World Bank Document

DECEMBER 2013

Public Disclosure Authorized

REPUBLIC OF UGANDA UGANDA NATIONAL ROADS AUTHORITY

NORTH EASTERN CORRIDOR ROAD ASSET MANAGEMENT PROJECT

Public Disclosure Authorized (NECRAMP): TORORO-MBALE- SOROTI-LIRA-KAMDINI ROAD

RESETTLEMENT POLICY FRAMEWORK

Public Disclosure Authorized Public Disclosure Authorized

ADDRESS COWI Ltd Crusader House, 2nd Floor, Plot No. 3, Portal Avenue P.O.Box 10591 Kampala Uganda

TEL +256 41 434 30 45 FAX +256 41 434 32 43 WWW cowi.co.ug

DECEMBER 2013 UGANDA NATIONAL ROADS AUTHORITY NORTH EASTERN CORRIDOR ROAD ASSET MANAGEMENT PROJECT (NECRAMP): TORORO-MBALE- SOROTI-LIRA-KAMDINI ROAD

RESETTLEMENT POLICY FRAMEWORK

PROJECT NO. A013693

DOCUMENT NO. 10129-3/RPF

VERSION 06

DATE OF ISSUE 18 December 2013

PREPARED BJOO

CHECKED DRS

APPROVED KFJ

NORTH EASTERN CORRIDOR ROAD ASSET MANAGEMENT PROJECT (NECRAMP) – TORORO-MBALE-SOROTI-KAMUDINI-LIRA (340KM) v

CONTENTS

Executive Summary 1 Introduction 1 Key Issues arising from the Stakeholder Consultation 2

1 Introduction 16 1.1 North Eastern Corridor Road Asset Management Project (NECRAMP) 16

2 Approach and Methodology used in Developing the RPF 21 2.1 Introduction 21 2.2 The Consultation Process 21 2.3 Key Issues arising from the Stakeholder Consultation 22

3 Objectives of the RPF 24 3.1 Overview 24 3.2 Objectives 24

4 Project Rationale and Description 26 4.1 Introduction 26 4.2 Baseline Socio-economic Description of Project Area 28 4.3 Probable Negative Social Impacts arising from Road Corridor Works 33 4.4 Description of Project activities where the RPF will be applied 34 4.5 Minimisation of Resettlement Effects 35

5 Legal and Institutional Framework 36 5.1 Overview 36 5.2 Property and Land Rights in Uganda 36 5.3 National Policy/Legislation Framework 37

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5.4 On-going Reforms in Property and Land Rights in Uganda 45 5.5 Acquisition and Valuation of Land and Other Assets 45 5.6 Dispute Resolution and Grievance Mechanisms 46 5.7 International Conventions 46 5.8 World Bank Safeguard Policies that are likely to be triggered 48 5.9 Ugandan Law in Comparison to World Bank OP4.12 49 5.10 Institutional Framework 54 5.11 The UNRA Safeguards Unit 55 5.12 Capacity of the UNRA Safeguards Unit 57 5.13 Involvement of other Key Stakeholders in enhancing UNRA’s Monitoring Capacity 59

6 Compensation for Land and Other Assets 60 6.1 Introduction 60 6.2 RAP Preparation 62

7 Implementation Schedule and Costs 74

8 Public Consultation and Disclosure Plan 76 8.1 Data Collection Phase 76 8.2 Implementation Phase 76 8.3 Monitoring and Evaluation Phase 77

9 Monitoring and Evaluation of Impacts 79

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APPENDICES

Annex 1: Outcome of Consultation Meetings Held along the Road Corridor 85

Annex 2: List of Persons Consulted 95

Annex 3: World Bank Resettlement Policy Framework (RPF) 100

Annex 4: Annotated Outline for preparing a Resettlement Action Plan 102

Annex 5: Sample Grievance and Resolution form 107

Annex 6: Sample Table of contents for Consultation Reports 108

Annex 7: Glossary of Terms 110

Annex 8: Relevant Laws 113

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List of Tables Table 1-1: Lengths of Road Sections of Tororo-Mbale-Soroti-Lira-Kamdini Road (340 km) 16 Table 1-2: Sections completed with SBST on Tororo-Mbale–Soroti by middle of November 2013 18 Table 2-1: Consultation dates with description of stakeholders 22 Table 4-1: Population of Districts through which the Road Corridor passes 28 Table 4-2: Major Rural Growth Centres and Towns along the corridor (Lots 1-3) 32 Table 4-3: Indigenous people found within the Districts through which the Road Corridor passes 32 Table 5-1: Comparison of Ugandan and World Bank Policies on Resettlement and Compensation 50 Table 7-1: UNRA Safeguards Unit Capacity Issues and Recommendations for Re address 58 Table 7-2: UNRA Safeguards Unit proposed Capacity Interventions and Budget Estimate 59 Table 8-1: Indicative Outline of RAP Budget Error! Bookmark not defined. Table 10-1: Type and contents of reports within specific periods of the RAP Development and Implementation Phases 80 Table 10-2: Indicators RAP Impacts 84

List of Figures Figure 1-1: Location of the project 18 Figure 4-1: Human activity at the margins of the road reserve 29 Figure 4-2: Farming as the dominant land use activity along the corridor 29 Figure 5-1: Institutional Framework for the North Eastern Road Asset Management Project (NECRAMP) 56 Figure 5-2: Current Structure of the UNRA Safeguards Unit 57

List of Acronyms HIV/AIDS Human Immune Deficiency Syndrome/Acquired Immune Deficiency Syndrome IMC Independent Monitoring Consultant NECRAMP North Eastern Corridor Road Asset Management Project OP/BP Operational Policy/Bank Procedures PAPs Persons Affected by the Projects PCDP Public Consultation and Disclosure Procedures RAMC Road Asset Management Contract RAP Resettlement Action Plan RPF Resettlement Policy Framework UNRA Uganda National Roads Authority WB World Bank

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Executive Summary

Introduction The Government of Uganda has specifically decided to pilot long-term Asset Management Contracts as a method of road management on the strategic corridor of Tororo - Mbale - Soroti – Dokolo - Lira - Kamdini linking South Sudan, parts of the Democratic Republic of Congo, northern and eastern Uganda with the port of Mombasa. The North Eastern Corridor Road Asset Management project (NECRAMP) – as this project is called, is an international trunk road and comprises the entire 340 km long A007 highway from Tororo via Mbale, Soroti, Dokolo and Lira to Kamdini. This corridor requires substantial improvement to meet the current and forecast traffic demand.

A typical contract would include:

a) required works to bring the selected road corridor to the predetermined level of service, which may include rehabilitation and upgrading works;

b) the obligation to maintain the road corridor at the prescribed level of service, (iii) the obligation to carry out necessary additional periodic maintenance works (such as pavement overlay) during the life of the project; and (iv) to hand over the roads to the Government at a predetermined quality and level of service. This will be done under a “Design Build Operate Maintain and Transfer” (DBOMT). The duration of such contracts will be 10 years.

The planned asset management contract for the 340 km long Tororo – Mbale – Soroti – Dokolo – Lira – Kamdini Road (A007) will comprise the following works:

1. Management Services

2. Routine and Recurrent Maintenance Works

› Structure maintenance › Traffic safety maintenance › Minor rehabilitation works 1. Periodic Maintenance Works: Strengthening by approx. 35 – 95 mm asphalt concrete (AC) overlay of the various sections of the project road.

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2. Rehabilitation & Improvement Works: Possible Rehabilitation Works on Lot 1, such as improvement of cross drainage, depending on the actual works currently being implemented by the contractor (Dott Services).

3. Emergency Works

The NECRAMP is different from the normal road construction projects as the Contractor will spear head its implementation processes including the preparation and implementation of the RAP (s). As a result, sufficient safeguards which include this Resettlement Policy Framework have been put in place as part of the mitigation process.

The RPF is a guiding document for use by the contractor in preparing Resettlement Action Plans for individual sub-projects once their location and scope are known. The Contractor will prepare the action plans but an independent review and disclosure process will be conducted to assess the validity of the Resettlement action plans.

Approach and Methodology used in Developing the RPF

This RPF is basically the outcome of observations made along the Tororo, Mbale, Soroti, Lira - Kamdini Road as well as consultations made with key selected stakeholders.

A transect drive was conducted to observe land use and property for households along the corridor. Some interviews were also conducted and literature review done particularly relating to the World Bank safeguards together with relevant policy and legal framework applicable within the Uganda context.

Other methods used include Desk-based research; Site Visits throughout the Study Area to assess the current probable impacts. The primary method of consultation was through Key Informant Interviews conducted through unstructured questions

The stakeholders consulted include road side traders UNRA Safeguards Team and District Officials. The stakeholders and community members were first informed and then given opportunity to raise their concerns regarding the NECRAMP and regarding probable environment and land requirements.

Key Issues arising from the Stakeholder Consultation Several issues arose from the Stakeholder Consultation Process. A summary of main issues raised are highlighted below:

1. The needs for adequate and timely compensation for livelihoods and properties affected.

2. Safety of communities must be addressed especially at growth centres, road sections in proximity with schools, markets and health facilities found adjacent to the road corridor.

3. Borrow pits must be acquired at fair benefit to the landowners and restoration must be done to ensure that the borrow pit can be of use to the affected PAPs

4. Alternative arrangements must be made to mitigate the impact road works interfering with existing access roads

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5. Adequate protection must be provided for the numerous wetlands along the corridor not to interfere with existing socio economic activities (fishing, rice growing, watering livestock).

7. Pollution (especially dust along the road during construction activities) must be minimized

8. Construction activities that result into stagnant water provide mosquito breeding grounds. The contractor must ensure that this is avoided

9. Neglect to maintain road sections make them dangerous spots for accidents particularly for heavy trucks

10. Maintenance works done without consideration of other facilities within the road reserve such as telecommunication cables and electricity poles expose them to damage destroying lines. This must be mitigated

11. The contractor responsible for road maintenance must ensure that he/she plants trees to manage the environment besides the road corridor.

12. Contractors must as part of social responsibility, support in promoting business along the road. There are markets and trading centres without proper infrastructure. The contractor should help develop them

13. There is need to provide resting places for long distance drivers and passengers along the road. These resting places need to have accommodation facilities.

