INTEGRATED SAFEGUARDS DATA SHEET APPRAISAL STAGE Report No.: ISDSA6923 Public Disclosure Copy Date ISDS Prepared/Updated: 13-Apr-2014 Date ISDS Approved/Disclosed: 01-May-2014 I. BASIC INFORMATION 1. Basic Project Data Country: Uganda Project ID: P125590 Project Name: North Eastern Road-corridor Asset Management Project (NERAMP) (P125590) Task Team Negede Lewi Leader: Estimated 06-Mar-2014 Estimated 30-Apr-2014 Appraisal Date: Board Date: Managing Unit: AFTTR Lending Investment Project Financing Instrument: Sector(s): Rural and Inter-Urban Roads and Highways (80%), Public administration- Transportation (10%), General transportation sector (10%) Theme(s): Infrastructure services for private sector development (50%), Regional integration (20%), Rural services and infrastructure (20%), A dministrative and civil service reform (10%) Is this project processed under OP 8.50 (Emergency Recovery) or OP No 8.00 (Rapid Response to Crises and Emergencies)? Public Disclosure Copy Financing (In USD Million) Total Project Cost: 255.00 Total Bank Financing: 243.80 Financing Gap: 0.00 Financing Source Amount BORROWER/RECIPIENT 11.20 International Development Association (IDA) 243.80 Total 255.00 Environmental B - Partial Assessment Category: Is this a No Repeater project? 2. Project Development Objective(s) The PDO is to reduce transport costs, enhance road safety, and improve and preserve the road assets sustainably by applying cost effective performance based asset management contracts, along the Tororo - Kamdini road Corridor. Page 1 of 9 3. Project Description Component 1 - Road Rehabilitation, Operations and Maintenance (US$241 million). This component will finance long term OPRC for the Tororo - Mbale - Soroti - Lira - Kamdini road (340 km). This Public Disclosure Copy road corridor links South Sudan, parts of the Democratic Republic of Congo, northern and eastern Uganda to the port of Mombasa. The works and services under the OPRC contract will include: (a) the rehabilitation and/ upgrading of sections of the road corridor; (b) routine and periodic maintenance of the whole corridor; and (c) operations which will include management of traffic, road safety and axle load control measures. This component will also finance consultancy services for the Project Management that will be responsible for administering and supervising the OPRC contracts. The North-East Corridor: The project road comprises of the paved road that stretches from Tororo up to Kamdini located in the eastern and north eastern part of Uganda respectively. There are two road corridors from Kamdini: (a) to DRC through Goli and Vurra and onward to South Sudan through Oraba in north western Uganda; and (b) to South Sudan through Nimule in northern Uganda. Thus, the project road is feeding traffic from the Mombasa port to South Sudan, DRC and Uganda. The road traverses mainly a flat to rolling terrain through the districts of Tororo, Mbale, Bukedia, Kumi, Ngora, Soroti, Kaberamaido, Dokolo, Lira, Kole and Oyam. Component 2 Institutional Support (US$14 million). To ensure sustainability, technical assistance to UNRA will focus on designing, awarding, and managing the OPRC contracts. In addition, local stakeholders, including regulatory bodies, auditors, and the local construction industry need support to build their awareness in order to contribute towards the change process in the way the road network is planned, developed and maintained. The following will be provided as a package in order to bring about sustained and lasting culture change to deliver the benefits of OPRC. a) Asset Management Support and Road Safety (US$ 7.5 million). Technical Assistance (TA) support will be provided in data collection, life cycle cost analysis, development of output specifications for the long term contracts, Monitoring and Evaluation, and reporting on the Public Disclosure Copy performance of pavements and bridges. This component will also finance consultancy services that will prepare asset management contracts for future projects. The Road safety activities are aimed at the reduction of road traffic injuries and fatalities by strengthening the road safety management capacity, and reducing road crashes in the project corridor. The safety interventions under the NECRAMP will build on the lesson learned from “Safeway Right Way (SWRW) initiative”. The component will support the road safety audit, monitoring and evaluation exercise and road safety enhancement measures. It will be closely coordinated with the ongoing activities supported under the TSDP to implement the National Road Safety Policy, the establishment of a National Road Safety Authority (NRSA), and development of the National Road Crash Database. b) Support in Contract Supervision and Management of OPRC (US$5.5 