PJSC “Ukrhydroenergo� (UHE) Performance improvement Project “Improving Power System Resilience for European Power Grid Integration� ENERGY SECURITY PROJECT (ESP) Stakeholder Engagement Plan (SEP) CONTENTS ACRONYMS 3 GLOSSARY 4 INTRODUCTION 5 PROJECT ACTIVITIES 5 PROJECT LOCATION AND DESCRIPTION 6 SITE LOCATION AND LAYOUTS 6 STAKEHOLDER ENGAGEMENT PLAN (SEP) OBJECTIVES 13 A NOTE ON COVID-19 13 NATIONAL LEGISLATIVE FRAMEWORK AND INTERNATIONAL STANDARDS 14 NATIONAL CONSULTATION REQUIREMENTS 14 COVID-19 15 THE AARHUS CONVENTION 16 WORLD BANK REQUIREMENTS FOR STAKEHOLDER ENGAGEMENT 17 STAKEHOLDER IDENTIFICATION AND ANALYSIS 19 PROJECT STAKEHOLDERS 19 METHODOLOGY FOR STAKEHOLDER ENGAGEMENT 21 MAIN PRINCIPLES 21 STAKEHOLDER CATEGORISATION 22 AFFECTED PARTIES 22 OTHER INTERESTED PARTIES 23 VULNERABLE GROUPS 23 STAKEHOLDER ENGAGEMENT ACTIVITIES 24 STAKEHOLDER ENGAGEMENT PROGRAM 26 ENGAGEMENT METHODS AND TOOLS 26 DESCRIPTION OF ENGAGEMENT METHODS 26 DESCRIPTION OF INFORMATION DISCLOSURE METHODS 33 TIMETABLE FOR DISCLOSURE 33 PLANNED STAKEHOLDER ENGAGEMENT ACTIVITIES 35 RESPONSIBILITIES FOR IMPLEMENTING STAKEHOLDER ENGAGEMENT ACTIVITIES 41 SEP MANAGEMENT PROCEDURE AND RESPONSIBILITIES 41 MONITORING AND REPORTING 41 ESTIMATED BUDGET FOR SEP 41 GRIEVANCE MECHANISM 43 DEFINITIONS OF THE GRM 43 GRM SCOPE AND USE 43 GRM OVERVIEW AND STRUCTURE, COMMUNICATION AND PROCESS 43 ANONYMOUS COMPLIANTS 44 CONFIDENTIALITY AND CONFLICT OF INTEREST 44 RECEIPT AND RECORDING OF COMPLAINTS 44 INVESTIGATION 44 PJSC “UKRHYDROENERGO� (UHE) PERFORMANCE IMPROVEMENT PROJECT | 1 RESPONSE TO COMPLAINANT 45 REPORTING 45 FURTHER ACTIONS 45 WORLD BANK GRIEVANCE REDRESS SYSTEM 46 MONITORING AND REPORTING 47 APPENDIX A: IDENTIFIED STAKEHOLDERS 48 APPENDIX B: GRIEVANCE / INQUIRY RECORD 50 APPENDIX C: ORGANIZATIONS ENGAGED TO CONSULTATIONS DURING PROJECT PREPARATION STAGE 52 APPENDIX D: QUESTIONNAIRE FOR STAKEHOLDERS 58 PJSC “UKRHYDROENERGO� (UHE) PERFORMANCE IMPROVEMENT PROJECT | 2 ACRONYMS BMS Battery management system CSR Corporate social responsibility EES Battery energy storage system EHS Environmental, health and safety ESA Environmental and Social Assessment EIA Environmental Impact Assessment ESF Environmental and Social Framework ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan ESS Environmental and Social Standards EU European Union GRM Grievance Redress Mechanism HPP Hydropower generation plant HV High Voltage IFC International Finance Corporation LMP Labour Management Procedures MW Megawatt PAP Project Affected Person PFS Pre-feasibility Study PV Photovoltaics OVD Ukrainian EIA SEP Stakeholder Engagement Plan UHE PJSC “Ukrhydroenergo� UE National Power Company (NPC) UkrEnergo, PrJSC USAID United States Agency for International Development WB World Bank Wp Watt-peak PJSC “UKRHYDROENERGO� (UHE) PERFORMANCE IMPROVEMENT PROJECT | 3 GLOSSARY Affected Communities - Refers to groups of people living in close proximity to a project that could potentially be impacted by a project (“Stakeholders,� in contrast, refers to the broader group of people and organisations with an interest in the project). Consultation - The process of gathering information or advice from stakeholders and taking these views into account when making project decisions and/or setting targets and defining strategies. Dialogue - An exchange of views and opinions to explore different perspectives, needs and alternatives, with a view to fostering mutual understanding, trust and cooperation on a strategy or initiative. Engagement - A process in which a company builds and maintains constructive and sustainable relationships with stakeholders impacted over the life of a project. This is part of a broader “stakeholder engagement� strategy, which also encompasses governments, civil society, employees, suppliers, and others with an interest in the Project. Environmental and Social Impact Assessment - An assessment comprising various social and environmental studies which aim to identify project impacts and design appropriate mitigation measures to manage negative impacts, and to enhance positive ones. Non-governmental Organisations - Private organisations, often not-for-profit, that facilitate community development, local capacity building, advocacy, and environmental protection. Partnership - In the context of engagement, partnerships are defined as collaboration between people and organisations to achieve a common goal and often share resources and competencies, risks and benefits. Stakeholders - Persons or groups who are directly or indirectly affected by a project, as well as those who may have interests in a project and/or the ability to influence its outcome, either positively or negatively (IFC’s Handbook on Stakeholder Engagement (2007)); workers, local communities directly affected by the project and other stakeholders not directly affected by the project but that have an interest in it, e.g. local authorities, neighbouring projects, and/or nongovernmental organisations, etc. Stakeholder Engagement Plan - A plan which assists investors with effectively engaging with stakeholders throughout the life of the project and specifying activities that will be implemented to manage or enhance engagement. PJSC “UKRHYDROENERGO� (UHE) PERFORMANCE IMPROVEMENT PROJECT | 4 INTRODUCTION PROJECT ACTIVITIES UHE’s operations are critical for providing balancing power in the Ukrainian grid, but even with significant pumped storage and hydro resources, which were historically used to provide load-supply balance at relatively short notice to compensate the grid's large reliance on inflexible nuclear and thermal generation, the grid flexibility requirements are growing fast, especially for rapid response requirements. Preparations for the integration of the Ukrainian grid with the European power system (ENTSO-E), also mandates a significant increase in the flexibility of the system, both for isolated grid operations and prior to full synchronization with the European grid. With the introduction of large volumes of renewables the need for rapid response is quickly becoming even more acute. To help address the issues identified above the project “Improving Power System Resilience for European Power Grid Integration� (hereinafter – the “Project�) will add utility-scale battery storage facilities (hereinafter – the “batteries�) at four proposed hydropower generation plants (HPPs) and hydropower pump storage plants (PSPs) of UHE. At each of the selected sites, the batteries will be integrated with the HPP/PSP units thus forming hybrid units, the operation of which will be managed by an advanced energy management system (EMS). Limited solar photovoltaic (PV) generation facilities will be added at each site for building resilience. As a result the Project will extend the range of ancillary services -Frequency Containment Reserve (FCR), Frequency Restoration Reserve (FRR), reactive power/voltage regulation, “black start�, etc. - that UHE provides on the Ukrainian wholesale electricity market and improve their quality (including faster response and ramp-up rate). It will also help to extend the lifetime of HPP/PSP turbines and decrease repair and maintenance costs by reducing the stress on power generation equipment in the process of start-up and in the conditions of highly volatile operation. The Project will support the integration of the IPS to the European Network of Transmission System Operators for Electricity (ENTSO-E), which requires significant increase in the flexibility of the system, both during its isolated operation prior to full synchronization, when Ukraine disconnects from the Russian grid, as well as for post-synchronization operations, when Ukraine is finally connected to and becomes a part of the European grid. A significant environmental benefit of the Project is increasing maneuverability of hydropower generation through the compatibility with storage batteries to address system flexibility needs resulting from renewable energy penetration and thereby mitigating the negative effect of “green-coal paradox�, a situation where increasing renewable energy power output needs to be balanced by the outdated and worn-out coal-fired power generation with high minimal loads, leading to higher air emissions which have impacts in terms of climate change and to human health. Each of the hydropower plants proposed for the installation of battery storage facility and solar PV arrays includes a different storage system composition and different solar arrays , determined by the size and number of the hydropower plant units and the consumption of the plant auxiliaries. The four proposed plants are: • Kyiv PSP (46 MW storage facility and 10.6 MW Photovoltaic (PV) plant); • Kaniv HPP (3 x 22 MW storage facility and 13.5 MW PV plant); • Kremenchuck HPP (60 MW storage facility and 6.5 MW PV plant); and • Serdniodniprovska HPP (25 MW storage facility and 5.3 MW PV plant). Thus, the total capacity of the installed battery storage facilities is 197 MW and the total capacity of the solar PV arrays is 35.9 MW. PJSC “UKRHYDROENERGO� (UHE) PERFORMANCE IMPROVEMENT PROJECT | 5 The social responsibility sub-project (CSR project) at Dnistrovska HPP includes 15 MW 6six-hour Zinc Air Battery and 28 MW PV plant). The battery storage facility will be partially charged by the PV plant and will be used to provide electricity for electric vehicles (EVs at a special low rate 1 thus supporting a decrease in vehicle emissions. The rationale for choosing this site for the CSR component is due to it having adequate interconnection capacity and population close enough for power distribution with minimum losses. The CSR component does not include the construction of charging points and will not result in any increase the volumes of traffic on the streets, its aim is to simply provide low-cost renewable electricity for electric vehicles. PROJECT LOCATION AND DESCRIPTION All sites are within the boundaries of the lands assigned for UHE use along the dam/reservoirs, and do not encroach on grown forests, main customary walkways, customary recreation areas, waterfront accesses, sidewalks, roads, power lines or other infrastructure. The Project will make use of fully mature and well-developed technologies, widely available at competitive prices in the world’s markets. It has the potential to attract key suppliers in the energy storage sector, resulting in optimization of both the engineering design and capital expenditure (capex) costs. The key components of the Project include: • Containerized Battery Storage facility (either lithium-ion or zinc-air type) • Solar PV arrays (Crystalline technology sourced from a tier one manufacturer) The connection of the battery storage facilities and PV generators will be performed at the HPP /PSP sites’ existing substations at generator voltage level or at high voltage level using step up transformers. Construction of new overhead transmission lines is not required. SITE LOCATION AND LAYOUTS The Projects five sites are located across Ukraine as shown in the following figure. 1 The discount rate over the standard tariff will be determined at feasibility stage and intended to maximize the social benefits. PJSC “UKRHYDROENERGO� (UHE) PERFORMANCE IMPROVEMENT PROJECT | 6 Figure 1: Site Locations The below maps illustrate the layout of each of the five sites. PJSC “UKRHYDROENERGO� (UHE) PERFORMANCE IMPROVEMENT PROJECT | 7 Figure 2: Kyiv PSP Coordinates: 50°36’23.01�N 30°28’50.39�E 8 Figure 3: Kaniv HPP Coordinates: 49°46’21.85�N 31°26’17.51�E 9 Figure 4: Kremenchuck HPP Coordinates: 49°04’50.58�N 33°13’52.49�E 10 Figure 5: Seredniodniprovska HPP Coordinates: 48°32’50.23�N 34°31’39.40� 11 Figure 6: Dnistrovska HPP Coordinates: 48°35’30.15�N 27°26’32.18�E 12 STAKEHOLDER ENGAGEMENT PLAN (SEP) OBJECTIVES The overall objective of this Stakeholder Engagement Plan (SEP) is to identify key stakeholders and analyze their interests, to define a program for stakeholder engagement, including public information disclosure and consultations, throughout the entire project cycle. The SEP outlines the ways in which the Project team will communicate with stakeholders and includes a mechanism by which people can raise concerns, provide feedback, or make complaints about the project and any activities related to the project. The involvement of the all project stakeholders is essential to the success of the project(s) in order to ensure smooth collaboration between project staff and local communities and to minimize and mitigate environmental and social risks related to the proposed project activities. The Key Objectives of the SEP can be summarized as follows: • Provide guidance for stakeholder engagement such that it meets the standards of International Best Practice; • Identify key stakeholders that are affected, and/or able to influence the Project and its activities; • Identify the most effective methods, timing and structures through which to share project information, and to ensure regular, accessible, transparent and appropriate consultation; • Develops a stakeholder engagement process that provides stakeholders with an opportunity to influence project planning and design; • Establish formal grievance redress mechanisms (GRM); • Define roles and responsibilities for the implementation of the SEP; • Define reporting and monitoring measures to ensure the effectiveness of the SEP and periodical reviews of the SEP based on findings. A NOTE ON COVID-19 It is recognized that at this time, COVID-19 represents a significant health risk and any stakeholder consultations undertaken at this time need to ensure that they account for any national COVID-19 restrictions. Some suggestions have been provided in this document to continue with the stakeholder engagement process, without risking the good health of the identified stakeholders. 