ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF)

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ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF)


FOR
THE NILE BASIN CLIMATE RESILIENT GROWTH PROGRAM OF THE NILE
BASIN INITIATIVE



A PROGRAM PROPOSED FOR FUNDING UNDER NBTF and CIWA



June 2012
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EXECUTIVE SUMMARY
The Nile Basin Initiative (NBI) is an intergovernmental partnership established in 1999 for cooperative
management and development of the common Nile Water Resources. The Nile Basin covers an areas of
3.1 million km
2
spanning the territory of 11 countries and includes critical natural habitats and
environmental assets of global significance such as large freshwater lakes, wetlands, tropical forests and
conservation areas teaming with wildlife.
The NBI has prepared a project titled the Nile Basin Climate Resilient Growth (NBCRG) Project as a
component of its Strategic Program for 2012 and beyond. This project is proposed to have a two-year
duration (2013-2014) and will comprise the first-phase of an eight-year program funded through the
Trust Fund on Cooperation for International Waters in Africa (CIWA) being administered by the World
Bank, with additional funding from an extension of the Nile Basin Trust Fund (NBTF) and from bilateral
sources.
The development objective of the NBCRG Program is “to improve cooperative climate – change resilient
water resource management and development in the Nile Basin.” The NBCRG Program will allow the NBI
to achieve and expand upon results in three key areas: enhancing its platform for cooperation in the Nile
basin; providing its stakeholders with tools and knowledge resources for climate resilient water
resources management; and advancing climate resilient and regionally significant water resources
development. This objective will be achieved through aligning transboundary work with national
priorities and/or ongoing or planned projects and by conducting targeted regional analyses. Program
outputs include: (a) portfolio of climate resilient catalytic transformative investment projects identified;
(b) preparation of investments in hydro-power generation as well irrigation and watershed management
advanced and program facilitated and coordinated; (c) integration of transboundary water issues in each
member state strengthened; (d) evidence of benefits of cooperation and risk of non-cooperation
generated and disseminated; (e) Nile Basin decision support system operationalized; and (f) knowledge
products on various aspects of the Nile Basin generated and disseminated.
The Environment and Social Management Framework (ESMF) for the NBCRG Project has been prepared
to: (i) integrate environmental and social aspects into the pre-feasibility analysis
1
of potential future
investment projects at the preparation and planning stages; (ii) promote transparency through the use
of extensive stakeholder consultations and disclosure procedures; (iii) take into account possible uses of
innovative and strategic environmental and social analyses; (iv) encourage consideration of technical
alternatives based on possible environmental and social impacts; and (v) strengthen environmental and
social management capacities within the NBI institutions. Throughout the development of pre-feasibility
studies, the ESMF will assist project managers in identifying and mitigating the potential environmental
and social impacts of potential future investment projects. These include training of existing staff to
strengthen their capacities for carrying out environmental and social management. Such training has
actually been integrated into project designs in the NBI, such as activities funded under the training


1
It is possible that one study under this project will be taken to feasibility level, if a power transmission project is
chosen for study. If this occurs, the study will be accompanied by an Environmental and Social Impact Assessment.
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components of the Institutional Strengthening Project and other on-going initiatives. It is on the basis of
experiences in building up the NBI institutional capacities that this ESMF was carried out by the NBI
Environmental and Social Core Team.
This ESMF is organized into 10 chapters. The first two chapters describe the project’s scope and
coverage and the objectives of the ESMF in relation to the technical pre-feasibility (and possible
feasibility) studies that will be funded by the NBCRG project. Chapter 3 takes cognizance of national
policies and legislation as well as international best practices and safeguard policies in environmental
and social management that define the broad policy and legislative framework under which NBI projects
are implemented. A summary of the relevant policies and laws are annexed to this document.
Starting in Chapter 4, the ESMF defines the due diligence procedures to ensure consistent treatment of
social and environmental issues. It starts with identification of potential impacts, and includes
procedures for screening of the potential future investments to be prepared under the NBCRG Project.
While no major environmental and social impacts have been identified under the NBCRG Project, the
three NBI centers plan to carry out environmental and social screening, management and monitoring, as
described in Chapters 5 and 6. These activities will mainly focus on developing and strengthening
knowledge-based tools and monitoring procedures as well as identifying and preparing potential
activities that harness the potential of the Nile Basin in the areas of hydropower generation,
transmission and distribution systems; agricultural development through irrigation, water supply and
sanitation, flood management and watershed management. However, the specific sites of possible
future investment projects that may arise from the pre-feasibility studies (or in the case of power
transmission, a possible feasibility study) have not yet been decided. Nonetheless, the process for
identifying and screening potential environmental and social impacts, determining safeguard policies to
be triggered, and designing possible mitigation measures for the impacts are identified under the ESMF.
Based on the anticipated environmental and social issues, the ESMF places emphasis on screening as the
key environmental and social management tool at the pre-feasibility stages to be applied under the
NBCRG Project. Should the screening results indicate the possibility of any of the planned potential
future investment projects leading, for example, to water pollution, ecosystem damage, land acquisition
or loss of livelihoods, the project will apply the guidance provided in the ESMF, including preparation of
tools such as Environmental and Social Impact Analyses (ESIAs) or Resettlement Action Plans (RAPs), as
necessitated by project impacts.
In Chapter 7, a comprehensive institutional framework is in place for environmental and social
management in the NBI. At regional level, this includes the Nile Council of Water Ministers (Nile-COM),
Nile Technical Advisory Committee (Nile-TAC), Eastern Nile and Nile Equatorial Lakes sub-regional
Council of Ministers and Technical Advisory Committees, Project Steering Committees, the three NBI
centres (Nile-SEC, ENTRO and NELSAP-CU), and Project Management Units. At national level it includes
national environmental management authorities, social welfare agencies and ESIA practitioners. The
roles and responsibilities of the different agencies in relation to environment and social management
have been described in the ESMF. The main institutions responsible for implementation of the ESMF are
ENTRO and NELSAP-CU, who have suitably qualified staff at the secretariats and under the projects for
this purpose.
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Chapter 8 identifies some capacity gaps in environmental and social management, especially at national
levels. The NBCRGP includes some l provisions for capacity building to address these gaps. Larger
provisions are expected to be made once the potential future investment projects to be identified are
completed. Lastly, in Chapter 9, procedures for consultation and participation of key stakeholders in the
ESMF are described.
The NBCRGP, owing to its nature as a collection of pre-feasibility analytical studies and preparatory
activities, has no serious potential environmental or social impacts. With sufficient due diligence and
guidance on taking into account environmental and social issues, there is a high likelihood for
successful implementation of the project’ s ESMF given the existence of a comprehensive policy, legal
and institutional framework for environmental and social management at NBI and country levels. The
two Strategic Action Programs (SAPs) – ENTRO and NELSAP-CU - where most project preparation work
takes place, have existing well qualified and experienced staff in environmental and social management,
which is expected to further ease the implementation of the ESMF.



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TABLE OF CONTENTS


I. PROJECT DESCRIPTION AND OBJECTIVES ............................................................................................. 6
1.1 The NBCRG Project ........................................................................................................................ 6
1.2 Project rationale............................................................................................................................ 6
1.3 Project Development Objective and Key components ................................................................. 7
II. ESMF OBJECTIVES AND RATIONALE ...................................................................................................... 9
2.1 ESMF objectives and rationale ............................................................................................................ 9
2.2 Approach and methodology ............................................................................................................. 10
2.3 Potential users of the ESMF .............................................................................................................. 10
III. RELEVANT NATIONAL AND INTERNATIONAL POLICIES AND LEGISLATION..................................... 11
3.1 National policies related to the environmental and social procedures ............................................ 11
3.2 Regional policies ............................................................................................................................... 11
3.3 International policies and procedures related to the ESMF .............................................................. 12
IV. POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS .................................................................... 14
V. ENVIRONMENTAL SCREENING, MANAGEMENT AND MONITORING ................................................. 17
VI. SOCIAL SCREENING, MANAGEMENT AND MONITORING ............................................................... 20
VII. INSTITUTIONAL ARRANGEMENTS FOR THE IMPLEMENTATION OF THE ESMF .............................. 23
7.1 Basin-wide level ................................................................................................................................ 23
7.2 Nile Equatorial Lakes Sub-Region ..................................................................................................... 24
7.3 Eastern Nile sub-Region .................................................................................................................... 25
7.4 Experiences of the NBI centers related to ESMF ........................................................................ 26
8. CAPACITY BUILDING FOR ENVIRONMENTAL AND SOCIAL MANAGEMENT ........................................ 27
9. CONSULTATION AND PARTICIPATION ................................................................................................ 28
APPENDIXES ................................................................................................................................................ 30



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I. PROJECT DESCRIPTION AND OBJECTIVES

1.1 The NBCRG Project

The NBI within which the Nile Basin Climate Resilient Growth (NBCRG) Project is prepared is a regional
partnership established in 1999 between countries of the Nile Basin
2
that aims to develop the Basin
resources in a cooperative manner, share the socioeconomic benefits and promote regional peace and
stability. The World Bank, at the request of the NILECOM, has supported and facilitated the
development of the NBI and coordinates international support to the NBI projects. NBI countries have
set the foundation for the sustainable management and development of the common Nile water
resources and related natural resources. A key feature of the foundation established by NBI is the
capacity and necessary mechanisms for countries to take a regional approach to minimize climate
change threats to socio-economic growth and development through, inter alia,: (i) ensuring harmonized
integration of climate change adaptation in national water resource management and development
planning, with application of social and environmental assessment and adaptation measures in a trans-
boundary perspective; and (ii) coordinated and optimized climate proofed planning of water resource
use, thus expanding country’s horizons and opportunities for rapid climate resilient growth and
development.
The proposed Nile Basin Climate Resilient Growth (NBCRG) Program is a subset of the NBI’s proposed
overall program for 2012 and beyond, as outlined in the NBI Strategic Plan (2012-2016). It follows
therefore that NBCRG Program contributes towards the longer-term Shared Vision of the NBI, which is
“to achieve sustainable socio-economic development through the equitable utilization of, and benefit
from, the common Nile Basin water resources.”
1.2 Project rationale

Cooperative development of transboundary waters is one of the greatest challenges of the global
international water agenda. Focusing on investments of transboundary significance provides the riparian
countries with an opportunity to make significant progress towards their economic goals in ways that
have proved difficult to achieve independently. The Nile Basin Climate resilience project will promote
optimal development of shared resources and facilitate interdependent sub-regional growth by (1)
fostering economic growth (2) enhancing regional integration and contributing towards peace and
development (3) coordinating different interests in the region for mutual benefits and (4) creating an
investment environment that serves as a firm foundation for sustainable development and contributes
to poverty alleviation.