million). UNRA’s contract management set up is predominantly for managing admeasurement contracts. Consultancy services will be provided to re-organize the contract management and administration systems and practices in UNRA to ensure that OPRC contracts are appropriately supervised and monitored. The component will also provide consultancy services in the areas of safeguards, financial management, and enhancing the contract monitoring system. Support will also be given to the implementation of the CoST initiative which is intended to reinforce good Governance and accountability in the road sub-sector. UNRA needs to influence planning, charging, enforcement, control, and information on the national Page 2 of 9 road network in order to operate the network effectively. Particularly the management of traffic flow, safety and axle load control has to be enhanced in partnership with contractors and other key stakeholders. Thus to improve UNRA’s network management capabilities, support will be provided Public Disclosure Copy to improve customer services, charging, and enforcement. This will also entail the preparation and implementation of a project communication strategy to disseminate useful information to the public as well as generate and secure a sustained feedback from all stakeholders to maintain or improve the services. OPRC being a new initiative, a robust training program will be defined and prepared as an integral part of the OPRC project, to ensure that UNRA and the road sector at large, appreciate the benefits of OPRC. This will entail, among others, secondment of graduate Engineers on implementation projects and specialist training to UNRA senior staff to skill them in the planning and supervision of output and performance based contracts. Training will also be provided in building the capacity of local contractors in undertaking such output based contracts. c) Operating Costs (US$1.0 million). The Project will finance costs of the implementation that are directly related to NECRAMP implementation. 4. Project location and salient physical characteristics relevant to the safeguard analysis (if known) PProject activities will include rehabilitation and/ upgrading and routine and periodic maintenance as well as instituting road safety measures and traffic management along the road corridor of Tororo – Mbale –Soroti-Lira-Kamidini road (340 km), traversing through the districts of Tororo, Manafa, Mbale (Eastern Uganda), Bukedea, Kumi, Ngora, Soroti, Kaberamaido (North-East Uganda), Dokolo, Lira, and Oyam (Northern Uganda). This is an existing important transport corridor linking the Republic of South Sudan, parts of the Democratic Republic of Congo, northern and eastern Uganda with the port of Mombasa. This is an existing road and the Social & Environmental impacts generic to upgrading, rehabilitation, and maintenance works of existing roads will be predictable, localized and readily mitigated. However, there could be some land acquisition for possible road re- alignment, borrow-pit areas, management of soil spoil material, establishment of workers camps, equipment storage areas, acquisition and operation of stone quarry site which may have substantial Public Disclosure Copy environmental and social impacts. In addition, these road works may impact the existing ecosystems along the road including, but not limited to wetlands, forest plantations adjacent to the road, Physical Cultural resources. The project may also involve a trial project during development of standards for alternative road construction materials. The proposed project has potential impacts on HIV/AIDS associated issues, gender and poverty reduction. The project could therefore raise social (including HIV/AIDS, Gender & poverty reduction) and environmental impacts that need to be addressed. To adequately address the environmental and social impacts of the project, UNRA has prepared, with the support of the consultant COWI, an Environmental and Social Management Framework (ESMF) and a Resettlement Policy Framework (RPF) to provide basic guidance on how environmental and social issues shall be assessed and managed during project implementation. The framework approach is recommended as the design of the road will be done by the contractor under the OPRC considering the prevailing conditions of the road. The environment management actions will be one of the factors to determine the final engineering road design. The ESMF includes issues of HIV/AIDS, gender and poverty reduction implications, whereas the RPF has provided guidance for management of any involuntary resettlement that may result during implementation of the project. Both frameworks provide processes for grievance redress. The ESMF, that included a chance find procedure for Physical Cultural