13 NATIONAL LEGISLATIVE FRAMEWORK AND INTERNATIONAL STANDARDS NATIONAL CONSULTATION REQUIREMENTS Ukrainian citizens’ right to participate in the administration of state affairs and in all local referendums is granted by the Constitution of Ukraine, Articles 38. Article 40 of the Constitution also enables all citizens to file individual or collective petitions, or to personally appeal to bodies of state power, bodies of local self-government, and to the officials and officers of these bodies. People’s rights relating to access to information, consultation and engagement is further recognized in three Ukrainian legislative and regulatory acts.2 The first constitutes the Law of Ukraine on Access to Public Information (2011), the second, Law on Appeals № 47 (1996) and the third is vested in the Decree of the Cabinet of Ministers of Ukraine (November 3, 2010) No. 996 “Order of the public consultations on the issues of development and implementation of the state policy�3. The Law on the Access to Public Information (2011), determines procedures for exercising and securing the right of every person’s access to information of public interest possessed by government agencies and other providers of public information as identified by this Law. In Article 3 the law also stipulates guarantees of observance where providers’ obligation to: 1) provide and disclose information; 2) to establish special information services and/or systems within information providing entities to secure access to public information in accordance with the established procedures; 3) to simplify procedures for submission of requests and receipt of information; 4) free access to open sessions of government agencies; 5) parliamentary, civil, and state control over observance of the right to access to public information and information access modes; 6) legal responsibility for violation of the legislation on access to public information. The Law on Appeals № 47 (1996) further grants Ukrainian citizens the right “to apply to state bodies, local self-government, associations of citizens, enterprises, institutions, organizations regardless of ownership, mass media, officials according to their functional responsibilities with comments, complaints and proposals concerning their statutory activities, a statement or petition for the exercise of their socio-economic, political and personal rights and legitimate interests, and a complaint about their violation.� The Law of Appeals was reinforced in 2015 by the citizens’ right to file electronic petitions on corresponding portals instituted for this purpose by the President Administration, Parliament, the Government (“central authorities�), and hundreds of local bodies of self-government (“local authorities�). The last, third decree of the Cabinet of Ministers of Ukraine ensures that the public is consulted on the issues of development and implementation of state policies. 2 https://zakon.rada.gov.ua/laws/show/254%D0%BA/96-%D0%B2%D1%80. 3 http://zakon2.rada.gov.ua/laws/show/996-2010- %D0%BF/print1390316109400037. 14 All three regulatory acts and the Constitution of Ukraine will serve as the base reference for informing the stakeholder engagement plan and its activities throughout the project’s implementation. There are also the Ukrainian legislative documents on public participation and disclosure of information particularly on environmental issues: Decree of the Ministry of Environmental Protection of Ukraine "On Approval of the Regulation on Public Participation in Decision Making on Environmental Protection Issues� #168 of December 12, 2003. The Law of Ukraine “On Environmental Protection� #1264-XII adopted on July 25 (article 9) defines the roles and procedure as regards the public disclosure of information about the environment and its protection. The Law states that "Every citizen of Ukraine has the right to ... participate in the discussion and submission of proposals to materials on the placement, construction and reconstruction of facilities that may adversely affect the environment, making proposals to public authorities, local governments and legal entities involved in decision-making on these issues". The Law of Ukraine “On Environmental Impact Assessment� (“On EIA/OVD�) (2017) defines public participation in the environmental protection proceedings and environmental impact assessment (art. 2). But in case of solar energy projects (which are not subject to mandatory OVD), the requirements to inform and take the public interests into account are set out by the State Building Standards of Ukraine DBN A.2.2-1-2003 “Structure and Content of Environment Impact Assessment (OVNS) Prepared for Design and Construction of Enterprises, Buildings, and Structures.� COVID-19 Ukraine is under an adaptive quarantine in compliance with the rules relating to the assigned risk color- coding (a weekly updated map of epidemic zones is here: https://thepage.ua/ua/news/karta-koronavirusu- regioni-u-chervonij-ta-zelenij-zonah). Table 1: Summary of Restrictions for each Epidemic Zone Green Yellow Orange Red (green + following) (yellow + following) (orange + following) Work of hostels, tourist Public buildings – mask or Work of public transport bases etc. is forbidden respirator is mandatory is prohibited (except hotels) Visits to social protection Work of restaurants, Public events – no more institutions, which are cafes, night clubs etc. Attending educational than 1 person to 5 sq. m. attended by elder people, during the night is institutions is prohibited are forbidden forbidden Scheduled Work of malls, Cinemas – no more than hospitalizations are restaurants, cafes etc. is 50% of seats forbidden prohibited 15 Green Yellow Orange Red (green + following) (yellow + following) (orange + following) Work of gyms, cultural institutions is forbidden Carriage of passengers – Accepting new shifts in no more than the number children’s camps is of seats forbidden The work of schools is prohibited if more than 50 percent of classes are Restrictions for public sent for self-isolation Restrictions for public events/mass because of a contact with events/mass gathering: 1 person to a confirmed case of gathering: no more 20 sq. m. and no more COVID-19 than 30 persons in than 20 persons in total total Restrictions for public events/mass gathering: no more than 50 persons in total Currently, “yellow� is the base level for Ukraine. Amendments to the Law of Ukraine "On Amendments to Article 17 of the Law of Ukraine "On EIA" (‘’On OVD’) regarding the prevention and spread of coronavirus infection (COVID-19)" have also been implemented. In accordance with the Law, temporarily, for the period of validity of the quarantine territory established by the Cabinet of Ministers of Ukraine in order to prevent the spread of coronavirus infection (COVID- 19) on the territory of Ukraine, until its complete cancelation and within 30 days from the date of the quarantine cancelation, the public discussions on planned activities are held by providing written comments and suggestions (including in electronic form), as indicated in the announcement of the start of public discussions of the environmental impact assessment report. During the specified period, the public hearings provided for in Article 7 of the Law of Ukraine "On EIA" (“On OVD�) are not held. THE AARHUS CONVENTION The Aarhus Convention (ratified by Ukraine 18th November 1999) establishes a number of rights to the individuals and civil society organizations with regard to the environment. The Parties to the Convention are required to make the necessary provisions so that public authorities, at a national, regional or local level, will contribute to these rights to become effective. The Aarhus Convention provides for: 16 Access to environmental information: • The right of the citizens to receive environmental information that is held by public authorities Public participation in environmental decision making: • The right of the citizens to participate in preparing plans, programmes, policies, and legislation that may affect the environment. Access to justice: • The right of the citizens to have access to review procedures when their rights with respect to access to information or public participation have been violated. WORLD BANK REQUIREMENTS FOR STAKEHOLDER ENGAGEMENT The World Bank’s Environmental and Social Framework (ESF) came into effect on October 1, 2018. The Framework includes Environmental and Social Standard (ESS) 10 Stakeholder Engagement and Information Disclosure, which recognizes “the importance of open and transparent engagement between the Borrower and project stakeholders as an essential element of good international practice�. ESS10 emphasizes that effective stakeholder engagement can significantly improve the environmental and social sustainability of projects, enhance project acceptance, and make a significant contribution to successful project design and implementation. As defined by the ESS10, stakeholder engagement is an inclusive process conducted throughout the project life cycle. Where properly designed and implemented, it supports the development of strong, constructive and responsive relationships that are important for successful management of a project’s environmental and social risks. Key elements of ESS10 include: “Stakeholder engagement is most effective when initiated at an early stage of the project development process and is an integral part of early project decisions and the assessment, management and monitoring of the project. Borrowers will engage with stakeholders throughout the project life cycle, commencing such engagement as early as possible in the project development process and in a timeframe that enables meaningful consultations with stakeholders on project design. The nature, scope and frequency of stakeholder engagement will be proportionate to the nature and scale of the project and its potential risks and impacts. Borrowers will engage in meaningful consultations with all stakeholders. Borrowers will provide stakeholders with timely, relevant, understandable and accessible information, and consult with them in a culturally appropriate manner, which is free of manipulation, interference, coercion, discrimination and intimidation. The process of stakeholder engagement will involve the following, as set out in further detail in this ESS: (i) stakeholder identification and analysis; (ii) planning how the engagement with stakeholders will take place; (iii) disclosure of information; (iv) consultation with stakeholders; (v) addressing and responding to grievances; and (vi) reporting to stakeholders. The Borrower will maintain and disclose as part of the environmental and social assessment, a documented record of stakeholder engagement, including a description of the stakeholders consulted, a summary of the feedback received and a brief explanation of how the feedback was taken into account, or the reasons why it was not.� Borrowers are required to develop a Stakeholder Engagement Plan (SEP) proportionate to the nature and scale of the project and its potential risks and impacts. Stakeholders have to be identified and the 17 SEP has to be disclosed for public review and comment as early as possible, before the project is appraised by the World Bank. ESS10 also requires the development and implementation of a grievance redress mechanism that allows project-affected parties and others to raise concerns and provide feedback related to the environmental and social performance of the project and to have those concerns addressed in a timely manner. 