14. By-passes need to be planned and included particularly in Tororo, Mbale and Soroti as the current traffic load has had a negative impact on the roads within the Municipalities and pose a danger to pedestrians and other road users

15. Quarrying activities must not displace existing community livelihood activities. Where this happens, households affected must be compensated.

The above issues must be taken into consideration in the development of RAPs for any sections of the road corridor. These form the basis for this RPF.

Objectives of the RPF

The RPF is based on the guidance provided in the World Bank Operational Policy on Involuntary Resettlement (OP4.12 and this guidance will apply to the whole stretch of the road sections from Tororo - Mbale - Soroti - Lira – Kamdini. This RPF will apply where involuntary resettlement of persons to make way for implementation of the NECRAMP sub projects may result in loss of assets and create hardships for those being resettled.

The objectives of the Resettlement Policy Framework (RPF) are to:

1. To establish the resettlement and compensation principles and implementation arrangements that will guide the contractor to prepare appropriate RAPs within the project design for intervention in

NORTH EASTERN CORRIDOR ROAD ASSET MANAGEMENT PROJECT (NECRAMP) – TORORO-MBALE-SOROTI-KAMUDINI-LIRA (340KM) 4

the North Eastern Corridor Road Asset Management Project for Tororo, Mbale, Soroti, Lira to Kamdini;

2. Describe the legal and institutional framework underlying Ugandan approaches for resettlement, compensation and rehabilitation;

3. Define the eligibility criteria for identification of project affected persons (PAPs) and entitlements;

4. Describe the consultation procedures and participatory approaches involving PAPs and other key stakeholders; and

5. Provide procedures for filing grievances and resolving disputes.

The RPF ensures that any possible adverse impacts arising from management, maintenance, rehabilitation and improvement works along the corridor of Tororo - Mbale - Soroti - Lira - Kamdini are addressed through appropriate mitigation measures - in particular, against potential impoverishment risks.

These risks can be minimized by:

1. Avoiding displacement of people without a well-designed compensation and relocation process;

2. Minimizing the number of PAPs, to the extent possible;

3. Compensating for losses incurred and displaced incomes and livelihoods; and;

4. Ensuring resettlement assistance or rehabilitation, as needed, to address impacts on PAPs livelihoods and their wellbeing.

The Contractor will use the RPF to guide the process of preparation of the RAP. All the procedures as outlined in this RPF will be followed throughout preparation and implementation, and assessment of potential impacts of any resettlement action will be included for monitoring and evaluation (M&E).

Project Rationale and Description

The population of Uganda is estimated to be around 36.35 million1 inhabitants spread over a surface of 240,000 sq. km. Agriculture has for several years formed the backbone of Uganda’s economy with over 80% of its population deriving their livelihood from it and contributing approximately 37% of the Gross Domestic Product (GDP). Growth in the agricultural sector (where the majority of the poor are occupied) is lagging considerably behind the performance of the other sectors. There are registered inequalities in the distribution of income, with limited performance of the agriculture sector raises concerns and indicates that the extent to which growth is broad-based is limited: half of the 46% of household active in “food crops” are below the poverty line, whereas the overall average of the population below this line is 35%.

1UBOS 2012 estimates

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Based on the UBOS’s 2009/10 survey data, it is estimated that 24.5 percent of Ugandans are poor, corresponding to nearly 7.5 million persons in 1.2 million households.

The incidence of poverty remains higher in rural areas than in urban areas. The poor in the rural areas represent 27.2 percent of the population but only 9.1 percent in the urban areas. The rural areas with 85 percent of the population constitute 94.4 percent of national poverty. On the other hand, the urban areas represent 15 percent of the population and constitute 5.6 percent of national poverty. These results suggest that the majority of the poor are in rural areas, about 7.1 million out of the 7.5 million poor Ugandans.

The incidence of poverty remains highest in the Northern region and least in the Central region. On average, poverty incidence in Northern region (46.2%) remains higher than the national average (24.5%). Poverty in this region is driven largely by the North East sub-region although poverty intensity is higher in the mid-Northern sub-region. The incidence of poverty observed in the Western region, is driven largely by the sub-region of mid-Western Uganda.

Despite the good economic performance, poverty remains pervasive. Uganda remains one of the poorest countries in sub-Saharan Africa with GDP per capita of about USD 300. In recognition of these remaining challenges, the Government has formulated policies, strategies and plans with the overall objective of reducing poverty.

The improvement and maintenance of the condition of the Tororo, Mbale, Soroti, Lira to Kamdini road corridor is expected to have a positive impact to increasing the tempo of commercial activities as well as contribute to poverty reduction in northern Uganda. It will also provide vital transport corridors linking the land locked regional countries of parts of Eastern DRC and Southern Sudan to the sea. Like all transport projects, the corridor is expected to contribute to poverty reduction through its indirect impacts on economic growth or its direct impacts on personal welfare of the poor within these regions. For a region where local access roads particularly in the poor rural areas were laid to waste by a lengthy period of insecurity and insurgency, improvement and periodic maintenance of the corridor will contribute to national and regional income growth, as well as have a direct and significant impact on the daily life of the poor in the region. On the other hand inter-town connections as provided by the corridor as well as connections into the national trunk road will have an indirect and strategic influence on national growth and impact on poverty reduction.

Investment in the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini will no doubt improve access to economic opportunities by reducing transport costs. These include lower market prices for final products (both rural products and consumer goods), spatial extension of the market (due to the transport-induced changes in production and consumption patterns), higher personal mobility, and stimulation of socio-economic activities. In addition to improving accessibility, transport investment affects employment. The provision of transport services, including the construction and maintenance of transport infrastructure, generates demand for labour (often unskilled labour) and provides income-earning opportunities for the poor. Where a transport project generates jobs for the poor who are otherwise unemployed or under-employed, it contributes to the reduction of poverty.

Baseline Socio-economic Description of Project Area

The Tororo, Mbale, Soroti, Lira to Kamdini road passes through ten district local governments in eastern, north-eastern and the central parts of northern Uganda. These include the district local governments of Tororo, Mbale, Bukedea, Kumi, Ngora, Soroti, Kaberamaido, Dokolo, Lira and Oyam districts.

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The road corridor passing through Mbale contrasts heavily in distribution of settlements compared to other sections of the road corridor. Right from Bunghoko Sub-County (in Mable district) up to Nakaloke - a stretch of up to approximately 20km, the settlements are concentric. Most households here own less than one acre of land and population density is estimated to be over 905 persons per square kilometre. Other sections before and after Mbale, show fairly more sparsely distributed population with population densities not exceeding 185 persons per square kilometre and many households owning more than one acre of land.

Population; The Tororo, Mbale, Soroti Lira to Kamdini road corridor in one way or the other serves the population of local governments through which it passes. The Table below shows the population of local governments based on 2012 estimates provided in the District development plans of these districts. The road corridor provides a vital link for all agricultural products that form the basis of trade and livelihoods for the local governments.

Population of Districts through which the Road Corridor passes District Estimated Population (2012) Tororo 468,106 Mbale 553,900 Bukedea 189,774 Kumi 244,500 Ngora 101,807 Soroti 305,900 Kaberamaido 131,650 Dokolo 129,385 Lira 290,601 Oyam 268,415 Source: District Development plans of each local government

Land Use. Approximately 90% of the population along the corridor live in the rural countryside with most of the households practicing farming. Agricultural activities dominate the landscape along the corridor. Livestock farming is also practiced along the road corridor more predominantly seen as a feature of the Teso sub region from Bukedea, Kumi, Ngora to the Soroti to Dokolo sections of the road. Within the corridor are also found electricity installations, trading centres and Town/Municipal Councils. There are also growth centres that are often seen right into the road reserves. Human settlements (domestic dwellings) are found significantly far from the road reserves. A few dwellings can be seen approximately thirty meters from the road reserve between the Tororo to Mbale up to the Nakaloke to Kachumbala road sections. As one moves away from Kachumbala to Soroti as far as Kamdini, most human dwellings are relatively further away from the road reserve save for the growth centres already described.

Ethnic Characteristics of Communities along the Corridor There are 6 major tribes within the districts that the road corridor passes. These include the Jopadhola, Iteso2, Bakenye, Bagisu, Kumam and the Langi (Luo).

2 Although they are described as Iteso, the Iteso of Tororo speak a fairly more different dialect compared to those found in Bukedea, Kumi, Ngora or Soroti.

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Social Infrastructure The most dominant infrastructure seen along the road corridor is health facilities and schools. There are 93 schools (both primary and secondary schools right from Tororo to Kamdini). All major district headquarters have hospitals. There are more than 30 health facilities located within the road corridor.

Probable Negative Social Impacts arising from Road Works

The most probable negative social impacts arising from implementation of the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini are the following:

1. Loss of productive land to drainage channels or, creation of access roads to quarry sites or other material sites

2. Loss of crop cover arising from contractor clearing or dumping materials

3. Loss of buildings (particularly within the growth centres) arising from road works claiming land for improvement purposes or impact of heavy equipment causing cracks or destruction of building

4. Households lose livelihoods or get displaced as a result of the contractor either prohibiting them to access materials or staying close to a quarry site

5. Business persons lose business due to creation of alternative access routes caused by road works across roadways and foot paths.

6. Loss of accessible main water source such as a river and PAPs have to move long distances for water or cannot access safe water as a result of contamination of water sources resulting from exceptional silting arising from road works.

The magnitude of effects may differ from sub project to sub project depending on the design specifications and the volume of socio-economic activity. All these need to be assessed by conducting a comprehensive baseline study.

Project Activities where the RPF will be applied

The RPF guidelines apply to all components under the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini whether or not they are directly funded in whole or in part by the Output and Performance Based Road Contract for the Tororo-Mbale-Soroti-Lira-Kamdini Road corridor.

The RPF applies to activities in sub-projects (or components) affecting those who would be physically displaced or who would lose some or all access to resources, and regardless of the total number affected, the severity of impact, and their legal status (e.g. the RPF guidelines apply also to those with ill-defined or no title to the land).

