Public Disclosure Authorized ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF) FOR ACCESS ROADS TO REFUGEE SETTLEMENTS, ASSOCIATED FACILITIES TO KOBOKO- Public Disclosure Authorized YUMBE-MOYO (KYM) ROAD PROJECT AND CONTINGENCY EMERGENCY RESPONSE COMPONENT (CERC) Uganda National Roads Authority Directorate of Network Planning and Engineering Updated September 2024 Public Disclosure Authorized Public Disclosure Authorized Environmental and Social Management Framework (ESMF) for Access Roads to Refugee Settlements, Associated Facilities to Koboko-Yumbe- Moyo (KYM) Road Project and Contingency Emergency Response Component (CERC) Prepared by: Uganda National Roads Authority The Department of Environment and Social Safeguards Directorate of Network Planning and Engineering Cover page photo: Women selling foodstuffs at a roadside market around Yumbe town, © UNRA photo-gallery April 2020 i i DOCUMENT CONTROL Developer: Project No: Uganda National Roads Authority (UNRA) Report Title: Date of the first submission: Environmental and Social Management Framework April 2020 (ESMF) for Access Roads to Refugee Settlements, Associated Facilities to Koboko-Yumbe-Moyo (KYM) Road Project and Contingency Emergency Response Component (CERC) The preparation of this report has been undertaken Distribution: following the World Bank Environmental and Social Official Framework, the national Legal Framework and UNRA’s Environment and Social Safeguards Policy. Public UNRA accepts no responsibility or legal liability arising Confidential from the unauthorized use by third parties of data or professional opinions herein contained. Reviewed Date Revision Description Originator ii i TEAM No. Name Role on the project Signature 1 Monicah E. Seruma Environment and Social Safeguards specialist 2 Patrick I. Kamanda Environment Specialist 3 Wilber Lukwago Biodiversity specialist 4 Brian E. Karugaba Environment Specialist Social Development Specialist (RAP, vulnerability 5 Henry Seguya K assessment & Livelihood Restoration) 6 Edgar Kaijuka Occupational Health and Safety Expert 7 Enid Kansiime Social Development Specialist -GBV/VAC/SEA) The Department of Environment and Social Safeguards (DESS) Directorate of Network Planning and Engineering Uganda National Roads Authority (UNRA) May 2020 iii i TABLE OF CONTENTS DOCUMENT CONTROL .................................................................................................................................... II TEAM ................................................................................................................................................................ III LIST OF FIGURES..........................................................................................................................................VIII LIST OF PLATES .............................................................................................................................................IX LIST OF TABLES ..............................................................................................................................................X LIST OF ACRONYMS ......................................................................................................................................XI EXECUTIVE SUMMARY.................................................................................................................................XIII CHAPTER 1 PROJECT DESCRIPTION ......................................................................................................... 18 1.1 PROJECT CONTEXT ..........................................................................................................................................18 1.2 PROJECT COMPONENTS..................................................................................................................................18 1.2.1 ACCESS ROADS TO THE REFUGEE SETTLEMENTS ............................................................................................19 1.2.2 KYM PROJECT ASSOCIATED FACILITIES...............................................................................................................19 1.2.3 CONTINGENT EMERGENCY RESPONSE COMPONENT (CERC) ..........................................................................20 1.3 PROJECT OBJECTIVES .....................................................................................................................................20 1.4 REPORT STRUCTURE .......................................................................................................................................21 CHAPTER 2: PURPOSE AND SCOPE OF THE ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK ................................................................................................................................................. 22 2.1 PURPOSE OF THE ESMF ...................................................................................................................................22 2.2 SCOPE OF THE FRAMEWORK ..........................................................................................................................23 2.2.1 GEOGRAPHICAL, ENVIRONMENTAL AND SOCIAL SETTING ................................................................................23 2.2.2 SCOPE OF PROJECT COMPONENTS .....................................................................................................................24 2.2.3 SCOPE OF KEY ACTIVITIES .....................................................................................................................................26 CHAPTER 3: POLICY AND LEGAL FRAMEWORK ...................................................................................... 29 3.1 NATIONAL POLICY AND LEGAL FRAMEWORK................................................................................................ 29 3.1.1 NATIONAL ENVIRONMENT MANAGEMENT POLICY, 1994 ....................................................................................29 3.1.2 UGANDA VISION 2040...............................................................................................................................................29 3.1.3 THE NATIONAL EQUAL OPPORTUNITIES POLICY 2006 ........................................................................................29 3.1.4 THE NATIONAL EQUAL OPPORTUNITIES POLICY 2006 ........................................................................................29 3.1.5 THE NATIONAL POLICY ON CONSERVATION AND MANAGEMENT OF WETLAND RESOURCES, 1995 ..........30 3.1.6 THE NATIONAL WATER POLICY, 1999 ....................................................................................................................30 3.1.7 NATIONAL POLICY ON ELIMINATION OF GENDER-BASED VIOLENCE, 2016......................................................30 3.1.8 THE UGANDA NATIONAL LAND POLICY, 2013 .......................................................................................................30 3.1.9 NATIONAL POLICY ON HIV/AIDS AND THE WORLD OF WORK, 2007 & THE NATIONAL HIV/AIDS POLICY, 2004 .............................................................................................................................................................31 3.1.10 UGANDA GENDER POLICY 2007 .............................................................................................................................31 3.1.11 UGANDA ROAD SECTOR POLICY STATEMENTS, GUIDELINES ...........................................................................31 3.1.12 TRANSPORT SECTOR POLICY ................................................................................................................................31 3.1.13 UGANDA FORESTRY POLICY 2001 .........................................................................................................................31 3.1.14 THE UGANDA NATIONAL CULTURE POLICY 2006 .................................................................................................31 3.2 LEGISLATIVE FRAMEWORK PERTINENT TO KYM ACCESS ROADS............................................................32 3.2.1 CONSTITUTION OF REPUBLIC OF UGANDA, 1995 ................................................................................................32 3.2.2 NATIONAL ENVIRONMENTAL ACT, 2019 ................................................................................................................32 3.2.3 LOCAL GOVERNMENT ACT, CAP ............................................................................................................................32 3.2.4 LAND ACT, CAP 227 ..................................................................................................................................................32 3.2.5 LAND ACQUISITION ACT, CAP 226 ..........................................................................................................................32 3.2.6 WATER ACT, CAP 152...............................................................................................................................................33 3.2.7 MINING ACT, 9/2003 ..................................................................................................................................................33 3.2.8 OCCUPATIONAL SAFETY AND HEALTH ACT, 2006 ...............................................................................................33 3.2.9 THE EMPLOYMENT ACT, 2006.................................................................................................................................33 3.2.10 WORKERS’ COMPENSATION ACT, CAP 225 ..........................................................................................................34 3.2.11 UGANDA WILDLIFE ACT, CAP 200 ...........................................................................................................................34 3.2.12 PETROLEUM ACT, 2013............................................................................................................................................34 3.2.13 NATIONAL FORESTRY AND TREE PLANTING ACT, 2003 ......................................................................................34 3.2.14 PHYSICAL PLANNING ACT, 2010 .............................................................................................................................34 3.2.15 TOBACCO CONTROL ACT, 2015 ..............................................................................................................................35 3.2.16 EXPLOSIVES ACT, CAP 298 .....................................................................................................................................35 3.2.17 PUBLIC HEALTH ACT, CAP 281................................................................................................................................35 3.2.18 CHILDREN’S ACT, CAP 59 ........................................................................................................................................35 3.2.19 NSSF ACT, CAP 222 ..................................................................................................................................................35 3.2.20 HISTORICAL MONUMENTS ACT, CAP 46 ................................................................................................................35 3.2.21 THE UGANDA CITIZENSHIP AND IMMIGRATION ACT, CAP 63 .............................................................................36 3.2.22 PUBLIC HOLIDAY ACT ..............................................................................................................................................36 iv i 3.2.23 RIVERS ACT, CAP 357 ..............................................................................................................................................36 3.2.24 FISH ACT CAP, 197 ...................................................................................................................................................36 3.2.25 TRADITIONAL RULER’S ACT, CAP 247 ....................................................................................................................36 3.2.26 DOMESTIC VIOLENCE ACT 2010 .............................................................................................................................37 3.3 REGULATORY FRAMEWORK ............................................................................................................................37 3.3.1 ENVIRONMENTAL IMPACT ASSESSMENT REGULATIONS, 1998 .........................................................................37 3.3.2 NATIONAL ENVIRONMENT (WASTE MANAGEMENT) REGULATIONS 1999 .........................................................37 3.3.3 NATIONAL ENVIRONMENT (WETLANDS, RIVERBANKS AND LAKESHORES MANAGEMENT) REGULATION S.I NO. 2/2000 ....................................................................................................................................37 3.3.4 NATIONAL ENVIRONMENT (MINIMUM STANDARDS FOR DISCHARGE OF EFFLUENTS INTO WATER OR LAND) REGULATIONS, 1999 ........................................................................................................................37 3.3.5 NATIONAL ENVIRONMENT (CONTROL OF SMOKING IN PUBLIC PLACES) REGULATIONS, 2004 ...................38 3.3.6 NATIONAL ENVIRONMENT (NOISE STANDARDS AND CONTROL) REGULATIONS, 2003 ..................................38 3.3.7 WATER RESOURCES REGULATIONS, 1998 ...........................................................................................................38 3.3.8 DRAFT NATIONAL AIR QUALITY STANDARDS, 2006 .............................................................................................38 3.3.9 THE NATIONAL ENVIRONMENT (MOUNTAINOUS AND HILLY AREAS MANAGEMENT) REGULATIONS, 2000 .38 3.3.10 THE NATIONAL ENVIRONMENT (AUDIT) REGULATIONS 2006 .............................................................................39 3.4 NATIONAL INSTITUTIONAL FRAMEWORK .......................................................................................................39 3.4.1 UGANDA NATIONAL ROADS AUTHORITY (UNRA) .................................................................................................39 3.4.2 MINISTRY OF GENDER LABOUR AND SOCIAL DEVELOPMENT (MGLSD)...........................................................39 3.4.3 THE DIRECTORATE OF WATER RESOURCES MANAGEMENT-(DWRM) MOWE .................................................39 3.4.4 DEPARTMENT OF MUSEUMS AND MONUMENTS (MINISTRY OF TRADE, TOURISM & INDUSTRY) ................40 3.4.5 DEPARTMENT OF GEOLOGICAL MINES AND SURVEYS. (MINISTRY OF ENERGY AND MINERAL DEVELOPMENT ......................................................................................................................................................................40 3.4.6 MINISTRY OF LANDS, HOUSING AND URBAN DEVELOPMENT............................................................................40 3.4.7 DISTRICT LOCAL GOVERNMENTS ..........................................................................................................................40 3.4.8 OFFICE OF THE PRIME MINISTER ..........................................................................................................................40 3.5 INTERNATIONAL AND REGIONAL CONVENTIONS/TREATIES .......................................................................41 3.6 THE WORLD BANK SAFEGUARDS POLICIES .................................................................................................41 3.6.1 THE WORLD BANK’S ENVIRONMENTAL AND SOCIAL STANDARDS (ESS) .........................................................41 CHAPTER 4 ENVIRONMENT AND SOCIAL BASELINE ............................................................................... 47 4.1 PRELIMINARY SOCIO-ECONOMIC BASELINE.................................................................................................47 4.1.1 ADMINISTRATION AND LOCATION OF THE PROJECT ..........................................................................................47 4.1.2 RELIGION AND CULTURAL DIVERSITY ...................................................................................................................47 4.1.3 POPULATION .............................................................................................................................................................48 4.1.4 GENDER ANALYSIS ..................................................................................................................................................48 4.1.5 EXISTING SOCIAL VICES .........................................................................................................................................51 4.1.6 REFUGEE SETTLEMENTS........................................................................................................................................52 4.1.7 ECONOMIC ACTIVITIES ............................................................................................................................................53 4.1.8 EMPLOYMENT STATUS ............................................................................................................................................54 4.1.9 LAND TENURE...........................................................................................................................................................54 4.1.10 HEALTH AND HIV STATUS .......................................................................................................................................54 4.1.11 COMMUNITY WATER SOURCES AND HYGIENE ....................................................................................................55 4.1.12 SOCIAL SERVICES ALONG THE ACCESS ROUTES ...............................................................................................56 4.1.13 PHYSICAL CULTURAL RESOURCES WITHIN THE PROPOSED ROW ..................................................................56 4.1.14 INTERNATIONAL AGENCIES WORKING IN THE PROJECT AREA.........................................................................56 4.1.15 SETTLEMENT PATTERNS AND HOUSING ..............................................................................................................57 4.2 PRELIMINARY ENVIRONMENTAL BASELINE ...................................................................................................59 4.2.1 CLIMATE ....................................................................................................................................................................59 4.2.2 HYDROLOGY .............................................................................................................................................................59 4.2.3 GEOLOGY AND SOILS ..............................................................................................................................................60 4.2.4 FLORAL DIVERSITY ..................................................................................................................................................60 4.2.5 FAUNA DIVERSITY ....................................................................................................................................................60 CHAPTER 5 POTENTIAL ENVIRONMENTAL AND SOCIAL RISKS ............................................................ 61 5.1 POSITIVE PROJECT IMPACTS ..........................................................................................................................61 5.2 NEGATIVE IMPACTS ..........................................................................................................................................61 5.2.1 PRE-CONSTRUCTION IMPACTS AND RISKS..........................................................................................................61 5.2.2 CONSTRUCTION IMPACTS AND RISKS ..................................................................................................................62 5.2.3 POST-CONSTRUCTION IMPACTS AND RISKS .......................................................................................................66 5.2.4 RISK OF DISCRIMINATION AGAINST VULNERABLE OR MARGINALIZED INDIVIDUALS OR GROUPS .............67 5.3 RISK CLASSIFICATION ......................................................................................................................................69 5.3.1 PROJECT COMPONENTS.........................................................................................................................................69 5.3.2 UNEXPLODED ORDINANCES AND SECURITY CONSIDERATIONS ......................................................................69 5.3.3 RISKS ASSOCIATED WITH CORONAVIRUS DISEASE (COVID-19).........................................................................70 v i CHAPTER 6 ENVIRONMENTAL AND SOCIAL SCREENING, REVIEW AND APPROVAL ......................... 71 6.1 INTRODUCTION..................................................................................................................................................71 6.2 SCREENING ........................................................................................................................................................72 6.2.1 ACCESS ROADS TO REFUGEE SETTLEMENTS ....................................................................................................72 6.2.2 CERC ACTVITITES ....................................................................................................................................................72 6.2.3 ASSOCIATED FACILITIES (CAMPS, QUARRIES AND BORROW AREAS) .............................................................73 6.3 SCOPING.............................................................................................................................................................73 6.4 ENVIRONMENTAL AND SOCIAL IMPACT STUDY............................................................................................74 6.4.1 ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN (ESMP) ............................................................................74 6.4.2 MONITORING AND REPORTING ..............................................................................................................................75 6.5 REVIEW AND DECISION-MAKING .....................................................................................................................76 6.6 DISCLOSURE ......................................................................................................................................................76 6.7 LAND ACQUISITION AND INVOLUNTARY RESETTLEMENTS .........................................................................76 6.7.1 QUARRY ....................................................................................................................................................................76 6.7.2 CAMPSITES AND BORROW AREAS ........................................................................................................................77 CHAPTER 7 STAKEHOLDER CONSULTATIONS AND PUBLIC DISCLOSURE ......................................... 78 7.1 INTRODUCTION..................................................................................................................................................78 7.2 INITIAL CONSULTATIONS .................................................................................................................................78 7.3 FUTURE CONSULTATIONS ...............................................................................................................................79 7.4 CONTINUOUS CONSULTATIONS .....................................................................................................................80 7.5 INFORMATION DISSEMINATION AND DISCLOSURE ......................................................................................80 7.6 GRIEVANCE REDRESS MECHANISM ...............................................................................................................81 7.6.1 OBJECTIVES OF GRIEVANCE REDRESS................................................................................................................82 7.6.2 DEVELOPMENT OF GRIEVANCE REDRESS MECHANISM PROCEDURE ............................................................82 7.7 MONITORING GRIEVANCE MANAGEMENT......................................................................................................85 CHAPTER 8 IMPLEMENTATION ARRANGEMENTS FOR ESMF ................................................................ 86 8.1 INSTITUTIONAL ARRANGEMENTS ...................................................................................................................86 8.1.1 THE WORLD BANK ....................................................................................................................................................86 8.1.2 UNRA..........................................................................................................................................................................86 8.2 CAPACITY BUILDING..........................................................................................................................................87 8.3 TRAINING PLAN ..................................................................................................................................................87 8.4 PROJECT OPERATION MANUAL ......................................................................................................................88 vi i CHAPTER 9 MONITORING AND EVALUATION............................................................................................ 89 9.1 OBJECTIVES OF ENVIRONMENTAL AND SOCIAL MONITORING AND CONTROL .......................................89 9.2 ESMF MONITORING ...........................................................................................................................................89 9.3 RESPONSIBILITIES ............................................................................................................................................89 9.4 REPORTING ........................................................................................................................................................89 REFERENCES ................................................................................................................................................. 90 ANNEXURES ................................................................................................................................................... 92 ANNEX 1: AIDE-MÉMOIRE ................................................................................................................................................93 ANNEX 2: CONTINGENCY EMERGENCY RESPONSE COMPONENT (CERC) .............................................................98 ANNEX 3: SCREENING FORMS POTENTIAL ENVIRONMENTAL AND SOCIAL, HEALTH AND SAFETY RISKS ....................................................................................................................104 ANNEX 4: CONTENT OF THE SCOPING REPORT .......................................................................................................106 ANNEX 5: ENVIRONMENTAL AND SOCIAL MANAGEMENT AND MONITORING PLAN (ESMMP) .............................107 ANNEX 6: CHECK LIST FOR STATUS OF IMPLEMENTATION OF THE ESMF ............................................................108 ANNEX 7: TERMS OF REFERENCE FOR ENVIRONMENT AND SAFEGUARDS SPECIALIST/TECHNICAL ASSISTANT .................................................................................................................................................109 ANNEX 8: CONTRACTOR SECURITY CONTROL AND MANAGEMENT GUIDELINE .................................................111 ANNEX 9: INCIDENT REGISTER TEMPLATE ................................................................................................................115 ANNEX 10: LIST OF STAKEHOLDERS CONSULTED ....................................................................................................116 ANNEX 11: ACTIONS TAKEN BY GOU TO ENSURE NON-DISCRIMINATION. ...........................................................117 ANNEX 12: ENHANCED IMPLEMENTATION SUPPORT AND MONITORING OF NON-DISCRIMINATION...............129 vii i LIST OF FIGURES FIGURE 4-1: LOCATION OF THE REFUGEE SETTLEMENTS RELATIVE TO THE PROJECT AREA .................................................. 52 FIGURE 6-1: EIA PROCESS FOR UGANDA .......................................................................................................................................... 71 FIGURE 7-1: SCHEMATIC REPRESENTATION OF UNRA’S GRIEVANCE REDRESS MECHANISM ................................................... 83 FIGURE 7-2: GRIEVANCE REPORTING AND RESOLUTION PROCESS AT THE COMMUNITY LEVEL ............................................. 84 FIGURE A. DESCRIPTION OF ENHANCED IMPLEMENTATION SUPPORT AND MONITORING (EISM) PROCESS ...................... 132 FIGURE B. COMPLAINT MANAGEMENT FOR VULNERABLE OR MARGINALIZED INDIVIDUALS OR GROUPS ........................... 133 viii i LIST OF TABLES Table 2-1: Location of the proposed access roads ................................................................................................................................... 24 Table 2-2: Proposed locations of quarry sites........................................................................................................................................... 26 Table 2-3: Potential locations of borrow areas ......................................................................................................................................... 26 Table 4-1: Sub-counties through which the proposed roads traverse ....................................................................................................... 47 Table 4-2: Monthly Rainfall Totals (mm) for 2013 ..................................................................................................................................... 59 Table A: Positive list CERC activities ...................................................................................................................................................... 99 Table B. Potential impacts and mitigation measures of the proposed CERC Positive List Activities...................................................... 101 Table C: Enhanced Implementation Support and Monitoring Steps ...................................................................................................... 130 ix i LIST OF PLATES Plate 2-1: Existing road conditions smooth at the start section (right) and with erosion gullies (middle) and rocky sections (left) .............. 24 Plate 2-2: Existing road conditions with erosion gullies (left) and rocky surfaces (right) at GPS N 03.40095, E 31.09925 elev. 1020 along the road alignment ................................................................................................................................. 25 Plate 2-3: Existing road conditions smooth at the start section with some rocks on the surface (right) with very few potholes or erosion gullies (left)....................................................................................................................................................... 25 Plate 4-1: Women waiting for customers on a Market day in London Sub-County .................................................................................... 49 Plate 4-2: A 17-year-old single mother seated behind a market in a trading center ................................................................................. 50 Plate 4-3: Animal tethering along the existing roads ................................................................................................................................. 53 Plate 4-4: commercial center along the proposed access roads ............................................................................................................... 53 Plate 4-5: Lefori Health Centre III ............................................................................................................................................................. 55 Plate 4-6: A water reservoir at Koro Village along the access road........................................................................................................... 55 Plate 4-7: Community mosque at Waju III village GPS location N3.389740, E31.08835 ........................................................................... 56 Plate 4-8: Signage for Refugee-Agencies working within the project area ................................................................................................ 57 Plate 4-9: A typical homestead along the proposed road.......................................................................................................................... 57 Plate 4-10: Makeshift house made of polythene (left), grass thatched roof and burnt brick wall (middle) and Iron sheet roof and burnt brick wall with cement at Base camp Bidibidi .................................................................................................... 58 Plate 4-11: Solar power panels used by the residents for lighting amongst other uses along the access road to Bidibidi settlements..... 58 Plate 4-12: Riparian Vegetation along Leya stream.................................................................................................................................. 