18 STAKEHOLDER IDENTIFICATION AND ANALYSIS PROJECT STAKEHOLDERS Project stakeholders are ‘people who have a role in the Project, or could be affected by the Project, or who are interested in the Project’. Project stakeholders can be grouped into primary stakeholders who are “...individuals, groups or local communities that may be affected by the Project, positively or negatively, and directly or indirectly�... especially... “those who are directly affected, including those who are disadvantaged or vulnerable� and secondary stakeholders, who are “...broader stakeholders who may be able to influence the outcome of the Project because of their knowledge about the affected communities or political influence over them�. Thus, Project stakeholders are defined as individuals, groups or other entities who: (i) are impacted or likely to be impacted directly or indirectly, positively or adversely, by the Project (also known as ‘affected parties’); and (ii) may have an interest in the Project (‘interested parties’). They include individuals or groups whose interests may be affected by the Project and who have the potential to influence the Project outcomes in any way. Cooperation and negotiation with the stakeholders throughout the Project development often also require the identification of persons within the groups who act as legitimate representatives of their respective stakeholder group, i.e. the individuals who have been entrusted by their fellow group members with advocating the groups’ interests in the process of engagement with the Project. Community representatives may provide helpful insight into the local settings and act as main conduits for dissemination of the Project-related information and as a primary communication/liaison link between the Project and targeted communities and their established networks. The legitimacy of such representatives may stem both from their official elected status and their informal and widely supported standing within the community that allows them to act as focal points of contact in Project’s interaction with its stakeholders. Examples of legitimate stakeholder representatives include and are not limited to: • elected officials of regional, local, and village councils and self-governance bodies; • leaders of informal or traditional community institutions; • non-elected leaders that have wide recognition within their community; • leaders of community-based organizations, local NGOs and women’s groups; • elders and veterans within the affected community; • religious leaders; and • teachers and other respected persons in the local communities, etc. Verification of stakeholder representatives (i.e. the process of confirming that they are legitimate and genuine advocates of the community they represent) remains an important task in establishing contact with the community stakeholders. Legitimacy of the community representatives can be verified by talking informally to a random sample of community members and heeding their views on who can be representing their interests in the most effective way. 19 Table 2: Stakeholder groups and interest in engagement Stakeholder Group Interest/Cause in Engagement International Level Environmental and societal NGOs, Scientific understanding of the range or problems associated with the project(s). National Level Government Ministries and Administration Legislative and executive authorities. Functions of supervision and monitoring NGOs Represents the interests of different interested parties and vulnerable groups Mass media They are intermediaries for informing the general public about the planned activities of the project developer(s) and for information disclosure in connection with the proposed project(s). Academic, Research and Scientific Institutions Scientific understanding of the range or problems associated with the proposed project(s). Scientific approach to the relevant issues. Possible specialists’ provision for further activity in project implementation. Business community / Private sector Economically interested business entities (conclusion of contracts, economic damage due to competition, etc.); they can be also potential customers of the project developer. Project employees and Project’s sub- contractors Technical understanding of the range or problems associated with the proposed project(s) including H&S issues. Regional and District Level Government Ministries and Administration Legislative and executive authorities. Functions of supervision and monitoring NGOs Represents the interests of different interested parties and vulnerable groups Mass media They are intermediaries for informing the general public about the planned activities of the project developer(s) and for information disclosure in connection with the proposed project(s). 20 Stakeholder Group Interest/Cause in Engagement Academic, Research and Scientific Institutions Scientific understanding of the range or problems associated with the proposed project(s). Scientific approach to the relevant issues. Possible specialists’ provision for further activity in project implementation. Business community / Private sector Economically interested business entities (conclusion of contracts, economic damage due to competition, etc.); they can be also potential customers of the project developer. Local Level Local authorities members Represents interests of affected communities (land users) and vulnerable groups, owners of local roads Local Business community / Private sector Economically interested business entities (conclusion of contracts, economic damage due to competition, etc.); they can be also potential customers of the project developer. Local land users and other local population Potential vulnerable groups, affected communities and other interested parties living in the close vicinity to seismic study activity METHODOLOGY FOR STAKEHOLDER ENGAGEMENT MAIN PRINCIPLES In order to meet best practice approaches, UHE will apply the following principles for stakeholder engagement: • Openness and life-cycle approach: public consultations for the project(s) will be arranged during the whole lifecycle, carried out in an open manner, free of external manipulation, interference, coercion or intimidation; • Informed participation and feedback: information will be provided to and widely distributed among all stakeholders in an appropriate format; opportunities are provided for communicating stakeholders’ feedback, for analyzing and addressing comments and concerns; • Inclusiveness and sensitivity: stakeholder identification is undertaken to support better communications and build effective relationships. The participation process for the projects(s) is inclusive. All stakeholders at all times encouraged to be involved in the consultation process. Equal access to information is provided to all stakeholders. Sensitivity to stakeholders’ needs is the key principle underlying the selection of engagement methods. Special attention is given to vulnerable groups, in particular women, youth, elderly including diverse ethnic groups. 21 STAKEHOLDER CATEGORISATION For the purposes of effective and tailored engagement, stakeholders of the proposed project(s) can be divided into the following core categories: • Affected Parties – persons, groups and other entities within the Project Area of Influence (AoI) that are directly influenced (actually or potentially) by the project and/or have been identified as most susceptible to change associated with the project, and who need to be closely engaged in identifying impacts and their significance, as well as in decision-making on mitigation and management measures; • Other Interested Parties – individuals/groups/entities that may not experience direct impacts from the Project but who consider or perceive their interests as being affected by the project and/or who could affect the project and the process of its implementation in some way; and • Vulnerable Groups – persons who may be disproportionately impacted or further disadvantaged by the project(s) as compared with any other groups due to their vulnerable status and that may require special engagement efforts to ensure their equal representation in the consultation and decision- making process associated with the project(s). Engagement with all identified stakeholders will help ensure the greatest possible contribution from the stakeholder parties toward the successful implementation of the project(s) and will enable the project(s) to draw on their pre-existing expertise, networks and agendas. It will also facilitate both the community’s and institutional endorsement of the project(s) by various parties. Access to the local knowledge and experience also becomes possible through the active involvement of stakeholders. AFFECTED PARTIES Affected Parties (see Appendix A for full details) include local communities, community members and other parties that may be subject to direct impacts from the Project during construction and operation of the Project. Specifically, the following individuals and groups fall within this category: • Communities in the vicinity of the project’s planned activities; • The local population and local communes; • Residents, business entities, and individual entrepreneurs in the area of the project that can benefit from the employment, training and business opportunities; • Government officials, including Municipal Administration in the project area, environmental protection authorities; • Community-based groups and non-governmental organizations (NGOs) that represent local residents and other local interest groups, and act on their behalf; and • UHE employees and contractors. Local NGOs and initiative/advocacy groups represent the considerable capacity that the project(s) may tap for disseminating the information and raising awareness of the planned activities among the potentially affected communities in the project area. NGOs typically have well established interaction with the local communities, are able to propose the most effective and culturally appropriate methods of liaising based on the local customary norms and prevailing means of communication and possess the facilitation skills that may be utilized as part of the project’s consultations. In addition, NGOs may lend assistance in disseminating information about the proposed project(s) to the local communities, including in the remote areas (e.g. by placing information materials about the project in their offices, distributing the project information lists during events that they are organizing), and provide venues for the engagement activities, for example, focus-group discussions. 22 OTHER INTERESTED PARTIES The Projects stakeholders also include intrested parties, including: • Residents of villages within the project area, who can benefit from employment and training opportunities stemming from the project; • Civil society groups and NGOs on the regional, national and local levels, that pursue environmental and socio-economic interests and may become partners of the project. Organizations within this group are likely to be located outside the project’s AoI; • Business owners and providers of services, goods and materials within the project area that will be involved in the project’s wider supply chain or may be considered for the role of project’s suppliers in the future; • Government of Ukraine – government officials, permitting and regulatory agencies at the national and regional levels, including environmental, technical, social protection and labor authorities. • Mass media and associated interest groups, including local, regional and national printed and broadcasting media, digital/web-based entities, and their associations. VULNERABLE GROUPS A significant factor in achieving inclusiveness of the engagement process is safeguarding the participation of vulnerable individuals in public consultations and other engagement forums established by the project. The vulnerability may stem from person’s origin, gender, age, health condition, economic deficiency and financial insecurity, disadvantaged status in the community (e.g. minorities or fringe groups), dependence on other individuals or natural resources, etc. Engagement with the vulnerable groups and individuals often requires the application of specific measures and assistance aimed at the facilitation of their participation in the project-related decision making so that their awareness of and input to the overall process are commensurate to those of the other stakeholders. Within the Project Area of Influence, the vulnerable groups may include and are not limited to the following: • Elderly people; • Veterans of war; • Persons with disabilities; • Low-income family’s dependent on state support; • Women-headed households or single mothers with underage children; • The unemployed persons. Vulnerable groups within the communities affected by the project will be further confirmed and consulted through dedicated means, as appropriate. Description of the methods of engagement that will be undertaken by the project is provided in the following sections. This section describes stakeholder engagement activities that will be implemented by UHE going forwards, including activities tailored to the specific project phases/developments as well as the on- going routine engagement. 