The RPF will also apply to the needs of vulnerable groups among the PAPs, especially households with incomes below the national poverty line, including the landless, elderly and disabled, women and children, indigenous groups and ethnic minorities, and other historically disadvantaged

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Within the Tororo - Mbale - Soroti - Lira - Kamdini road corridor, the Resettlement Policy Framework will apply where the impacts:

1. Will result into loss of use of property, vegetation, or land by the affected person as a result of the sub project activities. Project Activities under this category for which the RPF will be applied include the following:  Improvement works that will require re alignment causing a demand on neighbouring land  Drainage channels created that periodically lead water into farmland rendering it unproductive  Opening up new borrow pits (fill material) and other sources of construction materials such as building sand and water for works without making provisions for restoration  Contractor negligently disposes road materials such as bitumen related wastes into adjacent farmland affecting its productivity

2. Will result into an interruption in the current use of property or land by the affected person as a result of the sub project activities. Project Activities under this category for which the RPF will be applied include the following:  Opening new Quarry sites on land belonging to affected households and creating access to the quarry sites  Construction of detours made to divert traffic and avoid rehabilitation in half width  Damage to existing access roads arising from excavation works or road works render adjoining roads inaccessible without creation of traffic options.  Opening up new but temporal borrow pits (fill material) and construction of access roads to new borrow pits and to other sources of construction materials such as building sand and water for works opened up by the contractor  Development of spoil tipping sites including development of the access roads to these tipping sites  Creation of material storage sites (normally carrying stockpiles of road materials such as stone) and road equipment packing sites outside the established road reserve  Stockpiles of road material (especially murram) washed by storm water blocks existing drainage leading to flooding across road sections

The most plausible approach to minimizing impacts is to limit all road works within the existing road width in all growth centres and major towns.

Legal Framework The political and legal context for the application of Resettlement Policy Frameworks (RPFs) is mainly governed by The Constitution of Uganda 1995 and The Land Act of 1998 (as amended in 2004) and to some extent The Land Acquisition Act 1965 , the Roads Act, Cap 358, the Water Act.

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Institutional Framework The Institutional framework for implementation of the North Eastern Corridor Road Asset Management contract is demonstrated in Figure 5-1.

All the road works, RPF implementation and subsequent preparation and implementation of the RAP(s) shall be done by the Contractor. The UNRA must ensure that the contractor in preparing the Sub project RAPs comply with the guidance provided in this RPF and also oversee an exhaustive process of disclosure to all stakeholders and approval by the Chief Government Valuer (Valuation Division of the MoLHUD).

The Government of Uganda through the Ministry of Finance and Economic Development will provide top-up financing if need be to ensure smooth implementation of the financial resettlement programmes, monitoring of the overall compliance progress and reporting to the World Bank

As part of the contractor’s team, a provision will be made to cater for an Environmentalist and Sociologist to specifically cover for the needs of the ESMF and ensure implementation of this RPF respectively.

All the local governments within the project area shall be involved right from planning up to implementation and monitoring as well as provide updated compensation schedules. These include the Local Governments of Tororo, Mbale, Bukedea, Kumi, Soroti, Kaberamaido, Dokolo, Lira and Oyam districts and the urban local governments of Tororo Municipal Council, Mbale Municipal Council, Bukedea Town Council, Kumi Municipal Council, Soroti Municipal Council, Dokolo Town Council and Lira Municipal Council;

The contractor will constitute a RAP team as defined in this RPF to guide the activities of RAP development and implementation and manage the Verification and Disclosure arrangements.

It is the responsibility of the RAP team to conduct participatory consultation with all relevant stakeholders to develop an approved RAP report. During its implementation it is the responsibility of the RAP team to: 1 Provide timely information to the project about all resettlement and compensation issues arising as a result of RAP related activities; 2 Identify and document any grievances, especially those that have not yet been resolved at the local level and which may require resolution at the higher levels (e.g. by the Project Implementation Unit); 3 Document progress and completion of project resettlement and compensation that are still pending, including for all permanent and temporary losses; 4 Evaluation of compliance/deviance of the PAPs compensation and whether all PAPs have been compensated in accordance with the requirements of this RPF and that PAPs have better living conditions and livelihoods; and 5 Identify 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 sub-project).

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Compensation for Land and Other Assets The activities in the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini that are expected to have some land acquisition or restriction of access include the following: 1. Improvement works that will require re alignment causing a demand on neighbouring land 2. Drainage channels created that will create a demand for land to be acquired for disposal of flood water 3. Opening up new borrow pits (fill material) and other sources of construction materials such as building sand and water for works without making provisions for restoration 4. Construction of detours made to divert traffic and avoid rehabilitation in half width 5. Opening up new but temporal borrow pits (fill material) and other sources of construction materials such as building sand and water for works 6. Construction of access roads to new borrow pits to be opened up by the contractor and also access road to other sources of construction materials such as building sand and water for works 7. Development of spoil tipping sites including development of the access roads to these tipping sites 8. Creation of material storage sites (normally carrying stockpiles of road materials such as stone) and road equipment packing sites outside the established road reserve

• Project affected persons (PAPs) are individuals whose assets may be lost, including land, property, other assets, and/or access to natural and/or economic resources as a result of activities related to sub-project(s).

• Project affected households are groups of PAPs in one household and where one or more of its members are directly affected by the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini. These include members like the head of household, male, and female members, dependent relatives, tenants, etc.

• Vulnerable groups of people. From these households the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini will separately identify the vulnerable members, such as those who are too old or too ill; children; those stricken with HIV/AIDS; women; unemployed youth; etc. Households headed by women that depend on sons, brothers, and others for support are especially vulnerable. Similarly, households with elderly or seriously ill persons are eligible for additional support.

During implementation of this North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini, a social assessment will be carried out to identify the areas or sites expected to have resettlement impacts due to land acquisition or restriction of access to resources. At that stage, OP 4.12 calls for the preparation of separate stand-alone Resettlement Action Plans (RAPs) consistent with the guidelines provided in this RPF. The following procedural guidelines will apply when it is determined that a RAP would be developed.

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(i) All potential PAPs should be identified (through a scoping exercise) and informed about their options and rights pertaining to compensation for land and assets to be acquired by the sub- project(s); (ii) PAPs must be consulted about land acquisition and compensation and offered technical and financial options, including the most economically feasible alternatives; and (iii) PAPs should receive reasonable compensation at full replacement cost for losses of assets and access attributable to the sub-project.

Screening The screening process would lead to the creation of a list of the number and types of infrastructure (including buildings or other structures) that sub-projects will construct that may potentially involve resettlement issues. This list will be presented to affected communities using a sensitization and consultation process. These consultations will be documented for each site (sub-project).

RAP Preparation A consultative and participatory process for preparing a RAP will be used in the RAP preparation process. This will include the following: (i) A socio-economic survey will be completed to determine scope and nature of resettlement impacts. (ii) The socio-economic study will be carried out to collect data in the selected sub-project sites. (iii) The socio-economic assessment will focus on the potential affected communities, including some demographic data, description of the area, livelihoods, the local participation process, and establishing baseline information on livelihoods and income, landholding, etc.

In general, the RAP will contain the following information: (i) Baseline Census; (ii) Socio-Economic Survey; (iii) Specific Compensation Rates and Standards; (iv) Entitlements related to any additional impacts; (v) Site Description; (vi) Programs to Improve or Restore Livelihoods and Standards of Living; (vii) Detailed cost estimates and Implementation Schedule.

The following guidelines will be used when a RAP is developed.

1. A participatory involvement of PAPs throughout the census for identifying eligible PAPs and throughout the RAP preparation process. 2. The process of assessing affected persons and determining the magnitude of impacts should be done within 30 days of the commencement of the project. Affected persons will be eligible for resettlement assistance if:

 They have formal legal rights to land (including customary and traditional rights recognized under the Laws of Uganda) and can produce satisfactory evidence of this;

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 They do not have formal legal rights to land, but have a claim to such land or assets provided that such claims are lawfully recognized in Uganda or become recognized through a process identified in the RAP.

 They have no legal or traditional claim to the land, but are occupying or using the land prior to the cut-off date.

For all the three categories mentioned above, evidence acceptable within the laws of Uganda can be adduced, provided that the person has not assumed this ownership or occupancy within the first 30 days of the commencement of the project.

3. In accordance with OP 4.12 and for each sub-project activities under the NECRAMP, a cut-off date will be determined, taking into account the likely implementation schedule of the activities. A cut-off date is established as part of determining PAPs eligibility. The RAP team will notify PAPs about the established cut-off date and its significance both in writing and by verbal notification delivered in the presence of all the relevant stakeholders.

Documentation and Verification of Land and other Assets The government authorities at both national and local levels; community elders and leaders; representatives from the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini will arrange meetings with PAPs to discuss the compensation and valuation process.

Compensation and Valuation Compensation will be paid only to those persons:

1. Who prior to the commencement of the project, have evidence of ownership or occupancy of the land of at least 30 days within the period of commencement of the project;

3. Who have property (a house, crops or thriving business enterprise) situated in the area identified for development;

4. With household members who derive their livelihood from the advantage of location and proximity to other socio-economic facilities provided by the current settlement.

Determination of the legibility of the bona fide occupants of the properties to be compensated shall be done through a transparent and legal process, taking into consideration all the existing laws of Uganda and policies of the World Bank and local customs. All types of compensation will be clearly explained to the individual and households involved.

Disclosure Arrangements This RPF will be disclosed in compliance with relevant Ugandan regulations and the World Bank Operational Policy OP 4.12 on Involuntary Resettlement and with the review and approval of the World Bank. Further, the RPF will be disclosed through other appropriate media. The UNRA will have to ensure that the contractor prepares RAPs for all NECRAMP sub projects resulting in involuntary Resettlement. To comply with the World Bank’s policies on environmental assessment of projects and disclosure of information, UNRA will ensure that copies of the RPF - along with all other documents related to NECRAMP’s environmental assessment - are submitted to the World Bank InfoShop. Through the World Bank Info Shop, the RPF report will be disclosed for at least 60 days to allow the public and all interested

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and affected parties’ access to review and submit their comments and concerns about the RPF. After the World Bank’s approval of the RPF, UNRA must ensure that the RPF is available throughout the project area. To this end, UNRA may be required to prepare summaries of the RPF in local languages for distribution to accessible points within the project area.