2
(Burundi, DRC, Egypt, Ethiopia, Kenya, Rwanda, Sudan, Tanzania, and Uganda)
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1.3 Project Development Objective and Key components

The project development objective is: “to facilitate cooperative water resources management and
development in the Nile Basin to foster climate resilient growth.” The project will allow the NBI to
continue to achieve and expand upon results in three key areas: enhancing its platform for
cooperation in the Nile basin; providing its stakeholders with tools and knowledge resources for
climate resilient water resources management; and advancing climate resilient and regionally
significant investments. The project will support key aspects of NBI’s 5-year strategic plan objectives
(2012-2016), which is built along two major attributes of increasing country and regional impact and
achieving operational efficiency, through resilience and low carbon development growth. It will be
implemented through the following components:
1 Component 1: Advancing Nile-Wide Cooperation and Analysis- NILE SECRETARIAT (NILE-SEC).
This component proposes targeted services aimed at increasing basin cooperation, and provision of
tools, knowledge products and analysis to increase shared understanding of the Nile River system.
Mission discussions emphasized the outward, client -oriented focus of the new project, which is a shift
from the current Institutional Strengthening Project.

1.1 Strengthening the Platform for basin-wide cooperation for sustainable water resources
management and development. This sub-component focuses on strengthening cooperation, through
basin-wide events, communications, and support to targeted country- based counterparts, including
Nile Basin Focal Points, Permanent Secretaries of water-related ministries and others.

1.2 Capacity and understanding for cooperative management and development of water resources
in the Nile Basin enhanced. This sub-component focuses on increasing the application of Nile-Sec
analytical resources such as the Decision Support System (DSS), specifically at the application of DSS for
national and regional level projects, and in stakeholder demonstrations to illustrate opportunities for
win-win development and management of the Nile and help build a common understanding of the Nile
water resource.

2 Component 2: Promotion of Sustainable Development and Planning in the NEL Region - NELSAP-
CU (Nile Equatorial Lakes Subsidiary Action Program Co-ordination Unit)

This component will focus on activities providing opportunities to advance responsible and sustainable
development, through identifying and fostering agreement on potential new projects, as well as
preparing a new round of investments of regional significance (through pre-feasibility level). It is
possible that one power transmission investment could be prepared to feasibility level.
2.1 Sub-component 2.a. Promoting climate resilient catalytic and transformative investment
opportunities. The activities under this component will focus on using the knowledge developed by
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NELSAP through earlier projects and analytical work, to propose and mobilize resources to prepare
possible investments of regional significance, and to increase regional understanding of NEL sub-basin
issues. Based on the studies conducted to date, NELSAP will develop profiles of an array of potentially
new projects, which will be proposed to facilitate agreement between countries. It is also designed to
proceed with pre-feasibility project preparation, and to the extent feasible, mobilize resources for
preparatory activities. Further, NELSAP will also develop technical briefing notes to highlight analysis
emerging from earlier studies and analysis conducted under this component, to increase awareness of
hydrological issues in the NEL region.

2.2 Sub-component 2.b. Promoting regionally significant water resources development investments.
NELSAP will prepare priority investments identified in earlier projects, by advancing project preparation
through pre-feasibility stage. This sub-component is divided into two sets of activities:

Sub-component 2.b.1. Identifying irrigation and watershed management investments with
regional significance (Burundi, Rwanda, Kenya, and Uganda) - through ongoing projects, NELSAP
will carry out diagnostic studies for 20 irrigation and watershed management schemes. Based on
the result of the diagnostic studies and consultations, 4 schemes (1 per country) will be selected
for scoping pre-feasibility work, including preparation of terms of reference (ToRs) for such
work, under this sub-component.

Sub-component 2.b.2 Promoting investment in regionally significant hydro-power generation
capacity. NELSAP will conduct studies up to pre-feasibility level, along with associated technical
capacity strengthening activities, for example, with five other priority options for promoting
potentially viable and regionally significant pre-feasibility studies for power investments (for
consideration under generation, transmission and distribution in this sub-component). There is
a chance that if a transmission line is chosen for study and if funding permits, it could be studied
through feasibility level under this project. If this takes place, it would be accompanied by an
Environmental and Social Impact Assessment.

3 Subcomponent 3: Promotion of Sustainable Development and Planning in the Eastern Nile
Region - Eastern Nile Technical Regional Office (ENTRO)

ENTRO’s focus through this component is to widen its stakeholder base to those working in water
related fields beyond the Ministries of Water (including power, agriculture, utilities, universities, etc),
to ensure that they have the capacity and tools needed to manage and develop the sub-basin
responsibly, and to provide information to illustrate the possibilities for enhanced cooperation.

3.1 Knowledge base and analytical framework for Eastern Nile climate-resilient water resources
planning and management strengthened. This component will focus on activities related to the
knowledge of and consideration of climate change and climate variability factors within the Eastern
Nile. These include the production of forecasting knowledge products for floods and droughts, as well
as making such analytical tools accessible to the public. This component will also include Technical
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Briefs describing a packaging of possible EN investment opportunities already identified by ENTRO and
consulted with the governments, to demonstrate possibilities for future cooperative development; as
well as to include Technical Briefs for governance, and part of transparency, for a wider public
audience.

3.2 Sustainable development and growth in the Eastern Nile promoted. This component includes
the building and strengthening of stakeholder networks throughout the Eastern Nile countries, to
promote sustainable development and growth in the EN sub-basin. This component proposes intensive
trainings of environmental and social specialists in the EN region, so to ensure that they are aware of
regional water resource management issues, and to increase their capacities and tools to advance
responsible development projects in their countries. Further, this component proposes the
preparation of pre-feasibility studies for a new round of possible watershed management projects in
the EN countries.
II. ESMF OBJECTIVES AND RATIONALE

2.1 ESMF objectives and rationale

This ESMF is designed to guide the determination of the appropriate level of environmental and social
management, in all stages of the project cycle, from planning to implementation.. The objectives of the
ESMF for the NBCRG Project are to:
i. integrate environmental and social aspects into the pre-feasibility analysis (and possible
feasibility study, in the case of power transmission) of potential future investment projects
at the preparation and planning stages;
ii. promote transparency through the use of extensive stakeholder consultations and
disclosure procedures;
iii. take into account possible uses of innovative and strategic environmental and social
analyses;
iv. encourage consideration of technical alternatives based on possible environmental and
social impacts; and
v. strengthen environmental and social management capacities within the NBI institutions.

Currently, for development project activities whose design details and locations are known, all the Nile
Basin countries under their national policies have some ESIA Guidelines, which prescribe the conduct for
Environmental Impact Assessment and the Resettlement Action Plan, have been applied. However,
these instruments will need to be more specific about guidance for the identification, assessment and
mitigation of potential impacts, for the pre-feasibility studies. At this stage, specific project sites are not
yet known and
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The precise type and location of proposed project activities have not been predefined. Therefore, the
ESMF refers to potential social and environmental impacts of possible project activities, which cannot be
identified during this early stage in the context of a traditional EIA.
2.2 Approach and methodology

The preparation of this ESMF was carried out on the basis of literature reviews. Reviewed documents
include NELSAP ESMF, ENTRO EMG, ENTRO SAM, NBI Transboundary Diagnostic Analysis, and NBI
Regional Power Project Review of Environmental Assessments.

The ESMF will apply throughout the duration of the NBCRG Project. It will be implemented by the NBI
units as relevant for potential future investment projects to be identified and prepared; using the
procedures described in the Chapters VI and VII.
Each of the NBI centers will be responsible for mainstreaming this ESMF in the pre-feasibility studies and
activities of the project, including the identification and preparation of appropriate safeguards
instruments, as needed, for any follow-on investment projects. For follow-on projects, the budget of the
potential future investment -projects which may fall under a safeguards category A or B, as defined in
the ESMF, will include the costs for environmental and social procedures including stakeholder’s
consultations, disclosure of documents and training of local actors.
2.3 Potential users of the ESMF

The ESMF will assist project managers and in-country counterparts and other stakeholders in identifying
and mitigating the potential environmental and social impacts of the potential future investment
projects during the pre-feasibility studies, and possible feasibility study, if one is undertaken for power
transmission. It also includes provisions for training of existing staff to strengthen the environmental
management capacity benefiting countries.

This ESMF has been prepared as a reference manual for use by key stakeholders to be involved in the
planning, implementation, management and operation of the proposed pre-feasibility studies under the
NBCRG project and possible feasibility study, if one is undertaken for power transmission. As a reference
material, the ESMF may be useful to the following NBCRG key stakeholders, including funding and
donors agencies; line Ministries; Power and water supply utilities; Non-Governmental Organizations;
decentralized entities and Community Based Organizations.
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III. RELEVANT NATIONAL AND INTERNATIONAL POLICIES AND
LEGISLATION
3.1 National policies related to the environmental and social procedures
The ESMF for (NBCRG project is intended to benefit projects initiated by the NBI, through pre-feasibility
studies and possible feasibility study, within Member States of the Nile Basin. It will therefore largely be
guided by the Member States’ environmental and social legal frameworks. Member States’ legal
frameworks include Constitutions, National Environmental Action Plans, National Environmental
Policies, National Environment Management Acts, EIA Guidelines, Decentralization Policies, Forest
Policies, National Wildlife Policies, National Land Policies, National Water Policies, Water Resources Acts,
Forest Acts, Fisheries Conservation and Management Acts, and Urban/Town and Country Planning laws.
They also include gender policies, HIV/AIDs policies, involuntary resettlement policies, cultural heritage
laws and policies, and marginalised peoples’ rights laws and policies. Appendix 1 summarizes the
national policies relating to environmental and social issues. The review of national policies was partly
completed under the ISP and is summarized in Appendix 3.
Member Sates’ environmental and social frameworks adopt procedures such as environmental and
social assessments (ESIAs) in order to determine impacts of projects undertaken within their
jurisdictions. The ESIAs tools adopted by States such as environmental and social audits incorporate
regional and international principles and standards such as those provided for in the Equator Principles,
2006 to which all the Nile Basin Member States subscribe. These frameworks, however, do not provide
for separate procedures for social assessments; these are either incorporated or presumed to be so
incorporated in environmental assessments. Once the preparation of the potential future investment
project under this program is initiated, tools for social assessments should be developed separately from
those of the environmental assessments.

By combining mechanisms in the existing Member States’ environmental and social assessment
frameworks with the Equator Principles, negative impacts on NBI project-affected ecosystems and
communities will be avoided where possible, and if these impacts become unavoidable, they will be
reduced, mitigated and/or compensated for appropriately.