23 STAKEHOLDER ENGAGEMENT ACTIVITIES 1st stage of the stakeholders consultations. In order to inform stakeholders about the upcoming project design, its goals and expected results, as well as to receive feedback on the project planned activities and take it into account, the first stage of the stakeholders consultations with governmental and non- governmental organizations (NGOs) have been organized on March 04, 2021. Due to COVID-19 restrictions to public events established by Cabinet of Ministers of Ukraine, the consultations were conducted remotely (online). There were about 60 stakeholders participated on behalf of governmental and non-governmental organizations. The full list of stakeholders participated is provided in Appendix C (part 1). The analysis of the feedback taken from all stakeholders during consultations allows to make a conclusion about generally positive perception of the potential project by governmental and non-governmental stakeholders and about the essential level of their expectations from its implementation. During consultations following issues were discussed: planned location of the project facilities at five branches of UHE, technical and operational concept of the project and target markets, financial feasibility and payback of the project, benefits from the implementation, as well as its environmental and social impacts and mitigation measures. In the meantime, special attention was drawn to the fact that the project can promote the connection of the Ukrainian energy system to ENTSO-E and the process of integration of renewable sources into the Ukrainian energy system. Representatives of some governmental organizations also raised a number of clarifying questions regarding the technical feasibility of connecting new equipment to the existing network and the payback of the entire project after the synchronization of the united energy system of Ukraine with ENTSO-E (2023 and beyond). The NGOs showed their interest in the project, paying special attention to issues related to the benefits of the project directly for the communities where it will be implemented. In addition, they proactively noted that for the future it may be reasonable to prepare strong counter-arguments for Kaniv amalgamated territorial community, which may be characterized by a tendency to resist project implementations. The local NGOs emphasized that it would be better to demonstrate separate subproject presentations for each location of the project potential implementation. All comments and suggestions received will be considered in the next steps of project preparation and implementation. In addition, an online questionnaire with a few questions about stakeholders’ perception of the potential project was developed in Google Forms and sent to participants to collect their feedback (see Appendix D, part 1). The stakeholders’ comments were also analyzed and taken into account. 2nd stage of the stakeholders consultations. On April 14th, 2021 UHE disclosed on their website the following documents: Environmental and Social Action Plan (ESMP), Stakeholder Engagement Plan (SEP), Labour Manangement Plan (LMP) and Environmental and Social Comitment Plan (ESCP) - https://uhe.gov.ua/media_tsentr/anonsy_ta_oholoshennya/proekt-vstanovlennya-gibridnikh-sistem-z- virobnictva. Then after two weeks, the second stage of the stakeholders consultations has been organized (April 28, 2021). The consultations were conducted aiming to clearly present the main objectives of the ESF documents as well as to receive feedback and take it into account in the next drafts of the project documentation. Due to COVID-19 restrictions to public events established by Cabinet of Ministers of Ukraine, the consultations were conducted remotely (online). There were representatives of both governmental and non-governmental organizations participating in the stakeholders consultations. . Among them, were represenatives of National power company “Ukrenergo�, Cherkasy Regional State Administration, Kaniv Regiment of the International NGO "International Union of Cossacks", Global Cleantech Innovation 24 Programme | UNIDO, and Kirovohrad Youth Association "Zlatopillya". The full list of stakeholders participated is provided in Appendix C (part 2). During consultations the following points were highlighted and discussed: brief description of the project and its goals, ESMP and its key points, environmental&social impacts and their mitigation measures, SEP and its points, stakeholders identification and engagement process during project implementation. The analysis of the feedback taken from all stakeholders during consultations allows to make a conclusion about positive perception of the potential project and its environmental and social documentation by governmental and non-governmental stakeholders. The representatives of the NGOs were especially grateful for such consultations conduction. In addition, the online questionnaire with a few questions about stakeholders’ opinion (regarding the consultations and the drafts of ESMP and SEP) was developed in Google Forms and sent to participants to collect their feedback (see Appendix D, part 2). The stakeholders’ feedbacks were also analyzed and taken into account. The stakeholder engagement process is ongoing during the project preparation and implementation. The additional public consultations will be carried out during further project implementation stages for ensuring proper awareness of various stakeholder groups about project implementation process. 25 STAKEHOLDER ENGAGEMENT PROGRAM ENGAGEMENT METHODS AND TOOLS The project intends to utilize various methods of engagement that will be used by as part of its continuous interaction with the stakeholders. For the engagement process to be effective and meaningful, a range of various techniques need to be applied that are specifically tailored to the identified stakeholder groups. Methods used for consulting with statutory officials may be different from a format of liaising with the local communities. The format of every consultation activity should meet general requirements on accessibility, i.e. should be held at venues that are easily reachable and do not require long commute, entrance fee or preliminary access authorization (specifically at UHE sub-project sites), cultural appropriateness (i.e. with due respect to the local customs and norms), and inclusiveness, i.e. engaging all segments of the local society, including disabled persons, the elderly, minorities, and other vulnerable individuals. If necessary, logistical assistance should be provided to enable participants from the remote areas, persons with limited physical abilities and those with insufficient financial or transportation means to attend public meetings scheduled by the project. Ensuring the participation of vulnerable individuals and groups in project consultations may require the implementation of tailored techniques. Since their vulnerable status may lead to people’s diffidence and reluctance or physical incapacity to participate in large-scale community meetings, visiting such individuals/ families at their homes or holding separate small group discussions with them at an easily accessible venue is a way for the project to reach out to the groups who, under standard circumstances, are likely to be insufficiently represented at community gatherings. DESCRIPTION OF ENGAGEMENT METHODS Various methods of engagement will be used as part of the project’s interaction with the stakeholders, to ensure that different stakeholder groups are successfully reached and are involved in the process of consultation, decision-making and the development of impact management solutions. International standards increasingly emphasize the importance of a consultation being ‘free, prior and informed’, which implies an accessible and unconstrained process that is accompanied by the timely provision of relevant and understandable information. In order to fulfil this requirement, a range of consultation methods are applied that specifically focus on this approach. Information that is communicated in advance of public consultations primarily includes an announcement thereof in the public media – local, regional and national, as well as the distribution of invitations and full details of the forthcoming meeting well in advance, including the agenda. It is crucial that this information is widely available, readily accessible, clearly outlined, and reaches all areas and segments of the target community. These parameters can be achieved by implementing the following approach: • Advance public notification of an upcoming consultation meeting follows the same fundamental principles of communication, i.e. it should be made available via publicly accessible locations and channels. The primary means of notification may include mass media and the dissemination of posters/ advertisements in public places. The Project keeps proof of the publication (e.g. a copy of the newspaper announcement) for the accountability and reporting purposes. Existing notice boards in the communities may be particularly useful for distributing the announcements, such as boards 26 adjacent to the widely visited public premises – post offices, chain stores, transport links, and offices of the local NGOs. When the notifications are placed on public boards in open air, it should be remembered that the posters are exposed to weather, may be removed by passers or covered by other advertisements. The project’s staff will therefore maintain regular checks in order to ensure that the notifications provided on the public boards remain in place and legible. The photos evidence of the consultations announced by posters/advertisements/screenshots from the web sites etc. should be attached as the annex. • Another critical aspect of any meeting preparation process is selecting the methods of communication that reach the potential audience with lower levels of literacy or those who are not well-versed in the technical aspects of the proposed. Oral communication is an option that enables the information to be readily conveyed to such persons. This includes involving the selected community representatives/ local NGOs/faith based organisations and initiative groups to relay up- to-date information on the project and consultation meetings to other members of the community, Advertising the project and the associated meetings via radio or television and making direct calls (in case fixed-line or mobile phone communication is available) is another method that allows reaching out to the remote audiences. The announcement of a public meeting or a hearing is made sufficiently in advance, thereby enabling participants to make necessary arrangements, and provides all relevant details, including date, time, location/venue and contact persons. • Placement of the project materials in the public domain is also accompanied by making available a register of comments and suggestions that can be used by any member of the affected community and general public to provide their written feedback on the contents of the presented materials. As a rule, the register is made available for the entire duration of the requisite disclosure period. Where necessary, a project representative or an appointed consultant should be made available to receive and record any verbal feedback in case some stakeholders experience a difficulty with providing comments in the written form. • Drafting an agenda for the consultation meeting is an opportunity to provide a clear and itemized outline of the meeting’s structure, sequence, chairpersons, a range of issues that will be discussed and a format of the discussion (e.g. presentation/ demonstration followed by a Questions & Answers – Q&A session, facilitated work in small groups, feature story and experience sharing, thematic sessions with a free speaking format enabling the exchange of ideas). A clearly defined scope of issues that will be covered at the meeting gives the prospective participants an opportunity to prepare their questions and comments in advance. It is essential to allocate a sufficient amount of time for a concluding Q&A session at the end of any public meeting or a hearing. This allows the audience to convey their comments and suggestions that can subsequently be incorporated into the design of the project. Keeping a record of all public comments received during the consultations meetings enables the project’s responsible staff to initiate necessary actions, thereby enhancing the project’s overall approach taking onto consideration the stakeholders’ priorities. The recorded comments and how they have been addressed by the project become an appropriate material for inclusion in the project’s regular reporting to the stakeholders. • Distribution of targeted invitations to the consultation meeting is an important element of the preparation process and is based on the list of participants that is compiled and agreed in advance of the consultation. Invitations may be sent both to certain individuals that have been specifically identified as relevant stakeholders (e.g. representatives of authorities, leaders of local NGOs and initiative groups, village chairpersons) and as public invites (e.g. addressed to initiative and professional bodies, local organizations, and other public entities). Text of individual invitations can be tailored to reflect the specifics of an invitee and their role in the process, whereas the text of public invitations normally indicates general details. Means of distributing the invitations should be appropriate to the customary methods of communication that prevail locally in the Project Area of Influence (AoI). Depending on the availability and technical feasibility, the following means of distribution can be used: direct mail (post); as an inclusion with other existing public mailings, utility 27 bills, or circulates from a local authority. The invitation should typically contain a clear request for confirmation of the participation, also specifying a date by