The Republic of Uganda
Ministry of Agriculture, Animal Industry and Fisheries
Uganda Climate Smart Agricultural
Transformation (UCSAT) Project - P173296
Stakeholder Engagement
Framework
Updated September 2024
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Table of Contents
ACRONYMS ............................................................................................................................................................. v
DEFINITIONS .......................................................................................................................................................... vi
EXECUTIVE SUMMARY ......................................................................................................................................... viii
1 INTRODUCTION...............................................................................................................................................1
1.1 Project Development Objective-pdo .....................................................................................................1
1.2 Project Components ..............................................................................................................................2
1.2.1 Component 1: Strengthen Climate-Smart Agricultural Research, Seed and
Agro-climatic information Systems. ..................................................................................................2
1.2.2 Component 2: Promoting Adoption of Climate Smart Agriculture Technologies and Practices.......4
1.2.3 Component 3: Investments in Market Development and Linkages for Selected Value Chains ........6
1.2.4 Component 4: Contingency Emergency Response ...........................................................................7
1.2.5 Component 5: Project Coordination, Management, Monitoring, Evaluation and Learning .............7
2 POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK FOR PUBLIC PARTICIPATION ..........................................8
2.1 Uganda Policy Framework .....................................................................................................................8
2.1.1 Uganda National ICT Policy 2012 ......................................................................................................8
2.1.2 The National Equal Opportunities Policy 2006 .................................................................................8
2.1.3 Guidelines for Environmental Impact Assessment in Uganda 1997 .................................................8
2.2 Uganda’s Legislative Framework ...........................................................................................................8
2.2.1 The Constitution of the Republic of Uganda 1995 ............................................................................8
2.2.2 The National Environment Act 2019 .................................................................................................9
2.2.3 The National Forest and Tree Planting Act of 2003 ..........................................................................9
2.2.4 The Access to Information of 2005 ...................................................................................................9
2.2.5 Ministry of Agriculture, Animal Industry and Fisheries Extension Guidelines and
Standards 2016 ...............................................................................................................................10
2.2.6 The National Environment (Environmental and Social Assessment) Regulations, 2020 ................10
2.3 Regional Conventions on Access to Information.................................................................................10
2.3.1 The African Charter on Human and Peoples' Rights (ACHPR) .........................................................10
2.4 World Bank Environmental and Social Framework .............................................................................10
2.5 International Conventions on Access to Information..........................................................................11
3 STAKEHOLDER ENGAGEMENT, CONSULTATIONS AND DISCLOSURE ............................................................12
3.1 Introduction ........................................................................................................................................12
3.2 Stakeholder Engagement Tools ...........................................................................................................12
3.3 Objectives and Scope of the Stakeholder Engangement Framework-SEF ..........................................13
3.3.1 Objectives of the SEF ......................................................................................................................13
3.3.2 Scope of SEF ....................................................................................................................................14
3.4 Stakeholders Identification and Analysis ............................................................................................15
3.4.1 Project Beneficiaries .......................................................................................................................15
3.4.2 Project Stakeholders .......................................................................................................................17
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3.5 Stakeholder Identification ...................................................................................................................18
3.6 Stakeholder Categorization .................................................................................................................18
3.6.1 Affected Parties ..............................................................................................................................18
3.7 Interested Parties ................................................................................................................................19
3.7.1 Stakeholder Analysis .......................................................................................................................20
3.7.2 Vulnerable Groups ..........................................................................................................................48
4 Past Stakeholder Engagement in the Project ...............................................................................................51
4.1 Overview .............................................................................................................................................51
4.2 Engagement Process with Stakeholders .............................................................................................51
4.3 Consultation During Project Formulation and Design .........................................................................51
4.3.1 Face to Face Consultations During Safeguards Documents Preparation ........................................51
4.4 Some of the Key Stakeholder Concerns and Views about UCSATP .....................................................52
4.5 Measures to Improve Stakeholder Engagement .................................................................................54
4.6 Disclosures ..........................................................................................................................................55
4.7 Disclosure of Environmental and Social Safeguards Documents ........................................................55
4.7.1 Grievance Mechanism ....................................................................................................................56
4.7.2 Worker Grievance MEchanism .......................................................................................................59
5 STEP BY STEP PROCESS IN PREPARING THE STAKEHOLDER ENGAGAEMENT PLAN (SEP).............................61
5.1 Introduction/Project Description ........................................................................................................61
5.2 Brief Summary of Previous Stakeholder Engagement Activities .........................................................61
5.3 Stakeholder Identification and Analysis ..............................................................................................61
5.4 Affected Parties ...................................................................................................................................61
5.5 Other Interested Parties ......................................................................................................................61
5.6 Marginalized or Vulnerable Individuals or Groups ..............................................................................62
5.7 Stakeholder Engagement Program .....................................................................................................62
5.7.1 Purpose and timing of Stakeholder Engagement Program .............................................................62
5.8 Proposed Strategy for Information Disclosure ....................................................................................62
5.9 Proposed Strategy for Consultation ....................................................................................................63
5.10 Proposed Strategy to Incorporate the Views of Vulnerable or Marginalized Individuals
or Groups.............................................................................................................................................64
5.11 Timelines .............................................................................................................................................64
5.12 Review of Comments ..........................................................................................................................64
5.13 Future Phases of the Project ...............................................................................................................64
5.14 Resources ............................................................................................................................................64
5.15 Management Functions and Responsibilities......................................................................................64
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5.16 Grievance Mechanism .........................................................................................................................65
5.16.1 Monitoring and Reporting ..............................................................................................................65
5.16.2 Monitoring Indicators .....................................................................................................................66
5.16.3 Information Sharing ........................................................................................................................66
5.17 Implementation Budget ......................................................................................................................66
ANNEXES ...............................................................................................................................................................67
Annex 1: Summary of Proceedings from virtual meetings ...............................................................................67
Annex 2: Grievance Tools .................................................................................................................................84
List of Figures
Figure 4-1: Consultative meetings with farmers in Iganga in Eastern Uganda ................................................... 52
Figure 4-2: Consultative meetings in Namayingo areas during ESMF study........................................................ 52
List of Tables
Table 3-1: Phased Engagement Program ............................................................................................................. 14
Table 3-2: Summary of the Project Areas and Potential Enterprises .................................................................. 16
Table 3-3: Definitions for Stakeholder Analysis and Mapping ............................................................................. 21
Table 3-4: IAP2 Spectrum .................................................................................................................................... 21
Table 3-5: Methods, Tools and Techniques for Stakeholder Engagement .......................................................... 27
Table 3-6: Stakeholder Category and Their Roles in UCSATP .............................................................................. 32
Table 3-7: Uganda Vulnerable Groups ................................................................................................................. 49
Table 3-8: Principles of Goals of UCSATP Engagement ........................................................................................ 50
Table 5-1: Information Disclosure Channels ....................................................................................................... 63
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ACRONYMS
ACHPR African Chapter on Human and Peoples’ Rights
CBO Community Based Organizations
CDO Community Development Officer
COVID-19 Corona Virus Disease-19
CSA Climate Smart Agriculture
DARST District Adaptive Research Support Teams
EISM Enhanced Implementation Support and Monitoring
ESIA Environmental and Social Impact Assessment
ESF Environmental Social Framework
ESMF Environmental and Social Management Framework
ESS Environmental and Social Standards
FPI Free, Prior and Informed
GBV Gender Based Violence
GHGs Greenhouse gases
GoU Government of Uganda
IAP2 International Association of Public Participation
ICT Information Communication Technology
KPIs Key Performance Indicators
LIPWs Labor Intensive Public Works
MAAIF Ministry of Agriculture, Animal Industry and Fisheries
MDAs Ministries, Departments and Agencies of Government
MIS Market Information Services
MoFPED Ministry of Finance, Planning and Economic Development
MoGLSD Ministry of Gender, Labor and Social Development
MRVs Monitoring Reporting and Verification
MoTIC Ministry of Trade, Industry and Cooperatives
MoWE Ministry of Water and Environment
NARO National Agricultural Research Organization
NARS National Agricultural Research System
NGO Non-Government Organization
PDO Project Development Objective
PES Payment for Environmental Services
PIM Project Implementation Manual
SE Sexual Exploitation
SEF Stakeholder Engagement Framework
SH Sexual Harassment
UCSATP Uganda Climate Smart Agriculture Transformation Project
UNMA Uganda National Meteorological Authority
TIMPs Technologies, Innovations and Management Practices
WHO World Health Organization
VMPF Vulnerable Marginalized People Framework
VSLA Village Savings and Loan Associations
ZARDIs Zonal Agricultural Research and Development Institutes
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DEFINITIONS
For the purposes of this Framework, the following definitions apply:
v Climate-Smart Agriculture (CSA): an approach of transforming and reorienting agricultural
development under the new realities of climate change. Others refer to it as “agriculture that
sustainably increases productivity, enhances resilience (adaptation), reduces/removes
Greenhouse gases (GHGs) (mitigation) where possible, and enhances achievement of
national food security and development goals”. In all, the principal goal of CSA is attaining food
security and development; while productivity, adaptation, and mitigation are identified as the
three interlinked pillars necessary for attaining this goal.
v Community: A community is a group of people who have a relationship or a shared interest
v Engagement: Engagement is a planned process with the specific purpose of working with
individuals and groups to encourage active involvement in the project. The term engagement is
very broad and the purpose of engagement will be defined for each specific project phase.
Engagement refers to the range of opportunities stakeholders and the community have to
participate in the project. This ranges from educating individuals or groups about a project;
obtaining community feedback at a key project stage or milestone; or working collaboratively with
stakeholders to address local issues. It can also be referred to as public participation. The
International Association of Public Participation’s (IAP2) core values of public participation include
promoting sustainable decisions by recognizing the interests of all decision-makers; actively
facilitating the involvement of those potentially affected by or interested in a decision; providing
participants with the information they need to participate in a meaningful way; and
communicating to participants how their input affected the decision.
v Food security: United Nations’ Committee on World Food Security, defines food security in terms
of all people, at all times, have physical, social, and economic access to sufficient, safe, and
nutritious food that meets their food preferences and dietary needs for an active and healthy life.
Food security exists when all people, at all times, have physical and economic access to
sufficient, safe and nutritious food that meets their dietary needs and food preferences for an
active and. healthy life.
v Grievance: An issue, concern, problem, or claim (perceived or actual) that an individual or
community group wants a company or contractor to address and resolve.
v Grievance Mechanism: A locally based, formalized way to receive, assess, and resolve stakeholder
complaints about the performance or behavior of project proponents, including its contractors or
employees.
v Marginalized Groups: The term Marginalization generally describes the overt actions or
tendencies of human societies whereby those perceived as being without desirability or function
are removed or excluded (i.e., are "marginalized") from the prevalent systems of protection and
integration, so limiting their opportunities and means for survival.
v Project beneficiaries: those who will derive some benefit from the implementation of the project.
Two types of beneficiaries can be defined i.e. direct and indirect beneficiaries. Direct beneficiaries:
those who will participate directly in the project, and thus benefit from its existence while indirect
beneficiaries sometimes also called secondary beneficiaries being/is someone who is not directly
connected with the project, but will still benefit from it.
v Public: Public: refers to members of the general public who may not belong to a specific
community relevant to the project but they still have an interest in the project.
v Stakeholders: Persons or groups who are directly or indirectly affected by a project as well as
those who may have interests in a project and/or the ability to influence its outcome, either
positively or negatively. They may include locally affected communities or individuals and their
formal or informal representatives, national or local government authorities, politicians, religious
leaders, civil society organizations and groups with special interests, the academic community, or
other businesses.
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v Stakeholder Analysis: is a process of identifying the people before the project begins; grouping
them according to their levels of participation, interest, and influence in the project; and
determining how best to involve and communicate each of these stakeholder groups throughout
the project cycle.
v Stakeholder Mapping: The process of identifying a project’s stakeholders.
v Vulnerable Groups: Vulnerability refers to the conditions determined by physical, social,
economic and environmental factors or processes, which increase the susceptibility of a
community to the impact of hazards. A vulnerable group is therefore a population that has some
specific characteristics that make it at higher risk of falling into poverty than others.
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EXECUTIVE SUMMARY
This Stakeholder Engagement Framework (SEF) is part of the environmental and social safeguards
Frameworks developed for proposed Uganda Climate Smart Agriculture Transformation Project
(UCSATP) and covers all Project activities that require engagement with local communities and
other stakeholders. It covers subproject conceptualization, feasibility studies, planning and
environmental and social Impact Assessment (ESIA), Resettlement Action plans, grievance
redress, construction and later operations phases.
This Stakeholder Engagement Framework (SEF) is designed to ensure effective engagement with
local communities and other key stakeholders throughout UCSATP life cycle. This SEF supports
sub-project conceptualization, feasibility studies, planning and impact assessment processes,
implementation, and operational and maintenance phases of the project. UCSATP will maintain
dialogue with the relevant implementing agencies, regulatory agencies as well as with locally
affected communities and their representatives including non-government organizations (NGOs),
community-based organizations (CBOs) and other interest groups.
In September 2024, following the enactment of the Anti-Homosexuality Act, 2023, this document
was updated to include specific measures to mitigate the risk of discrimination against or
exclusion of any affected individuals or 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 as well in the UCSATP ESMF and in its Annexes (13 and 14). This SEF was modified
to ensure such vulnerable or marginalized individuals or groups are consulted appropriately
throughout the implementation of the project.
The preparation of this SEF is premised on Government of Uganda (GoU) policy and legal
framework and World Bank Environmental and Social Framework of October 2018 amongst
others. The Environmental Impact Assessment Guidelines emphasize the need for public
participation in the conduct of EIAs studies. The National Equal Opportunities Policy aims at
promoting equality of development opportunities for all persons in Uganda. On the other hand,
the National Information Communication Technology Policy 2012 provides for facilitation of the
broad possible access to public domain information and is designed to support the attainment of
this objective through several strategies for increasing accessibility to government information
and ensuring uniform practices in its distribution.
The Uganda Constitution of 1995 with Amendments through 2005 in Article 41 (1) guarantees
that every citizen has a right to information regarding development. In addition, the Access to
Information Act of Uganda of 2002 in its Article 5(1) further provides that, every citizen has a right
of access to information and records in the possession of the state or any public body and such
information and records shall be accurate and update so far as practicable. Above all, the National
Environment Act 2019 in its Section 146 equally provides that, every person shall have a right of
access to environmental information. The National Environment (Environmental and Social
Assessment) Regulations, 2020 (statutory instruments 2020 No. 143) has it that, the developer
shall, in undertaking the environmental and social impact study, carry out consultations with
relevant stakeholders, communities likely to be affected by the project and the public.
On the other hand, the World Bank Environmental and Social Standard 10 (ESS 10) on Stakeholder
Engagement and Information Disclosure recognizes the importance of open and transparent
engagement between the Borrower and project stakeholders as an essential element of good
international practice. This is because, effective stakeholder engagement can improve the
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environmental and social sustainability of projects, enhance project acceptance, and make a
significant contribution to successful project design and implementation. Furthermore,
stakeholder engagement ought to be an inclusive process conducted throughout the project life
cycle. Where properly designed and implemented, it supports the development of strong,
constructive and responsive relationships that are important for successful management of a
project’s environmental and social risks. Stakeholder engagement is most effective when initiated
at an early stage of the project development process, and is an integral part of early project
decisions and the assessment, management and monitoring of the project’s environmental and
social risks and impacts. All the call for the preparation of this SEF during this phase of UCSATP
formulation and design with subsequent engagements expected to be held during its subsequent
phases.
Consultations for UGCSAT were held in during the months of January to April 2022 as part of
overall project formulation and preparation. More specifically, during the project appraisal,
preparation of the Environmental and Social Management Framework (ESMF) and the
Resettlement Policy Framework (RPF) under preparation, preparation of this Stakeholder
Engagement Plan (SEF) and Vulnerable and Marginalized Persons Framework (VMGF) more and
focused consultations were held and the outcomes of those processes have informed these
documents. It is noted that, during subsequent stages of the project appraisal and
implementation, more consultations will be held.
During the consultations for preparation of the SEF, a number of key issues/concerns were from
stakeholders were documented and these included:
v Expectant on employment opportunities: There are high expectations from the project in
the communities in that, they look forward to some employment opportunities in its various
activities. The project should provide information to the public with respect to possible
employment that are likely to be generated;
v Possible avenue for gaining on-job training and capacity building for those to be employed
in the project. Implicit desire of affected people and the communities to develop
new/existing skills needed for employment or to support entrepreneurial ambitions.
However, skills development is part of the project interventions under its capacity
building plans;
v Potential to serve as source of income for local service providers who supply materials and
other basic goods required during the execution of the project. It is clear the communities
require support their businesses by availing right and update information on goods and
services that will be required in the project;
v Ensuring that, capacities of the beneficiaries to manage the investments at the end of the
project cycle are built so that they are able replicate and adopt to their conditions;
v The project should start as soon as it is approved so that, the communities are saved from
the problems of rampant droughts, floods and related weather challenges that have affected
food production;
v The project will require extensive gender sensitization through training of staff, community
sensitization and awareness creation on gender using gender sensitive language, gender
sensitive and inclusive IEC material and radio talk shows. Need for adequate involvement of
diverse stakeholders taking into gender and related vulnerabilities in the communities;
ensuring that technologies to be promoted in the project should be easily adapted to the
local settings; This will help get women to be part of the project for their meaningful
engagement in the project interventions;
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v Value chain improvements interventions must incorporate measures and technologies for
waste management which use technologies like rec-cycling etc. Outside most rice mills, there
are heaps of straw which farmers are not able to effectively turn to usable products that can
be used as fertilizers, sources of cooking fuel amongst others;
v The livestock component has to come with technologies for Greenhouse gas management
especially biogas technologies and applications;
v One of the challenges in farming is erratic weather, how does the project ensure timely early
warning weather information reaches the grass-root farmers so that they are able to
synchronize their cropping schedule in line with the rains?
v Issues of encroachment in swamps and wetlands by communities who grow rice growing
hence, swamp reclamation. The project should come with alternatives so that people can
easily get of wetlands if this CSA project is to meaningfully support environment and natural
resource management. The question is, why have communities continued to be engaged in
wetland encroachment despite them knowing the benefits from wetlands in terms of their
values and uses, this is what should be looked at in the project to be able to have tangible
project interventions;
v Need for continued engagement with communities living near degraded and fragile
ecosystems such as wetlands and forests so that, the project has responsive interventions
that can enable communities abandon engaging in livelihoods in such ecosystems;
v Issues of tree cutting by the communities for charcoal and firewood has degraded the
environment, the need for the project to come clear with tangible measures of tree planting
and the women be on the forefront on this as well as the youth. How are schools being
targeted as well as tertiary training institutions as well as academia?
v Need for continued sensitization and mobilization of the communities especially on the
timelines of the project so that they are set to be meaningfully engaged in the project. The
teams preparing the project should be providing such milestones;
v Need for adequate involvement of diverse stakeholders taking into gender and related
vulnerabilities in the communities; ensuring that technologies to be promoted in the project
should be easily adapted to the local settings;
v Enhancement of household livelihood initiatives under UCSATP; ensuring there is a clear and
robust communication mechanism for managing grievances without reprimanding victims
especially where there are instances of gender-based violence (GBV), sexual harassment (SH)
and sexual exploitation (SE);
v Wider stakeholder perceptions on the possible usage of safer pesticides especially in the
event of pest invasions citing the current nationwide attacks by the ravaging Armyworms;
v Insufficient water supply for farming purposes in that, farmers rely on rain water for
irrigation therefore, irrigation technologies ought to be those which even the local
communities can co-opt and operate;
v Lack of mechanization is affecting farming. People have problems of opening up land by hand
and others by oxen which oxen are not even available. There is urgent need for
mechanization of agricultural operations so that agriculture is not seen as a burden but
rather a venture that is enjoyable and profitable capable of attracting youth not when it has
still its hand-hoe technology;
v Ensuring that infrastructure constructed by UCSATP especially the Labour-Intensive Public
Works (LIPWs) are well operated and maintained, reviewing project designs to ensure they
include community needs including needs of the vulnerable;
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v Interest groups and vulnerable categories ought to have their resources and involvement
ring-fenced otherwise they are often left out during implementation. What is key, let there
be clear provisions for interventions meant for vulnerable groups in view of their uniqueness.
In NUSAF 2 and 3 there was a special program and approach meant for Karamoja which
should be the case under UCSATP otherwise these groups tend to miss out from programs
where they are included in the overall project interventions;
v UCSATP in its PMU should amongst its staffing include a VMG Specialist who is to ensure
information regarding the project is accordingly packaged and delivered to and from VMGs
for their effective and meaningful involvement in UCSATP;
v Improvement of information disclosure, more support to vulnerable persons and community
training on safety awareness;
v Land holding and land use systems. It was noted that the average land holding varies per
district and region. Land holding and tenure has impact on farming practices and use. By
implication there is need to define an inclusive criterion for the choice of beneficiary farmers.
Secondly the project will need to invest in mindset change to adopt land practices that will
benefit farmers. Land for major project investments such as valley dams, access roads and
value addition processing units etc. may require the development of the Resettlement Policy
Framework that guides the identification and any resettlement issues around land
acquisition;
v Ability of the beneficiary communities to co-fund the selected investments. Initially the
beneficiaries may be indifferent towards co-funding for investments but will adopt to the
practice with thorough sensitization. There may also be need to link farmers to access credit
from the financial institutions. Invest in mindset change and internal resource mobilization
through internal savings;
v Security issues. This was evident for some of the high value enterprises such as vanilla in
Ntoroko. Security issues among the livestock rearing communities especially among the
Karamojong, and the neighbouring communities namely the Teso, Langi, Sebei; and
v Conflicts over some of the production resources such as; land – among refugees, men and
women and youths within the households, wetlands due to a proposal for some of the
value chains such as fish, rice, wild life and human settlements and farmer fields, refugees
and host communities over agricultural resources, and for settlement water especially for
irrigation and watering animals, and pasture especially among the pastoral communities
that are doing communal grazing.
Record of the preliminary stakeholder consultation is presented as Annex to this SEF. The
Stakeholder Engagement Framework will be periodically revised and updated as necessary in the
course project implementations in order to ensure that the information presented herein is
consistent and is the most recent, and that the identified methods of engagement remain
appropriate and effective in relation to the project context and specific phases of the
development. Any major changes to the project related activities and to its schedule will be duly
reflected in the SEF.
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1 INTRODUCTION
Uganda is one of the least adapted countries to climate change where the agriculture sector is
heavily dependent on rain-fed agriculture. Climate Shocks will continue to have significant direct
and indirect impacts on agricultural productivity and incomes. It is predicted that Uganda will
continue to experience rising temperatures, which will increase to more than 20oC by 2030.
Further, the growing variability of inter-annual rainfall is projected to continue and is likely to
cause an increase in rainfall during the dry season as well as increase frequency and intensity of
extreme events such as floods and landslides, all of which contribute to worsening land
degradation.
There is an urgent need to shift the way land, water, soil, animal, fish and plant resources are
managed to build resilience to climatic shocks and sustainably increase productivity and incomes
in the most efficient, effective, and equitable manner. This would require substantial investments
into promoting uptake of existing Technologies, Innovations and Management Practices (TIMPs)
of select value chains, promoting multiplication and/or replication of TIMPs at the user level to
address potential supply constraints, promoting alternative sources of livelihoods, facilitating
linkages with private sector actors, enhancing access and uptake of climate, addressing market
and information asymmetries as well as coordination and institutional gaps that may exist.
The proposed Uganda Climate Smart Agricultural Transformation Project interventions will target
addressing the primary drivers of poverty in the north-eastern dry lands (Karamoja); north-
eastern savannah grasslands covering areas of east Acholi and northern Lango; Kyoga plains in
areas of SE Lango, Teso, Bukedi and northern Busoga sub-regions; western highlands, southern
Highlands, Southern drylands, lake Albert crescent and eastern areas mainly Elgon highlands sub-
regions of Bugisu and Sebei. These sub-regions and agro-ecological zones are targeted because of
increasing and high levels of poverty, and land and natural resource degradation; as well as low
value production, which are anchored in low productivity from engaging in low value economic
activities making communities more vulnerable to climate change shocks. The project will support
investments in technology and market-driven productivity increases in climate smart value chains.