Resources (PCR), and RPF has been prepared and disclosed in country on February 7, 2014. Specific Environmental and Social Impact Assessments (ESIA) including Environmental and Social Page 3 of 9 Management Plans (ESMP) and Resettlement Action Plans (RAPs) will be prepared as and when necessary during implementation and will be guided by the ESMF and RPF. The ESIAs and RAPs will be prepared and disclosed before commencement of civil works. Public Disclosure Copy 5. Environmental and Social Safeguards Specialists Herbert Oule (AFTN3) Constance Nekessa-Ouma (AFTCS) 6. Safeguard Policies Triggered? Explanation (Optional) Environmental Assessment OP/ Yes Although the road corridor is known (existing), BP 4.01 the detailed road design is has not yet been done. A framework approach for safeguards was recommended as the design of the road will be done by the contractor under the OPRC considering the prevailing conditions of the road. An ESMF was prepared, consulted upon, and disclosed before appraisal. Subsequent ESIAs (ESMPs) will be undertaken during implementation before the start of any civil works. Natural Habitats OP/BP 4.04 Yes The natural habitats along the road project include rivers, wetlands, and forest plantations. The framework for management of environmental impacts of the road asset management project on the natural habitats has been incorporated in the ESMF. Where applicable, the ESMPs will incorporate the management of impacts of the project on the Natural Habitats. Public Disclosure Copy Forests OP/BP 4.36 Yes There are no natural forests along the road corridor. However, there are a few forest plantations of mainly eucalyptus and pine tree species. The framework for management of environmental impacts of the road asset management project on the natural habitats has been incorporated in the ESMF. Where applicable, the ESMPs developed during implementation shall incorporate the management of impacts of the project on the forest. Pest Management OP 4.09 No The project does not involve pest management issues. Physical Cultural Resources OP/ Yes Because of the excavation works that will be BP 4.11 undertaken during the road works a chance find procedure for PCR has been developed as part of the ESMF and shall be implemented during contract implementation. Indigenous Peoples OP/BP 4.10 No Page 4 of 9 There are no Indigenous Peoples in the project Involuntary Resettlement OP/BP Yes area. The project may require land acquisition in areas 4.12 of road realignment/widening. While the road Public Disclosure Copy corridor is known/exists, the design is not yet developed and therefore the exact impact on land acquisition and subsequent resettlement/ compensation could not be defined before project appraisal. Therefore, a Resettlement Policy Framework (RPF) has been prepared, consulted upon, and disclosed before project appraisal. Where appropriate, Resettlement Action Plans (RAPs) will be prepared as may be defined by the detailed design of the works. While the project could involve small amounts of land take from PAPs along the RoW, major resettlement is not anticipated. Safety of Dams OP/BP 4.37 No The project does not involve dam related works. Projects on International No The project does not affect international Waterways OP/BP 7.50 waterways. Projects in Disputed Areas OP/BP No There are no disputed areas along the project 7.60 corridor. II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the proposed project. Identify Public Disclosure Copy and describe any potential large scale, significant and/or irreversible impacts: The project activities will include rehabilitation and/ upgrading and routine and periodic maintenance as well as instituting road safety measures and traffic management along the existing road corridor of Tororo – Mbale – Soroti – Lira – Kamdini Road (340km). The Project has been assigned Environmental Category B because the environmental impacts generic to upgrading, rehabilitation, and maintenance works of existing roads will be predictable, localized and readily mitigated. The potential environmental impacts of the proposed road corridor project include: clearance of trees and other vegetation due to realignment and road works, road cuts, fills and embankments, change in hydrology and drainage patterns and increase in sediment load of swamps and waterways as a result of widening the road embankment across wetlands, and soil and water contamination due to spillage and leakage of oils and other toxic materials, noise, dust and air pollution from road works, health & safety issues, acquisition & operation of borrow pits and stone quarries. There is no potential large scale, significant and/or irreversible impacts anticipated given the fact that the proposed road corridor follows the existing road alignment, with likely road re-alignment not causing any displacement of households, but rather displacing land-uses and economic activities. 