which the confirmation is expected. All invitations that were sent out are tracked in order to determine and manage the response rate. If no response has been received, the invitation can be followed up by a telephone call or e-mail where possible. UHE will use a range of techniques to fulfil the main purpose of its consultation activities aimed at raising the community’s and stakeholder awareness about the planned and current activities undertaken by the project, as well as to solicit public feedback that can subsequently be input into the project’s mitigation and enhancement measures. As discussed above, due consideration will be given to the cultural appropriateness and inclusiveness of the consultation settings as well as gender and other sensitivities that may prevail in the local communities. Knowledge and advice of the community representatives and local NGOs are invaluable to ensure that these aspects are fully observed. If deemed necessary, separate meetings and focus group discussions will be held, as described above. An attendance list is made available at the commencement of the consultation in order to record all participants who are present at the meeting and their affiliation. Wherever possible, attendees’ signatures should be obtained as a proof of their participation. Details of the attendees who were not initially on the list (e.g. those participating in place of somebody else, or general public) should be included in addition to those who have registered for the meeting in advance. In most cases and as a general practice, the introductory initial part of the meeting or a hearing should be delivered in a format that is readily understandable to the audience of laypersons and should be free of excessive technical jargon. If necessary, preference should be given, whenever possible, to the oral and visual methods of communication (including presentations, pictorials, illustrations, graphics and animation) accompanied by hand-out materials imparting the relevant information in understandable terms rather than as text laden with technical intricacies. Where technical specifics of the project’s particular activities or solutions are required to be delivered in a greater level of detail, it will be ensured that the information conveyed remains comprehensible to all members of the audience and that the description of complex technicalities is adapted to their level of understanding, thereby enabling productive feedback and effective discussion. If a large audience is expected to attend a public meeting or a hearing, necessary arrangements will be made to ensure audibility and visibility of the presentation and any demonstrations involved. The number of the participants will be vary depend on the COVID-19 national restriction in case of the consultations will be carried out in offline format. This includes provision of a microphone, proper illumination, projector, places allocated for the wheelchair users, etc. Taking records of the meeting is essential both for the purposes of transparency and the accuracy of capturing public comments. At least three ways of recording may be used, including: • taking written minutes of the meeting by a specially assigned person or a secretary; • audio recording (e.g. by means of voice recorders); and • photographing. The latter should be implemented with a reasonable frequency throughout the meeting, allowing notable scenes to be captured but at the same time not distracting or disturbing the audience excessively. Where feasible, the video recording may also be undertaken. Combination of these methods assures that the course of the meeting is fully documented and that there are no significant gaps in the records which may result in some of the important comments received from the stakeholder audience being overlooked. 28 As a possible option in addition to the Q&A session nearer the close of the public meeting/hearing, evaluation (feedback) forms may be distributed to participants in order to give them an opportunity to express their opinion and suggestions on the project. This is particularly helpful for capturing individual feedback from persons who may have refrained from expressing their views or concerns in public. In the case of an online consultation format, the feedback form will be available via the link on the online survey. Questions provided in the evaluation form may cover the following aspects: • Participant’s name and affiliation (these items are not mandatory if the participant prefers to keep the form confidential) • How did they learn about the Project and the consultation meeting? • Are they generally in favour of the Project? • What are their main concerns or expectations/hopes associated with the Project or the particular activity discussed at the meeting? • Do they think the Project will bring some advantages to their community as a whole? • Is there anything in the Project and its design solutions that they would like to change or improve? • Do they think that the consultation meeting has been useful in understanding the specific activities of the Project, as well as associated impacts and mitigation measures? • What aspects of the meeting they particularly appreciated or would recommend for improvement? Bearing in mind that some of the participants might find completion of the evaluation form challenging due to the literacy constraints or concerns about their confidentiality, the distribution of the feedback forms should always be explained that filling the form is optional. Some persons may be willing to express their feedback verbally and in this case a member of Project staff will be allocated to take notes. A summary description of the engagement methods and techniques that will be applied by project developer is provided in Table 3 below. The summary presents a variety of approaches to facilitate the processes of information provision, information feedback as well as participation and consultation. Taking into account the COVID -19 situation the additional safe engagement methods described in Table 5. Table 3: Methods, Tools and Techniques for Stakeholder Engagement Method / Tool Description and Contents Dissemination Target Groups Use Method Information Provision Distribution of Used to convey Printed materials Distribution as All project printed public information on the present illustrative and part of stakeholders materials: Project and regular written information on consultation leaflets, updates on its Project activities, meetings, public brochures, fact progress to local, facilities, technologies hearings, sheets regional and national and design solutions, as discussions and stakeholders. well as impact meetings with mitigation measures. stakeholders, as well as household Presented contents are visits in remote concise and adapted to areas. a layperson reader. Graphics and pictorials Placement at the are widely used to offices of local 29 Method / Tool Description and Contents Dissemination Target Groups Use Method describe technical administrations aspects. and NGOs, libraries and other public venues. Printed Inserts, General description of Placement of paid Local and regional advertisements announcements, the Project and its information in stakeholders. in the media press releases, short benefits to the local, regional and articles or feature community. national printed stories in the printed media, including media – newspapers those intended and magazines for general reader and specialized audience Visual Visually convey Description of the Presentations are Affected communities presentations Project information Project and related widely used as in in the project area, to affected solutions/impact part of the public participants of the communities and management measures. hearings and public meetings and other interested other other forums attended audiences. Updates on Project consultation by Project development. events with stakeholders. various stakeholders. Notice boards Displays of printed Advance Printed Directly affected information on announcements of the announcements communities in the notice boards in forthcoming public and notifications project area. public places. events, are placed in commencement of visible locations specific Project at UHE sites. activities, or changes to the scheduled process. Information Feedback Information Placement of Various Project-related Deposition of Directly affected repositories Project-related materials, ESMF materials in communities in the accompanied by information and documentation. publicly available project area. a feedback printed materials in places (offices of mechanism dedicated/designated local NGOs, local locations that also administrations, provide visitors and libraries) for the 30 Method / Tool Description and Contents Dissemination Target Groups Use Method readers with an duration of a opportunity to leave disclosure period their comments in a or permanently. feedback register. Audience are also given free access to a register of comments and suggestions. Internet/Digital Project website to Information about A link to the Affected communities, Media promote various Project operator and Project website Project stakeholders information and shareholders, Project should be and other interested updates on the development updates, specified on the parties that have access overall Project, health and safety, printed materials to the internet impact assessment community relations, distributed to resources. and impact community updates, stakeholders. management employment and process, procurement, Other social procurement, environmental and media should also employment social aspects be considered. opportunities, as well as on Project’s engagement activities with the public. The website should have a function allowing viewers to post comments and questions about the Project. Consultation and Participation Public meetings Project Detailed information Wide and prior Directly affected representatives, the on the activity and/or announcement of communities in the affected public, facility in question, the public hearing Project Area of authorities, including a and the relevant Influence. regulatory bodies presentation and an details, including and other interactive Questions notifications in Other communities stakeholders for & Answers session local, regional and within the Project Area detailed discussion with the audience. national mass of Influence. on a specific activity media. or facility that is planned by the Targeted Project and which is invitations are 31 Method / Tool Description and Contents Dissemination Target Groups Use Method subject to the sent out to Residents in the statutory expert stakeholders. Project Area of review. Influence Public disclosure of Project materials and associated impact assessment documentation in advance of the hearing. Viewers/readers of the materials are also given free access to a register of comments and suggestions that is made available during the disclosure period. In the event that public consultations cannot be undertaken due to COVID-19 restrictions, UHE shall follow the recommendations of Technical Note: Public Consultations and Stakeholder Engagement in WB-supported operations when there are constraints on conducting public meetings (March 20, 2020). Specifically, this requires that WB task teams and the UHE PIU: • Identify and review planned activities under the project requiring stakeholder engagement and public consultations. • Assess the level of proposed direct engagement with stakeholders, including location and size of proposed gatherings, frequency of engagement, categories of stakeholders (international, national, local) etc. • Assess the level of risks of the virus transmission for these engagements, and how restrictions that are in effect in the country / project area would affect these engagements. • Identify project activities for which consultation/engagement is critical and cannot be postponed without having significant impact on project timelines. For example, selection of resettlement options by affected people during project implementation. Reflecting the specific activity, consider viable means of achieving the necessary input from stakeholders (see further below). • Assess the level of ICT penetration among key stakeholder groups, to identify the type of communication channels that can be effectively used in the project context. In addition to the above, this SEP provides COVID-19 safe stakeholder engagement measures in Table 5 below. 