

At detailedproject design stage: o Ensure that affected communities, and other relevant stakeholders, are

kept informed and have the opportunity for input o General announcement in newspapers (or on radio and television) that

preliminary designs have been completed and the public is invited to review such. Specific workshops held to present such designs to relevant government agencies and directly affected stakeholders (e.g. Local communities)

Duringproject implementation: o Sponsor to have a community liaison person responsible for

maintaining a working relationship with the community, soliciting their


comments and complaints and feeding these back to management which will act upon such community concerns

o Sponsor will provide regular reports to the relevant ministries and most directly affected stakeholders. In terms of community participation the sponsor may wish to establish a community working group that would be addressed on a regular basis and would have the opportunity to have its views listened to and considered

At all stages it is important that the sponsor be very open to all stakeholders. The sponsor should let it be known that anyone can discuss the project with the sponsor at any time and can request most documents from the sponsor. The sponsor should ensure that all relevant stakeholders are identified and kept informed of status and progress of the project.

At some point NEMA may wish to ensure that the public is informed about the project and the EIA through a public hearing. The sponsor can avoid difficulties that could arise from this hearing if the above participation has been conducted from the beginning.

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