These investments will contribute to reversing the effects of climate change thereby sustainably
increasing agricultural productivity and household incomes while enhancing resilience to climatic
shocks.
1.1 PROJECT DEVELOPMENT OBJECTIVE-PDO
To enhance production, productivity and marketable volumes of selected climate smart value
chains for increased household income and resilience among targeted beneficiaries. Overall, the
project seeks to increase productivity and marketed volumes of selected climate smart value
chains and enhance resilience of beneficiaries in the project areas and it consists of five
components:
a. Promoting Adoption of Climate Smart Agricultural Practices and Value Chains,
b. Strengthening Climate-Smart Agricultural Research and Seed Systems;
c. Strengthening Agro-climatic Monitoring and Information Systems;
d. Support to Refugee and Host Communities; and
e. Project Coordination, Management, Monitoring, Evaluation and Learning.
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1.2 PROJECT COMPONENTS
The project consists of five (5) components:(i) Strengthening Climate Smart Agricultural Research,
Seed and Agro-Climatic Information Systems; (ii) Promoting Adoption of Climate Smart
Agricultural Technologies and Practices; (iii) Investments in Market Development and Linkages to
Selected Value Chains; (iv) Contingency Emergency Response, and (v) Project Coordination,
Management, Monitoring, Evaluation and Learning.
1.2.1 COMPONENT 1: STRENGTHEN CLIMATE-SMART AGRICULTURAL RESEARCH,
SEED AND AGRO-CLIMATIC INFORMATION SYSTEMS
This component will support the development, validation, packaging, dissemination and adoption
of context- specific CSA Technologies, Innovations & Management Practices (TIMPs) to target
beneficiaries. It will facilitate investments to develop sustainable seed production, and marketing
systems. It will enhance climate risk management to improve prediction of, response to, and
planning capacity for climate change management at the national, local and community levels.
The component will also strengthen technical and institutional capacity to deliver technologies
and support the development of the seed delivery systems.
1.2.1.1 SUB-COMPONENT 1.1. SUPPORTING CLIMATE-SMART AGRICULTURAL RESEARCH
AND INNOVATIONS (US$8.8 MILLION – IDA)
This subcomponent will finance the adaptation, validation, and dissemination of context-specific
CSA TIMPs that will be developed and validated through demand-driven adaptive research and
technology incubation approaches. More specifically, this sub-component will finance
collaborative research programs to develop and promote CSA TIMPs. Under the sub-component,
the National Agricultural Research Organization (NARO) will administer a Competitive Research
Grant (CRG) scheme to finance adaptive and applied research activities for development of
demanded CSA TIMPs and emerging technology needs. Funding will be provided through two
critical windows: Window 1 - to support adaptation of generic technologies to various agro-
ecologies and needs; and Window 2 - to support research addressing emerging climate change
challenges for which technologies may not be readily available for uptake and adaptation.
Research will be conducted through partnerships with the private sector, academia, and various
players in the National Agricultural Research System (NARS) and will include TIMPs demanded by
farmers from Refugee Hosting Districts (RHDs). The subcomponent will also support training of
MSC and PhD scientist to build critical capacity for Climate Smart Agriculture research.
1.2.1.2 SUB -COMPONENT 1.2: BUILDING COMPETITIVE AND SUSTAINABLE SEED
SYSTEMS (US$12.9 MILLION – IDA; US$1 MILLION – WHR)
This sub-component will facilitate partnerships between the National Agriculture Research
System, the private sector, and farmer organizations to multiply seeds, planting materials and
stocking materials that are climate smart. Support will be provided for capacity building of farmers
and farmer organizations to multiply seeds and stocking materials, establish out-grower schemes
in the community; and directly contract with private sector multipliers. The sub-component will
2
finance crop, livestock, and aquaculture breeding programs; and promote private sector and
community (farmers) involvement in production and distribution of commercial seed.
Interventions will be aimed at strengthening seed, breed, and fingerling production systems
including strengthening decentralized Artificial Insemination (AI) services by supporting service
providers to acquire infrastructure, equipment, technology, and technical skills for seed
production. Quality assurance of seeds and breeds will be undertaken by the relevant MAAIF
institutions through established channels. Financial support will be provided through matching
grants depending on the seed and breed actors. Guidelines for matching grants will be developed
as part of the Project Implementation Manual (PIM).
1.2.1.3 SUB-COMPONENT 1.3. STRENGTHENING AGRO-CLIMATE MONITORING AND
INFORMATION SYSTEMS (US$12.6 MILLION-IDA)
The sub-component will finance the production, transmission and timely delivery of accurate
weather data and information. It will support the strengthening of agro-weather forecasting and
its dissemination tools through: (a) improving agro-meteorological forecasting and monitoring;
(b) using big data to develop a climate-smart, agro-weather information system and advisories;
and (c) building the technical capacity for agro-meteorological observation and forecasting, and
real time delivery of weather information and advisories to target farmers including refugees and
host communities. The sub-component will finance: (iI) establishment of functional automated
weather stations in locations where gaps have been identified; (ii) partnerships with local and
international institutions to support climate information development using global data sources
such as satellite data; (iii) developing agroclimatic and climate smart digital tools to facilitate
access to early warning, agroclimatic, and pest and disease surveillance information; (ivii)
establishment of soil organic carbon monitoring reporting and verification of Greenhouse Gas
Removals including lab analysis for tracking application, adoption and impact of TIMPs; and (v)
enhancement of UNMA’s capacity in agro-met data collection, management, analysis and
dissemination.
1.2.1.4 SUB -COMPONENT 1.4. STRENGTHENING INSTITUTIONAL CAPACITY FOR
DEVELOPMENT AND DISSEMINATION OF CSA TIMPS (US$31.3 MILLION – IDA;
US$1.3 MILLION – WHR)
This sub-component will support strengthening technical and institutional capacity of the ZARDIs
and the Animal Genetic Resources Centers (ANGRCs) to deliver CSA TIMPs, and support
development of sustainable climate smart seed delivery systems to all the project districts
including RHDs. Under technical capacity strengthening the sub-component will finance: (a) short-
term training and re-tooling of staff (mainly from ZARDIs) in CSA research; (b) hiring interns in
specialized areas to support the existing scientific staff at ZARDIs; (c) strengthening research-
extension linkage through specified training of district subject matter specialists (SMSs) and
improving knowledge management systems; and (d) training of district extension staff, and
farmer producer organizations on use of weather and climate information and advisories.
Institutional capacity building activities will finance the refurbishment and/or upgrading of
selected facilities and infrastructure such as communication equipment, animal experimental
structures, seed stores, small seed processing plants and fish fingerling production structures.
Financing will be provided for upgrading and operationalizing the Weather Information
Dissemination System (WIDS) using ICT platforms and provisions made for laboratory and value
addition equipment, motor vehicles, and farm machinery for selected institutions.
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1.2.2 COMPONENT 2: PROMOTING ADOPTION OF CLIMATE SMART AGRICULTURE
TECHNOLOGIES AND PRACTICES
The component will support investments in and adoption of climate smart agriculture (CSA)
technologies, innovations, and management practices (TIMPs), including sustainable land
management (SLM) practices for improved resilience, agricultural productivity, and incomes in
project areas.
1.2.2.1 SUB -COMPONENT 2.1: PRODUCTIVITY ENHANCEMENT AND RESILIENCE
INVESTMENTS FOR INCOME GENERATION (US$168 MILLION – IDA; US20 MILLION -
WHR)
This sub-component will finance CSA investments1 in the form of community micro-projects
identified through participatory processes, and strategic district level sub-projects to help
beneficiaries achieve the triple wins of increased productivity, enhanced resilience, and reduced
GHG emissions. Financing will cover project districts including Refugee Hosting Districts (RHDs).
To finance these investments, matching grants will be provided through two windows: (i)
community-level investments to finance micro-projects; (ii) district-level investments to finance
strategic larger sub-projects that benefit several sub-counties and communities.
The sub-component will provide incentives at the district level to promote adoption of climate
smart sustainable land management (SLM) technologies and practices on both communally and
privately-owned lands. The sub-component will provide an incentive to small-holder farmers in
their communities, to participate in the construction of recommended soil and water
conservation (SWC) structures such as terraces, contour bunds, and water retention ditches,
restoration of degraded wetlands, riverbanks, and lakeshores stabilization work on communally
owned land. The sub-component will provide payments for Labor Intensive Public Works (LIPW)
mainly during the agricultural off-season, to catalyze the promotion and adoption of appropriate
SLM technologies. Communities participating in the LIPW will be encouraged to save some of the
resources earned from the LIPW contracts in their group savings. They will be trained in the
management of village revolving funds (VRFs) to be used in the sustainable maintenance of the
established SLM structures. The sub-component will also provide financial incentives to farmers
whose private lands constitute a large part of the watershed, that construct and adopt
recommended SLM practices. This will enable implementation of a holistic and integrated
watershed management approach. All promoted SLM practices will be applied to the selected
value chains to ensure sustainable productivity increases. Mechanization and irrigation services
to enhance commercial production as well as weather information education will also be provided
to target beneficiaries through appropriate financing arrangements. Non-state actors including
private sector service providers will be contracted to provide services that the public extension
system is not well placed to provide.
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1.2.2.2 SUB-COMPONENT 2.2: PRODUCTIVITY ENHANCEMENT AND RESILIENCE FOR
FOOD AND NUTRITION SECURITY IN REFUGEE SETTLEMENTS (US$5 MILLION –
WHR)
The sub-component will support refugees to access TIMPs for their selected crops, livestock
including poultry and aquaculture including soil and water management, and agroforestry.
Selected commodities will primarily focus on addressing food and nutrition requirements for
refugee settlements given the critical challenges of food shortages and reduced funding to
refugee settlements. A nutrition grant will be provided for investments in FGs micro-projects such
as sourcing for foundation technologies for group multiplication and demonstrations. Given the
poor food and nutrition status of especially the under 5-year-olds in the refugee camps, this
subcomponent shall scale up existing food systems-based approaches for dietary diversity e.g.,
mainstreaming backyard/kitchen gardens for production of micronutrient-rich foods, adoption of
micronutrient rich cultivars like iron rich beans, orange-fleshed sweet potatoes, and production
and consumption of Vitamin C rich foods. The production of such micro-nutrient foods by CIGs in
refugee hosting districts for sale and supply to refugee settlements will also be supported.
Under the sub-component financing will be provided to partner organizations that support
nutrition education to refugees and host communities with particular emphasis on children,
pregnant women, and lactating mothers. Funding will be provided to POs to enhance information
and knowledge management on food and nutrition education in refugee settlements Secondary
support will be provided through a matching grant to organized refugee farmer groups to access
quality inputs such as seeds, fertilizers, micro-irrigation kits and mechanization among others, to
enable them increase productivity of the selected value chains. Where necessary, this support
would include facilitating refugee households’ access to financial services. At production level,
appropriate mechanization and water for agricultural production technologies will be provided
on a case-by-case basis. Refugee FGs will be supported through TA, to manage an internal savings
mobilization scheme, which will double as revolving fund scheme. The scheme will be a source of
financing for individual farmers’ needs including matching the micro-project grant for purchase
of production inputs, equipment, and application of CSA TIMPs.
1.2.2.3 SUB -COMPONENT 2.3. BUILDING INSTITUTIONAL CAPACITY FOR PRODUCTIVITY
ENHANCEMENT, RESILIENCE, AND STRENGTHENING SERVICE DELIVERY (US$4
MILLION-IDA; US$ 7.5 MILLION - WHR)
This sub-component will build institutional capacity at the district, sub-county, parish, and
community levels to plan, implement, manage, and monitor sub-county/district sub-projects and
community micro-projects in project area. Specifically, the sub-component will invest in: (a)
building the capacity of districts, sub-counties in CSA planning and prioritization of needs and
mobilizing and organizing farmer groups and aggregating them into higher level institutions
(Producer Associations and Producer Organizations); (b) strengthening the capacity of districts
and sub-counties to deliver agricultural extension services and oversee implementation of sub-
projects; and (c) contracting of non-state actors to support community mobilization and
strengthening of farmer and community institutions in planning and implementation of micro-
projects. The Community Driven Development (CDD) approach will be used to enable the project
to re-orient community mindset towards climate change mitigation and adaptation for ecosystem
protection and restoration, and to manage technology uptake and promotion. The sub-
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component will also facilitate the provision of information, knowledge and advice through farmer
field schools and lead farmers established and selected for the purpose of last mile service
delivery.
Institutional capacity building and strengthening in refugee settlements and RHDs will be based
on existing institutions established in refugee settlements and RHDs and/or modified to best suit
promotion of CSA TIMPs. Relations between farmer institutions in refugee settlements and in host
communities will be strengthened. Financing will support (i) capacity building of common interest
farmer groups in refugee settlements and in host communities for increased productivity and
resilience; (ii) strengthening relations between farmer institutions in refugee settlements and in
host communities for efficient project implementation; (iii) strengthening capacity of the Refugee
Hosting Districts (RHDs) local governments as well as humanitarian and development agencies in
provision of agricultural extension services; (iv) recruitment of community-based facilitators
(CBFs) in refugee settlements and host communities to provide last mile service delivery to
beneficiaries; (v) support the development of Agricultural settlement land management plans by
MAAIF and OPM for each RHD with input from United Nations High Commissioner for Refugees
(UNHCR); and (vi) developing partnerships between refugees and host communities for land
utilization to increase access to land for agricultural production.
1.2.3 COMPONENT 3: INVESTMENTS IN MARKET DEVELOPMENT AND LINKAGES FOR
SELECTED VALUE CHAINS
The objective of this component is to improve access to remunerative markets through increased
access to harvesting, post-harvest handling, storage, value addition, and market linkage services,
equipment, and infrastructure by higher-level institutions (Producer Associations and Producer
Organizations (POs) established under sub-component 2.3.
1.2.3.1 SUB-COMPONENT 3.1: INVESTMENTS IN MARKET DEVELOPMENT AND LINKAGES
FOR SELECTED VALUE CHAINS FOR NON-REFUGEE DISTRICTS (US$44 MILLION –
IDA)
The project will support farmers who are not refugees through investments in (i) Strengthening
the institutional capacity of POs for demand articulation, business planning and market access;
(ii) Business Development Services which include (i) strengthening of the POs in governance; and
managerial and technical capacity; (ii) technical skills in entrepreneurship and business plan
development; (iii) financial literacy and linkage to the formal financial sector; (iv) negotiation; and
(v) partnership development and networking through Productive Alliances (PAs) with potential
off-takers and other value chain stakeholders. Farmers in POs will receive services through
Technical Assistance (TA) by the existing pluralistic agricultural extension system and private
service providers and through Matching grants. Financing will also be provided for: (iii) Clean
energy equipment, machinery and infrastructure for harvesting, post-harvest management and
value addition to minimize losses, improve the quality and shelf-life of produce under a cost-
sharing mechanism; (iv) Promoting market linkages to enable the production generated to access
remunerative markets and (v) investments into market infrastructure and access roads, where
such investments significantly improve enterprise viability and reduce commodity/product losses
and where a clear need has been established. This will improve efficiency, scale up operations
and increase the profitability of enterprises while reducing the carbon footprint of the agri-food
value chain. The project will also finance the rehabilitation of infrastructure for specific road
6
bottlenecks and trouble spots on rural roads, which constrain access to physical input and
produce markets.
1.2.3.2 SUB-COMPONENT 3.2: INVESTMENTS IN MARKET DEVELOPMENT FOR SELECTED
VALUE CHAINS FOR REFUGEES AND HOST COMMUNITIES (US$13.3 MILLION – WHR)
The sub-component will provide the following services (i) Skills development for improved service
delivery by selected youth; and district and sub-county local government extension staff; and (ii)
Investments in clean-energy equipment, machinery, and infrastructure for harvesting, post-
harvest, value addition to minimize losses, improve the quality and shelf-life of produce and
market access facilities including rehabilitation of existing road chokes, where a clear need has
been established.
1.2.4 COMPONENT 4: CONTINGENCY EMERGENCY RESPONSE
This zero-cost component will finance eligible expenditures under the Immediate Response
Mechanism (IRM) in case of natural or man-made crises or disasters such as severe droughts,
floods, specific pest and disease outbreaks, severe economic shocks, or other crises and
emergencies that may occur in Uganda. This contingency facility can be triggered through formal
notification of an emergency by the relevant government authority and upon a formal request
from the Government to the World Bank through the MoFPED. In such cases, funds from other
project components will be reallocated to finance emergency response expenditures to meet
agricultural crises and emergency needs. The emergency response would include mitigation,
recovery, and reconstruction following the crisis and disasters. Implementation of this
subcomponent will follow a detailed Contingent Emergency Response Implementation Plan
(CERIP) satisfactory to the World Bank that will be prepared for each Eligible Crisis of Emergency.
1.2.5 COMPONENT 5: PROJECT COORDINATION, MANAGEMENT, MONITORING,
EVALUATION AND LEARNING
This component will support the operational expenditures related to the management and the
monitoring and evaluation of the project, including E&S management. Specifically, the
subcomponent will support: (i) Building the technical capacity of MAAIF staff and project
stakeholders on World Bank Environment and Social standards applicable to the project; (ii)
stakeholder engagements, preparation and implementation of site specific instruments and tools
including mainstreaming of ESHS aspects in other sector operations (iii) Strengthening ESHS
compliance monitoring and supervision; (iv) Enhancing MAAIF’s safeguards management
infrastructure such as E-ESHS safeguards tracking system, hazardous waste disposal facilities and
analytical monitoring equipment (such as Liquid chromatography mass spectrometer (LCMS),
High performance Liquid Chromatography (HPLC), accessory equipment, glass wares, standards
and reagents for testing the quality of pesticides, portable test kits for rapid detection of fake
fertilizers among others); (v) Strengthening Grievance Redress Mechanism structures, (vi)
Acquisition of ESHS safeguards statutory permits and certificates in respect of project
components, (vii) Strengthening gender mainstreaming aspects in the project including SEA/GBV
and (viii) Strengthening stakeholder, institutional participation, and mindset change including
protection of vulnerable groups.
7
2 POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK FOR PUBLIC PARTICIPATION
This Stakeholder Engagement Framework (SEF) is underpinned by the Uganda’s policy and legal
framework which guarantees the right to information and public participation. It is also supported
by the World Bank ESF specifically Environmental and Social Standard 10: Stakeholder
Engagement and Information Disclosure.
2.1 UGANDA POLICY FRAMEWORK
2.1.1 UGANDA NATIONAL ICT POLICY 2012
One of the objectives of Uganda’s National ICT Policy is “to facilitate the broadest possible access
to public domain information.” The policy is designed to support the attainment of this objective
through several strategies, including conducting research to establish citizens’ information needs
and the barriers to information use, and developing measures to overcome these barriers; and
increasing accessibility to government information and ensuring uniform practices in its
distribution.
2.1.2 THE NATIONAL EQUAL OPPORTUNITIES POLICY 2006
The National Equal Opportunities Policy aims at promoting equality of opportunities for all
persons in Uganda, irrespective of gender, age, physical ability, health status or geographical
location, in all activities, programmes, plans and policies of Government, private sector and Non-
Governmental Organizations in all spheres of social, economic, political and civil life. The policy is
to guide and direct planning processes, resource allocation and implementation of developmental
activities in an equitable manner.
2.1.3 GUIDELINES FOR ENVIRONMENTAL IMPACT ASSESSMENT IN UGANDA 1997
According to these Guidelines, during the ESIA process, its scoping phase to the extent possible,
involve consultations with potentially affected communities, relevant government agencies,
representatives of other interested parties including NGOs, private sector, independent experts
and all other stakeholders including the general public. This will include meetings to obtain their
comments on what should be included in the study amongst others. s
2.2 UGANDA’S LEGISLATIVE FRAMEWORK
2.2.1 THE CONSTITUTION OF THE REPUBLIC OF UGANDA 1995
The Constitution of the Republic of Uganda is the supreme law, provides for and guarantees public
participation as one of its core pillars and a constitutional right. Amongst its Fundamental and
other human rights and freedoms, it is stated that, the State shall guarantee and respect
institutions which are charged by the State with responsibility for protecting and promoting
human rights by providing them with adequate resources to function effectively. In addition, the
right to access information is enshrined in Article 41 of the Constitution which provides that, every
citizen has a right of access to information in the possession of the state or any other organ of the
8
state except where the release of the information is likely to interfere with the security of the
state or the right to the privacy of any other person.
2.2.2 THE NATIONAL ENVIRONMENT ACT 2019
The Act sets out the general legal framework and policy objectives for the sustainable
management of the environment in Uganda. It encourages the participation by the people of
Uganda in the development of policies, plans and processes for the management of the
environment as well as the equitable use of natural resources for the benefit of present and future
generations. To co-ordinate and supervise all activities in the field of the environment the
National Environment Agency (NEMA) was established under the Act as the principal agency for
the management of the environment in Uganda.
In its Article 146 (1) of the Act provides that, every person shall have a right of access to
environmental information relating to the implementation of this Act, subject to the Constitution
and the Access to Information Act, 2005. Under 146 (2) A person desiring information under
subsection (1) shall request the Authority or a lead agency in writing, for the information and may
be granted access on payment of the prescribed fee.
2.2.3 THE NATIONAL FOREST AND TREE PLANTING ACT OF 2003
Section 91 National Forestry and Tree Planting Act provides that, every citizen has a right of access
to any information relating to the implementation of this Act, submitted to or in the possession
of the State, a local council, the Authority or a responsible body. A person desiring information
under subsection (1) shall apply to the relevant body under subsection (1), and shall be granted
access to the information on the payment of the prescribed fee, if any in a prescribed manner.
Freedom of access to information under this section does not extend to proprietary information
which is treated as confidential. For purposes of this section, “proprietary information” shall mean
information on research or practices initiated or paid for by an individual or private company or
financial standing of an individual or private company which is not for public consumption.
2.2.4 THE ACCESS TO INFORMATION OF 2005
The Access to Information Act of 2005 further specifies the constitutional guarantee of access to
information by determining the scope of citizen rights and the obligations of information offices
in all public bodies. It prescribes the procedures for obtaining access to information and making
complaints against a refusal to release information. In principle the Act applies to information and
records of all government bodies at the national, regional and local level. It does not apply to
cabinet records and the records of court proceedings before the conclusion of the case. The Act
explicitly recognizes the link between the provision of timely, accessible and accurate information
and transparent, accountable and participatory governance. In all, the Act was enacted to
promote the right to access to information, promote an efficient, effective, transparent and
accountable Government and to enable the public to effectively access and participate in
decisions that affect them as citizens of the country.
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2.2.5 MINISTRY OF AGRICULTURE, ANIMAL INDUSTRY AND FISHERIES EXTENSION
GUIDELINES AND STANDARDS 2016
This aim of these Guidelines and Standards is to establish a high quality, well-coordinated and
harmonized pluralistic agricultural extension delivery system to promote application of
appropriate information, knowledge, and technological innovations for commercialization of
agriculture, ensuring food security, expanding exports and contributing to socio-economic
transformation and welfare of the population.
2.2.6 THE NATIONAL ENVIRONMENT (ENVIRONMENTAL AND SOCIAL ASSESSMENT)
REGULATIONS, 2020
The conduct of environmental impact assessments (preparation of project briefs, scoping reports
and detailed Environmental and Social Impact Assessments including Auditing) as well as the
process of approvals of these study out-puts are all deemed to be open participatory processes.
Its Regulation 8(1) provide that, where the Authority deems that the Project Brief submitted
under regulation 7(1) is complete, it shall, within seven days of receipt, transmit a copy of the
Project Brief to the relevant lead agency for comments and the lead agency shall submit its
comments on the Project Brief to the Authority within fourteen days from the date of receipt of
the project brief.
During detailed ESIA studies as under 13 (4) such study Terms of Reference (ToRs) are to include
amongst others, stakeholder groups identified and how they are to be involved in the ESIA study,
including details on the process and timeline to provide information to the public likely to be
affected by the project; and the process of consultations and timeline to enable public
consultations and submission of comments and during the study itself, it is required that, the
number of people who are likely to be affected be established including indigenous people and
local communities.
2.3 REGIONAL CONVENTIONS ON ACCESS TO INFORMATION
2.3.1 THE AFRICAN CHARTER ON HUMAN AND PEOPLES’ RIGHTS (ACHPR)
At regional level, the right to access information is enshrined in Article 9 of the African Charter on
Human and Peoples' Rights (ACHPR). Article 9 of the ACHPR states that every individual shall have
the right to receive information and the right to express and disseminate his/her opinions within
the law.