59 x i LIST OF ACRONYMS AIDS Acquired Immune Deficiency Syndrome CBD Convention on Biological Diversity CERC Contingent Emergency Response Component CITES Convention on International Trade in Endangered Species of Wild Fauna and Flora COVID Corona Virus Disease CSOs Community and Civil Society Organization DDPs District Development Plans DESS Department of Environment and Social safeguards DRC Democratic Republic of Congo DWRM Directorate of Water Resource Management EAP Emergency Action Plan EHSGs Environment Health and Safety Guidelines EISM Enhanced Implementation Support and Monitoring ERP Ecosystem Restoration Plan ERW Explosives Remains of the War ESF Environment and Social Framework ESHS Environment Social Health and Safety ESIA Environment and Social Impact Assessment ESIP Environmental and Social Implementation Plans ESMF Environment and Social Management Framework ESMP Environment and Social Management Plan ESMS Environment and Social Management System ESRC Environment and Social Risk Classification ESS Environment and Social Standards FAO Food and Agriculture Organisation GBV Gender-Based Violence GEMS Grievance Management, and General Inquiries System GHG Green House Gases GIIP Good International Industrial Practices GMC Grievance Management Committee GMCs Grievance Management Committees GoU Government of Uganda GPS Global Positioning System GRM Grievance Redress Mechanism HH Household HIV Human Immune Virus IA Implementing Agency IDA International Development Association IEDs Improvised Explosive Devices IPD In-Patient Department IPF Investment Project Financing IRRI International Refugee Rights Initiative IUCN International Union for Conservation of Nature KYM Koboko-Yumbe-Moyo LARMS Land Acquisition and Resettlement Management system LC Local Council LHS Left Hand Side LMP Land Management Policy MDAs Ministries, Departments, and Agencies MGLSD Ministry of Gender Labour and Social Development MLHUD Ministry of Lands, Housing and Urban Development MoIA Ministry of Internal Affairs MoWT Ministry of Works and Transport xi i MTP Material Transportation Plan NEA National Environment Act NEMA National Environment Management Authority NFA National Forestry Authority NGBV National Policy on the Elimination of Gender-Based Violence NGOs Non-Governmental Organizations NSSF National Social Security Fund OPD Outpatient Department OPM Office of the Prime Minister OSH Occupational Safety and Health PAPs Project Affected Persons PBS Project Briefs PEAP Poverty Eradication Action Plan PPE Personal Protective Equipment PSP Private Sector Partnership RAP Resettlement Action Plan RE Resident Engineer RHS Right Hand Side RSC Refugee Settlement Camp SAE Sexual Assault and Exploitation SAICM Strategic Approach to International Chemicals Management SEA Sexual Exploitation and Accusation SEP Stakeholder Engagement Plan SGBV Sexual and Gender-Based Violence SHS Secondhand Smoke SOP Standard Operating Procedures TA Technical Assistance TORs Terms of Reference UBOS Uganda Bureau of statics UDHS Uganda Demographic and Health Survey UN United Nations UNDP United Nations Development Programme UNESCO Unit United Nations Educational, Scientific and Cultural Organization UNFCCC United Nations Framework Convention on Climate change UNHCR United Nations High Commission for Refugees UNRA Uganda National Roads Authority USAID United States Agency for International Development UWA Uganda Wildlife Authority UXOs Unexploded Ordinances VAC Violence Against Children VAWG Violence Against Women and Girls VCDP Vulnerable and Community Development Plan WHO World Health Organization WRMD Water Resources Management Directorate xii i EXECUTIVE SUMMARY INTRODUCTION The Government of Uganda (GoU) through the Uganda National Roads Authority (UNRA) prepared the Environmental and Social Impact Assessment (ESIA) and the Resettlement Action Plan (RAP) for the proposed upgrade of Koboko-Yumbe-Moyo (105km) Road from gravel to bituminous standard. Using a grant from the World Bank Group, through International Development Association (IDA) 18, Koboko-Yumbe-Moyo (KYM) Road is proposed to be upgraded to support refugee humanitarian activities in the West Nile Region of Uganda. During ESIA and RAP studies for KYM, various materials and campsites were identified. However, UNRA did not assess their respective potential environmental and social aspects due to uncertainty about their locations for the sites, which the contractor would use. Similarly, noting the need to alleviate the current transport challenges in connecting three refugee settlements (Bidibidi, Lobule, and Palorinya) to KYM road and beyond, UNRA found it crucial to improve and maintain four access roads including; Access to Bidibidi Access Loop Refugee Settlement Camp (25.7 km); Access to Lobule Refugee Settlement Camp (3.0 km); Access to Palorinya Refugee settlement Camp (17.7 km); and Access Through Lori To Bidibidi (17.7 km). Also, during the World Bank High-Level Mission of February 2020; preparation of the Contingency Emergency Response Component (CERC) was among the agreed actions to cater for cases of emergency or crisis during the execution of work for KYM project area. The four identified access roads, the associated facilities (quarry sites, campsites, borrow areas etc.) and CERC activities required an Environmental and Social Management Framework. In September 2024, following the enactment of the Anti-Homosexuality Act, 2023, this document and its annexes were updated to include specific measures to mitigate the risk of discrimination against or exclusion of any affected individuals and groups in providing or receiving benefits in World Bank–financed projects and programs in Uganda. These measures are described in various sections of this document including section 5.2.4 and Annexes 11 and 12. PURPOSE OF THE ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF) The framework approach has been adopted to set out the principles, rules, guidelines, and procedures to assess the environmental and social risks and impacts including site-specific environmental and social safeguard instruments. This ESMF contains measures and plans to reduce, mitigate and/or offset adverse risks and impacts, provisions for estimating and budgeting the costs of such measures, and information on the implementation arrangement on the project. It further presents information on the area in which the project components are located, including any potential environmental and social vulnerabilities; and on the potential impacts and respective mitigation measures that might be used. xiii i RELEVANT POLICY AND LEGAL FRAMEWORK During the preparation of this ESMF, the relevant Ugandan legal and policy framework, and the corresponding donor requirements have been quoted. Additionally, institutional arrangements and relevant international treaties on aspects of social, environment, health and safety, and their relation to the proposed project were adequately cited. PRELIMINARY SOCIO-ECONOMIC BASELINE Previous assessment of the prevailing conditions of the project area reveals that; the proposed access roads traverse communities of various tribes hence the varying cultural backgrounds. The population of the region (in which the project area is located) is growing at a relatively high rate with an average household size ranging between 5 and 6 individuals. This is above the national average of 4.65. The society is largely patriarchal; men have control over most of the productive resources right from household to community level. As a result, women do not enjoy complete and equal ownership including land. In this area, women spend 30 percent more time on housework than men, and 70 percent more on childcare. Sexual and Gender-Based Violence (SGBV) is unexceptionally high in the West Nile Region. The West Nile region of Uganda accommodates more than 0.5 million refugees from South Sudan and the Democratic Republic of Congo. Such a huge influx of people and the circumstances in which they come, has created extreme pressure on the existing natural resources and social services including; water sources, land, wood, schools, and hospitals. Most districts in West Nile are highly dependent on agriculture employing over 80% of the total population in each district. Agriculture is mainly subsistence and takes place on smallholdings of approximately two acres using mainly simple/rudimentary farming tools. However, only 0.5 percent of the population is engaged in commercial agriculture and less than 16% in other income-generating activities. The remaining proportion of the population (83.7%) are unemployed and depend on family support and other miscellaneous activities. PRELIMINARY ENVIRONMENTAL BASELINE West Nile region of Uganda receives a bi-modal rainfall pattern with average total rainfall of 1250- 1267mm. The area experiences two seasonal rainfall periods, light rains between April and October. The wettest months are usually July- November with >120mm/month. The project area lies in the Nile Basin with an endowment of various rivers and streams, which are tributaries to the Albertine Nile, in the East. Most of the project area is underlain by rocks of the basement complex of Precambrian age which are composed largely of granite fascia grade rocks, which generally form enclaves in the gneiss complex. The vegetation in the project area composed of mixed woody savannah, which has greatly been reduced by subsistence farming that currently occupies about 90% of the project area. Pockets of natural and semi-natural vegetation still exist though widely scattered. The current vegetation is described as Woodlands, Open grasslands, thickets (dense and light), plantations, fallows, and riverine and xiv i streamlines. Human activities have interfered with the natural vegetation of the place and this has led to the development of secondary vegetation. This has led to the loss of respective fauna species associated with natural vegetation. A few species of small mammals such as Arvicanthus niloticus, Lemniscomys striatus, Lophromys flavopunctutus were recorded during the previous studies in the project area. Additionally, A total of 8 reptiles and 13 amphibian species belonging to 6 families and 8 genera exist in the project area implying that the area still holds substantial fauna diversity. RISK CATEGORIZATION AND POTENTIAL IMPACTS Potential environmental and social risks and impacts associated with the components of the anticipated project have been identified. The overall risk categorization of the project has been identified as Substantial based on the classification of the World Bank’s Environmental and Social Framework (ESF). Access roads to Refugee settlements are considered low traffic volume roads whose improvement and maintenance will involve limited activities such as gravelling, drainage improvement and low-cost sealing with asphalt depending on the availability of the budget. Consequentially, they are expected to have moderate to low risks. However, the project- associated facilities especially quarries and campsites are expected to have high and substantial risks respectively. Other associated facilities such as borrow areas are considered to have low risks since they are associated with limited operations in sparsely populated areas and especially because the required material is readily available, therefore a few sites will be operated. The project area once experienced armed conflict it was confronted with the threat posed by landmines and explosive hazards, which include unexploded or abandoned ordnance including Explosive Remains of War (ERW) as well as Improvised Explosive Devices (IEDs). However, during the ESIA for KYM it was determined that the region went through UNDP De-mining programme, between 2006 and 2012, and the areas were cleared of landmines to the extent possible. Nonetheless, UNRA will corroborate with the Ministries of Internal Affairs, and Defence and Veteran Affairs who have established protocols in dealing with UXOs and IEDs for the components of this ESMF. The World Health Organisation declared COVID-19 a global pandemic after assessing both its alarming levels of spread and severity, and the alarming levels of inaction. Consequentially, WHO issued various measures to prevent the spread of the virus. The measures have been adopted worldwide. In Uganda, the government has enforced a complete lockdown, restricted movements and social distancing guidelines among others, and this will have an impact on the time needs for the proposed project. As such, Standard Operating Procedure will be developed in consultation with the Ministry of Health throughout the project. The project is associated with positive impacts such as providing employment opportunities, income sources through material supplies, as well as improving connectivity and alleviation of transport. Among the identified risks and negative impacts include; neglect of environmental and social aspects, potential loss of property and disruption of livelihood, increased crime rates, drug abuse, and xv i prostitution, which can increase the risk of spread of HIV/AIDS, Gender Based Violence (SEA) and Violence Against Children (VAC) and increased pressure on services and resources among others. Negative environmental impacts include waste generation, noise and dust nuisance in the project area, occupational, community and occupational health and safety and vegetation loss among others. Appropriate mitigation measures have been identified to either avoid, minimize, or compensate for the risks and negative impacts. ENVIRONMENTAL AND SOCIAL SCREENING The project components will undergo an environment and social impact assessment process and the level of assessment will mainly depend on their categorization. The roads to refugee settlements are community access roads, which, according to schedule 4 (i) of the National Environment Act 2019 (NEA) are already screened and categorized to require Project Briefs (PBS). However, UNRA is not yet certain of the design standards. Consequently, the access roads to Refugee Settlements will be subjected to environmental, Social, Health, and safety screening based on location, acquisition, assessment, and basic guidelines for operations and other support facilities. While KYM associated Facilities, i.e. the quarry, borrow areas, and campsites are directly associated with the KYM road project and will be subjected to a common approach that has been agreed for KYM under the ESIA. CERC for activities will be triggered depending on the eligibility of emergency cases. Quarry establishment and operations will require land. For the safety of communities around the quarry, all residents within the 500-meter buffer zone (or as guided by NEMA) will be relocated either temporarily or permanently. Additionally, land acquisition for campsites and borrow areas especially on private land will have to comply with the contract conditions. STAKEHOLDER ENGAGEMENT During the preparation of the detailed assessments and construction of access roads for the refugee settlements together with the opening and operating of associated facilities for KYM road, relevant stakeholders shall be identified and consulted both at the national and local levels. This is for purposes of soliciting their views on the likely social and environmental risks during the implementation of components under this framework. The consultation and disclosure process will be consistent with ESS10 of the World Bank Environment and Social Framework together with the National laws and regulations particularly the NEA Act of 2019. Consultations will be guided by UNRA’s E&S Policy, the Environment and Social Management System (ESMS), Stakeholder Engagement Guidelines, and the UNRA Harmonized Grievance Redress Mechanism. Stakeholder consultation will be continuously initiated early in the life of the components under this ESMF. The early involvement will provide an opportunity for inclusion of stakeholder/community views and concerns in the screening process for auxiliary sites (quarry, camp and borrow areas), detailed designs for the access roads and implementation plans, and strategies. All this is intended to mitigate and or minimize and negative impacts that are likely to arise. xvi i IMPLEMENTATION ARRANGEMENT The World Bank is a potential financer of the KYM and the CERC component of this ESMF and is expected to provide environmental and social Technical Assistance (TA) to the project. UNRA, the developer for this project and will be responsible for adequate environmental and social planning for access road improvements, auxiliary facilities, and CERC. While NEMA and other Lead Agencies will have an inspection role on projects ensuring environmental and social inspections, compliance assessment, and assistance within their respective mandates. To ensure environmental and social sustainability, UNRA staff and stakeholders within the project area must undergo training, capacity building and are provided with technical assistance MONITORING AND EVALUATION The overall responsibility of monitoring the ESMF lies with UNRA who will ensure that the ESMF is executed during the implementation of the project components. Monitoring and evaluation of the ESMF aim at ensuring that the environmental and social planning commitments are adhered to during project components’ implementation. For each component, the ESMF Requirements shall be summarised and appropriate monitoring indicators developed. The responsibility for monitoring each of the indicators within the stipulated timelines shall be assigned to the different institutions. These include the Office of the Prime Minister, the NEMA, the Ministry of Gender, Labour and Social Development, and the Ministry of Water and Environment and the district's local government among others. xvii i 1 CHAPTER 1 PROJECT DESCRIPTION 1.1 PROJECT CONTEXT The World Bank intends to provide financing to the Government of Uganda (GoU) for the upgrading of 105-km of Koboko-Yumbe-Moyo (KYM) Road from gravel to paved (Bituminous standard) through a proposed International Development Association (IDA) 18 Grant. This is in recognition of the GoU’s generous refugee settlement policy. The development will alleviate the transport constraints in this region and spur socio-economic development. For decades, Uganda has been hosting refugees and asylum seekers from many conflict-affected countries in its neighborhood such as the Democratic Republic of Congo (DRC), Somalia, South Sudan, Rwanda, Eritrea, and Burundi. Refugees in Uganda are either integrated into host communities or live in organized settlements set aside by the government. Currently, Uganda hosts up to over a million refugees originating from mostly South Sudan and DRC. The GoU through the Uganda National Roads Authority (UNRA) prepared the Environmental and Social Impact Assessment (ESIA) and the Resettlement Action Plan (RAP) in preparation to upgrade the KYM road. The ESIA for the KYM noted various sites that could serve as material sources for gravel, sand, rock (quarry), and water. Furthermore, the ESIA highlights potential campsites .to provide accommodation for project resources including machinery, personnel, and office. However, UNRA did not assess the potential environmental and social impacts and risks of these facilities due to uncertainty about the locations for the sites, which the contractor would actually use. This is because several potential sites were identified Confirmation and establishment of these project-associated facilities is the responsibility of the Works Contractor. Nonetheless, their selection will follow the national requirements and the Environmental and Social Standards (ESSs) of the World Bank’s Environmental and Social Framework (ESF). Similarly, noting the need to alleviate the current transport challenges in connecting three refugee settlements (Bidibidi, Lobule, and Palorinya) to KYM road and beyond, UNRA has determined that it is crucial to improve the four access roads listed below: (i) Access to Bidibidi Access Loop Refugee Settlement Camp (25.7 km) (ii) Access to Lobule Refugee Settlement Camp (3.0 km) (iii) Access to Palorinya Refugee settlement Camp (17.7 km) (iv) Access Through Lori To Bidibidi (17.7 km) The Bank has indicated that the financing available will only cater for the development of KYM. Therefore, GoU through UNRA will finance the required improvement on the access roads to refugee settlements. However, the budget for financing the improvement of these access roads is yet to be determined and committed by GoU. Also, during the World Bank High-Level Mission of February 2020, preparation of the Contingency Emergency Response Component (CERC) in the ESMF was among the agreed actions, Number 14, (Annex 1) to cater for cases of emergency or crisis during the execution of work for KYM project area. 1.2 PROJECT COMPONENTS The project comprises three components; access roads to refugee settlements, KYM project associated facilities, and the CERC. While the access roads to refuge settlements can be developed or improved independent of the KYM project; the Quarries, borrow areas and campsites are directly linked with the KYM road project, thus associated facilities. 18 i 1.2.1 ACCESS ROADS TO THE REFUGEE SETTLEMENTS Uganda’s refugee policies have been widely recognized as among the most progressive in the world (Betts et al., 2019). Through its self-reliance model, it allows refugees the right to work and freedom of movement. It has sustained this approach virtually since independence despite currently hosting more refugees than any other African country. Uganda’s model has three core elements that distinguish it from most other refugee-hosting countries. First, its regulatory framework: it lets refugees work and choose their place of residence. Second, its assistance model: it allocates plots of land for refugees to cultivate within its rural settlements. Third, it's model of refugee–host interaction: it encourages integrated social service provision and market access (Betts et al., 2019). However, while Uganda’s model has become an example for the development -based approach to refuges, refugee settlements and the host communities in Uganda remain among the poor with various socioeconomic challenges such as limited access to markets, education, and health services among others. These challenges are largely attributed to among others, the inadequate road infrastructure which at times makes it difficult to deliver aid in remote areas where refugee settlements are hosted (Development Pathways, 2018). Following the ratification of the 1951 Refugee Convention on 27th September 1976, Uganda currently hosts over a million refugees, mainly from South Sudan (IRRI, 2019); of whom more than 50% are accommodated in the West Nile region in the districts of Arua, Koboko, Yumbe, and Moyo. The refugees mainly come from the Republic of South Sudan and others from the DRC. Along the KYM road project area, refugees are hosted in three main settlements with an average of 87,000 refugees per settlement hence contributing to about 27% of the regional population (IRRI, 2019). The three major settlements are Bidibidi, Lobule, and Palorinya. Such a huge influx of people and the circumstances in which they come, has created extreme pressure on the existing social services especially schools, health facilities, water sources, and particularly roads that must be motorable all year round. To consolidate the benefits of Uganda’s model, it is of utmost importance that the four access roads to refugee settlements are improved and maintained. During the wet season, the roads are usually deteriorating and become impassable. Therefore, the improvement of these access roads is key in terms of improving connectivity to the main KYM, which has been proposed to be developed by World Bank funding. The Refugees, host communities, Government, and Humanitarian Agencies use these access roads. Improvement and maintenance of the access roads will enhance the delivery of aid and further enhance access to health facilities, schools, and markets among others by both refugees and host communities. 1.2.2 KYM PROJECT ASSOCIATED FACILITIES UNRA has already assessed potential environmental and social impacts and risks for the KYM project. Both the World Bank and UNRA have disclosed the draft ESIA report for the KYM project on their respective websites and with local authorities. The draft ESIA identified potential sites for the establishment of project camps and material sources for quarries, gravel areas, sand, and water, among others. Construction of KYM will require gravel and rock for different purposes (aggregate, concrete products base material, etc.). Similarly, KYM and the identified access roads will require campsites to accommodate workers, offices, storage of equipment, and maintenance. Furthermore, the establishment of these facilities may require the opening of temporary access routes or improving the existing ones. 19 i While the establishment of these facilities is known to have potential environmental and social risks, the detailed environmental and social assessments were not undertaken by UNRA during the ESIA for KYM because safeguard measures to support environmental and social sustainability can only be established during project implementation. The certainty and approval of the desired site will be done after the Contractor has tested the existing material against the required quality and quantity. The process of acquisition of sites for project associated facilities will follow the national requirements and the relevant standards of the World Bank’s ESF 1.2.3 CONTINGENT EMERGENCY RESPONSE COMPONENT (CERC) The CERC is designed to provide a swift response in the event of an Eligible Crisis or Emergency through a portion of the undisbursed project envelope to address immediate post-crisis and emergency financing needs on the project (KYM and identified access roads) The CERC may be used following natural disasters or other crises and emergencies, allowing funds to be reallocated from other components of the project. For this project, the emergency conditions may arise after, flooding, heavy winds, storms, earthquakes, forest/bush fires, among others. In the event of an emergency, it is not anticipated that a reallocation of project funds will cause serious disruption to project implementation. UNRA will be the implementing agency for the CERC. The environmental and social due diligence process for this component is described in Annex 2. 1.3 PROJECT OBJECTIVES Each component of the project will serve the objectives. a) Objectives of the KYM Project associated facilities are to: i) To provide materials required to facilitate the construction of KYM project; and ii) To provide the accommodation for the labor force, office and storage of the project plants and equipment b) Objectives of the improvement of access roads to the refugee settlements are to: i) Provide a reliable all-weather road network connecting KYM to the three main refugee settlements in the project area. Improved access roads will benefit both the refugee settlements and the host communities; ii) Provide an all-weather transport infrastructure to support the several humanitarian initiatives that are being undertaken in these refugee settlement areas; and iii) Create an enabling environment for unlocking constraints to the primary growth sectors especially trade, agriculture, forestry, and tourism, in the project’s area of influence. c) Objectives of the CERC i) Provide financing for any eligible emergency or crisis that could occur during project execution. ii) Defines procedures to assess the Environmental, Social Health, and Safety (ESHS) risks/impacts of identified potential emergency activities. 20 i 1.4 REPORT STRUCTURE This ESMF is composed of the following chapters: Chapter 1: Project Description Chapter 2: Purpose and Scope of the Environmental and Social Management Framework Chapter 3: Policy and Legal Framework Chapter 4: Environment and Social Baseline Chapter 5: Potential Environmental and Social Risks Chapter 6: Environmental and Social Screening, Review and Approval Chapter 7: Stakeholder Consultations and Public Disclosure Chapter 8: Implementation Arrangements for ESMF Chapter 9: Monitoring and Evaluation 21 i 2 CHAPTER 2: PURPOSE AND SCOPE OF THE ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK 2.1 PURPOSE OF THE ESMF This Environmental and Social Management Framework (ESMF) has been prepared as an instrument to identify, mitigate and manage the environmental and social risks and impacts of the KYM project, associated facilities, improvement of access roads to the refugee settlements, and CERC activities. While the access roads and some material sites have been identified, their respective designs are not yet known, and locations not confirmed. Therefore, it is not possible to determine the associated risks and impacts at this stage. The framework approach has been adopted to set out the principles, rules, guidelines, and procedures to assess the environmental and social risks and impacts including the preparation of site-specific environmental and social safeguard instruments, such as ESIAs and RAPs. This ESMF contains measures and plans to reduce, mitigate and/or offset adverse risks and impacts, provisions for estimating and budgeting the costs of such measures, and information on the implementation arrangement on the project. It further presents information on the area in which the project components are located, including any potential environmental and social vulnerabilities; and on the potential impacts and respective mitigation measures that might be used. This ESMF seeks to mainstream all environmental and social concerns into the preparation, design, and implementation of the three project components. The ESMF has been prepared in line with international good practice, national requirements, and Bank’s ESF. UNRA is the implementing agency of the project in collaboration with other government Ministries, Departments, and Agencies (MDAs). The ESMF has been developed to guide UNRA in environmental and social screening and subsequent environmental and social assessment of project components. UNRA as the developer, through the works contractor, will have the overall responsibility in implementing the ESMF to ensure adequate compliance. Following the World Bank Group’s communication of its concerns with the enactment of the Anti- Homosexuality Act (AHA), the Government of Uganda issued five Circulars (see Annex 11). Of particular importance is the Circular on Uganda’s Social Safeguard Policies issued on September 21, 2023, by the Ministry of Finance Planning and Economic Development, to all Accounting Officers, Ministries, Departments and Agencies and Local Governments which states that: • “All World Bank-financed projects must be implemented in a manner consistent with the principles of non-discrimination as provided in Article 21 of the Constitution of the Republic of Uganda. These projects should also be implemented in accordance with World Bank policies and applicable Legal Agreements. • Under these projects, no one will be discriminated against or stigmatized, and the principles of non-discrimination and inclusion will be adhered to. Support should be provided to all project beneficiaries. • All implementing entities of World Bank projects will implement specific mitigation measures to address non-discrimination. 22 i • These mitigation measures will require enhancing project grievance redress mechanisms as well as strengthening existing project monitoring by implementing entities including third-party monitoring [the Enhanced Implementation Support Mechanism] where applicable. • Each project implementation entity shall develop comprehensive guidelines to address non-discrimination.” The environmental and social risk management documents including this ESMF and its annexes have been updated to identify the additional risks and describes specific mitigation measures to address these risks. They include the implementation, monitoring, and reporting arrangements, and roles and responsibilities to assess the efficacy of the additional mitigation measures being implemented. They also include the risks identified in the public consultations on these documents involving the Government of Uganda and civil society organizations. Noteworthy is that the World Bank will provide support to the Government of Uganda, particularly its Project Implementation Units, to help them to implement the additional mitigation measures for this project. 2.2 SCOPE OF THE FRAMEWORK 2.2.1 GEOGRAPHICAL, ENVIRONMENTAL AND SOCIAL SETTING The project is in three (3) districts of Koboko, Yumbe, and Moyo of the West Nile region in Uganda. The project area is characterized by extensive flat landscapes. The section from Koboko through Yumbe towards the border with Moyo is an extensive flat plain with no significant contrasting feature, while the section towards Moyo exhibits low-lying hills superimposed on an extensive rolling plain. Broad shallow valley landscapes spate the hilly clusters on which extensive shrubby/scrubby tree vegetation has developed. To the north of the project area, a variegated landscape is visible with gently rolling plains merging into clustered hilly landscapes graduating into circular elongated ridges. This spectacular topography is a result of a combination of complex geology and ancient denudation processes that have produced a series of magnificent landscapes associated with rifting and volcanic activity in East Africa. Continued denudation and deposition processes have progressively shaped the lower slopes and ridge tops. The area is largely characterized by pockets of savannah woodland that has been degraded by subsistence farming. Deforestation, swamp reclamation, soil erosion, and bush burning are the major environmental changes faced in the area. The host communities in the project area have various tribes which include Kakwa in Yumbe and Koboko districts as well as Kuku, Murle, Alur, and Lugbara in Moyo districts. This makes the project area culturally diverse. Generally, the social terrain is influenced by the cultural beliefs and way of living of the people. For instance, land ownership is a right of men given the patriarchal nature of the community. Also, child marriages are common in the project area with two in three women are married off before they turn 18 years old. Relatedly, prevalence and acceptance of Sexual and Gender-Based Violence (SGBV) within the community is high, and the level of education is very low, especially among women (UNHCR, 2018). The project area hosts refugees from mainly DRC Congo and South Sudan and belongs to different tribes. 23 i 2.2.2 SCOPE OF PROJECT COMPONENTS 2.2.2.1 THE PROPOSED ACCESS ROADS The total length of the four access roads is 64.1km (Table 2-1). These provide a connection to three main refugee settlements of Bidibidi (the biggest refugee settlement, hosting approximately 228,000 refugees as of July 2019), the Lobule (5,000 refugees as of August 2019), and the Palorinya (120,500 refugees as of July 2019) refugee settlements. The improvement and maintenance of the access roads will alleviate transport challenges between the refugee settlements and the KYM and contribute to enhancing accessibility within the West Nile Region. Consequently, the proposed development will serve refugee settlements and the host communities and enable access to social services such as health facilities, schools, and markets among others. TABLE 2-1: LOCATION OF THE PROPOSED ACCESS ROADS S/N Access road name Length (km) Coordinates Start End i) Access to Bidibidi Access Loop 25.7 N 3.47768 3.55926 Refugee Settlement Camp - x E. 31.26436 31.43782 ii) Access to Lobule Refugee Settlement 3.0 E 03.40609 03.38674 Camp N 31.09846 31.08755 iii) Access to Palorinya Refugee 17.7 N. 3.62954 31.66803 settlement Camp E. 3.49542 31.67340 iv Access Through Lori To Bidibidi 17.7 N. 03.51521 03.49666 E. 31.31503 31.32847 TOTAL 64.1 These are status of the access road is further described below; Access to Bidibidi Access Loop Refugee Settlement Camp (25.7 km) The road connects KYM to the Bidibidi RSC and base camp area. It is a gravel road with widths varying between 7 to 8m. The road is constantly maintained with material imported from nearby areas (Plate 2-1). PLATE 2-1: EXISTING ROAD CONDITIONS SMOOTH AT THE START SECTION (RIGHT) AND WITH EROSION GULLIES (MIDDLE) AND ROCKY SECTIONS (LEFT) 24 i Access to Lobule Refugee Settlement Camp - 3.0 km The access road width varies between 5m and 7m along the different sections. The access road is characterized by potholes and gullies caused by erosion as a result of stormwater. stormwater. Some road sections were rocky with stones on the road surface like at location N. 03.40095, E. 31.09925, elev. 1020 (Plate 2-2). PLATE 2-2: EXISTING ROAD CONDITIONS WITH EROSION GULLIES (LEFT) AND ROCKY SURFACES (RIGHT) AT GPS N 03.40095, E 31.09925 ELEV. 1020 ALONG THE ROAD ALIGNMENT Access to Palorinya Refugee settlement Camp (17.7 km) This is a gravel road that is smoother at the start and covered by rocks in some sections such as at location N3.62368 and E 31.66553. The road width varies between 7m to 8m along the sections (Plate 2-3). PLATE 2-3: EXISTING ROAD CONDITIONS SMOOTH AT THE START SECTION WITH SOME ROCKS ON THE SURFACE (RIGHT) WITH VERY FEW POTHOLES OR EROSION GULLIES (LEFT) Access to Palorinya Refugee Settlement Camp (17.7 km) The road width varies between 7m and 8m width smoother sections at the start and covered by rocks at various sections. The road is an earth road made from the soil material obtained from the road alignment and is in good condition with very few potholes. 25 i 2.2.2.2 KYM PROJECT ASSOCIATED FACILITIES Quarries Four potential quarry sites were identified during the ESIA for KYM at the locations in the table 2-2 below. TABLE 2-2: PROPOSED LOCATIONS OF QUARRY SITES Quarry sites Coordinates North East i) Maracha District 58112 271649 ii) Midigo village 304066 400140 iii) Dyajo hill 401268 352327 Gravel borrow areas Eight borrow areas were identified during the ESIA for KYM at the locations in the table 2-3 below. TABLE 2-3: POTENTIAL LOCATIONS OF BORROW AREAS Coordinates Start No. Borrow area N E 1 Minrabe village, Asunga Parish, Midia sub-county 379475 276660 2 Ceku village, Nyori parish, Abuku sub-county 283784 382232 3 Boyo village, Metino Parish, Abuku Sub-county 380240 E278771 4 57km point on the road 324736 393330 5 Gwere west village 336234 397214 6 Gwere west village, Lefori sub-count 337908 398345 7 Minrabe village, Asunga Parish, Midia sub-county 379475 276660 8 95km from Koboko 402663 354493 CERC The CERC fund will be activated to cover eligible emergency response activities in case of a disaster/crisis which might be required on the KYM and access roads during road construction and operation. These emergencies can be generally categorized as a result of the total breakdown of the road functionality. The CERC, therefore, details activities that can restore the road functionality in the shortest time possible. These activities include; Rehabilitation of road infrastructure; and Cleaning and removal of Debris (Annex 2). 