UNRA will ensure that copies of the RAP once developed by the contractor —along with all other documents related to NECRAMP’s environmental assessment—are submitted to the World Bank InfoShop. Through the World Bank InfoShop, the RAP reports will be disclosed for at least 60 days to allow the public and all interested and affected parties’ access to review and submit their comments and concerns about the RAP.

Community Payments It is not anticipated that implementation of the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini will take land and other However, where assets belonging to a community, such as a community center, school, markets or sacred site are affected, the community (as a whole) will be compensated. This compensation will be in the form of reconstruction of the facility (in case of damages) or replacement at least the same standard or equivalent or better standard required by local planning regulation.

Grievance Mechanism The sub-project RAP team will establish an independent grievance mechanism. The procedure for management of appeals will be as follows:

The Contractor will constitute a Grievance management Committee that will comprise of a LC representative from the village from whence the aggrieved party comes from as well as the respective members of the Land Committee, the Sub county Assistant Secretary and an opinion leader from the locality. The responsibility of the Grievance Committee will be to register and deal with complaints, including specific concerns about

 Flaws in the consultation process  Noise and pollution  Roads and traffic  Access to natural resources  Access to project benefits (e.g., no or insufficient jobs created for local communities)  Compensation and relocation  Access to land, land acquisition, and resettlement  Influx and in-migration of workers  Access roads and heavy traffic  Security forces  Indigenous peoples etc,

The Grievance Committee must:

a) Inform the PAPs of who is eligible to submit a complaint b) Document the complaints c) within 30 days investigate the grievance d) Notify relevant authorities on the action needed to be taken based on its assessment of the case to ensure that the complainant’s issues are addressed.

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Institutional Capacity for Implementation of the Resettlement Policy Framework The institutional responsibility for implementation of the RPF and ESMF falls directly under the Uganda National Roads Authority supported by consultants. Since the road projects are based at local government levels, district authorities also form key stakeholders together with the companies contracted to maintain or improve the road corridor.

The responsibility for implementation of the RPF and ESMF within the Uganda National Roads Authority is anchored within the Directorate of Planning and specifically within the Safeguards Unit.

UNRA’s safeguards unit is under the directorate of planning. It is headed by the Safeguards Manager, who reports to the Director planning. The Safeguards Manager is responsible for supervising and managing the activities of the following specialists: • Land acquisition Specialist, • Environmentalist, • a Surveyor and • Road safety specialist (position currently vacant as the incumbent recently resigned).

Capacity gaps in the Safeguard Unit arise from 1. Limited exposure to RPF 2. Limited staff to supervise Land acquisition and resettlement related projects on a national level. 3. Insufficient resources to implement its mandate considering the national scope of services scattered in different parts of the country,

There is also incapacity amongst local governments arising from inadequate funding to the Engineering, District Community Development and Environment offices that would otherwise provide supplementary services in ensuring that Environment and Resettlement issues are dealt with adequately and in time.

This RPF recommends that capacity within the UNRA Safeguards unit needs to be enhanced through funding support and training of the Safeguards team in the development and enforcement of ESMF. Modalities for involving relevant district authorities in monitoring rehabilitation and maintenance works along the corridor also need to be initiated in conjunction with UNRA regional station offices. This would beef rapid reporting that is vital in the decision making processes related to maintenance of the corridor.

It is also observed that where ESIA are submitted for NEMA approval, these often take long beyond the mandatory 30 days. A special fund may be necessary to ensure that NEMA plays its role in this regard.

Implementation Schedule and Costs The resettlement cost for NECRAMP, and compensation budget is approximated not to exceed USD 13, 000,000. The estimates are based on the RAP costs for recent and on-going road projects in North and Eastern Uganda. On average, USD 4,000,000 is spent for 100km road section, which has some urban centres along the its section. The main costs may be related temporal land acquisition and probable impacts to some community infrastructure. Given that the resettlement cost is an estimate, the GoU commits to take the responsibility to meet any variances that may arise.

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Approaches to Public Consultation A participatory approach to public consultation and disclosure must be adopted as an on-going strategy throughout the entire project cycle.

Selection of ways to consult, and expand participation by PAPs and other 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 will be important. The RAP team should ensure that these leaders and local representatives of PAPs are fully involved in designing the public consultation procedures.

During implementation, PAPs will be informed about their rights and options. The grievance mechanism will continue to operate and all grievances will be recorded. The participation of local leaders and PAPs in disseminating information and resolving disputes will be important once RAP implementation starts. A dynamic participatory approach involves PAPs in decision making about livelihood and community development programs.

Monitoring and Evaluation Phase The continuous internal and external monitoring of the progress of various project activities will be important to ensure that the principles in the RPF are realized throughout the Project.

Monitoring and Evaluation of the implementation of the Resettlement Action plan will be the primary responsibility of the UNRA Social Safeguard team. Thorough explanation and sensitization must be provided to the PAPs in order for them to understand that they may approach the team in the event of any complaints.

The RAP team will be constituted by the contractor to develop and implement a Monitoring and Evaluation Plan (MEP).

The focus of monitoring will be on evaluating if the Project will meet the set goals in different project phases and areas in:

 Implementation of the physical delivery of compensation and inputs;  Carrying out livelihoods restoration and development; and  Effectiveness, in terms of restoration and development of PAP’s’ socio-economic status.

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1 Introduction

1.1 North Eastern Corridor Road Asset Management Project (NECRAMP) In pursuit of its goal of implementing sustainable road development and maintenance on its strategic road corridors, the Government of Uganda wishes to pilot a Road Asset Management Contract for the Tororo – Mbale – Soroti – Lira – Kamdini (340km). The lengths of each section of this corridor are shown in Table 1-1 below:

Table 1-1: Lengths of Road Sections of Tororo-Mbale-Soroti-Lira-Kamdini Road (340 km)

Section Start End Length Lot 1: T-jct. with Bugiri - Malaba Westen corner of 151.8 km Tororo - Mbale - Soroti Road (A001) Kennedy Square in Soroti Lot 2: Western corner of Roundabout at western end 122.9 km Soroti - Dokolo - Lira Kennedy Square in Soroti of Lira Bypass Lot 3: Roundabout at western T-jct in Kamdini between 66.5 km Lira - Kamdini end of Lira Bypass Highway A007 & A006 Total 340.2 km Source: Progress Report No. 2, COWI October 2013

Performance based contracting for the management and operation (including maintenance) of roads is a relatively new concept. This type of contract significantly expands the role of the private sector from simple execution of works to the overall management of the road asset and in particular its conservation. Unlike traditional works contracts where the contractor’s main incentive is to carry out as much work as possible to increase turnover and profit, Asset Management contracts promote innovation as contractors strive to achieve the set performance standards within an agreed budget.

A typical contract would include:

(i) required works to bring the selected road corridor to the predetermined level of service, which may include rehabilitation and upgrading works;

(ii) the obligation to maintain the road corridor at the prescribed level of service,

(iii) the obligation to carry out necessary additional periodic maintenance works (such as pavement overlay) during the life of the project; and

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(iv) to hand over the roads to the Government at a predetermined quality and level of service. This will be done under a “Design Build Operate Maintain and Transfer” (DBOMT). The duration of such contracts will be 10 years.

The Government has specifically decided to pilot long-term Asset Management Contracts as a method of road management on the strategic corridor of Tororo - Mbale - Soroti - Lira - Kamdini Road linking South Sudan, parts of the Democratic Republic of Congo, northern and eastern Uganda with the port of Mombasa. This corridor requires substantial improvement to meet the current and forecast traffic demand.

Figure 1-1 below shows the project location. The project road is an international trunk road3 and comprises the entire 340 km long A007 highway from Tororo – Mbale – Soroti – Lira to Kamdini.

Initially it was also the intention to include the Kamdini – Gulu section (63 km) in the OPRC project, but it has been decided to rehabilitate this section in a separate contract. The Project Road is presently Class II Paved, except for short sections of dual carriageway in Mbale (about 300m) and Soroti (about 550m). The road may not fully comply with the 10.0 m road-way width.

3 The rural roads in Uganda are divided into the following 5 functional classes according to their major function in the road network: Class A: International Trunk Roads Class B: National Trunk Roads Class C: Primary Roads Class D: Secondary Roads Class E: Minor Roads

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Figure 1-1: Location of the project

Table 1-2: Sections completed with SBST on Tororo-Mbale–Soroti by middle of November 2013

Station (km) Length From To (km) 0 11.0 11.0 28.1 46.7 18.6 56.0 82.6 26.6 101.0 127.7 26.7 Total 82.9 Source: Progress Report No. 2, COWI A/S 2013

The current infrastructure bottlenecks on the route are a major constraint to: (i) sustainable economic growth, (ii) Uganda’s competitiveness and (iii) regional integration.

The planned asset management contract for the 340 km long Tororo – Mbale – Soroti – Lira – Kamdini Road (A007) will comprise the following works:

1. Management Services

2. Routine and Recurrent Maintenance Works

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› Structure maintenance › Traffic safety maintenance › Minor rehabilitation works 3. Periodic Maintenance Works: Strengthening by approx. 35 – 95 mm asphalt concrete (AC) overlay of the various sections of the project road.

4. Rehabilitation & Improvement Works: Possible Rehabilitation Works on Lot 1, such as improvement of cross drainage, depending on the actual works currently being implemented by the contractor (Dott Services).

5. Emergency Works

The NECRAMP is different from the normal road construction projects as the contractor will take centre stage in most of the implementation processes including the preparation and implementation of the RAP (s). As a result, sufficient safeguards which include this Resettlement Policy Framework have been put in place as part of the mitigation process.

The Contractor will prepare the action plans but an independent review and disclosure process will be conducted to assess the validity of the Resettlement action plans.

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2 Approach and Methodology used in Developing the RPF

2.1 Introduction This RPF is based on the observations made along the Tororo, Mbale, Soroti, Lira to Kamdini road as well as consultations made with key selected stakeholders.