In all cases, the ESMF will include procedures for screening all the projects to be undertaken by the NBI
for the benefit of Member States. A summary of the status of National Environmental Policy
frameworks which have bearing on the project preparation are outlined in Appendix 1.
3.2 Regional policies

In addition to the Member States’ frameworks for environmental and social assessments, the ESMF will
tap into the already established regional climate change policies. The regional climate change policies
are largely within the framework of the African Union to which all the Nile Basin Countries are Party.
They include NEPAD and the African Ministerial Conference on Water (AMCOW) and those under the
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auspices of sub-regional organizations to which at least some of the Nile Basin Countries are members
such as IGAD, EAC.

3.3 International policies and procedures related to the ESMF

A list of international legal instruments and policies providing for safeguards to the environment and
social issues that may be referred to for guiding the activities of the NBI ESMF is provided in Appendix 2.
As the potential future investment projects to be developed under the pre-feasibility studies (and
possible feasibility study, if one is undertaken for power transmission) of the NBCRG project are still to
be identified, no specific management plans can be prepared at this stage. However, once the sub-
projects become operational, they will be guided by provisions of international legal and policy
safeguard instruments. With regards to the International Policies such as the World Bank Operational
Policies and the African Development Bank Integrated Environmental and Social Impacts Assessment
Guidelines, country policies listed in Appendix 1. In addition, this NBCRG may or may not trigger the
following policies, based on the location and type of projects, and dependent on the future financier of
the potential future investment project:
a. Environmental Assessment Procedure: The World Bank’s OP 4.01 and BP (Bank Procedure) 4.01
define the EA procedure. At the identification phase, screening is carried out by examining the type,
location, sensitivity and scale of the project and the nature and magnitude of its potential impacts. The
project is then assigned to one of the following four categories listed on the point VII Environmental and
Social Assessment procedures below, reflecting the potential environmental risks associated with the
project.
Following the identification of the project, including screening, the formulation phase includes the
scoping and the preparation of the ESIA study. Scoping is the operation used to define the aspects that
need to be covered in the ESIA study. The views and concerns of key stakeholders should be taken into
account in defining the scope of the ESIA. After approval of the scoping study by the authorities, the
ESIA study is carried out and its report should provide conclusions and recommendations regarding (i)
the environmental and social acceptability of the project, (ii) the best alternative and (iii) the measures
that should accompany this alternative to mitigate negative environmental impacts and increase
positive effects. These measures should be organized in an Environmental and Social Management Plan
(ESMP), including a monitoring programme. The ESMP should be reflected in the project’s contractual
documents. Participation and consultation of stakeholders must be integrated in this process within the
local institutional framework. Particular care should be taken to (i) make full use of the experience and
know-how of the population living in the environment being studied, (b) take into consideration the
needs, values and interests of the population concerned, including women and marginalized social
groups. Public participation should be provided for from the earliest stages of the process.
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b. Natural habitats Policy: The OP 4.04 – Natural habitats prohibits World Bank support for projects
which would lead to the significant loss or degradation of any Critical Natural Habitats, whose definition
includes those natural habitats which are either:
- Legally protected;
- Officially proposed for protection; or
- Unprotected but of known high conservation value.
Critical ecosystems of global importance located in the Nile Basin are well known and their biodiversity
richness documented, potential future investment projects to be prepared under the Nile Basin Climate
Resilient Growth (NBCRG) Project shall avoid as much as possible to conduct to significant loss or
degradation of these ecosystems. In other (non-critical) natural habitats, investment projects to be
developed under the NBCRG Project will try as much as possible to limit significant loss or degradation
or includes acceptable mitigation measures.
c. Involuntary Resettlement Policy: under World Bank OP 4.12 – Involuntary Resettlement, any
operation that involves land acquisition or is screened as a Category A or B project for environmental
assessment purposes should be reviewed for potential resettlement requirements early in the project
cycle. The OP 4.12 covers impacts caused by:
(a) The involuntary taking of land resulting in: relocation or loss of shelter; loss of assets or
access to assets; or loss of income sources or means of livelihood, whether or not the affected
persons must move to another location; or
(b) The involuntary restriction of access to legally designated parks and protected areas resulting
in adverse impacts on the livelihoods of the displaced persons.
Investment projects to be developed under the NBCRG Project, depending on their location, may need
to prepare a Resettlement Action Plan. So far, resettlement and compensation processes are the
responsibility of the countries, and their implementation in the context of cross-border projects is still a
challenge in term of harmonization and coordination, and the Nile Basin through cooperation can
facilitate this harmonization.
d. Dams Safety Policy: Several locations for hydropower dams as well as multipurpose dams are still to
be identified in the Nile Basin. If investment projects are identified and prepared related to these dams,
depending of the elevation of the dam and the complexity of the design, an ESIA and RAP will be
conducted or several measures related to large dams will be apply such as (i) independent panel of
experts to be recruited to review the reports from the investigation, design, and construction of the dam
to the start of operations (ii)preparation and implementation of detailed plans; (iii) prequalification of
bidders during procurement and bid tendering; and (iv) periodic safety inspections of the dam after
completion.
The World Bank OP 4.37 – Safety on Dams requires that experienced and competent professionals
supervise the design and construction of dams, and that the borrower adopts and implements dam
safety measures through the project cycle. In addition, OP 4.37 recommends, where appropriate, that
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Bank staff discuss with the borrowers any measures necessary to strengthen the institutional, legislative,
and regulatory frameworks for dam safety programs in those countries.
e. International Waterways Policy: Nile Basin Member States have already agree on the principle of
notification for projects as well as on the principle of prevention of causing significant harm to other
states of the Nile Basin in conformity with the Operational policy 7.50 – Projects on International
Waterways. These principles are reported in the Cooperative Framework Agreement which was signed
by 6 countries out of 11 member states.
f. Participation / Consultation: participation and consultation of the projects stakeholders is compulsory
for the World Bank and all the riparian countries require that projects consult stakeholders while
conducting the ESIA and RAP process.
IV. Dependent on the source of financing, the type and location of
the project, other environmental and social policies could be
triggered. POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS

Direct and indirect impacts
The environmental and social impacts of improved coordination in basin water resources management,
watershed management, improved climate resilience, and ecosystem improvements are expected to be
highly positive overall.
Nonetheless, potential investment projects can also accentuate the existing environmental and social
challenges of the Nile Region if impacts are not well identified and managed or mitigated throughout
the project cycle.
The NBI Regional Transboundary Environmental Diagnostic Analysis produced in 2001 highlighted the
key environmental challenges of each riparian country which are similar throughout the Basin and
include:
- deforestation,
- soil erosion, river banks/lakeshores degradation
- Water pollution and depletion
- loss of biodiversity and natural habitat including wetlands

At present the major social challenges in relation to the Nile Basin include:
- Poverty and population density
- Land and resource rights issues
- Gender disparity and lack of empowerment of women
- Exclusion of vulnerable and marginalized populations
- Natural resource conflicts
- Waterborne diseases and other public health issues including HIV/AIDS
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While the ultimate goal of the NBCRG Program is poverty alleviation and socio economic development, a
combination of the social challenges within the Nile basin and the development of the said large
infrastructures is a recipe for aggravated social complexities which may significantly undermine the
goals of the Nile Basin Initiative and the program.
The project footprint of NBI potential future investment projects proposed for preparation under the
Nile Basin Climate Resilient Growth Project cannot at this stage be defined, its components point
towards sub projects being likely large and medium infrastructures within the following areas:
− Hydropower Plants and Transmission Lines
− Multipurpose Water Reservoirs
− Integrated Watershed Management
− Sewage and Flood Management Infrastructure
− Irrigation Schemes

These pre-feasibility studies for these potential future investment projects will be fundamentally
transboundary in nature and have a likelihood of generating a host of social issues. These social issues
will be addressed as part of project pre-feasibility design and preparation.

In consequence, any investments considered in the areas above would have to be submitted to an
Environmental and Social Impact Assessment, which would additionally include an assessment of the
cumulative impacts.

Cumulative impacts
Cumulative impacts are those that result from the incremental impact of the project when added to
other past, present, and reasonably foreseeable future actions. Effects should be assessed in terms of
the capacity of the water resource, ecosystem, and/or affected communities to accommodate such
impacts.

In the environmental, social and economical contexts of the Nile Basin, large and medium
infrastructures projects such as cascade of hydropower dams and series of irrigation schemes can have
significant cumulative impacts. These impacts have to be assessed taking into consideration realistic
boundaries like sub-basin’s and basin’s delimitations. However, such assessment still constitutes a
challenge in the current context where limited data exist or where the data sharing mechanism is still to
be strengthened. A tangible support from the Decision Support System (DSS) tool can help to get to
better analysis of these cumulative impacts.
Table 1: potential impacts of the NBCRG program
Components

Sub
-
compone
nts

Key activities

Location

Potential impacts

Sample of proposed
mitigation measures
Component 1: Advancing
Nile-Wide Cooperation and
Analysis
Strengthening the Platform
for basin-wide cooperation
for sustainable water
resources management and
development.
B
asin
-
wide events,
communications, and
support to targeted
country- based
Basin wide

-
Increased institutional
capacity for analytical and
coordinated basin wide
planning
-Improved water resources
-

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counterparts

data and information
systems

Capacity and

understanding
for cooperative
management and
development of water
resources in the Nile Basin
enhanced
Application of analytical
resources: DSS
Basin wide

-
Planning processes that
integrate stakeholder
concerns and inputs
-Reduced probability for
natural resource conflicts
-

Component 2: Promotion
of Sustainable
Development and Planning
in the NEL Region
2.a. Promoting climate
resilient catalytic and
transformative investment
opportunities
Prepare
notes
describing regional
investment projects and
resource mobilization
NEL region

-
Increased institutional
capacity for analytical and
coordinated sub basin
planning
-Improved water resources
data and information
systems
-Planning processes that
integrate stakeholder
concerns and inputs
-Reduced probability for
natural resource conflicts
-



2.b. Promoting regionally
significant water resources
development investments
Identify
pre
-
feasibility
stage irrigation and
watershed
management
investments with
regional significance,
including ToRs for ESIA
Rwanda,
Burundi, Kenya,
Uganda
-

Identification of potential
irrigation schemes and
feasibility studies
- comprehensive ESIA
studies meeting national and
international standards
conducted
- Planning processes that
integrate stakeholder
concerns and inputs

Mitigation measures
included in the ESIA
reports including RAP
if necessary


Promoting
pre
-
feasibility stage
investment in regionally
significant hydro-power
generation capacity,
including ToRs for ESIA
(and execution of the
ESIA, if a feasibility
study is undertaken)
South
-
Sudan,

Uganda
-

Identification of potential
hydropower plants sites and
feasibility studies
- comprehensive ESIA
studies meeting national and
international standards
conducted
- Planning processes that
integrate stakeholder
concerns and inputs