2.2.3 SCOPE OF KEY ACTIVITIES 2.2.3.1 PRE-CONSTRUCTION PHASE ACTIVITIES Survey and assessment Surveying and assessment during pre-construction will focus on studies for materials, topography EISA, preparation as well as assembling necessary permits. Material investigations will involve identification, excavation, and collection of materials from test pits within the proposed material sites. Land surveys for the access roads will determine the extents within which the roads will be 26 i designed. The surveys will as much as possible limit the width to that of existing alignment and in sections where road safety might be compromised, appropriate land requirement adjustments shall be done. In case of any adjustment that necessities Land acquisition, a RAP shall be prepared in line with ESF. Land acquisition The geometrical widths of the existing access roads range between 5m and 8m. While road improvements will follow the existing alignment as much as possible, there is a possibility of land acquisition in some sections to widen and enhance road safety. Considering this permanent land take, UNRA will undertake a RAP in compliance with the national requirements and ESSs of the Bank’s ESF. Similarly, the works contractor will require to temporarily acquire land on which to establish project associated facilities. The contractor will have to enter into lease agreements with the landowners, for borrow areas, campsites, and temporary stockpile areas and other support facilities, in consultation with UNRA and the Chief Government Valuer. For the land acquisition process of quarry sites, the contractor will undertake a RAP and ensure that persons within a defined zone of influence (usually 500m radius around the rock) are compensated and resettled (either permanently or temporarily) until the quarry is decommissioned and the site restored. Consultations will be made with the National Environment Management Authority (NEMA), during the ESIA and define the zone of influence before a RAP is prepared following the national requirements, UNRA Land Acquisition Policy and the ESS5 of the Bank’s ESF. 2.2.3.2 CONSTRUCTION PHASE ACTIVITIES Access roads to refugee settlements The access roads to refugee settlements are low traffic volume roads whose improvement and maintenance will include the following activities: (i) Limited earthworks to improve the vertical alignment; (ii) Re-gravelling of some sections to improve the subgrade. It is preferred that the material for this activity will be obtained from the same sources as KYM; (iii) Drainage improvement, including adding of cross-drainage pipes. All-access roads will have appropriate earth side-drainage; and (iv) Low-cost sealing with asphalt concrete is anticipated depending on the availability of finances. KYM project associated facilities (i) Site preparation and vegetation clearance; (ii) Camp establishment; (iii) Gravel material extraction; (iv) Rock extraction, crushing, and stockpiling; (v) Material haulage and (vi) Decommissioning and environmental and social restoration. 27 i Civil works for the project will require a range of equipment. Some of the equipment to be used in the construction of access roads and KYM project associated facilities include but are not limited to graders, dumper trucks, excavators, and compactors. Most of these are heavy earth moving equipment and some are vibratory (especially those used in compaction). 2.2.3.3 POST-CONSTRUCTION PHASE ACTIVITIES The post-construction phase will involve the operation and maintenance activities carried out by UNRA to ensure the optimization of the access roads. Post-construction activities include both routine and periodic maintenance works such as; pothole patching, cleaning of drainages repair of broken road items, clearing the roads, re-sealing, re-painting road markings, among others. Other post-construction activities include enforcement of road rules and control requirements. 2.2.3.4 CERC ACTIVITIES The activities to be carried out if CERC is activated described in Annex 2, and include; (a) Works (i) Rehabilitation of road infrastructure (ii) and Cleaning and removal of Debris (b) Training (i) Capacity building of project staff on Emergency Response and preparedness during project implementation including, but not limited to the Implementation of Emergency Action Plan (EAP). (ii) Training on rapid needs assessment and other related assessments (c) Services (i) Consulting services related to emergency response (ii) Feasibility study and technical design; (iii) Works supervision during the event; (iv) Technical Assistance 28 i 3 CHAPTER 3: POLICY AND LEGAL FRAMEWORK The process of environmental and social impact assessment should be done in a manner reflective of the Ugandan legal framework requirements and the corresponding donor requirements. To the effect, the laws and policies related to the different project processes especially aspects of social, environment, health and safety, and their relation to the proposed project are highlighted in the sections below. For the requirements beyond the Ugandan law, the World Bank Environment and Social framework standards as explained below; 3.1 NATIONAL POLICY AND LEGAL FRAMEWORK The main policies, which relate to the environment and social impact assessment on the project- receiving environment include: 3.1.1 NATIONAL ENVIRONMENT MANAGEMENT POLICY, 1994 The policy aims to contribute to the sustainable development process, which is inclusive and promotes environmental quality and resource productivity for economic transformation. The project seeks to contribute to the sustainable development and inclusion of refugees in the development spheres of Uganda by creating enablers such as efficient transport systems. The policy calls conduction ESIA for projects that are likely to have potential impacts on the environment and one shall be done for this project once approved. 3.1.2 UGANDA VISION 2040 Broadly, the Vision seeks to transform Uganda from peasantry to an industrialized and largely urban society but one of the key enablers to achieve this is an improved transport system. Hence the project will be a great contributor to further unlocking the production and productivity potential of the West Nile region. 3.1.3 THE NATIONAL EQUAL OPPORTUNITIES POLICY 2006 The goal of the National Equal Opportunities policy calls for availing equal opportunities for all Ugandans as an avenue of maximizing their potentials. The equal opportunities as per the objectives of the policy should be integral to the planning and implementation processes of programs especially on the allocation of resources to the different stakeholders. It further calls for the assessment of the responsiveness of programs regarding the provision of equal opportunities as well as addressing the imbalances therein. The policy directly calls for the participation of the vulnerable groups in all development processes. To better achieve this, the policy calls for the enhancement of capacities of implementing agencies to monitor for compliance with affirmative actions. These shall guide the programming of the social safeguards during the detailed ESIA processes for the project especially in the planning and implementation phases of the project. 3.1.4 THE NATIONAL EQUAL OPPORTUNITIES POLICY 2006 This policy establishes the environmental health priorities of the Government of Uganda and provides a framework for the development of services and programs at national and local government levels. Whereas this policy is more inclined to health, environmental health encompasses several aspects such as water supply, sanitation, and hygiene promotion; solid, liquid, hazardous and health care waste management; air pollution control; food safety and hygiene; the control of insect vectors and vermin; occupational health and safety. These will be assessed in deep during the ESIA process and the subsequent ESMP processes. 29 i 3.1.5 THE NATIONAL POLICY ON CONSERVATION AND MANAGEMENT OF WETLAND RESOURCES, 1995 The overall goal of this policy is to maintain an optimum diversity of uses and users and consideration of other stakeholders when using wetland resources. This involves the optimal use of wetland resources for the enjoyment of future generations through establishing appropriate principles. The policy also aims at ending practices, which reduce wetland productivity; maintaining the biological diversity of natural or semi-natural wetlands; maintaining wetlands functions and values; and integrating wetlands concerns into the planning and decision making of other sectors. This policy outlines guidelines for wetland resource developers. During the ESIA processes, detailed studies shall be conducted to available wetland resources and proper mitigation established to ensure that the users of the wetlands continue enjoying the services. Also, these shall contribute to ensuring the road and wetland exists in a manner that does not compromise the enjoyment of future generations. Deliberate efforts to promote wetland health can be proposed in ESMP where applicable. 3.1.6 THE NATIONAL WATER POLICY, 1999 The policy guides development and management of water resources in a sustainable manner within Uganda. In doing so the policy aims at ensuring that all Ugandans access to water of the right quality and quantity to meet all their social and economic needs and their future generations. To contribute to this, the project will come up with the appropriate mitigations to safeguard water sources from contamination. Given the fact that road construction is a water-intensive exercise, the ESIA will take into consideration of the quantities of water to be withdrawn as permitted by the relevant authorities. 3.1.7 NATIONAL POLICY ON ELIMINATION OF GENDER-BASED VIOLENCE, 2016 The policy generally lays strategies of safeguarding the Ugandans against gender-based violence (GBV). GBV has negative consequences such as physical harm, mental health problems, and unwanted pregnancies among others. The policy calls for early intervention to prevent any forms of GBV. In the past construction of road, infrastructure has been identified with GBV and hence the ESIA needs to put mechanisms that can be used to mitigate and manage GBV. Of importance are the reporting mechanisms to be put in place as well as the necessary partnerships/stakeholder relationship to deal with GBV. Such relationships may be with the police, probation, and Community Development Offices within the districts of project jurisdiction. 3.1.8 THE UGANDA NATIONAL LAND POLICY, 2013 The land policy addresses contemporary land issues and conflicts facing the Country. The land policy aims at achieving sustainable and optimal use of land and land-based resources for the transformation of Ugandan society and the economy. This needs to be done equitably to transform the socio-economic landscape of Uganda. The road during the construction phase seems to retard the efforts of the policy, especially where the existing land has to be occupied by the road. Therefore, the ESIA needs to highlight the extent of land take and propose appropriate mitigations such as compensation and where the livelihoods are grossly affected, re-alignment can be considered. 30 i 3.1.9 NATIONAL POLICY ON HIV/AIDS AND THE WORLD OF WORK, 2007 & THE NATIONAL HIV/AIDS POLICY, 2004 One of the impacts usually experienced on infrastructure projects is the increased influx of people which comes with consequences such as the increased transmission of HIV/AIDS. The HIV/AIDS policy, 2004 highlights the short- and long-term effects of HIV/AIDS The policy obliges developing entities to mainstream HIV/AIDS interventions to their planned development interventions to reduce the incidences of HIV and manage emerging cases. Based on this the ESIA needs to highlight possible mitigation strategies during the project duration. 3.1.10 UGANDA GENDER POLICY 2007 The Uganda Gender Policy mandates the Ministry of Gender, Labour and Social Development, and other line Ministries to mainstream gender in all sectors. The ESIA and ESMP should identify the opportunities for the developer to provide equal opportunity to work especially for women who should be employed outside their traditional jobs. 3.1.11 UGANDA ROAD SECTOR POLICY STATEMENTS, GUIDELINES The Ministry of Works and Transport (MoWT) developed guidelines that call for the integration of cross-cutting issues crosscutting issues (Gender, Occupational Health and Safety, People with Disabilities and the Elderly concerns and HIV/AIDS) into its activities, plans, and programs. Such a policy statement includes Road and Bridgeworks of 2005 EIA guidelines for the road sector of 2008 and Guidelines for mainstreaming cross-cutting issues, 2008. The guidelines guide strategies, methods, and responsibilities for mainstreaming cross-cutting issues in road infrastructure projects. In designing gender, HIV/AIDS, and other crossing issues, reference will be made to these guidelines, and the sector-specific socio-environmental assessment requirements need to be integrated into the ESIA design. 3.1.12 TRANSPORT SECTOR POLICY The Transport Sector Policy aims at providing strategic support and linkage to the Government declared the Poverty Eradication Action Plan (PEAP) under Pillar II that seeks to enhance production. Furthermore, to give transport modal linkage, the sub-sector has four supplementary policies of which one is on the environment which provides that, the government will ensure an optimum and sustainable road network and bridge stock that balances traffic needs against safety and environmental demands. The possibilities of what the proposed project seeks to unlock need to be identified in the ESIA and how the road works shall be balanced off vis-à-vis environmental and safety demands. 3.1.13 UGANDA FORESTRY POLICY 2001 The goal of the Forestry Policy is an integrated forest sector that achieves sustainable increases in the economic, social, and environmental benefits from forests and trees by all the people of Uganda, especially the poor and vulnerable. It attempts to limit the current trend in the decline of the forest estate. The ESIA needs to identify all forest reserves and related resources along with the proposed road project. 3.1.14 THE UGANDA NATIONAL CULTURE POLICY 2006 The Policy provides a framework, which indicates the roles of various stakeholders in the implementation of the National Culture Policy. It provides strategies to enhance the integration of culture into development. These strategies include; advocating for culture, ensuring capacity building, ensuring research and documentation, promoting collaboration with stakeholders, and 31 i mobilizing resources for culture. Based on this, culture needs to be integrated as one of the areas, which needs to be baselined, and where established, appropriate mitigations to protect the cultural heritage put in place. Also, cultural leaders and local leaders need to be involved/consulted during the ESIA process for the road so that they can help identify the cultural treasures for the people in the area and taken into consideration in the upgrading of the process of the road. 3.2 LEGISLATIVE FRAMEWORK PERTINENT TO KYM ACCESS ROADS 3.2.1 CONSTITUTION OF REPUBLIC OF UGANDA, 1995 The Constitution is the supreme law of Uganda and it provides for the protection of the environment. Under Article 39, the Constitution guarantees the right of every Ugandan to a clean and healthy environment. The constitution, therefore, requires the project to be implemented without endangering human health and the environment. To do so the project shall have to establish appropriate mitigation measures through the ESIA process. 3.2.2 NATIONAL ENVIRONMENTAL ACT, 2019 The law oversees environmental management in Uganda. Specifically, the road sector, the fourth and fifth schedules list the projects which qualify for the project briefs and ESIAs respectively. As per the fourth schedule, several support facilities such as temporary roads for access to infrastructure facilities (being roads of more than 10Km) and utilization of water resources and water supply (abstraction of water resources exceeding 400m3 but less than 1000m3) require project briefs and these are probable on the project. Also, the main access road project requires an ESIA as per the fifth schedule of this Act. Hence, the project must prepare an ESIA encompassing all foreseen impacts, their baseline, and probable mitigation measures as well as ensure that the required project briefs are done. 3.2.3 LOCAL GOVERNMENT ACT, CAP Local Governments Act, 1997 establishes a form of government based on the district as the main unit of administration. Districts are given legislative and planning powers under this Act. (Sections 36- 45) They are also enjoined to plan for the conservation of the environment within their local areas. District Environmental Committees established under section 15 of the National Environment Act Cap 153 is supposed to guide district authorities in that regard. The ESIA should highlight possible areas of collaboration between the project and local governments of jurisdiction, especially on impact management. 3.2.4 LAND ACT, CAP 227 Part III Sections 43, 44 and 45 addresses the utilization of land following the Various Statutes and Acts of environmental concern, which include; the Forest Act, The Mining Act, The National Environment Act, and The Water Act. Also, section 45 addresses the control of environmentally sensitive areas. Besides relevant environmental sections of the Land Act, 1998 (Sections 42, 43, 44, 45, 70, 71, and 72) specific attention will be taken of section 40 of the Land Act which deals with Conditions on Transfer of Land by family. This will be pivotal in designing the mitigations to mitigate the displacement impacts during the ESIA preparation. 3.2.5 LAND ACQUISITION ACT, CAP 226 This Act makes provision for the procedures and methods of compulsory acquisition of land for public purposes whether for temporary or permanent use. The Act requires that adequate, fair, and prompt compensation is paid before taking possession of land and property. Dispute arising from the compensation to be paid should be referred to the court for decision if the Land Tribunal 32 i cannot handle. For the land to be expropriated by the road, the ESIA should highlight how this will be acquired and the necessary mitigations put in place to reduce the emerging impacts. 3.2.6 WATER ACT, CAP 152 The objective of the Act is to enable equitable and sustainable management, use, and protection of water resources of Uganda through the supervision and coordination of public and private activities that may impact water quantity and quality. Section 18 requires that before constructing or operation of any waterworks, a person should obtain a permit from Water Resources Management Directorate (WRMD). Such provisions of possible water sources and required water permits should be integrated into the ESIA. 3.2.7 MINING ACT, 9/2003 Several auxiliary activities are associated with road construction and include stone quarrying and borrow materials extraction. Such activities especially stone quarrying involves excavations or working where any operations relate to mining including erections and appliance used in connection with such operations. These activities, therefore, are a subject of this Act. Requirements under Part XI for the Protection of the environment under the Act are, therefore, relevant. Such requirements include Environmental Impact Assessment and Audits and Environmental standards for the prevention and minimization of pollution of the environment and waste management. Under section 110 (2b) gives guidance on restoration activities. The prospective auxiliary sites where mining for marram, stone quarrying must be identified during the ESIA preparation stage and provided appropriate mitigation strategies to prevent environmental and social abuse. 3.2.8 OCCUPATIONAL SAFETY AND HEALTH ACT, 2006 The Act provides for the prevention and protection of persons at all workplaces from injuries, diseases, death, and damage to property. The OSH Act covers not just the ‘factory’ but also any workplace where persons are employed, and its provisions extend not just to employees but to the self-employed and any other persons that may be legitimately present in the workplace who may be exposed to injury or disease. Employers must provide for the protection of workers from adverse weather, provision of a clean and healthy work environment, sanitary conveniences, washing facilities, First Aid, and facilities for meals. The Act provides for safe access to workplaces and safe work practices. In Section 95, the Act requires employers to take preventive measures including administrative and technical actions to prevent or reduce contamination of the working environment. The provisions shall be considered when preparing the detailed ESIA. 3.2.9 THE EMPLOYMENT ACT, 2006 This Act provides for matters governing individual employment relationships in terms of circumstances of the provision of labor. It is quite explicit on matters of forced labor that, no one should be forced to work, there should be no discrimination concerning the recruitment process, and it prohibits sexual harassment in employment. It also empowers a Labour Officer to enter and inspect premises where he/she believes there are labor-related concerns. Also, the Employment Act provides for matters of grievance settlement and issues of payment of wages and salaries. To comply with provisions of this Act, the ESIA should have complimentary management plans such as the labor-management plan reflective also of the local contexts. 33 i 3.2.10 WORKERS’ COMPENSATION ACT, CAP 225 This Act shall apply to all employees within Uganda and shall apply to workers employed by or under the Government of Uganda in the same way and to the same extent as if the employer were a private person. If personal injury by accident arises out of and during a worker’s employment, the injured worker’s employer shall be liable to pay compensation following this Act. The employer is not liable in respect of any injury which does not either result in permanent incapacity or incapacitates the worker for at least three consecutive days from earning full wages at the work at which he or she was employed. To uphold the rights of the workers, provisions of redress of the workers' concerns and empowerment need to be integrated during the preparation of the ESIA. 3.2.11 UGANDA WILDLIFE ACT, CAP 200 The main objective of the Uganda Wildlife Act, Cap 200, is to protect wildlife resources and enable derivation of benefits. Wildlife is defined by the Act to mean any wild plant or wild animal or species native to Uganda and includes wild animals that migrate through Uganda. The Act provides for, inter alia, the sustainable management of wildlife, and establishes the Uganda Wildlife Authority (UWA) as the body mandated with the coordination, monitoring, and supervision of wildlife management. It does so in partnership with neighboring communities and stakeholders. The ESIA needs to identify all the wildlife in the project area and how this shall be impacted by the project. Also, appropriate mitigation measures to ensure co-existence with the project should be suggested. 3.2.12 PETROLEUM ACT, 2013 The Act, among others, regulates petroleum activities, including licensing, exploration, development, production, and cessations or decommissioning. Under Section 3 of the Act, licensees are obliged to comply with principles and safeguards for the management of production, transportation, storage, treatment and disposal of waste arising out of petroleum activities following the principles and safeguards under the National Environment Act and other applicable laws. The ESIA should highlight the probable impacts of the storage and use of petroleum products and design the appropriate mitigations. 3.2.13 NATIONAL FORESTRY AND TREE PLANTING ACT, 2003 This Act provides for the protection of forests through the creation of forest reserves in which human activity is strictly controlled. It seeks to control commercial harvesting of forest products using licenses and promotes afforestation. To contribute to climate change and compensation for destroyed biomass, the ESIA preparation should figure out initiatives of tree planting along with the project. 3.2.14 PHYSICAL PLANNING ACT, 2010 The infrastructural developments are likely to traverse areas of special characteristics. The areas have special physical, social-economic, and development potential and considerations. Section 3 of the Physical Planning Act 2010 declares the whole country a planning area and brings it under the planning control. Provisions under the Act will have to be invoked by the mandated institutions to control developments in urban and rural areas along the highways and associated Refugee Agencies to control unplanned developments in refugee access roads in Koboko, Yumbe and Moyo Districts. The ESIA needs to also identify such areas along the access roads and inform the authorities during feedback sessions. 34 i 3.2.15 TOBACCO CONTROL ACT, 2015 Under Section 11, the Act guarantees every person to a tobacco smoke-free environment. A person smoking a tobacco product is obliged to ensure that another person is not exposed to tobacco smoke. Section 12 prohibits smoking in public places, workplaces, and means of public transport. Under Section 13, smokers are prohibited from smoking in outdoor space that is; within 50 meters of a public place; 50 meters of any window, door, or any intake mechanism of a public pace including places of service or consumption of food or drink; and designated no-smoking area. The ESIA should consider integrating safeguards based on human habits such as smoking and design appropriate mitigation measures and where possible expound these in the different management plans. 3.2.16 EXPLOSIVES ACT, CAP 298 The state owns all the rights to importation and storage of quarrying explosives and exercises this right through The Explosives Act (Cap 309 of the Laws of Uganda). Quarry operators must comply with this law. This Act regulates the use and management of explosives for civil purposes. Under this Act, explosives are kept at a site approved by the Ministry of Internal Affairs (MoIA) and can only be transported to the blast site under Police escort. Charging of explosives and blasting are carried out under Police supervision. The ESIA should reflect how the explosives shall be used especially at the quarries. 3.2.17 PUBLIC HEALTH ACT, CAP 281 This Act aims at avoiding pollution of environmental resources that support the health and livelihoods of communities. The Act gives local administrative units authority (Section 103) to prevent pollution of watercourses in the interest of public good. To understand the magnitude of the pollution related to the project, a baseline needs to be conducted during the ESIA preparation. 3.2.18 CHILDREN’S ACT, CAP 59 The Act defines a child as a person below the age of 18. It lists the right for children to be with their parents, circumstances under which they should not, foster care and adoption procedures as well as mandates of local authorities and roles of community. It further consolidates the laws relating to children and provides inter alia for the care, protection, and maintenance of children. Section 8 prohibits the employment or engagement of children in any activity that may be harmful to his or her health, education, or mental, physical, or moral development. The ESIA should have safeguards of children against impacts which are likely to be caused by the project. 3.2.19 NSSF ACT, CAP 222 The National Social Security Fund is a mandatory pure defined contribution provident fund which pays lump sums at retirement. The contribution rate to NSSF is 15% shared at 5% and 10% between the employee and employer respectively. The scheme was created by the National Social Security Fund Act (Cap 222) Laws of Uganda and its core objective is to protect formal employees against uncertainties of social and economic life. The aspects of social security should be highlighted in the labor-management plans which accompany the ESIA. 3.2.20 HISTORICAL MONUMENTS ACT, CAP 46 The Historical and Monuments Act, Cap 46 is currently under review. The Act provides for the preservation and protection of historical monuments and objects of archaeological, paleontological, ethnographical, and traditional interest. Under this Act, the Minister responsible may cause any of the aforesaid objects to be declared as preserved objects. The Act prohibits 35 i any person from carrying out activities on or concerning any object declared to be preserved or protected. Section 10 of this Act spells out the procedures and requirement to declare and inspect newly discovered sites that may have archaeological, paleontological, ethnographical, historical and traditional significance for purposes of protection. The project will, therefore, identify the right resourceful persons to identify such sites and provide for appropriate mitigation mechanisms during the ESIA preparation. 3.2.21 THE UGANDA CITIZENSHIP AND IMMIGRATION ACT, CAP 63 This Act makes provision for the acquisition of citizenship of Uganda according to the Constitution, to provide for the compulsory registration of all Ugandans and the issue of national identification numbers and the issue of national identity cards to citizens of Uganda. The Act consolidates and amends the law regulating immigration into Uganda and for other purposes incidental to and connected therewith. All foreign (non-Ugandan) employees and workers connected with this road project should seek clearance from the Directorate of Citizenship and Immigration Control of Uganda before engaging in any project activities. Provisions of proper identification of all project employees and the respective statutory requirements need to be integrated with the ESIA and complimentary labor management plans. 3.2.22 PUBLIC HOLIDAY ACT The days specified in the Schedule to this Act are declared to be public holidays, which, subject to this Act, shall in every year be kept and observed as public holidays throughout Uganda. All public holidays should be observed, and this should be highlighted during ESIA preparation. Deviation from this Act should be negotiated between the contractor and workers and special provisions to safeguard the rights of the workers need to be included in the ESIA. 3.2.23 RIVERS ACT, CAP 357 Section 4 of this Act requires that any dredging in a river be licensed. It states that it shall not be lawful to dredge in any river without a license from the Minister. Section 6(1) stipulates that the Regulations outlined in the Third Schedule of this Act shall be endorsed on every license to dredge. The ESIA baseline should identify all rivers on the project, their characteristics and appropriate mitigation measures to protect them put in place. 3.2.24 FISH ACT CAP, 197 The Act makes provisions for the control of fishing, the conservation of fish and related matters. Section 7 provides that any person who, without the written permission of the chief fisheries officer, uses or possesses to use any poison, noxious substance, explosive, lamp, light, flare, torch or electrical device for the capturing, killing or injuring of any fish or for rendering any fish more easily captured commits an offense against this Act. The ESIA baseline should identify all fish habitats on the project and the types of fish that exist therein and appropriate mitigation measures to protect them put in place. 3.2.25 TRADITIONAL RULER’S ACT, CAP 247 Under the Reinstitution of Traditional Rulers statute of 1993, confirmed by the constitution of Uganda in 1995, kings and chiefdom were given the right to own their cultural property. In the area of the project, chiefs are recognized, and they are the custodians of cultural sites and traditional belief systems hence key stakeholders in that regard. These need to be engaged during the ESIA socio-economic baseline establishment especially on traditional practices relating to the project area or likely to be impacted by the project. 36 i 3.2.26 DOMESTIC VIOLENCE ACT 2010 The Act provides for the protection and relief of victims of domestic violence; to provide for the punishment of perpetrators of domestic violence; to provide for the procedure and guidelines to be followed by the court concerning the protection and compensation of victims of domestic violence; to provide for the jurisdiction of the court; to provide for the enforcement of orders made by the court; to empower the family and children court to handle cases of domestic violence and for related matters. The ESIA preparation needs to baseline all incidences of domestic violence and child abuse and come up with appropriate management plans to safeguard the communities within the project vicinity from the project impacts. The Act provides for administration, registration and licensing of motor vehicles, driving permits, licenses for public service, private omnibus, and goods vehicles, use of motor vehicles, control of traffic, enforcement, and information on the national roads and safety council. The ESIA needs to include provisions for the management of the aspects as identified in this Act. 3.3 REGULATORY FRAMEWORK 3.3.1 ENVIRONMENTAL IMPACT ASSESSMENT REGULATIONS, 1998 The Environmental Impact Assessment Regulations, 1998 under the National Environment Act, Cap 153 guides EIAs preparation and approval process. Of specific relevance to development projects in the area, which could be considered for ESIA, regulation 14 of the EIA Regulations gives guidance on the contents to be included in the Environment and Social Impact Statement. 3.3.2 NATIONAL ENVIRONMENT (WASTE MANAGEMENT) REGULATIONS 1999 These regulations require waste disposal in a way that would not contaminate water, soil, and air or impact public health. This is concerning onsite storage, transport, and final disposal. According to the regulations, waste haulage and disposal should be done by licensed entities. These regulations apply to all categories of hazardous and non-hazardous waste and their storage and disposal or movement into and out of Uganda. The regulations promote cleaner production methods and require waste minimization by eliminating the use of toxic materials, reducing toxic emissions, and recovering and reuse of waste. This will be pivotal in the formulation of the waste management plan as and above the ESIA. 3.3.3 NATIONAL ENVIRONMENT (WETLANDS, RIVERBANKS AND LAKESHORES MANAGEMENT) REGULATION S.I NO. 2/2000 These regulations provide principles for sustainable use and conservation of wetlands, and riverbanks. Upon identification of the rivers especially the seasonal ones, the chances of accessing water resources from them need to be put into consideration during the preparation of the ESIA. They will also apply to draw water from existing rivers in proximity to the project. 3.3.4 NATIONAL ENVIRONMENT (MINIMUM STANDARDS FOR DISCHARGE OF EFFLUENTS INTO WATER OR LAND) REGULATIONS, 1999 Section 6 (2) details maximum permissible discharge limits for 54 contaminants, that must not be exceeded before the effluent is discharged into water or on land. Through limits on over 54 pollutants, these regulations control discharges in surface watercourses. Section 4 of this regulation requires facilities to install pollution control equipment for onsite management of waste, effluent, and emissions. These regulations will influence the management of effluent generated at workers' camps and equipment yards. 37 i 3.3.5 NATIONAL ENVIRONMENT (CONTROL OF SMOKING IN PUBLIC PLACES) REGULATIONS, 2004 Secondhand smoke (SHS) is a complex mixture of more than 4,800 chemical compounds, including 69 known carcinogens. WHO indicates “scientific evidence has unequivocally established that exposure to tobacco smoke causes death, disease, and disability”? According to WHO, SHS is a human carcinogen for which there is no “safe” exposure level 1. To avoid public health risk from SHS, Uganda enacted a law: National Environment (Control of Smoking in Public Places) Regulations 2004 to avoid smoking in public places. Under this law, a public place is defined as, "any place to which members of the general public or segments of the general public ordinarily have access by express or implied invitation and includes any indoor part of a place specified in this schedule" and these places include, office buildings, workplaces, eating areas, toilets, and public service vehicles. The regulations task owners of such places to designate "NO SMOKING" and "SMOKING AREAS" in premises. Such insights should be captured during the preparation of the ESMP. 3.3.6 NATIONAL ENVIRONMENT (NOISE STANDARDS AND CONTROL) REGULATIONS, 2003 Part III Section 8 (1) requires machinery operators, to use the best practicable means to ensure that the emission of noise does not exceed the permissible noise levels. The regulations require that persons to be exposed to occupational noise exceeding 85dBA for 8 hours should be provided with requisite ear protection. The monitoring regime for the noise and instituted mitigation mechanisms should be integrated into the ESMP. 3.3.7 WATER RESOURCES REGULATIONS, 1998 The regulations apply to motorized water abstraction from boreholes or surface watercourses or diverting, impounding, or using more than 400 cubic meters of water within 24 hours. Part II, Regulation 3 requires a water permit for the operation of the motorized water pump from a borehole or waterway. Under Regulation 6, application for a permit may be granted on conditions of projected availability of water in the area, existing and projected quality of water in the area, and any adverse effect, which the facility may cause among other considerations. 3.3.8 DRAFT NATIONAL AIR QUALITY STANDARDS, 2006 Considering that construction equipment and machinery are powered by diesel/ gasoline engines, pollutants such as CO2, NOx, SOx, VOC, and dust particulates are expected to be emitted. The draft National air quality standards provide the following regulatory limits for these emissions hence proper baselining techniques and management regime need to be established during the ESIA preparation. 3.3.9 THE NATIONAL ENVIRONMENT (MOUNTAINOUS AND HILLY AREAS MANAGEMENT) REGULATIONS, 2000 Every landowner or occupier shall while utilizing the land in a mountainous and hilly area shall amongst others, observe all necessary measures for sustainable management of such ecosystems as prescribed by these Regulations. These need to be identified during the ESIA baseline and the probable impacts identified as well as appropriate mitigations designed. 