2.4 WORLD BANK ENVIRONMENTAL AND SOCIAL FRAMEWORK
Specifically, the World Bank Environmental and Social Standard 10 (ESS 10) on Stakeholder
Engagement and Information Disclosure recognizes the importance of open and transparent
engagement between the Borrower and project stakeholders as an essential element of good
international practice. This is because, effective 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. Furthermore,
stakeholder engagement ought to be an inclusive process conducted throughout the project life
10
cycle. Where properly designed and implemented, it supports the development of strong,
constructive and responsive relationships that are important for successful management of a
project’s environmental and social risks.
2.5 INTERNATIONAL CONVENTIONS ON ACCESS TO INFORMATION
2.5.1.1 PRINCIPLE 10 OF THE 1992 RIO DECLARATION
Environmental issues are best handled with the participation of all concerned citizens, at the
relevant level. At the national level, each individual shall have appropriate access to information
concerning the environment that is held by public authorities, including information on hazardous
materials and activities in their communities, and the opportunity to participate in decision-
making processes. States shall facilitate and encourage public awareness and participation by
making information widely available.
2.5.1.2 UNIVERSAL DECLARATION OF HUMAN RIGHTS
Access to information is a fundamental human right recognized by international human rights
instruments including article 19 of the Universal Declaration of Human Rights, which provides
that, everyone has the right to freedom of opinion and expression; this right includes freedom to
hold opinions without interference and to seek, receive and impart information and ideas through
any media and regardless of frontiers.
2.5.1.3 OTHER CONVENTIONS ON RIGHTS TO INFORMATION
The right of access to information is also recognized by; article 19 of the International Covenant
on Civil and Political Rights; articles 13(1) and 17 of the Declaration on the Rights of the Child;
article 15 of the United Nations Declaration on the Rights of Indigenous People; and the United
Nations General Assembly Resolution, 59 (1). In 2012, the United Nations also recognized access
to the internet as an important tool for the promotion of the right of access to information, while
2016 was the first year that UNESCO marked September 28 as the International Day for Universal
Access to Information (IDUAI).1 At regional level, the right to access information is enshrined in
article 9 of the African Charter on Human and Peoples' Rights (ACHPR). Article 9 of the ACHPR
states that Every individual shall have the right to receive information and the right to express
and disseminate his/her opinions within the law.
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3 STAKEHOLDER ENGAGEMENT, CONSULTATIONS AND DISCLOSURE
3.1 INTRODUCTION
Stakeholder engagement is an inclusive process that will be conducted throughout the phases of
the project. It is aimed to support the development of strong, constructive and responsive
relationships which are important for the sustainability and acceptability of the project.
Stakeholder engagement is most effective when initiated at an early stage of the project
development process, and is an integral part of early project decisions and the assessment,
management and monitoring of the project’s environmental and social risks and impacts.
3.2 STAKEHOLDER ENGAGEMENT TOOLS
The two common stakeholder engagement tools are; a Stakeholder Engagement Framework (SEF)
and a Stakeholder Engagement Plan (SEP). The SEF is designed to ensure effective engagement
with local communities and other key stakeholders throughout project life cycle (in this case, the
UCSATP) and seeks to support conceptualization, feasibility studies, planning and impact
assessment processes, implementation, and operational and maintenance phases of the project.
Ideally, the SEF commits an organization/developer strategically to effective and meaningful
engagement with its stakeholders during initial phases of project development. It also seeks to
enhance the way an organization interacts and engages with their stakeholders and to help
deliver on its project objectives in subsequent project phases.
On the other hand, the SEP seeks to define a structured, purposeful and appropriate approach to
stakeholder consultation and disclosure. Its aim is to create an atmosphere of understanding that
actively involves project-affected people and other stakeholders leading to improved decision
making regarding a development intervention. Overall, the SEP will serve the purpose such as
stakeholder identification and analysis; planning engagement modalities through effective
communication, consultations and disclosure and defining roles and responsibilities for its
implementation amongst others.
As stated, the Stakeholder Engagement Framework (SEF) is designed to ensure effective
engagement with local communities and other key stakeholders throughout UCSATP life cycle.
This SEF supports sub-project conceptualization, feasibility studies, planning and impact
assessment processes, implementation, and operational and maintenance phases of the project.
UCSAT will maintain dialogue with the relevant regulators and locally affected communities and
their representatives as well as non-government organizations (NGOs), community-based
organizations (CBOs) and other interest groups.
As seen under the ESS10 Stakeholder Engagement and Information Disclosure under the ESF
recognizes the importance of open and transparent engagement with project stakeholders.
Success of any project is hinged on the level and quality of stakeholder engagement, which is to
be 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. To this end, a Stakeholder Engagement Framework (SEF) has been
prepared and will be disclosed alongside the Project ESMF. Under Component 3 (Project
Coordination, Management, Monitoring, Evaluation and Learning), the project has allocated an
adequate budget to undertake implementation of the environmental and social mitigation
12
measures effective and meaningful stakeholder engagement with all of the project affected
groups throughout the life cycle of the project. GoU through MAAIF and Ministry of Finance
Planning and Economic Development have committed to implement the project in compliance
with the World Bank’s ESF as documented in the Environmental and Social Commitment Plan
which forms part of the Financing Agreement. The implementation agencies will also coordinate
with, assist and facilitate the role of the World Bank-financed Enhanced Implementation Support
and Monitoring entity. See Annex 14 of the UCSATP ESMF for more details.
3.3 OBJECTIVES AND SCOPE OF THE STAKEHOLDER ENGANGEMENT FRAMEWORK-SEF
3.3.1 OBJECTIVES OF THE SEF
The broad objectives of this SEF are to:
a. Describe the applicable regulatory and/or other requirements for disclosure, consultation
and engagement with the Project’s stakeholders;
b. To enable identify elaborately different stakeholders including their roles and develop an
approach for reaching each of the sub groups;
c. Identify, analyse and prioritize key stakeholder groups, focusing on Project directly affected
local communities;
d. To assess the level of stakeholder interest and support for the project and to enable
stakeholders’ views to be considered in project design and environmental and social
performance.
e. To provides an appropriate approach for consultations and disclosure of Project information
throughout the project cycle;
f. To plan for engagement modalities and provide effective communication tools for
consultations and disclosure of Project information at various stages of the project;
g. To ensure that appropriate project information on environmental and social risks and
impacts is disclosed to stakeholders in a timely, understandable, accessible, and
appropriate manner and format.
h. Provide a transparent and inclusive strategy, action plan and timetable for disclosure of
information, ensuring that engagement with each group is undertaken without any form of
discrimination, intimidation, manipulation, coercion or retaliation;
i. Describe the processes for implementing stakeholder engagement and community liaison
activities, including any special measures for engaging with vulnerable groups and
integration of this SEF into UCSATP’s wider management systems;
j. Establish an effective grievance mechanism, including a survivor-centred approach for
GBV/SEA complaints and grievances as well as a pathway to safely, ethically and
confidentially receive cases related to exclusion or discrimination of individuals or groups
that are vulnerable or marginalized, ensuring that stakeholders are properly informed of
their rights and know how to communicate their concerns;
k. Determine roles, responsibilities in project consultation, communication and information
disclosure;
l. Define monitoring and reporting procedures; and
m. Ensure continuous improvement.
In September 2024, following the enactment of the Anti-Homosexuality Act, 2023, this document
was updated to include specific measures to mitigate the risk of discrimination against or
exclusion of any affected individuals or groups in providing or receiving benefits in World Bank–
13
financed projects and programs in Uganda. These measures are described in various sections of
this document as well in the UCSATP ESMF and in its Annexes (13 and 14). This SEF was modified
to ensure such vulnerable or marginalized individuals or groups are consulted appropriately
throughout the implementation of the project.
3.3.2 SCOPE OF SEF
The SEF is part of the environmental and social safeguards Frameworks developed for the UCSATP
and focuses on project activities that require engagement with local communities and other
stakeholders. It covers (where applicable) subproject conceptualization, feasibility studies,
planning and Environmental and Social Impact Assessment (ESIA), Resettlement Action Plans,
grievance redress, construction and later operations phases. UCSATP engagement principles and
goals, and the IAP2 Spectrum have driven the development of a phased approach to engaging
with community and stakeholders on the sub-projects. The table below sets out the six phases,
engagement objectives and engagement outcomes.
Table 3-1: Phased Engagement Program
Phase Engagement objectives Engagement outcomes
Phase 01: Project a. Raise public awareness and understanding a. Community and stakeholders
preparation- Design, of the project and early engagement; understand and appreciate
scoping, b. Raise public awareness of the project and the project benefits and
resettlement approval process; impacts;
planning, ESMF, c. Inform community members of how they b. Framework for participation
RPF, SEF disclosure. can be involved; established. the project and
d. Gather inputs for project design process are motivated to be involved;
and obtain feedback from stakeholders and c. Project design improved for
the community; better outcomes;
e. Raise public awareness and understanding b. Stakeholder input and
about the project benefits and outcomes; understanding of the project
and impacts and mitigation
f. Participation in the project impact measures; and
assessments and mitigation measures; and c. Approvals obtained.
g. To obtain relevant approvals.
Phase 2: a. Engagement to support project, a. Multiple communications
Construction and procurements and any acquisitions as may channels and opportunities
mobilization be applicable; provided for stakeholders
activities b. Support landowners and tenants through and the community to ask
the land acquisition process (where land questions about the project
take is required); and raise issues; and
c. Establish clear processes for notifying b. Community and stakeholders
stakeholders and the community about are aware of the project
potential impacts from works, including a benefits, timing and impacts.
transparent complaints management
process;
d. Engage with and provide advance notice to
local businesses, farmers and communities
about the project activities or works;
e. Support the detailed design work
undertaken including providing
opportunities for stakeholder and
community input and feedback.
14
Phase Engagement objectives Engagement outcomes
Phase 3: Operation a. Support the transition from project a. Community and stakeholders
and maintenance activities delivery to operation and are aware of the project’s
maintenance. completion and understand
b. Engage with and provide advance notice, how the new infrastructure
including direct contact where required, to will operate; and
local businesses, farmers, residents, users b. Community and stakeholders
about operation of the new infrastructure. have the opportunity to take
part in celebrating project
achievements.
3.4 STAKEHOLDERS IDENTIFICATION AND ANALYSIS
3.4.1 PROJECT BENEFICIARIES
The project will be implemented in 69 districts and will directly benefit about 2,850,000
individuals. Given that project intervention areas will also cover refugee hosting districts, about
50,000 refugees are expected to directly benefit from project activities bringing the total number
of direct beneficiaries to about 2.9 million. The direct beneficiaries of the project are the users of
land and its resources including farmers, fish farmers, pastoralists, forest users, refugees and their
host communities defined by their agro-ecologies, farming systems, socio-economic factors,
geopolitics, and land tenure. Agro-ecological zones included are: (i)North-Eastern Dry Lands
(Karamoja); (ii) North-Eastern Savannah Grasslands (East Acholi and Northern Lango); (iii) Kyoga
Plains (SE Lango, Teso, Bukedi and northern Busoga); Western highlands, southern Highlands,
Southern drylands, lake Albert crescent (iv) Eastern (Elgon) Highlands (Bugisu and Sebei)
(v)Western (Bunyoro) (vi) South Western (Kigezi) (vii) Northern Buganda and Ankole Sub-region.
These sub-regions and agro-ecological zones are targeted because of increasing and high levels
of poverty, and land and natural resource degradation; vulnerability to vagaries of climate change
as well as low value production.
The project will target individuals (smallholder and largescale farmers), farmer groups,
cooperatives, and self-help groups. The project will also target the poor and vulnerable
households as well as marginalized groups youth, women, and the elderly. Priority and attention
shall be given to youth engagement and at least 40% of the direct beneficiaries are expected to
be women. The indirect beneficiaries are the household members of the project participants and
the users of the rehabilitated lands and sustainably managed natural resources that have not
benefited directly from the project but benefitting directly from project activities.
15
Table 3-2: Summary of the Project Areas and Potential Enterprises
Sub-region Districts Enterprises
Busoga Buyende, Kamuli, Luuka, Kaliro, Fish farming (cages & ponds),
Namutumba, Bugiri, Bugweri, livestock (pigs, poultry, dairy, beef
Iganga, Mayuge, Namayingo cattle), avocado, macadamia
Bukedi Tororo, Butaleja, Busia, Kibuku, Pond fish farming, cage fish
Butebo, Pallisa, Budaka farming, livestock (dairy, pigs,
poultry), avocado, macadamia,
vegetables
Elgon Mbale, Bulambuli, Namisindwa, Livestock (pigs, dairy), avocado,
Bududa, Sironko, Kapchorwa, macadamia, vegetables
Kween, Bukwo, Manafwa
Karamoja Kaabong, Moroto, Nabilatuk, Livestock (goats, beef cattle),
Nakapiripirit, Amudat, Abim, Napak sorghum, apiculture, sunflower,
cassava
Teso Kumi, Bukedea, Ngora, Katakwi, Pond fish farming, cage fish
Soroti, Serere, Kapelebyong, farming, livestock (poultry, pigs,
Amuria, Kalaki, Kaberamaido dairy, beef cattle), macadamia,
citrus, mangoes
Acholi Amuru, Lamwo, Nwoya, Omoro, Pond fish farming, livestock (pigs,
Kitgum, Pader, Gulu, Agago poultry, dairy, beef cattle),
macadamia, citrus, mangoes
Lango Sub-regions Apac, Oyam, Lira, Kwania, Dokolo, Pond fish farming, livestock (pigs,
Amolatar, Alebtong, Kole, Otuke poultry, beef cattle), pond fishing,
avocado, citrus, mangoes
West Nile Koboko, Maracha, Moyo, Pond fish farming, (livestock (beef
Pakwach, Nebbi, Yumbe and cattle, pigs, poultry), mangoes
Zombo, Madi-okollo, Obongi
Ankole Rwampara, Ntumgamo, Rukingiri, Dairy
Kiruhura
Kigezi Kabale Dairy
North Buganda Nakasongola Coffee, cage and pond fish
farming, dairy
Rwenzori, Kamwenge Ntoroko Coffee, dairy, macadamia
Bunyoro Kamwenge Coffee, pond and pond fish
farming, beef, macadamia
16
3.4.2 PROJECT STAKEHOLDERS
Project stakeholders are defined as individuals, groups or other entities who:
v Are impacted or likely to be impacted directly or indirectly, positively or adversely, by
the Project (also known as affected parties); and
v May have an interest in the Project (interested parties). They include individuals or
groups whose interests may be affected by the Project and who have the potential to
influence the Project outcomes in any way.
Cooperation and negotiation with the stakeholders throughout the Project development often
also require the identification of persons within the groups who act as legitimate representatives
of their respective stakeholder group, i.e. the individuals who have been entrusted by their fellow
group members with advocating the groups’ interests in the process of engagement with the
Project.
Community representatives may provide helpful insight into the local settings and act as main
conduits for dissemination of the Project-related information and as a primary
communication/liaison link between the Project and targeted communities and their established
networks. The legitimacy of such representatives may stem both from their official elected status
and their informal and widely supported standing within the community that allows them to act
as focal points of contact in Project’s interaction with its stakeholders.
For UCSATP, some its stakeholder representatives include amongst others:
a. members of parliament;
b. technical staff from line MDAs and Statutory agencies;
c. district political leaders;
d. district technical heads of departments;
e. sub-county political and technical staff;
f. non-elected leaders that have wide recognition within their community, such as
chairpersons of local initiative groups, committees, local cooperatives/village savings and
loan associations (VSLA) etc.;
g. leaders of community-based organizations (CBOs), including those representing vulnerable
or marginalized individuals or groups, local NGOs, and youth and women’s groups;
h. members of Vulnerable and Marginalized Groups (VMGs) (indigenous groups such as Ik,
Batwa, Benets, Tepeth and Toposa amongst others;
i. the elders and veterans within the affected/beneficiary community;
j. religious leaders as well as traditional faiths; and
k. other opinion leaders in the local communities, etc.
For some stakeholder groups, verification of their representatives (i.e. the process of confirming
that they are legitimate and genuine advocates of the community they represent) is an important
task in establishing contact with the community stakeholders.
17
3.5 STAKEHOLDER IDENTIFICATION
The UCSATP activities will attract interest from a broad cross section of the community, both
within the project area and outside. Stakeholder identification and analysis is a core part of
developing an engagement approach. It is important to note that stakeholders may change over
the course of the project and different approaches may be required for effective engagement.
The following criteria, adjusted to take account of local specific conditions, are proposed to be
used for the identification of stakeholders:
a. Liability: project implementation or on-going operations may result in legal, financial or
other liabilities of the proponent to a social group;
b. Influence: a social group may be able to substantially influence project implementation or
ongoing operations;
c. Partnership: there are opportunities for building partnership relations between the project
developer and a given social group in the framework of the project implementation or
ongoing operations;
d. Dependency: project implementation may significantly affect a given social group, in
particular, it may affect vital interests of its representatives if they are dependent on the
project on-going operations in economic or financial terms;
e. Representation: a social group may have a right to represent interests with regard to a
project or on-going operations, and this right is legitimated through legislation, custom and
and/or cultural specifics; and
f. Expressed interest: a social group and/or individual may express interest to a project or
ongoing operations, and this group is not necessarily directly affected by the planned or
current activities
3.6 STAKEHOLDER CATEGORIZATION
The various international standards being applied to this Project define two main categories
of stakeholder; differentiating for example between “those who will be or are likely to be directly
or indirectly affected, positively or negatively, by a project (commonly referred to as project-
affected people, households or communities)” and “those who might have an interest in, or
may influence the project”. Following this definition, the two principal groups of stakeholders in
the UCSATP are broadly categorized as follows: Affected parties, and interested parties.
3.6.1 AFFECTED PARTIES
Affected Parties include local communities, community members and other parties that may
be subject to direct impacts from the UCSATP sub-projects. Affected parties are generally located
within the Project’s defined area of influence but may be elsewhere (e.g. people who live outside
of project area but have personal or business interests that may be directly affected by the
development of the sub- projects).
18
Affected parties under UCSATP include:
v Directly affected: communities, groups and individuals displaced physically and/or
economically by the Project, including any vulnerable or marginalized stakeholders.
v Indirectly Affected: Residents, businesses, local government officials and administrators
who may be indirectly affected by employment opportunities, influx and the related pressure
on resources and services. Government officials, including district and sub-county
administration in the project area, village administrations, environmental protection
authorities. Community-based groups and non-governmental organizations (NGOs) that
represent local residents and other local interest groups, and act on their behalf; and
eemployees, their representatives and contractors to UCSATP.
Local NGOs and initiative/advocacy groups represent the considerable capacity that the
project(s) may tap for disseminating the information and raising awareness of the planned
activities among the potentially affected communities in the project area. NGOs typically have
well established interaction with the local communities, are able to propose the most effective
and culturally appropriate methods of liaising based on the local customary norms and
prevailing means of communication, and possess the facilitation skills that may be utilized as part
of the project’s consultations. In addition, NGOs may lend assistance in disseminating information
about the proposed project(s) to the local communities, including in the remote areas (e.g. by
placing information materials about the project in their offices, distributing the project
information lists during events that they are organizing), and provide venues for the engagement
activities such as focus-group discussions.
3.7 INTERESTED PARTIES
The projects’ stakeholders also include parties other than the directly affected communities:
Individuals/groups/entities that may not experience direct impacts from the Project but who
consider or perceive their interests as being affected by the project and/or who could affect the
project and the process of its implementation in some way. These Interested parties may include:
a. Residents of the other settlements within the project area, who can benefit from
employment and training opportunities stemming from the project;
b. Civil society groups and NGOs on the regional, national and local levels, that pursue
environmental and socio-economic interests and may become partners of the project.;
c. Business owners and providers of services, goods and materials within the project area
that will be involved in the project’s wider supply chain or may be considered for the
role of project’s suppliers in the future;
d. Government officials, permitting and regulatory agencies at the National levels, including
environmental, technical, social protection and labour authorities;
e. Mass media and associated interest groups, including local, county and national printed
and broadcasting media, digital/web-based entities, and their associations;
f. Other notable projects in the region;
g. Politicians at national/regional/local levels;
h. Lenders’ to the Project; and
i. Academics and other interest groups.
19
The Ministry of Animal Industry and Fisheries (MAAIF) will be the lead implementing agency with
primary operational guidance and implementation functions as well as the over responsibility for
project implementation. The Table 3-6 broadly identifies the key stakeholder groups, their
respective relevance to and interests in the project.
3.7.1 STAKEHOLDER ANALYSIS
A sound community relations approach to engagement with stakeholders, builds on in-depth and
structured analysis of stakeholders. It also allows UCSATP to determine which stakeholder groups
to prioritize within the stakeholder engagement/community relations strategy. For example,
influential stakeholders who are significantly impacted by the Project typically make good
partners for UCSATP to work with, while stakeholders with limited influence who are significantly
impacted are best approached through an empowerment or rights protection perspectives, as
they may not have the capacity to represent themselves properly.
Similarly, interested parties can be a low priority for community relations efforts, but their
capacity to exert high influence over the Project, means that they need to be kept informed and
involved, while building strategies to reduce any inappropriate demands that they place on the
Project.
UCSATP will continue to undertake analysis of its various stakeholder groups to identify any new
stakeholders and determine/confirm the appropriate level and methods of consultation and
engagement for each stakeholder group. The Head of Safeguards and the project Social
safeguards Officer will be responsible for ongoing stakeholder identification, mapping and
analysis. The project social safeguards officer will also be responsible for updating the stakeholder
database and matrix as well as creating/updating Key Stakeholder Profiles.
The analysis involves mapping stakeholder using the following three key determinants:
a. The stakeholder’s projected level of interest in the Project;
b. The Project’s potential impact on the stakeholder; and
c. The stakeholder’s degree of influence/power on or value to the Project.
By plotting influence together with impact/interest on a matrix and taking due account of further
criteria such as expertise (i.e. knowledge to contribute and legitimacy) and the stakeholders’
willingness to engage, the relative needs of key stakeholders in terms of the level and type of
consultation and engagement are determined and can therefore be properly planned. The
UCSATP definitions of impact/interest and influence/power are described in Table 3-3 below.
20
Table 3-3: Definitions for Stakeholder Analysis and Mapping
Significance Impact/Interest axis Influence/Power axis
High v The stakeholder will experience a high degree of The stakeholder has decision-
impact as a result of the Project (e.g. making powers regarding
resettlement, complete loss of livelihood, loss of whether the project will go
pasture/water, etc.); or ahead or not and/or about the
v The project is directly related to stakeholder’s adequacy of the ESIA process
institutional field of interest and/or and/or UCSATP mitigation
responsibilities. strategies.
Medium v The stakeholder will experience some degree of The stakeholder can influence
impact but impacts can be managed and/or the scope and timing of the
mitigated, or ESIA and/or UCSATP’s
v The project or aspect thereof has some relevance mitigation strategies.
to the stakeholder’s institutional field of interest
and/or responsibilities
Low v The stakeholder will experience very few effects The stakeholder has very little
as a result of the project; or control over the project.
v The project has limited relevance to the
stakeholder’s institutional field of interest and/or
responsibilities
3.7.1.1 ENGAGEMENT GUIDELINES AND REFERENCES (IAP2 SPECTRUM)
The IAP2 Spectrum is an internationally recognized tool for planning public participation in major
projects. The Spectrum is designed to assist with the selection of the level of participation that
defines the public's role in any community engagement program. The Spectrum shows that
differing levels of participation are legitimate depending on the goals, time frames, resources and
levels of concern in the decision to be made. UCSATP and its service providers/contractors will
use the IAP2 Spectrum to guide how the community and stakeholders will be engaged during the
project planning and delivery phases.
Table 3-4: IAP2 Spectrum
No. Inform Consult Involve
01. Goal To provide the public with To obtain public feedback on analysis, plans
balanced and objective feedback on analysis, and/or decisions To work
information to assist them plans and/or decisions directly with the community
in understanding the and stakeholders to ensure
problem, alternatives, that concerns and aspirations
opportunities and/or are consistently understood
solutions. and considered.