2.2 The Consultation Process Road projects have environmental and social impacts. Consulting with key stakeholders is therefore important in determining mitigation measures to address the probable impacts. Consultation provides opportunities to create understanding about the project among those it will likely affect or interest, and to learn how these external parties view the project and its attendant risks, impacts, opportunities, and mitigation measures. For stakeholders, the consultation process is an opportunity to raise issues and concerns, ask questions, and potentially help shape the project by making suggestions. Listening to stakeholder concerns and feedback can be a valuable source of information that can improve project and helps to form the basis for future liaison and support.

Stakeholder consultative meetings were held during the RPF and ESMF preparation process. These meetings were held in order to involve the stakeholders in planning the development of the RPF. The stakeholders consulted include road side traders UNRA Safeguards team and District Officials stated in Annex 2. The stakeholders and community members were first informed and then given opportunity to raise their concerns regarding the NECRAMP and regarding probable environment and land requirements.

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Stakeholders consulted are summarized in the Table 2-1below.

Table 2-1: Consultation dates with description of stakeholders S.N. Date Stakeholder Group 1 03/10/2013 Tororo district stakeholders (Technical staff and the political leadership) 2 04/10/2013 Mbale district stakeholders (Technical staff and the political leadership) 3 07/10/2013 UNRA Safeguard Unit team 4 10/10/2013 Lira district 5 05/11/2013 Soroti district (Technical staff) 6 06/11/2013 Kumi district (Technical staff) 7 06/11/2013 Bukedea district (Technical staff )

2.3 Key Issues arising from the Stakeholder Consultation Several issues arose from the Stakeholder Consultation Process. Details of the outcome of these meetings are enclosed as Annex 2.

A summary of main issues raised are highlighted below:

1. All communities along the road corridor must be adequately compensated for livelihoods and properties affected. There must be a commitment on the part of the Contractor to ensure fair, timely and adequate compensation. NERCRAMP should restore the livelihood of the PAPs to ensure that the project does not cause further impoverishment.

2. Safety of communities must be taken into consideration especially at growth centres, road sections in proximity with schools, markets and health facilities found adjacent to the road corridor

3. Land acquired for borrow pits must be negotiated in a manner that benefits the PAPs. Where the extraction of materials from burrow pits stops, restoration must be done to ensure that probable and health and safety hazards are mitigated and the land can be of use to the affected PAPs

4. Where the contractor’s works interferes with existing access roads, alternative provisional arrangements must be made to mitigate the impact of this to business and safety of road users.

5. Compensation rates set by the districts need to be periodically reviewed to ensure relevance and applicability where necessary and promote market value to promote assets.

6. There are several wetlands within the corridor. Their protection needs to be maximized to ensure sustainable use of these wetlands. This is more particularly important where communities affected fish, grow rice or even use these wetlands for watering livestock.

7. Dust along the road during construction activities needs to be minimized as it is a cause of ill health as well as destroying the food markets along the road corridor

8. Construction activities that result into stagnant water provide mosquito breeding grounds. The contractor must ensure that this is mitigated.

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9. Neglect to maintain road sections make them dangerous spots for accidents particularly for heavy trucks

11. The contractor responsible for road maintenance must ensure that he/she plants trees and grass to manage the environment besides the road corridor.

13. There is need to provide resting places for long distance drivers and passengers along the road. These resting places need to have accommodation facilities.

15. Quarrying activities must not displace existing community livelihood activities. Where this happens, households affected must be compensated.

The above issues must be taken into consideration in the development of RAPs for any sections of the road corridor. These form the basis for this RPF.

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3 Objectives of the RPF

3.1 Overview A Resettlement Policy Framework is important as it provides guidance in the development of the resettlement action plans after the award of the contract and the road design. It also provides guidance on the linkages of the framework to the RAPs to be subsequently prepared and highlights the process/steps of the preparation of the RAPs, which will come after designs; when the Contractor will assess the environmental and social situation. This RPF is different from the normal RPFs as it will be implemented by the contractor.

3.2 Objectives The objectives of the Resettlement Policy Framework (RPF) are to:

a) Establish the resettlement and compensation principles and implementation arrangements that will guide the contractor to prepare appropriate RAPs within the project design for intervention in the North Eastern Corridor Road Asset Management Project for Tororo, Mbale, Soroti, Lira to Kamdini; b) Describe the legal and institutional framework underlying Ugandan approaches for resettlement, compensation and rehabilitation;

c) Define the eligibility criteria for identification of project affected persons (PAPs) and entitlements;

d) Describe the consultation procedures and participatory approaches involving PAPs and other key stakeholders; and

e) Provide procedures for filing grievances and resolving disputes.

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These risks can be minimized by:

a) Avoiding displacement of people without a well-designed compensation and relocation process;

b) Minimizing the number of PAPs, to the extent possible;

c) Compensating for losses incurred and displaced incomes and livelihoods; and;

d) Ensuring resettlement assistance or rehabilitation, as needed, to address impacts on PAPs livelihoods and their wellbeing.

The RPF is based on the guidance provided in the World Bank Operational Policy on Involuntary Resettlement (OP4.12), as attached in Annexe 1 and this guidance will apply to the whole stretch of the road sections from Tororo - Mbale - Soroti - Lira - Kamdini.

The procedures will be carried out throughout preparation and implementation, and impacts of any potential resettlement will be included in monitoring and evaluation (M&E).

Resettlement Action Plan (RAP) will be prepared in accordance with guidance provided in this RPF, including Detailed Measurement and assessment Surveys, Identification (Census) of PAPs/displaced persons, and Public Consultation and Disclosure Procedures (PCDP).

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4 Project Rationale and Description

4.1 Introduction The population of Uganda is estimated to be around 36.35 million4 inhabitants spread over a surface of 240,000 sq. km. Uganda’s economy stabilised in 2012 with growth of 4.4% registered as one of the lowest in the world for more than a decade now. Such a low level threatens the sustainability of the macroeconomic situation since the GoU has limited resources to finance its own development policies.

Agriculture has for several years formed the backbone of Uganda’s economy with over 80% of its population deriving their livelihood from it and contributing approximately 37% of the Gross Domestic Product (GDP). Agricultural products contribute nearly all of Uganda's foreign exchange earnings, with coffee (of which Uganda is Africa's leading producer) contributing the largest percentage of 19% of the country's exports. Exports of non-traditional products, including hides, skins, vanilla, vegetables, fruits, cut flowers, and fish are growing, while traditional exports such as cotton, tea, and tobacco continue to be mainstays. There are registered inequalities in the distribution of income, with growth in the agricultural sector (where the majority of the poor are occupied) lagging considerably behind the performance of the other sectors. Limited performance of the agriculture sector raises concerns and indicates that the extent to which growth is broad-based is limited: half of the 46% of household active in “food crops” are below the poverty line, whereas the overall average of the population below this line is 35%.

Based on the UBOS’s 2009/10 survey data, it is estimated that 24.5 percent of Ugandans are poor, corresponding to nearly 7.5 million persons in 1.2 million households.

4UBOS 2012 estimates

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is higher in the mid-Northern sub-region. The incidence of poverty observed in the Western region, is driven largely by the sub-region of mid-Western Uganda.

The Government has shifted priority from urban to rural areas and smallholder farming family has been made the focus of economic development with agricultural extension and credit schemes, expansion of primary education, primary health care, rural water supply and rural roads. The success of new credit schemes has increased the productivity of crop production and agricultural exports.

Agricultural growth should improve the conditions of food security in the country and irrigation would have to be introduced in a significant way. In order to make the agricultural production as the engine of growth, progress is considered to be made in terms of commercialisation, with more intensive farming, increasing proportion of marketable output and decreased road transport costs.

The sustainability of increasing economic growth in Uganda is an issue. Firstly, with the majority of the population heavily dependent on agriculture, their vulnerability to droughts and plant diseases is an issue. Secondly, the economy is subject to external terms of trade shock most notably arising from dependence on coffee (for exports) and oil (10% of its imports) prices. Thirdly, the potential for growth resulting from economic reforms and rehabilitation of the economy from the past has now been largely exploited, and therefore a broader agenda is required. To ensure continued high economic growth and to decrease vulnerability to exogenous shocks, an economic transformation is needed. Critical in this is the availability of an adequate and reliable transport infrastructure. This is a key pre-requisite of a well- functioning economy.7.5 million poor Ugandans.

In this context, some of the key issues considered in increasing productivity and commercialization of agriculture is in ensuring international and domestic traffic as well as making it possible to access such markets as the Southern Sudan and the Democratic Republic of Congo through creating accessible road network from the Mombasa port in Kenya to Tororo through Malaba to Mbale, Soroti, Lira and Kamdini enroute to much of northern and north western Uganda. This is expected to make eastern and northern Uganda more accessible and enhance its trade potential.

Road transport is by far the dominant mode of transport in Uganda, catering for about 90% of passengers and freight traffic. Roads provide the only means of access to most of the rural communities particularly in the remote parts of eastern, north and north western parts of the country. Effective management of this asset is therefore of vital importance to the GoU’s strategy for economic development and poverty reduction.

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connections into the national trunk road will have an indirect and strategic influence on national growth and impact on poverty reduction.

4.2 Baseline Socio-economic Description of Project Area

4.2.1 Introduction The Tororo, Mbale, Soroti Lira to Kamdini road passes through ten District Local Governments in eastern, north-eastern and the central parts of northern Uganda. These include the district local governments of Tororo, Mbale, Bukedea, Kumi, Ngora, Soroti, Kaberamaido, Dokolo, Lira and Oyam districts.

The road corridor passing through Mbale contrasts heavily in distribution of settlements compared to other sections of the road corridor. Right from Bunghoko Sub County (in Mable district) up to Nakaloke - a stretch of up to approximately 20km, the settlements are concentric. Most households here own less than one acre of land and population density is estimated to be over 905 persons per square kilometre. Other sections before and after Mbale, show fairly more sparsely distributed population with population densities not exceeding 185 persons per square kilometre and many households owning more than one acre of land.

