E2500 v2 ANNEX 1: Application of the Environmental and Social Management Framework and the Resettlement Policy Framework prepared and disclosed under the LGMSDP to the TSUPU programme One of the main objectives in the Transforming Settlements of the Urban Poor in Uganda ­ A Secondary Cities Support Programme (TSUPU) is to bring greater coherence of effort in urban development by creating an institutional framework for different stakeholders to align their efforts and finance towards common objectives. Key to building coherence is the alignment of purpose between national and sub national governments, and urban poor communities. In broad terms the TSUPU programme can best be described as "Technical Assistance" to the Government of Uganda with reference to urbanization in general and secondary towns in particular, with elements of community driven development. The TSUPU programme in the first instance supports national government through the Ministry of Lands, Housing, and Urban Development to develop a national urban policy that is linked to a structured dialogue between relevant urban actors at national, municipal and community level. Secondly, the programme aims to improve the capacity of secondary towns to manage urbanisation and growth through the development of Municipal Development Strategies and Plans and institutional capacity building. The TSUPU programme actively promotes citizenship and participation in the planning processes. It is programmed that this planning exercise is aligned to future investments including the World Bank Uganda Support to Municipal Infrastructure Development Project (USMIDP) in planning. Thirdly, the programme promotes the development of small Community Upgrading Funds (CUFs) that enables communities to access funds for community driven initiatives. To build on previous efforts and avoid duplication, the TSUPU programme will adhere to the Environment and Social Management Framework (ESMF) and Resettlement Policy Framework (RPF) prepared and disclosed under the World Bank Local Government Development and Service Delivery Programme (LGSDP)1. The rationale behind this is that the sub-projects in the LGSDP are similar to the small grants under the TSUPU programme and cover the same municipalities using similar implementation arrangements. The ESMF and RPF for the LGSDP provide general analytical principles and procedures/guidelines that can be easily adapted in the implementation of the TSUPU programme: 1 The ESMF was disclosed under the LGSDP in country on 30 th of July and in the Infoshop 6th of August 2007 on URL: http://www- wds.worldbank.org/external/default/main?pagePK=64193027&piPK=64187937&theSitePK=523679&menuPK=64 187510&searchMenuPK=64187283&theSitePK=523679&entityID=000076092_20071121100959&searchMenuPK =64187283&theSitePK=523679 and the RPF the same date on URL http://www- wds.worldbank.org/external/default/main?pagePK=64193027&piPK=64187937&theSitePK=523679&menuPK=64 187510&searchMenuPK=64187283&theSitePK=523679&entityID=000011823_20070808164807&searchMenuPK =64187283&theSitePK=523679 S. Activity Application of ESMF Provisions No . 1.1 Set-up Phase of the Based on the proposed institutional framework under Project ­ Institutional Section 2 and 9 of the ESMF, define clear roles amongst framework in place different levels of Local government and involve stakeholders for effective application of ESMF provisions 1.2 Capture and expand SDIs Through consultative workshops, familiarize the ESMF learning by doing provisions to different stakeholders including communities approach to Rights and and highlight the roles and responsibilities. Responsibilities 1.3 Establish Municipal wide Familiarize the development forums in 5 municipalities development forums with the benefits and impacts of service delivery investments based on Section 7 of the ESMF 1.4 Registration and survey The information will be gathered by the communities and of all households and shared with local government and other stake holders. The small businesses located information will for many be a starting point for within slum settlements negotiation for access to services. The RPF will apply and ensure that the data gathered will not be used for any forced resettlement, and that any displacement of persons or assets, loss of access to natural resources and services must be covered by compensation and attenuation of all impacts due to reinstallation to an appropriate site (p. 14). During this exercise physical cultural resources will also be mapped and can inform planning at the later stage. 1.5 The formation of local As part of SDIs mobilization strategy, the saving groups community savings are important platforms where information about the ESMF groups and RPF can be communicated. 1.6 Participatory action To enhance participatory approaches to research, the research into issues that Participatory Planning and Management guidelines referred affect access to land and to in the ESMF p 7 will be employed. increased security of tenure of the urban poor 2.1 Formation and capacity When facilitating the meetings, familiarize the ESMF building of Settlement provisions to the communities and highlight the roles and level Urban Poor responsibilities Organisations 2.2 The development of Conduct of Strategic Social and Environmental Assessment Municipal Development and integration of recommendations for environmental and Strategies social protection with the Municipal Development Strategies. As part of the preparation of the SSEMP OPs on Physical Cultural Resources and Natural Habitats will be considered. 2.3 The development of Application of environmental and social screening detailed municipal Slum procedures detailed out in Section 8 of the ESMF. As part Upgrading investments of this process Specific EMPs to be integrated for the proposed investments 2.4 The establishment of The sub projects will be covered by the ESMF in their Community Upgrading planning, construction (if applicable) and operation phases. Funds in each The ESMF provides an overarching checklist of activities participating related to the development of a) water supply systems, b) municipality roads, c) drainage systems, d) sanitation, e) solid waste management, and f) general construction (See document Environmental Checklist for Sub-county/Divison/Town Council Local Governments, 2004), which encompass the likely projects derived from the small grants for the Community Driven Development projects in the TSUPU Programme. The screening process outlined in the ESMF can be adopted, eliminating the steps that are not applicable for the small investments. An adapted checklist will be developed as part of the operational manual for the CUF. Similarly, the RPF brings good guidance to how resettlement should be dealt with. When a project under the CUF is identified, if it requires any resettlement, a Resettlement Action Plan with a monitoring plan will be prepared, agreed, and implemented. The matrix table 1 on page 59 in the RPF will as such bring important guidance when screening the projects under the fund. 2.5 Support for identified This activity supports small changes in the management improvements in and planning systems of local governments. The nature of municipal management these changes will be identified by each municipality and and planning systems orient around information management. 3.1 The establishment of the The policy dialogue will facilitate an urban policy for National Urban sustainable urban development that ensures environmental Development Forum and social (E&S) protection, through effective linkages between urban concerns and E&S policies. 3.2 The commissioning of To enhance participatory approaches to research, the action research into Participatory Planning and Management guidelines referred defined urban problems to in the ESMF p 7 will be employed. identified at the National Urban Development Forum 3.3 The development of a This activity involves support for a national campaign on National Urban sustainable urbanisation. The process involves the Campaign planning, collection of data and the packaging of information targeted at schools, universities, civil society, religious groups and government. 3.4 To support the This activity aims to engage urban planning students and integration of Makerere students from other relevant fields to actively participate in University into the the practical planning and applied research processes. As broader urban such they will be involved in the application of ESMF development agenda through the SSEMPS in the Municipal Development through i) internships and Strategies. ii) public lectures 3.5 The development of a This activity aims to build the institutional leadership of municipal institutional both the operational and political local government spheres leadership programme so that they work better as a team and systematically improves urban management skills and more effective community outreach and communication ( ESMF 9.2 on capacity building) 3.6 Development of the The environmental policies and the social/poverty National Urban Policy reduction strategies outlined under Section 5 of the ESMF and Strategic Urban provides a good background on Uganda's intent and Development Plan for attempts to ensure environmental and social protection. Uganda The relevant parts of these policy provisions could be taken up as an integral part of urban policy dialogue.