Mitigation measures
included in the ESIA
reports including RAP
if necessary
Component 3: Promotion
of Sustainable
Development and Planning
in the Eastern Nile Region
Knowledge base and
analytical framework for
Eastern Nile climate-resilient
water resources planning
and management
strengthened
production of
forecasting knowledge
products for floods and
droughts
Eastern Nile sub
basin
-
Increased institutional
capacity for analytical and
coordinated basin wide
planning
-Improved water resources
data and information
systems


Sustainable development
and growth in the Eastern
Nile promoted
building and
strengthening of
stakeholder networks.
preparation a new
round of watershed
management projects
in the EN countries
Easte
rn Nile sub
basin
-

Identification of potential
development projects sites
and feasibility studies
- comprehensive ESIA
studies meeting national and
international standards
conducted
- Planning processes that
integrate stakeholder
concerns and inputs

Mitigation measures
included in the ESIA
reports including RAP
if necessary

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V. ENVIRONMENTAL SCREENING, MANAGEMENT AND
MONITORING

Given the objective and scope of the ESMF for the Nile Basin Climate Resilient Growth (NBCRG)
Program, it is not anticipated that the projects initiated will cause serious negative environment and/or
social impacts. Overall, it is expected that the environmental and social benefits and positive impacts of
the project would outweigh any negative impacts the projects may have. However any potential future
investment project that will be assessed to be likely to cause negative environmental and social impacts
in magnitudes that outweigh the positive impacts, will in addition to the Member States’ environmental
and social safeguards and those provided for under the Equator Principles, trigger the World Bank
safeguard policies, namely Environmental Assessment (OP4.01, BP4.01), Natural Habitats (OP4.04,
BP4.04), Pest Management (OP4.09), Indigenous Peoples (OP4.10), Physical Cultural Resources (OP4.11),
Involuntary Resettlement (OP4.12, BP4.12),

Forestry (OP4.36), Safety of Dams (OP4.37, BP4.37), Projects
on International Waterways (OP7.50, BP7.50, GP7.50),and

Projects in Disputed Areas (OP7.60, BP7.60,
OP7.60)., if the World Bank eventually finances the potential future investment project.

In all cases of potential future investment project prepared with finance under this ESMF, it shall be
imperative to undertake or solicit for public participation/consultation. This will be compulsory for all
sub-projects initiated under this ESMF in any Nile Basin Member State. The consultation steps during the
ESIA and RAP process will be elaborate in order to cater for all environmental and social impacts but
shall include:
• Identifying specific stakeholders, disclose relevant project information and determine
stakeholder concerns to include them in the TOR (Scoping and agreement on TOR and
schedule);
• Disclosing information on study methods and findings, agree on mitigation measures with
stakeholders and let stakeholders determine if their concerns are adequately addressed
(environmental analysis and production of draft EA);
• Finalizing mitigation plan and disclose to stakeholders (production of final EA reports);
• Informing the public about scheduling of potentially disruptive events, disclose results on
environmental monitoring, and maintain effective complaints procedure (EMP
implementation and monitoring phase);
• Assessing effectiveness of consultation process and consult stakeholders for their
assessment (final evaluation).The major tool to plan and implement consultation is the
Consultation Plan which should propose a variety of consultation techniques as a function of
the audience to reach.

Project Screening, Preparation and Approval procedures

a. Environmental Assessment procedure. Environmental Assessment (EA) is carried out for water
resources development projects to identify and predict impacts of proposals, policies, projects
and operational procedures on the biophysical and social environment. For investment projects,
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the EA process is carried out in five steps, which include 1) impact screening, 2) scoping, 3)
prediction and mitigation, 4) management and monitoring and finally 5) auditing (monitoring
and evaluation). A scheme showing the detailed EA procedure as applied to this ESMF is shown
as Appendix 3.
b. Screening procedure. Screening is the first step in the ESMF process and involves identification
of projects with little or no environmental or social issues so that they can move to detailed
preparation in line with pre-approved standards or guidelines for environmental and social
management. It determines whether or not an individual proposal requires detailed EA and the
level of assessment that should occur. In determining whether a proposal requires further EA,
should be rejected, or exempted, screening considers the alignment of the proposal with
existing policies and plans, scale of the proposed development, intensity and significance of
potential impacts. Other aspects include presence of natural habitats, cultural properties,
environmentally sensitive areas, involuntary land acquisition, etc. Checklists (appendices 4 and
5), together with information on typical project impacts and mitigation measures are used to
categorize the projects as well as screen them. The checklist is used to identify potential
impacts, and describe mitigation measures. The Initial Environmental Examination (IEE) report
3

is the principle output from the screening process. The report classifies the project according to
its likely environmental sensitivity, which determines whether an Environmental Impact
Assessment (EIA) is needed and the required detail. An initial Social Assessment report will
identify social dimensions and associated processes that may be important in the project;
selects key elements for further social analysis; identifies potential social issues and impacts,
particularly with regards to potential resettlement and compensation.
c. Project categorization. Projects are categorized according to the screening procedure (World
Bank Operational Policy (OP 4.01). The procedure classifies projects into one of three
environmental assessment categories A, B and C, depending on the type, location, sensitivity
and scale of the project and the nature and the magnitude of its potential environmental and
social impact. (i) Category "A" projects potentially cause significant and irremediable
environmental impacts; the projects require a full, detailed EIA, which needs to be approved
before the Bank can give its support. (ii) Category "B" projects cause lesser impacts, which are
often essentially remediable or can be mitigated; the projects require the implementation of an
Environmental Impact Evaluation (EIE), which requires far less details than an EIA. And (iii)
Category "C" projects have little or no environmental impact; the projects do not require an EIE
or EIA. The Social component of the EIA will includes a detailed resettlement action plan (RAP)
and conduct extensive stakeholders consultation.
d. Project preparation: Environmental assessment is ideally carried out simultaneously with the
prefeasibility and feasibility studies of the project. Environmental assessment, however, is a
process rather than a one-time report, and includes environmental analyses and environmental


3
The World Bank recommends that screening results should be recorded and explained in a Project Concept Document and Environmental Data Sheet including
the appropriate screening decision. Results are reviewed with specific regard to the type of EA instruments required, the general scope, public disclosure and
consultation requirements, schedule, and implementation arrangements. After screening, ToR for the proposed EIA type are prepared by the project proponent or
financier.
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management planning that take place throughout the project cycle. Important considerations in
undertaking environmental assessment include examining alternatives; identifying potential
environmental impacts, including indirect and cumulative impacts, and assessing their
significance; achieving environmental standards; designing least-cost mitigation measures;
developing appropriate environmental and social management plans (ESMPs) and monitoring
requirements; formulating institutional arrangements; and ensuring information disclosure,
meaningful public consultation, and appropriate reporting of results. To ensure that social
concerns are adequately addressed, social studies will include: (i) Stakeholder analysis; (ii)
gender analysis; (iii) poverty assessment (iv) indigenous peoples analysis; (iv) involuntary
resettlement (including temporary or permanent compensation for loss of livelihood where
actual resettlement is not required) and (v) benefits sharing analysis. The assessments will
identify and estimate impacts, risks and opportunities and suggest measures to avoid, minimize
and mitigate adverse impacts. The Project preparation phase will make use of participatory
development processes and ensure comprehensive consultation and cooperation with local
communities and civil society organizations. The compliance and adherence to the social
safeguards is the prime responsibility the Social Development Officer, supported by the
Environmental Management specialist as well as the Water Resources Development Officer.
d. Appraisal and Approval. The first step in an appraisal is to determine if all the relevant
information has been provided, and if this information is adequate. If the appraisal indicates
that the proposed project may have environmental concerns that are not adequately addressed
in the proposal, the review authority may conduct a field appraisal before the application can be
considered further. Based on the appraisal and, if needed, the field appraisal, the review
authority may approve the projects with recommended conditions and implementation
supervision. The procedure in the table below is used for appraisal and approval of projects.
e. Information disclosure. The ESMF and subsequent implementation plans as well as studies for
investments are disclosed on the NBI website, riparian government websites (where applicable)
and other public places accessible to the local people and NGOs in English and/French and if
possible in local language. The ESMF is also forwarded to the Bank/development partners sites
for disclosure at the Public Information Centre/info shop of the country offices within the
countries.

Monitoring and Evaluation

The application of the ESMF principles and procedures during the pre-feasibility studies should be
monitored, and periodically evaluated. It should specify the consultations and disclosure of any
safeguards instruments or tools that will be developed during the preparation of the potential future
investment project, as identified. The monitoring and evaluation aspects should be integrated into the
ToRs for environmental impact assessments, whenever they apply. The following reports would be
needed to ensure proper monitoring of the ESMF:
Environment safeguards scoping paper or discussion of identified potential environmental impacts
based on the pre-feasibility studies;
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ToRs for incorporating the environmental management approaches, as appropriate, into the pre-
feasibility studies or potential future investment project formulation;
Applicable ToRs for the conduct of any of the following, as relevant: Strategic Environmental and Social
Assessment (SESA); Environmental Impact Analysis (EIA); Cumulative Impact Analyses (CIA); and
Stakeholder Consultation Plan for the EIA; and
Institutional and capacity assessments, as required and as needed.

VI. SOCIAL SCREENING, MANAGEMENT AND MONITORING

Project Screening, Preparation and Approval procedures
Social Assessment: The social assessments aim to respond to social development concerns by
determining the social impacts and the costs for mitigating these impacts. It also covers the degree to
which the benefits of the potential future investment project will be distributed in an equitable manner
across affected populations, and to address identified social impacts and risks. The social assessments
may go beyond determining the project’s adverse impacts and risks to ensuring that interventions
contribute to poverty alleviation. The pre-feasibility assessments will also enhance social inclusion,
advance social justice, strengthen social cohesion, increase social capital, and build ownership. The
social assessment tool is conducted in conjunction with the EIA and during the pre-feasibility phases,
this influences future project design and the overall appraisal of the project.
- Screening procedure. The Screening process will determine the appropriate studies and level of
assessment that should be undertaken with regard to a specific defined potential future
investment project, as initially identified in the pre-feasibility studies. A rapid assessment of the
project characteristics, its beneficiaries, the socioeconomic dimensions of the area, its potential
impacts and risks determine whether or not an individual proposal requires detailed Social
Impact Assessment (SIA). Projects with little or no social issues will be moved to detailed
preparation in line with pre-approved standards. Screening will also consider the alignment of
the proposal with existing policies and strategies, scale of the proposed development, intensity
and significance of potential impacts including the need for involuntary land acquisition,
presence of vulnerable and marginalized groups, effects on cultural resources and the
appropriate mitigation measures for addressing these. Checklists (appendices 5 and 6), are used
to identify potential impacts, and describe mitigation measures. An initial Social Assessment
report will identify social dimensions and associated processes that may be important in the
project; select key elements for further social analysis; identify potential social issues and
impacts, particularly with regards to potential resettlement and compensation.