02. Promise We will keep you We will keep you We will work with you to
informed. informed, listen to and ensure that your concerns
acknowledge concerns and aspirations are directly
and aspirations and reflected in the project and
provide feedback on provide feedback on how
how public input input influenced the decision.
influenced the decision.
We will see your
feedback on draft
proposals.
21
No. Inform Consult Involve
03. Stakeholders Stakeholders interested in All community and Key stakeholders,
engaging about the stakeholders including government agencies, directly
project – educate on key directly impacted impacted stakeholders and
elements of the project stakeholders– community-feedback on
and explain how they can encourage feedback on options, benefits and
be involved. fixed project elements. potential impacts.
04. Activities and Advertising Briefings/info sessions Interactive briefings/info
tools Newsletters/publications Feedback forms Formal sessions Feedback forms
Displays/information stalls consultation (e.g. Formal consultation (e.g.
e-News Letters (direct written submissions) written submissions) Online
mail/ letter drops) Media Social research engagement. Working/
articles releases/ kits Interviews reference groups
Project website Site (phone/person) Project
signage/posters Social info line Project email
media Videos/DVDs enquiries Presentations
(animations and Project documents and
photography) project reports. Reports on
notifications. engagement outcomes
Online engagement
3.7.1.2 ENGAGEMENT METHODS AND TOOLS
The project makes use of various methods of engagement a r e t o b e used by as part of its
continuous interaction with the stakeholders. For the engagement process to be effective and
meaningful, a range of various techniques need to be applied that are specifically tailored to the
identified stakeholder groups. The format of every consultation activity meets general
requirements on accessibility, i.e. should be held at venues that are easily reachable and
do not require long commute, entrance fee or preliminary access authorization, cultural
appropriateness (i.e. with due respect to the local customs and norms), and inclusiveness, i.e.
engaging all segments of the local society, including disabled persons, the elderly, minorities, and
other vulnerable individuals. If necessary, logistical assistance can be provided to enable
participants from the remote areas, persons with limited physical abilities and those with
insufficient financial or transportation means to attend public meetings scheduled by the project.
Ensuring the participation of vulnerable individuals and groups in project consultations may
require the implementation of tailored techniques. Since their vulnerable status may lead to
people’s diffidence and reluctance or physical incapacity to participate in large-scale community
meetings, visiting such individuals/families at their homes or holding separate small group
discussions with them at an easily accessible venue is a way for the project to reach out to the
groups who, under standard circumstances, are likely to be insufficiently represented at
community gatherings.
Various methods of engagement are being used as part of the project’s interaction with the
stakeholders, to ensure that different stakeholder groups are successfully reached and are
involved in the process of consultation, decision-making and the development of impact
management solutions.
22
International standards increasingly emphasize the importance of a consultation being Free,
Prior and Informed (FPI), which implies an accessible and unconstrained process that is
accompanied by the timely provision of relevant and understandable information. In order to
fulfil this requirement, a range of consultation methods are applied that specifically focus on this
approach. Information that is communicated in advance of public consultations primarily includes
an announcement thereof in the public media, local and national, as well as the distribution of
invitations and full details of the forthcoming meeting well in advance, including the agenda. It is
crucial that this information is widely available, readily accessible, clearly outlined, and reaches
all areas and segments of the target community.
3.7.1.2.1 APPROACH TO FPI
These parameters can be achieved by implementing the following approach:
a. Advance public notification of an upcoming consultation meeting follows the same
fundamental principles of communication, i.e. it should be made available via publicly
accessible locations and channels. The primary means of notification may include mass
media and the dissemination of posters/advertisements in public places. The project
keeps proof of the publication (e.g. a copy of the newspaper announcement) for the
accountability and reporting purposes. Existing notice boards in the communities may be
particularly useful for distributing the announcements, such as boards adjacent to the
widely visited public premises–district offices, trading canters, market places, stores, bus
parks, and offices of the local NGOs. When the notifications are placed on public boards in
open air, it should be remembered that the posters are exposed to weather, may be
removed by by-passers or covered by other advertisements. The project’s staff will therefore
maintain regular checks in order to ensure that the notifications provided on the public
boards remain in place and legible;
b. Another critical aspect of the meeting preparation process is selecting the methods of
communication that reach the potential audience with lower levels of literacy or those who
are not well-versed in the technical aspects of the proposed. Oral communication is an
option that enables the information to be readily conveyed to such persons. This includes
involving the selected community representatives/community leaders/local NGOs and
initiative groups to relay up-to-date information on the project and consultation meetings
to other members of the community. Advertising the project and the associated meetings
via radio or television and making direct calls (in case fixed-line or mobile phone
communication is available) is another method that allows reaching out to most audiences.
The announcement of a public meeting or a hearing is made sufficiently in advance,
thereby enabling participants to make necessary arrangements, and provides all relevant
details, including date, time, location/venue and contact persons.
c. Placement of the project materials in the public domain is also accompanied by making
available a register of comments and suggestions that can be used by any member of the
affected community and general public to provide their written feedback on the contents
of the presented materials. As a rule, the register is made available for the entire duration
of the requisite disclosure period. Where necessary, a project representative or an
appointed consultant should be made available to receive and record any verbal feedback
in case some stakeholders experience a difficulty with providing comments in the written
form.
23
d. Drafting an agenda for the consultation meeting is an opportunity to provide a clear and
itemized outline of the meeting’s structure, sequence, chairpersons, a range of issues that
will be discussed and a format of the discussion (e.g. presentation/demonstration followed
by a Questions & Answers – Q&A session, facilitated work in small groups, feature story and
experience sharing, thematic sessions with a free speaking format enabling the exchange
of ideas). A clearly defined scope of issues that will be covered at the meeting gives the
prospective participants an opportunity to prepare their questions and comments in
advance. It is essential to allocate a sufficient amount of time for a concluding Q&A session
at the end of any public meeting or a hearing. This allows the audience to convey their
comments and suggestions that can subsequently be incorporated into the design of the
project. Keeping a record of all public comments received during the consultations
meetings enables the project’s responsible staff to initiate necessary actions, thereby
enhancing the project’s overall approach taking onto consideration the stakeholders’
priorities. The recorded comments and how they have been addressed by the project
become an appropriate material for inclusion in the project’s regular reporting to the
stakeholders;
e. Distribution of targeted invitations to the consultation meeting or a hearing is an important
element of the preparation process and is based on the list of participants that is compiled
and agreed in advance of the consultation. Invitations may be sent both to certain individuals
that have been specifically identified as relevant stakeholders (e.g. representatives of
authorities, leaders of local NGOs and initiative groups, village/community chairpersons)
and as public invites (e.g. addressed to initiative and professional bodies, local
organizations, and other public entities). Text of individual invitations can be tailored to
reflect the specifics of an invitee and their role in the process, whereas the text of public
invitations normally indicates general details. Means of distributing the invitations should
be appropriate to the customary methods of communication that prevail locally in the
Project Area of Influence (PAI). Depending on the availability and technical feasibility, the
following means of distribution can be used: direct mail (post); as an inclusion with other
existing public mailings, utility bills, or circulates from a local authority. The invitation should
typically contain a clear request for confirmation of the participation, also specifying a date
by which the confirmation is expected. All invitations that will be sent out are tracked in
order to determine and manage the response rate. If no response has been received, the
invitation can be followed up by a telephone call or e-mail where possible.
UCSATP will continue to use a range of techniques to fulfill the main purpose of its consultation
activities aimed at raising the community’s and stakeholder awareness about the planned and
current activities undertaken by the project, as well as to solicit public feedback that can
subsequently be input into the project’s mitigation and enhancement measures. As discussed
above, due consideration will be given to the cultural appropriateness and inclusiveness of the
consultation settings as well as gender and other sensitivities that may prevail in the local
communities. Knowledge and advice of the community representatives and local NGOs are
invaluable to ensure that these aspects are fully observed. If deemed necessary, separate
meetings and focus group discussions will be held, as described above.
An attendance list is made available at the commencement of the consultation/hearing in order
to record all participants who are present at the meeting and their affiliation. Wherever possible,
attendees’ signatures should be obtained as a proof of their participation. Details of the
attendees who were not initially on the list (e.g. those participating in place of somebody
else, or general public) should be included in addition to those who have registered for the
meeting in advance.
24
In most cases and as a general practice, the introductory initial part of the meeting or a
hearing should be delivered in a format that is readily understandable to the audience of
laypersons and should be free of excessive technical jargon. If necessary, preference should be
given, whenever possible, to the oral and visual methods of communication (including
presentations, pictorials, illustrations, graphics and animation) accompanied by hand-out
materials imparting the relevant information in understandable terms rather than as text laden
with technical intricacies. Where technical specifics of the project’s particular activities or
solutions are required to be delivered in a greater level of detail, it will be ensured that the
information conveyed remains comprehensible to all members of the audience and that the
description of complex technicalities is adapted to their level of understanding, thereby enabling
productive feedback and effective discussion.
If a large audience is expected to attend a public meeting or a hearing, necessary arrangements
will be made to ensure audibility and visibility of the presentation and any demonstrations
involved. This includes provision of a microphone, proper illumination, projector, places allocated
for the wheelchair users, etc.
Taking records of the meeting is essential both for the purposes of transparency and the accuracy
of capturing public comments. At least three ways of recording may be used, including:
a. taking written minutes of the meeting by a specially assigned person or a secretary;
b. audio recording (e.g. by means of voice recorders); and c. photographing.
The latter should be implemented with a reasonable frequency throughout the meeting, allowing
notable scenes to be captured but at the same time not distracting or disturbing the audience
excessively. Where feasible, the video recording may also be undertaken. Combination of these
methods assures that the course of the meeting is fully documented and that there are no
significant gaps in the records which may result in some of the important comments received
from the stakeholder audience being overlooked.
As a possible option in addition to the Q&A session nearer the close of the public
meeting/hearing, evaluation (feedback) forms may be distributed to participants in order to give
them an opportunity to express their opinion and suggestions on the project. This is particularly
helpful for capturing individual feedback from persons who may have refrained from expressing
their views or concerns in public.
Questions provided in the evaluation form may cover the following aspects:
a. Participant’s name and affiliation (these items are not mandatory if the participant
b. prefers to keep the form confidential)
c. How did they learn about the Project and the consultation meeting?
d. Are they generally in favour of the Project?
e. What are their main concerns or expectations/hopes associated with the Project or
f. the particular activity discussed at the meeting?
g. Do they think the Project will bring some advantages to their community as a whole?
h. Is there anything in the Project and its design solutions that they would like to change
or improve?
i. Do they think that the consultation meeting has been useful in understanding the specific
activities of the Project, as well as associated impacts and mitigation measures?
j. What aspects of the meeting they particularly appreciated or would recommend for
k. improvement?
25
Bearing in mind that some of the participants might find completion of the Evaluation Form
challenging due to the literacy constraints or concerns about their confidentiality, the distribution
of the feedback forms should always be explained that filling the form is optional. Some persons
may be willing to express their feedback verbally and in this case a member of Project staff will
be allocated to take notes.
A summary description of the engagement methods and techniques that will be applied by
project developer is provided in Table 3-5 below. The summary presents a variety of approaches
to facilitate the processes of information provision, information feedback as well as participation
and consultation.
26
Table 3-5: Methods, Tools and Techniques for Stakeholder Engagement
Method/Tool Description and Use Contents Dissemination Method Target Groups
Distribution of Used to convey information v Printed materials present illustrative v Distribution as part of consultation Households in Project Area
printed public on the Project and regular and written information on Project meetings, public hearings, discussions of Influence, as well as
materials: leaflets, updates on its progress to activities, facilities, technologies and and meetings with stakeholders, as well interested parties.
brochures, fact local, regional and national design solutions, as well as impact as household visits.
sheets. stakeholders. mitigation measures; v Placement at the offices of local
v Presented contents are concise and administrations and NGOs, libraries and
adapted to a layperson reader; and other public venues.
v Graphics and pictorials are widely
used to describe technical aspects.
Distribution of A newsletter or an update Important highlights of project v Circulation of the newsletter or update v Households in project
printed public circular sent out to project achievements, announcements of sheet with a specified frequency in the areas of Influence.
materials: stakeholders on a regular planned activities, changes, and overall Project Area of Influence, as well as to v Public venues in
newsletters/ basis to maintain awareness progress. any other stakeholders that expressed project area of
updates. of the Project development. their interest in receiving these influence-local
periodicals. Means of distribution: post, administrations,
emailing, electronic subscription, libraries.
delivery in person. v Residents in project
area.
Printed Inserts, announcements, v Notification of forthcoming public Placement of paid information in local, v Residents in project
advertisements in press releases, short articles events or commencement of specific regional and national printed media, area
the media. or feature stories in the Project activities. including those intended for general reader v Interested parties
printed media –newspapers v General description of the Project and specialized audience.
and Magazines and its benefits to the community.
Radio or television Short radio programmes, v Description of the Project, Project Collaboration with media producers that Residents in project area
entries video materials or development updates, solutions for operate in the region and can reach local
documentary broadcast on impact mitigation. audiences.
TV. v Advance announcement of the
forthcoming public events or
commencement of specific Project
activities.
27
Method/Tool Description and Use Contents Dissemination Method Target Groups
Visual presentations Visually convey Project Description of the Project and related Presentations are widely used as part of the Affected communities in in
information to affected solutions/impact management measures. public hearings and other consultation the project area,
communities and other Updates on Project development. events with various stakeholders. participants of the public
interested audiences. hearings, consultations,
rounds tables, focus group
discussions and other
forums attended by Project
stakeholders.
Authorities and other
governmental bodies.
Notice boards Displays of printed Advance announcements of the Printed announcements and notifications are Directly affected
information on notice boards forthcoming public events, placed in visible and easily accessible places communities in the project
in public places. commencement of specific Project frequented by the local public, including area.
activities, or changes to the scheduled libraries, village cultural centers, post offices,
process. shop, local administrations.
Information Feedback
Information Placement of Project-Related Various Project-related materials, ESMF Deposition of materials in publicly available Directly affected
repositories information and printed documentation, environmental and social places (offices of local NGOs, local communities in the project
accompanied by a materials in action plans. administrations, public libraries) for the area.
feedback dedicated/designated duration of a disclosure period or
mechanism locations that also provide permanently. Audience are also given free
visitors and readers with an access to a register of comments and
opportunity to leave their suggestions.
comments in a feedback
register.
28
Method/Tool Description and Use Contents Dissemination Method Target Groups
Dedicated telephone Setting up a designated and Any issues that are of interest or concern Telephone numbers are specified on the Local communities within
line (hotline) manned telephone line that to the local communities and other printed materials distributed to Project the Project Area of
can be used by the public to stakeholders. stakeholders and are mentioned during Influence. Any other
obtain information, make public meetings. Project’s designated staff stakeholders and
enquiries, or provide should be assigned to answer and respond interested parties.
feedback on the Project. to the calls, and to direct callers to specialist
Initially, telephone numbers experts or to offer a call- back if a question
of Project’s specialized staff requires detailed consideration.
can be shared with the
public, particularly staff
involved in stakeholder
engagement, public relations
and environmental
protection.
Internet/Digital Launch of Project website to Information about Project operator and A link to the Project web-site should be Affected and interested
Media promote various information shareholders, project development specified on the printed materials parties.
and updates on the overall updates, health and safety, community distributed to stakeholders. Other on- line
Project, impact assessment relations, community updates, based platforms can also be used, such as
and impact management employment and procurement, web conferencing, webinar presentations,
process, procurement, environmental and social aspects. web-based meetings, Internet surveys/polls
employment opportunities, etc. Limitation: Not all parties/stakeholders
as well as on Project’s have access to the internet.
engagement activities with
the public. Web-site should
have a built-in feature that
allows viewers to leave
comments or ask questions
about the Project.
Surveys, interviews The use of public opinion Description of the proposed Project and Soliciting participation in surveys/interviews Directly affected
and Questionnaires surveys, interviews and related solutions/impact management with specific stakeholder groups or households in the Project
questionnaires to obtain measures. Questions targeting communitywide. Area of Influence. Other
stakeholder views and to stakeholder perception of the Project, Administering questionnaires as part of the communities within the
complement the statutory associated impacts and benefits, concerns household visits. Project Area of Influence.
process of public hearings. and suggestions.
29
Method/Tool Description and Use Contents Dissemination Method Target Groups
Feedback and A suggestion box can be Any questions, queries or concerns, Appropriate location for a suggestion box Directly affected
suggestion box used to encourage residents especially for stakeholders that may have should be selected in a safe public place to households in the Project
in the affected communities a difficulty expressing their views and make it readily accessible for the Area of Influence. Other
to leave written feedback issues during public meetings. community. Information about the communities within the
and comments about the availability of the suggestion box should be Project Area of Influence.
Project. Contents of the communicated as part of Project’s regular
suggestion box should be interaction with local stakeholders.
checked by designated
Project staff on a regular
basis to ensure timely
collection of input and
response/action, as
necessary.
Consultation & Participation
Public hearings Project representatives, the Detailed information on the activity v Public disclosure of Project materials Directly affected
affected public, authorities, and/or facility in question, including a and associated impact assessment communities in the Project
regulatory bodies and other presentation and an interactive Questions documentation in advance of the Area of Influence. Other
stakeholders for detailed & Answers session with the audience. hearing. communities within the
discussion on a specific v Viewers/readers of the materials are Project Area of Influence.
activity or facility that is also given free access to a register of Residents of in the Project
planned by the Project and comments and suggestions that is made Area of Influence
which is subject to the available during the disclosure period.
statutory expert review. v Wide and prior announcement of the
public hearing and the relevant details,
including notifications in local, regional
and national mass media. Targeted
invitations are sent out to stakeholders.
30
Method/Tool Description and Use Contents Dissemination Method Target Groups
Household visits Household-level visits can be Description of the Project and related Visits should be conducted by Project’s Directly affected in the
conducted to supplement the solutions/impact management measures. designated staff with a specified periodicity. Project Area of Influence.
statutory process of public Any questions, queries or concerns, Limitation: logistical challenges in reaching
hearings, particularly to especially for stakeholders that may have households in remote locations.
solicit feedback from a difficulty expressing their views and
community members and issues during formal community-wide
vulnerable persons who may meetings.
be unable to attend the
formal hearing events.
Focus Group Used to facilitate discussion Project’s specific activities and plans, Announcements of the forthcoming Directly affected
Discussions and on Project’s specific issues design solutions and impact meetings are widely circulated to households in the Project
Round Table that merit collective mitigation/management measures that participants in advance. Targeted invitations Area of Influence, youth,
Workshops examination with various require detailed discussions with affected are sent out to stakeholders. elderly, women, and other
groups of stakeholders. stakeholders. vulnerable groups.
Information centers Project’s designated venue Project-related materials. Any issues that Information about the info center or a field Directly affected
and field offices for depositing Project- are of interest or concern to the local office with open hours for the public, communities in the Project
related information that also communities and other stakeholders. together with contact details, is provided on Area of Influence and any
offers open hours to the the Project’s printed materials distributed to other stakeholders and
community and other stakeholders, as well as during public interested parties.
members of the public, with meetings and household visits.
Project staff available to
respond to queries or
provide clarifications.
Site Tours Visits to Project Site and Demonstration of specific examples of Targeted invitations distributed to selected Local communities within
facilities organized for local Project’s design solutions and approaches audience offering an opportunity to the Project Area of
communities, authorities to managing impacts. participate in a visit to the Project Site. Influence. Elected officials.
and the media to Media groups. NGOs and
demonstrate Project other initiative groups.
solutions. Visitors are
accompanied by the
Project’s staff and
specialists.
31
Table 3-6: Stakeholder Category and Their Roles in UCSATP
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
National Level
Government Ministries
Office of the Prime Overall coordination of Perform a coordination of government High Continuous v Meetings
Minister-OPM Government Ministries, ministries and departments which are v Workshops
Departments and Agencies to stakeholders in the UCSATP v Reports
ensure effective delivery of v Site inspections
services to the people of Uganda.
Ministry of Finance, a. Formulate sound economic a. Mobilization of necessary bilateral High Continuous v Meetings
Planning and Economic policies, revenue mobilization; financial for the project; v Workshops
Development-MoFPED and b. Custodian of the financing v Reports
b. ensure efficient allocation and agreement; and v Site inspections
accountability for public c. support Strategic guidance to the
resources so as to achieve the project on matters of finances
most rapid and sustainable including accountabilities.
economic growth and
development.
Ministry of Agriculture, a. Creating an enabling a. Project Coordination Unit High Continuous v Meetings,
Animal Industry and environment in the agricultural (PCU/PMU) will be established v Workshops
Fisheries (MAAIF) sector; within MAAIF to take on v Reports
b. Enhancing crop production, responsibility for day-to-day v Site inspections
improving food and nutrition management of the project;
security, widening export base b. Set the strategic direction for and
and improved incomes of the oversee communications and
farmers; stakeholder engagement activities
c. Has a role in the formulation, for the Project;
review and monitoring of c. Review communications and
policies, plans, strategies, and engagement plans and materials
standards for the value chain prepared by contractors to support
of crops, livestock and the engagement approach;
fisheries.
32
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
d. Develop and implement
communications and engagement
campaigns that increase awareness
and understanding of the Project,
and build relationships with key
stakeholders, and encourage public
participation;
e. Manage media and government
relations; and
f. Monitoring and reporting.
Ministry of Land, a. Responsible for providing a. Guide any process relating to Medium Continuous v Meetings,
Housing and Urban policy direction, national matters of land acquisition in the v Workshops
Development standards and coordination of project where it could arise; and v Reports
(MoLHUD) all matters concerning lands, b. Sets standards for compensation v Site inspections
housing and urban which should be fair, adequate and
development; timely.
b. Putting in place policies and
initiating laws that ensure
sustainable land management;
c. Promote sustainable housing
for all and foster orderly urban
development in the country;
and
d. Initiate, review and make
amendments to existing
legislation in lands, housing
and urban development sub
sectors.
33
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
Ministry of Water and e. Management and sustainable a. Provide catchment management High Continuous v Meetings,
Environment-MoWE utilization of water and plans that will be updated to v Workshops
environment resources for the confirm the hotspots that need v Reports
betterment; intervention and as well as for v Site inspections
f. To improve the quality Water preparing plans for micro
resources for population; and catchments;
g. To ensure better access of b. The project will also support the
water and environment creation of catchment
resources in all parts of the management organizations where
country. they do not exist; and
c. Coordination and implementation
project functions relating to water
(irrigation, wetlands restoration
drives including restoration of
degraded lands).
Ministry of Gender, a. Ministry has the responsibility Provide mechanisms for effective Medium Continuous v Meetings,
Labor and Social to empower communities in mainstreaming of cross-cutting themes v Workshops
Development-MoGLSD diverse areas; such as: v Reports
b. It is to promote cultural v HIV/AIDS, v Site inspections
growth, skills development v Gender,
and labour productivity; v OSH,
c. Promote gender equality, v PWDs,
labour administration, social v Contract and employment
protection and transformation aspects,
of communities; and v GBV interventions i.e. VAC SE/SH
d. to ensure that all Ugandans etc.
enjoy better standards of v Vulnerabilities etc
living, especially the
disadvantages and vulnerable
groups.
34
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
Ministry of Local a. To inspect, monitor, and Coordinate the effective participation High Continuous v Meetings,
Government-MoLG where necessary offer of lower government agencies v Workshops
technical advice/assistance, (districts, sub-counties and parish levels v Reports
support supervision and as well as communities) in the project. v Site inspections
training to all Local
Governments;
b. To coordinate and advise on
matters of harmonization and
advocacy with regard to
development; and
c. To act as a Liaison/Linkage
with the Central Government,
MDAs, Private Sector and local
governments with regard to
development.
Ministry of Trade, a. The Ministry is responsible for Put in place, mechanisms for marketing Medium Continuous v Meetings,
Industry and promoting trade and industry of UCSATP supported products. v Workshops
Cooperatives-MoTIC and cooperatives for the v Reports
development of the country; v Site inspections
and
b. To ensure expansion and
diversification of trade,
cooperatives, environmentally
sustainable industrialization,
appropriate technology,
conservation and preservation
of other tradable national
products.
35
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
Security agencies
Uganda Peoples To preserve and defend the Cooperate with other security agencies High Continuous v Meetings,
Defence Forces-UPDF sovereignty and interior integrity of to ensure safety and security of people v Workshops
Uganda. To co-operate with civilian and their property in project areas v Reports
authority in emergency situations especially in those areas with pockets v Site inspections
in cases of natural disasters. of insecurity such as Karamoja and
Sebei.