38 i 3.3.10 THE NATIONAL ENVIRONMENT (AUDIT) REGULATIONS 2006 These regulations apply to the enforcement of section 3 of the National Environment Act Cap 153 and Section 22 of the Environment Act Cap 153. It dictates that audits need to be made on the different projects authorized by NEMA. During the ESIA preparations, the audit framework shall be generated in line with the regulations. 3.4 NATIONAL INSTITUTIONAL FRAMEWORK 3.4.1 UGANDA NATIONAL ROADS AUTHORITY (UNRA) Uganda National Roads Authority (UNRA) has a department of Environment and Social safeguards (DESS). The same department houses the function of health and safety for the institution. DESS developed an Environmental and Social Management System with an overarching Policy, which was approved by the Board and UNRA Management in August 2016 and in March 2017 respectively. The Environmental and Social safeguard policy statements focus on the following elements; Assessment and management of Environmental and Social impacts, Occupational and Community Health and Safety, gender, exclusion of and discrimination against vulnerable or marginalized individuals or groups, HIV/AIDs awareness and presentation, stakeholder engagement and disclosure of information, Grievance Redress Mechanism, labour and working conditions, sensitive ecosystems and sustainable management of the environment, climate change, land acquisition and involuntary resettlement, and cultural resources. In 2019, UNRA also developed a Land Acquisition and Resettlement Management system (LARMS), which provides that compensation should be aimed at minimizing social disruption and assist those who have lost assets as a result of a road project to maintain their livelihoods. In preparation for the ESIA and other safeguards documents for this project, reference needs to be made to the UNRA E&S policy, ESMSA, and the LARMS. 3.4.2 MINISTRY OF GENDER LABOUR AND SOCIAL DEVELOPMENT (MGLSD) The Ministry is enjoined to operationalize Chapter 4 of the Constitution (Articles 31-42), which focuses on affirmative action and promotion of fundamental human rights of the people of Uganda. The Government of Uganda put in place impressive laws to protect the rights and interests of women and girls – including the Domestic Violence Act 2010, the Prohibition of Female Genital Mutilation Act 2010, the Prevention of Trafficking in Persons Act 2009 and the National Policy on the Elimination of Gender-Based Violence (NGBV Policy). The implementation of these laws lies mainly within the mandate of the Ministry of Gender, Labour, and Social Development. Specific to KYM MoGLSD will be pivotal in the assessment of the appropriateness of the ESIA regarding the different social (especially gender and inclusiveness) and cultural aspects which exist in the area to ensure that the project has minimal effect on the wellbeing of the people within the communities and beyond. The ministry and line officers at the different districts must see the need to be consulted during the preparation of the ESIA. 3.4.3 THE DIRECTORATE OF WATER RESOURCES MANAGEMENT-(DWRM) MOWE The Directorate of Water Resources Management – (WRMD), has a responsibility to regulate the quality and quantity of water resources in the country. The Directorate is responsible for the full range of integrated water resources management (IWRM) activities including monitoring, assessing, planning, allocating, and regulating water resources. Specifically, the Water Resources Planning Department is responsible for water regulation through the issuance of permits for water abstraction and wastewater discharge. DWRM should be engaged in the baseline data about water and hydrology as collected in the project-receiving environment. The 39 i mitigations to minimize the impact on water sources and water shade should be discussed in a participatory manner and guidance on the appropriateness of the project as well as abstraction dynamics provided during the ESIA process. Specific requirements regarding water resources management should be done by DWRM. 3.4.4 DEPARTMENT OF MUSEUMS AND MONUMENTS (MINISTRY OF TRADE, TOURISM & INDUSTRY) Experts on physical cultural resources such as Archaeologists and paleontologists usually reside in the department of Museums and Monuments. It is critical to engage these and other identified experts in doing a thorough assessment of the project area regarding physical cultural resources. The ESIA baseline findings should be shared with the department for validation and the mitigations analyzed in a participatory manner. from the department responsible for museums and monuments in this Ministry will be useful in validating the physical cultural resources discovered on the project during the ESIA baseline. 3.4.5 DEPARTMENT OF GEOLOGICAL MINES AND SURVEYS. (MINISTRY OF ENERGY AND MINERAL DEVELOPMENT The Department of Geological Survey and Mines controls the mining sector (including stone quarrying) through the Mining Act. The same will issue permits for quarrying activities hence the need to inquire about the permitting process. In identifying and confirming the quarry sites to be used by the project, the department needs to be consulted regarding the envisaged impact and for any information which may be required to understand the geology of the area. 3.4.6 MINISTRY OF LANDS, HOUSING AND URBAN DEVELOPMENT The Ministry of Lands, Housing and Urban Development houses the office of the Chief Government Valuer (CGV). The CGV is responsible for determining the Compensation rates for all assets, developments, and interests to be affected by the project and auxiliary activities. During the preparation of this ESIA, the CGV needs to be involved in the review of the displacement impacts and proposed mitigations. More insight will be provided for the appropriates of the mitigations especially on business loss and the relocation of the physical cultural resources that are affected by the road. The valuation report should be prepared alongside this ESIA must be approved by the Chief Government Valuer. 3.4.7 DISTRICT LOCAL GOVERNMENTS The district local governments are the custodians of all development processes in every district. Regarding the project, the district before other government MDAs has the mandate on all processes in the district. They collect information literally on all processes in the district. To have a rich and informed baseline, consulting the local governments traversed by the project is a must. In consulting participatory scoping and the detailed assessment for impacts should be done as well as establishing the appropriate mitigations. 3.4.8 OFFICE OF THE PRIME MINISTER The office of the Prime Minister (OPM) coordinates all activities related to refugees in Uganda. Given the fact that the project seeks to supports aid operations to refugees and related settlements, the OPM is an important stakeholder who should be contacted especially on the social dynamics of the refugees. Also, the engagement/employment modalities on the roads during construction should be discussed. The impacts they envisage, and the appropriate mitigation or enhancement strategies need to be relayed and integrated into the ESIA during preparation. 40 i 3.5 INTERNATIONAL AND REGIONAL CONVENTIONS/TREATIES The government of Uganda has adopted several international and regional conventions that need to be referred to during the preparation of this ESIA and the clauses therein which apply to the ESIA need to be adopted. Some of those included but not limited to; (a) Stockholm Convention for Persistent Organic Pollutants, (b) Basel Convention for hazardous wastes and disposal (c) United Nations Conventions on the Rights of the Child and its Optional Protocols and Declarations on Children (d) The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) (e) Convention on Biological Diversity (CBD) of 1992 (f) Montreal Protocol on substances that deplete the ozone layer of 1987 (g) The Strategic Approach to International Chemicals Management (SAICM) (h) Convention on Elimination of All Forms of Discrimination against Women (i) Convention on Protection of Migrant Workers (j) The UN Conventions on the Rights of Persons with Disabilities 2008 (k) International Convention on Economic Social and Cultural Rights (l) The UNESCO Convention on the Protection of the World Cultural and Natural Heritage (1972) (m) Convention for the Safeguarding of the Intangible Cultural Heritage, 2003 (n) African Convention on the Conservation of Nature and Natural Resources, 1982 (o) The United Nations Framework Convention on Climate change (UNFCCC), 1992 3.6 THE WORLD BANK SAFEGUARDS POLICIES The World Bank developed the Environmental and Social Framework (ESF) which enables Borrowers to better manage environmental and social risks of projects and to improve development outcomes. It was launched on October 1, 2018. The ESF offers broad and systematic coverage of environmental and social risks. It makes important advances in areas such as transparency, non-discrimination, public participation, and accountability —including expanded roles for grievance mechanisms. It brings the World Bank’s environ mental and social protections into closer harmony with those of other development institutions. The ESF consists of: (i) the World Bank’s Vision for Sustainable Development; (ii) the World Bank’s Environmental and Social Policy for Investment Project Financing (IPF), which sets out the requirements that apply to the Bank; (iii) the 10 Environmental and Social Standards (ESS), which set out the requirements that apply to Borrowers; (iv) Bank Directive: Environmental and Social Directive for Investment Project Financing; (v) Bank Directive on Addressing Risks and Impacts on Disadvantaged or Vulnerable Individuals or Groups. These are expounded below: 3.6.1 THE WORLD BANK’S ENVIRONMENTAL AND SOCIAL STANDARDS (ESS) 3.6.1.1 ESS1 ASSESSMENT AND MANAGEMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND IMPACTS ESS1 Assessment and Management of Environmental and Social Risks and Impacts sets out the Borrower’s responsibilities for assessing, managing and monitoring environmental and social risks 41 i and impacts associated with each stage of a project supported by the Bank through Investment Project Financing (IPF), to achieve environmental and social outcomes consistent with the Environmental and Social Standards (ESSs). ESS1 makes it incumbent on borrowers to undertake comprehensive assessment and monitoring of environmental and social impacts and risks at all phases of project development. UNRA is obliged to commission an Environment and Social Impact Assessment and further a Resettlement Action Plan for the Koboko-Yumbe-Moyo road upgrade project. The ESIA will inform project alignment and design and further enable stakeholder engagement. ESS1 further aids the identification of mitigation measures and actions to further improve decision-making. Assessment is extended to all associated facilities; workers' camps and equipment yards and material source areas fall under the ambit of ESS1. Environment and Social Standard 1 requires that UNRA undertakes stakeholder engagement and disclose appropriate information following ESS10. Monitoring and reporting of environment and social performance of the project on all ESSs is mandatory as specified in ESS1. 3.6.1.2 ESS2 LABOR AND WORKING CONDITIONS This ESS recognizes the importance of employment creation and income generation in the pursuit of poverty reduction and inclusive economic growth. Borrowers can promote sound worker- management relationships and enhance the development benefits of a project by treating workers in the project fairly and providing safe and healthy working conditions. Environment and Social Standard 2 of the World Bank Environment and Social Framework are cast in such a way as to streamline workers’ rights, benefits, and other general work conditions irrespective of the category they find themselves in. The Bank recognizes the importance of employment creation, income generation, and poverty alleviation alongside managing the risks of worker exploitation, social exclusion, discrimination, sexual harassment, child labor, and a horde of other ills that may compromise project benefits. Through ESS2, the Bank seeks to enhance the protection of workers’ rights and promote a safe work environment. The Bank hence requires that all borrowers undertake to institute mechanisms that mainstream Labour Management Procedures, operationalize and address: • Working conditions and management of worker relationships • Protect the workforce • Operationalize a Grievance mechanism • Ensure Occupational Health and Safety (OHS) • Issues of contracted workers • Issues of Community workers • Concerns of Contracted workers • Concerns of primary supply workers 3.6.1.3 ESS3 RESOURCE EFFICIENCY AND POLLUTION PREVENTION AND MANAGEMENT Environment and Social Standard 3 focuses on the issue of resource efficiency and pollution. Cognizant of the pollution potential of development activities and their ability to disrupt natural ecosystems and provisioning services and their contribution to Green House Gases (GHG), the Bank sets out guidelines for resource exploitation and use and further for pollution management throughout the project life cycle consistent with Good International Industrial Practices (GIIP). The Bank hence requires that the borrower addresses issues of resource efficiency and pollution management. 42 i Resource efficiency issues (a) Energy use: The borrower shall adopt measures that optimize energy use to the extent that is technically and financially feasible. (b) Water use: Projects that have a potentially significant water use level or are predicted to significantly impact water quality, the borrower shall adopt technically and financially feasible measures that avoid or minimize water usage impacts on the environment and the communities. (c) The raw material used: Raw material extraction and use technologies account for rampant natural resource degradation. In the road development sector, rock quarries, borrow areas and sources of construction water and sand require the use of resource conservation technologies. Observance of EHSGs of the world Bank and GIIP is encouraged by ESS3. Pollution Prevention and Management issues. ESS3 targets pollution in all its facets. The Bank requires that the borrower institutes mechanisms to avoid the release of pollutants or when avoidance is not feasible, minimize and control the concentration and mass flow of their release using performance standards and measures as specified in National laws or the EHSGs, whichever is most stringent. Site remediation is also made a requirement under ESS3 as well as an alternative evaluation of project location. Pollution management shall require the following actions among others: (a) Characterization and assessment of air pollution sources including GHG of the project (b) Management of hazardous and non-hazardous wastes (c) Management of chemicals and hazardous materials (d) Management of pesticides (may not apply to the project under assessment) 3.6.1.4 ESS4: COMMUNITY HEALTH AND SAFETY ESS4 focuses on the health, security, and safety issues of project-affected communities. Project actions may compromise security around the camps, the health of surrounding communities through the spread of communicable diseases including HIV/AIDS, and compromised safety on the roads where contractor equipment. ESS4 shall address project concerns in several areas: Community Health and Safety (a) The borrower is obliged to address issues of Infrastructure and equipment design and safety bridges are important in this respect (b) Safety of services provided by the borrower to the affected communities (c) Traffic and road safety of project workers and affected communities. Safety during construction is prioritized under this theme (d) Ecosystem services that may exacerbate climate change impacts. Impacts on surface watercourses will have to be monitored (e) Community exposure to health issues. Of particular importance are sexually transmitted diseases including HIV/AIDS and insect vector diseases associated with water ponding in material extraction areas. (f) Management and safety of hazardous materials (g) Emergency preparedness and response (h) Security personnel contracted or employed by the borrower must be appropriately trained and must operate within the law and commitments made by the borrower. 43 i 3.6.1.5 ESS5: LAND ACQUISITION, RESTRICTIONS ON LAND USE AND INVOLUNTARY RESETTLEMENT ESS5 will be applicable during road construction since land will be temporary needed for establishment of project associate facilities and where curve improvements are expected on the access roads. ESS5 requires the borrower to generate measures that guide land acquisition, limit restrictions on land use due to inappropriate designs to reduce incidences of involuntary resettlement. Left unmitigated these issues to cause severe disruption of economic and social aspects of any community. Loss of livelihoods occurs and disorientation of once settled communities may come with social disorder and disrupted social networks. ESS5 will be applied to guide various ESIA aspects including: (a) Permanent or temporary physical and economic displacement resulting from the different types of land acquisition or restrictions on land use (b) Limit incidences of involuntary resettlement and land acquisition through undertaking appropriate alternative project designs that limit such incidences (c) Where compulsory land acquisition and restrictions on land cannot be avoided, the borrower will offer affected people compensation at replacement cost and other assistance as may be necessary to aid improvement or at least restore their livelihoods. All appropriate modalities in line with national regulations, Bank ESS5 requirements, and GIIP shall be observed. (d) Community engagement with affected communities through a process of stakeholder engagement following guidelines as prescribed in the ESMF ESS10 shall be undertaken. All decisions related to resettlement and livelihood restoration shall be considered at the design stage. Consultations and participation shall continue throughout the project cycle. (e) A grievance mechanism for the project shall be formulated following national regulations, local customs, and ESS10 to address compensation, relocation, and livelihood restoration within the project area. (f) ESS5 demands that the planning and implementation of land acquisition be carried out before project implementation. Inventories in the form of a census must be carried out to identify those eligible for compensation and those who should be left out. A cut-off date should be established for this purpose. (g) A physical displacement plan shall be drafted to mitigate the negative impacts of displacement. Among the many aspects of this plan will be a budget and implementation schedule, the entitlement of all affected communities and gender aspects, and other vulnerable sections of society will be reflected in the plan. 3.6.1.6 ESS6: BIODIVERSITY CONSERVATION AND SUSTAINABLE MANAGEMENT OF LIVING NATURAL RESOURCES Environment and Social Standard six anchors the conservation of biodiversity and sustainable management of living natural resources. Biodiversity loss during the project implementation will impact ecosystem services valued by humans. In addition to compromising utilitarian values, biodiversity carries inherent intrinsic value hence the protection of habitats is justified along these grounds. ESS6 shall, therefore, require that the borrower observes a series of pronouncements: (a) Assess risks and impacts considering threats to biodiversity including habitat loss, degradation and fragmentation, invasive alien species, overexploitation, hydrological changes, nutrient loading, pollution, and incidental take as well as climate change impacts. 44 i (b) Designing a mitigation hierarchy for all identified risks and impacts in line with GIIP and national regulatory framework. A precautionary approach will be the basis for mitigation (c) Undertake a differentiated approach to risk management based on the sensitivity and values of identified habitats. All habitats shall be categorized as either modified, natural, or critical including those that are under any national protection regime. (d) ESS6 makes observations on intentional or accidental introduction of alien or non- native species of flora and fauna into areas where they are normally not found. Alien species threaten biodiversity through competition or destruction. 3.6.1.7 ESS7: INDIGENOUS PEOPLES/SUB-SAHARAN AFRICAN HISTORICALLY UNDERSERVED TRADITIONAL LOCAL COMMUNITIES. Environment and Social Standard seven (ESS7) is concerned with mainstreaming concerns of traditional local communities and minorities whose aspirations and identities are distinct from mainstream community groups where they reside. Many a time, development project fails to address nor even identify their interests and end up being marginalized and vulnerable. The lack of capacity and means to defend their rights to and interests in land, natural, and cultural resources. Implied under ESS7 is the differential roles of women and men in traditional societies that render women and children marginalized and vulnerable with limited entitlements. Well- intentioned development projects that fail to recognize such stratified and encumbered entitlements for women and other vulnerable groups end up entrenching marginality and exclusion. 3.6.1.8 ESS8: CULTURAL HERITAGE This ESS recognizes that cultural heritage provides continuity in tangible and intangible forms between the past, present, and future. ESS8 sets out measures designed to protect cultural heritage throughout the project life cycle. The scope of application of ESS8 is quite diverse though centers on the integration of cultural heritage into overall project planning and implementation. The following scope is thus envisaged: (a) The borrower will engage in meaningful consultations with identified stakeholders by providing timely, understandable, relevant, and accessible information. (b) While consulting with stakeholders the client shall follow all principles and guidelines as laid down in ESS10 Stakeholder engagement. A grievance mechanism will also be a key aspect of interface with stakeholders. (c) Confidentiality on matters of cultural heritage is paramount and is given attention in ESS8. The borrower in consultation with the Bank and project-affected communities including individual shall determine whether disclosure of information regarding cultural heritage would comprise or jeopardize the safety or integrity of cultural heritage. Where sensitive information concerning a cultural heritage cannot the shared then it will be expunged. (d) Recognition of legally protected cultural heritage areas is enshrined in this standard. The ESIA will determine the presence of all listed legally protected cultural heritage areas affected by the project. (e) ESS8 contains provisions for specific types of cultural heritage including built heritage, natural features with cultural significance, and movable cultural heritage. (f) Under ESS8, guidance on commercial use of cultural heritage is provided. Where the project intends to use cultural resources for commercial purposes, the communities must be informed and their rights under national laws spelled out to their satisfaction. 45 i Consultations and a fair approach to sharing benefits shall be the basis for any exploitation/use of such resources. 3.6.1.9 ESS9: FINANCIAL INTERMEDIARIES (FIS) This ESS recognizes that strong domestic capital and financial markets and access to finance are important for economic development, growth, and poverty reduction. FIs are required to monitor and manage the environmental and social risks and impacts of their portfolio and FI subprojects and monitor portfolio risk, as appropriate to the nature of intermediated financing. How the FI will manage its portfolio will take various forms, depending on several considerations, including the capacity of the FI and the nature and scope of the funding to be provided by the FI. The WB should be integrated into the monitoring plan for the project. 3.6.1.10 ESS10: STAKEHOLDER ENGAGEMENT AND INFORMATION DISCLOSURE Environment and Social Standard 10 recognizes the importance of open and transparent engagement with project stakeholders. The success of any project is hinged on level and quality of stakeholder engagement which is an inclusive process expected to occur throughout the project life cycle. Engagement is more useful when introduced in the early phases of project development and is mainstreamed into all levels of decision making. In applying ESS10, the following scope should be envisaged: a. Stakeholder identification and analysis: ESS10 requires the identification of key project- affected parties and those with interests in the project. At this level, emphasis will be on vulnerable or marginalized individuals or groups, whose situation is likely to be accelerated by project implementation. Identification should be able to bring out different sets of affected people and their interests. b. Stakeholder Engagement Plan: A Stakeholder Engagement Plan (SEP) shall be drafted in consultation with the Bank. The SEP will be disclosed at all appropriate levels to afford all affected and interested have inputs into project design and implementation. c. Information Disclosure: The borrower is obliged to undertake timely and effective disclosure of information regarding the project including its purpose, nature, scale, potential risks, and impacts on the local communities and further present possible mitigation measures. d. Meaningful: Consultation is meaningful if a dialogue exists, communities and individuals should be allowed to interact with respect and dignity. Interactions should be based on prior disclosure of project relevant information to all parties. e. Engagement during project implementation and external reporting: Continuous interaction with project-affected persons and communities throughout the project lifecycle is inferred in ESS10. Project affected Persons shall be availed all relevant information using appropriate means to enable them to reach an informed decision. f. Grievance mechanism: A grievance mechanism is expected to guide the resolution and management of concerns, complaints, and issues that may arise during the entire project life cycle. The GRM will be proportionate to identified potential risks and impacts. g. Organizational capacity: ESS10 requires that project developers define clear roles, responsibilities, and authority and further designate properly skilled personnel to be responsible for the implementation of specific stakeholder assignments. 46 i 4 CHAPTER 4 ENVIRONMENT AND SOCIAL BASELINE Presented in this chapter are some of the social and environmental baseline conditions assessed in the project area. It is important to note that this assessment was done rapidly just to inform the aspects as presented under this ESMF. The detailed environmental and social baseline shall be done to inform the ESIA(s) for the Access roads to refugee settlements and KYM project associated facilities. 4.1 PRELIMINARY SOCIO-ECONOMIC BASELINE 4.1.1 ADMINISTRATION AND LOCATION OF THE PROJECT The four access roads are in the districts of Koboko, Yumbe, and Moyo in 7 sub-counties as shown in Table 4-1. All the potential material borrow sites, quarries, and camps are located within the same three districts. It is expected that these communities will be directly impacted by the impacts of o\the KYM associated facilities. Their engagement during the scoping and detailed ESIA assessments need to be done to identify such impacts from the community point of view. TABLE 4-1: SUB-COUNTIES THROUGH WHICH THE PROPOSED ROADS TRAVERSE No Road section District Sub-counties 1 Access to Bidibidi Access Loop Refugee Yumbe Romogi sub-county (at the start) Settlement Camp (RSC) – 25.7km Apo Sub County and (at the end) 2 Access to Lobule Refugee Settlement Camp Koboko Lobule sub-county (at the end); (RSC) – 3.0km Drajini Sub County and (midway) Lodonga sub-county (at the start) 3 Access to Palorinya Refugee settlement Camp Moyo Moyo Sub County (RSC) – 17.7km 4 Access Through Lori To Bidibidi RSC – 17.7km Yumbe Lori sub-county 4.1.2 RELIGION AND CULTURAL DIVERSITY The proposed Roads traverse communities of various tribes hence the varying cultural backgrounds. Koboko and Yumbe districts are dominated by the Kakwa tribe who are majorly Moslems. Moyo District is dominated by Kuku, Murle, Alur, and the Lugbara tribes mostly Christians of Catholic and Anglican faiths. Whereas these variances exist, tribal and religious clashes are minimal. This is mainly attributed to the fact that the majority of these tribes migrated from Southern Sudan and consider themselves brothers with similar dialects still existing in Southern Sudan and the majority still have family ties across the border. The diversity in the area is further expanded by the massive immigration due to insurgencies in neighbouring countries of DR. Congo and South Sudan which started way back in the 1980s. These have gradually shaped the Socioeconomics of the Koboko-Yumbe-Moyo road corridor. 47 i 4.1.3 POPULATION The population of the West Nile region (in which the project area is located) is growing at a relatively high rate with an average household size ranging between 5 and 6 individuals (UBOS, 2014). This is above the national average of 4.65. The populations of the districts are provided for below: • Koboko District had a total population of 129,200 persons (65,400 females and 63,800 males) in 2002. Over 12 years, the population more than doubled from 62,337 to 129,200 from 1991 to 2002. The district’s population in 2014 census was 208,163 people of which 102,091 were male and 106,072 were females (UBOS, 2014). • Yumbe District population was 77,980 in 1980. Ten years later in 1991, the population was 99,794 and the in 2002 census the total population was 251,785. Yumbe district population growth rate between 1991 and 2002 was 7.93 percent per annum and the growth rate between 2002 and 2014 was 5.47 percent per annum. The district’s population in 2014 census was 485,582 of which 229,811 were males and 255,771 were females. • Moyo District had a population of 137,489, of which 67,937 were males and 69,552 were females according to the 2014 population census. Moyo district population growth rate between 1991 and 2002 was 7.69 percent per annum and the growth rate between 2002 and 2014 was -2.9 percent per annum. The detailed population assessment needs to be done during the detailed ESIA especially for the sub-counties, which are traversed by the project and associated facilities. 4.1.4 GENDER ANALYSIS Preliminary Gender analysis is used to identify, understand, and describe gender differences and the relevance of gender roles and power dynamics in a project area. This involves examining the differential impacts of a project on women and men and examines the different roles, rights, and opportunities of men and women and relations between them (USAID, 2011). This analysis employs the six domains of the Gender Analysis Framework Approach namely: access, knowledge, beliefs and perceptions, practices and participation, time and space, legal rights and status, power, and decision making. Some of these are discussed below; 4.1.4.1 ACCESS TO RESOURCES Preliminary assessments indicate the society in which the proposed project is to be implemented is largely patriarchal. This literary means that men have control over most of the productive resources right from household to community level. At the Household (HH) level it is mainly men who control resources and at the community are the elders or clan leaders who are usually men. Some of the resources preliminarily examined the island. Land in West Nile, as in most societies in Uganda, is equated with social status, wealth, and power and provides basic economic activities including the provision of food and shelter. There is a strong correlation between the decision- making powers and the type, quality, and quantity of land rights. Women are regularly denied the full benefits of this resource and discriminated against in land ownership matters. They are usually the principal users of land, but the proceeds are usually distributed by men hence land and the derivatives from it remain a prerogative of a man to decide on the use. 48 i As a result, women do not enjoy complete and equal ownership of land. Even when a man dies, it is usually his family that takes over the land in West Nile. The access they possess is highly dependent on the good relationship that a woman has with male relatives. Women are rendered vulnerable and marginalized regarding ownership, access, and control of land and other productive resources. Despite this, interactions with women in the community indicate that some special those engaged in income-generating activities own land. The detailed ESIA should illuminate access to other resources especially those which are impacted by the project such as developments on the land. This should be done in a participatory manner to establish mechanisms that can be employed to ensure that the rights of women are not infringed upon the male under the pretext of patriarchy. This should be done also concerning the existing laws of Uganda and relevant bylaws in the area. 4.1.4.2 BELIEFS AND PERCEPTIONS As earlier indicated, it is the men who have the power to make strategic decisions for the HH. Also, most of the roles are aligned according to sexes and in West Nile, the roles done by the female and male sexes are delineated. For example, the role of tendering to gardens after the hard-labor plowing is for men while the hard labor is made by men. Women are the major breadwinners for the homes, but men have an upper hand on spending the resources accrued from the income-generating activities such as petty trade done by women. Within the project area, women and girls take responsibility for even providing income (Plate 4-1) to the family through agriculture and vending in trading centers. This is evidenced by the high dominance of women and girls in the market centers. It was reported that most men opt for alcohol in the morning and only go back home to eat and sleep. PLATE 4-1: WOMEN WAITING FOR CUSTOMERS ON A MARKET DAY IN LONDON SUB-COUNTY However, there are efforts by civil society and other partners to break gender stereotypes. This is slowly translating into small changes such as educating the girl child though the pace of change is slow. This happens amidst a structural problem of low literacy levels which are generally low in the West Nile part of Uganda and there are few women in the communities with the necessary levels of education and/or experience to effectively participate and engage in community decision making processes. Opportunities for post-primary alternative education and life-skills education are largely lacking with limited alternatives for male engagement in vocational training. Existing studies have shown that while two-thirds of Ugandans agree that girls and boys should have an 49 i equal share of caring responsibilities, half of the population reports that in practice, girls are still performing more housework (which is culturally a feminine role). 4.1.4.3 ROLES World Development Report 2012, which indicated that, at all levels of income, women do most of the housework and care and, correspondingly, spend less time in market work. The study showed that women spend 30 percent more time on housework than men, and 70 percent more on childcare (Plate 4-2). These differences have an impact on women’s ability to seize economic opportunities and to participate effectively in market work. The situation is no different in the project area. PLATE 4-2: A 17-YEAR-OLD SINGLE MOTHER SEATED BEHIND A MARKET IN A TRADING CENTER 4.1.4.4 LEGAL RIGHTS AND STATUS Securing women’s access to justice remains a challenge: a substantial number of community members interacted with indicated the population believes that women do not enjoy the same opportunities as men to access justice, i.e. police, courts of law, and local traditional authorities. Worst is the fact that the general population agrees that unequal access is justified especially the women who feel it is a safeguard to continuity in the marriage. However, the efforts to have women’s participation in all spheres is clear as per the Ugandan legislation. A case in point is the Local Governments Act states that one-third of the District Council at the level of lower committees including the parish or village shall be women. These narratives are further reinforced by the Land Act , which stipulates that at least one-third of the members of the Land Board, the Land Committee and the sub-county land tribunals should be women (IUCN, 2019). During the detailed ESIA, it is important to conduct a detailed assessment of the participation of women in the different development spheres and appropriate gender management plans to develop clearly illustrating how the existing negative gender stereotypes will be mitigated and the existing efforts enhanced. 