4.2.2 Population of Local Governments where the road passes The Tororo, Mbale, Soroti Lira to Kamdini road corridor in one way or the other serves the population of local governments through which it passes. Table 4-1 shows the population of local governments based on 2012 estimates provided in the District development plans of these districts. The road corridor provides a vital link for all agricultural products that form the basis of trade and livelihoods for the local governments. Table 4-1: Population of Districts through which the Road Corridor passes District Estimated Population (2012) Tororo 468,106 Mbale 553,900 Bukedea 189,774 Kumi 244,500 Ngora 101,807 Soroti 305,900 Kaberamaido 131,650 Dokolo 129,385 Lira 290,601 Oyam 268,415 Source: District Development plans of each local government

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4.2.3 Land Use Figures 4-1 and 4-2 depict some of the features characteristic of human activity besides and along the road corridor. Agricultural activities dominate the landscape along the corridor.

Figure 4-1: Human activity at the margins of the road reserve

Electricity poles found at the margin Banana plantations also found at the margin of the road of the road reserve within the first reserve. This is particularly common within the road stretch 1km of the road corridor at Tororo. between Mbale and Nakaloke This is a characteristic feature along the corridor particularly between Tororo and Soroti

Figure 4-2: Farming as the dominant land use activity along the corridor

Above left: A cassava crop. Above right: A promising sorghum crop

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Above Left: Rice growing in the wetlands Above right: Orange plantation in the Teso sub region

Left: cattle rearing at Kapir (Ngora District) and Right: private Forest plantation at Kachumbala all besides the Mbale to Soroti road. NFA has plantations in Kumi & Kachung

Within the corridor are found;

a) Electricity installations within the road reserves particularly along the first 6 km into Tororo and thru road sections between Awoja and Soroti town. These need to be considered where road sections have to be widened at the road reserve

b) Human activity is closer to the road reserve at all major trading centres and Town/Municipal Councils. Approximately 90% of the population along the corridor live in the rural countryside with most of the households practicing farming (sometimes right close to the road reserve as seen within the Mbale to Nakaloke sections of the Mbale to Soroti road). Livestock farming is also practiced along the road corridor. Livestock farming is more predominantly seen as a feature of the Teso sub region from Bukedea, Kumi, Ngora to the Soroti to Dokolo sections of the road. There are also growth centres that are often seen right into the road reserves. Table 4-2 below shows the major growth centres and Towns falling under this category (contract Lots 4- 3). The practice of farming close to and within the road reserves as seen in the Mbale section of the road corridor presents future road improvement challenges if expansion is necessary since settlements here are concentric and land scarcity is rife. However, if maintenance works are restricted to the road reserve of the existing road corridor, no resettlement is foreseen.

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c) Within most of road corridor human settlement (domestic dwellings) are found significantly far from the road reserves. A few dwellings can be seen approximately thirty meters from the road reserve between the Tororo to Mbale up to the Nakaloke to Kachumbala road sections. As one moves away from Kachumbala to Soroti as far as Kamdini, most human dwellings are relatively further away from the road reserve save for the growth centres already described.

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Table 4-2: Major Rural Growth Centres and Towns along the corridor (Lots 1-3)

Town / Trading Center Length (km) Lot 1

Tororo Town 2.2 Mukuju T.C. 0.7

Busiu T.C. 1.4 Mbale Town 4.8 Nakaloke T.C. 1.0 Kachumbala T.C. 0.4 Bukedea T.C. 1.0 Kumi Town 1.6 Soroti Town 3.1 16.2 Sub Total

Lot 2 Soroti Town 2.5

Ojingai Village 0.2 Tiriri Bypass 1.1 Arapai Village 0.9 Amidakan Village 0.9 Otuboi Village 1.0 Dokolo Town 1.2 Agwata Bypass 1.0 Lira Town/Bypass 3.0 Sub Total 11.8

Lot 3 Lira Town 1.0 Ayer Village 0.5 Loro Village 0.9 Kamdini Town 1.0 Sub Total 3.4

Source: COWI Survey Investigations Report 2013

4.2.4 Ethnic Characteristics of Communities along the Corridor Table 4-3 below highlights the indigenous people found within the local governments through which the road corridor passes. There are 6 major tribes within the districts that the road corridor passes. These include the Jopadhola, Iteso5, Bakenye, Bagisu, Kumam and the Langi (Luo).

Table 4-3: Indigenous people found within the Districts through which the Road Corridor passes District Indigenous people Major local languages spoken

5 Although they are described as Iteso, the Iteso of Tororo speak a fairly more different dialect compared to those found in Bukedea, Kumi, Ngora or Soroti.

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District Indigenous people Major local languages spoken Tororo Jopadhola and Iteso Jopadhola and Ateso Mbale Bagisu Lugisu Bukedea Iteso Ateso Kumi Iteso Ateso Ngora Iteso and Bakenye Ateso Soroti Iteso, Kumam and Bakenye Ateso and Kumam Kaberamaido Kumam Kumam Dokolo Kumam and Luo (Langi) Kumam and Luo (Langi) Lira Luo (Langi) Luo (Langi) Oyam Luo (Langi) Luo (Langi) Source: Consultation meetings

4.2.5 Social Infrastructure The most dominant infrastructure seen along the road corridor is health facilities and schools. A social infrastructure count reveals that the dominant infrastructure is schools. There are 93 schools (both primary and secondary schools right from Tororo to Kamdini). All major district headquarters have hospitals. There are more than 30 health facilities located within the road corridor.

4.3 Probable Negative Social Impacts arising from Road Corridor Works The most probable negative social impacts arising from implementation of the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini are the following:

1) Loss of productive land to drainage channels or, creation of access roads to quarry sites or other material sites

2) Loss of crop cover arising from contractor clearing or dumping materials

3) Loss of buildings (particularly within the growth centres) arising from road works claiming land for improvement purposes or impact of heavy equipment causing cracks or destruction of building

4) Households lose livelihoods or get displaced as a result of the contractor either prohibiting them to access materials or staying close to a quarry site

5) Business persons lose business due to creation of alternative access routes caused by road works across roadways and foot paths.

6) Loss of accessible main water source such as a river and PAPs have to move long distances for water or cannot access safe water as a result of contamination of the water sources resulting from exceptional silting arising from road works.

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4.4 Description of Project activities where the RPF will be applied The Tororo - Mbale - Soroti - Lira - Kamdini road corridor has been in existence before and therefore adverse impacts arising from the management, maintenance, rehabilitation and improvement works are not anticipated if the current size, width and road alignment are maintained.

Where road works have an impact on land and resettlement is unavoidable, the Contractor is obligated to prepare an Action plan that must be exposed to an independent review to assess the validity of the Resettlement action necessary.

Due weight must be given to the measures needed to mitigate and compensate for the resettlement. Where relocation is unavoidable, or there are impacts on assets, the project should seek to minimize the number of people affected and the magnitude of the impacts. In the unlikely event that this is not possible, then a comprehensive Resettlement Action Plan will have to be developed.

Within the Tororo - Mbale - Soroti - Lira - Kamdini road corridor, the Resettlement Policy Framework will apply where the impacts:

2. Will result into an interruption in the current use of property or land by the affected person as a result of the sub project activities. Project Activities under this category for which the RPF will be applied include the following:  Opening new Quarry sites on land belonging to affected households and creating access to the quarry sites  Construction of detours made to divert traffic and avoid rehabilitation in half width  Damage to existing access roads arising from excavation works or road works render adjoining roads inaccessible without creation of traffic options6.  Opening up new but temporal borrow pits (fill material) and construction of access roads to new borrow pits and to other sources of construction materials such as building sand and water for works opened up by the contractor  Development of spoil tipping sites including development of the access roads to these tipping sites

6 This was particularly visible within Tororo Municipal Council where the current road works by Dott services have rendered some access roads impassable and yet no appropriate options have been created

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 Creation of material storage sites (normally carrying stockpiles of road materials such as stone) and road equipment packing sites outside the established road reserve  Stockpiles of road material (especially gravel / murram) washed by storm water blocks existing drainage leading to flooding across road sections

4.5 Minimisation of Resettlement Effects Road maintenance, rehabilitation and improvement works within Growth centres, and major towns must be conducted with minimal impact to existing human activity. Subsequent RAPs developed for mitigation of impacts must take this into consideration. The most plausible approach to minimizing impacts is to limit all road works within the existing road width in all growth centres and major towns. Since the projects is to be implemented on an already existing road alignment and will take a linear dimension of acquisition, where expansion is inevitable, additional land will be acquired/aligned on one side of the growth centre(s) to minimize social and economic disruptions.

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5 Legal and Institutional Framework

5.1 Overview The principal objective of the RPF is to ensure that all affected stakeholders and persons will be compensated for their losses and provided with assistance to improve, or at least maintain, their pre- project living standards and income earning capacity.

The purpose of this section is to set out the legislative, regulatory, and policy context in which the road construction being proposed and with which the project must comply. This chapter discusses policy, legal and institutional framework within which the RPF is premised and future RAPs should be conducted. National regulations are discussed along with relevant international agreements and conventions to which, Uganda is a party.

The political and legal context for the application of Resettlement Policy Frameworks (RPFs) is mainly governed by The Constitution of Uganda 1995 and The Land Act of 1998 (as amended in 2004) and to some extent The Land Acquisition Act 1965 , the Roads Act, Cap 358, the Water Act.

National regulations are discussed along with relevant international agreements and conventions to which, Uganda is a party.

5.2 Property and Land Rights in Uganda There are a number of national and local legal frameworks that regulate the land relations in Uganda. These frameworks define land rights, ownership, procedures and requirements of transfer and acquisition of land between individuals and groups. The basic guiding instrument in this regard is The Constitution of Uganda, 1995.

The Constitution of Uganda, 1995 vests all land directly in the Citizens of Uganda, and states that every person in Uganda has the right to own property. The Constitution also sets the standard for any form of compensation in Uganda and provides for prompt payment of fair and adequate compensation prior to the taking possession or acquisition of the land/property. Ugandan law recognizes four distinct land tenure systems, customary tenure, Freehold tenure, Leasehold tenure, and Mailo tenure. o Customary land is owned in perpetuity and is governed by the customary laws by the peoples who have customary tenure. Between 70% and 80% of land in Uganda is under customary tenure, particularly in Northern Uganda. Under this form of tenure, land is governed by rules generally acceptable as binding and authoritative by the class of people to which it applies. These people have propriety interest in the land and can acquire a certificate of customary ownership or a freehold certificate of title by requesting one

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through the Parish Land Committee (which will then be granted by the District Land Board). Land is owned in perpetuity under customary tenure. o Freehold tenure involves the holding of land in perpetuity or of a period less than perpetuity fixed by a condition. It enables the holder to exercise full power of ownership. A freehold title can be subjected to conditions, restrictions or limitations which may be positive or negative in their application. o Mailo tenure involves the holding of land in perpetuity. It was established under the Uganda Agreement of 1900. It permits the separation of ownership of land from the ownership of developments on land made by a lawful occupant. Additionally, it enables the holder to exercise full power of ownership, subject to the customary and statutory rights of those persons lawful or bonafide in occupation of the land at the time that tenure was created and their successors in title. o Leasehold tenure is created either by contract or by operation of the law. The landlord or lessor grants the tenants or lessee exclusive possession of the land, usually for a period defined and in return for a rent. The tenant or lessee has security of tenure and a proprietary interest in the land.