Uganda Police-UPF The mandate of Uganda Police UPF will assume key responsibility in High Continuous v Meetings,
Force as provided in the the project with respect to prevention v Workshops
Constitution of the Republic of of crime, maintenance of law and order v Reports
Uganda, and Uganda Police Force in the communities. It’s Child and v Site inspections
Act Cap 303, is protection of life Family Protection Unit (CFPU) will
and property, prevention and undertake investigate all cases related
detection of crime, keeping law to the abuse of children and women’s
and order, and maintenance of rights including;
overall security and public safety in v domestic violence,
Uganda. v rape
v defilement,
v sexual harassment,
v child abuse and neglect,
v child labor incidences,
v indecent assault,
v child desertion,
v children offenders,
v trafficking in women and children
as well as;
Creating awareness on the rights of
women and children,
iii) Counseling children and women
victims of abuse.
Statutory agencies
36
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
National Environment a. Play coordination, monitoring Review and approvals of Environmental High Monthly v Reports
Management and supervision of Assessments for sub-project activities v Site inspections
Authority-NEMA. environmental aspects with its relating to UCSATP interventions. v Meetings
stakeholders; and
b. Promote the integration of
environmental considerations
into development policies,
plans, programmes and
projects, with a view to
ensuring the proper
management and rational
utilization of environmental
resources, on sustainable yield
basis, for the improvement of
the quality of human life in
Uganda.
National Forestry a. Responsible for managing the Coordination of activities relating to Monthly v Reports
Authority-NFA country's Central Forest ecosystem restoration in the project; v Site inspections
Reserves; and Lead in setting up measures for v Meetings
b. To establish procedures for the payment for ecosystem services (PES)
sustainable utilization of
Uganda’s forestry resources by
and for the benefit of the
people of Uganda; and
c. To enter into an agreement or
other arrangement with any
such person for the provision
of forestry services, subject to
such charges as may be agreed
upon.
37
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
Uganda National a. Collection, analysis and Responsible for establishing and Medium Continuous v Reports
Meteorological production of weather and maintaining weather and climate v Workshops
Authority-UNMA climate information, (including observing stations network, collection, v Radios, TVs
warnings/advisories) to analysis and production of weather and v Meetings
support social and economic climate information, (including
development; and warnings/advisories) to support social
b. To promote, monitor weather and economic development.
and climate as well as provide
weather predictions and
advisories to Government and
other stakeholders for use in
sustainable development of
the country.
Uganda National a. The role of UNBS is the Has a role in guiding on standards for Medium Monthly v Reports
Bureau of Standards- formulation and promotion of the products that will arise from the v Inspections
UNBS the use of standards; value chains in the project? v Meetings
b. enforcing standards in v Workshops
protection of the public health
and safety and the
environment against
dangerous, counterfeit and
substandard products;
c. strengthening Uganda's
economy by enhancing
competitiveness of local
industries and promotion of
quality exports through
standardization, quality
assurance.
38
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
National Agricultural a. to coordinate and oversee all Will champion research through its Medium Continuous v Meetings
Research Organization- aspects of public funded institutional framework (especially the v Reports
NARO agricultural research in ZARDIs) on the project value chains and v Bulletins
Uganda; and products. v Workshops
b. undertake research in all v Field visits
aspects of agriculture including v Study Tours
crops, livestock, fisheries, v Radios, TVs
forestry, agro-machinery,
natural resources and socio-
economics.
Diary Development a. develop and regulate the Dairy Will be pivotal in the development of Low Monthly v Meetings
Authority-DDA Industry in the country; value chains relating to dairy products. v Reports
b. provision of dairy v Workshops
development and regulatory v Field visits
services, v Study Tours
c. promote increased, v News letters
sustainable milk production v Radios, TVs
and consumption;
d. attainment of a profitable
dairy industry sector; and
e. increased economic
development and improved
nutritional status of Ugandans.
39
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
Uganda Export a. Export promotion and The eventual growth and development Low Bi-monthly v Meetings
Promotion Board-UEPB development; of the envisaged value chains products v Reports
b. help in export of products and will be poised towards foreign markets. v Workshops
services out of Uganda; v Field visits
c. offer support services to v News letters
exporters in Uganda and v Study Tours
foreign buyers in terms of v Radios, TVs
market information, assistance
with entering and establishing
in new export markets,
business linkages, export
product development and
capacity building.
Private sector
Private Sector a. a focal point for private sector The Foundation will be important when Medium Bi-monthly v Meetings
Foundation advocacy as well as capacity it comes to mobilizing private players v Reports
building and continues to under UCSATP to align with the v Workshops
sustain a positive dialogue objectives of development. v News bulletins
with Government on behalf of v Field visits
the private sector; v Study Tours
b. aimed at strengthening the v Radios, TVs
private sector as an engine of
economic growth in Uganda.
Uganda National a. Lobby and advocate for farmer Will be pivotal in mobilizing and Low Bi-monthly v Reports
Farmers’ Association- friendly agricultural policies; sensitizing farmers on the v Workshops
UNFA b. Build and develop capacity of opportunities and their effective v FGDs
farmer organizations to render participation in UCSATP. v News bulletins
effective services; and v Field visits
c. Increase farmers accessibility v Radios, TVs
to income opportunities and
agricultural information.
40
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
National Project The committee will approve the Will be Chaired by the Permanent High Bi-annually v Annual workplans
Steering Committee project’s Annual Work Plans and Secretary (PS) MoFPED and the PS v Budgets
Budgets (AWP&BS). MAAIF responsible for providing v Workshops
strategic guidance to the project. It will v Reports
comprise of Permanent Secretaries (PS) v Fieldworks
of MAAIF, Office of the Prime Minister
(OPM), MoFPED, Ministry of Trade,
Industry and Cooperatives (MoTIC),
Ministry of Local Government (MoLG),
Ministry of Water and Environment
(MoWE). The committee shall also
include Directors of National Animal
Genetic Resources Centre and Data
Bank (NAGRC&DB), National
Agricultural Research Organization
(NARO), Uganda National
Meteorological Authority (UNMA),
Comprehensive Refugee Response
Framework (CRRF), a representative of
Chief Administrative Officer (CAO) with
the National Project Coordinator being
an ex-officio and Secretary to the
committee.
41
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
National Technical a. The advisory committee will be National Technical Advisory High Quarterly v Reports
Advisory Committee, responsible for providing technical Committee, comprising (among others) v Workshops
support to overall project Commissioners of relevant line v FGDs
implementation and approving the Ministries and departments - v News bulletins
national, zonal and district level Commissioner Refugees, including, v Field visits
investments and selected CSA NAGRC, CRRF, UNMA, NARO Director v Radios, TVs
research proposals. for Technical Promotion and Outreach,
Inter-governmental Technical Working
Group responsible for
Projects/Programs as well as private
sector and farmer organization
representation. The committee shall be
chaired by the Director of Agricultural
Extension Services
Project coordination a. This committee will provide Project coordination and High Monthly v Reports
and implementation at project implementation oversight implementation at the Zonal level will v Workshops
the Zonal level and convening authority in the be overseen by a Zonal Technical v FGDs
respective zones. The committee committee comprised of the ZARDI v News bulletins
will be responsible for supporting Director; the District Production v Field visits
adaptive research activities and Officers (DPOs) of participating districts v Radios, TVs
strengthening the research, in that zone; Regional Animal Genetic
development, extension, private Resource Centers (AnGRCs); and with
sector linkage continuum. representation from private sector and
farmer organizations. The DPOs shall
elect from amongst themselves a co-
chair to work with the ZARDI Director.
42
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
Multi-Stakeholder Provide a forum for planning, Each MSCP will comprise High Quarterly v Annual workplans
Coordination Platform dialogue, and participatory priority representatives from the involved v Workshops
setting among the stakeholders districts, farmers’ organizations, and v Reports
and forge a common way forward relevant private sector entities. Each v Fieldworks
to develop the selected district authority will be represented v
investments in the zones/regions in by: the Local Counsel V, the Chief
an integrated manner Administrative Officer (CAO), and the
District Production Officer (DPO).
Farmers’ organizations and the private
sector. The chair elected from the
private sector. The secretariat function
of the MSCP will be provided by one of
the participating districts on a
rotational basis.
District level category
Chief Administrative a. Ensuring a. The overall coordination and High Continuous v Reports
Officer-CAO proper use and accountability supervision of the project at the v Workshops
of resources and revenues in district level; v Inspections
the District; b. Responsible for all issues of
b. Supervising, accountability of UCSATP resources
monitoring and coordinating at district and local levels; and
development activities at the c. Coordinate monitoring and
District and Lower reporting on project activities and
Council’s and ensuring resources.
accountability and
transparency in the
management and delivery of
Council services.
43
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
District Implementation Play a multi-sectoral role of To be composed of relevant technical Medium Continuous v Reports
Support Team-DIST coordinating and steering staff at the District, led by the District v Workshops
development program Environment and Natural Resources v Meetings
Officer with a role to regularly discuss v Site visits
implementation of the project v Case studies
activities.
District Production a. To coordinate, manage and a. To coordination of production and Medium Continuous v Reports
Officer-DPO monitor the production and marketing of project interventions v Workshops
marketing programmes, in the District; v Meetings
projects and activities in the b. Coordinating the preparation of v Site visits
District; production and marketing Strategic v Case studies
b. Coordinating the preparation Action Plans for the district;
of production and marketing c. Coordinating the implementation
Strategic Action Plans for the of Government production and
district; marketing policies, programmes,
c. Coordinating the projects; and
implementation of d. Coordinating the delivery of
Government production and production and marketing
marketing policies, extension services in the District.
programmes, projects; and
d. Coordinating the delivery of
production and marketing
extension services in the
District.
44
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
Community a. Organizing local communities a. Mobilizing local communities to Medium Continuous v Reports
Development Officer- to effectively participate in UCSATP v Workshops
CDO effectively participate in project; v Training sessions
development initiatives; b. Support effective mainstreaming of v Meetings
b. Sensitizing communities on gender and social rights into the v Site visits
gender issues, project; v Case studies
social rights, roles and c. Monitoring and reporting on
obligations; community involvement in UCSATP
c. Monitoring, evaluating and interventions; and
reporting on d. Devising means to promote equal
community development participation of different groups
programmes and projects; and and individuals in the communities
d. Promoting the equal in the project.
participation of all
communities in development
programmes.
District Natural a. To manage the sustainable a. Support UCSATP initiatives in the Medium d. Continuous v Reports
Resources Officer harnessing of the environment communities in renewable and v Workshops
within the District; sustainable energy activities; v Training sessions
b. Supporting community-based b. support to local environment v Meetings
initiatives on the renewal and communities on the v Site visits
sustainability of the natural implementation of environmental v Case studies
environment; policies and programmes; and
c. Providing technical support to c. Lead in the delivery of UCSATP
local environment committees interventions aimed at restoration
on the implementation of of degraded lands (forests,
environmental policies and wetlands and ecosystems).
programmes.
45
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
District Environment a. To support environmental Management of awareness and Medium Continuous v Reports
Officer-DEO conservation programmes in sensitization on environmental v Workshops
the District; sustainability in the districts. v Training sessions
b. Ensure effective integration of v Meetings
environmental and social v Site visits
concerns into district v Case studies
development agenda; and
c. Supervision of development
projects in the district in line
with applicable laws and
policies on environment.
Subcounty level
Sub County Chief To manage and coordinate the Oversight role over the activities and Medium Continuous v Reports
(Senior Assistant implementation of policies, functioning of Sub-county v Workshops
Secretary) programmes, projects and laws of Implementation Support Team (SIST) v Training sessions
Government and Local Council III with respect to UCSATP activities at v Meetings
for the general welfare and sub-county and lower government v Site visits
development of the population. levels.
Community level category
Farmers, catchment Implementers and beneficiaries a. Participate in the Community Medium Continuous a. Reports
management Based Watershed Development b. Workshops
organizations, NGOS, (CBWD) model developed by c. Training sessions
CBOs and pastoralists ministry of water and d. Meetings
etc. environments under guidance of e. Site visits
the District Natural Resource and
Environmental Officer;
b. Adoption and implementation of
project activities.
46
Organization/Agency Role Specific functions (relating to UCSATP Degree of impact Frequency, Timing Methods of Engagement/
implementation) and influence Consultation
Vulnerable or Vulnerable groups often sidelined Mainstream measures for meaningful Low Continuous v Reports
marginalized individuals in development interventions inclusion of VMGs and other vulnerable v Meetings
or groups (women, or marginalized individuals or groups v Training sessions
youth, elderly, people into UCSATP v Case studies/Study
with disabilities, etc. tours
and VMGs (namely the
Ik, Tepeth, Batwa and
Benet)
Development Partners The World Bank is to provide a. Counter financing of UCSATP; High Continuous v Reports
especially financing and technical assistance b. Technical support towards v Meetings
World Bank to government (GoU/MAAIF) effective and efficient v Inspections
towards operationalization of implementation of the project in v Workshops
UCSATP. line with lending agreement;
c. Support supervision
47
3.7.2 VULNERABLE GROUPS
Vulnerable or marginalized groups in the Project refer to those who are likely to be adversely
affected by project impacts and/or are more limited than others in their ability to take advantage
of Project benefits. Vulnerable status may stem from an individual’s or group’s race, national,
ethnic or social origin, color, gender, language, religion, political or other opinion, property, age,
culture, literacy, sickness, physical or mental disability, poverty or economic disadvantage, and
dependence on unique natural resources, etc. Under UCSATP, this category also includes
Vulnerable and Marginalized Groups (VMGs) or ethnic minorities namely, Ik/Teuso of Kabong,
Batwa, Tepeth, and the Benet of Mt. Elgon, amongst others.
Such individuals or groups are susceptible to exclusion from, and/or are unable to fully participate
in the mainstreaming consultation process and as such may require specific measures and
assistance to ensure adequate inclusion in Program activities. The details of strategies that will
be adopted to effectively engage and communicate with members of vulnerable groups will
be considered during project implementation. To facilitate appropriate communications with
individuals or groups who may be vulnerable to discrimination, the World Bank will provide
Enhanced Implementation Support and Monitoring to the project. Specifically, an entity will
be engaged through the World Bank to provide implementation support in conducting
additional consultations with such vulnerable or marginalized individuals or groups that are
likely to be affected by the project. Details of the EISM are found in Annex 14 of the UCSATP
ESMF.
In addition, the Vulnerable and Marginalized Groups Framework (VMGF) that has been prepared
alongside this SEF is to be a guide for fully engaging Vulnerable and Marginalized Groups
Communities in specific plans that will be developed during the implementation of UCSATP at the
community level. Therefore, the implementation of the VMGF in the Project will help the VMGs
to create important opportunities for improving their quality of life and wellbeing. The Program
will have potential benefits to VMGs with minor negative impacts of less significance and
magnitude. The Program is aimed at maintaining and strengthening positive outcomes and
mitigating negative impacts.
The UCSATP Project Management Unit (PMU) will establish a monitoring system involving mainly
UCSATP staff at national, as well as at district, sub-county and community levels to ensure
effective implementation of VMGFs at all levels. The Grievance Redress Mechanism is to provide
a formal channel for community members to air grievances and to improve performance and
provide a high level of accountability. Vulnerable groups within the communities affected by the
project will be further confirmed and consulted during Environmental and Social Assessment
preparation through dedicated means, as appropriate.
Vulnerable stakeholders require an open and inclusive approach to engagement that provides
them with suitable opportunities to participate and voice their concerns. Some vulnerable
stakeholders will need special attention in this SEF due to the factors that define their
vulnerability. Accordingly, differentiated measures may be applied to ensure effective
participation and obtain feedback from vulnerable stakeholders.
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3.7.2.1 IDENTIFICATION OF VULNERABLE GROUPS
UCSATP will continue identify individuals and groups who may be differentially or
disproportionately affected by operations due to their disadvantaged, isolated or vulnerable
status and consider specific and proactive engagement measures for these groups. The outcomes
of the various socio-economic baseline and impact studies (including the applicability of
Environmental and Social Standard 7: Indigenous Peoples/Sub-Saharan African Historically
Underserved Traditional Communities) identified the following potentially vulnerable groups as
being within or near to the UCSATP project’s area of influence (Table 3-7).
Table 3-7: Uganda Vulnerable Groups
Conflict related Demographic categories Poverty related
v Refugees v Asset- less widows and v Urban and rural poor;
v Internally displaced widowers; v Urban unemployed;
Persons v Orphans and abandoned v Low paid workers
v War orphans children; v Informal sector workers
v Abductees v Female headed households; v Beggars
v Households living near v Child headed households; v Squatters
conflict zones v People with disabilities v Landless
[PWD) v Nomadic pastoralists
v The chronically sick; Peasants
v HIV/AIDS infected and v Plantation workers
affected persons; v Unemployed Youth
v Victims of domestic violence;
v VMGs;
v Ethnic minorities;
v Street children
v Those vulnerable to
discrimination
(Source: The National Equal Opportunities Policy, 2006, -MoGLSD-Kampala).
3.7.2.2 PRINCIPLES AND GOALS OF ENGAGEMENT
UCSATP recognizes that, its progress and decisions can be enhanced through dialogue with the
community and relevant stakeholders, including residents, businesses, government and other
interested parties. Therefore, understanding the interests, concerns, requirements and preferred
outcomes of these groups enables UCSATP and its service providers and contractors to find
solutions to the issues and challenges likely to arise in delivering the sub-projects. Table 3-8 sets
out the core principles and goals of UCSATP’s Community and Stakeholder Engagement
Management Framework throughout its planning and subsequent implementation phases.
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Table 3-8: Principles of Goals of UCSATP Engagement
No. Principle Goal
01. Effective Engagement is open, consistent, inclusive, accessible and transparent
throughout planning and delivery of the project.
02. Timely Engagement spans all stages of the project, ensuring information is provided to
stakeholders as the project develops and feedback is responded to and
incorporated in the project’s development.
03. Meaningful Engagement is clear on the elements of the project that can be influenced by
the community and stakeholders, how the feedback will be used and is explicit
on which elements of the project are fixed and the reason for this.
04. No surprises Engage early to gain understanding of interests, concerns, requirements and
preferred outcomes. Close the loop to demonstrate how feedback has been
considered.
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4 PAST STAKEHOLDER ENGAGEMENT IN THE PROJECT
4.1 OVERVIEW
Initial consultations under the UCSATP have been held as part of project preparation as well as during
the preparation of the Environmental and Social Management Framework (ESMF), Vulnerable and
Marginalized People Framework (VMPF), Resettlement Policy Framework-RPF as well as this SEF. The
project will continue with its stakeholder engagement the subsequent follow up phases. Issues from
these engagements will continue to inform UCSATP in terms of its design and finer formulation. More
detailed stakeholder engagement will be undertaken once the project details emerge and interventions
clarified.
4.2 ENGAGEMENT PROCESS WITH STAKEHOLDERS
During the preparation of the Environmental and Social Safeguards documents for the UCSATP, the
following methods of engagement were used to inform the various stakeholders and public about the
proposed Project, specifically its key components and activities. The public consultation period began on
6th January 2022 to March 2022. The process served to provide information about the project and the
purpose of the ESMF as well as a framework for environment and social compliance during project
implementation. The design team held introductory meetings with the Environmental and Social
Safeguards Specialists for ACDP which helped to map out stakeholders to be contacted and their contacts
as well. The ACDP Environmental and Social Safeguards Specialists also did raise the district stakeholders
on phone to inform them about the study which paved way for subsequent engagements by the ESMF
Consultant, besides the letters sent to the participating Chief Administration Officers (CAOs) to introduce
the Consultants.
4.3 CONSULTATION DURING PROJECT FORMULATION AND DESIGN
At this stage, MAAIF project team took a center stage to consult key stakeholders both the national and
local governments (LGs). These consultations covered a number of aspects which were key in the
formulation and design of UCSATP. This helped in creating understanding of agricultural production
challenges triggered by erratic weather changes, people perceptions and their input to possible
interventions, clarifying project objectives, possible project activities, access criteria, implementation
modalities and inspire stakeholders to actively participate in Project implementation. The project
preparation process was done through electronic, print and traditional media, workshops, seminars and
community meetings. The sensitization and mobilization campaigns are expected to initially stimulate
community interest in the project support as well as promote effective stakeholder participation,
transparency and accountability in Project implementation throughout the subproject cycle. To this end,
the communities have willingly so far expressed their interest and support for the project. This project
has cascaded from national, regional, district, sub-county up to village establishments.
4.3.1 FACE TO FACE CONSULTATIONS DURING SAFEGUARDS DOCUMENTS PREPARATION
Where it was deemed feasible and safe, face to face consultative meetings were held following Ministry
of Health COVID-19 Standard Operation Procedures alongside WHO Guidelines as well as World Bank
COVID-19 Guidelines1. At its bare minimum, the meetings observed the following:
a. Those attending were made to ensure that, a distance of at least one meter between each other
was observed during the consultation meetings (Figures 4-1 and 4-2);
1
Technical Note: Public Consultations and Stakeholder Engagement in WB-supported operations when there are constraints on
conducting public meetings March20, 2020
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b. At the entrance to the meeting places, there were adequate hand washing facilities with soap and
water and whoever entered the meeting venue had to hand wash and sanitize before admission;
c. All participants were required to wear a face mask at all times, ensuring complete coverage of the
nose, and mouth;
d. The meeting areas were clean and hygienic and surfaces of plastic chairs and tables were regularly
cleaned with disinfectants (soap and water) i.e., at least before and after the meeting;
e. During the meetings, some meeting DO’S and DON’TS were explained to participants such as:
v Covering your mouth and nose with tissue or a handkerchief when coughing and sneezing;
v The handkerchief once used is wrapped properly in a polyethene bag for washing and ironing
after leaving the meeting. Those with disposable tissues should dispose used tissues into provided
waste bins to protect others from any virus released through cough and sneezing;
v Wash hands with soap and water or use alcohol-based hand rub immediately after using the tissue
or handkerchief;
v Avoid touching your eyes, nose, and mouth at all times. Hands touch many surfaces including
money which can be contaminated with the virus and you can transfer the virus from the surface
to yourself;
v AVOID hand-shakes and hugging at all times; and
v DO NOT SPIT in public. Identify secluded places like pit latrines or toilets for purposes of spitting
and wash your hands immediately with soap and water.