32 DESCRIPTION OF INFORMATION DISCLOSURE METHODS As a standard practice, the Project materials (ESMF and SEP) released for disclosure are accompanied by making available the registers of comments and suggestions from the public that are subsequently documented by UHE in a formal manner. UHE will continue applying the similar approach to disclosure for any additional E&S appraisal materials that will be prepared as part of the project development. The ESMF report, in Ukrainian, will be made available for public review for the period of 60 days. The SEP will be released in the public domain simultaneously with the ESMF and will be available for stakeholder review during the same period of time, i.e. 60 days. Distribution of the disclosure materials will be through making them available at venues and locations frequented by the community and places to which public have unhindered access. Free printed copies of the ESMF and the SEP will be made accessible for the general public at all UHE sub-project sites. Electronic copies of the ESMF and SEP will be placed on the UHE website www.uhe.gov.ua. This will allow stakeholders with access to Internet to view information about the planned development and to initiate their involvement in the public consultation process. The website will have online function allowing readers to submit their comments in relation to the disclosed materials. The mechanisms which will be used for facilitating input from stakeholders will include press releases and announcements in the media, notifications of the aforementioned disclosed materials to local, regional and national NGOs as well as other interested parties. TIMETABLE FOR DISCLOSURE The disclosure process associated with the release of project E&S appraisal documentation, as well as the accompanying SEP will be implemented within a timeframe that shall be agreed upon: • Placement of the ESMF and SEP in public domain – Dates to be confirmed in final SEP. • 60-day disclosure period – Dates to be confirmed later in final SEP. • Public consultation meetings in project affected communities and with other stakeholders to present and discuss findings of the ESMF - Dates to be confirmed in final SEP. • Addressing stakeholder feedback received on the entire disclosure package - Dates to be confirmed in final SEP. Note that in the event that meetings are not possible due to COVID-19 restrictions, other measures will be followed as outlined in Table 5 below. The SEP will remain in the public domain for the entire period of project development and will be updated on a regular basis as the project progresses through its various phases, in order to ensure timely identification of any new stakeholders and interested parties and their involvement in the process of collaboration with the project. The methods of engagement will also be revised periodically to maintain their effectiveness and relevance to the project’s evolving environment. The outline presented in the table below summarizes the main stakeholders of the project, types of information to be shared with stakeholder groups, as well as specific means of communication and 33 methods of notification. Table 3 below provides a description of stakeholder engagement and disclosure methods recommended to be implemented during stakeholder engagement process. Table 4: Stakeholder Engagement and Disclosure Methods Stakeholder Group Project Information Means of Communication / Disclosure Shared Local population in the • ESMF and Stakeholder • Public notices. Project Area of Influence Engagement Plan; • Electronic publications and press releases • Public Grievance on the Project website. Procedure; • Dissemination of hard copies at designated • Regular updates on Project public locations. development. • Press releases in the local media. Consultation meetings. • Information leaflets and brochures. Separate focus group meetings with vulnerable groups, as appropriate. Non-governmental and • ESMF and Stakeholder • Public notices. community-based Engagement Plan; • Electronic publications and press releases organizations • Public Grievance on the project website. Procedure; • Dissemination of hard copies at designated • Regular updates on Project public locations. development. • Press releases in the local media. • Consultation meetings. Information leaflets and brochures. Government • ESMF and Stakeholder • Dissemination of hard copies of the ESMF Ministries/authorities and Engagement Plan; and SEP at municipal administrations. agencies • Regular updates on Project • Project status reports. development; • Meetings and round tables. • Additional types of Project’s information if required for the purposes of regulation and permitting. Related businesses and • ESMF and Stakeholder • Electronic publications and press releases enterprises Engagement Plan; on the Project website. • Public Grievance • Information leaflets and brochures. Procedure; • Procurement notifications. Updates on Project development tender/procurement announcements. Project Employees • Employee Grievance • Staff handbook. Procedure; • Email updates covering the Project staff and • Updates on Project personnel. development. • Regular meetings with the staff. 34 Stakeholder Group Project Information Means of Communication / Disclosure Shared • Posts on information boards in the offices and on site. • Reports, leaflets. PLANNED STAKEHOLDER ENGAGEMENT ACTIVITIES Stakeholder engagement activities will need to provide stakeholder groups with relevant information and opportunities to voice their views on topics that matter to them. Table 4 presents the stakeholder engagement activities UHE will undertake for their project(s). The activity types and their frequency are adapted to the three main project stages: project preparation (including design, procurement of contractors and supplies), construction, and operation and maintenance. The table also highlights, in red text, the activates that can be undertaken without risk of COVID-19 health impacts. 35 Table 5: Planned stakeholder engagement activities Reference* Target Stakeholders Topics of Engagement Methods Used Location/Frequency Responsibilities Stage 1: Project Preparation ST1 - A Project Affected People: Project Scope. Public meetings. Including At all sub-project UHE UHE (and their ESA on-line meetings. sites for disclosure of Consultant). People potentially affected Potential Impacts and Draft ESMF, ESMP, ESIA, by construction works mitigation. Disclosure of written SEP. (residents, landowners) information: Grievance mechanism process. Posted information to Posted brochures and all local residents and Role of ESMF, ESMP, ESIA, SEP. posters around work landowners sites. UHE website. Social Media. ST1 – B NGOs (local and national) Project scope. Public meetings. Including At all sub-project UHE UHE (and their ESA on-line meetings. sites for disclosure of Consultant). Legal Requirements and WB Draft ESMF, ESMP, ESIA, ESS. Posted brochures and SEP. posters around work Potential Impacts and sites. Posted information to mitigation. all local residents and UHE website. landowners Role of ESMF, ESMP, ESIA, SEP. Social Media. ST1 - C Government Legal compliance issues. Face-to-face meetings To be determined by UHE (and their ESA Ministries/authorities and UHE. Consultant). agencies (including regional Project information scope and and district officials, rationale and ESS principles. environmental 36 Reference* Target Stakeholders Topics of Engagement Methods Used Location/Frequency Responsibilities departments and local Coordination activities. Invitations to public meetings. emergency services) Including on-line meetings. Grievance mechanism process. Web based meetings, e.g. ESMF, ESMP, ESIA, SEP Zoom, MS Teams disclosure. Via email ST1 - D Related businesses and Project Scope. Public meetings. Including At all sub-project UHE UHE (and their ESA enterprises (neighboring on-line meetings. sites for disclosure of Consultant). industries and businesses Potential Impacts and Draft ESMF, ESMP, ESIA, and local and regional mitigation. Posted brochures and SEP. suppliers) posters around work Grievance mechanism process. sites. Posted information to all local residents and UHE website. landowners ST1 - E Project Employees (UHE Project information: scope and Trainings/workshops Once, prior to the UHE (and their ESA Staff) rationale and ESS principles. (respecting any national commencement of Consultant). HSE guidelines for the construction. Training ESMF/ESMP management of COVID- requirements and other 19, e.g. use of PPE and management plans. social distancing) Grievance mechanism process. ST1 - F Operators/owners of local Project Scope. Face-to-face meetings. To be determined by UHE (and their ESA infrastructure (water UHE. Consultant). pipelines, roads etc.). 37 Reference* Target Stakeholders Topics of Engagement Methods Used Location/Frequency Responsibilities Potential Impacts and mitigation. Invitations to public meetings. Including on-line meetings. Web based meetings, e.g. Zoom, MS Teams Via email Stage 2: Construction ST2 - A Project Affected People: Grievance mechanism Individual outreach to PAPS At UHE sites as and when UHE and EPC as needed. (respecting any approached by PAPs. Contractor People potentially affected Health and safety impacts national HSE guidelines by construction works for the management of Communication though Project status COVID-19, e.g. use of mass/social media. PPE and social distancing) Notice boards updated Information boards at weekly. construction sites Grievance mechanism Posted brochures and posters around work sites. UHE website. ST2 - B NGOs Project status Disclosure of written Communication though UHE and EPC information: brochures, mass/social media. Contractor Project impacts posters, flyers, website 38 Reference* Target Stakeholders Topics of Engagement Methods Used Location/Frequency Responsibilities Information boards at Notice boards updated construction sites weekly. Posted brochures and posters around work sites. UHE website. ST2 - C Related businesses and Grievance mechanism Individual outreach to PAPS At UHE sites as and when UHE and EPC enterprises as needed. (respecting any approached. Contractor Project status national HSE guidelines for the management of Communication though COVID-19, e.g. use of mass/social media. PPE and social distancing) Notice boards updated Information boards at weekly. construction sites Grievance mechanism Posted brochures and posters around work sites. UHE website. ST2 - D Project Employees Project information: scope and Trainings/workshops Induction training at UHE and EPC (Contractors Staff) rationale and ESS principles. (respecting any national worksites. Contractor HSE guidelines for the management of COVID- Routine, throughout construction. 39 Reference* Target Stakeholders Topics of Engagement Methods Used Location/Frequency Responsibilities Training ESMF/ESMP 19, e.g. use of PPE and requirements and other social distancing). management plans. Worker Grievance mechanism process. * Note: ST1 and ST2 are references to link the consultation sessions to the budget below. 40 RESPONSIBILITIES FOR IMPLEMENTING STAKEHOLDER ENGAGEMENT ACTIVITIES SEP MANAGEMENT PROCEDURE AND RESPONSIBILITIES UHE will retain the overall responsibility for management and implantation of this SEP. UHE shall appoint a member of staff to coordinate, document, track and manage all SEP activities, and it is recommended that this role falls under a person responsible for all Environmental, Social and Health and Safety Aspects (ESHS) of the Project (ESHS Manager). The ESHS Manager will report monthly on all aspects of the Project (including the SEP and GRM) directly to UHE senior management. MONITORING AND REPORTING The SEP will be periodically revised and updated as necessary in the course of the Project implementation in order to ensure that the information presented herein is consistent and is the most recent, and that the identified methods of engagement remain appropriate and effective in relation to the project context and specific phases of the development. Any major changes to the project related activities and to its schedule will be duly reflected in the SEP. Information on public engagement activities undertaken by the Project during the year will be conveyed to the stakeholders via the UHE website. Specifically, it will provide a summary of all stakeholder engagement activities undertaken during the year, including details of the location, number of participants and key points raised during the meetings along with UHEs recommended measures to resolve any problematic issues raised. The monitoring and reporting mechanisms for grievances is outlined in the section below. ESTIMATED BUDGET FOR SEP The following table provides preliminary information from the project budget on stakeholder engagement-related activities: SEP Engagement Reference Estimated Budget ST1 - A 500 USD per site for production of written information. ST1 - B Part of ST1-A costs. ST1 - C Part of ST1-A costs. ST1 - D Part of ST1-A costs. ST1 - E Part of UHE general operational costs and ESA Consultants costs. ST1 - F Part of ST1-A costs. 41 SEP Engagement Reference Estimated Budget ST2 - A 500 USD per site for production of written information and notice boards. ST2 - B Part of ST2-A costs ST2 - C Part of ST2-A costs ST2 - D Part of EPC Contractors general costs. 