Additionally, under common law the statute of a “licensee” or “sharecropper” is also recognized. Licensees are granted authority to use land for agricultural production, usually limited to annual crops. They have no legal security of tenure or any propriety right in the land.

The Constitution of Uganda also requires that if a person’s property is compulsorily acquired, that person must receive prompt payment “of fair and adequate compensation prior to taking possession” of the property.

5.3 National Policy/Legislation Framework

5.3.1 The National Transport Master Plan The National Transport Master Plan set out a framework for development of the transport sector over the next 15 years, 2008-23, in three (3) five year phases. Since transport is the circulation system of any economy, the Plan constitutes an essential element of the overall planning process in Uganda. The National Transport Plan includes a set of commonly purposed activities, intended to achieve specific objectives. Both the Uganda National Transport Master Plan (UNTMP) and the Greater Kampala Metropolitan Area (GKMA) Transport Master Plan were developed within a long-term vision of development, with the expectation that they will serve as long-term reference frameworks within the continually changing transport landscape. The existence of long term plans for different economic sectors will help the overall planning effort to be well coordinated, and will help avoid development blockages that might impinge on the advancement of other sectors. In all, the Plan serves not only the Ugandan economy and its people, but extends to grasp the regional picture.

5.3.2 Uganda’s Vision 2040 The Uganda Vision 2040 articulates clear strategies and policy directions to transform the country into a competitive upper middle income country with per capita income of USD 9,500 building from previous development strategies such as Vision 2025. The development prospects include the discovery of oil and gas reserves, green economy, demographic profile, E-revolution, globalization and regional economic integration among others, as well as associated challenges.

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From the environmental perspective, the Vision 2040 intends to conserve and wisely use the country’s environmental, natural resources and cultural diversity for collective benefit of the present and future generations and adopts patterns of production, consumption and reproduction that safeguards the environment will be undertaken as a matter of urgency. In recognition of these aspirations, this roads project should conduct ESIA to mitigate any potential impacts to the natural resources and enhance conservation and sustainability.

5.3.3 Uganda’s Vision 2025 In ‘Vision 2025’ Ugandans set themselves many goals to achieve by the year 2025. The goals range from political, economic, social, environmental, and cultural among others. Concerning the environmental goals, Ugandans aspire to have a sustainable social-economic development that ensures environmental quality and the resilience of the ecosystem. In recognition of these, the project should conduct RAPs for the project in consistence with the Uganda Vision 2025 with respect to ensuring sustainable social-economic development.

5.3.4 Uganda National Development Plan 2010/11 – 2014/15 The Plan provides a number of strategies and policies to achieve short to medium term goals for the various sectors in Uganda. Its intention is to build into the Vision 2020 and Vision 2040 aspirations. Under the social sector, the plan seeks to among many strategies; poverty reduction. This roads project is subject to the national development plan and is obligated to contribute to achieving its goal of poverty reduction by identifying and mitigate any project related impacts affecting PAPs.

5.3.5 The National Environment Management Policy, 1994 The overall goal of the National Environment Management Policy is the promotion of sustainable economic and social development mindful of the needs of future generations and ESIA is one of the vital tools it considers necessary to ensure environmental quality and resource productivity on long-term basis. The policy calls for integration of environmental concerns into development policies, plans and activities. Hence, the policy requires that projects (like this road project) likely to have significant adverse ecological or social impacts undertake an ESIA before their implementation.

5.3.6 National Wetlands Policy, 1995 This policy aims at promoting conservation of Uganda’s wetlands in order to sustain their ecological, social and economic functions for the present and future generations. In addition, it aims at curtailing the rampant loss of wetland resources and ensuring that benefits from wetlands are sustainable and equitably distributed to all people of Uganda. It calls for no drainage of wetlands unless more important environmental management requirements supersede; sustainable use to ensure that benefits of wetlands are maintained for the foreseeable future; environmentally sound management of wetlands to ensure that other aspects of the environment are not adversely affected; equitable distribution of wetland benefits; the application of environmental impact assessment procedures on all activities to be carried out in a wetland to ensure that wetland development is well planned and managed.

The policy emphasizes the wise use of wetland resources and incorporation of wetlands into the EIA process. This roads project transverses a number of wetlands that are sources of material and watering points for animals. It must ensure that these wetland resources are

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recognized during impact assessment and any project based effects mitigated to allow sustainable use by all stakeholders.

5.3.7 The National Gender Policy, 1997 The aim of this Policy is to guide and direct at all levels, the planning, resource allocation and implementation of development programmes with a gender perspective. Its overall goal is to mainstream gender concerns in the national development process in order to improve the social, legal/civic, political, economic and cultural conditions of the people in Uganda in particular, the women. This policy obliges UNRA to ensure gender dimensions are mainstreamed into road projects at all its stages.

5.3.8 The National HIV/AIDS Policy, 2004 This Policy provides overall policy framework for national HIV/AIDS response, and in a nutshell, it mandates sectors to mainstream HIV/AIDS into its their programmes, plans and activities hence, the need to have HIV/AIDS mitigation measures integrated into the project during its design and implementation process.

5.3.9 Sectoral Policy Statements & Guidelines for Mainstreaming Cross- Cutting Concerns The Ministry of Works and Transport (MoWT) has prepared sub-sectoral specific Policy Statements and Guidelines for mainstreaming the following thematic aspects into its development programmes. These are Policy Statements and Guidelines for mainstreaming: HIV/AIDS interventions; Gender; Occupational Health and Safety (OSH); Issues of People with Disabilities (PWDs) and the Elderly. These are all deliberate sectoral initiatives to ensure that, specific and special peculiarities and needs with respect to thematic cross cutting issues are integrated into the road sub-sector. These guidelines further provide steps and processes that are to be followed in mainstreaming cross-cutting issues into road projects.

5.3.10 Resettlement/Land Acquisition Framework 2002 The Resettlement Policy Framework is an institutional safeguard against severe adverse impacts of the planned road projects activities on the social and proposes mitigation measures by:

 Minimizing displacement of potentially affected project persons during project implementation;

 Endeavouring to ensure that, the project affected persons are adequately compensated; and

 Putting in place measures to ensure adverse concerns where it is inevitable.

This policy framework focuses on measures on how to reduce involuntary resettlement, ensuring that, the PAPs are resettled and are not worse than they were before the project. The framework outlines measures to be undertaken with respect to land acquisition matters and which is in tandem with the existing national and international provisions governing land acquisition.

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5.3.11 The MOWT General Specifications for Road and Bridge Works, 2005 The document provides specifications for all activities under road and bridge projects including specifications for environmental management in series 1700 and instructions for HIV/AIDS awareness in series 1800. This project must observe these instructions during project implementation.

5.3.12 The National Environmental Act Cap 153 The National Environment Act is a framework law that provides for the sustainable management of the environment and establishes the National Environment Management Authority (NEMA) as the principal agency responsible for the management of the environment. NEMA’s functions include the integration of environmental concerns in overall national planning through coordination with the relevant institutions of Government; review and approve EIAs and environment impact studies submitted in accordance with the Environment Act and any other law; and ensuring observance of proper safeguards in the planning and execution of all development projects that are likely to have a significant impact on the environment.

NEMA is authorized to delegate any of its functions by statutory instrument to a lead agency, technical committee, the executive director or any other public officer. A lead agency is required to continue performing its duties as prescribed by law notwithstanding NEMA’s coordination, monitoring and supervisory function. Environment is defined in the Act to mean the physical factors of the surroundings of human beings including land, water, atmosphere, climate, sound, odour, taste, the biological factors of animals and plants and the social factor of aesthetics and includes the natural and built environment. EIA means the systematic examination conducted to determine whether or not a project will have any adverse impact on the environment. A lead agency means any Ministry, department, parastatal agency, local government system or public officer in which or in whom any law vests functions of control or management of any segment of the environment. A lead agency is required under the Act to submit a report to NEMA on its operations every two years. Further reports shall be submitted on the state of that segment of the environment and the measures taken by the lead agency to maintain or improve the environment if so required.

The National Environment Act is premised on the principle of sustainable development. In its Third Schedule are listed those activities that would require an environment impact assessment (EIA) prior to commencement. An EIA is required for any activity that is out of character with its surroundings including petroleum exploration and production activities and, in particular, for exploration for the production of petroleum in any form.

Section 20 of the Act makes it a legal requirement for every developer to undertake an environmental assessment for projects listed in the Third Schedule of the Act. The activities of the planned road works fall under those which are out of character with the surrounding and hence, require an ESIA to be conducted before implementation which therefore justifies the need for ESIAs to be conducted for this road project.

5.3.13 The Water Act, Cap 152 This Act provides for the use, protection and management of water resources and supply; the constitution of water and sewerage authorities; and facilitates the devolution of water supply and sewerage undertakings. The objectives of the Act are to amongst others: promote the rational management and use of the waters of Uganda through the progressive introduction and application of appropriate standards and techniques for the investigation, use, control, protection, management and administration of water resources; and to allow for the orderly development and use of water resources for purposes other than domestic use, such as the watering of stock, irrigation and agriculture, industrial,

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commercial and mining uses, the generation of hydroelectric or geothermal energy, navigation, fishing, preservation of flora and fauna and recreation in ways which minimize harmful effects to the environment. Developers planning to conduct activities requiring acquisition/supply of water shall obtain the permit issued by the Director in line with Article 5 of this Act.