- Assigning the appropriate category: Projects will be categorized based on the provision of the
World Bank screening procedure (World Bank Operational Policy OP 4.01). The procedure
classifies projects into one of three assessment categories A, B and C, depending on the type,
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location, sensitivity and scale of the project and the nature and the magnitude of its potential
adverse impact. (i) Category "A" projects potentially cause significant and irremediable impacts;
the projects require a full Social Impact Assessment (SIA) and as required a detailed
Resettlement Action Plan (RAP) with full and extensive stakeholder consultation; (ii) Category
"B" projects cause lesser impacts, which are often essentially remediable or can be mitigated;
the projects require the implementation of Social Management Plan (SMP) to address the
specific impacts. Based on required land acquisition, these will also need a detailed
Resettlement Action Plan (RAP); (iii) Category "C" projects have little or no adverse impact; the
projects do not require a Social Impact Assessment (SIA) or Resettlement Action Plan (RAP) but
adherence to social best practice.

- Project preparation: The Social Impact Assessment is carried out simultaneously with the
prefeasibility and feasibility studies of the project. The principle opportunity of the Social Impact
Assessment involves identifying viable alternatives; identifying potential social impacts,
including direct or indirect; permanent or temporary; physical or economic, residual and
cumulative impacts, assessing their significance; designing least-cost mitigation measures;
developing appropriate social management plans and resettlement plans and monitoring
requirements; formulating institutional arrangements; and ensuring meaningful public
consultation and information disclosure procedures. To ensure that social concerns are
adequately addressed, specific social analyses will include: (i) Socio economic analysis; (ii)
Stakeholder analysis; (iii) Gender analysis; (iii) Poverty analysis for identification of
vulnerabilities;

(iv) Indigenous peoples analysis; (v) Involuntary resettlement (including
temporary or permanent compensation for loss of livelihood where actual resettlement is not
required) and (vi) Benefit sharing analysis. The assessment will identify and estimate impacts,
risks and opportunities and suggest measures to avoid, minimize and mitigate adverse impacts.
The Project preparation phase will make use of participatory development processes and ensure
comprehensive consultation and cooperation with local communities and civil society
organizations.

- Appraisal and Approval: The appraisal and approval process is designed to determine if all the
relevant information has been provided, and if this information is adequate. If the appraisal
indicates that the proposed project may have concerns that are not adequately addressed, the
review authority may conduct a field appraisal before the application can be considered further.
Based on the appraisal and, if needed, the field appraisal, the review authority may approve the
projects with recommended conditions and implementation supervision.

- Public Consultation, Communication and Information disclosure: Public consultation is a core
element and regulatory requirement that must be adhered to in social impact assessments. The
proponent will ensure that consultation and communication takes place and coincides with
significant decision making activities in the entire project cycle and that the process and issues
are clearly documented and tracked. Consultation and communication is carried out at all levels
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from the local to the national and regional levels and stakeholder inputs will be used to inform
project preparation and improve project design.

Subsequently, the pre-feasibility studies for investments are disclosed on the NBI website,
riparian government websites and other public places accessible to local populations and the
civil society in languages that are appropriate. The studies are also forwarded to the World
Bank/development partners sites for disclosure at the Public Information Centre/info shop of
the country offices.

- Social Management Plan
The Social Management Plan (SMP) is designed to ensure that potential adverse social impacts,
risks and susceptibility are adequately identified and plans for mitigation developed during the
pre-feasibility phase. These will enhance positive social impacts and opportunities. A Monitoring
and Evaluation framework is a core part of the Social Management Plan (SMP), which may be
developed as needed. Monitoring will be carried out on a continuous basis by the project
proponent and evaluation will be undertaken in intervals in order to assess the immediate,
medium and long term effects of the Social Management Plan (SMP). The Social Management
Plan (SMP) is project and site specific. It entails: (i) Listing the potential social impacts; (ii)
Identifying adequate mitigation or enhancement measures for each impact (direct or indirect;
permanent or temporary; physical or economic, residual and cumulative); (iii) Assigning
responsibility for the implementation of mitigation and enhancement measures; (iv) Assigning
time and cost estimates for implementation of mitigation and enhancement measures (v)
Defining indicators for Monitoring and Evaluation of implementation of mitigation and
enhancement measures.
Framework for Resettlement
While not likely, it is possible that a potential future investment project may require land
acquisition, as identified in the pre-feasibility stage and when the specific locations of potential
future investment project activities are determined. Once it is determined through the social
impact assessment results that any of the planned future investment -projects will lead to land
acquisition or loss of livelihoods, the proponent will prepare r a Resettlement Action Plan or an
abbreviated Resettlement Action Plan. As in the case of the SMP, the RAP is designed to ensure
that impacts arising from land acquisition, displacement and relocation are compensated,
resettled and livelihoods restored. In addition, the pre-feasibility studies may identify areas
where there may be restriction of access to natural resources and livelihoods. In this case, a
Process Framework (PF) may be developed. While the SMP addresses all social impacts, the RAP
and PF focus on people affected by land acquisition, relocation and restriction of access, and
defines a strategy for formalizing arrangements and responsibilities for mitigating impacts
caused by land acquisition (Appendix 7).



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MONITORING AND EVALUATION

The monitoring and evaluation of the social impacts measure the following: (i) impacts on affected
individuals, households, and communities to be maintained at their pre-project standard of living, and
better; (ii) improvement of communities affected by the project; and (iii) management of disputes or
conflicts. In order to measure these impacts, the pre-feasibility studies will identify the specific
indicators to be monitored; define how they will be measured on a regular basis; and identify key
monitoring milestones (e.g. at mid-point of the RAP implementation process, if applicable).
The pre-feasibility studies will also include an assessment of the conditions for implementation of a RAP
or PF, as appropriate. These will include the following:
(i) Timely information to the potential future investment project about all resettlement and
compensation issues arising as a result of RAP related activities or in cases when a PF would be
needed, as determined by the pre-feasibility assessments;
(ii) Grievances, especially those that have not yet been resolved at the local level and which may
require resolution at the higher levels as initially determined in the pre-feasibility studies;
(iii) Document completion of project resettlement and compensation if these are applicable,
including for all permanent and temporary losses;
(iv) Evaluation of the quality of compensation or other relevant mitigation measures that would be
applied in accordance with the requirements of the potential future investment projects that
have been initially identified, including impacts on livelihoods; and
(v) Mitigation measures, as necessity, when there are significant changes in the indicators that may
require strategic interventions (e.g. vulnerable groups are not receiving sufficient support from
the identified potential future investment project, as determined in the pre-feasibility analyses).

VII. INSTITUTIONAL ARRANGEMENTS FOR THE IMPLEMENTATION
OF THE ESMF

7.1 Basin-wide level

At the basin-wide level, the relevant bodies that have important roles in implementation of the ESMF
are the Nile Council of Ministers (Nile-COM), the Nile Technical Advisory Committee (Nile-TAC) and the
Nile Basin Initiative Secretariat (Nile-SEC).
Nile Council of Ministers (Nile-COM) this is the supreme policy and decision-making organ of the Nile
Basin Initiative. It is comprised of the Ministers responsible for water resources management in the
members countries. The Nile-COM approves basin-wide policies, guidelines and regulations of the NBI,
including these relating to environmental and social management. Nile-COM also approves annual
budgets of Nile-SEC, which include financial provisions to support activities related to implementation of
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the ESMF. Nile-COM also considers evaluation reports on performance of environmental and social
management policy and guidelines, and may make amendments as necessary.
The Nile Technical Advisory Committee (Nile-TAC) comprises of senior government officials, mainly
drawn from the Ministries responsible for water resources management. The Nile-TAC is an advisory
body to the Council of Ministers on technical matters concerning the sustainable management and
development of the common Nile Water Resources. The Nile-TAC advises on basin-wide polices,
guidelines and regulations that are needed for management of the Nile water resources, including those
related to environmental and social management. Nile-TAC also carries out oversight and supervision of
the Nile-Secretariat and basin-wide projects and programs. Nile-TAC members serve as the technical and
operational link between the NBI and the countries, and in this respect, are responsible for ensuring that
this ESMF and other NBI basin-wide polices and guidelines are complied with at national level (i.e. in
activities of the country related to NBI projects). This latter role, among other things, calls for
coordination and collaboration with other national agencies responsible for social and environmental
management, such as National Environment Management Authorities, and ministries responsible for
resettlement.
The NBI Secretariat (Nile-SEC) based in Entebbe –plays a supportive and facilitative role to the NBI
governance bodies (i.e. the Nile-COM and Nile-TAC). Nile-SEC is responsible for basin-wide coordination
of NBI activities, including oversight and technical backup to the SAPs in their application of the ESMF.
Nile-SEC is also responsible for seeking approval from NBI governance (Nile-TAC and Nile-COM) for the
ESMF and any revisions to it, for providing reports on the implementation of the ESMF and coordinating
the participation of regional-level stakeholders in the NBCRG Program.
7.2 Nile Equatorial Lakes Sub-Region

The important institutional structures involved in implementation of the ESMF within the Nile Equatorial
Lakes sub-region are the Nile Equatorial Lakes Council of Water Ministers (NELCOM), Nile Equatorial
Lakes Technical Advisory Committee (NELTAC), , Nile Equatorial Lakes Subsidiary Action Program
Coordination Unit (NELSAP-CU), Project Management Units (PMUs), National Liaison Officers (NLO) and
National Agencies responsible for environmental and social management.
NELCOM and NELTAC: perform a similar role at the sub-basin level to that played by the governance
bodies at basin-wide level i.e. approval, following technical appraisal, of sub-basin policies, guidelines
and standards including the NEL Environmental and Social Management Guidelines (ESMG) that are
derived from, or consistent with, basin-wide policies; approval of workplans and budgets; and oversight
and supervision of NELSAP-CU.
NELSAP CU: This is the institution with primary responsibility for implementation of NEL policies,
guidelines and regulations including those on environmental and social management such as the ESMF
and RPF. Two officers within NELSAP-CU – the Environmental Management Specialist and Social
Development Officer – are directly responsible for mainstreaming environmental and social
management in all aspects of the NBI project conception, identification, preparation and
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implementation within the NEL sub-region. The two officers work in collaboration with staff of NELSAP
projects, and with relevant stakeholders at national level to ensure compliance with the ESMF. They
directly oversee the implementation of activities related to environment and social management and
are assisted from time to time in their work by short-term consultants contracted to perform specific
tasks such as preparing mitigation plans, project-specific environmental management plans,
resettlement action plans, and review of ESIA reports. NELSAP-CU is responsible for preparation of
guidelines, manuals codes of practice and other tools such as forms and checklists used by the NELSAP
projects for environmental and social management.
Project Management Units (PMUs). Day to day activities of the NELSAP projects are carried out by a
Project Management Unit (PMU) comprising technical personnel in disciplines relevant to the projects.
Each of the PMUs, with guidance from the Environmental Management Specialist and Social
Development Officer, is responsible for determining the appropriate level of input on environment and
social issues, and implementing the ESMF for the projects.
National agencies. The participation of national agencies and other stakeholders in environmental and
social management activities of NELSAP projects is coordinated by National Liaison Officers (NLOs) who
work under supervision of the country’s Project Steering Committee and Technical Advisory Committee
members. The country agencies who commonly play a role in environmental and social management
include national environmental management authorities, agencies responsible for resettlement, social
welfare and community development, youth and gender, cultural development; water resources
management, water supply and sanitation, wildlife/biodiversity, power/energy, agriculture, livestock,
fisheries and finance. The specific roles of these agencies are indicated in the ESMF and environmental
and social assessment procedures.
Development partners: Project financiers or their representatives participate in regular Program/Project
steering Committee meetings. In additional, their conduct appraisal and supervision missions through
which they evaluate, among other things, the implementation of the ESMF and may suggest additional
measures for strengthening the management framework or remedying observed weaknesses. The
reporting framework, screening procedures and preparation of management and mitigation plans are
discussed and agreed between the Development Partners and Project implementation teams during the
early stages of project preparation.
7.3 Eastern Nile sub-Region