50 i 4.1.5 EXISTING SOCIAL VICES 4.1.5.1 SEXUAL AND GENDER-BASED VIOLENCE While the Government of Uganda has put in place impressive laws to protect the rights and interests of women and girls – including the Domestic Violence Act 2010, the Prohibition of Female Genital Mutilation Act 2010, the Prevention of Trafficking in Persons Act 2009 and the National Policy on the Elimination of Gender-Based Violence (NGBV Policy) – implementation remains limited and abuse is rampant. This is largely attributed to the narrow interpretation of GBV which is limited to physical abuse. Also reporting of GBV remains low, investigations poor, and legal cases experience dismissal more often than conviction, resulting in impunity for many GBV- related crimes. Survivor support services remain extremely limited and uncoordinated. Many communities and duty-bearers continue to believe that GBV is acceptable, silencing survivors and pressuring them not to report the abuse or seek help (MGLSD, 2019). All these observations are a lived reality especially for women within the project area as narrated in the brief interactions. Studies have shown that Sexual and Gender-Based Violence (SGBV) is unexceptionally high incidents in the West Nile Region. The number of women who experience gender-based violence in comparison to men remains unacceptably high. In 2006, 68% of women reported violence compared to 20% of their male counterparts (UDHS 2006). This is no different from the national outlook as existing records indicated that the magnitude of SGBV in the country is still high. For example, a whopping 65% increase in the number of cases of defilement are reported over the last ten years (MGLSD, 2019). The effects of SGBV are enormous and lead to reduced economic productivity at all levels and increased risk of acquiring HIV and AIDS. The other effects include trauma and psychosocial problems, health, and legal challenges. In context to the refugee area, 425 incidents of sexual and Gender-Based Violence (SGBV) were reported from 13 refugee hosting districts of which 37 and 388 victims were males and females respectively UNHCR (2018), The report further shows that physical assault was the most reported incident. Among males, denial of resources and emotional abuse at the household level was the key incidents reported. Key drivers of SGBV were gender inequalities, conflict, power-imbalances, insufficient food at home, and alcoholism. Within the urban, poverty and complexities often led to increased vulnerability to Sexual Exploitation and Accusation (SEA). During brief consultations with Refugee settlements in the project area, South Sudanese refugees were granted prima facie refugee status on arrival. OPM supported by UNHCR conducts level 1 and biometric registration/activities to provide identity documentation to new arrivals using the RIMS. Further, OPM is responsible for the physical security of refugees and has deployed police officers in the settlement. SGBV and child protection cases are supported through screening checklists with a focus on data collection and data analysis on a routine basis, as well as an assessment of specific protection needs and risks. 4.1.5.2 EARLY MARRIAGES At a national level, the prevalence of early marriage remains pervasive with regional disparities: on average one in two Ugandan women was married before turning 18. Regional statistics indicate that up to two in three women in the East Central, Mid-Eastern, and West Nile and Northern sub- regions were married as children. Early marriage is widely accepted, but only for girls: while many communities believe that men should be married later (UNDP 2014). Limited access to post- primary schools and livelihoods expose adolescent girls to risks of child marriage and prompt recourse to survival sex; increasing vulnerability to sexual and other forms of exploitation and abuse (UNHCR, 2019). 51 i 4.1.5.3 DOMESTIC VIOLENCE In West Nile, prevalence and acceptance of domestic violence are still high: twice as many women than men experienced spousal violence in their lifetime; one in two Ugandan women has been the victim at least once during their life and one in three in the last 12 months. More than one in two Ugandans agree that spousal violence against women is justified under certain circumstances – two in three in the West Nile and Mid-Eastern sub-regions. 4.1.5.4 CHILD LABOR Given the high school dropout rate in the project area, the majority of these children are engaged in labor on family farms and others engaged in working for money on farms. Girls are usually hired out as housemaids in towns of Koboko, Arua, and as far as Kampala. Preliminary assessments indicate that several social ills exist within the project area. These need to be further expounded and assessed during the detailed ESIA process. 4.1.6 REFUGEE SETTLEMENTS Currently, the West Nile region of Uganda accommodates more than 0.5 million refugees from South Sudan (UNHCR, 2019). Such a huge influx of people and the circumstances in which they come, has created extreme pressure on the existing natural resources and social services including; water sources, land, wood, schools, and hospitals. There are six refugee settlements (Figure 4-1) that were gazetted by the Office of the Prime Minister (OPM) of the government of Uganda accommodating a total of 524,703 Refugees. The refugee settlements include; Lobule, Bidibidi, Palorinya, Rhino camp, Imvepi, and Omugo distributed in Arua, Moyo, Yumbe, and Koboko Districts. FIGURE 4-1: LOCATION OF THE REFUGEE SETTLEMENTS RELATIVE TO THE PROJECT AREA (Source: UNRA, 2019) 52 i 4.1.7 ECONOMIC ACTIVITIES 4.1.7.1 AGRICULTURALLY BASED ECONOMIC ACTIVITIES Most districts in West Nile are highly dependent on agriculture employing over 80% of the total population in each district. Agriculture is mainly subsistence and takes place on smallholdings of approximately two acres using mainly simple/rudimentary farming tools (hoes, pangas, and harrowing sticks). Only a small percentage (0.5%) of the population is engaged in commercial agriculture. Family members constitute the single most important source of labor (Arua District, 2016). Both food and cash crops are grown. These include cassava, beans, groundnuts, sim-sim, millet, cotton maize, sweet potatoes, sorghum, cowpeas, coffee, cabbages, tomatoes, and onions pineapple Rice and Apiculture among others. Also, several animals are reared, and these include goats, sheep, chicken, and goats. These main reared on a free-range basis with a few encounters of tethering of cattle observed especially near trading centers and towns. PLATE 4-3: ANIMAL TETHERING ALONG THE EXISTING ROADS 4.1.7.2 NON-AGRICULTURAL BASED ECONOMIC ACTIVITIES Bricklaying was observed and very common in the villages for sale and for constructing homes. At the commercial center at Bidibidi RSC business in household goods and services (mobile money, airtime, phone charging) was observed. A more comprehensive assessment of the economic activities needs to be done during the detailed ESIA studies and clear impact analysis on how these businesses will be impacted should be provided. PLATE 4-4: COMMERCIAL CENTER ALONG THE PROPOSED ACCESS ROADS 53 i 4.1.8 EMPLOYMENT STATUS Agriculture is the main source of employment, particularly subsistence farming, and takes place on smallholdings. Only 0.5 percent of the population is engaged in commercial agriculture. Other important economic activities in the district include formal employment, which employs about 9 percent of the population, petty and formal trade, which employs 3.8 percent and 0.7 percent respectively, and the cottage industry that employs 2.3 percent. The remaining proportion of the population (83.7%) are unemployed and depend on family support and other miscellaneous activities. The opportunity of the project providing employment and to what magnitude needs to be established during the ESIA and the corresponding labor management plan reflective of the community dynamics developed to deal with potential risk arising from the employing the community members. 4.1.9 LAND TENURE Like in many rural districts of Uganda, land in rural West Nile is mainly communally owned and governed by the customary system of tenure ship which is characterized by patriarchal decision making. Under this tenure’s arrangement, land ownership is vested in the lineage and is allocated by a father to his sons, who in turn, assign it to their wives and children for cultivation. While in theory, it sounds as if no single individual or household owns the land under such tenure ship arrangement, in practice; the ownership is vested in the users. In every community, it is clear which portion of land belongs to which household, and usually, the head of the household is recognized as the defacto owner. For the refugee settlements, the land is owned by the OPM under the Refugee resettlement Programme. Upon the arrival of the refugees, each family is allocated a 30m x 30m plot of residential land, additionally; 50m x 50m plot for agriculture for interested individuals and farmer groups. This land is utilized by the refugees until their home countries are politically stable. 4.1.10 HEALTH AND HIV STATUS The prevalence of HIV varies geographically across Uganda, ranging from 3.1% in West Nile to 8.0% in Central Uganda. In Uganda, the prevalence of HIV among adults aged 15 to 64 is 6.2% (UPHIA, 2017), 7.6% among females, and 4.7% among males. This corresponds to approximately 1.2 million people aged 15 to 64 living with HIV in Uganda. HIV prevalence is higher among women living in urban areas (9.8%) than those in rural areas (6.7%) (UPHIA, 2017). The prevalence of HIV among children aged 0-14 is 0.5% which corresponds to approximately 95,000 children living with HIV in Uganda (UPHIA, 2017). Due to a huge influx of people, there are high chances of an increase in HIV prevalence arising from increased sexual encounters. Along the proposed road corridor, two (2) major health centers were recorded that exist along the project area including Londoga Health Centre and Loferi. However, there is a multitude of privately-owned medical facilities most of them situated in the trading centers. There are as well various health centers in all Refugee settlement areas both permanent and temporary/semi- permanent structures. These are provided in addition to government health centers in the host communities. Basic Health services provided in the Refugee settlements include OPD, IPD, HIV testing & counseling, maternal health, family planning, immunization among others with over 465 skilled health personnel per refugee settlement. The project area is associated with multiple disease outbreaks including Cholera in both host communities and refugee settlements. The most common disease symptoms reported in West Nile include respiratory infections (14.4%), malaria (21.2%), and diarrhea (7.3%) (UBOS 2013). 54 i PLATE 4-5: LEFORI HEALTH CENTRE III 4.1.11 COMMUNITY WATER SOURCES AND HYGIENE The project area receives only one rainy season a year which is followed by a long dry spell. The intense drought makes almost all ambient water sources dry out; hence water is a scarce resource both for agricultural and domestic use. Along the main road, a total of 35 boreholes and 18 taped water points were recorded. Most of the boreholes are located near schools and mosques while tapped water facilities are situated in Trading Centres and urbanized areas. During dry season most of the boreholes dry out leaving the communities with only one option of using open rivers. Within the refugee settlements, motorized water systems and boreholes (fitted with hand pumps) have been installed to serve the entire refugee population and the nearby host population. The overall water per capita per person is 17.6 liters per person per day based on total refugees registered. The average number of refugees per hygiene promoter is 1:513. General household latrine coverage is at 62.6 % (Bidibidi Settlement, 2019). PLATE 4-6: A WATER RESERVOIR AT KORO VILLAGE ALONG THE ACCESS ROAD 55 i Along the access roads to the refugee camps, the situation is no different. Common water sources are boreholes, and these are near the road. The existing alternative water sources are the open streams, and these are usually considered if the boreholes are at a distance, during the dry seasons or depending on the use of water especially for functions such as bricklaying. Given the lived experiences of the community especially on drying water sources, thorough studies on hydrology and the implications of extraction during the road construction process need to be done and appropriate mitigations or alternatives done. 4.1.12 SOCIAL SERVICES ALONG THE ACCESS ROUTES Several social services were observed along with the Lobule access to the refugee camp. These mainly included schools, health centers, religious places, public markets. Some of these facilities are likely to be affected by the proposed road upgrade since part of their land lies within the proposed Right Of way. 4.1.13 PHYSICAL CULTURAL RESOURCES WITHIN THE PROPOSED ROW During preliminary surveys, several potential archaeological materials were spotted for example concentration of decorated and undecorated pottery on the roadsides. These sites with pottery of various traditions will be deeply examined during detailed surveys with support from experts in the department of museums and monuments. Also, other resources that are definitive of the people’s culture were seen along the Lobule access route. A catholi c church at Lodonga and Community mosque at Waju III village were also observed. PLATE 4-7: COMMUNITY MOSQUE AT WAJU III VILLAGE GPS LOCATION N3.389740, E31.08835 4.1.14 INTERNATIONAL AGENCIES WORKING IN THE PROJECT AREA The refugee response in Uganda is delivered by a total of 107 partners, including 21 national NGOs (NNGO), 73 international NGOs (INGO), 11 UN agencies, and 2 bilateral development partners (only those participating in the refugee response operational coordination, but there also other development partners supporting refugee-hosting areas) (UNHCR 2, 2019). 56 i PLATE 4-8: SIGNAGE FOR REFUGEE-AGENCIES WORKING WITHIN THE PROJECT AREA 4.1.15 SETTLEMENT PATTERNS AND HOUSING The general settlement pattern along the project is dispersed. The linear and nucleated settlements happen in small trading centers (Plate 4-9). PLATE 4-9: A TYPICAL HOMESTEAD ALONG THE PROPOSED ROAD 57 i PLATE 4-10: MAKESHIFT HOUSE MADE OF POLYTHENE (LEFT), GRASS THATCHED ROOF AND BURNT BRICK WALL (MIDDLE) AND IRON SHEET ROOF AND BURNT BRICK WALL WITH CEMENT AT BASE CAMP BIDIBIDI 4.1.15.1 ENERGY SOURCES AND USES Observations made within the project area indicate that majority of the local community and refugees use fuelwood as a source of energy for cooking. Residents use solar power and LED bulbs for lighting, charging phones. Interactions with the community members reveal that majority of the families use kerosene lamps for lighting. It was also observed that there exist power lines, which supply electricity to the different amenities within the refugee camps as well as the trading centers in the host community. Based on this observation, the camp establishment within these areas and a separate impact assessment need to be done and the necessary risks identified. However, no power lines were observed along the Lobule access road to the camps. PLATE 4-11: SOLAR POWER PANELS USED BY THE RESIDENTS FOR LIGHTING AMONGST OTHER USES ALONG THE ACCESS ROAD TO BIDIBIDI SETTLEMENTS 58 i 4.2 PRELIMINARY ENVIRONMENTAL BASELINE 4.2.1 CLIMATE West Nile region (which covers districts including Arua, Yumbe, Koboko, and Moyo among others) receives a bi-modal rainfall pattern with average total rainfall of 1250-1267mm. The area experiences two seasonal rainfall periods, light rains between April and October. The wettest months are usually July-November with >120mm/month (Table 4-3). The period December-March is dry with less than 60mm/month. The rain is associated with the northern and southern movements of the intertropical front. The prevailing wind is from the east to the west with frequent windstorms during the dry season. The mean monthly evaporation ranges from 130mm-180mm. Areas along the Nile receive lesser rain (860mm) than the rest of the region (Arua, Yumbe, Moyo, and Koboko Local Governments) TABLE 4-2: MONTHLY RAINFALL TOTALS (MM) FOR 2013 Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec 7.9 17.3 110.3 126.0 75.6 115.6 298.2 284.2 153.4 195.5 151.4 126 Source: Department of Meteorology-Arua station (2013) Data and information from the project area District Development Plans (DDPs) indicate that in the dry season (December -March) temperatures remain high (above 450 C) in most parts of the region. While during the wet season especially in July-November, temperatures only fall up to 290C. 4.2.2 HYDROLOGY The project area lies in the Nile Basin with an endowment of various rivers and streams which are tributaries to the Albertine Nile, in the East. Bidibidi access loop crosses two seasonal streams and rivers which are flooded during heavy rains. These are Kenuke stream (Romogi sub-county and Bidi bid parish), Lodenga stream (Romogi Sub-county and Swinya parish Toporo village), and Kena stream at Kochi Sub County, Kochi Parish Lenga Village. PLATE 4-12: RIPARIAN VEGETATION ALONG LEYA STREAM Kenuke stream at GPS location N Lodenga stream at GPS location Kena stream at GPS location 3.49952, E 31.40074 N 3.52917, E 31.42218 N 3.55649, E 31.43306 59 i 4.2.3 GEOLOGY AND SOILS Most of West Nile is underlaid by rocks of the basement complex of Precambrian age which are composed largely of granite fascia grade rocks, which generally form enclaves in the gneiss complex (BIMCO, 2017). The project area is composed of largely sandy alluvial sediments, which are easily eroded, the soils in this area are characterized as Plinthosols-Leptosols complexes in Koboko and Yumbe while Moyo has Vertisols-Arenosols (FAO, 2018) towards Albert Nile. Soil fertility in the project area is classified as low-moderate and is declining due to nutrient mining and little or no replenishment of nutrients. 4.2.3.1 AVAILABILITY OF CONSTRUCTION MATERIALS One potential location of a quarry site was identified at Km98 and several active borrow pits along with KYM; The borrow pits are utilized during the routine road maintenance by respective UNRA stations. The borrow pits can supply marram demands to the proposed project. However, detailed material investigation during ESIA will provide adequate information on material sources and their distribution. 4.2.4 FLORAL DIVERSITY Originally, the vegetation in the project area composed of mixed woody savanna, which has greatly been reduced by subsistence farming that currently occupies about 90% of the project area. Pockets of natural and semi-natural vegetation still exist though widely scattered. The current vegetation is described as Woodlands, Open grasslands, thickets (dense and light), plantations, fallows, and riverine and streamlines. During detailed studies, species diversity, and distribution along each road section, auxiliary sites (Campsites, borrow areas, quarry sites among others) will be assessed and documented individually. All encountered individuals shall be subjected to the IUCN Redlist of species to assess their conservation status. Invasive species that are likely to suffocate native species along the existing roads will also be identified and their distribution mapped. Woodlots and tree plantations, as well as species of commercial value, will be documented during the detailed assessments. All protected areas will be identified and mapped out with aid of the lead agencies (National Forestry Authority and Uganda Wildlife Authority). 4.2.5 FAUNA DIVERSITY Human activities have interfered with the natural vegetation of the place and this has led to the development of secondary vegetation. This has led to the loss of fauna species associated with natural vegetation. A few species of small mammals such as Arvicanthus niloticus, Lemniscomys striatus, Lophromys flavopunctutus were recorded during the previous studies in the project area. Additionally, a total of 8 reptile species belonging to 7 families and 6 genera were recorded belonging to 2 Orders namely; Serpentes, and Sauria (UNRA, 2019). Additionally, an over-all of 13 amphibian species belonging to 6 families and 8 genera were recorded in the wetlands (UNRA, 2019). This implies that the area still holds substantial fauna diversity. During detailed studies for this project, species diversity (mammals, reptiles, birds, and amphibians) and distribution along each road section, auxiliary sites (Campsites, borrow areas, quarry sites among others) will be assessed and documented individually. All encountered individual species shall be subjected to the IUCN Redlist of species to assess their conservation status. Invasive species that are likely to suffocate the indigenous species along existing roads shall be as well identified. 60 i 5 CHAPTER 5 POTENTIAL ENVIRONMENTAL AND SOCIAL RISKS This section identifies potential environmental and social risks and impacts associated with the components of the anticipated project and the overall risk categorization of the project. Potential risks and impacts are considered for the three project phases i.e. pre-construction, construction, and post-construction phases. Impacts differ in type and character and hence in their significance on the receiving environment. 5.1 POSITIVE PROJECT IMPACTS (a) Income to material suppliers and contractors Road works will require sourcing of materials including earth materials such as gravel, rock, and sand among others which can only be sourced from the project area. Furthermore, the Public Procurement and Disposal of Assets Act regulations of 2014 requires that in cases where an international contractor is procured, at least 30% of the contract sum be subcontracted to Ugandan firms. Thus, the project will provide opportunities for local people to generate income through the supply of materials and subcontracting. (b) Creation of employment opportunities Opportunities for communities are expected to be in the form of temporary employment and business opportunities during the construction phase. This includes earning revenues from the sale of food and other consumable goods to project workers. It is expected that during the construction phase, several jobs will be available to the local population, mainly for casual workers (non-skilled) and semi-skilled labor. However, these employment opportunities are expected to be temporary and benefit the community in the short term. (c) Connectivity and alleviation of transport challenges Improving and maintaining access roads will provide improve connectivity amongst host communities, refugee areas, and the wider communities thereby enhancing trade, delivery, and access to social services like schools, hospitals, and markets. Consequentially, the project is anticipated to spur socio-economic development in the area due to enhance connectivity. 5.2 NEGATIVE IMPACTS 5.2.1 PRE-CONSTRUCTION IMPACTS AND RISKS The main risks during the pre-construction phase for all the three components of the project are anxiety and speculation, neglect of environmental and social aspects including their low consideration during the technical studies, or preparation of unsatisfactory environmental and social studies. Mitigation measures (i) Appropriate screening of the project components following the screening standards developed as part of this ESMF; (ii) Public stakeholder consultation during site selection and preparation and validation of technical studies; (iii) Regular supervision of sites by environmental and social experts; 61 i (iv) Development of appropriate terms of references for the required studies including environmental and social assessments and validation; (v) Working with local authorities especially during surveys and environment and social studies; and (vi) Selection and design of the access roads and associated facilities will consider site- specific risks such as proximity to homesteads and communities, water bodies, forests, and proneness to flooding and erosion among others. 5.2.2 CONSTRUCTION IMPACTS AND RISKS 5.2.2.1 ACCESS ROADS TO REFUGEE SETTLEMENTS (a) Site clearance impacts Construction of roads can potentially disturb the landscape around the project area, through site clearance, excavation, establishing areas for storage of equipment and construction materials, establishing accommodation and parking facilities and establishment of temporary diversions access roads. Such works can have an impact on the integrity of the environmental settings around the project area. Impact mitigation (i) Ensuring that works are kept to the minimum and restricted to the sites designated for the project; and (ii) The contractors should protect the topsoil excavated for purposes of restoration and re- vegetation of the sites after works. This aims to allow for normal re-vegetation and prevention of any subsequent erosion and siltation. (b) Cut to spoil materials The excavation works for roads generate volumes of cut to spoil materials which will need to be disposed of the site. Besides, the cut to spoil materials generate loose soils that can silt the water sources. Impact mitigation (i) Contractors will lease dumpsites for stockpiling of the cut to spoil materials. The sites should be sited outside water sources or watercourses; (ii) Environmental and social experts of the project will guide on the requirements for the selection of spoil site selection before negotiations for payments to the landlords are done by the contractor. (c) The potential loss of property and disruption of livelihood Since the widths of the access roads range between 5m to 8m, and that roads will be improved and maintained to enhance road safety, also that civil works activities will require workspace, then construction activities might interfere with some properties on either side including houses and subsistence agricultural lands. There are several roadside businesses such as saloons, clinics, kiosks, and retail trade among others which might be disrupted during construction. Disruption of livelihood is temporary, while the potential loss of property is permanent since road safety is expected throughout the life of the roads. 62 i Impact mitigation (i) During ESIA, meaningful stakeholder consultation will be undertaken to determine the direct zone of impact. Besides, preparation of a RAP will guide resettlement and compensation; and (ii) Optimize the designs and as much as possible, to operate within the existing alignment of each access road. (d) Impacts associated with the influx of people Construction activities can potentially cause an influx of people in an area in a short time in the quest for employment opportunities. The influx of people is usually higher in instances where the local population is not available to provide the required labor. The project area already experiences impacts of population influx due to high population density in the refugee settlements. The likely impacts associated with an influx of people include; increased crime rates, drug abuse, and prostitution, which can increase the risk of spread of HIV/AIDS and other communicable diseases. Impact mitigation (i) Appropriate consultation and sensitization of the local population to take up the available opportunities on the project; (ii) Development and implementation of a project worker’s code of conduct to regulate the behavior and conduct of workers while working on the project; (iii) Development and implementation of appropriate environmental and social management plans such as the gender action plan, HIV/AIDS plan and security management plan among others; and (iv) Engagement of a service provider for HIV/AIDS awareness creation and testing among others. (e) Conflict over social services and resources A potential increase in the human population creates additional demand for social services such as health, security, and resources such as water and energy. Some of the resources such as water and fuelwood are already under pressure and the project area is already considered water- stressed. Therefore, additional demand could trigger conflicts. Impact mitigation measures (iii) Provide complementary and required services such as health services on the project. For instance, the project will have its security, and clinic to provide emergencies and other security and health service needs to project workers and the community before any referrals are made; (iv) Acquire permits for water abstraction and monitor compliance with conditions of the permit; and (v) The project will not use fuelwood. Importantly, environmental restoration, including tree planting will be done during project implementation. 63 i (f) Potential of Sexual Assault and Exploitation (SEA), Gender-Based Violence (GBV) and Violence Against Children (VAC) Sexual Exploitation and Abuse (SEA) and gender-based violence (SEA and GBV) and Violence Against Children (VAC) are among the most serious protection concerns and priorities in Uganda refugee areas. It is manifested in various forms including rape, sexual assault, domestic violence, early and forced marriages, child labour, denial of resources, and harassment. For many reasons, SEA, GBV, and VAC incidents remain seriously underreported. The project area already experiences high incidents of SEA and GBV. Increased activities in the area might propel the possibility of SEA, GBV, and VAC. Mitigation measures (i) Engagement of a service provider for HIV/AIDS awareness creation and testing, GBV and VAC prevention among others; (ii) Regular briefing and sensitization of project workers and the members of the community about the social laws and standards; and (iii) As much as possible, the project will use the existing structures including the sub-county and district Community Development Officers, probation officer and Child and Labor Protection Unit of the Police; the Ministry of Gender Labor and Social Development to minimize the risks. (g) Construction dust, noise, vibration, and waste Dust and noise nuisance, odour from asphalt plant, increase in vibration and waste could result from operation of earthmoving equipment during construction works. Improper management of construction waste is a common impact on most infrastructure projects in Uganda and is a risk on this project. Impact mitigation (i) Dust suppression through water sprinkling, and regulation of traffic speeds; (ii) Routine and periodic maintenance of machinery to control noise generation; (iii) Sitting of asphalt plant 300 meters downwind of settlements; (iv) Approved work methods to reduce vibrations; and (v) Sorting, storage, and disposal of the waste following an appropriate waste management plan. (f) Occupational health and safety Road works may have a range of occupational health and safety risks with the potential to cause serious injury to workers and members of the community. The risks include burns from welding and other hot works, falls from working at heights or wet surfaces, electrocution, excessive noise and body vibration, and injury from flying debris among others. Impact mitigation (i) All workers will be provided with appropriate health and safety training and personal protective equipment; (ii) Each construction activity will be carried out following the appropriate and approved method statement; (iii) Appropriate occupational health and safety plan will be prepared for approval and implemented to guide all operations of the project; and 64 i (iv) Regular supervision and monitoring of the project by a competent health and safety expert will reduce the risk. (v) Bolstering CSO consultations to detect instances of exclusion or discrimination; and (vi) Implementation of the Inclusion and Non-discrimination Management Plan (INMP) annexed to this report. 5.2.2.2 KYM PROJECT ASSOCIATED FACILITIES (a) Impacts and risks of quarry establishment and operations The establishment of quarries is associated with vegetation clearance, blasting and crushing of the rock and haulage of rock material to the determined road sections. Potential risks include loss of vegetation, damage to property especially houses in the vicinity of the rock due to the vibration generated as a result of rock blasting, flying rock, generation of dust nuisance due to rock crushing, vibration and noise generation, occupational health and safety risks, accidents and generation of waste among others. These are high-risk impacts due to the magnitude of the works for quarry operations. Impact mitigations (i) While four sites were identified in the ESIA for KYM, confirmation of sites for quarries will involve meaningful stakeholder engagement during ESIA for quarries and will be as far from people and communities as possible; (ii) Ensuring that works are kept to the minimum and restricted to the sites designated for the quarry works; (iii) Rock blasting will only be carried out by a licensed blaster, and ensure that the approved method statement for rock blasting is implemented, including giving community members adequate warning before blasting; (iv) Undertake a RAP for the quarry area and ensure compensation and resettlement of affected persons before the commencement of quarry works. This will include rehabilitation of damaged structures after completion of quarry works and during decommission and restoration before site closure; (v) Occupational health and safety training for all quarry workers, and provision of appropriate personal protective equipment to enhance safety at the site; (vi) Hiring of qualified plant operators and ensuring their regular training to avoid and minimize potential accidents at the site; (vii) Development and implementation of an appropriate waste management plan; and (viii) Adequate restoration of the quarry site following the national requirements and the ESSs of the Bank’s ESF. (b) Impacts and risks of establishing and operating temporary campsites To manage personnel and logistical needs, the contractor will require temporary facilities to provide office space for the general administration of the project, accommodation for workers, and equipment storage area. This can result in risks of alteration of the landscape to facilitate the establishment of camps, generation, and management of domestic and hazardous waste, contamination of soils, and water sources among others. Project camps are also associated with bulk fuel storage and dispensing, vehicle maintenance areas and workshops, generator houses, and vehicle wash bays with the potential to result in fuel spillages and generation of wastewater that could contaminate land and water bodies. 65 i Impact mitigation (i) Campsites will be subjected to an independent ESIA where various campsite management plans will be developed. Such plans include; Waste Management Plan, Procedures for managing Security Personnel deployed at the campsites, Health and Safety Plan, and Decommissioning Plan; (ii) All potential campsites will be located outside Refugee Settlement Areas and with restricted access from communities; (iii) Campsite and yard shall have adequate sanitary facilities, gender-segregated for the workforce; (iv) The contractor shall provide clean water at campsites without compromising the integrity of community water sources and ensure that necessary water abstraction permits are obtained WRMD; (v) Decommissioning and restoration of the campsites will be done after the end of the project. A proper decommissioning plan shall be developed during the ESIA for campsites. During decommissioning, the contractor shall remove all structures and restore sites to pre- project conditions. Furthermore, exposed areas shall be replanted with indigenous trees or vegetation species. (c) Risks of borrow areas Road construction creates borrow pits that degrade the environment through the extraction of fill materials for embankments. The borrow pits if poorly restored can be breeding sites for malaria- causing mosquitoes and other water-based vectors. Furthermore, the establishment of borrow areas is associated with vegetation loss, alteration of landscapes, and occupational health and safety among others. Impact mitigations (i) Establishment of borrow areas will follow recommendations of their respective environmental and social assessment; (ii) Operations will follow the approved method statement for operating borrow areas; (iii) Deep borrow areas should be avoided but where unavoidable, the contractor shall provide fencing to prevent children, livestock and wild animals from falling into the borrow areas; (iv) Occupational health and safety training and appropriate personal protective equipment will be given to all workers to minimize risks associated with occupational health and safety; and (v) Appropriate landscaping and restoration of the site (using cut to waste material) in accordance with the national requirements and those of the World Bank. 5.2.3 POST-CONSTRUCTION IMPACTS AND RISKS Potential risks and impacts during this phase are associated with operational and maintenance activities of the road such as pothole patching and roadside vegetation clearance to enhance road safety. Risks include ‘new road effect’, road accidents and spread of HIV/AIDS, and other communicable diseases especially due to the increase in the cross-border traffic. 