Figure 4-1: Consultative meetings with farmers in Figure 4-2: Consultative meetings in Namayingo
Iganga in Eastern Uganda areas during ESMF study
4.4 SOME OF THE KEY STAKEHOLDER CONCERNS AND VIEWS ABOUT UCSATP
The stakeholders raised some concerns which can summarized as follows and details of the meetings are
in Annex 5.1 (summary of virtual meetings conducted):
v There are high expectations from the project in the communities in that, they look forward to some
employment opportunities in its various activities. The project should provide information to the
public with respect to possible employment that are likely to be generated;
v Possible avenue for gaining on-job training and capacity building for those to be employed in the
project. Implicit desire of affected people and the communities to develop new/existing skills
needed for employment or to support entrepreneurial ambitions. However, skills development
is part of the project interventions under its capacity building plans;
v Potential to serve as source of income for local service providers who supply materials and other
basic goods required to the operations of the project. It is clear they communities require support
their businesses by availing right and update information on goods and services that will be required
in the project;
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v Ensuring that, capacities of the beneficiaries to manage the investments at the end of the project
cycle are built so that they are able replicate and adopt to their conditions;
v The project should start as soon as it is approved so that, the communities are saved from the
problems of rampant droughts, floods and related weather challenges that have affected food
production;
v The project will require extensive gender sensitization through training of staff, community
sensitization and awareness creation on gender using gender sensitive language, gender sensitive
and inclusive IEC material and radio talk shows. Need for adequate involvement of diverse
stakeholders taking into gender and related vulnerabilities in the communities; ensuring that
technologies to be promoted in the project should be easily adapted to the local settings; This will
help get women to be part of the project for their meaningful engagement in the project
interventions;
v Value chain improvements interventions must incorporate measures and technologies for waste
management which use technologies like rec-cycling etc. Outside most rice mills, there are heaps of
straw which farmers are not able to effectively turn to usable products that can be used as fertilizers,
sources of cooking fuel amongst others;
v The livestock component has to come with technologies for Greenhouse gas management
especially biogas technologies and applications;
v One of the challenges in farming is erratic weather, how does the project ensure timely early warning
weather information reaches the grass-root farmers so that they are able to synchronize their
cropping schedule in line with the rains?
v Issues of encroachment in swamps and wetlands by communities who grow rice growing hence,
swamp reclamation. The project should come with alternatives so that people can easily get of
wetlands if this CSA project is to meaningfully support environment and natural resource
management. The question is, why have communities continued to be engaged in wetland
encroachment despite them knowing the benefits from wetlands in terms of their values and uses,
this is what should be looked at in the project to be able to have tangible project interventions;
v Need for continued engagement with communities living near degraded and fragile ecosystems such
as wetlands and forests so that, the project has responsive interventions that can enable
communities abandon engaging in livelihoods in such ecosystems;
v Issues of tree cutting by the communities for charcoal and firewood has degraded the environment,
the need for the project to come clear with tangible measures of tree planting and the women be
on the forefront on this as well as the youth. How are schools being targeted as well as tertiary
training institutions as well as academia?
v Need for continued sensitization and mobilization of the communities especially on the timelines of
the project so that they are set to be meaningfully engaged in the project. The teams preparing the
project should be providing such milestones;
v Need for adequate involvement of diverse stakeholders taking into gender and related
vulnerabilities in the communities; ensuring that technologies to be promoted in the project should
be easily adapted to the local settings;
v Enhancement of household livelihood initiatives under UCSATP; ensuring there is a clear and robust
communication mechanism for managing grievances without reprimanding victims especially where
there are instances of gender-based violence (GBV), sexual harassment (SH) and sexual exploitation
(SE);
v Wider stakeholder perceptions on the possible usage of safer pesticides especially in the event of
pest invasions citing the current nationwide attacks by the ravaging Armyworms;
v Insufficient water supply for farming purposes in that, farmers rely on rain water for irrigation
therefore, irrigation technologies ought to be those which even the local communities can co-opt
and operate;
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v Lack of mechanization is affecting farming. People have problems of opening up land by hand and
others by oxen which oxen are not even available. There is urgent need for mechanization of
agricultural operations so that agriculture is not seen as a burden but rather a venture that is
enjoyable and profitable capable of attracting youth not when it has still its hand-hoe technology;
v ensuring that infrastructure constructed by UCSATP especially the Labour-Intensive Public Works
(LIPWs) are well operated and maintained, reviewing project designs to ensure they include
community needs including needs of vulnerable or marginalized individuals or groups;
v Interest groups and vulnerable categories ought to have their resources and involvement ring-
fenced otherwise they are often left out during implementation. What is key, let there be clear
provisions for interventions meant for vulnerable or marginalized individuals or groups in view of
their uniqueness. In NUSAF 2 and 3 there was a special program and approach meant for Karamoja
which should be the case under UCSATP otherwise these groups tend to miss out from programs
where they are included in the overall project interventions;
v UCSATP in its PMU should amongst its staffing include a VMG Specialist who is to ensure information
regarding the project is accordingly packaged and delivered to and from VMGs for their effective
and meaningful involvement in UCSATP; and
v Improvement of information disclosure, more support to vulnerable or marginalized individuals or
groups, and community training on safety awareness and discrimination.
4.5 MEASURES TO IMPROVE STAKEHOLDER ENGAGEMENT
v To improve its stakeholder engagement methodology, integrating it within its management
systems and meeting the international standards required by the World Bank, the following will be
introduced: Review of existing stakeholder database and identification records to include
consideration of stakeholders’
v rights and/or duties as well as their capacity to engage meaningfully with UCSATP (i.e. factors
such vulnerability, literacy, traditional lifestyle and decision-making via village elders, etc.). Records
will be reviewed and updated to reflect any notable changes in stakeholder status or circumstances;
v A Commitments Register is introduced to collate and track all new environmental and social
commitments made by the project to its various stakeholders over the life of the project and ensure
timely follow-through on its promises. This is an essential tool for building trust and establishing
good working relationships with stakeholders and will sit alongside the Framework ESMP and its
Consolidated Register of ESIA Obligations;
v Implement a Stakeholder categorization to facilitate the prioritization of both “affected
communities, groups and individuals” and “other interested parties” in order to ensure the effective
of planned engagement and liaison activities. A stakeholder mapping process is being added to help
define appropriate levels and types of engagement required for each defined stakeholder category,
facilitating due attention to vulnerable or marginalized individuals or groups;
v Key Stakeholder Profiles will be maintained for both designated key informants and those affected
parties which have influence or are subject to high impacts, the knowledge and legitimacy, and are
capable and willing to engage with the project;
v A Vulnerability Screening Checklist to facilitate evaluation of capacity and identify any future change
in status to facilitate a re-evaluation of mitigation assistance where essential;
v Stakeholder Engagement introduced to ensure proper preparation of each event or activity,
including consideration of range of practical issues, the potential risks associated and a culturally
appropriate approach; and
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v Contact Reports are being introduced to record all interactions with stakeholders, except for
grievances which are recorded and processed as per the GRM. This form will be completed by
the Social Safeguards Specialist or any other employee or consultant undertaking stakeholder
engagement activities. The stakeholder database will be updated with information from the Contact
Reports to facilitate key word searches on specific topics, generate lists of target stakeholder groups
and support the planning of engagement and liaison activities.
4.6 DISCLOSURES
The UCSATP website will be used to disclose project documents, including those on environmental and
social performance. This will begin with disclosure of this draft SEF and the draft ESMF and RPF. Besides
the draft disclosure documents (and the final documents in future), project brochures and updates will
be posted. An easy- to-understand guide to the terminology used in the environmental and social reports
or documents will also be posted on the website. In addition, the site will provide details about the
Grievance Redress Mechanism and contact details for the Social Safeguards Specialist. UCSATP will
update and maintain the website regularly.
4.7 DISCLOSURE OF ENVIRONMENTAL AND SOCIAL SAFEGUARDS DOCUMENTS
Project environmental and social safeguards documents (ESMF, ESMP, SEF, RFP, VMGF) shall
be disclosed for public review and comment. UCSATP will continue applying the similar approach to
disclosure for any additional E&S appraisal materials that will be prepared as part of the project
development. The ESMF report (together with its associated environmental and social management plan
– ESMP), RPF, VMGF and SEF shall be made available for public review for the period of 60 days in
accordance with the international requirements.
a. Distribution of the disclosure materials will be accomplished by making them available at venues
and locations frequented by the community and places to which public have unhindered access.
Free printed copies of the ESMF/ESMPs, VMGF/VMGP, RPF/RAP and the SEF will be made accessible
for the general public at the following locations such as: The Project Management Unit offices;
b. All the District Project Offices;
c. At the Sub-county offices in the project areas;
d. Local NGO offices where available; and
e. Other designated public locations to ensure wide dissemination of the materials.
Electronic copies of the ESMF, ESMP, VMGF, RFP, RAP (as required) and SEF shall be uploaded on the
UCSATP website: http://www. https://www.agriculture.go.ug/contact/ucsatp/. This allows stakeholders
with access to Internet to view information about the planned development and to initiate their
involvement in the public consultation process. The mechanisms used for facilitating input from
stakeholders include press releases and announcements in the media, notifications of the
aforementioned disclosed materials to local, regional and national NGOs as well as other interested
parties.
The disclosure process will include the following:
a. Placement of the ESMF, RPF, and SEF in public domain 60-day disclosure period
b. Public consultation meetings in project affected communities and with other stakeholders to
present and discuss findings of the documents.
c. Addressing stakeholder feedback received on the entire disclosure package.
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The SEF will remain in the public domain for the entire period of project development and will be updated
on a regular basis as the project progresses through its various phases, in order to ensure timely
identification of any new stakeholders and interested parties and their involvement in the process of
collaboration with the project. The methods of engagement will also be revised periodically to maintain
their effectiveness and relevance to the project’s evolving environment. Apart from disclosure in the
project areas, the safeguard instruments will also be disclosed in the World Bank external website.
4.7.1 GRIEVANCE MECHANISM
Effective and timely response to community complaints is essential for maintaining good community
relations UCSATP is committed to having an effective complaint handling system that reflects the needs,
expectations and rights of complainants (Annex 02). The guiding principles for managing complaints are:
a. Fairness: The grievance redress system will treat complainants with respect and courtesy. The
rules of natural justice apply and, where appropriate, all parties involved in the complaint will be
given the opportunity to respond to any issues raised.
b. Transparency and accessibility: The complaints handling system will be well known to stakeholders,
staff and contractors. It includes information about the right to complain, how to do it, where
to do it and how the complaint will be handled. Details on the complaints handling process will be
available to all. There is no charge to the complainant for accessing the complaints handling system.
The complaints handling system and supporting information aims to be easy to understand, use,
and be in plain language. Interpreter services should be provided, where possible, for people from
a non-English speaking background.
c. Responsiveness: Complaints will be dealt with quickly, courteously, fairly and within established
timelines. Complainants will be advised of how long it will take to deal with the complaint in
accordance with complaint handling timelines and kept informed of the progress. If additional time
is required to resolve the issues the complainant will be kept informed and advised of the additional
time required and the reasons for the delay. If the complaint is still not resolved to the
complainant’s satisfaction, we will explain our decision clearly, and offer any possible alternative
actions or review opportunities.
d. Privacy and confidentiality: The complaint handling process will ensure complainant confidentiality
and also ensure confidentiality in the case of complaints against staff. Details of complaints should
only be known by those directly concerned.
e. Accountability: The complaint handling system is open to scrutiny by members of the public and
other oversight bodies e.g. the Inspectorate of Government-IGG (Ombudsman). An appropriate
reporting mechanism on the operation of the complaints process will be maintained. UCSATP shall
maintain a complaint register and regularly audit the complaints handling system with appropriate
action plans formulated to address any deficiencies.
In addition, the project GRM will include a mechanism to enable individuals or groups who are vulnerable
or marginalized to report incidents of exclusion or discrimination safely, ethically, and confidentially and
to ensure such grievances are resolved in an efficient and effective way commensurate with the principle
of non-discrimination and inclusion for all. This referral pathway will be developed with the support of
the World Bank-provided Enhanced Implementation and Monitoring Support outlined in the UCSATP
ESMF.
UCSATP has a developed methodology of recording and resolving grievances in the Resettlement Policy
Framework (RPF) based on the lessons learnt in UCSATP. The channels of uptake at all levels will include
walk- ins, face-to-face communication, toll-free calls, letters, e-mails, text messages, WhatsApp, etc. The
mediation process shall be confidential, transparent and objective, as well as accountable, easy, fast,
accurate and participative. The general steps of the grievance process have been summarized as follows:
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v Registration/receipt/Acknowledgment of Complaints
v Investigate and determine solution to the complaint
v Implementing the Redress Action;
v Verifying the Redress Action;
v Monitoring and Evaluation; and
v Recourse or Alternatives
PROJECT LEVEL GRIEVANCE MECHANISM
When local people present a grievance, they generally expect to receive one or more of the following:
acknowledgment of their problem, honest response to questions about project activities, apology,
compensation, modification of the conduct that caused the grievance and some other fair remedy. In
voicing their concerns, they also expect to be heard and taken seriously.
PROCEDURES AND TIME FRAMES
There is no ideal model or one-size-fits-all approach to grievance resolution. The best solutions to conflicts
are generally achieved through localized mechanisms that take account of the specific issues, cultural
context, local customs, and project conditions and scale. In its simplest form, a grievance mechanism can
be broken down into the following primary components:
a. Receive and register a complaint.
b. Screen and validate the complaint.
c. Formulate a response.
d. Select a resolution approach, based on consultation with affected person/group.
e. Implement the approach.
f. Settle the issues.
g. Track and evaluate results.
Learn from the experience and communicate back to all parties involved
Level 1: Local grievance redress committees (LGRC) will be initiated at the village level to record
grievances and also help in mediation. This committee will comprise the LC I Chairperson, a trusted village
elder, a religious representative, an elected PAP representative, representative of Farmer Group and
specific vulnerable group representatives of relevance to the village i.e. women, youth and the disabled.
Disputes will be resolved at the village level as far as possible. The project will prioritize use of existing
Grievance Redress Structures/ Committees as opposed to forming new ones. In such cases, the project
will be introduced to the existing GRCs and taken through the project specific GRM requirements.
Level 2: The Grievance Redress Committee at the Sub County level
This will be established at sub county level to deal with grievances unsettled at the community or farmer
groups level. It will comprise of approximately 5 members;
a. The Sub County Chief, Chairperson to the committee
b. The Community Development Officer, Secretary to the committee
c. Secretary for Production, as member
d. A representative of vulnerable groups (women etc.), as member
e. Agriculture extension officer, as member
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Level 3: District Level Grievance Redress Committee
This will be established to deal with any grievances unsettled at the Farmer Group or Sub County levels.
the GRC at the district will comprise of 7 members;
a. Chief Administrative Officer, shall be the Chairperson to the committee
b. District Community Development Officer, shall be the Secretary
c. Secretary for Production, as member
d. District Production and Marketing Officer, as member
e. District Project Focal Person, as member
f. District Environment Officer, as member
g. District Labour Officer, as member
The PIU through the Social Development Specialist will technically guide the formation and selection of
GRCs and continually build their capacities to receive and handle complaints first hand. The Social
Development Specialist will be supported by the National Grievance Redress Committee that will be
established to handle all referral complaints. The Chairperson of the Village GRC shall have responsibility
to liaise with the Sub County Community Development Officer who shall coordinate the functioning of all
farmer groups GRCs in the Sub County including documentation and reporting to the district Focal Person.
The District Community Development Officer or as designated at the discretion of the CAO shall be the
Technical Focal Officer for the GRM. The mechanism will utilize tools and devices such as Logbooks,
Complaints Registration Form (ANNEX 12.2), E-GRM developed under Agriculture Cluster Development
Project (ACDP), telephones, opinion/suggestion boxes, emails, letters, and walk-ins.
The grievance mechanism implementation process is as follows for the project:
a. The Local Grievance Redress Committee (LGRC) will interrogate the PAP/Complainant in the local
language and complete a Grievance Form which will be signed by the leader of the LGRC and the
PAP/complainant. This will then be lodged in the Grievance Log/Register provided by the
Grievance focal Officer;
b. The PAP should expect a response from the LGRC within seven days of filing the complaint. If the
issue is not resolved, the LGRC will forward the complaint to the GRC at the Sub County, and
accordingly inform the Complainant;
c. The GRC at the Sub County will be given a fourteen-day notice to hold a meeting. Two days after
the meeting, the Sub County GRC will call the PAP and LGRC for discussions, feedback and
resolution. The resolution will be presented to the PAP in written form within the same day of the
meeting. If there is no resolution to the grievance, the GRC at the Sub County and the PAP shall
then refer the matter to the GRC at the District level;
d. The GRC at the District will be given a fourteen-day notice to hold a meeting. Two days after the
meeting, the GRC will call the PAP and LGRC for discussions and resolution. The resolution will be
presented to the PAP in written form within the same day of the meeting;
e. If there is no resolution to the grievance, the GRC at the district level and the PAP shall then refer
the matter to the District Land Tribunal for land-related issues and to MAAIF head office for all
other grievances; and
Appeal to Court - The Ugandan laws allow any aggrieved person the right to access to Court of law. If the
complainant still remains dissatisfied with the District Land Tribunal or MAAIF top management in
Entebbe, the complainant has the option to pursue appropriate recourse via judicial process in Uganda.
Courts of law will be a “last resort” option, in view of the above mechanism.
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The Process Flow Chart of Grievance Redress Mechanism
Registration of grievance
by secretary of LGRC
Closure of grievance by
LGRC
Is
Complainant
Closure of complaint Satisfied
Refer to the Subcounty
committee
Is
Complainant
Closure of complaint Satisfied
Refer to the District
committee
Closure of complaint Is the complainant satisfied
Resort to courts of Law
4.7.2 WORKER GRIEVANCE MECHANISM
The Project is committed to enforcing comprehensive labor and employment policies, including its
requirements on workplace discrimination and harassment, across the entire workforce. This policy
requires that all employees and contractor/service providers workers are to be treated fairly, with dignity
and respect, and have equal employment opportunities. Breast
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The project implementers/contractors will be required to develop a Labor Management Plan that
includes an authorized process for workers to raise grievances and concerns to senior management,
covering any issues that are work related, that affect an employee or contractor, or that an employee
deems unfair. Such concerns may relate (but are not limited) to the following:
v Management decisions;
v Occupational health and safety concerns;
v The behaviour or conduct of another employee, manager, or contractor;
v The risk of exclusion or discrimination based on age, gender, ethnicity, disability, etc.; and
v The effects of UCSATP’s contractors’ Human Resources policy or procedures.
UCSATP will ensure that all grievances raised by workers are treated impartially, respectfully and
confidentially. The employee grievance process is separate from the aforementioned RAP grievance
procedures.
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5 STEP BY STEP PROCESS IN PREPARING THE STAKEHOLDER ENGAGAEMENT PLAN (SEP)
5.1 INTRODUCTION/PROJECT DESCRIPTION
Brief description of CSATP project, the stage of the project, its purpose, and what decisions are currently
under consideration on which public input is sought. Describe location and, where possible, include a map
of the project site(s) and surrounding area, showing communities and proximity to sensitive sites, and
including any worker accommodation, lay-down yards, or other temporary activities that also may impact
stakeholders. Provide a link to, or attach a nontechnical summary of, the potential social and
environmental risks and impacts of the project.
5.2 BRIEF SUMMARY OF PREVIOUS STAKEHOLDER ENGAGEMENT ACTIVITIES
If consultation or disclosure activities have been undertaken to date, including information disclosure and
informal or formal meetings/or consultation, provide a summary of those activities (no more than half a
page), the information disclosed, and where more detailed information on these previous activities can
be obtained (for example, a link, or physical location, or make available on request).
5.3 STAKEHOLDER IDENTIFICATION AND ANALYSIS
Identify key stakeholders who will be informed and consulted about the project, including individuals,
groups, or communities that: are affected or likely to be affected by the project (project-affected parties);
and may have an interest in the project (other interested parties). Depending on the nature and scope of
the project and its potential risks and impacts, examples of other potential stakeholders may include
government authorities, local organizations, NGOs, and companies, and nearby communities.
Stakeholders may also include politicians, labor unions, academics, religious groups, national social and
environmental public-sector agencies, and the media.
5.4 AFFECTED PARTIES
Identify individuals, groups, local communities, and other stakeholders that may be directly or indirectly
affected by the project, positively or negatively. The SEP should focus particularly on those directly and
adversely affected by project activities. Mapping the impact zones by placing the affected communities
within a geographic area can help define or refine the project’s area of influence. The SEP should identify
others who think they may be affected, and who will need additional information to understand the limits
of project impacts.
5.5 OTHER INTERESTED PARTIES
Identify broader stakeholders who may be interested in the project because of its location, its proximity
to natural or other resources, or because of the sector or parties involved in the project. These may be
local government officials, community leaders, and civil society organizations, particularly those who
work in or with the affected communities. While these groups may not be directly affected by the project,
they may have a role in the project preparation (for example, government permitting) or be in a
community affected by the project and have a broader concern than their individual household.
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Moreover, civil society and nongovernmental organizations may have in-depth knowledge about the
environmental and social characteristics of the project area and the nearby populations, and can help
play a role in identifying risks, potential impacts, and opportunities for the Borrower to consider and
address in the assessment process. Some groups may be interested in the project because of the sector
it is in (for example health care), and others may wish to have information simply because public finance
is being proposed to support the project. It is not important to identify the underlying reasons why people
or groups want information about a project—if the information is in the public domain, it should be open
to anyone interested.
5.6 MARGINALIZED OR VULNERABLE INDIVIDUALS OR GROUPS
It is particularly important to understand project impacts and whether they may disproportionately fall on
vulnerable or marginalized individuals or groups, who often do not have a voice to express their concerns or
understand the impacts of a project. The following can help outline an approach to understand the viewpoints
of these groups:
a) Identify vulnerable or marginalized individuals or groups and the limitations they may have in
participating and/or in understanding the project information or participating in the consultation
process.
b) What might prevent these individuals or groups from participating in the planned process? (For
example, language differences, lack of transportation to events, accessibility of venues, disability, lack
of understanding of a consultation process).
c) How do they normally get information about the community, projects, activities?
d) Do they have limitations about time of day or location for public consultation?
e) What additional support or resources might be needed to enable these people to participate in the
consultation process? (Examples are providing translation into a minority language, sign language,
large print or branded information; choosing accessible venues for events; providing transportation
for people in remote areas to the nearest meeting; having small, focused meetings where vulnerable
stakeholders are more comfortable asking questions or raising concerns.)
f) If there are no organizations active in the project area that work with vulnerable groups, such as
persons with disability, contact medical providers, who may be more aware of marginalized groups
and how best to communicate with them. What recent engagement has the project had with
vulnerable stakeholders and their representatives?
5.7 STAKEHOLDER ENGAGEMENT PROGRAM
5.7.1 PURPOSE AND TIMING OF STAKEHOLDER ENGAGEMENT PROGRAM
Summarize the main goals of the stakeholder engagement program and the envisaged schedule for the various
stakeholder engagement activities: at what stages throughout the project’s life they will take place, with what
periodicity, and what decision is being undertaken on which people’s comments and concerns. If decisions on
public meetings, locations, and timing of meetings have not yet been made, provide specific information on
how people will be made aware of forthcoming opportunities to review information and provide their views.
Include the ESCP as part of such information.
5.8 PROPOSED STRATEGY FOR INFORMATION DISCLOSURE
Methods used may vary according to target audience. For each media example, identify the specific names,
for example, The Daily Monitor and Capital FM, NTV.
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Table 5-1: Information Disclosure Channels
Stakeholder Categorization Proposed Media to be used during information disclosure
Urban Areas TV’s (NTV, NBS, UBC among others), Newspapers, letters, emails, phone calls,
physical visits
Rural Areas Radios (Capital FM or local radio stations), Use of Local councilors, physical
visits, meetings,
Women FGDs, Meetings, physical visits, phone calls, women representatives,
Indigenous People FGD’s, use of local distinct language and trusted leaders. Use of skilled
translators.
PAPs Newspapers, TV’s, Radio’s, physical visits, local councilors,
Ministries, Departments and Letters, emails, phone calls, reports, meetings, physical field visits among
Agencies others
NGO’s GRM’s,
General public Newspapers, radio’s, TV’s,
The project routinely gets information and may include a more central information source for national
interest. A variety of methods of communication should be used to reach the majority of stakeholders.
The project should select those that are most appropriate and have a clear rationale for their choices.
The plan should include a statement welcoming comment on the proposed engagement plan and
suggestions for improvement. For remote stakeholders, it may be necessary to provide for an additional
newspaper outlet or separate meeting, or additional documents that should be placed in the public
domain. The public domain includes:
i. Newspapers, posters, radio, television;
ii. Information centers and exhibitions or other visual displays;
iii. Brochures, leaflets, posters, nontechnical summary documents and reports;
iv. Official correspondence, meetings;
v. Website, social media.
The strategy should include means to consult with project-affected stakeholders if there are significant
changes to the project resulting in additional risks and impacts. Following such consultation, an updated
commitment plan will be disclosed.
5.9 PROPOSED STRATEGY FOR CONSULTATION
Briefly describe the methods that will be used to consult with each of the stakeholder groups. Methods
used may vary according to target audience, for example:
i. Interviews with stakeholders and relevant organization;
ii. Surveys, polls, and questionnaires;
iii. Public meetings, workshops, and/or focus groups on specific topic; and
iv. Participatory methods.
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5.10 PROPOSED STRATEGY TO INCORPORATE THE VIEWS OF VULNERABLE OR
MARGINALIZED INDIVIDUALS OR GROUPS
Describe how the views of vulnerable or disadvantaged groups will be sought during the consultation
process. Which measures will be used to remove obstacles to participation? This may include separate
mechanisms for consultation and grievances, developing measures that allow access to project benefits,
and so forth. In addition, service providers will be engaged through World Bank-financed Enhanced
Implementation Support and Monitoring, to provide support in conducting additional consultations with
vulnerable or marginalized individuals or groups that are likely to be affected by the project.
5.11 TIMELINES
Provide information on timelines for project phases and key decisions. Provide deadlines for comments.