In the Eastern Nile sub-region, the parties directly and indirectly involved in the use of the ESMF can be
grouped into two (a) primary stakeholders – environmental and social practitioners at ENTRO; i.e. those
taking part in environmental and social assessments or other management activities as part of ENSAP
projects, including staff of ENTRO, project units, consultants, and reviewers; this category also includes
government institutions (departments/ministries) who are proponents or implementers of ENSAP
projects (b) Secondary stakeholders who comprise of government institutions involved in the approval
of ENSAP activities and enforcement of environmental and social standards.
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7.4 Experiences of the NBI centers related to ESMF

The NBI centres where most of the activities related to investment project preparation and
implementation, and mainstreaming of environmental and social management in the project cycle occur
are the secretariats of the two sub-basin Subsidiary Action Programs – NELSAP-CU and ENTRO – and the
Project Management Units under the two secretariats.
Some environmental and social management tasks at the two centres are undertaken by Secretariat
staff while others are outsourced to local and international consultants who work under the supervision
of NBI staff. NELSAP-CU and ENTRO staff are well experienced in management of environmental and
social impacts related to water sector investment projects. The staff of the two centres have been
involved in all aspects of environmental and social management including preparing for, carrying out or
supervising project screening, categorization and scoping; execution/preparation of ESIAs, social
assessments, baseline social economic assessments, stakeholder mapping and analysis, resettlement
action plans, environmental and social management plans and public hearings. The centre staff also
have experience in preparing environmental and social management guidelines, coordinating and
working with various national agencies, carrying out awareness raising and training of local communities
and national staff in different aspects of environmental and social management.
More specific experiences at NELSAP include performance of a Strategic Social and Environmental
Assessment (SSEAs) for power development options, a multi-sectoral investment opportunity analysis
for growth in the NEL region.

NELSAP has developed its own preliminary ESMF which was used as
processing tool for investment projects preparation for the last three years.
By its scope and nature of project preparation and implementation supervision, ENTRO has consistently
ensured environmental and social good practice and accumulated experience in employing and
conducting a variety of environmental and social management instruments such as the Cooperative
Regional Assessments (CRA), Strategic Social and Environmental Assessments (SSEA), Environmental and
Social Impact Assessments (ESIA), Resettlement and Compensation Plans (RCP), and Environmental and
Social Monitoring and Audit.
ENTRO developed its own Environment Management Guidance (EMG) and a Social Assessment Manual
(SAM). These two documents are the basis for addressing the World Bank safeguards and other
international requirement.
The Nile Secretariat (Nile-SEC) is not involved in the day-to-day activities related to investment project
preparation and implementation but periodically conducts strategic basin-wide studies that may lead to
identification of investment projects. Consistent with its role as a support body to the supreme policy
organ of the NBI, and its role in developing a basin-wide perspective on the management and
development of the basin, the secretariat has been involved with overseeing the process for putting in
place the policy and regulatory framework for environmental and social management in the NBI. In this
respect Nile-SEC has been championing the ongoing process for formulation of the NBI Environment and
Social Policy (ESP), providing technical back-up to the SAPs in reviewing their Environment and Social
Management Guidelines (ESMG), and development of NBI strategies for Gender Mainstreaming,
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Stakeholder Participation, Communication, and Wetlands Management. Nile-SEC has also been
responsible for coordinating the participation of regional-level stakeholders (such as Nile Basin
Discourse - NBD) and mainstreaming environmental and social issues in water resources planning at
basin-wide levels, such as in the Comprehensive Basin Wide Study on Hydropower Development
Options, and in development of the Nile Decision Support System (Nile-DSS).
8. CAPACITY BUILDING FOR ENVIRONMENTAL AND SOCIAL
MANAGEMENT

The environmental sustainability of the proposed projects to be prepared is highly dependent on the
capacity of the implementing agencies to coordinate the planning and supervision of service providers.
Each of the SAPs has one Environmental Management Specialist and one Social Development Officer
who are the key staff responsible for environmental and social management at the SAPs. The
environment and social specialist staff of the SAPs all have post graduate qualifications in their
respective fields and over 15 years of relevant field experience. The larger and more complex
investment projects - such as ENTRO’s Joint Multipurpose Project (JMP) – have staff attached to
specifically handle the environmental or social issues related to the project. The core environmental and
social specialist staff are supported in their day-to-day work by the management and other professional
staff at the two centres.

At Nile-SEC, the staff with responsibility for environment and social management are the Regional
Environmental Specialist (presently vacant) and Regional Stakeholder Participation Specialist. The two
officers are supported in their activities by the Regional Water Policy Specialist, and Regional
Development Communications Specialist. All the regional staff have postgraduate qualifications and
over 15 years of relevant work experience.
At the level of the Member States, existing capacities to monitor and audit environmental and social
management varies from one country to another. Capacity building needs assessments of government
staffs were undertaken through the Shared Vision Projects as well as the two SAPs and different training
and awareness programs on projects environmental and social management were conducted in the
Basin.

However, through the country assessments on environmental and social policies and institutional
framework conducted in the two sub-basins by the SAPs shows clearly that there are still some gaps at
countries with regards to the national and International Policies, in particular the capacity to assess the
impacts related to social components including the involuntary resettlement and environmental audits.

The two SAP secretariats have the human resources required to manage the environmental and social
issues related to investment projects as part of their core staff. They also have the possibility to recruit
additional staff under the projects to support environmental and social management if warranted by the
complexity and magnitude of work. A gap exists at Nile-SEC in staffing. The positions of Regional
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Environmental Specialist will be discontinued after closure of the NBI Institutional Strengthening Project.
This may have a negative impact on some aspects of coordination of the implementation of the ESMF,
particularly in ensuring harmony and similar standards in environmental and social management across
the NBI centres. These duties will instead be devolved to the environmental specialists at NELSAP-CU
and ENTRO.

9. CONSULTATION AND PARTICIPATION

Public consultations in relation to the ESMF occur at all stages, starting with inception and planning of
the pre-feasibility studies. A participatory approach is adopted as an on-going strategy throughout the
entire duration of the studies.

Public participation and consultations take place through individual, group, or community meetings.
Additionally, radio programs and other media forms may be used to further disseminate information.
PAPs are consulted in the survey process; public notices where explanations of the potential future
investment project are made a part of the process of completing the pre-feasibility studies. This also
covers plans for consultation and participation during the implementation of potential future
investment project activities which may be identified in the pre-feasibility studies, and during the
monitoring and evaluation process. Selection of ways to consult, and expand participation of
stakeholders, will take into consideration literacy levels prevalent in affected communities; ethnicity and
cultural aspects; and practical conditions (like distance).

The role of traditional political and cultural leaders, including the community elders, in the participation
strategy of the ESMF will be important. The ESMF P team should ensure that these leaders and local
representatives are fully involved in designing the public consultation procedures.

Data collecting phase.
Consultations during preparation of the pre-feasibility studies, in particular, the
collection of background information, and the environment and social surveys, environment and social
assessments, are critical for successful data collection. The levels of consultation will vary from
households to community groups, based on the particular context of the potential future investment
project(s). The pre-feasibility team will design the questionnaires but it will be the households,
organizations, and institutions that will validate their effectiveness through feedback. Focus group
meetings with women, farmers’ associations, individuals who own farms, fishing boats, etc, as well as
primary and/or secondary schools, health centers, and agricultural cooperative unions are usually good
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sources for establishing the community baseline situation, which are part of the procedures for the
ESMF.

Implementation phase
. During implementation, stakeholders will be informed about the potential
future investment projects and how they will be affected. The grievance mechanism under the ESMF will
continue to operate and all grievances will be recorded. The participation of local leaders in
disseminating information and resolving disputes will be important. A dynamic participatory approach
involves a broad base of stakeholders in decision making about environmental management, livelihood
and community development programs.

Monitoring and evaluation phase. Stakeholders will participate in the potential future investment
project workshops at mid-term and at the end of project implementation. These participatory
approaches will be assessed during the pre-feasibility study phase. To the extent possible, these should
include social accountability tools like citizen report cards to assess the quality implementation, and in
some cases, assist the teams in tracking expenditures. The latter would be significant in helping with
future monitoring of the project’s environmental and social impacts.