42 GRIEVANCE MECHANISM DEFINITIONS OF THE GRM Transparency and accountability are core elements of the Project. For this purpose, the project will include a GRM. The goal of the GRM is to strengthen accountability to beneficiaries and to provide channels for project stakeholders to provide feedback and/or express grievances related to project supported activities. The GRM is a mechanism that allows for the identification and resolution of issues affecting the project. By increasing transparency and accountability, the GRM aims to reduce the risk of the project inadvertently affecting citizens/beneficiaries and serves as an important feedback and learning mechanism that can help improve project impact. The mechanism focuses not only on receiving and recording complaints but also on resolving them. While feedback should be handled at the level closest to the complaint, all complaints should be registered and follow the basic procedures set out in this chapter. GRM SCOPE AND USE Scope - Grievance Redress Mechanism will be available for project stakeholders and other interested parties to submit questions, comments, suggestions and/or complaints, or provide any form of feedback on all project-funded activities. GRM’s users - Project beneficiaries, project affected people (i.e. those who will be and/or are likely to be directly or indirectly affected, positively or negatively, by the project), as well as the broader citizenry can use the GRM for the above purposes (see Scope). GRM’s management - The GRM is managed by UHE. Submission of complaints - Complaints can be expressed at any time throughout project implementation. GRM OVERVIEW AND STRUCTURE, COMMUNICATION AND PROCESS Citizens’ appeals, complaints and recommendations procedure is specified in the Law on Citizens’ Appeals and amendments to the latter through the 2015 amendment on Electronic Petitions. According to the mentioned law and Constitutional Article 40, the Project proposes the following channels through which stakeholders can make complaints regarding project-funded activities (items in red text considered to be COVID-19 suitable methods): • By Email: UHE’s email addresses: o Office@uhe.gov.ua • Through the following web page: o https://uhe.gov.ua/kontakty • Through the phone line: o +38 04596 58 450 • In writing to UHE: Sent to the address of: o Vyshgorod city, Vyshgorod district, Kyiv region, 07300, Ukraine • In person: o at the above addresses or at the addresses of delegated authority by the latter. • Other: o Written complaints to project staff (through project meetings) 43 The project shall ensure flexibility in the channels available for complaints, as well as ensure accessibility to the contact information for individuals who make complaints. To this effect, in addition to the Grievance Form provided by the project (see Appendix B), citizens can also file their appeals in accordance with Article 5 of the Law of Ukraine On Citizens’ Appeals. In the latter case, the appeals filed by citizens should contain full name, place of residence, the issue of the question, comment, application, claim, statement, request or demand. A written appeal should be signed and dated by the appealer (appealers). An appeal sent via e-mail to UHE noted above should contain an e-mail address or postal address or any other means of communication in order to answer the appeal. The use of electronic signature is not required for e-mail appeals. ANONYMOUS COMPLIANTS In case of anonymous complaints, the complaining party can submit their complaint without personal details. Given that personal details are not provided, UHE will be unable to respond directly with the result of any complaint investigation. As such it will be the responsibility of the complaining party to follow up with UHE for further understand the progress and result of the investigation. CONFIDENTIALITY AND CONFLICT OF INTEREST Confidentiality will be ensured in all instances, including when the person making the complaint is known. For this reason, multiple channels to make a complaint have been established and conflicts of interest will be avoided. RECEIPT AND RECORDING OF COMPLAINTS Project Manager or ESHS Managers (according to the competence), receiving the complaint will complete the grievance form (see Appendix B) and will record the complaint in the Register of Complaints. Then, the complaint is to be submitted immediately to the tracking system for sorting and redirecting to the appropriate department responsible for investigating and addressing the complaint, or to staff if the complaint is related to a specific project activity. The ESHS Manager will be responsible for determining who to direct the complaint to, whether a complain requires an investigation (or not), and the timeframe to respond to it. When determining who will be the investigating officer, the ESHS Manager should ensure that there is no conflict of interest, i.e. all persons involved in the investigation process should not have any material, personal, or professional interest in the outcome and no personal or professional connection with complainants or witnesses. Once the investigation process has been established, the ESHS Manager enters this data into the Register of Complaints. The number and type of suggestions and questions should also be recorded and reported so that they can be analyzed to improve project communications. INVESTIGATION Under Article 20 of the Law of Ukraine on Citizens’ Appeals, appeals are considered and resolved no later than one month from the date of its receipt, and immediately to those that do not require additional 44 study, but not later than 15 days from the date of its receipt. If issues raised in the appeal cannot be resolved within one month, the head of the body, enterprise, institution, organization, or his deputy define necessary time for its consideration, and report about it to the person who filed the appeal. At the same time the entire term for resolving issues raised in the appeal may not exceed forty-five days. To process the grievance the person responsible for investigating the complaint will gather facts in order to generate a clear understanding of the circumstances surrounding the grievance. The investigation/follow-up can include site visits, review of documents and a meeting with those who could resolve the issue. The results of investigation and the proposed response to the complainant will be presented for consideration to the ESHS Manager, who will propose decisions on further actions to the senior management of the Project and UHE. Once a decision has been made and the complainant informed, the investigating specialist describes the actions to be taken in the grievance form, along with the details of the investigation and the findings and submits the response to UHE Senior Management for signing. RESPONSE TO COMPLAINANT The complainant will be informed about the results of verification via letter or email, as received. The response shall be based on the materials of the investigation and, if appropriate, shall contain references to the national legislation. The deadline for investigating the complaint may be extended by 30 working days by the ESHS Manager, and the complainant is to be informed about this fact, whether: • additional consultations are needed to provide response to the complaint; • the complaint refers to a complex volume of information and it is necessary to study additional materials for the response. REPORTING Regular updates on the GRM system will be available on the UHE web page. UHE will provide information on the following as part of monthly reports to the World Bank: • Status of establishment of the GRM (procedures, staffing, awareness building, etc.); • Quantitative data on the number of complaints received, the number that were relevant, and the number resolved; • Qualitative data on the type of complaints and answers provided, issues that are unresolved; • Time taken to resolve complaints; • Number of grievances resolved at the lowest level, raised to higher levels; • Any particular issues faced with the procedures/staffing or use; • Factors that may be affecting the use of the GRM/beneficiary feedback system; • Any corrective measures adopted. FURTHER ACTIONS The GRM does not substitute for—and should not obstruct— judicial and administrative remedies, such as mediation or arbitration, which are necessary for disputes beyond the scope of the GRM. A key function of a GRM is to address emerging concerns before they reach a level that may warrant judicial 45 or administrative proceedings. Stakeholders will therefore be able to appeal to the court in case if they are not satisfied with the results of grievance investigation. WORLD BANK GRIEVANCE REDRESS SYSTEM Communities and individuals who believe that they are adversely affected by a WB supported project may submit complaints to the above project-level GRM or the WB’s Grievance Redress Service (GRS). The GRS ensures that complaints received are promptly reviewed in order to address project-related concerns. Project affected communities and individuals may submit their complaint to the WB’s independent Inspection Panel which determines whether harm occurred, or could occur, as a result of WB non-compliance with its policies and procedures. Complaints may be submitted at any time after concerns have been brought directly to the World Bank’s attention, and Bank Management has been given an opportunity to respond. For information on how to submit complaints to the World Bank’s corporate Grievance Redress Service (GRS), please visit: http://www.worldbank.org/en/projects-operations/products-and-services/grievance-redress-service. 46 MONITORING AND REPORTING The Stakeholder Engagement Plan will be periodically revised and updated as necessary in the course of the Project implementation in order to ensure that the information presented herein is consistent and is the most recent, and that the identified methods of engagement remain appropriate and effective in relation to the project context and specific phases of the development. Any major changes to the project related activities and to its schedule will be duly reflected in the SEP. Monthly summaries and internal reports on public grievances, enquiries and related incidents, together with the status of implementation of associated corrective/preventative actions will be collated by responsible staff and referred to the senior management of the project(s). The monthly summaries will provide a mechanism for assessing both the number and the nature of complaints and requests for information, along with the Project’s ability to address those in a timely and effective manner. Information on public engagement activities undertaken by the Project during the year may be conveyed to the stakeholders in two possible ways: • Publication of a standalone annual report on project’s interaction with the stakeholders. • A number of Key Performance Indicators (KPIs) will also be monitored by the project on a regular basis, including the following parameters: - Number of public hearings, consultation meetings and other public discussions/forums conducted within a reporting period (e.g. monthly, quarterly, or annually); - Frequency of public engagement activities; - Geographical coverage of public engagement activities – number of locations and settlements covered by the consultation process, including the settlements in remote areas within the Project Area of Influence (AoI); - Number of public grievances received within a reporting period (e.g. monthly, quarterly, or annually) and number of those resolved within the prescribed timeline; - Type of public grievances received; - Number of press materials published/broadcasted in the local, regional, and national media; Amount of Project’s charitable investments in the local communities in the Project Area of Influence. 