5.12 REVIEW OF COMMENTS
Explain how comments will be gathered (written and oral comments) and reviewed, and commit to
reporting back to stakeholders on the final decision and a summary of how comments were considered.
5.13 FUTURE PHASES OF THE PROJECT
Explain that people will be kept informed as the project develops, including reporting on project
environmental and social performance and implementation of the stakeholder engagement plan and
grievance mechanism. Projects should report at least annually to stakeholders, but often will report more
frequently during particularly active periods, when the public may experience more impacts or when
phases are changing (for example, quarterly reports during construction, then annual reports during
implementation).
5.14 RESOURCES
Indicate what resources will be devoted to managing and implementing the Stakeholder Engagement
Plan, in particular:
a. Which people are in charge of the SEP?
b. Confirm that an adequate budget has been allocated toward stakeholder engagement
c. Provide contact information if people have comments or questions about the project or the
consultation process; that is, phone number, address, e-mail address, title of responsible person.
5.15 MANAGEMENT FUNCTIONS AND RESPONSIBILITIES
Describe how stakeholder engagement activities will be incorporated into the project’s management
system and indicate what staff will be devoted to managing and implementing the Stakeholder
Engagement Plan:
a. Who will be responsible for carrying out each of the stakeholder engagement activities and what are
the qualifications of those responsible?
b. How involved will management be in stakeholder engagement?
c. How will the process be documented, tracked, and managed (for example, stakeholder database,
commitments register, and so forth)?
64
5.16 GRIEVANCE MECHANISM
Describe the process by which people affected by the project can bring their grievances and concerns to
the project management’s attention, and how they will be considered and addressed:
a) Is there an existing formal or informal grievance mechanism, and does it meet the requirements
of ESS10? Can it be adapted or does something new need to be established?
b) Is the grievance mechanism culturally appropriate, that is, is it designed to consider culturally
appropriate ways of handling community concerns? For example, in cultures where men and
women have separate meetings, can a woman raise a concern to a woman in the project grievance
process?
c) What process will be used to document complaints and concerns? Who will receive public
grievances? How will they be logged and monitored?
d) What time commitments will be made to acknowledge and resolve issues? Will there be ongoing
communication with the complainant throughout the process?
e) How will the existence of the grievance mechanism be communicated to all stakeholder groups?
Are separate processes needed for vulnerable stakeholders?
f) If a complaint is not considered appropriate to investigate, will an explanation be provided to the
complainant on why it could not be pursued?
g) Will there be an appeal process if the complainant is not satisfied with the proposed resolution of
the complaint? Not all projects will necessarily have an appeals process, but it is advisable to
include one for more complex projects. In all cases, complainants need to be reassured that they
still have all their legal rights under their national judicial process.
h) A summary of implementation of the grievance mechanism should be provided to the public on a
regular basis, after removing identifying information on individuals to protect their identities. How
often will reports go into the public domain to show that the process is being implemented?
5.16.1 MONITORING AND REPORTING
The Stakeholder Engagement Plan will be periodically revised and updated as necessary in the course
project implementations in order to ensure that the information presented herein is consistent and is the
most recent, and that the identified methods of engagement remain appropriate and effective in relation
to the project context and specific phases of the development. Any major changes to the project related
activities and to its schedule will be duly reflected in the SEF.
Monthly summaries and internal reports on public grievances, enquiries and related incidents, together
with the status of implementation of associated corrective/preventative actions will be collated by
responsible staff and referred to the senior management of the project(s). The monthly summaries will
provide a mechanism for assessing both the number and the nature of complaints and requests for
information, along with the Project’s ability to address those in a timely and effective manner.
Contact Reports are to be prepared by Social Safeguards Specialist for the project or other relevant
function whenever an external consultation event is conducted. Meeting minutes are also to be kept for
community meetings and other ESHS engagement activities held with affected stakeholders.
Where considered beneficial, participative community monitoring programmes will be introduced to
check project impacts and the effectiveness of mitigation programs). The Safeguards Teams will establish
suitable environmental and/or social topics for this approach, identify potential participants from
amongst the affected communities, and provide any capacity building/training. The output (reports from
participants) from such monitoring is likely to be verbal (meetings or telephones) and will be recorded. In
65
addition, the project will implement World Bank-financed Enhanced implementation Support and
Monitoring to assess the level of non-discrimination under the Project. Other project teams shall maintain
suitable monitoring measures for engagement with interested parties/ other stakeholders such as
national government and its agencies, NGOs and the general public. All new commitments made by
UCSATP or its representatives to stakeholders are to be entered into the Commitments Register.
Information on public engagement activities undertaken by the Project during the year may be conveyed
to the stakeholders in a standalone annual report on project’s interaction with the stakeholders.
5.16.2 MONITORING INDICATORS
A number of Key Performance Indicators (KPIs) will also be monitored by the project on a regular basis,
including the following parameters:
a. Number of public hearings, consultation meetings and other public discussions/forums conducted
within a reporting period (e.g. monthly, quarterly, or annually);
b. Number of participants attending consultation meetings and other forums disaggregated to show
women, VMGs and other vulnerable or marginalized persons;
a. Frequency of public engagement activities;
c. Geographical coverage of public engagement activities – number of locations and settlements
covered by the consultation process, including the settlements in remote areas within the Project
Area of Influence (PAI);
d. Number of public grievances received within a reporting period (e.g. monthly, quarterly, or annually)
and number of those resolved within the prescribed timeline;
e. Type of public grievances received; and Number of press materials published/broadcasted in the
local, regional, and national media.
5.16.3 INFORMATION SHARING
Information sharing and knowledge transfer is an important part of the successful transition from the
planning and design phase to detailed design and delivery phase of the sub-projects. UCSATP and its sub-
projects will work together to ensure the contractors have a strong understanding of the project’s
stakeholders and their interests, concerns and desired outcomes for the project, based on engagement
undertaken to date. This will minimize the need for contractors to revisit matters that stakeholders have
previously raised with UCSATP.
5.17 IMPLEMENTATION BUDGET
The implementation of the SEF is to be led by MAAIF through a Project Implementation Unit (PIU) and
the budget for its implementation is proposed as herein.
No. Activities Approx. Cost (USD)
1 Stakeholder consultation meetings 52,000.00
2 Information products e.g. brochures 66,000.00
3 Publicity/media 30,000.00
4 Capacity building 55,000.00
5 Monitoring and evaluation 65,000.00
6 Engagement of Liaison Specialists/Officers in project areas 150,000.00
TOTAL 418,000.00
66
ANNEXES
ANNEX 1: SUMMARY OF PROCEEDINGS FROM VIRTUAL MEETINGS
Meeting with the CSOs working with the Batwa.
DATE 20th April 2022
START 10:00 am
MEETING
END 10:45 am
MINUTES BY Ms. Nelson Omagor
Venue of meeting A virtual Meeting by Mr. Nelson Omagor, Environmental and Social Safeguards
Consultant and Ms. Penninah Zaninka Coordinator CSOs working with Batwa
(0772660810).
Subject of the Meeting Stakeholder consultations on the planned Uganda Climate Smart Agriculture
Transformation Project with specific reference to involvement of the Batwa who are
Vulnerable and Marginalized Group.
The Meeting focused on the following aspects:
A. Agenda:
a. Self-Introductions
b. Introduction of the project; its objectives, activities and beneficiaries as well as focus on Batwa
involvement
c. Submission by Thomas addressing agricultural challenges amongst the Ik with climate challenges and
how they expect the project to be implemented with respect to Batwa and vulnerable people.
d. Closure of the Meeting.
B. Self-Introductions
Self-introductions by the meeting and the subject of the Meeting was shared.
The Consultant introduced the Project and outlined its objectives, planned activities as well as coverage of the
Batwa people amongst the vulnerable people. The project is called Uganda Climate Smart Agriculture
Transformation Project and MAAIF and that, services of JBN Consults and Planners Ltd had been retained for
these services in keeping the World Bank requirements during project preparations. He added the project is
answer to dwindling agricultural production occasioned largely by erratic climatic changes. As part of the project
preparation process, its required that some of the key environmental and social safeguards documents need to
be prepared and these include; ESMF, SEF and VMGF which is why the meeting now to provide input to these
processes.
C. Overview on the proposed project
a. In Uganda Agriculture is mainly dependent on rain therefore the climate shocks will continue to have
significant direct and indirect impacts on agricultural productivity and incomes so there is need to build
resilience to climatic shocks;
b. The consultant informed Ms. Penninah how the project will support investments in technologies and market
driven productivity in climate smart value chains which will contribute to reversing of climate change hence
increase in agriculture productivity and household incomes; and
c. Some of the project components are promoting adoption of climate smart agriculture practices and value
chains, strengthening climate smart agricultural research and seeds systems, strengthening agro-climatic
monitoring and information systems and project coordination management, monitoring and evaluation and
learning.
D. Submission by Ms. Penniah on addressing agriculture production challenges amongst the Batwa
Communities with a focus on climate change risks and how they would expect the project to be
implemented with respect to Ik and vulnerable people.
In the discussion Ms. Penninah submitted that:
a. Land size and fertility are major constraints towards agricultural yields and contributors to food insecurity
amongst the Batwa communities. It is also compounded by poorer fertility of Batwa cultivation plots
compared with how the cultivation plots of other communities in neighboring districts in Kanungu are. This
is all part of well-known historical injustices where the Batwa were pushed out of their productive lands
for the sake of conservation;
67
b. Due to land scarcity, Batwa households do practice over-cultivation, that depreciates their land fertility
thereby depriving of them of good yields and food insecurity.
c. Sometimes the Batwa communities do have good food harvests and good food access in terms of both
quantity and quality and these happens during times of good rains and supply of good seed supply and
absence of extreme weather events (e.g. drought, hailstorms), pests and crop raiding by wildlife from
nearby national parks;
d. Extreme weather events in both the dry and rainy seasons are some of the most frequent hazards in Batwa
areas. During the dry season, many food crops dry up and the people have poor harvest and limited food
items to eat. Some years, people plant millet it can rain heavily and all the seeds get washed by the storms;
e. Droughts are perceived to be particularly difficult as they impact both food and water security: “We are
affected by drought [a month or longer], like once a year. Dry seasons don’t only affect the crops but also
our water sources dry up, yet most of the work and activities we do at home all rely on using water”
(…..reported by Penninah Zannika pers.com.,);
f. Awareness of potential coping strategies is key and the Batwa should be given tailormade programs
addressing; crop rotation, inter-cropping, crop diversification, tree planting, cash crops growing such as tea
and coffee, animal husbandry, support towards bee-keeping, provision of agricultural inputs to support
improved yields, post-harvest technologies and long-term planning can be potential strategies to address
improved crop production in the communities of the Batwa;
g. However, lack of land to a very big extent restrict implementation of food production coping mechanisms.
For example, different harvesting cycles of vegetables and legumes can provide food year-round if timed
appropriately, but small plots cannot support such a diversity of crops. Sometimes communities are not
able to produce adequate crop yields, they can grow food crops and after harvesting, they can survive on
them for about a month and they get finished. They can never grow crops that can last for over a year
whereas non-Indigenous neighboring (Bakiga) population are able to plant both staple and cash crops
(coffee, tea), which lead to food security and improved cash wealth. The Batwa equally want to grow such
crops and be wealthy but the question of land is a problem;
h. By and large, amongst the Batwa members, there is a feeling that, they are systematically excluded from
the political processes in Uganda due to systemic and structural barriers. For instance, many of them don’t
have national identification cards and this makes it hard for them to access Government programs because
those without national Identity cards are not recognized as Ugandan citizens. A number of them lack access
to quality education in private schools because of school fees;
i. To address the challenges of climate change, Uganda implemented an adaptation agenda through a
number of policy measures including the National Adaptation Plan and periodic National Development
Plans. However, from the discussions, it emerged that, the Batwa we’re not included meaningfully in the
decision-making processes of these plans. This means that the interventions that target them are poorly
designed and implemented;
j. Amongst the communities of the Batwa, rainwater harvesting investments in the form of household roof
tanks or community tanks only work for Batwa who live in permanent houses who are just a handful as
such, that intervention in terms of climate mitigation is not realistic to the Batwa but there are resources
by Government and development partners meant to relieve water scarcity through such but they get
excluded. Worse, they are by large, mostly landless who live in temporary houses and won’t benefit at all;
k. In one area in where there they are settled, they on relatively barren, steep slopes. Here they were
expected to live and do farming and how can they participate in meaningful and rewarding agriculture? In
another cases, they are provided interventions in terms of high yielding crop seeds to their households but
a number of them do not even have any farmland.
What can work and how UCSATP can be implemented should be:
a. It is vital that, the Project has a tailor-made approach which is responsive to the needs and set up of the
Batwa. Some sections of the Batwa communities do not have national identity cards and if have the identity
cards is a compliance requirement to access project financing or otherwise, such groups will miss out;
b. To Penninah, it would also be worthwhile to draw on best practices and lessons from similar cases where
similar types of interventions have worked amongst marginalized and vulnerable communities such as
Batwa rather than to simply fit these groups into a program, that may not work well. A case of the world’s
first national indigenous climate platform in Peru which is reported to have some success stories and such
stories could as well inform UCSATP program. Through such stories, impetus is to prioritize these groups
and to even strengthen the role of VMG in mitigating and adapting to climate change could get well
informed;
68
c. Based on her experience, climate adaptation responses must pay more and specific attention to the issues
of recognition, participation and deliberate processes geared towards creating and building sustainability in
the marginalized and vulnerable communities rather than some approaches focusing on distribution of food
aid and handouts;
d. Deliberate drive to grow alternate cash crops such as coffee, tea and agro-forestry is critical for the
sustainability of these communities and the project needs to factor such into their plan for Batwa;
e. Ms. Penninah recommends that, UCSATP in its PMU should amongst its staffing should include a VMG
Specialist who amongst others, is to ensure information regarding the project is accordingly packaged and
delivered to and from VMGs for their effective and meaningful involvement in UCSATP;
f. Finally, within available lands amongst the Batwa, UCSATP and MAAIF should focus on maximizing
production more efforts are needed to end discrimination and domination against Indigenous communities
and promote inclusive structures and processes through legal and policy reforms.
E. Reaction from JBN consults
The Consultant informed Ms. Penninah that the project was still at its preparation stage and these ideas will be
passed on to the Ministry for consideration.
F. Meeting Closure
The Meeting was closed at 09:59pm
69
Meeting with the Sub-county Chief Ik/Distict
Commercial Officer Kotido district
DATE 19th April 2022
START 09:50 am
MEETING
END 10:20 am
MINUTES BY Ms. Nelson Omagor
Venue of meeting A virtual Meeting by Mr. Nelson Omagor, Environmental and Social Safeguards
Consultant and Mr. Thomas Lemu Sub-county Chief Kabong/Ik Community Liaison
Officer (0772199992).
Subject of the Meeting Stakeholder consultations on the planned Uganda Climate Smart Agriculture
Transformation Project with specific reference to involvement of the Ik who are
Vulnerable and Marginalized Group.
The Meeting focused on the following aspects:
G. Agenda:
e. Self-Introductions
f. Introduction of the project; its objectives, activities and beneficiaries as well as focus on Ik
involvement
g. Submission by Thomas addressing agricultural challenges amongst the Ik with climate challenges
and how they expect the project to be implemented with respect to Ik and vulnerable people.
h. Closure of the Meeting.
H. Self-Introductions
Self-introductions by the meeting and the subject of the Meeting was shared.
The Consultant introduced the Project and outlined its objectives, planned activities as well as coverage of
the Ik people amongst the vulnerable people. The project is called Uganda Climate Smart Agriculture
Transformation Project and MAAIF and that, services of JBN Consults and Planners Ltd had been retained
for these services in keeping the World Bank requirements during project preparations. He added the
project is answer to dwindling agricultural production occasioned largely by erratic climatic changes. As part
of the project preparation process, its required that some of the key environmental and social safeguards
documents need to be prepared and these include; ESMF, SEF and VMP which is why the meeting now to
provide input to these processes.
I. Overview on the proposed project
d. In Uganda Agriculture is mainly dependent on rain therefore the climate shocks will continue to have
significant direct and indirect impacts on agricultural productivity and incomes so there is need to build
resilience to climatic shocks;
e. The consultant informed the key person how the project will support investments in technologies and
market driven productivity in climate smart value chains which will contribute to reversing of climate
change hence increase in agriculture productivity and household incomes; and
f. Some of the project components are promoting adoption of climate smart agriculture practices and
value chains, strengthening climate smart agricultural research and seeds systems, strengthening agro-
climatic monitoring and information systems and project coordination management, monitoring and
evaluation and learning.
a. Submission by Thomas Lemu addressing agricultural challenges amongst the Ik with climate
challenges and how they expect the project to be implemented with respect to Ik and vulnerable
people.
In the discussion Thomas submitted that:
v The production went up because UPDF Disarmament was a reality in that, there was peace and people
were really settled;
v Over the last 10 years people of Kabong and Ik people have been producing millet, sorgum and maize
in good quantities because their soils are good and the weather has been favourable;
v The farming calendar amongst the Ik starts in February with land preparation and ploughing but cattle
rustlers have virtually taken all oxen in the communities so opening land is a nightmare;
70
v One the problem the Ik have is access to accurate weather information and such information ought
to be readily available in their local dialects so that they are able to synchronize their cropping
calendars. Unfortunately, the Weather Station constructed by Government in Kabong has not been
equipped and non-functional. The UCSATP should avail programs of early warning to the communities
so as to address cropping timings;
v The project should be careful in its design, operations and management of its revolving funds. For
instance, when Government came with its Emyoga funds for small-scale interventions, the beneficiary
community took it as a political hand-out and an appreciation after the elections. It is critical, that
there is adequate mobilization and sensitization and a high level of readiness otherwise the
intervention can come to nothing;
v Literature has it that, Karamoja has benefitted from a number of assistance programs but there isn’t
much to show on the ground except lately NUSAF and DRDIP projects in OPM. Lately, the Ik
communities urge that, technical staff managing project interventions in their areas should be from
Ik people unless it really emerges that, there are no such specialities amongst then a person
originating from Kabong could be considered this is because they know the special needs of their
people and their cultural implications of dealing with outside world;
v Lately, cattle rustling has taken another dimension and become commercialized involving local
leaders, it has even become cross-border in nature and the net effect is, the factor of agricultural
production has been taken i.e. oxen so famine will be worse in a few years to come;
v Cattle are raided and taken in waiting trucks guarded by soldiers and this has had its impact on
farming; and
v The other problem is, there thieves all-over the villages stealing food in granaries, uprooting crops in
gardens. What is worse, even the Village Saving and Loan Associations (VLSA) thought are being
frustrated by some members themselves in some areas amongst the IK and across the district. Some
members go and alert thieves about what a group has saved and they come for the box. So, managing
a revolving fund must be well thought of before starting or having it as part of the project.
The following are some of the suggestions regarding the UCSATP as per the Ik Community Mobilzer:
b. Because of rampant cattle raids, the Ik are more comfortable with enterprises to do with bee
keeping and there is a claim that, the Ik people or communities have best honey in the world”
c. The cattle raids have left the communities exposed to worse famine than ever and it would be good,
the project works hand in hand with OPM to also deliver food assistance to the beneficiary
communities in the project otherwise, they can end up selling project in-puts for quick funds for
their survival;
d. The community structures to a very large extent should be used amongt the Ik to opertaionliza the
project. For instance, the elderly men (Ikasukoun), youth (Ikaracuna) and women (A’ngoria) have
different and clear roles in the communities and should be targeted differently for different
development aspect. The Elders are usual in mobilization of youth because their special place and
respect in society, the youth fear to oppose anything the elders advance;
e. Let UCSATP provide Ik with simple mechanized agricultural equipment because lately cattle rustling
has swept virtually all cows amongst the Ik people and they begin to feel safe without cattle for fear
of rustlers;
f. Interest groups and vulnerable categories ought to have their resources and involvement be ring-
fenced others often they are left out during implementation. What is key, let there be clear
provisions for interventions meant for vulnerable groups in view of their uniqueness. In NUSAF 2
and 3 there was a special program and approach meant for Karamoja which should be the case
under UCSATP otherwise these groups tend to miss out from programs where they are included in
the overall project interventions; and
g. The last intervention of restocking should occur after successfully having in place sound
disarmament program by UPDF otherwise the cows will simply be stolen by the raiders and this can
upset all projects meant for VGMs and Karamoja at large.
71
J. Reaction from JBN consults
The Consultant informed Mr. Thomas that the project was still at its preparation stage and these ideas will
be passed on to the Ministry for consideration. The Consultant appreciated the CDO for the information
shared and the time spared towards the success of the project
K. Meeting Closure
The Meeting was closed at 09:59pm
72
Meeting with Environment officer of Kakumiro district
DATE 10th February 2022
START 16: 09
MEETING
END 16:23
MINUTES BY Ms. Drolence Nandagi.
Venue of meeting Meeting called by Ms. Drolence and it was a virtual meeting with (Mr
Tibagwana Peter) Kakumiro Environment Officer. (0772108877)
Subject of the Meeting Consultation of the stakeholder on the planned Uganda Climate Smart
Agriculture Transformation Project
A. Agenda:
a. Self-Introductions
b. Introduction of the project
c. Consultant’s response
d. Closure
B. Self-Introductions
a. Introductions were made by Ms. Drolence the Consultant sociologist
b. The Consultant gave a background information about the project under preparation and it is Uganda
Climate Smart Agriculture Transformation Project to be implemented by the Ministry of Agriculture,
Animal Industry and Fisheries (MAAIF) and services of M/S. JBN Consults ad Planners Ltd have been
retained to prepared environmental and social safeguards documents namely; the ESMF, Stakeholder
Engagement Plan (SEP), Vulnerable and Marginalized People Plan (VMPP) and Gender Based Action
Plan (GBVAP). and VMP for the proposed project.
c. The purpose of the Meeting therefore was to pick areas of concerns that need to be built into the
project to improve its compliance with both GoU and World Bank Environmental and Social
safeguards.
Overview on the proposed project
a. In Uganda Agriculture is mainly dependent on rain therefore the climate shocks will continue to have
significant direct and indirect impacts on agricultural productivity and incomes so there is need to build
resilience to the current rampant climatic shocks.
b. The Consultant informed the DEO that the project will support investments in technologies and market
driven productivity in climate smart value chains which will contribute to reversing of climate change
hence increase in agriculture productivity and household incomes.
c. Some of the project components according to the discussion are to promote adoption of climate smart
agriculture practices and value chains, strengthening climate smart agricultural research and seeds
systems, strengthening agro-climatic monitoring and information systems and project coordination
management, monitoring and evaluation and learning.
C. Reactions from the District Environmental Officer (environmental and social concerns)
a. The DEO informed the Consultant that, the project is a timely intervention by Government and its
partners and it focuses on areas that are key lately in view of short rains and poor harvests by the
farmers bringing about sustained harvests and household food security
b. The Environment Officer appreciated the Team for having involved him at the planning stage because
most projects don’t involve them which leaves a very big gap in many projects and end up failing and
related difficulties on matters of compliance.
c. There is an issue of low budgeting where by the funders fail to facilitate for the local government and
assume they have their own facilitation which slows down the monitoring and follow up on the project
during implementation.
d. The environment officer advised that there is need for the project implementers to involve them and
facilitate their participation so that, input from the communities is built into the project because they
are the ones on ground and have all the necessary information.
e. He advised that, that capacity building is necessary for both technical team and the local community for
effective compliance.
f. He suggested that for the success of the project roles and responsibilities should be clear for different
stakeholders.
73
The following are the fears expressed and how best they could be addressed:
a. The DEO’s greatest fear was exciting people about the project and in the end Ministry of agriculture
just keeps quiet without the project proceeding any further;
b. Secondly, using the local people momentarily and before the end of the project, they are left out
without any clear procedures and payments; and
c. There is fear of failure to be planned for in terms of facilitation for the key stakeholders therefore for
better in out puts they need proper input.
Reaction from the Consultant
In a nutshell, the Consultant appreciated the DEOs input and pledged to integrate his concerns into the project by both
the Bank and MAAIF.
Thereafter, the Meeting ended at 16:23pm
74
Meeting with DEO of Kumi district
DATE 7th February 2022
START 12:00 noon
MEETING
END 01:00 pm
MINUTES BY Ms. Drolence Nandagi.