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APPENDIXES

Appendix 1: summary of countries policies
a) Uganda, National Environnent Management Policy, 1994
4
. The National Environment
Management Policy was adopted in 1994 as the overall government policy framework for the
protection and conservation of the environment. The overall goal is “Sustainable socio-economic
development which enhances environmental quality and resource productivity on a long term
basis that meets the needs of the present generations without compromising the ability of future
generations to meet their own needs.” The policy seeks, to: (i) Set overall goals and key
principles for environment management, and (ii) Provide a broad policy framework for
harmonization of sectoral and cross-sectoral policy objectives, principles and strategies. Section
3.5, recognizes water as a major factor in the social-economic development of Uganda, and sets
the policy objective as,” To sustainably manage and develop the water resources in a coordinated
and integrated manner so as to provide water of acceptable quality for all social and economic
needs”. The policy provides Guiding Principles and Strategies for implementation of water
resources projects.
b) Kenya, National Environment Management Policy. Kenya’s efforts to develop a policy paper on
environmental and natural resources management have not yet reached fruition. In 1999, the then
Kenyan Ministry in charge of environmental management developed a Sessional Paper on
Environment and Sustainable Development which has not progressed to date. The paper
emphasizes the need for effective management of Kenya’s resources and the conservation of the
environment. The following strategic objectives are defined: (i) To create an enabling
environment through policy, legal and regulatory reforms for environmental and natural resources
management (ii) To protect, conserve, and sustainably manage the environment and natural
resources. (iii) To generate knowledge and technologies and strengthen capacity towards
sustainable management of the environment and natural resources (iv) To mainstream
environmental concerns into overall planning and implementation of programmes and projects.
The government Emphasizes sustainable and environmentally friendly development and as a
deliberate and conscious policy, promotes sound environmental management for sustainable
development.
c) Tanzania-National Environmental Policy (1997)
5
. The overall objectives of the Tanzania
National Environmental Policy are: (i) To ensure sustainability, security and equitable use of
resources for meeting the basic need of the present and future generations without degrading the
environment or risking health or safety; (ii) To prevent and control degradation of land, water,
vegetation, and air which constitute our life support systems; (iii) To conserve and enhance
natural, including the biological diversity of unique ecosystems; (iv) To improve the condition
and productivity of degraded areas including urban and rural settlements in order that all
Tanzanians may live in safe, healthful, productive and aesthetically pleasing surroundings; (v) To
raise awareness and understanding of the essential linkages between environment and
development, and promote individual and community participation in environmental action; and
(vi) To promote international co-operation on the environmental agenda, and to expand
participation and contribution to relevant bilateral, sub-regional, regional programs, including
implementation of treaties.
d) Burundi, Environment Regulation, 2000. In 2000 Burundi enacted an Environmental Code.
Chapter III of the Environmental Code provides for the EIA process for projects or activities
likely to effect the environment. Under the Environmental Code, environmental impact studies in


4
Source, Sio-Malaba-Malakisi Cooperative Framework report, WREM Inc, 2008
5
Source, Mara Cooperative Framework report, WREM Inc, 2009
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respect of such projects or activities must be carried out. Article 23 sets out the mandatory
content of the environmental impact study and Article 34 specifically identifies dams as works
that are subject to this procedure. The Environmental Code sets out the principles of enhancement
of natural resources. Under Article 27, the Ministry of Land-use Management, Tourism and the
Environment is given the power of enforcement of the Environmental Code in respect of the
protection and enhancement of natural resources.
e) Rwanda Organic Law No. 04/2005
6
. The Organic Law Determining the Modalities of Protection,
Conservation and Promotion of the Environment in Rwanda (“the Environment Act”) is the
principal law on protection of the environment. It was passed in April 2005 to provide guidelines
of protecting, conserving and promoting the environment in Rwanda. Its regulatory aims include
conserving the environment, ensuring sustainable development that does not harm the
environment as well as setting up strategies for protection of the environment. The Environment
Act establishes the Rwanda Environment Management Authority as a body responsible for
implementing government policy on environment, carrying out environmental monitoring on all
development programmes and taking part in establishing procedures and safeguards to prevent
damage to the environment.
f) D R Congo Environnemental Code/2011. The Code provides for environment management and
for EIA. The GEEC (Group in charge of Environment Studies in Congo) is responsible for the
promotion and coordination of the EIA process in DRC. Among the environmental management
laws can be found the code the Mining Code No 007/2002 and the Forestry Code No 012/2002
which clearly mention the need for EIA and ESMP to be implemented. Fishery policies and basic
legislation for fishery institutions are also in place
7
.




6
Source, Mara Cooperative Framework report, WREM Inc, 2009
7
Source, LEAF LEAMP Feasibility Report, DCI Inc, 2008
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Appendix 2: List of international Instruments and Policies

- Convention Relative to the Preservation of Fauna and Flora in Their Natural State, London, 1933,
- Convention on Nature Protection and Wildlife Preservation in the Western Hemisphere, Washington, 1940,
- International Convention for the Protection of Birds, Paris, 1950,
- International Plant Protection Convention, Rome, 1951,
- International Convention for the Prevention of Pollution of the Sea by Oil, London, 1954 (as amended in 1962 and
1969),
- Optional Protocol Concerning the Compulsory Settlement of Disputes, Vienna, 1963,
- African Convention on the Conservation of Nature and Natural Resources, Algiers, 1968,
- Convention on Wetlands of International Importance Especially as Waterfowl Habitat, Ramsar, 1971,
- Convention on International Trade in Endangered Species of Wild Fauna and Flora, Washington, 1973
- Convention Concerning the Protection of Workers Against Occupational Hazards in the Working Environment Due to
Air Pollution, Noise and Vibration, Geneva, 1977,
- Convention on the Conservation of Migratory Species of Wild Animals, Bonn, 1979,
- Vienna Convention for the Protection of the Ozone Layer, Vienna, 1985,
- Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal, Basel, 1989,
- Bamako Convention on the Ban of the Import into Africa and the Control of Transboundary Movement and
Management of Hazardous Wastes within Africa, Bamako, 1991,
- Convention on Environmental Impact Assessment in a Transboundary Context, Espoo, 1991,
- Convention on the Protection and Use of Transboundary Watercourses and International Lakes, Helsinki, 1992,
- United Nations Framework Convention on Climate Change, New York, 1992,
- Convention on Biological Diversity, Rio de Janeiro, 1992,
- United Nations Convention to Combat Desertification in those Countries Experiencing Serious Drought and/or
Desertification, Particularly in Africa, Paris, 1994,
- Kyoto Protocol to the United Nations Framework Convention on Climate Change, Kyoto, 1997, Convention on the
Law of Non-Navigational Uses of International Watercourses, New York, 1997,
- Joint Convention on the Safety of Spent Fuel Management and on the Safety of Radioactive Wastes Management,
Vienna, 1997,
- Convention on Supplementary Compensation for Nuclear Damage, Vienna, 1997,
- [Montreal] Amendment to the Montreal Protocol on Substances that Deplete the Ozone Layer, 1997, Protocol to
Amend the Vienna Convention on Civil Liability for Nuclear Damage, Vienna, 1997, Convention on Access to
Information, Public Participation in Decision-Making and Access to Justice in Environmental Matter, Aarhus, 1998,
- Basel Protocol on Liability and Compensation for Damage Resulting from Transboundary Movements of Hazardous
Wastes, Basel, 1999,
- Cartagena Protocol on Biosafety to the Convention on Biological Diversity, Montreal, 2000,
- Stockholm Convention on Persistent Organic Pollutants, Stockholm, 2001,
- Protocol on Strategic Environmental Assessment to the Convention on Environmental Impact Assessment in a
Transboundary Context, Kiev, 2003,

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APPRENDIX 3: SUMMARY OF THE ENVIRONMENTAL AND SOCIAL POLICIES IN THE NEL REGION

BURUNDI DRC KENYA RWANDA TANZANIA UGANDA
Constitution
2005
2006
2010
2003
1998
1995
Environmental Policies






Environmental Act
2000
2011
1999
2005
2004
1995
Water Act
2012

2002
2011
2009
1995
Forest Law

2002
2005
2004
2002
2003
Mining Code

2002
1986

1998
2003
Wetlands Law/Policy





1995
Wildlife Act



2008
2009
1996
Land Law
1986
1977
1990
2005
1999
1998
Hazardous Waste/Toxic Substance
Act






Climate Change Policy/Strategy


2010



Social Policies






Land Acquisition Act

1977
1990
2007
2011
1965
Land Settlement/Planning Act



2007
2007

Resettlement Act




2011

Access to Information Act





2005
Gender Policies

2009
2000
2010
2005
2007
Cultural Property Act

1975
2006
2008


Indigenous/Vulnerable People
Policies
￿



￿


￿
Community Development Policies




1996

HIV/AIDS Act/Policies
2005

2006

2008
2011
Transboundary Environmental
Policy






Institutions






Environmental Agencies
Directorate
GEEC
NEMA
REMA
NEMC
NEMA
Sectoral Environmental (and Social)
Units
-
A few
Exist

Exist
Few
Government Valuer
Committees
A Commission
CGV
RNRA
CGV
CGV
HIV/AIDS Institutions


NACC

TAC
UAC
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Gender Monitoring Institutions

Ministry
Ministry
Ministry
Ministry
Ministry
Indigenous/Vulnerable People
Institutions
Directorate

Ministry
RSTF
Ministry
Ministry
Cultural Institutions

Institute of Nat.
Museums
NMK
Ministry


Dept of
Museums
Community Development Institution

Ministry
Ministry
Ministry
Ministry
Ministry
International Conventions






UN Convention on Biodiversity
￿
￿
￿
￿
￿
￿
UN Convention on Climate Change
￿
￿
￿
￿
￿
￿
UN Convention on Dessertification
￿

￿
￿
￿
￿
Convention on Wetlands
￿ - ￿ ￿ ￿

Convention on POPs
￿

￿ ￿ ￿
CITES
￿ ￿ ￿ ￿ ￿ ￿
World Heritage Convention
￿ ￿ ￿ ￿ ￿ ￿

Under construction

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Appendix 4: World Bank safeguards policies
Safeguard No

Safeguard Description

Application to NELSAP Projects

OP 4.01
(Environmental
Assessment).
EA to be conducted for all projects that fall into either
World Bank Category A or Category B.
The projects
support the preparation of variety of
infrastructure and may proceed to construction that could
have adverse environmental and social impacts. The ESMF
checklists are designed to identify these potential impacts,
and propose practical ways of avoiding or mitigating them.
OP 4.04 (Natural
Habitats)
The conservation of natural habitat is essential for long
-
term sustainable development. The Bank supports, and
expects borrowers to apply, a precautionary approach to
natural resources management to ensure opportunities for
environmentally sustainable development. The Bank does
not support projects that involve the significant
conservation or degradation of critical natural habitats.
The projects may impact on natural habitats through
encroachment, vegetation clearing or other nuisances. To
address this concern, the ESMF will provide appropriate
checklist tools, resource sheets and planning methods to
identify any potential impacts of projects on natural
habitats, reserves or protected areas, and to develop
appropriate mitigation measures to minimize or avoid
damage, or compensate for it.
OP 4.09 (Pest
Management).