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: None Page 5 of 9 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. N/A Public Disclosure Copy 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. At this stage and under OPRC, the final road design including the specific road works required for the various sections and timing is not yet determined. ESMF and RPF were developed for the project in close consultation with key stakeholders. The ESMF provides guidance for assessing of the potential environmental and social impacts of project during implementation. The ESMF established clear guidelines and methodologies for the identification and assessment of environmental and social impacts. It gives clear guidance for environmental screening, preparation of environmental assessments with basic TORs, as well as preparation of Environmental and Social Management Plans (ESMPs). The ESMF has established basic TORs for EA of Road Works; TORs for EA of Stone Quarries; Guidelines for acquisition and operation of borrow pits; guidelines for establishment of Equipment Storage yards/ Workers Camp, etc. The ESMF also outlines a framework for managing and monitoring the environmental and social impacts of the project, including management and handling of physical cultural resources through a chance Finds Procedure, minimizing impacts on the natural habitats, and a mechanism for addressing grievances. Specific ESIA including ESMPs and RAPs will be prepared as and when necessary during implementation and will be guided by the ESMF and RPF. The ESIAs and RAPs will be prepared and disclosed before commencement of any civil/road works. The following approvals and clearances shall be obtained before commencement of road works: National Environment Management Authority (NEMA)- EIA Certificates of approval, National Forest- A Forest areas approval, MoU with Umeme, National Information Technology Authority (NITA) & National Water and Sanitation Corporation (NWSC) to relocate any respective electricity, IT & water service infrastructure along the road reserves. Meanwhile Safeguards capacity assessment of the implementing agency UNRA indicates that they Public Disclosure Copy have sufficient experience in implementation of Bank financed projects and are thus acquainted with environmental safeguards requirements. There is an established Social and Environment Unit under the Directorate of Planning. UNRA has one (01) Environmental Specialist to coordinate, supervise, monitor and report on the implementation of the environmental aspects of the road projects. UNRA has experienced implementation challenges with regard to ongoing projects such as Transport Sector Development Project (TSDP). The key challenges under TSDP include inadequate monitoring and supervision by the Safeguards staff, failure to ensure timely conduct of relevant environmental assessments for stone quarries, non-management and follow-up of environmental and social impacts, and non-submission of the required quarterly environmental reports. Apparently, the current staffing level appears to be overwhelmed by the numerous projects UNRA is undertaking. During the pre-appraisal of the NCERAMP UNRA’s institutional arrangements and environmental and social safeguards capacity to implement the ESMF and RPF were assessed, and recommendations made to strengthen the unit by recruiting Environmental Officer, Sociologist, and Right of Way Officer, in light of the finding that the current capacity is being over stretched by the many projects the Authority is undertaking. However, at District level, there are District Environment and Community Development Officers who may be involved in project implementation especially by monitoring project activities in their respective areas of jurisdiction and reporting in a timely manner any issues that need to be addressed either directly to UNRA or through NEMA. A monitoring mechanism that involves the Page 6 of 9 district officials has been proposed in the ESMF and this is will strengthen UNRA’s field monitoring and reporting capacity. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure Public Disclosure Copy on safeguard policies, with an emphasis on potentially affected people. During compilation of the ESMF and RPF, the community along the road corridor, key district technical and political leaders were consulted in the District Local Governments of Tororo, Mbale, Bukedea, Kumi, Soroti, and Lira. Consultations with the listed districts took place at the respective district offices through face to face meetings and discussions. Detailed consultations with Project Affected Persons (PAPs) shall be undertaken during implementation along the project route at major trading centers and at sites of road re-alignment before start of any civil works through the Resettlement Action Planning process. Where necessary, respective Government Central Agencies deemed shall be consulted for any guidance and collaboration that may be required especially where some infrastructure or resources may need to be relocated or handled professionally. These may include water lines, electricity power lines, PCRs, etc. Mobilization of local communities (PAPs) shall be done though the Local Leaders (Local Councils) and through the Local FM Radio stations. All consultations shall be undertaken in local languages with exception of district and central government agencies consultations where English shall be used as medium of communication. All safeguard documents prepared to address the triggered safeguard policies have been disclosed both in-country and at infoshop, as appropriate. The ESMF and RPF have been prepared and disclosure before project appraisal on February 7, 2014 and the ESIAs/ESMPs and RAPs shall be prepared, during project implementation, consulted upon and disclosed both in country and at infoshop before start of the applicable civil works. B. Disclosure Requirements Environmental Assessment/Audit/Management Plan/Other Date of receipt by the Bank 07-Feb-2014 Date of submission to InfoShop 07-Feb-2014 For category A projects, date of distributing the Executive Public Disclosure Copy Summary of the EA to the Executive Directors "In country" Disclosure Uganda 07-Feb-2014 Comments: Resettlement Action Plan/Framework/Policy Process Date of receipt by the Bank 07-Feb-2014 Date of submission to InfoShop 07-Feb-2014 "In country" Disclosure Uganda 07-Feb-2014 Comments: If the project triggers the Pest Management and/or Physical Cultural Resources policies, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/ Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: PCRs management included and disclosed in the ESMF. C. Compliance Monitoring Indicators at the Corporate Level Page 7 of 9 OP/BP/GP 4.01 - Environment Assessment Does the project require a stand-alone EA (including EMP) Yes [ ] No [ ] NA [ ] report? Public Disclosure Copy OP/BP 4.04 - Natural Habitats Would the project result in any significant conversion or Yes [ ] No [ ] NA [ ] degradation of critical natural habitats? If the project would result in significant conversion or Yes [ ] No [ ] NA [ ] degradation of other (non-critical) natural habitats, does the project include mitigation measures acceptable to the Bank? OP/BP 4.11 - Physical Cultural Resources Does the EA include adequate measures related to cultural Yes [ ] No [ ] NA [ ] property? Does the credit/loan incorporate mechanisms to mitigate the Yes [ ] No [ ] NA [ ] potential adverse impacts on cultural property? OP/BP 4.12 - Involuntary Resettlement Has a resettlement plan/abbreviated plan/policy framework/ Yes [ ] No [ ] NA [ ] process framework (as appropriate) been prepared? If yes, then did the Regional unit responsible for safeguards or Yes [ ] No [ ] NA [ ] Sector Manager review the plan? OP/BP 4.36 - Forests Has the sector-wide analysis of policy and institutional issues Yes [ ] No [ ] NA [ ] and constraints been carried out? Does the project design include satisfactory measures to Yes [ ] No [ ] NA [ ] overcome these constraints? Does the project finance commercial harvesting, and if so, Yes [ ] No [ ] NA [ ] Public Disclosure Copy does it include provisions for certification system? The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the Yes [ ] No [ ] NA [ ] World Bank's Infoshop? Have relevant documents been disclosed in-country in a public Yes [ ] No [ ] NA [ ] place in a form and language that are understandable and accessible to project-affected groups and local NGOs? All Safeguard Policies Have satisfactory calendar, budget and clear institutional Yes [ ] No [ ] NA [ ] responsibilities been prepared for the implementation of measures related to safeguard policies? Have costs related to safeguard policy measures been included Yes [ ] No [ ] NA [ ] in the project cost? Does the Monitoring and Evaluation system of the project Yes [ ] No [ ] NA [ ] include the monitoring of safeguard impacts and measures related to safeguard policies? Page 8 of 9 Have satisfactory implementation arrangements been agreed Yes [ ] No [ ] NA [ ] with the borrower and the same been adequately reflected in Public Disclosure Copy the project legal documents? III. APPROVALS Task Team Leader: Name: Negede Lewi Approved By Regional Safeguards Name: Alexandra C. Bezeredi (RSA) Date: 13-Apr-2014 Advisor: Sector Manager: Name: Supee Teravaninthorn (SM) Date: 01-May-2014 Public Disclosure Copy Page 9 of 9