Venue of meeting It was a virtual meeting between Ms. Drolence (Consultant) and Mr. Opio
Moses the Kumi District Environment Officer. (0784362155)
Subject of the Meeting Consultation of the stakeholder about the Uganda Climate Smart
Agriculture Transformation Project
The interview was between Drolence and Opio Moses the District Education officer of Kumi district.
A. Agenda:
1. Self-Introductions
2. Introduction of the project
3. Consultant’s response
4. Closure
B. Self-Introductions
Introductions were made by Ms. Drolence the Consultant sociologist
The Consultant informed the DEO that GoU was preparing the safe guard documentation that is going to help us in
preparing the Environmental and Social tools, ESMF, SEP and VMP for the proposed project.
Overview on the proposed project
The Consultant gave a background information about the project under preparation and it is Uganda Climate Smart
Agriculture Transformation Project to be implemented by the Ministry of Agriculture, Animal Industry and Fisheries
(MAAIF) and services of M/S. JBN Consults ad Planners Ltd have been retained to prepared environmental and social
safeguards documents namely; the ESMF, Stakeholder Engagement Plan (SEP), Vulnerable and Marginalized People
Plan (VMPP) and Gender Based Action Plan (GBVAP). and VMP for the proposed project.
The purpose of the Meeting therefore was to pick areas of concerns that need to be built into the project to improve
its compliance with both GoU and World Bank Environmental and Social safeguards.
C. Reaction from the DEO
a. The DEO was very happy to hear of the above project and was gladly waiting for the project to be
implemented and promised to give all the necessary support in his capacity in regards to documentation
of Environmental and social tools.
b. He explained that it would be a great idea to work with the right structures on the ground forever
example fisheries officers, veterinary officers and community members should be involved at this
preparatory stage for the project.
c. The DEO was concerned that, in many cases projects are designed without building in measures for
their sustainability to the extent that, once the project closes, everything about such projects end. The
other issue is, sustainability is key in that, even when equipment for the project breaks down, the locals
whose capacity will have been built can support the project otherwise projects end up being huge white
elephants just because of simple breakdowns which could easily be fixed.
The following are the fears and how best they should be addressed
a. There is an issue of sustainability in a way that projects are time bound so there is concern that that
when the project time elapses the project would just come to an end once and for all.
b. There is need to use the existing structures in the district for the project area to ensure success of the
project
c. The DEO asked about the main beneficiaries and during implementation, such beneficiaries be
targeted.
Reaction from JBN consults
The Consultant informed the DEO that the beneficiaries have been identified and they will involve in the project
throughout the project as in the project documents. There are also plans for deliberate capacity building in the project
to ensure its sustainability beyond the life of the project.
The Meeting was adjourned at 15:50pm.
75
Meeting with DCDO of Lira district
DATE 9th February 2022
START 09:50 am
MEETING
END 10:20 am
MINUTES BY Ms. Drolence Nandagi.
Venue of meeting A virtual Meeting by Ms. Drolence a Consultant Sociologist and Mrs. Anono
Christine the Lira District Community Development Officer (0772672792 )
(CDO)
Subject of the Meeting Consultation of the stakeholder on the planned Uganda Climate Smart
Agriculture Transformation Project
The interview was between Ms. Drolence and Mrs. Anono Christine the District Community Development Officer of
Lira District.
Agenda:
i. Self-Introductions
j. Introduction of the project
k. Consultants’ response
l. Closure
Self-Introductions
a. They members did self -introductions thereafter, the meeting proceeded.
b. The Consultant Sociologist informed the CDO that the Ministry was preparing safeguard documentation
as part of the overall project preparation process and these included; ESMF, SEP and VMP for the
proposed project.
c. The project is called Uganda Climate Smart Agriculture Transformation Project and MAAIF and that,
services of JBN Consults and Planners Ltd had been retained for these services in keeping the World
Bank requirements during project preparations.
L. Reaction from the District Community Development Officer
The DCDO was welcomed the above project and informed the Consultant that they were looking
forward to seeing it implemented for the benefit of the target communities for improved household
incomes and food security;She informed the sociologist that the best people to be contacted first would
be the agricultural officer and the natural resources officers as their sectors are in line with the project
targets.
The following are the fears and how best they should be addressed
h. There is fear for the community members to left them being the key people to directly benefit from
this project.
i. There is need to look for a wide market for crops grown so that farmers are able to sell their crops to
avoid losses since crops grown on a large scale are not only for consumption but also commercial.
j. There is need to create enough training time for agriculturists not just limited time so that they are
able to cope up with the new technologies and methods of Smart Agriculture; and
k. The DCDO wanted to know when ministry of Agriculture would be going on ground to put all what the
project says on ground.
M. Reaction from JBN consults
The sociologist informed the DCDO that the project is still at its design/formative stages therefore, all these concerns
will be taken into consideration and inbuilt into it. The Consultant appreciated the CDO for the information shared and
the time spared towards the success of the project
N. Meeting Closure
The Meeting was closed at 09:59pm
76
Meeting with Environment officer of Palisa district
DATE 9th February 2022
START 16: 15
MEETING
END 16:23
MINUTES BY Ms. Drolence Nandagi
Venue of meeting This was a virtual meeting between Ms. Drolence and Mr. Samuka
Muhamed the DEO Pallisa District (0782556952)
Subject of the Meeting Consultation of the stakeholder about the Uganda Climate Smart
Agriculture Transformation Project
The interview was between Drolence and the Environmental officer of Pallisa District.
A. Agenda:
a. Self-Introductions
b. Introduction of the project
c. Consultants’ response
d. Closure
B. Self-Introductions
Introductions were made by Drolence the consultant sociologist
The sociologist informed the environmental officer that, GoU through MAAIF was preparing environmental and social
safeguard documents as part of the overall project preparation and the tools under preparation were; ESMF, SEP,
GBVAP and VMP for the proposed project.
The project is the Uganda Climate Smart Agriculture Transformation Project under MAAIF and that role is being
undertaken by M/S. JBN Consults and Planners Ltd and it is to be financed by the World Bank.
C. Overview of the project
a. In Uganda Agriculture is mainly dependent on rain therefore the climate shocks will continue to have significant
direct and indirect impacts on agricultural productivity and incomes so there is need to shift way land, water soil
and other agricultural activities to build resilience to climatic shocks
b. The Consultant informed the key DEO how the project will support investments in technologies and market driven
productivity in climate smart value chains which will contribute to reversing of climate change hence increase in
agriculture productivity and household incomes.
c. Some of the project components are promoting adoption of climate smart agriculture practices and value chains,
strengthening climate smart agricultural research and seeds systems, strengthening agro climatic monitoring and
information systems and project coordination management, monitoring and evaluation and learning.
D. Some of the concerns from the DEO.
a. The project should come with technologies that will help address climate change risks and ensure its
sustainability and most important, the technologies should be easily adapted by the local farmers. Some
projects have complicated technologies which cannot easily adapted by the local communities;
b. Value chain improvements interventions must incorporate measures and technologies for aste
management which use technologies like rec-cycling etc;
The livestock component has to come with technologies for Greenhouse gas management especially
biogas technologies and applications;
c. The SLM measures should equally look at supporting local governments with respect to wetland
protection in view of current encroachment. We need to get people from wetlands but give them what
alternate sources of income at household levels;
d. Interest groups and vulnerable categories ought to have their resources and involvement be ring-fenced
others often they are left out during implementation.
Reaction from JBN consults
The consultant appreciated the Pallisa environment officer for his time and the information shared will be of great use
in the success of the project.
E. Meeting Closure
The Meeting was closed at 16:23pm
77
APAC MINUTES
DATE 24th February, 2022
START 12:43
MEETING
END 12:58
MINUTES BY Ms Drolence Nandagi.
Subject of the Meeting Stakeholder consultation
Introduction
The meeting took place between the District Community Development Officer Apac and the consultant. (Mr Okello
Tom 0772660023).
Fears
He noted fears of land conflicts amongst the community members in Apac.
Concerns
a. Issues of encroachment in swamps and wetlands by communities who grow rice growing hence,
swamp reclamation. The project should come with alternatives that get people out of wetlands if this
CSA project is to meaningfully support environment and natural resource management.
b. Rampant bush fires leading to soil erosion and the project could help address this through community
sensitization in the project;
c. Tree cutting by communities has degraded the environment, the need the project come clear with
measures of tree planting and the women be on the forefront on this as well as the youth. How are
schools being targeted as well as tertiary training institutions as well as academia?
d. Insufficient water supply as many farmers rely on rain water for irrigation therefore, irrigation
technologies ought to be those even local communities can co-opt and operate.
e. Lack of mechanization. There is urgent need for mechanize of agricultural operations so that
agriculture is not seen as a burden but rather a venture that is enjoyable and profitable capable of
attracting youth not when it has still its hand hoe technology.
Some thoughts on making the project sustainable
a. Farmer’s Education is vital. Many farmers are unaware of better methods of farming
b. He emphasized use of sustainable Clean Energy for example Bio-gas to combat the practice of
deforestation/Tree cutting.
c. Modernization in Agriculture through introducing modern technology hence boost efficiency,
productivity and quality.
d. Encourage forest management.
e. Enterprise diversification working on cottage industries in Apac.
f. There is need for restricting gender relations of production to promote gender equality in access to
productive resources.
g. There is need to put pressures related to food supply security and consumer demands for affordable
and higher quality food.
Concerns
a. The stakeholder informed that the soil testing usually takes long for results to be brought back from the
Laboratory.
b. There is need to improve food storage.
c. There is the concern of undefined weather (climate change) where by people are not sure when the dry
and wet season will come for proper planning in agriculture terms
d. There is an issue of tree cutting in the community where by cut trees are used for firewood, burning of
charcoal which contributes to soil erosion
e. There is need to sensitize the community about projects which bring about development in an area
because the local community are ignorant about development and it’s not a priority.
f. The stake holder informed that there is an issue of insufficient water supply as many farmers rely on
rain water for irrigation.so he advised that if the above project could improve on the water problem, it
will boost agriculture
g. There is a problem of poor roads where by. Farmers fail to access roads easily which hinders marketing
78
MUBENDE MINUTES
1st
DATE March ,2022
START 14:48
MEETING
END 15:05
MINUTES BY Drolence Nandagi
Meeting venue Virtual interview between the consultant and the stakeholder of
Mubende district
Subject of the Meeting Stakeholder consultation
Introduction
The dialogue was between Senior Environment Officer and the Sociologist. The stakeholder welcomed the project and
informed that there is availability of the construction block from grass roots that can accommodate the farmers and
officials.
Fears
a. The stake holder expressed concern the need to consult and engage rural communities on the planning adaptation
techniques, adaptation of technologies will costly usually after completion of the project.
b. He also revealed that community members know that most government projects take a lot of time and when
officials leave sites, they do not come back to implement the projects.
Views
a. There is an issue of poor farming methods which need to be improved when the smart agriculture
project starts.
b. Increased uptake as most stakeholders are willingly and ready to engage and serve.
c. There is need to promote coordinated actions by farmers, researchers, private sectors and civil society
d. Tree cutting by community members for firewood, charcoal for home consumption resulting to soil
erosion.
e. There is an issue of using chemicals which emits the soil.
f. Insufficient water supply as many farmers rely on rain water for irrigation.
g. Waste disposal which degrades the soil.
h. The stakeholder informed that there is a concern of bush burning which degrades the soil
i. She explained that most agriculturists don’t have enough land where to practice agriculture so the
resolution is to farm in wetlands which is against the government rules
Recommendation
a. She emphasized use of sustainable Clean Energy for example Bio-gas to combat the practice of
deforestation/Tree cutting.
b. she encouraged sensitization of farmers about better methods of farming
c. There is need to sensitize the community members about forest management, reafforestation and its
uses to boost smart agriculture
d. There is need to encourage enterprise diversification in order for the project to benefit people
e. Improvement on chemical management.
79
Meeting with Environment officer of Nwoya district
DATE 17h February 2022
START 12:12
MEETING
END 12:30
MINUTES BY Drolence Nandagi.
Venue of meeting Meeting chaired by Drolence and it was virtual interview from JBN Board
room to the district environment officer Nwoya (0782687036)
Subject of the Meeting Consultation of the stake holder about the Uganda Climate Smart
Agriculture Transformation Project
The interview was between the sociologist and the district community officer of Nwoya district.
A. Agenda:
• Self-Introductions
• Introduction of the project
• Consultant’s response
• Closure
B. Self-Introductions
Introductions were made by Drolence the consultant sociologist
The sociologist informed the environmental officer that we are preparing the safe guard documentation that is going to
help us in preparing the Environmental and Social tools, ESMF, SEP and VMP for the proposed project.
The project is called Uganda Climate Smart Agriculture Transformation Project and ministry of Agriculture hired JBN
consults to prepare the above tools for the smooth running of a project and it financed by the World Bank
C. Project brief
In Uganda Agriculture is mainly dependent on rain therefore the climate shocks will continue to have significant direct
and indirect impacts on agricultural productivity and incomes so there is need to shift way land, water soil and other
agricultural activities to build resilience to climatic shocks
The sociologist informed the key person how the project will support investments in technologies and market driven
productivity in climate smart value chains which will contribute to reversing of climate change hence increase in
agriculture productivity and household incomes
Some of the project components are promoting adoption of climate smart agriculture practices and value chains,
strengthening climate smart agricultural research and seeds systems, strengthening agro climatic monitoring and
information systems and project coordination management, monitoring and evaluation and learning
D. Reactions from the District Environmental Officer (environmental and social concerns)
The environment officer informed the sociologist that he was very happy to hear about the above project and he was
looking forward for it to be implemented and willing to put all the necessary input required.
The stakeholder informed that people in Nwoya district grow annual crops mainly and other few practices like mulching.
The stakeholder advised that it would be so important to do household mentoring and encourage empowerment of
women as them being a major lead in the agricultural sector
He also informed that lately perennial crops are being grown but not so much on a large scale as it has just come up.
The following are the fears and how best they should be addressed
a. The stake holder expressed the fear of promoting unapplicable technology which may fail to promote
commercialization and gave an example of masalai farmers in their area
b. He expressed the fear of insufficient market for the ready goods and emphasized that smart agriculture may help
them and increase the quantity of crops grown but they might fail to improve on the market and crops will be just
wasted.
c. There is fear of failure to be planned for in terms of facilitation for the key stakeholders therefore for better in out
puts they need proper input.
d. He informed that when the project comes, it shouldn’t be so expensive because the local people need free things
for all people to benefit from it
Reaction from JBN consults
The sociologist appreciated the district environment officer for his time and the information shared will be of great use
in the success of the project.
E. Meeting Closure
The Meeting was closed at 12:30pm
80
Meeting with agriculture officer of Yumbe district
DATE 7th February 2022
START 15:00
MEETING
END 15:15
MINUTES BY Drolence Nandagi
Venue of meeting Meeting chaired by the sociologist and it was phone interview from JBN
Board room to Mr. Bakole Stephen of Yumbe the agriculture officer
Subject of the Meeting Consultation of the stake holder about the Uganda Climate Smart
Agriculture Transformation Project
The interview was between Drolence and Bakole Stephen the District agricultural officer
A. Agenda:
• Self-Introductions
• Introduction of the project
• Consultant’s response
• Closure
Self-Introductions
Introductions were made by Drolence the consultant sociologist
The sociologist informed the DEO that we are preparing the safe guard documentation that is going to help us in
preparing the Environmental and Social tools, ESMF, SEP and VMP for the proposed project.
The project is called Uganda Climate Smart Agriculture Transformation Project and ministry of Agriculture hired JBN
consults to prepare the above tools for the smooth running of a project and it financed by the world bank
Project brief
In Uganda Agriculture is mainly dependent on rain therefore the climate shocks will continue to have significant direct
and indirect impacts on agricultural productivity and incomes so there is need to shift way land, water soil and other
agricultural activities to build resilience to climatic shocks
Drolence informed the key person how the project will support investments in technologies and market driven
productivity in climate smart value chains which will contribute to reversing of climate change hence increase in
agriculture productivity and household incomes
Some of the project components are promoting adoption of climate smart agriculture practices and value chains,
strengthening climate smart agricultural research and seeds systems, Strengthening agro climatic monitoring and
information systems and project coordination management, monitoring and evaluation and learning
Reaction from District Agriculture officer (environmental and social concerns)
The agriculture officer welcomed the project and informed that the locals are ready to give all the necessary support
needed in order for the project to proceed.
He informed that their religion has its own crops so when the project comes, they expect them to just improve what
they have instead of introducing completely new crops and breeds.
He informed that ministry of land should be put on board because of the problem of land encumbrances in their area.
He informed that the government should appoint the right and truthful people who will not embezzle government
funds and fail the beautiful project.
The stakeholder informed that irrigation is a key in farming which must be put across because it is among the major
concerns his people face and during the dry season that happens in January, February and March then August and
September affect the community badly where by people lack food
The following are the fears and how best they should be addressed
• There is a fear of failure for the project to be centralized by ministry of agriculture entirely so he
advised that the ministry should come on ground and monitor the whole process of smart
agriculture project.
• He advised that the multi sectoral and pilot scheme approach should be applied
• He informed that when the project is implemented, the local government should be provided some
logistics which will smoothen the process of the project
Reaction from JBN consults
The sociologist appreciated the District Agricultural Officer, Yumbe Agriculture Officer for the information shared
Meeting Closure
The Meeting was closed at 15:15pm
81
MASAKA MINUTES
1st
DATE March ,2022
START 14:32
MEETING
END 14:56
MINUTES BY Ms Drolence Nandagi
Meeting venue Virtual
Subject of the Meeting Stakeholder consultation
Introduction
The consultation was between the consultant and Dennis SSebinojjo the District Community Development Officer
Masaka and he promised to work hand in hand for success of the project (0704580231)
Fears
The stakeholder expressed a concern that there is need to increase demand for productivity, efficiency and
sustainability to ensure food security hence improving farming systems which will benefit the agriculturists
The stakeholder expressed the concern of failure to continue with smart agriculture project when the project
implementors leave the project ground hence there is no sustainability of the project after officials leaving the ground
She went ahead to inform that there is an issue of land conflicts among the community members which is a very big
threat to the project and the community
Resolution
1.There is need to identify the true owner of the land with evidence of ownership through the local leaders
2.There is need to involve community members and district officials as well as the local leaders all the techniques used
in implementing the project so that when ministry of agriculture leaves the ground the community members continue
to benefit from the project
3.There is need to create ready market in agriculture.
Conclusion
The stakeholder thanked the sociologist on behalf of the world bank and the ministry of agriculture for the good project
that is coming up and they are ready to work hand in hand with the officials to implement the project
The sociologist appreciated the stakeholder for the information shared and assured him to take all what discussed
seriously.
82
MBALE DISTRICT MINUTES
DATE 9th February 2022
START 12:18 am
MEETING
END 12:30 pm
MINUTES BY Drolence Nandagi
Venue of meeting Meeting chaired by Drolence and it was phone interview from JBN Board
room to Mrs. Nakayenze Anita the district environment officer of Mbale
Subject of the Meeting Consultation of the stakeholder about the Uganda Climate Smart
Agriculture Transformation Project
The interview was between the sociologist and environment officer Mbale
D. Agenda:
1. Self-Introductions
2. Introduction of the project
3. Consultants’ response
4. Closure
E. Self-Introductions
Introductions were made by Drolence the consultant sociologist
The sociologist informed the stakeholder that we are preparing the safe guard documentation that is going to help us
in preparing the Environmental and Social tools, ESMF, SEP and VMP for the proposed project.
The project is called Uganda Climate Smart Agriculture Transformation Project and ministry of Agriculture hired JBN
consults to prepare the above tools for the smooth running of a project and it financed by the world bank
F. Project brief
In Uganda Agriculture is mainly dependent on rain therefore the climate shocks will continue to have significant direct
and indirect impacts on agricultural productivity and incomes so there is need to shift way land, water soil and other
agricultural activities to build resilience to climatic shocks
Drolence informed the key person how the project will support investments in technologies and market driven
productivity in climate smart value chains which will contribute to reversing of climate change hence increase in
agriculture productivity and household incomes
Some of the project components are promoting adoption of climate smart agriculture practices and value chains,
strengthening climate smart agricultural research and seeds systems, strengthening agro climatic monitoring and
information systems and project coordination management, monitoring and evaluation and learning
G. Reaction from key District Community environment officer (environmental and social concerns)
The stakeholder welcomed the above project and informed the sociologist that they were looking forward to seeing it
implemented on behalf of the community
The stakeholder informed that Mbale has a land management issue which has to be a addressed before project
implementation
The following are the fears and how best they should be addressed
a. The stakeholder they lack water for production which has slowed down agriculture in Mbale district.
b. She informed that there is need to use agro chemicals to avoid pollution
c. The stakeholder informed that demand for agriculture products is so high but due to lack of enough
land for farming and grazing farmers get limited to use a very small piece of land which affects
agriculture out put on a large scale.
d. She informed that there is need to plan for all farmers in Mbale instead of sampling a few of them so
that everyone practicing agriculture can benefit from the project
e. The environment officer that local government lack logistics and they should be included in the
budgeting hence allowing proper monitoring of the project
H. Reaction from JBN consults
The sociologist informed the stakeholder that the project is in its planning phase and the information shared will be of
great use in implementing the project.
I. Meeting Closure
The Meeting was closed at 12:30pm
83
ANNEX 2: GRIEVANCE TOOLS
GRIEVANCE RECEIPT FORM
Grievance Form
Reference: Date Received:
Complainant /site details
Name (or withhold name if you wish to be anonymous):
Address:
Telephone / other contact details:
Details of complaint:
Form completed by:
Name: Position:
Location /Organisation:
Actions required and details of complaint passed to:
Name:
Position:
Sub-project/Department/Organisation:
Project/site:
Date:
Resolution and notification of completion to be sent on:
84
GREVIANCE ACKNOWLEDGEMENT FORM
Grievance Acknowledgement Template (use if formal reply needed, otherwise telephone)
Claimant Address Date:
Reference:
Dear Claimant (name):
I refer to [correspondence / meeting] on [date, month]. We understand that you wish to lodge a complaint
associated with the UCSATP Project in relation to [subject of grievance].
We will attempt to contact you within 14 days of the date of this letter in order to discuss your concerns and
to decide up an appropriate course of action should this be appropriate. This will be without prejudice to your
statutory rights.
Sincerely yours,
Social Safeguards Specialist/Officer [or other respondent] UCSATP
85
CLOSE OUT RECORD FOR GRIEVANCE
Close-out Records (where legal record required)
Reference Details:
Grievance Reference Number: Safeguards Specialist/Officer:
Summary of Grievance:
Steps Identified for Corrective Action: Due Date:
1
2
3
4
5
6
Resolution Actions and Close-out:
Notes:
Complainant (Title-Name- Signature) UCSATP Representative (Title- Official Witness (Title-Name-
Name-Signature) Signature)
Date:
86
Example Monitoring Indicators
Step Indicator Result against Corrective
indicator action
Confirm receipt of Percentage of total number of grievances
grievance received identified as requiring resolution.
Percentage of total number of grievances
received being confirmed in writing by the
Social Safeguards Specialist within 7 days of
receipt (target 100%).
Investigate and seeking of Percentage o f total grievances ( requiring
resolution resolution) for each identified grievance
category.
Percentage of meetings with claimant held
within 14 days of receipt of grievance (target
100%).
Percentage of grievances (requiring
resolution) resolved by grievance officer
within 7 days of meeting the claimant
(target 100%).
Percentage of grievances (requiring
resolution) resolved by grievance officer in
more than 7 days of meeting the claimant.
Involve senior project Percentage of grievances requiring the
management or third- involvement of senior KISIP management
party authorities where resolved within 14 days from the grievance
required officer meeting with the claimant (target
100%)
Percentage of grievances requiring the
involvement of senior project management
resolved in more than 14 days from the
grievance officer meeting with the claimant.
Percentage of grievances requiring the
involvement of third-party authorities
resolved within 30 days from receipt of
grievance (target 100%).
Percentage of grievances requiring the
involvement of third-party authorities
resolved in more than 30 days from receipt of
grievance.
Close Out N/A
Facilitate provision of N/A
adjusted entitlements (if
required)
Follow up N/A
Legal redress Percentage of grievances (requiring
resolution)
resulting in legal action (target 0)
87