In Bank
-

Financing operations, pests are controlled through
IPM approaches, such as biological control, cultural
practices, and the development and use of crop varieties
resistant or tolerant to the pest. The Bank may Finance the
purchase of pesticides when their use is justified under an
IPM approach.
The projects may support livestock or agricultural
development. Preparation and eventual implementation
could result in the introduction of pest management
activities in certain areas. The ESMF implementation tools
and procedures are designed to identify the potential for
the introduction or expansion of pest management
activities, as needed, and prepare pest management plans
if required.
OP 4.11Cultural
Property
The Bank supports the preservation of cultural properties
which includes sites with archaeological, paleontological,
historical, religious or unique natural values. It seeks to
avoid impacts on such sites
The projects may support the preparation and may
implement activities that could have adverse impacts on
existing cultural properties. To address this concern, the
ESMF provides appropriate checklist tools, resource sheets
and planning methods to identify any potential impacts of
projects on cultural properties and to develop appropriate
mitigation measures to minimize or avoid damage, or
compensate for it.
OP 4.12
(Involuntary
Resettlement).
People who have to be removed or who
los
e

their
livelihood as a result of the project must be resettled,
compensated for all of their losses and they must be
provided with a situation that is at least as good as the one
from which they came.
The Projects may require land for construction of
infrastructure which will impact on community livelihood.
To ensure that current landowners are properly
compensated, Resettlement policy frameworks will be
undertaken and will guide the mode of compensation.
OP 4.20
Indigenous
Peoples
This policy covers local indigenous people or distinct
groups who are marginalized in society and who could be
adversely affected by the project. The Bank does not
support projects that negatively affect these peoples.
The Projects may require land or other natural resources
which will affect indigenous people or distinct groups’
livelihood. To ensure that current landowners are properly
compensated, Resettlement policy frameworks will be
undertaken and will guide the mode of compensation.
OP 4.36 (Forests).

The Bank’s lending operations in the forest sector are
conditional on government commitment to undertake
sustainable management and conservation-oriented
forestry. In forest areas of high ecological value, the Bank
finances only preservation and light, non-extractive use of
forest areas.
The projects may support the preparation of variety of
infrastructure and may proceed to constructions that
could have adverse impacts on existing forests. Criteria will
be added to the ESMF checklist to address potential
impacts on forestry resources. Project preparation will also
ensure that avenues for awareness into community forest
protection, illegal logging, and poaching are included.
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OP 4.37 (Safety of
Dams).
Bank financed new dams must be designed and built under

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

projects may have to support the preparation of
hydropower dams, small dams and weirs and
constructions that could have adverse environmental and
social impacts. The ESMF checklist is designed to identify
these potential impacts, and direct consultants towards
practical ways of avoiding or mitigating them.
OP 7.50 (Projects
in International
Waterways).
If a project has the potential to negatively affect the
quality or quantity of water of a waterway shared with
other nations the Bank will insist that a negotiated
agreement be established between the two or more
nations involved. Irrigation, drainage, water and sewage,
industrial and similar projects that involve the use or
potential pollution of international waterways (rivers,
canals, lakes or similar bodies of water)
The projects are transboundary in nature, and involve
drawing/use of water from shared water courses between
two or more countries. The projects will follow the Nile
Basin Initiative project notification procedures to notify
riparian countries where the intervention is proposed
about the Project and the anticipated scale of withdrawals.

OP 7.60 Disputed
areas
Projects in disputed areas could affect relations between the
country within which the project is being developed and
neighboring countries. Disputes would be dealt with at the
earliest opportunity.
The Project may involve activities along border areas
where the exact location of the international border is in
dispute. Projects which may fall within the disputed area
will not be prepared and will be included in the exclusion
list, unless and until there is confirmation from the riparian
countries that the subject area is no longer considered to
be under dispute

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Appendix 5: Environmental and social checklist


Yes

No

ESMF Guidance

A

Type of activity


Will the
potential future investment project
:




1

Support animal husbandry or processing?



C14.1

2

Involve the construction or rehabilitation of any small dams, weirs or reservoirs?



C14.2

3

Support irrigation schemes?



C14.3

4

Support rural water supply and sanitation schemes?



C14.4

5

Build or rehabilitate any rural roads?



C14.5

6

Involve solid waste management?



C14.6

7

Involve community forestry?



C14.7

8

Involve small
-
scale aquaculture?



C14.8

9

Involve leather
processing?



C14.9

10

Involve food processing?



C14.10

11

Involve community heathcare facilities and the management of healthcare waste?



C14.11

12

Build or rehabilitate any structures or buildings?



C14.12

13

Support agricultural activities?



C14.13

14

Be located in or near an area where there is an important historical, archaeological
or cultural heritage site?


B5.3

15

Be located within or adjacent to any areas that are or may be protected by
government (e.g. national park, national reserve, world heritage site) or local
tradition, or that might be a natural habitat?


B5.4

16

Depend on water supply from an existing dam, weir, or other water diversion
structure?


B8


If the answer to any of questions 1
-
16 is “Yes”, please use the
indicated Resource Sheets or sections(s)
of the ESMF for guidance on how to avoid or minimize typical impacts and risks

B

Environment


Will the
potential future investment project
:




17

Risk causing the contamination of drinking water?




18

Cause
poor water drainage and increase the risk of water
-
related diseases such as
malaria or bilharzia?



19

Harvest or exploit a significant amount of natural resources such as trees, fuel wood
or water?



20

Be located within or nearby environmentally sens
itive areas (e.g. intact natural
forests, mangroves, wetlands) or threatened species?



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Yes

No

ESMF Guidance

21

Create a risk of increased soil degradation or erosion?




22

Create a risk of increasing soil salinity?




23

Produce, or increase the production of, solid or
liquid wastes (e.g. water, medical,
domestic or construction wastes)?



24

Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), or
groundwater (e.g. wells)?



25

Result in the production of solid or liquid waste, or result

in an increase in waste
production, during construction or operation?




If the answer to any of questions 17
-
25 is “Yes”, please include an Environmental Management Plan
(EMP) with the subproject application.
B5.1, C8

C

Land acquisition and access to resources


Will the
potential future investment project
:

26

Require that land (public or private) be acquired (temporarily or permanently) for
its development?



27

Use land that is currently occupied or regularly used
for productive purposes (e.g.
gardening, farming, pasture, fishing locations, forests)



28

Displace individuals, families or businesses?




29

Result in the temporary or permanent loss of crops, fruit trees or household
infrastructure such as granaries, outside toilets and kitchens?



30

Result in the involuntary restriction of access by people to legally designated parks
and protected areas?


B6.4


It the answer to any of the questions 26
-
29 is “Yes”, please consult the ESMF and, if needed,
prepare a
Resettlement Action Plan (RAP)
B6.2, B6.3, C10

D

Indigenous people


Are there:




31

Any indigenous groups living within the boundaries of, or nearby, the project?




32

Members of these indigenous groups in the area who could benefit from
the
project?




If the answer to questions 31 or 32 is “Yes”, please consult the ESMF and, if needed, prepare an
Indigenous Peoples (IPP).
B7, C11

E

Pesticides and agricultural chemicals


Will the
potential future investment project
:

33

Involve the
use of pesticides or other agricultural chemicals, or increase existing
use?




If the answer to question 33 is “Yes”, please consult the ESMF and, if needed, prepare a Pest
Management Plan (PMP).
B5.2, C9

F

Dam safety


Will the
potential future
investment project
:




34

Involve the construction of a dam or weir?




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Yes

No

ESMF Guidance

35

Depend on water supplied from an existing dam or weir?





If the answer to question 34 or 35 is “Yes”, please consult the ESMF and, if needed, prepare a Dam
Safety Report (DSR).
B8, C12

CERTIFICATION
We certify that we have thoroughly examined all the potential adverse effects of this potential future investment project. To the best of our
knowledge, the subproject plan as described in the application and associated planning reports (e.g. EMP, RAP, IPP, PMP), if any, will be
adequate to avoid or minimize all adverse environmental and social impacts.
Community representative (signature): ………………………………………….……………
Extension team representative (signature): ……………………………………………………
Date: …………………………………………………

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Appendix 6: Public participation and consultation checklist

INFORM

CONSULT

ENGAGE

COLLABORATE

EMPOWER

Goal:

Goal:

Goal:

Goal:

Goal:

Promote stakeholder
understanding of issues,
problems alternatives,
opportunities and
solutions through
balanced and objective
information
Obtain feedback on
analysis, alternatives, and
decisions.
Work directly with
stakeholders to ensure
that their concerns and
aspirations are understood
and considered.
Stakeholders become
partners in each aspect of the
decision,
including development of
alternatives and
identification of preferred
solution.
Final decision-making in
the hands
of stakeholders.
Commitment

Commitment

Commitment

Commitment

Commitment

“Will keep you
informed.”
“As keep you informed,
Will listen and
acknowledge your
concerns and aspirations
“Will work with you to
ensure that your
concerns/aspirations are
directly reflected in the
developed alternatives
and Will provide
feedback on how your
input influenced the
decision.”
“Will look to you for direct
advice and innovation in
devising solutions and
incorporate your advice
and recommendations to
the maximum extent.”
“Will implement what
you decide.”
Tactics/Techniques

Tactics/Techniques

Tactics/Techniques

Tactics/Techniques

Tactics/Techniques

￿ Fact Sheets
￿ Websites
￿ Open Houses
￿ Briefings
￿ Public comment
￿ Focus groups
￿ Surveys
￿ Public meetings
￿ Workshops
￿ Deliberate polling
￿ Citizen Advisory
Committees
￿ Consensus-building
￿ Participatory decision-
making
￿ Citizen juries
￿ Ballots
￿ Delegated decisions

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Appendix 7: resettlement checklist
1) Objectives of Resettlement and Policy Framework
a. Description of the purpose and objectives of resettlement
b. national and local land and compensation laws that apply to the project
c. description of donor policies and how these will be achieved under the project
d. statement of principles and legal/policy commitments from the borrower/executing agency
2) Project Design and Scope of Resettlement
a. detailed description, including:
i. how baseline for resettlement was established
ii. maps, of the scope of resettlement
iii. how resettlement relates to the main investment project
b. description of alternative options, if any, considered to minimize resettlement
c. details of special consideration given to how the project will impact indigenous people and other
vulnerable groups, including women
d. responsibility for resettlement planning and implementation
3) Socio-economic Information and Entitlements
a. impact of land acquisition on potential affected peoples
b. identification of losses to resettlers and host communities
c. details of common property resources
d. cut-off dates of eligibility
e. new eligibility of policy and Entitlement Matrix
4) Resettlement Site Development and Income Restoration
a. location, quality of site, and development needs
b. layout, design and social infrastructure
c. safeguarding income and livelihoods
d. income restoration programs
e. gender issues and other vulnerable groups
f. integration with host communities
5) Institutional Framework for Resettlement Implementation
a. mandate of resettlement agency
b. establishing a resettlement unit and staffing
c. technical assistance for capacity building
d. role of NGOs and Civil Society Organizations in resettlement
e. grievance redress committees
6) Consultation and Community Participation
a. identification of project stakeholders
b. mechanisms for participation
c. participatory resettlement management
d. institutions in participation
e. NGOs as a vehicle for participation
7) Resettlement Budget and Financing
a. land acquisition and resettlement costs
b. budgetary allocation and timing
c. sources of funding and approval process
8) Monitoring and Evaluation
a. establishing a monitoring and evaluation system
b. monitoring and reporting
c. NGO and Civil Society participation in monitoring and evaluation
d. resettlement impact evaluation