66 i Impact mitigations (i) Road safety campaigns during both the construction and post-construction phases of the project; and (ii) Continued community HIV/AIDS sensitization programs in the project area to complement the efforts already existing in the area. 5.2.4 RISK OF DISCRIMINATION AGAINST VULNERABLE OR MARGINALIZED INDIVIDUALS OR GROUPS This risk is relevant for all implementation phases: Pre-construction, Construction and Post- construction Phases. The risk of discrimination refers to vulnerable or marginalized individuals or groups who, by virtue of, for example, their age, gender, ethnicity, religion, physical, mental or other disability, social, civic or health status, economic disadvantages or indigenous status, and/or dependence on unique natural resources, may be more likely to be adversely affected by the project impacts and/or more limited than others in their ability to take advantage of a project’s benefits. Such an individual/group is also more likely to be excluded from/unable to participate fully in the mainstream consultation process and as such may require specific measures and/or assistance to do so. Discrimination risk criteria: To help determine the risk of discrimination on the Roads and Bridges in the Refugee Hosting Districts/Koboko-Yumbe- Moyo Road Corridor, the following five risk criteria were applied: (i) Presence of vulnerable or marginalized individuals or groups (e.g., refugees) in the project area. (ii) Higher concentration of vulnerable or marginalized individuals or groups in the project area (mainly urban areas). (iii) Project benefits directly relevant to vulnerable or marginalized individuals or groups (i.e., health, education, or service providers). (iv) Reported incidents of violence against vulnerable or marginalized individuals or groups in the project area. (v) Project activities conducive to discrimination or harassment (i.e., employment, application process for services, in-person receipt of services). Impact mitigation The mitigation measures outlined below are proposed to manage the risks of exclusion and discrimination. These mitigations will be implemented by the Project Implementation Unit with the support of an Enhanced Implementation Support and Monitoring (EISM) firm or agency to be hired by the World Bank and IFC with a strong track record of providing implementation support and monitoring project performance and knowledge of the Ugandan context. This entity is expected to work with NGO/CSOs and country-based development partners in implementing these mitigation measures. 67 i Specifically, the firm will: (i) Assist project teams to enhance existing project-level grievance mechanisms and develop and operate an independent mechanism that would identify, manage, and monitor cases of discrimination. (ii) Assist the WB in strengthening the capacity of Project Implementation Units, workers, and contractors, subcontractors, and service providers. (iii) Ensure contracts, Codes of Conduct, hiring procedures, whistle-blower protection protocols, and other measures, as needed, are in place to require remediation of cases of discrimination. (iv) Develop a strong data management system and process that secures personal data and information in a manner that is safe, ethical, and confidential. (v) Where cases of discrimination are reported through the above mechanism, the EISM firm will report the grievances to the Bank, propose appropriate remediation, and follow up on agreed actions to resolve the case. (vi) Support the WB/IFC to monitor the efficacy of the agreed measures to mitigate the impacts on WB/IFC financed operations. A more detailed explanation of the enhanced implementation support this firm will provide is found in Annex 12. Mitigation measures to be implemented by PIUs with the support from the entity listed above include: Management of project social and environmental risks and impacts (i) Training on non-discrimination for bank staff, clients, and communities through CSOs. (ii) Bolstering consultations to detect cases of discrimination and establishing an independently run hotline to register project-related complaints. (iii) Facilitating the monitoring of implementation of all measures to ensure non-discrimination under the project supported by the EISM firm to ensure all measures are implemented and all reported incidents are shared with the Bank and addressed in a timely fashion. Labor and Working Conditions (i) Training on non-discrimination of vulnerable or marginalized individuals or groups for clients (e.g., contractors and sub-contractors) and mobilization of communities. (ii) Reviewing all Project contracts, Codes of Conducts, human resource procedures and protocols, whistle-blower protection protocols, and other measures, as needed, to ensure they have a requirement regarding remediation of cases of discrimination. (iii) Reviewing the human resource procedures and protocols, whistle blower protections and other relevant policies and protocols to ensure appropriate principles of non-discrimination are included. (iv) Including principles of non-discrimination in enhanced hiring procedures (LMP e.g., TORs, advertisements). Community health, safety, and security (i) Providing training and Codes of Conduct for project workers and contractors on non- discrimination. 68 i Stakeholder Engagement (i) Assessing non-discrimination in consultations, building on existing relationships with NGOs/CSOs and DPs (UNHRC) working on GBV/SEA/SH issues. (ii) Enhancing access to GRMs (hot-line, e-GRM), including in refugee and host communities, to facilitate reporting of incidents of discrimination and exclusion. (iii) Enhancing the project Grievance Redress Mechanism to include an effective, safe, ethical and confidential referral pathway to ensure that vulnerable or marginalized individuals or groups are comfortable reporting incidents of discrimination or exclusion and that such grievances are addressed quickly, efficiently and appropriately. (iv) Updating the Stakeholder Engagement Plan that will include communications and engagements to involve NGOs and CSOs and ensuring meaningful and appropriate consultations with vulnerable or marginalized individuals or groups. 5.3 RISK CLASSIFICATION 5.3.1 PROJECT COMPONENTS The Bank’s ESF categories all projects into one of four classifications i.e, high risk, substantial risk, moderate risk, or low risk. Risk categorization has been done for each project component depending on the risks associated with its respective activities. Access roads have moderate to low risks considering the limited activities that will be implemented. However, the project associated facilities especially quarries and campsites are expected to have high and substantial risks respectively. Quarries are associated with simultaneous extensive operations especially rock blasting and crushing, while campsites are associated with waste generation and social interaction among project staff and communities. Other associated facilities such as borrow areas are considered to have low risks since they are associated with limited operations. The CERC component is considered to have moderate to low risk since most of the activities involved are repairs of the road and clearing of debris. The overall categorization of project risk has considered the magnitude of the activities expected during this project, location, and scale of the project and the capacity of the proposed structure for the management of the project. Noting that the NEA 2019 provides clearer guidance on environmental and social management and another legal and institutional arrangement for the implementation of the project, the overall risk is considered Substantial. 5.3.2 UNEXPLODED ORDINANCES AND SECURITY CONSIDERATIONS The project area once experienced armed conflict and no doubt, it was confronted with the threat posed by landmines and explosive hazards, which include unexploded or abandoned ordnance including Explosive Remains of War (ERW) as well as Improvised Explosive Devices (IEDs). It is important that, areas of the project could have risks of these and impede smooth implementation of the project as well as access to its associated sites. During the ESIA for KYM it was determined that the region went through UNDP De-mining programme, between 2006 and 2012, and the areas were cleared of landmines to the extent possible. Furthermore, for the last 15 years, Koboko-Yumbe-Moyo road has undergone routine and periodic mechanized maintenance using heavy equipment and there have been no incidents of UXOs encountered or reported in the area. 69 i However, while the proposed KYM project area was cleared of UXOs to the extent possible, the campsites, borrow areas, stone quarries, asphalt plant sites, access roads and other ancillary facilities shall be scanned for UXOs, other abandoned ordinances and Improvised Explosive Devices (IEDs). UNRA will corroborate with the Ministries of Internal Affairs, and Defence and Veteran Affairs who have established protocols in dealing with UXOs and IEDs for the components of this ESMF. At the time of implement of implementation UNRA will guided the Contractor during the preparation of Contractor’s Occupational Health and Safety Plan and ensure that the Plan is in line with established protocols. 5.3.3 RISKS ASSOCIATED WITH CORONAVIRUS DISEASE (COVID-19) The World Health Organisation declared COVID-19 a global pandemic after assessing both its alarming levels of spread and severity, and the alarming levels of inaction. Consequentially, WHO issued various measures to prevent the spread of the virus, and these measures have been adopted worldwide. In Uganda, the government has enforced a complete lockdown, restricted movements and social distancing guidelines among others. While a number of countries in Asia and Europe have stated to ease the conditions and allowed restricted human interaction, WHO has warned the virus might persist and become a way of life, thus requiring Standard Operating Procedure (SOPs) throughout. Therefore, nearly all aspects of the project, including preparation, execution and completion will be affected. More so, project mobilization and execution activities will have to be executed at a slower rate, than usual, putting into consideration of SOPs and guidelines from the Ministry of Health guidelines and directives from the President of Republic of Uganda. These will ultimately affect the entire project execution period. Therefore, in order to ensure project implementation is not greatly affected the following shall apply: (i) The contractor will develop SOPs for managing the spread of Covid-19 during project execution and submit them for the approval of the Supervision Engineer before implementation; (ii) The project will consider encamping the workers during project implementation and ensure that all SOPs as determined by WHO and the Ministry of Health are applied in the camps. (iii) Provision of appropriate Personal Protective Equipment (PPE) shall be required for all project personnel including workers and visitors; (iv) Electronic means of consulting stakeholders, whenever possible, is encouraged whenever. At community Level stakeholders, telephone communication is encouraged. One on one engagements for the PAPs while observing social distance and adhering to PPE wearing is encouraged. (v) The team carrying out engagements within the communities on one-on-one basis will be to provide appropriate PPE for the number of people they intend to meet. (vi) To safeguard against community infections, all workers and visitors accessing the camps shall be subjected to rapid covid-19 tests; (vii) The project shall adopt rapid testing of workers for covid-19 on a regular basis; and (viii) Corroboration with the Ministry of Health will be key in ensuring that the potential impact of COVID-19 on the project is minimized as much as possible. 70 i 6 CHAPTER 6 ENVIRONMENTAL AND SOCIAL SCREENING, REVIEW AND APPROVAL 6.1 INTRODUCTION UNRA has details about the location and condition of the access roads to refugee settlements and project KYM project associated facilities. However, information about the design specifications is not yet available. The design specifications will be confirmed at a later stage after engaging a Contractor for the main Civil works of KYM road. Similarly, when UNRA indicates the activities, which may trigger the implementation of the CERC, there is uncertainty about when the implementation of those activities may be triggered and the scale to which they will be implemented. Therefore, an appropriate environment and social assessment will be required for each component. The project component activities will undergo an environment and social impact assessment process. The process entails screening, scoping, detailed ESIA studies, review, and decision making as summarized in Figure 6-1 and expounded on in subsequent sections. FIGURE 6-1: EIA PROCESS FOR UGANDA Source: NEMA, 1997. 71 i 6.2 SCREENING 6.2.1 ACCESS ROADS TO REFUGEE SETTLEMENTS The roads to refugee settlements are community access roads, which, according to schedule 4 (i) of the National Environment Act 2019 (NEA), are already screened and categorized to require Project Briefs (PBs) and therefore do not have to be screened further. However, much as the NEA has categorized access roads to require BPs, UNRA is not yet certain of the design standards. Consequently, for the access roads to Refugee Settlements, the Contractor will subject them to environmental, Social, Health, and safety screening which will categorize them and confirm the level of assessment using screening form attached in Annex 3; which expounds the criteria for location, acquisition, assessment and basic guidelines for operations and other support facilities. The Contractor will examine the environment, social, health, and safety impacts of the available alternatives in consultation with the relevant stakeholders and integrate their views in the final design. Before approving level of assessment proposed by the Contractor, UNRA shall obtain clearance from the World Bank. The screening process shall involve; (i) Desk review of; the designs, project description, and any other relevant information and determine field requirements. Once completed, the screening will facilitate the identification of the impacts and risks associated with access roads. , applicable category of the access roads (High risk, substantial, moderate or low), the applicable World Bank Environment and Social Standards as well as the nature of management plans (such as ESMP, LMP, GRM, RAP, etc.) to prepare. (ii) Review and Approval; The UNRA Environment and Social Safeguards staff attached to the project will review and approve the risk categorization before authorizing the Contractor to proceed with further assessments. In case the screening and categorization of access roads’ related activities place them into the high-risk category, the subsequent assessments and implementation will be carried out in accordance with the ESSs. In case the risk of the access roads activities is categorized as, substantial, Moderate or Low, subsequent assessment and implementation will be in accordance with the National Environment Act 2019, the EIA Regulations, any other applicable national law, as well as requirements of the ESSs that the Bank may find relevant. The Contractor or their service providers will highlight the access roads’ class ification and the justification in all relevant documentation. The ESIA team KYM road assessed UNRA’s capacity to supervise overall project implementation and found the need to engage project specific personnel to oversee preparation and implementation of safeguards instruments. The proposed project personnel within the KYM ESIA shall be part of the screening of the access roads. Before UNRA’s approval, safeguards instruments prepared by the Contractor will be subjected to World Bank review and clearance. 6.2.2 CERC ACTVITITES Any activity, which may be confirmed for implementation under the CERC, will be screened using the screening form in Annex 3. The process of screening activities under the CERC will be like that provided under Section 6.2. Depending on sensitivity, issues, potential impacts, and risks from screening results the Contractor shall prepare ESS instruments such as ESIA/ESMP and Abbreviated RAP where necessary. 72 i 6.2.3 ASSOCIATED FACILITIES (CAMPS, QUARRIES AND BORROW AREAS) According to the World Bank ESF, Associated Facilities refer to “facilities or activities that are not funded as part of the project and are: (a) directly and significantly related to the project; (b) carried out, or planned to be carried out, contemporaneously with the project; and (c) Necessary for the project to be viable and would not have been constructed, expanded or conducted if the project did not exist”. Furthermore, the ESF also stipulates that; “where a common approach has been agreed for the project, the common approach will apply to th e Associated Facilities”. As noted under section 1.2 the quarry, borrow areas, and campsites are directly associated with the KYM road project. Therefore, a common approach that has been agreed for KYM under the ESIA shall apply to all the associated facilities and their subcomponents. 6.3 SCOPING The environmental and social assessment will start with a scoping exercise for project components that require ESIAs. The scoping of the issues will consider all relevant environmental and social risks and impacts of the associated facilities and their subcomponents. As part of scoping, the Contractor will do the following: (i) Hire of key experts (Contractor’s Environment, Social Health, and Safety staff as well as Engineers) with approval from UNRA (ii) Identify sites for associated facilities (iii) Acquire Land for Associated facilities (see section 6.7) (iv) Develop Terms of Reference for engaging for RAP and ESIA Consultants, (v) Engage consultants (vi) Undertake preliminary E&S assessments and prepare the scoping report (Annex 5 which elaborates the contents of scoping report). Other activities which may be done during the scoping and detailed assessments include; (i) Stakeholder Engagement and Information Disclosure As part of the ESIA process, the Contractor will engage with, and provide enough information to stakeholders regarding operations of the associated facilities throughout the life project. Stakeholder engagement and information disclosure shall be in line with the steps spelled out in Chapter 7 of this ESMF. (ii) Hazard or Risk Assessment During scoping, the Contractor will determine whether any activities related to the associated facilities will involve the use of inflammable, explosive, reactive, and toxic materials in quantities above a specified threshold level. The Ministry of Energy and Mineral Development, as well as the Ministry of internal Affairs, will be consulted during scoping, to determine the thresholds and the need for a detailed Hazard or Risk Assessment. (iii) Alternatives Analysis For each associated facility, the Contractor will analyze alternatives. The purpose of the analysis will be to compare possible options to the proposed sites, equipment, strategy, and procedures. As part of this analysis, the “without project” scenario will be assessed as well. 73 i (iv) Cumulative Impact Assessment During the ESIA, the Contractor will assess the cumulative impacts of the main project (KYM) in line with impacts from associated facilities as well as any other projects within the vicinity. Impacts from any other previous, current, or planned projects, including unplanned but predictable activities supported by the project that may occur later or at a different location (WB ESF, 2018). (v) Social and Conflict Analysis As part of the ESIA process for associated facilities, the Contractor shall conduct a Social and Conflict Analysis about similar assessments under the ESIA for KYM road. The purpose of this assessment will be to determine whether there are any existing tensions and inequality in the project area. Depending on the findings, and consultations with relevant stakeholders, the Contractor will develop appropriate mitigation measures and include them in the ESIA. 6.4 ENVIRONMENTAL AND SOCIAL IMPACT STUDY The environmental and social impact study shall be guided by the Terms of Reference as developed during the scoping process. In preparing ESIAs for each associated facility, the Contractor will follow the guidance provided under the National Environment Act 2019, the EIA Regulations, and the ESF. The sections reflected in ESS1-Annex 1 (D) shall be included in each EIA. In case a contractor prefers to use an existing site, an environmental and social audit shall be required in accordance with the Bank’s ESF as part of the ESIA process and will indicate the cost of implementing corrective measures against a selection of a new site. The Contractor will use the audit to define the type and degree of environmental and social issues associated with the existing site, and identify any related legacy issues, provide justification for site selection, as well as prescribe and rationalize applicable mitigation actions. 6.4.1 ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN (ESMP) Following the assessment of impacts and risks, the Contractor will prepare an Environmental and Social Management Plan (ESMP) using a template provided in Annex 5. The ESMP will specify the activities and provide the procedures, which the Contractor, after converting the ESMP into C-ESMP, will apply it during the implementation and operation of the quarry, campsites, and borrow areas and other support facilities to eliminate, minimize or counterbalance environmental and social impacts; or to reduce them to tolerable levels. Given the underlying social risks in the project area, as well as the impacts, which may emanate from activities of the associated facilities, the Contractor will have to prepare other Management Plans. Where the Management Plans have been prepared as part of the ESIA for KYM, the Contractor will identify elements that are specific to associated facilities and prepare tailored plans. The Management Plans which may include: (i) Labour Management Plan (ii) GBV-SEA Management Plan (iii) Traffic Management Plan (iv) Emergency Response Plan (v) Stakeholder Engagement Plan (vi) Chance Finds Procedure (vii) Waste Management Plans, among others. 74 i The Environment and Social Management Plans developed in accordance with this ESMF will contain specific provisions on the management of non-discrimination of vulnerable or marginalized individuals or groups. These provisions are consistent with recent GOU measures to ensure non-discrimination in accordance with Article 21, including Circulars issued by the GOU included in Annex 11. The purpose and objective of these provisions is to ensure that in accordance with World Bank policies and Article 21 of the Ugandan Constitution: (i) project impacts do not fall disproportionately on individuals and groups who, because of their particular circumstances, may be vulnerable or marginalized; (ii) there is no prejudice or discrimination toward individuals or groups in providing access to development resources and project benefits, particularly in the case of those who may be vulnerable or marginalized; (iii) Bank-financed operations are implemented through their respective life cycles in a manner that is aligned with the non-discrimination principles embedded in applicable Bank requirements. To facilitate the implementation of the provisions for non-discrimination that cover vulnerable or marginalized individuals or groups, the Project Operation Manual (POM) will be updated to specify how the mitigation measures will be implemented. The POM will clearly lay out how the project will ensure non-discrimination of vulnerable or marginalized individuals or groups. Mitigation measures to manage the risk of discrimination against vulnerable or marginalized individuals or groups during project implementation are described in section 5.2.4. Stakeholder engagement and the instruments updated to include mitigation measures are described in section 7.5 (Information Dissemination and Disclosure). The Project Operation Manual is described in section 8.4. 6.4.2 MONITORING AND REPORTING While UNRA will put in place the necessary institutional arrangements, systems, resources, and personnel to supervise all project activities, including those of associated facilities, the Contractor will specify own arrangements for the implementation of the ESMP. Both UNRA and Contractor monitoring activities will be reflected in the ESMP. As part of the institutional arrangements, UNRA will assign staff to supervise the contractor and nominate service providers (NGOs) for specialized activities such as those related to HIV/AIDS and GBV-SEA. The frequency of monitoring and reporting to the World Bank will depend on the level of the Contractor’s compliance with ESHS requirements in the Contract. This is further clarified in Chapter 8 and 9. To effectively manage the Contractor, UNRA will include contract clauses that require the contractor, their subcontractors, and other service providers to implement ESMP for KYM, associated facilities, and other Management Plans. The contractor will be required to work in line with the conditions of the ESSs. UNRA will supervise the contractor effectively and require that they conform to minimum requirements, which will be spelled out in the Contract in accordance with ESS1—Annex 3. In addition, the World Bank will provide support for enhanced monitoring of the risk of exclusion or discrimination for individuals or groups who may be vulnerable or marginalized. Further details of this support are found at Annex 12. 75 i 6.5 REVIEW AND DECISION-MAKING UNRA will review all ESHS documents (including TORs, Scoping reports, Project Briefs, ESIAs, Study Methodologies, etc.) and confirm adherence to World Bank ESSs, national requirements, and institutional guidelines. UNRA will send all ESIAs and related reports to World Bank for a “No Objection” before giving clearance to the Contractor to submit to NEMA or any other Lead Agency. For TORs, Project Briefs, Management Plans and Study methodologies, which may not require a “No Objection” from World Bank, the Con tractor, will first get UNRA clearance before submission to NEMA, or any other Lead Agency. For all permits, consents, and certificates, the Contractor will display the conditions on a noticeboard in a public place. 6.6 DISCLOSURE Information disclosure is key throughout the ESIA process indented to provide information about the project to obtain views and give feedback. During the final stages of the ESIA, the information in the ESIS will be communicated to the stakeholders through different channels direct sharing of reports, mass media, community meetings, and the UNRA website, among others. These are further elaborated in Chapter 7. 6.7 LAND ACQUISITION AND INVOLUNTARY RESETTLEMENTS 6.7.1 QUARRY Given the nature of activities associated with Quarry establishment and operations as well as the associated ESHS risks, the Contractor will have to acquire land for its operations. For the safety of community members around the quarry, the Contractor will need to relocate the residents within the 500-meter buffer zone or as guided by NEMA. The relocation will be either temporary or permanent depending on the magnitude of impact and will be guided by a Resettlement Action Plan (RAP). The preparation of the RAP will conform to the requirements under ESS5.n line with ESS5, each affected person in the 500-meter buffer zone will be assessed individually. The Contractor will hire certified Valuers and Surveyors to survey the affected land and compute compensation entitlements. As part of the RAP process, the Contractor will identify and assess all affected people. The assessment shall be done utilizing a thorough socio-economic census, interviews, and focused group discussions with the affected people. From there, the people who require special assistance shall be identified and the appropriate support packages proposed. Vulnerability assistance and livelihood restoration will be an integral part of the compensation package and will be reflected in the overall RAP budget. The RAP process will be independent of the process of acquisition of stone quarry. The Contractor will first acquire the quarry site and obtain all the necessary documentation and agreements before the preparation of the RAP. The RAP will focus on residents in the 500-meter radius around the stone quarry. As part of the ESIA for the Quarry, the Contractor will scope the activities for each phase of acquisition, operations and decommissioning; assess the impacts and determine the scale and duration of land acquisition. In case in the scope it is determined that the quarry will have to remain active beyond Defects Liability Period (one year after substantial completion), the Contractor will document in the respective RAP the time of occupancy of the affected land and compensate landowners in line with the ESS5. UNRA shall include clauses in the Contract to compel the Contractor decommission the Quarry upon completion of extraction of required rock for KYM; and in line with NEMA approval conditions. In situations where there may be need for a project within the vicinity of KYM to extract rock from the same quarry, the Contractor will be required to meet their RAP and restoration obligations in line with NEMA approval conditions and Contract Provisions. The Contractor will be required to handover the site as per the acquisition consents 76 i and approvals. Subsequent acquisition and assessment of the same quarry site to support activities of another project will be independent of KYM project activities. 6.7.2 CAMPSITES AND BORROW AREAS Given the fact that the Contractor may establish campsites and borrow areas on private land, it will be a requirement that they comply with the contract conditions. The contractor will be required under the authorization of the Supervision Consultant, to obtain all the necessary consents from landowners and process statutory permits before establishing campsites and borrow areas. The Contractor should implement all measures possible to protect the surrounding communities from potential hazards and risks associated with the establishment and operation of campsites, including erosion control and containment of hazardous materials. 77 i 7 CHAPTER 7 STAKEHOLDER CONSULTATIONS AND PUBLIC DISCLOSURE 7.1 INTRODUCTION ESS 10 of the Bank’s ESF provides for Stakeholder Engagement and Information Disclosure. The Standard recognizes the importance of open and transparent engagement between the Borrower/project implementer and project stakeholders as an essential element of good international practice. The consultation process gives stakeholders and Project Affected Persons an opportunity to learn about the project, raise concerns, understand the potential effects, and comment on the project design as well as on the reports that are produced during each phase. Therefore, meaningful stakeholder engagement can improve the environmental and social sustainability of projects, enhance project acceptance, and make a significant contribution to successful project design and implementation. 7.2 INITIAL CONSULTATIONS During preparation on this ESMF, consultations were carried out through telephone calls, teleconferencing and emails since it was not possible to either travel or meet physically due to measures in place to prevent the spread of COVID-19. The following agencies were consulted: Office of the Prime Minster (OPM), United Nations High Commission for Refugees (UNHCR), Uganda National Roads Authority (UNRA), Districts of Koboko, Yumbe and Moyo (Annex 10) and key issues raised include: (i) The project should have appropriate measures to control and manage human influx related to labour by encouraging employment of locals in the project affected communities; (ii) Overdesigning the access roads may result into failure to get adequate funds, since government is already constrained. UNRA, World Bank, OPM and Ministry of Finance should have an agreed position before concluding the design specifications for the access roads. This is key in ensuring that the appropriate designs are developed and implemented at minimum cost; (iii) Failure to upgrade the access roads to refuge settlements to the desired standard: Stakeholders such as the OPM prefers that all roads leading to refugee settlements are designed to Bituminous Standard, maintaining these roads as gravel may lead to breakdown in the food supply chain, thus resulting into failure of OPM to deliver on its mandate. A breakdown in the supply chain exposes refugees to more vulnerability. OPM and humanitarian agencies have always faced poor road condition challenges in accessing refugee settlements. UNRA and World Bank need to look into this risk seriously; (iv) Inter-camp connectivity is a major challenge in the project area since there are not reliable connector access roads. Camps such as Bidibidi were greenfield and cross several sub- counties. Therefore, to realise benefits of this project, opening up of accesses in the camps needs to be considered; (v) Quick Access to Emergency Funds for implementation of the CERC. There are uncertainties in respects to the timeframe it requires the Ministry of Finance, Planning and Economic Development (MoFPED) to process the Emergency funds for implementation of the CERC activities. However, it was noted that the OPM has funding that could be utilised in case an emergency is declared; (vi) Limited involvement of stakeholders during preparation of projects. Therefore, UNRA and its contractors need to do a stakeholder analysis and make appropriate consultation and involvement during the projects’ cycle; 78 i (vii)Land Conflicts during improvement of access roads because of floods. The contractor may create detours without proper engagement with landowners, which poses the risk of land conflicts. In addition, acquisition of material sites and sites for camps may cause conflict if not well managed. Clear strategies for land acquisition should be implemented and in accordance to the law. Furthermore, conflict resolution mechanisms presented in this ESMF should be operationalised to handle conflict issues at project levels; (viii) Improper management and inadequate restoration of borrow areas and quarry sites may result into ponding and expose vulnerable populations to mosquitoes. It is important that appropriate measures are implemented during the project to ensure the safety of the project affected persons is upheld; (ix) The Word Bank revised the Contract Book and strengthened ESS clauses, but UNRA does not have full access to this book. It is risky to get into procurement without internalising the provisions. It is important that the Bank avails the Book to the project team such that the process of procurement of the contractors and implementation of the project is well guided; (x) The anticipated project may expose women and young girls to sexual exploitation and abuse and further increase incidents of GBV and VAC. The project may also increase the spread of HIV/AIDS in the area. The service provider nominated by UNRA to the project contractors to provide HVI/AIDS, SEA, GBV and VAC awareness creation services should be procured early in the project and regularly supervised to ensure that sensitization is carried out throughout planning and improvement of the access roads; and (xi) Occupational health and safety challenges among the project workers and within the project area. Since many of the project activities involve earth-moving equipment, rock crushing and material transportation, potential risks such as dust accumulation, noise and accidents. Selection of sites for material sourcing should follow the screening process using forms developed in this ESMF and further managed in accordance with appropriate Environmental and Social Management Plans (ESMP) for the project as approved by the relevant authorities. 