47 APPENDIX A: IDENTIFIED STAKEHOLDERS Stakeholder Classification Stakeholders that will be Stakeholders that Stakeholders with Directly or Indirectly Participate in the Potential to Influence Affected by the Project Implementation of the Decisions on Project Project Implementation • Residents of • WB (Lender). • Government ministries. municipalities, villages and • USAID (Lender). • State Agencies communities which could (environment, energy, • Employees of UHE potentially be affected by labour, etc.). (internal stakeholders). the activities. • Local governors and • EPC Contractors and • Land-owners and land municipalities. subcontractors. users adjacent to the site. • Local emergency services • PIC. • Residents along transport – specifically the fire routes and adjacent to the department. site. • NGOs (local and • Neighbouring industries national). and businesses. • Media. • Business Community. • General Public. • Operators/owners of local infrastructure (water pipelines, roads etc.). • UHE Staff. Governmental ministries and State agencies: • Cabinet of Ministers of Ukraine • Ministry of Energy of Ukraine • State Agency for Energy Efficiency and Energy Saving of Ukraine • National Commission for State Regulation of Energy and Public Utilities • National power company “Ukrenergo� • Ministry of Ecology and Natural Resources of Ukraine • State Water Resources Agency of Ukraine • Ministry of Finance of Ukraine • Ministry for Development of Economy, Trade and Agriculture of Ukraine • Ministry for Communities and Territories Development of Ukraine Local authorities: ▪ Kyiv Regional State Administration, ▪ Cherkasy Regional State Administration, ▪ Kirovograd Regional State Administration, ▪ Dnipropetrovsk Regional State Administration ▪ Chernivtsi Regional State Administration 48 NGOs: • NGO “Renewable Energy Agency� • Bioenergy Association of Ukraine • DiXi Group • Ukrainian energy innovation network Greencubator • NGO “Ecoaction� • Ukrainian Ecological Club "Green Wave� • Local NGOs: - Kaniv Regiment of the International NGO "International Union of Cossacks" - Kirovohrad Youth Association "Zlatopillya" - Svitlovodsk PROMO ASSOCIATION - New Svitlovodschyna - NGO “Holos pryrody�/ Voice of nature (Kamyanske) - Chernivtsi Regional NGO "Environmental Safety" - NGO "Vyshgorod European City", etc. Business Community: • UHE Contracted waste management companies • UHE Sub-contractors Local media/newspapers: • Vyshgorod newspaper “Vyshgorod�, • Kaniv online guide “Kanos�, • Kaniv newspaper “Dniprova zirka�, • Svitlovodsk newspapers “Visti Svitlovodschyny�, “Vidkrytyj Svitlovodsk�, “Svitlovodska Zrada�, and “Svitlovodsk Patriotychny�; Svitlovodsk TV and radio company “Veselka� • Kamianske newspapers “Sobytie�, “Nash Reporter�, “Hydroenergetics of Ukraine� and “Dnipro news� • Newspaper “Nasha gazeta. Novodnistrovsk�, etc. 49 APPENDIX B: GRIEVANCE / INQUIRY RECORD GRIEVANCE/INQUIRY RECORD (Form A) Instructions: This form is to be completed by staff receiving the inquiry or grievance and kept in the Project’s file. Attach any supporting documentation/letters as relevant. Date Grievance Name of Staff Completing Form: Received: Grievance Received (check √): □ National □ Oblast □ Rayon □ Village Mode of Filing Inquiry or Grievance (check √): □ In person □ Telephone □ E-mail □ Phone Text Message □ Website □ Grievance/Suggestion box □ Community meeting □ Public consultation □ Other ______________ Name of Person Raising Grievance: (information is optional and always treated as confidential) Gender: □ Male □ Female Address or contact information for Person Raising Grievance: (information is optional and confidential) Location where grievance/problem occurred [write in] National: Oblast: Rayon: Village: Brief Description of Grievance or Inquiry: (Provide as much detail and facts as possible) Category 1 Social Safeguards Category 2 Environmental Safeguards Category 3 Grievances regarding violations of policies, guidelines and procedures Category 4 Grievances regarding contract violations Category 5 Grievances regarding the misuse of funds/lack of transparency, or other financial management concerns Category 6 Grievances regarding abuse of power/intervention by project or government officials Category 7 Grievances regarding MERP staff performance Category 8 Reports of force majeure Category 9 Grievance about project interventions Category 10 Other 50 Who should handle and follow up on the grievance: Progress in resolving the grievance (e.g answered, being resolved, settled): 51 APPENDIX C: ORGANIZATIONS ENGAGED TO CONSULTATIONS DURING PROJECT PREPARATION STAGE List of representatives of governmental organizations participated in the consultations of March 04, 2021 (1st stage of the stakeholders consultations) # Organizations: Representatives: 1 Ministry of Energy of Ukraine 1. Vitaliy Kushnirov, Director General of the Directorate for Strategic Planning and European Integration. 2 Ministry of Finance of Ukraine 1. Olena Zubchenko, Head of the Department for Corporate Management of State Property; 2. Andriy Strashny, Deputy Director of the Department of Finance of the Fuel and Energy Sector and Property Relations; 3. Pavlo Tkachenko, Chief Specialist of the Department of Finance of the Fuel and Energy Sector and Property Relations; 4. Kateryna Elishieva, Director of the Department of International Financial Projects. 3 Ministry for Development of 1. Roman Kropyvnytsky, Director of the Department of Pricing Economy, Trade and Policy and Development of the Real Sector of the Economy; Agriculture of Ukraine 2. Yuliya Skubak, Director of the Investment Department. 4 State Agency for Energy 1. Yuriy Shafarenko Yuriy, Deputy Chairman of the State Agency Efficiency and Energy Saving of for Energy Efficiency and Energy Saving of Ukraine. Ukraine 52 5 National Commission for State 1. Ilya Sidorov, Head of the Department of Regulatory and Legal Regulation of Energy and Public Support of Electricity Markets; Utilities 2. Oleksiy Nikitin, Deputy Head of the Department of Regulatory and Legal Support of Electricity Markets; 3. Oleksandr Gavva, Head of the Department for Implementation and Control of State Support in the Electricity Market; 4. Oleksandr Kolesnikov, Chief Specialist of the Department for Support of Development and Ensuring the Functioning of the Electricity Market; 5. Viktor Kikot, Head of the Department of Generating Enterprises; 6. Vladyslav Sahir, Deputy Head of the Department of Generating Enterprises; 7. Oleksandr Mykhailovsky, Head of the Department of Alternative and Renewable Electricity; 8. Roman Vysotsky, Head of the Generation Monitoring and Analysis Sector of the Department for Regulation of Relations in the Energy Sector; 9. Olga Pryhid, Chief Specialist of the Department of Alternative and Renewable Electricity; 10. Yuliya Lutsenko, Chief Specialist of the Department of Alternative and Renewable Electricity; 11. Yuliya Pechenovska, Chief Specialist of the Department of Alternative and Renewable Electricity. 53 6 National power company Employees of the Directorate of UES of Ukraine “Ukrenergo� NPC "Ukrenergo": 1. Vitaliy Zaichenko, Managing Director of UES of Ukraine; 2. Roman Grabchak, Head of the Balance Reliability Department; 3. Yuriy Privalov, Head of the Department of Electrical Regimes; 4. Anatoliy Lapko, Head of the RES mode group; 5. Kateryna Deykun-Stepanchuk, Lead Engineer of the Department for Coordination of Work of Automatic Control Systems of Power Plants and CAP; 6. Yuriy Lykhovyd, Head of the Department for Coordination of Work of Automatic Control Systems of Power Plants and CAP; Employees of the Department of Scientific and Technical Development and Regulatory Support of NPC "Ukrenergo": 7. Anatoliy Khodakivsky, Head of the Department; 8. Anatoliy Kvitsynsky, Head of the Department of Regulatory Research Support; 9. Oleksandr Smilenko, Head of the Department of Organization and Control of Regulatory Support Works; 10. Serhiy Mezhenny, Lead Expert on Standardization, Department for National and International Standardization; 11. Oleksandr Lytvyn, Head of Auxiliary Services Certification Department; 12. Pavlo Bodnarchuk, Head of the Support Services Monitoring Department; 13. Olena Tyshchenko, Head of the Department of Interaction with Market Participants and Administration of Legal Acts; 14. Yuriy Kravchenko, Lead Engineer of the Retail Consumer Market Department; 15. Maksym Herbut, Head of the Retail Consumer Market Department; 16. Kateryna Danylkova, Head of the Department for Ensuring the Functioning of the Balancing Market and the Market of Ancillary Services; 54 17. Inna Oprya, Head of the Department of Agreements with Market Participants - Users of the System; 18. Oleksandr Kondrat, Lead Engineer of the Auction Department for BM and BCC; 19. Pavlo Bodnarchuk, Head of the Support Services Monitoring Department; 20. Dmitriy Arlamov-Kiryushin, Lead Engineer of the Support Services Monitoring Department; 21. Ihor Maistrenko, Head of the Department of Administration of Market Participants Schedules; 22. Maksym Petrovych, Lead Engineer of the Department of Administration of Market Participants Schedules; 23. Oleksandr Symonenko, Head of the Department of Special Duties and Systems Support; 24. Yuriy Karasevych, Head of the Auction Department for BM and BCC; 25. Sviatoslav Sakhno, Lead Engineer of the Auction Department for BR and RDP. 7 State Water Resources Agency 1. Serhiy Apostolaka, Head of the Energy Efficiency Sector. of Ukraine 8 Kirovograd Regional State 1. Hanna Gomenyuk, Acting Director of the Department of Administration Ecology, Natural Resources and Fuel&Energy Sector of Kirovograd Regional State Administration; 2. Snizhana Lazarenko, Deputy Head of the Department of Fuel&Energy Sector and Subsoil Use; 3. Olga Podvysotska, Chief Economist of the Department of Fuel&Energy Sector and Subsoil Use. 9 Dnipropetrovsk Regional State 1. Oksana Narizhna, Deputy Head of the Department of Administration Fuel&Energy Sector and Energy Saving of the Dnipropetrovsk Regional State Administration. 55 List of representatives of NGOs participated in the consultations of March 04, 2021 (1st stage of the stakeholders consultations) # Organizations: Representatives: 1 NGO “Ecoaction� Viktoriia-Anna Oliynyk, Greening Investments Specialist. 2 Kaniv Regiment of the International NGO Ilya Trufanov, Director of Kaniv "International Union of Cossacks" Community Development Agency. 3 Kirovohrad Youth Association "Zlatopillya" Mykola Seredenko, Head of the NGO. 4 NGO “New Svitlovodschyna� Volodymyr Pokhilov, Co-Chair of the Public Initiative. 5 NGO "Vyshgorod European City" Maksym Katsuba, Chairman of the Board of the NGO. 6 Bioenergy Association of Ukraine Heorhiy Geletukha, Chairman of the Board of the Public Union "Bioenergy Association of Ukraine". 7 Global Cleantech Innovation Programme | UNIDO Ihor Kirilchuk, National Project Coordinator. 56 List of representatives of governmental and non-governmental organizations participated in the consultations of April 28, 2021 (2nd stage of the stakeholders consultations) # Organizations: Representatives: 1 National power company “Ukrenergo� 1. Yuriy Privalov 2. Oleksii Halin 3. Liudmyla Kovrygina 4. Andriy Nedilko 5. Denys Kashtanov 6. Roman Grabchak 7. Anatoliy Lapko 8. Kateryna Deykun-Stepanchuk 9. Yuriy Lykhovyd 10. Oleksandr Smilenko 11. 11.Yuiia Palamarenko 12. 12. Ihor Lunskyi 13. 13. Olga Gorbatiuk 2 Cherkasy Regional State Administration Nataliia Volovyk 3 Kaniv Regiment of the International NGO Ilya Trufanov "International Union of Cossacks" 4 Global Cleantech Innovation Programme | Ihor Kirilchuk UNIDO 5 Kirovohrad Youth Association "Zlatopillya" Mykola Seredenko 57 APPENDIX D: QUESTIONNAIRE FOR STAKEHOLDERS 1st stage of the stakeholders consultations: 58 59 Unofficial translation of Questionnaire for Stakeholders: Questionnaire for the project stakeholders Thank you for your participation in the online consultation and will be grateful for filling out a short questionnaire in order to take your opinion into account. * - mandatory Please indicate how much the consultations have helped you to obtain more detailed information about the project. * 1 - Did not help 2 3 4 5 – Helped a lot Please comment on your above-stated answer. * What other aspects should be taken into account during the project implementation from your perspective? * Do you consider this project as innovative one? * 1 5 2 3 4 Not innovative enough Very innovative What aspects of the project would you like to learn more during the next discussions? * 60 Do you consider the proposed consultation format to be effective for stakeholder engagement? * 1 5 2 3 4 Not effective enough Very effective If you find the proposed consultation format ineffective, please indicate which format is more appropriate from your perspective. If you have any suggestions / comments regarding the project, please leave them here. Please indicate which sources would be more convenient for you to obtain information about the project? * From the official website of Ukrhydroenergo Through social networks (Facebook, YouTube, Instagram тощо) Directly by e-mail Through official Ukrainian publications (electronic or printed) Others: Please indicate which organization you represent? * Your full name and position in the organization: * 61 Please leave your contact details: 2nd stage of the stakeholders consultations: 62 63 Unofficial translation of Questionnaire for Stakeholders (2nd stage of the stakeholders consultations) 64 Questionnaire for the project stakeholders Thank you for your participation in the online consultation regarding the drafts of the project environmental and social documents and will be grateful for filling out a short questionnaire in order to take your opinion into account. * - mandatory Please indicate how much the consultations have helped you to obtain clear and detailed information on previously published drafts of the documents, in particular Environmental and Social Management Plan (ESMP) and Stakeholder Engagement Plan (SEP). * 1 - Did not help 2 3 4 5 – Helped a lot Please comment on your above-stated answer. * Do you think that the draft of ESMP takes into account all important aspects and completely clear for understanding?* 1 - Not at all 2 3 4 5 – Yes, for sure Please comment on your above-stated answer. * If you have any suggestions / comments regarding the draft of ESMP, please leave them here? 65 Do you think that the draft of SEP takes into account all important aspects and completely clear for understanding?* 1 - Not at all 2 3 4 5 – Yes, for sure Please comment on your above-stated answer. * If you have any suggestions / comments regarding the draft of SEP, please leave them here? If you have any suggestions / comments regarding the format of the consultations process, please leave them here. Your name and surname: * If you represent an organization, please indicate which one? Please indicate your contact details: 66