7.3 FUTURE CONSULTATIONS During the preparation of the detailed designs and construction of access roads for the refugee settlements together with the opening and operating of auxiliary sites for KYM road, UNRA will identify the relevant individuals, groups, and entities to be consulted both at the national and local levels. This is for purposes of soliciting their views on the likely social and environmental risks during the implementation of components under this framework. The consultation and disclosure process will be consistent with ESS10 together with the National laws and regulations as guided by NEA. At the UNRA level the consultations will be guided by UNRA’s E&S Policy, the Environment and Social Management System (ESMS), Stakeholder Engagement Guidelines, and the UNRA Harmonized Redress Mechanism. Also, the stakeholder engagement will be guided by good international practices such as the inclusion of all people including women and other vulnerable or marginalized individuals or groups. This section presents the consultation /engagement processes to be undertaken during; (i) Design and development of access roads for the refugee settlements; (ii) Identification and establishment of auxiliary sites for the KYM project; and (iii) During CERC activities 79 i Through consultations, the implementing agency (UNRA) will be able to: (i) Share information with stakeholders/Project Affected Persons along the refugee access roads as well as an identified quarry, borrow, and campsites about the proposed interventions and associated impacts (physical, economic, social, and environmental). The information to be disseminated will also cover proposed mitigation and enhancement measures to adverse negative and positive impacts respectively; (ii) Obtain views of key stakeholders on likely impacts and mitigation measures; (iii) Provide an opportunity for the stakeholders/public input into the project designs; (iv) Minimize conflict through early identification of contentious issues and make consultations on the appropriate grievance redress mechanism; (v) Consult with vulnerable or marginalized individuals or groups using mobile/telephone calls, SMS, etc. in a culturally appropriate and confidential manner where required; (vi) Provide information on the compensation requirements, and or relocation assistance measures, and receive feedback. (vii) Seek stakeholder collaboration, cooperation, and participation and establish and maintain constructive relationships with stakeholders throughout the implementation process. The outcomes of the consultations will enable UNRA to address important stakeholder/community issues in the designs and put in place appropriate mitigation measures for social and environmental risks that will arise during implementation. The involvement of stakeholders will potentially enlist project acceptability, build trust, secure mutual respect/understanding, and reduce potential for conflicts. Overall, stakeholder engagement will promote transparency and accountability in decision-making in the whole project implementation process. 7.4 CONTINUOUS CONSULTATIONS Stakeholder consultation will be continuously initiated early in the life of the components under this ESMF. The early involvement will provide an opportunity for inclusion of stakeholder/community views and concerns in the screening process for auxiliary sites (quarry, camp and borrow areas), detailed designs for the access roads, and associated implementation plans and strategies. For effective stakeholder engagement and consultations, UNRA will ensure the following: (i) Prepare a comprehensive Stakeholder Engagement Plan guided by outcomes of the stakeholder mapping and analysis exercise (ii) Develop and implement a comprehensive communication and public education strategy; (iii) Implement the stakeholder engagement plan by undertaking comprehensive engagements with stakeholders; (iv) Set up an effective grievance redress and beneficiary feedback mechanisms; (v) Monitor impacts through annual stakeholder satisfaction surveys. 7.5 INFORMATION DISSEMINATION AND DISCLOSURE In compliance with the World Bank Policies and national regulations, the outcomes of the engagements/consultations will be disclosed to the public and stakeholders through sharing of the ESMF report and other safeguard instruments namely the ESIA and RAP for the quarries, project briefs for access roads, campsites and borrow areas. The disclosure will be to a level of detail that will facilitate understanding of the potential risks, impacts, mitigation measures, and opportunities that may come along with project activities. 80 i During the disclosure process, various communication methods as will be provided for in the communication strategy will be used taking into consideration the low literacy levels of the communities in the project area particularly the refugees. The means of communication will include but not be limited to direct sharing of reports, Websites, print media, radio broadcasts, posters, flyers, and community meetings. Household visits will also be carried out where need be particularly for vulnerable PAPs that include people with disabilities, the elderly, and the terminally ill. Consultations will be carried out in languages that the community understands both for the local/host communities and the refugees. Where necessary e.g. in case of refugees, interpreters will be used. The following instruments have been updated to include mitigation measures addressing discrimination against of vulnerable or marginalized individuals or groups: the ESIA, the Stakeholder Engagement Plan, and the Labor Management Plan. Consultations on the mitigation measures and updating of instruments took place between June 12 and June 23, 2023, as well as between August 28 and September 22, 2023. The consultations included meetings with government of Uganda representatives, other Development Partners and NGOs/CSOs. The updated instruments will be redisclosed and will be widely disseminated. Further consultations will take place at the community level as part of the World Bank-financed Enhanced Implementation Support and Monitoring. In January 2024, additional consultations were undertaken on the project to specifically discuss the vulnerability of some individuals or groups to discrimination. During the consultations, key issues raised relating to the project included: (i) The possibility for exclusion from employment opportunities and project benefits. (ii) Risks of discrimination against and harassment of vulnerable or marginalized individuals or groups, including refugees in project sites. A summary of these additional consultations is posted on the World Bank website under Consultations on Inclusion and Non-Discrimination in World Bank-financed Projects in Uganda. See: https://www.worldbank.org/en/country/uganda/brief/consultations 7.6 GRIEVANCE REDRESS MECHANISM A Grievance Redress Mechanism will be developed guided by World Bank ESS 10 and the UNRA Harmonized Grievance Redress Mechanism (GRM). The overall objective of the GRM is to provide a systematic process by which grievances will be received, resolved and feedback provided within a reasonable timeframe. For grievances associated with discrimination of vulnerable or marginalized individuals or groups the grievance will be passed to an appropriate referral pathway to ensure it is resolved in a safe, ethical, and confidential manner. In addition, the World Bank will support the strengthening of the GRM to ensure it includes an effective, safe, ethical, and confidential mechanism to receive, manage, refer, and monitor grievances related to exclusion and discrimination. Further details of this support can also be found at Annex 12. 81 i 7.6.1 OBJECTIVES OF GRIEVANCE REDRESS The specific objectives of the GRM will be: (i) Establishing a mechanism through which stakeholders can express their grievances in a timely, effective, efficient, culturally appropriate and confidential manner, where required; (ii) Establishing a mechanism through which the project (UNRA and the contractor) will address stakeholder complaints promptly; (iii) Establishing a feedback mechanism on complaints/concerns raised by stakeholders; (iv) Creating effective communication channels between UNRA and aggrieved stakeholders. As an outcome, effective GRM will contribute to mitigating adverse impacts of the project on communities and minimize conflicts as well as building relationships between UNRA and the Stakeholders. 7.6.2 DEVELOPMENT OF GRIEVANCE REDRESS MECHANISM PROCEDURE (a) Receiving and feedback channels The GRM for this ESMF will provide for various channels through which aggrieved parties can submit their grievances which include:- Grievance Management Committees (GMCs) at the community level, telephone calls (either using payphone or the toll-free lines), letter to the ED, Fax, e-mails, social media ( Twitter, Facebook, WhatsApp), suggestion boxes at the stations, UNRA head office and contractor’s sites. Individuals will also be free to walk into UNRA offices (Head Office/Station) or project offices (to register their complaints, they will be able to call into radio and TV programs and or put their complaints in print media. (b) Grievance Handling Process The proposed grievance handling process will operate at three levels namely, community, project, and national level. At the community level, the responsibility will lie with the Grievance Management Committees (GMCs), at the project level it is the contractor, RE, and Project Manager while at the national level (overall UNRA level) it will be the office of the Executive Director. Figure 7-1 below is a schematic representation of how grievances will be handled. NB: This is the process that is currently being used in the UNRA Grievance Redress Mechanism. This GRM process dictates that feedback shall be provided to the compliant at each of the levels. 82 i FIGURE 7-1: SCHEMATIC REPRESENTATION OF UNRA’S GRIEVANCE REDRESS MECHANISM 7.6.2.1 COMMUNITY LEVEL GRM - ESTABLISHMENT OF GRIEVANCE MANAGEMENT COMMITTEES (GMCS) As part of the structures to manage grievances at the community level, GMCs will be formed and trained (as guided by the UNRA GRM and training manual) on how to report grievances. The GRM guides that the establishment of each GMCs should be within a 3km interval to enable accessibility by the community. This may guide the formation of GMCs along the access roads. Regarding the formation of GMCs, the GRM guides that each GMC should comprise of 6 members with a 50% women representation. The committee will be selected by the community/PAPs in a community meeting facilitated by UNRA E&S staff. The Committee membership will consist of three community PAPs, one opinion leader (an elder, a religious or clan leader), LC-1 chairperson (as ex-official), and one local NGO/CBO leader (as an observer). The committees will be trained on their roles and responsibilities as well as the processes for grievance handling. Among others, they will be trained on the type of cases to handle and referral mechanisms on different cases particularly those related to SEA/SH/VAC and to vulnerable or marginalized individuals or groups. All grievances received by the GMCs will be recorded in the Logbook by the GMC secretary and the complainant will be given a copy, the committee will meet to resolve grievances that are within its power, those beyond will be escalated to the relevant levels for action. The complaint will be given feedback on the resolution by the GMC which will also be recorded in the logbook. Figure 7-2 is an illustration of the grievance reporting and resolution process at the community level. 83 i FIGURE 7-2: GRIEVANCE REPORTING AND RESOLUTION PROCESS AT THE COMMUNITY LEVEL 7.6.2.2 PROJECT LEVEL GRM The project level GRM deals with grievances arising from direct impacts of works by the contractor, e.g. cracked houses due to vibrations; and impacts associated with activities at auxiliary sites. Regarding quarries, the contractor will establish quarry GMCs following the same procedure described above. UNRA and the consultant will, however, support the process to ensure its compliance with the Grievance Redress Mechanism. The Consultant’s sociologist will be responsible for receiving and recording grievances that fall within the contractor’s obligations. The Resident Engineer (RE) will issue instructions for corrective action and notify UNRA’s Project Manager for appropriat e monitoring and follow up. The RE’s monthly report will have a section on grievance management. 7.6.2.3 NATIONAL LEVEL GRM At the national level, the overall management of GRM will rest with the office of the UNRA Executive Director. In doing so, it will continually monitor and evaluate the status of grievance management on components in this ESMF and keep the public informed. If a PAP/Community member is not satisfied with the resolutions he/she is free to go to the courts of law for redress. This is the highest level of arbitration in the grievance handling process. Grievances that require legal redress, will be handled by UNRA’s Directorate of Legal Services which is responsible for dealing with all legal matters for the Authority. 84 i 7.7 MONITORING GRIEVANCE MANAGEMENT To facilitate effective monitoring of the GRM, it is recommended that management of grievances under this ESMF should be based on the already established UNRA’s electronic database, Grievance Management, and General Inquiries System (GEMS). The system has capabilities of registering, processing (channeling of grievances to individuals responsible for managing/resolving the complaints), escalating, and providing timely feedback to the compliant/ concerned stakeholders. It also has capabilities of monitoring grievances at the individual, project, and national levels. At the project level, it can provide data on prescribed grievance management monitoring indicators. 85 i 8 CHAPTER 8 IMPLEMENTATION ARRANGEMENTS FOR ESMF This chapter expounds on the implementation arrangement for this ESMF specifically these include the institutional arrangement, capacity building, and training plan. These are expounded below; 8.1 INSTITUTIONAL ARRANGEMENTS 8.1.1 THE WORLD BANK The World Bank is a potential financer of the KYM and the CERC component of this ESMF. It is expected that the Bank will provide environmental and social Technical Assistance (TA) to the project. TA will enhance UNRA’s capacity in environmental and Social planning, implementation, and monitoring. The Technical Assistants should be responsible for keeping records, compiling annual reports, and undertaking annual environmental and social reviews. 8.1.2 UNRA UNRA is the developer for this project and will be responsible for adequate environmental and social planning for access road improvements, auxiliary facilities, and CERC. It will further be responsible for Environmental Social Health and Safety (ESHS); and Contingency Emergency Response planning. UNRA will ensure that the ESHS issue is well addressed in the Bid Documents for the Contractors and Supervising Engineer on the project. Clear Terms of Reference for their assignments will be issued to guide recruitment and performance. During project implementation, the UNRA Safeguards team will undertake regular compliance assessments to guide contractors and Supervising Engineers. The ESIA for KYM recommended that UNRA will hire KYM two Project Environmental and Social Safeguards Specialists and two Assistants, to augment UNRA’s overstretched Capacity to manage the ongoing numerous projects not longer than four months after Project effectiveness, and in any case before commencement of the civil works. These experts will be dedicated to the project and will ensure the appropriate implementation of this ESMF. Besides, it was recommended for the project to hire trainees for Environment and Health and Safety. 8.1.2.1 SUPERVISING ENGINEER The Supervising Engineer will be recruited to ensure that the UNRA environment and social safeguards responsibilities are fulfilled and to review the contractor’s Environmental and Social Implementation Plans (ESIP), Method Statements, and Environmental and Social Management Reports. 8.1.2.2 CONTRACTOR The Contractor will be obliged to ensure that the UNRA environment and social safeguards responsibilities are complied with. The Contractor will prepare and implement the contractor’s Environmental and Social Implementation Plans (ESIP), Method Statements, and provide Environmental and Social Management Reports. The contractor shall recruit competent Environmental and Social Safeguards staff to undertake environmental and social planning. Under the laws, NEMA and Lead Agencies have an inspection role on projects listed as requiring undergoing the environmental and social impact assessment process under Schedule 4 and 5. Inspections are intended to provide compliance assessment and assistance to the project. The MDAs’ regional and district level offices will be primarily responsible for environmental and social inspections, compliance assessment, and assistance within their respective mandates. 86 i Community members The Community along the roads would be good partners in environmental and social management since they will be directly interfacing with construction works and hosting workers. CSOs The CSOs will be involved in planning and monitoring the environmental and social aspects of the projects. The CSOs which qualify shall be nominated to provide tailored social risk mitigation services such as HIV/AIDs, GBV/ SEA, and VAC and Tree planting. 8.2 CAPACITY BUILDING To ensure environmental and social sustainability, UNRA staff, and stakeholders within the project area must undergo training, capacity building and are provided with technical assistance. The stakeholders to benefit from this support should include UNRA, the local government officials, CSOs, opinion leaders, and communities along with the Access Roads Improvement Project, associated facilities, and CERC activities. The support will require undertaking needs assessments in environmental and social protection of the beneficiaries, creating awareness on the application of laws and permits as well as facilitation to staff who will implement environmental and social management activities on projects. Financial support for institutional capacity building and training plans should be provided for the overall budget of the project. The access road improvement projects could network with the KYM project to benefit from the lessons learned during project implementation and obtain training in case the Access Road Improvement projects are implemented during its lifetime. Where a common approach on capacity building has been adopted on KYM, the same approach shall apply to the Access roads, associated facilities, and CERC activities. 8.3 TRAINING PLAN Training Need Stakeholders Time Frame Responsibility Budget/ US$ Sensitization on Project Communities/ GMCs Preconstruction/Mobilizati UNRA – 15,000 and Environmental and CSO on & Continuous during DESS/TAs/ YKM Social Safeguards Opinions Leaders project implementation Environmental and UNRA E & S staff Preconstruction/ UNRA – 70,000 Social Compliance Contractor E & S staff Mobilization & DESS/TAs/ Consultant E & S staff Continuous during YKM District Technical Staff project implementation CSO Introducing Safeguard UNRA E & S staff Preconstruction/Mobilizati UNRA – 15,000 Screening Forms Contractor E & S staff on before preparation of DESS/TAs Consultant E & S staff Environmental and Social District Technical Planning Tools (ESMP, Staff Project Briefs & ESIAs) Occupational Safety and UNRA Staff Contractor Preconstruction/ UNRA – 15,000 Health E & S staff Consultant Mobilization & During DESS/TAs/ E & Staff District Project Implementation YKM Technical Staff CSO Total 115,000 87 i 8.4 PROJECT OPERATION MANUAL To facilitate the implementation of the provisions for non-discrimination that cover vulnerable or marginalized individuals or groups the Project Operational Manual (POM) will be updated to specify how these mitigation measures will be implemented. The POM will clearly lay out how the project will ensure non-discrimination of vulnerable or marginalized individuals or groups. The POM will provide details of how the mitigation measures will be implemented. Furthermore, it will specify the timelines and roles and responsibilities to implement the different mitigation measures. The POM will also provide detailed information on how exactly the project will support and interact with the World Bank Enhanced Implementation Support and Monitoring. The POM will be developed or updated no later than two months after the redisclosure of the project’s instruments or before the Enhanced Implementation Support and Monitoring mitigation measures are agreed to and in place.. 88 i 9 CHAPTER 9 MONITORING AND EVALUATION The monitoring and evaluation of the ESMF aim at ensuring that the environmental and social planning commitments are adhered to during project components’ implementation. 9.1 OBJECTIVES OF ENVIRONMENTAL AND SOCIAL MONITORING AND CONTROL Among the specific objectives of monitoring includes; (i) Ensure that proper appraisal on the effects of sub-projects takes place and that proper measures are put in place to mitigate the effects; (ii) Set out the basis for compliance and enforcement of terms and conditions for approval; (iii) Design compliance strategies; (iv) Assess compliance with and management of the environment and social safeguards. (v) Ensure that all stakeholders participate in the sub-project processes 9.2 ESMF MONITORING For each component, the ESMF Requirements shall be summarised and appropriate monitoring indicators developed. The responsibility for monitoring each of the indicators within the stipulated timelines shall be assigned to the different institutions as identified in Chapter 8. Refer to Annex 6 for an ESMF monitoring framework. 9.3 RESPONSIBILITIES The overall responsibility for monitoring the ESMF lies in UNRA. UNRA safeguards team will ensure that the ESMF is implemented when components of the project are due for implementation. The Department of Environment and Social Safeguards will undertake environmental and social monitoring of the ESMF in conjunction with the relevant stakeholder government Ministries Departments and Agencies (MDAs) that have a role in the implementation of road by way of their sector/statutory mandate. 9.4 REPORTING Based on the findings from the monitoring, the Status of Implementation of the different ESMF activities under each component shall be reported on by the institutions in stipulated timelines. Also, TAs supporting the projects with undertaking regular field visits and annual reviews to assess compliance with the ESMF and environmental performance of the project and prepare Compliance Assessment and Assistance Reports. 89 i REFERENCES 1. BIMCO, 2017 Environmental Project Brief for the Proposed Construction of Rural Electrification Projects in West Nile 2. FAO, 2018, Priorities for sustainable soil management in Uganda: A Presentation at The African Soil Partnership. 3. GoU (1907) Rivers Act. Entebbe, Republic of Uganda. 4. GoU (1935) Public Health Act. Entebbe, Republic of Uganda. 5. GoU (1936) Explosives Act. Entebbe, Republic of Uganda. 6. GoU (1962) The Uganda Citizenship and Immigration Act. Entebbe, Republic of Uganda. 7. GoU (1965) Land Acquisition Act. Entebbe, Republic of Uganda. 8. GoU (1965) Public Holiday Act. Entebbe, Republic of Uganda. 9. GoU (1967) Historical Monuments Act. Entebbe, Republic of Uganda. 10. GoU (1993) Traditional ruler’s Act. Entebbe, Republic of Uganda. 11. GoU (1995) Constitution of Republic of Uganda, 12. GoU (1995) Local Government Act. Entebbe, Republic of Uganda 13. GoU (1997) NSSF Act. Entebbe, Republic of Uganda. 14. GoU (1997) Water Act. Entebbe, Republic of Uganda 15. GoU (1998) Environmental Impact Assessment Regulations. Republic of Uganda. 16. GoU (1998) Land Act. Entebbe, Republic of Uganda. 17. GoU (1999) National Environment (Minimum Standards for Discharge of Effluents into Water or Land) Regulations. Republic of Uganda. 18. GoU (1999) National Environment (Waste Management) Regulations. Republic of Uganda. 19. GoU (2000) National Environment (Wetlands, Riverbanks and lakeshores Management) regulation. Regulations. Republic of Uganda. 20. GoU (2000) The National Environment (Mountainous and Hilly Areas Management) Regulations. Republic of Uganda. 21. GoU (2000) Workman’s Compensation Act. Entebbe, Republic of Uganda. 22. GoU (2003) Mining Act. Entebbe, Republic of Uganda 23. GoU (2003) National Environment (Noise Standards and Control) Regulations. Republic of Uganda. 24. GoU (2003) National Forestry and Tree Planting Act. Entebbe, Republic of Uganda. 25. GoU (2004) National Environment (Control of Smoking in Public Places) Regulations. Republic of Uganda. 26. GoU (2006) Occupational Safety and Health Act, Entebbe, Republic of Uganda 27. GoU (2006) The Employment Act. Entebbe, Republic of Uganda 28. GoU (2006) The National Environment (Audit) Regulations. Republic of Uganda. 29. GoU (2008) Fish Act Cap. Entebbe, Republic of Uganda. 30. GoU (2010) Domestic Violence Act. Entebbe, Republic of Uganda. 31. GoU (2010) Physical Planning Act. Entebbe, Republic of Uganda. 32. GoU (2011) National Physical Planning Standards and Guidelines. Entebbe, Republic of Uganda. 33. GoU (2013) Petroleum Act. Entebbe, Republic of Uganda. 34. GoU (2014) Uganda Wildlife Act. Entebbe, Republic of Uganda. 35. GoU (2015) Second National Development Plan 2015/16 – 2019/2020. Entebbe, Republic of Uganda. 36. GoU (2015) Tobacco Control Act. Entebbe, Republic of Uganda. 37. GoU (2018) The Traffic and Road Safety Act. Entebbe, Republic of Uganda. 38. GoU (2019) Children’s Act. Entebbe, Republic of Uganda. 39. GoU (2019) National Environmental Act. Entebbe, Republic of Uganda 40. GoU (2019) Water Resources Regulations. Republic of Uganda. 90 i 41. IRRI (2019); www. http://refugee-rights.org/ Synonymous as on 16th August 2019 42. Lalnundanga, Lalrintluangi S., Churchill V. and Malsawmkima B. (2015) Impact of road construction on the socio-economic condition, Science Vision vol 15:3. 43. MGLSD (2004) The National HIV/AIDS Policy. Republic of Uganda 44. MGLSD (2006) The National Equal Opportunities Policy. Republic of Uganda 45. MGLSD (2007) National Policy on HIV/AIDS and the world of work. Republic of Uganda 46. MGLSD (2007) Uganda Gender Policy. Republic of Uganda 47. MGLSD (2016) National Policy on Elimination of Gender-Based Violence. Republic of Uganda 48. Ministry of Works, Housing and Communications, (2004). Environmental Impact Assessment Guidelines for Road Projects. 49. MLHUD (2013) The Uganda National Land Policy. Republic of Uganda 50. MoWE (1994) National Environment Management Policy. Republic of Uganda 51. MoWE (1995) The National Policy on Conservation and Management of Wetland resources 52. MoWE (1999) The National Water Policy. Republic of Uganda 53. MoWE (2010) The National Environment Health Policy. Republic of Uganda 54. MTWA (2006) The Uganda National Culture Policy. Republic of Uganda 55. NFA (2001) Uganda Forestry Policy. Republic of Uganda 56. UBOS (2013). Uganda National Household Survey. 57. UBOS (2014). National Housing and Population Census, 2014. 58. UNHCR (2019); https://www.unhcr.org/Uganda Synonymous as on 15th August 2019 59. UNHCR 2 (2019), Uganda Country Refugee Response Plan 60. UNRA (2016) Environment and Social Safeguards Policy. Republic of Uganda. 61. UNRA (2019) Environment and Social Risk Assessment Report For the proposed upgrade of Koboko – Yumbe - Moyo Road (105.0 KM) 62. UPHIA (2017) Uganda Population-Based HIV Impact Assessment: Preliminary Findings. 63. World Bank (2019). Indonesia - Western Indonesia National Roads Improvement Project: Environmental Assessment: Contingent Emergency Response Component (CERC) Section of the Environmental and Social Management Framework: Addendum. Retrieved from http://documents.worldbank.org/curated/en/759011468009988990/pdf/488930WP0toolkit 0Box338934B01PUBLIC1.pdf 64. World Bank [WB] (2008). Environmental and Social Management framework for World Bank projects with multiple small-scale subprojects. A Tool Kit. Retrieved from- http://documents.worldbank.org/curated/en/892651545992145174/Contingent-Emergency- Response-Component-CERC-Section-of-the-Environmental-and-Social- Management-Framework- Addendum-; http://documents.worldbank.org/curated/en/892651545992145174/pdf/SFG4964- REVISED-EA-P090990-PUBLIC-Disclosed-3-6-2019.pdf 65. YUMBE District Statistical Abstract for 2012/13. 91 i ANNEXURES 92 i ANNEX 1: AIDE-MÉMOIRE 93 i 94 i 95 i 96 i 97 i ANNEX 2: CONTINGENCY EMERGENCY RESPONSE COMPONENT (CERC) CONTINGENCY EMERGENCY RESPONSE COMPONENT (CERC) 1.0 Introduction This Contingency Emergency Response Component (“CERC”) is component 3 of the ESMF. It covers the access roads, KYM, and its associated facilities. It describes additional information on the environment and social safeguard (ESS) requirements for the implementation of the proposed activities to be carried out in cases of emergency during project implementation. The project will be implemented by UNRA. UNRA will be responsible for the signing of all contracts and authorization of payments to entities contracted to implement the CERC activities. Furthermore, it will be responsible for reporting to the Ministry of Finance, Planning, and Economic Development (MoFPED) and WB on project implementation status. This CERC shall contribute to the development of the procedures and guidelines in the Emergency Response Manual (ERM) which shall be prepared during project implementation before the commencement of works in line with the Bank’s safeguard requirements. The ERM will contain the Environment, Social, Health, and Safety (ESHS) requirements which will be implemented when the CERC is activated. 1.1 Objectives of CERC This CERC seeks to; (i) Identify indicative CERC-related activities. (ii) Define procedures to assess the environmental and social impacts of these activities. (iii) Set out measures/plans to reduce, mitigate and/or offset adverse impacts 2.0 Implementation of potential CERC activities The implementation of CERC activities shall be guided by the Emergency Response Manual (ERM) which shall provide a framework for CERC activation. The ERM and approved activities that will be coordinated and implemented according to the World Bank and national policies and procedures agreed. The ERM shall addresses: (i) the mechanism for activating the CERC; (ii) main instruments under the CERC; (iii) coordination and implementation arrangements; (iv) procurement, financial management, and disbursement aspects; (v) compliance with Environmental and Social Standards; and (vi) monitoring and evaluation. The mechanism for activating the CERC: The nature of activities to be financed under CERC are event and demand-driven and should be consistent with CERC’s purpose of providing short-term bridge financing for immediate recovery needs according to an eligible emergency. 98 i An Eligible Crisis or Emergency is defined by the World Bank as an event that has caused or is likely to imminently cause a major adverse economic and/or social impact associated with natural or man-made crises or disasters. In this case, it may include earthquakes; storms; volcanic eruptions; flood; landslides; forest fires; severe weather; high winds; and any natural disaster. 2.1 Potential CERC activities The potential activities are the ones considered eligible for funds under CERC and them for the positive list of the CERC. The activities to be carried out if the CERC is activated include: Works, services, and training as identified in Table 1 below: It is important to mention that the activities that will be financed by the CERC, should avoid activities with complex environmental and social aspects (for example resettlement) because the CERC objective is to support immediate priority activities. The activities with more environmental and social complexity could be financed with other sources. TABLE A: POSITIVE LIST CERC ACTIVITIES Works Rehabilitation of road infrastructure, that may have been damaged during an event. 1. ✓ Repair and reconstruction of roads, bridges, culverts and other road infrastructure damaged by an event; ✓ Re-construction of drainage systems damaged by an event Cleaning and removal of Debris 2. ✓ Consolidation of debris from roadways, such as vegetation, large trees or tree members, construction debris (from work sites or structures demolished during an event), abandoned assets, etc. ✓ Removal and disposal of debris associated with any eligible activity; ✓ Re-establishment of drainage systems damaged by an event Services ✓ Consulting services related to emergency response including, but not limited to; urgent studies and surveys necessary to determine the impact of the disaster and to serve as a baseline for the recovery and reconstruction process, and support to the implementation of emergency response activities ✓ technical design; ✓ Works supervision during restoration works after the event. ✓ Technical Assistance in developing ToRs, needs assessment, preparing Technical Specifications, and drafting tendering documents (Bidding Documents, and RFP). ✓ Non-consultant services to aid in the implementation of the activities described in the works section of this table (e.g., debris removal, dump trucks, drones survey) Training ✓ Capacity building of project staff on Emergency Response and preparedness during project implementation including, but not limited to the Implementation of Emergency Action Plan (EAP). ✓ Training on rapid needs assessment and other related assessments Emergency operating costs ✓ Incremental expenses by the Government of Uganda for a defined period related to compensations arising as a result of the impact of an eligible emergency. 99 i 2.2 CERC Negative list /prohibited activities Sub-projects with the following potential impacts will not be eligible/prohibited for financing under the CERC include those that; • Involve the significant conversion, clearance or degradation of critical natural habitats, forests, environmentally sensitive areas, significant biodiversity and/or protected conservation zones; • will cause, or have the potential to result in, permanent and/or significant damage to non- replicable cultural property, irreplaceable cultural relics, historical buildings and/or archaeological sites; • will negatively affect rare or endangered species; • will lead to land clearance and leveling in areas that are not affected by the project. • will result in involuntary resettlement and land acquisition; • involve the use of forced labor, child labor, or other harmful or exploitative forms of labor • activities related to the repatriation of refugees and the disruption of internally displaced populations • do not meet minimum design standards with poor design or construction quality, particularly if located in sensitive areas; • Require or involve: ➢ purchase, application or storage of pesticides or hazardous materials ➢ Use of asbestos-based construction materials for reconstruction works ➢ land reclamation; ➢ land that has disputed ownership, tenure, or user rights. 3.0 Potential Environmental and Social (E&S) Impacts Considering the small scale of activities expected under the CERC (Table 1), the potential negative impacts are expected to be minimal, localized, and temporary. These can be mitigated through the implementation of the safeguard’s instruments of the Projec t and close supervision by UNRA. The required mitigation measures will be included as part of the ERM. Project workers and other laborers working under emergency will be subjected to the Workers Code of Conduct, and must observe all provisions which may include; prevention of all forms of Gender-Based Violence (GBV), sexual assault and abuse, forced labor, child labor and other harmful or exploitative forms of labor. Depending on the nature of emergency and type of activities under CERC, impacts will be assessed based on the activities identified and mitigation measures determined in the ERM to minimize the ESHS impact. Table 2 below identifies generic ESHS impacts of the proposed activities and mitigations. Due consideration will be made to ensure compliance with the Bank’s ESSs. 100 i TABLE B: POTENTIAL IMPACTS AND MITIGATION MEASURES OF THE PROPOSED CERC POSITIVE LIST ACTIVITIES No. Activity Potential E&S Expected Proposed Mitigation impact and risks Significance Rehabilitation of road infrastructure 1. • Damage to Moderate • Minimize or restrict Repair and reconstruction of surrounding land activities to only approved roads, bridges, culverts and and vegetation. sections. other road infrastructure • Interference with • Development and damaged by an event; land use activities implementation of • generation of dust, appropriate ESHS plan. noise and • Restoration of disturbed vibrations nuisance, sites wastes, surface • Works to be supervised by water pollution, qualified personnel. public health, and • Develop and implement an safety appropriate traffic • Traffic disruption management plan. 2. • Generation of Moderate • Minimize or restrict Re-construction of drainage construction waste, activities to only approved systems damaged by the Increase of dust, sections. event noise, water • Development and pollution, public implementation of health, and safety; appropriate ESHS plan. injuries and • Works to be supervised by accidents qualified personnel. • Vegetation clearance, Cleaning and removal of debris 3. • Damage to Low • Minimize or restrict Consolidation of debris from surrounding land activities to only approved roadways, such as and vegetation sections. vegetation, large trees or through excessive • Restoration of disturbed tree members, construction clearance sites debris (from work sites or operations. • Development and structures demolished • Interference with implementation of during the event), land use activities appropriate ESHS plan. abandoned vehicles, etc. • Works to be supervised by qualified personnel. 4. Remove and dispose of • Poor disposal of Low • Development and debris associated with any waste implementation of an eligible activity; appropriate waste management plan. 5. • Damage to Low • Minimize or restrict Re-establish drainage surrounding land activities to only approved systems damaged by an and vegetation. sections. event • Interference with • Restoration of disturbed land use activities. sites • Development and implementation of appropriate ESHS plan. 101 i 4.0 Process of activating CERC in case of an emergency (a) Screening. The ESMF provides for a screening form (annex 3 and defines how screening should be done for sub-projects. A similar process will be done for CERC sub-projects considering that, priority activities will be implemented within 18 months (CERC period). The activities or subprojects with resettlement issues will as much as possible be avoided where necessary. (b) Identification of ESHS issues and preparation of mitigation plans. Depending on sensitivity, issues, potential impacts, and risks from screening results the implementing agency (UNRA) shall ensure that ESS instruments such as ESMP and livelihood restoration plan (where necessary) are prepared for CERC activities/sub-project. UNRA will prepare an ESMP, Health and Safety Management Plan (HSMP) and Traffic Management Plan (TMP) for the CERC subprojects describing the works/activities and mitigation measures to be conducted during detailed design, bidding/ contract, repair/restoration, and closure plans, taken into account the magnitude, scope, and nature of the activities. Besides, the budget and parties responsible for the implementation of the ESMP, HSMP, and TMP will be discussed and agreed as part of the plans. (c) Review and Approval. The CERC-ESMP and any other plans shall be will be reviewed by UNRA and submitted to the Bank for no objection before they are implemented. Implementation and Monitoring. The approved CERC activities and their respective ESHS plans will be implemented according to the agreed implementation arrangement. UNRA will monitor the implementation in consultation with the stakeholders and make reports to the Bank. (d) Completion and Evaluation. Once the CERC activities have been completed, UNRA will evaluate the results before closing the contract. Any pending issues and/or grievances must be solved before the activities are considered fully completed. UNRA will submit the completion report describing the compliance with the Bank’s ESS. 5.0 Institutional Arrangements and Responsibilities. (a) UNRA UNRA will be the implementing Agency for the CERC. UNRA will be responsible to prepare and implement the Emergency Action Plan (EAP) to guide implementation of the approved emergency activities in the ERM. Furthermore, UNRA will be responsible for monitoring, evaluating, and reporting on the different activities of the CERC. (b) MoFPED The role of MoFPED is to inform the Bank and request financing for CERC activities. Furthermore, the Ministry ensure proper accountability of the funds provided. (c) Office of the Prime Minister The OPM is the agency responsible for disaster preparedness and management in Uganda. Concerning the CERC, the OPM shall be responsible for reporting the magnitude of the disaster. The OPM shall be fundamental in the preparation of the EAP. 102 i (d) The World Bank The World Bank upon positive review of activation request has a role to formally grant no-objection CERC documents including EAP before coming finances for CERC activities. The Bank will be responsible for ascertaining compliance of the CERC activities to ESSs. 103 i ANNEX 3: SCREENING FORMS POTENTIAL ENVIRONMENTAL AND SOCIAL, HEALTH AND SAFETY RISKS SCREENING FOR POTENTIAL ENVIRONMENTAL, SOCIAL, HEALTH AND SAFETY RISKS Screening Form for Access Roads to Refugee Settlements and Ancillary Sites This form will be used to screen potential environment, Social, Health, and Safety risk levels of the Access Roads, KYM Associated Facilities, and CERC activities. The purpose of screening is to determine the relevance of World Bank environmental and social standards (ESS), identify risk levels, and the necessary plans to prepare to mitigate the associated risks. Subproject Name Subproject Location Subproject Proponent Estimated Investment Estimated start date Questions Answer ESS Due yes no relevance diligence/Actions Will the project component involve civil works including new construction, expansion, upgrading or rehabilitation Will the scope of works for the project component involves the waste generation Will the project component for the project component involve the land acquisition and/or restrictions on land use? Will the scope of the project component associate with any external waste management facilities such as a sanitary landfill, or wastewater treatment plant for hazardous waste management Is there a sound regulatory framework, institutional capacity in place for Project management? Will the scope of works for access roads involve recruitment of workforce including direct, contracted, primary supply, and/or community workers? Will the scope of works for project components involve the use of security personnel during construction and/or operation? Will f the proposed project component be located within or near any ecologically sensitive areas? Are there any vulnerable groups present in the project component area and are likely to be affected by the proposed subproject negatively or positively? Will any of the project components be located within or near any known cultural heritage sites? Does the project area present considerable Gender- Based Violence (GBV) and Sexual Exploitation and Abuse (SEA) risk? 104 i Questions Answer ESS Due yes no relevance diligence/Actions Is there any territorial dispute between two or more countries in the area of the access roads and its ancillary aspects and related activities? Will the project component and their ancillary aspects and related activities involve the use or potential pollution of, or be located in international waterways1? Will the project component and their ancillary aspects and related activities involve posing any major community Health and Safety aspects Conclusions: 1. Proposed Environmental and Social Risk Ratings (High, Substantial, Moderate, or Low). 2. Proposed ESHS Instruments. 105 i ANNEX 4: CONTENT OF THE SCOPING REPORT The analysis of the scoping for the environmental and social impacts of any of the proposed project components shall be arranged in the following chapters: Chapter 1: Introduction. Chapter 2: Project description. Chapter 3: Policy, legal, and institutional framework. Chapter 4: Environmental & Socio-economic baseline. Chapter 5: Stakeholder engagement. Chapter 6: Potential impacts & mitigation recommendations. Chapter 7: Environmental Social Management and Monitoring Plan Chapter 8: Terms of Reference for Environmental and Social Impact Assessment Chapter 9: Conclusion 106 i ANNEX 5: ENVIRONMENTAL AND SOCIAL MANAGEMENT AND MONITORING PLAN (ESMMP) Project Phase Project Potential Risk Associated Proposed Desired Monitoring Monitoring Responsible Budget activities impacts mitigation outcome indicator frequency party (Approximate) measures TOTAL 107 ANNEX 6: CHECK LIST FOR STATUS OF IMPLEMENTATION OF THE ESMF Component ESMF Responsibility Timeline Status of Remarks Recommended Requirements/ Implementation Follow-up Monitoring Action Indicators Access Roads Improvement Auxiliary Component CERC Component 108 i ANNEX 7: TERMS OF REFERENCE FOR ENVIRONMENT AND SAFEGUARDS SPECIALIST/TECHNICAL ASSISTANT ENVIRONMENTAL SAFEGUARDS SPECIALIST (TA CONSULTANTS) TO SUPPORT UNRA’S WORK PROGRAM, AND TRANSFER KNOWLEDGE, WITH SATISFACTORY QUALIFICATIONS AND EXPERIENCE Uganda National Roads Authority intends to Upgrade KYM, make Access Road Improvements to Refugee Camps and implement CERC in the West Nile Region. UNRA is looking for an Environmental (TA Consultant) to specifically manage the environmental aspects of KYM, Access Road Improvements and Contingency Emergency Response Component (CERC) as well as strengthen Capacity in safeguards management for UNRA, Supervising Consultant, Contractor, Lead Agencies and CSOs. Job Title: Environmental Safeguards Specialist Consultants (1) Directorate: Network Planning and Engineering Function: Build staff capacity and ensure that environmental issues are addressed during roads projects management. Reports to: The Director Network Planning and Engineering Terms of Employment: Individual Consultant Duration of Contract: One Year Renewable to a maximum of three years S/N Duties and Responsibilities 1 Work closely with the safeguards department and strengthen UNRA’s capacity to implement the environmental and social safeguards policies and guidelines 2 Work closely with the safeguards department to monitor Implementation of the ESMF 3 Work closely with the safeguards department to prepare and participate in Training Programme for stakeholders in the project area in line with the ESMF 4 Work closely with the safeguards department to develop an a Contingency Emergency Response Manual (CERM) 6 Work closely with NEMA, and when necessary with other relevant central government/statutory agencies (such as MoGLSD, MWE, NFA, UWA), project district/lower local governments and other partners to enhance road sector compliance with all national environmental requirements, such as health and safety, water abstraction, construction materials acquisition (stone quarries, borrow pits), etc. 7 Work closely with the Social Development Consultant and Supervise the formulation, development and periodic updates of the Contractors’ Environmental and Social Management Plans. 8 Review the Planning and procurement procedures to ensure that (i) the Environmental requirements are properly reflected and costed in contract documents, (ii) environmental safeguards milestones are included in the contractor’s certificates for payment, and (iii) conditions of approval on the NEMA certificate and other statutory approvals are well considered and advise UNRA Management accordingly. 9 Ensures that all the environmental management issues relevant to roads and bridge works are identified, mitigation measures designed, implemented, monitored and reported. 10 Identifies the legal and regulatory issues relevant to environmental safeguards and accordingly advises Contractors on the compliance requirements. 109 i S/N Duties and Responsibilities 11 Prepares environmental information relevant to the Authority’s core activities for sensitization of staff, project affected persons and other stakeholders 12 Acts as a link between UNRA, Contractor, RE, Communities and respective local governments on environmental matters. 13 Represents the Authority in different project related fora to discuss environmental issues relevant to the road and bridge projects under consideration. 14 Participates in site meetings to provide environmental inputs to road and bridge projects. 15 Supervises implementation of Environmental Management Plans 16 Provide technical guidance in the preparation of ESMPs, Project Briefs and ESIA for road projects works, in addition to the preparation and/or review of environmental and social management reports for road and bridge projects. 17 Review and recommend for approval the contractors’ ESMPs 18 Participate in educating the communities on the negative environmental impacts associated with road projects and related mitigation measures. 19 Reviews and provide advice on contractors’ proposal and plan for temporary works, camps site, quarries, murram borrow pits, roads diversions and water ways, asphalt plants etc. and makes recommendations relating to their implementation. 20 Supervise works implementation to assess level of compliance with EIAs, and best environmental practices (BEP) as contained in the ESMPs. 21 Keep records, compile annual reports and undertake annual environmental and social reviews. 22 Prepares regular and ad hoc reports for the Director and TMT’s action. 23 Review the performance of the Supervising Engineer with regard to enforcing environmental contractual requirements, closely working with the project managers, to ensure that the agreed environmental safeguards requirements are met before payments are approved. 24 Disseminate good practices in environmental risk management in road projects 25 Performs such other related regular duties as may by assigned by UNRA from Time to time. Qualifications (i) Master’s degree in Environment Management or Environmental Engineering is required (ii) Capacity building/ training in environmental aspects of infrastructure development will be an added advantage (iii) Training in Disaster Aspects of Infrastructure projects. (iv) Ten (10) years’ continuous work experience, in Environmental aspects of donor funded infrastructure development projects, preferably roads constructions with demonstrated understanding of Environmental policy (v) Proficiency in the English language is a must (vi) Experience in handling similar assignments in Uganda or in the African region is an added advantage. 110 i ANNEX 8: CONTRACTOR SECURITY CONTROL AND MANAGEMENT GUIDELINE CONTRACTOR SECURITY CONTROL AND MANAGEMENT GUIDELINE Purpose and Scope This procedure is intended to provide Contractors with guidelines for securing individual construction sites and/or work areas. The Procedure is intended to assist Contractors with minimization/prevention of security issues which may occur at their job sites such as theft, vandalism, unauthorized site entry, and acts of violence. This Procedure applies to Contractors working on road construction sites on UNRA projects. The Procedure and its guidelines are consistent with guidelines stated in the Environment and Social Safeguards Policy and Occupational Safety and Health Policy, however, at a more defined individual work area viewpoint. Contractors are required to implement this Procedure on their worksites and, where necessary, to recruit the assistance of the national security organs. This procedure pertains to all UNRA Contractors, and sub-contractors of contractors on UNRA Projects 2.0 Responsibilities The Contractor is fully responsible for the pre ‐planning or work activities, development of Method Statements and Job Hazard Analyses, and overall safe work planning and implementation. Project Management Team is responsible for the assurance that all work is planned and conducted according to the pre ‐planning documents; Contractor and UNRA Environment, Social and Health Safety (ESHS) procedures, and guidelines. 3.0 Security Control Procedure 3.1 Security Assessment The Contractor shall make a security assessment of all work areas to evaluate existing resources and needs for maintaining a secure site. The assessment shall look at the following, at a minimum. • Site/ work area perimeter fencing/hoarding (is it complete and to what height) for camps, Quarries and borrow areas and stockpiles • Number and location of access/egress points (gates) to/from the site/work area • Hazard/warning/administrative signs provided along with site perimeter fencing and at site access locations/gates • Amount of lighting provided and locations of light standards/fixtures • Storage areas of tools, equipment, machinery, and construction supplies • Storage of explosives especially explosive magazines. • Existing programs for locking/safeguarding equipment, tools, and machinery • Procedures to regulate equipment key use • Procedures to regulate personnel behavior/actions while on site • Site offices location with proximity to site perimeters/access locations • Level of access control provided at site gate(s) • Presence of security personnel, and working hours of security staff 111 i • Location of the site about site roads and other occupied areas The security assessment shall be conducted during the mobilization phase of each site/work area, and periodically thereafter. 3.2 Security Control Plan Security control procedures and measures implemented on-site shall be defined within a contractor’s s Security Control and Management Plan. The Contractors Plan shall clearly state all procedures used by the Contractor and the subcontractors working on-site which are intended to safeguard the worksite, Contractor/Client resources, and personnel. The Plan shall include the security assessment criteria used to assess the site(s) and the results of the initial assessment conducted at each work area. Security control measures specified in the Plan should be designed to address all criteria evaluated during the assessment. The Plan shall be tailored to integrate various aspects of the Contractors procedure(s) for disciplinary action and substance abuse control. All persons entering the project site shall be subject to the policies/procedures defined in the Plan concerning the possession and/or use of alcohol, illegal drugs, weapons, and other contraband articles. The Contractors Plan shall indicate that all persons entering and/or exiting the worksite are subject to search by uniformed security personnel. The Plan shall be communicated to all personnel as a component of the site HSE Induction training. At this time, personnel shall be advised of the site procedures to which they are subject when entering/working on the project site. The Supervising Consultant shall ensure that a Security Control and management Plan is developed before the start of fieldwork and that the Contractor is implementing their Plan and maintaining it as site conditions or procedures change. 3.3 Equipment Tools & Construction Materials The Contractor shall have strict procedures for ensuring that theft of Contractor or Client owned equipment, tools, and/or construction materials are secure from theft. Contractors shall provide adequate storage space/locations where equipment, tools, and materials are secured via lock and key and/or security personnel. Indoor storage locations shall be capable of being locked from unauthorized entry. Only approved personnel shall have access to these areas. Storage areas shall be well lit in all areas. The Contractor Plan shall provide for access controls and tracking to monitor/regulate entry/exit into storage areas. The Contractor shall implement a comprehensive inventory control/tracking procedure. Logs shall be kept monitoring current inventory and update inventories as equipment, tools, and materials are consumed or taken into the work area. Inventory control of equipment must include procedures for tracking the return of equipment to storage locations. The Contractor shall also implement security controls at all site gates to inspect for unauthorized removal/theft of equipment, tools, materials from the site. Personnel shall be made aware of security controls in place at site gates during their Induction training as an added deterrent to theft. 112 i The Contractor shall implement a heavy equipment/vehicle key management procedure, whereby keys are returned to the equipment manager (or equivalent) after each shift. Equipment operators/ drivers shall be made responsible for the condition of their assigned vehicles. Where workers are taking vehicles off-site after/between shifts, the Contractor shall be aware of assigned drivers and destinations of vehicles. Contractors are strongly advised to mark their equipment and tools with placards, or other marking to indicate ownership. This action is a deterrent to errant theft, as it minimizes a thieves’ ability to claim ownership of unmarked/unknown equipment/tools. 3.4 Storage of Explosive Magazines and Detonators Explosive magazines used during blasting activities shall strictly be stored at the Nearest Uganda Police Post. The contractor has responsibility for putting a facility that is provided by the Police for the storage of the project explosives. The Police will take full responsibility for storage and shall be responsible to issue explosives to be used and they shall transport them under police security up to the point of use. The remaining explosives after use shall be transported back by police to the storage area. The contractor shall, however, be responsible for the transportation of the police security to deliver the explosives on-site as well as taking them back. Site Postings The Contractor shall post all necessary signs about security measures in use on-site along with site perimeter fencing, and especially at all site entry locations. Procedures should be communicated to all personnel via the use of signs. Signs serve as a daily reminder to personnel of security controls/procedures in place, to which they are subject. Postings shall include administrative contact information for personnel needing to report suspected theft or other violation of site security policy. 3.5 Lighting Contractors are advised to provide ample lighting on-site during hours of darkness. Lighting should be provided in all storage areas, equipment/vehicle staging areas/lots, and at site offices. The Contractor needs to ensure a back ‐up power source or emergency lighting system should power failure affect the main lighting system, especially for the camps and accommodations. 3.6 Site Offices Only personnel assigned desk space in site offices should be provided with site office door keys. A procedure must be in place to ensure the last person leaving the office locks all doors and windows. Personnel is responsible for shutting down all computer work stations to prevent theft of electronic information, plans, records, etc. All filing cabinets containing private/project records shall be maintained locked at all times. Only those personnel approved by the Project Manager shall be issued keys and access to filing cabinets. Contractors may elect to install cage barriers on all office windows as an added deterrent to unauthorized entry. UNRA advises Contractors to use caution with this control measure as its use may affect office evacuation in the event of a fire. 3.7 Violence 113 i The Contractor shall be prepared for acts of violence on-site at any time. Procedures shall be set in place to combat acts of violence. Personnel witnessing acts of violence shall be instructed to contact the site and/or security personnel immediately for assistance. Acts of violence include the following, at a minimum: • Possession of weapons (firearms, knives, explosive device) • Physical assault • Excessive threats of violence • Bomb threats • Possession of contraband or explosive devices 3.8 Site Gates UNRA recommends all Contractors to provide designated security personnel at all site access locations including active sites on the road. Security personnel should be trained on the Contractors Security Control and Management Plan. Security personnel should know the emergency contact information for the UNRA Compliance and Investigations Department and shall always coordinate efforts with UNRA. Incidents occurring on-site must be immediately reported to the employer. 4.1 Recordkeeping Security incidents shall be documented using the UNRA Incident Notification Report, or equivalent Contractor reporting form. Reports shall be provided to UNRA representatives upon request. The Contractor shall retain all security records, reports, etc. at the field office site. 114 i ANNEX 9: INCIDENT REGISTER TEMPLATE NB: Overview of all past and current incidents. Must be maintained by the project team and reviewed monthly Organization: ID Short description Cause of the Incident Incident Investigation Cost of Measure taken to Measures taken to Status incident Classification Priority findings incident control situation prevent repetition 115 ANNEX 10: LIST OF STAKEHOLDERS CONSULTED Name Agency Designation Contact Kaima Godfrey OPM Undersecretary 0786038202 Bafaki Charles OPM DRDIP- Coordinator 0772361418 Achieng Lilian UNHCR Senior Development Officer 0775827498 Patrick Muleleme UNRA Head Design 0772661123 Munina Kenneth UNRA KYM Project Manager 0771418441 Samuel Suda UNRA Station Manager 0772939747 Marcelliano Rubahamya UNRA Regional manager North 0772581718 Juliana Akoryo MoGLSD Commissioner Culture & Family Affairs 0772488038 Ngabirano Fred MoGLSD Commissioner Youth Affairs 07769000049 Mugisa David MoGLSD Commissioner OHS and Labour 0772498767 Jane Ateyi Koboko District Community Development Officer 0772550211 Andemani Austine Yumbe District Community Development Officer 0773788505 Draliga Daniel Koboko District Environmental Officer 0772961539 Andama Solo Yumbe District Environment Officer 0772850907 Luga David Moyo District Environment Officer 0782330775 Drajiga Rasul Yumbe District Assistant Chief Administrative Officer 0772304183 Kawa Sabuti Yumbe District Natural Resources Officer 0772607368 Anyama David Moyo District Community Development Officer 0784006255 Vita Betty Moyo Land Officer 0774904460 Chelimo Alex Moyo Chief Administrative Officer 0772587855 116 i ANNEX 11: ACTIONS TAKEN BY GOU TO ENSURE NON-DISCRIMINATION. This annex highlights recent actions taken by the GOU to ensure non-discrimination. It also includes transcripts of relevant Guidelines and Circulars issued by the GOU. The Anti-Homosexuality Act was passed on May 26, 2023. The GOU has continued to ensure non-discrimination in all its projects and consistent with this, the GOU has taken the following measures: • Letter of Assurance (Sept 21, 2023) to all Ministries, Agencies, and local governments to implement mitigation measures on non-discrimination in WB-financed operations. • Budget execution circular (July 10, 2023) to all public servants to ensure that projects are in line with Ugandan Constitution which emphasizes equality of all persons without prejudice or discrimination. • Circular on provision of health services (June 5, 2023) that includes measures not to discriminate or stigmatize any individuals who seek health care for any reason. • Circular on provision of education (August 18, 2023) services to all people without discrimination and exclusion in the delivery of education services, programs, and projects. • Circular issued by the Director of Public Prosecutions (August 25, 2023) stating that prosecutors should seek guidance from ODPP before decision is made to charge persons. Of particular importance is the Letter of Assurance of September 21, 2023, from the Permanent Secretary/Secretary to the Treasury on Uganda’s Social Safeguard Policies following excepts: “Following the World Bank Group’s concern with Uganda’s enactment of the Anti -Homosexual Act, 2023 and as communicated in the budget Execution Circular 2023 of FY 2023/2024 on 18 th July 2023, we guide: • All World Bank-financed projects must be implemented in a manner consistent with the principles of non-discrimination as provided under Article 21 of the Constitution of the Republic of Uganda. These projects should also be implemented in accordance with World Bank policies and applicable Legal Agreement • Under these projects, no person will be discriminated against or stigmatized, and the principles of non-discrimination and inclusion will be adhered to. Support should be provided to all project beneficiaries. • All implementing entities of World Bank projects should agree and implement specific mitigation measures to address non-discrimination. • These mitigation measures will require enhancing project grievance redress mechanisms as well as strengthening existing project monitoring by implementing entities including a World Bank Enhanced implementation support and monitoring where applicable. • Each project implementing entity shall develop comprehensive guidelines to address non- discrimination.” The following transcripts of relevant Guidelines and Circular issued by the GOU are included in Annex 11: Letter of Assurance; Circular on provision of health services; Circular on provision of education; Circular issued by the Director of Public Prosecutions. Relevant excerpts of the Budget execution circular are also provided. 117 i 118 i 119 i 120 i 121 i 122 i 123 i 124 i 125 i 126 i 127 i 128 i ANNEX 12: ENHANCED IMPLEMENTATION SUPPORT AND MONITORING OF NON-DISCRIMINATION 1. Background and Objectives The World Bank and IFC will hire an international and credible entity (firm, agency) with a strong knowledge of the Ugandan context and a track record of enhanced third-party implementation support and performance monitoring to undertake the tasks described in this section for all projects presently being implemented in the Uganda portfolio. The entity is expected to work with NGO/CSOs and country-based development partners. The Enhanced Implementation Support and Monitoring (EISM) will primarily focus on supporting project teams to implement mitigation measures to address grievances and concerns from beneficiaries, communities, and workers relating to discrimination from project benefits. The objectives of the Enhanced Implementation Support and Monitoring include: • Assisting project teams to enhance existing project-level grievance mechanisms and develop and operate an independent mechanism that would identify, manage, and monitor cases of discrimination. • Assisting the WB in strengthening the capacity of Project Implementation Units (PIUs), workers, and contractors, subcontractors, and service providers. • Ensuring contracts, codes of conduct, hiring procedures, whistle-blower protection protocols, and other measures, as needed, are in place to allow remediation of cases of discrimination. • Developing a strong data management system and process that secures personal data and information in a manner that is safe, ethical, and confidential. • Where cases of discrimination are reported through the above mechanism, the EISM will report the grievances to the Bank, propose appropriate remediation, and follow up on agreed actions to resolve the case. • Supporting the WB/IFC to monitor the efficacy of the agreed measures to mitigate the impacts on WB/IFC financed operations. Table 1 illustrates the Enhanced Implementation Support and Monitoring steps. Figure 1 contains the Enhanced Implementation Support and Monitoring process. Figure 2 contains the Complaint Management for Vulnerable and Marginalized Individuals and Groups. 2. Scope of Work and Activities To provide enhanced implementation and monitoring support to the World Bank/IFC operations in Uganda the EISM will: 2.1 Establish an effective and confidential mechanism to receive, manage, refer, and monitor grievances related to discrimination across the WB/IFC portfolio. To do so the EISM will: • Enhance existing project-level grievance redress mechanisms to safely, ethically, and confidentially receive cases related to discrimination on World Bank/IFC financed operations and refer them to an appropriate grievance handling mechanism. 129 i • Design and operate a mechanism for receiving grievances related to discrimination on WB/IFC financed operations (including from project level grievance mechanisms noted above). • Establish a hotline or an alternative complaint mechanism, for individuals to lodge complaints of discrimination on WB/IFC financed projects or voice their concerns without fear of reprisal. The EISM is an alternative to lodging complaints through a GoU-led project-level GRMs. TABLE C: ENHANCED IMPLEMENTATION SUPPORT AND MONITORING STEPS Enhanced Implementation Support and Monitoring Steps Act as a key first step in the referral process from Designed specifically to handle complaints project-level GRMs restricted to WB/IFC projects Step 1 Receives and document complaints of discrimination in accessing WB/IFC projects’ benefits, services, and opportunities, Step 2 Develops specific security protocols to ensure that communications are safe, ethical, and confidential. Step 3 Establishes a data management system on an international server guaranteed by the provider as safe and secure encryption and privacy. Step 4 Implements a data privacy and protection policy to include confidentiality clauses to be signed by all personnel entrusted with managing referrals or referral-related information. Step 5 Handles complaints in a confidential, anonymous, and non-judgmental manner which is sensitive to local context and in local languages Step 6 Provides detailed monthly reports of complaints received to the WB/IFC Step 7 Provides ad hoc incident reports of all allegations to WB/IFC within 48 hours of receipt Step 8 Reports grievances to the WB/IFC, proposes appropriate remediation, and follows up on agreed actions to resolve the case. Step 9 Maps available services for vulnerable or marginalized individuals or groups including counselling, legal services, protection, and other services, Step 10 Refers individuals to the appropriate local services or organizations as needed Step 11 Reports grievances to the WB/IFC, proposes appropriate remediation, and follows up on agreed actions to resolve the case. Step 12 Regularly evaluates the effectiveness of mitigation measures to determine whether and how well the mitigation measures are functioning. Step 13 Recommends and supports the implementation of adjustments to mitigation measures based on regular evaluations and their impact. 2.2 Outreach and sensitization to project beneficiaries and communities involved with the World Bank/IFC Portfolios Activities related to Outreach and sensitization to project beneficiaries and communities include: • Assist the WB/IFC to prepare and implement a plan to disseminate information about the support provided by the entity including support to existent GRMs. • Prepare community/beneficiary information materials on their rights within the Constitution of Uganda and World Bank/IFC policies informed by various official circulars issued by the GoU on non-discrimination and World Bank/IFC policies. • Develop and implement a methodology to conduct periodic outreach to beneficiaries/communities to hold consultations on non-discrimination to identify issues and risks in a safe, ethical, and confidential manner. 130 i 2.3 Capacity strengthening and technical support Activities related to capacity strengthening and technical support include: • Support to the WB/IFC on training of government staff and private sector consultants/clients, workers, and contractors on non-discrimination by developing training materials, identifying venues, providing trainers, etc. • Support to the WB/IFC with training project level GRMs on non-discrimination in World Bank and IFC financed Projects by developing training materials, identifying venues, providing trainers, etc. • Preparing training modules for call center operators, data management personnel, and community outreach personnel on appropriate handling of sensitive information. • Providing technical support to the GoU for the development of Guidelines on Non- discrimination of Workers. 2.4 Monitoring and Evaluation Activities related to monitoring and evaluation include: • Developing a system to regularly monitor WB/IFC projects for 1) implementation of agreed GoU actions to mitigate the risk of discrimination on WB/ IFC projects, 2) incidents of discrimination on World WB/IFC financed projects. • Regularly evaluating the effectiveness of mitigation measures to determine whether and how well the mitigation measures are functioning to improve WB/IFC awareness of incidents of discrimination on WB/IFC financed operations. • Recommending and supporting the implementation of adjustments to mitigation measures based on regular evaluations and their impact. 3. Roles and Responsibilities The GOU and its PIUs remain responsible for the implementation of all project activities including mitigation measures supported by the EISM. The enhanced implementation and monitoring support mandate is specifically focused on: (i) supporting the WB/IFC to ensure the agreed measures on non-discrimination in the portfolio are implemented fully, ethically, safely, and to an appropriate standard of quality; and (ii) to support the WB/IFC to enhance our awareness of cases of discrimination across the WB/IFC portfolio. The GOU will facilitate the work of the entity and collaborate as needed on all activities requiring their direct involvement, such as outreach and sensitization activities, capacity strengthening and technical support as well as the monitoring and evaluation of mitigation measures. The GoU will also ensure that the work under the EISM can be undertaken safely in accordance with existing circulars and their dissemination. 131 i FIGURE A. DESCRIPTION OF ENHANCED IMPLEMENTATION SUPPORT AND MONITORING (EISM) PROCESS 132 FIGURE B. COMPLAINT MANAGEMENT FOR VULNERABLE OR MARGINALIZED INDIVIDUALS OR GROUPS 133