For construction works that may require hydraulic works or the use of water, the Act in section 18 mentions that such works shall only be conducted after authorization and permission of the Director by issue of a permit subject to a number of procedures under this section of the Act. Thus any works under this project that may impact or transverse waters must employ the procedures mentioned under this Act.

The objective of the Act is to enable equitable and sustainable management, use, and protection of water resources of Uganda through supervision and coordination of public and private activities that may impact water quantity and quality; hence ESIAs conducted under this project are to outline such measures before project implementation is undertaken.

5.3.14 National Forestry and Tree Planting Act, 2003 The National Forestry and Tree Planting Act 2003 is the main law that regulates and controls forest management in Uganda by ensuring forest conservation, sustainable use and enhancement of the productive capacity of forests, to provide for the promotion of tree planting and through the creation of forest reserves in which human activities are strictly controlled. Specifically, the Act provides for tree planting and ownership which should be undertaken in this project as part of environmental mainstreaming.

5.3.15 The Local Government Act, 1995 This Act provides the legal foundation of the Government Policy on decentralization and devolution of functions, powers, and services to Local Governments. Under this Act, district and lower local councils are given the responsibility of managing their natural resources including environment at the local government level. With reference to this project, the local governments should be involved in issues of land acquisition, compensation and environmental monitoring and compliance.

5.3.16 The Uganda National Roads Authority ACT, No.15 of 2006 The mandate of the Uganda National Roads Authority is derived from an Act of Parliament - The Uganda National Road Authority Act, No. 15 of 2006. The Authority came into being late 2006 through a statutory instrument by the Hon. Minister of Works and Transport and subsequent appointment of Board of Directors. The Executive Director of UNRA was appointed in November 2007 and UNRA became fully operational on 1st July 2008.

The mandate of UNRA is to develop and maintain the national roads network which currently stands at about 10,800 km.

UNRA’s Strategic objectives are;

1 Improving access to most rural and urban areas of the country,

2 Sustain ably maintaining at least 80% of the national roads network in fair to good condition, and

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3 Enhancing transport safety through improved design and maintenance of the roads, better markings, signage and furniture, education and sensitization of road users.

5.3.17 Land Acquisition Act, 1965 This Act makes provision for the procedures and methods of compulsory acquisition of land for public purposes whether for temporary or permanent use. The Act requires that adequate, fair and prompt compensation is paid before taking possession of land and property. Dispute arising from the compensation to be paid should be referred to the court for decision if the Land Tribunal cannot handle. These are all meant to ensure that the process of land acquisition is in compliance with existing laws and that the affected persons receive fair, timely, adequate compensation.

5.3.18 The Roads Act, Cap 358 The Roads Act of 1964 provides for the establishment of road reserves and for the maintenance of roads. Section 3 of the Act declares as Road Reserve Area

"... an area bound by imaginary lines parallel to and not more than 50 feet from the centre line of any road" and "... no person shall, save with written permission of the road authority, erect any building or plant any tree or permanent crops within a road reserve".

In this respect all the property that follows within the right of way and the road reserve will be evaluated and compensated for by the project.

However, this has to be customized since in some cases, there is no clear demarcation of the road reserve. Crops and trees will be evaluated and compensated and a period of six months will be given to the affected people to harvest all their crops in the road reserve.

The Roads Act of 1964 also makes provision for the existence of a road reserve. The Act defines the road reserve as that area bounded by imaginary lines parallel to and not more than fifty feet (~15 metres) distant from the centreline of any road and declared to be a road reserve. The Act furthermore states that no person shall erect any building or plant, trees or permanent crops within a road reserve.

The Roads Act also allows the road authorities to dig and take materials from the road reserve for the construction and maintenance of roads. Contractors will be required to compensate the owners of areas of land used for borrow pits, quarries, camp sites etc. at market rates. These instructions must be adhered to during this project implementation considering that possibilities of misuse of road reserves may be evidenced along the route.

5.3.19 Roads Safety Act (1991) The Roads Safety Act (1991) protects the community from accidents, by putting them off the Right-of-Way and it gives provision for social infrastructure. Unlike what has happened in the history of roads in Uganda, in the Proposed Construction of the New Bridge across the River Nile at Jinja, the road reserves will be included in the road survey process and be formally gazetted as part of the implementation of the RAP. This consideration is being made to minimize future encroachment. Policy Framework

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5.3.20 The Access Roads Act, Cap 350 The Act seeks to ensure that a private landowner/developer who has no reasonable means of access to public highway may apply for leave to construct a road of access to a public highway. The Act permits the owner of any land over which an access road is to be constructed to be paid compensation in respect of the use of land, the destruction of crops or trees and other property on the land. The Act also has provisions for grievance resolution between the developer and owner of land over which the access is to be constructed by applying to magistrate’s court for leave to construct a road of access. This Act is applicable to this road as design and implementation of the road project is likely to affect access roads to the road to be upgraded.

5.3.21 The Land Act, 1998 The Land Act provides for the tenure, ownership, and management of land in Uganda. The tenure systems are customary, freehold, mailo and leasehold. Section 43 of the Act empowers the GoU to acquire land compulsorily in accordance with Article 26 (92) and Article 237 of the Constitution. However, the Constitution and the Land Act have both guaranteed security of occupancy of land to lawful and bona fide occupants. Key considerations on this law is that, the land owner has to sue the land consistently with the existing laws and that, all forms of land tenure are recognized on matters of land acquisition for the project.

5.3.22 The Workman’s Compensation Act, 2000 The Workman’s Compensation Act outlines responsibilities and obligations for both parties (employer and employee) in guaranteeing the safety and health of the workers. The Act outlines matters of compensation for injuries and accidents as well as the responsibility of employees to take care of their health and safety while on the project.

5.3.23 The Mining Act, 2003 This law, consisting of 12 Parts, describes the mineral and mining development including set-up of new quarries and/or sandpits. Article 110 (1) provides for inclusion in exploration license or a mining lease granted, a condition that the holder shall submit an environmental restoration plan of the exploration or mining area that may be damaged or adversely affected by his or her exploration or mining operations and such an environmental restoration plan is to include the following; identification of the exploration or mining area concerned, its current uses and productivity prior to exploration or mining operations; and a detailed time table of the accomplishment of each major step to be carried out under the restoration plan which is to include:

 the reinstatement, levelling, re-vegetation, reforesting and contouring of the affected land;

 the filling in, sealing, or fencing off of excavations, shafts and tunnels, or

 any other method that may be prescribed;

 the use to which the land is proposed to be put following restoration, including a statement of the utility and capacity of the restored land to support a variety of alternative uses.

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5.3.24 The Occupational Safety and Health Act, 2006 The Occupational Safety and Health (OSH) Act replaces the Factories Act (1964). The Act provides for the prevention and protection of persons at all workplaces from injuries, diseases, death and damage to property. The OSH Act covers not just the ‘factory’ but also any workplace where persons are employed and its provisions extend not just to employees but to the self-employed and any other persons that may be legitimately present in the workplace who may be exposed to injury or disease. Employers must provide for the protection of workers from adverse weather, provision of a clean and healthy work environment, sanitary conveniences, washing facilities, First Aid and facilities for meals. The Act provides for safe access to the workplace and safe work practices which applies to this project as well.

5.3.25 The Employment Act, 2006 This Act provides for matters governing individual employment relationships in terms of circumstances of provision of labour and that, no one should be forced to work, there should be no discrimination with regard to recruitment process, and it prohibits sexual harassment in employment. Of relevance to this project the Act provides for matters of grievance settlement and issues of payment of wages and salaries and most important it also obliges employers to repatriate employees especially those from other countries as well as those coming from more than 150km from their home areas.

5.3.26 The Petroleum Supply Act, 2003 The Petroleum Supply Act of 2003 provides for the transportation, monitoring, importation, exportation, processing, supply storage and distribution among others of petroleum products. It also provides for the licensing and control of activities and installations as well as for the safety and protection of health and the environment in petroleum supply operations and installations. This implies the installations of project diesel pump and related petroleum products have to be done in line with the provisions of this Act and also the guidance of the Petroleum Supplies Department in the Ministry of Energy and Mineral Development (MoEMD).

5.3.27 Historical Monument Act, 1967 The Act provides for the preservation and protection of historical monuments and objects of archaeological, paleontological, ethnographical and traditional interest. The salient provisions relevant to road projects as in Section 10 (1) require that, any person who discovers any object which may reasonably be considered to be of archaeological, paleontological, ethnographical, historical and traditional interests to report such a matter to an inspector of monuments, the Chief Administrative officer (CAO) or curator of the museum within fourteen days. Section 10(2) requires that any person who discovers any such object takes such measures as may be reasonable for its protection. This implies, the project will undertake the chance find measures in addressing possible encounters of any archaeological resources during project implementation and this will be in line with the provisions in the General Specifications for Road and Bridge Works 2005.

5.3.28 Environmental Impact Assessment Regulations, 1998 The procedures for conducting EIAs and guidelines for EIA practitioners and regulatory bodies are stipulated in this document. The regulations require a detailed study to be conducted to determine the possible environmental impacts, and measures to mitigate such impacts. The EIA Regulations detail the procedures for undertaking an EIA and the various stakeholders involved in the EIA process. The Regulations stipulate that it as an offence for any person to commence, proceed with or execute any

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project requiring an EIA without approval from NEMA. The Regulations advocate for the principle of full disclosure in the conduct of EIAs and makes it an offence to make false statements in an EIA study.

An EIA must be undertaken by experts whose names and qualifications are approved by NEMA. A project brief should be submitted by the developer for consideration. If the project has no significant effects on the environment or if it provides sufficient mitigation measures, it may be approved. In all other instances, the developer will be required to carry out a study and submit an environment impact statement (EIS). In accordance with regulations 13 & 14, in carrying out the study, the developer is required to pay attention to the issues laid down in the First Schedule to the Regulations and prepare a statement whose contents include environmental, economic and social issues.

The First Schedule stipulates that an EIA should take into consideration ecological issues including biological diversity, sustainable use of renewable resources and ecosystem maintenance. The EIS should include findings on social considerations including employment, social cohesion or disruption, human health, migration, communication, local economy, culture and cultural objects of value. The impact of the project on the landscape and on the land uses, current and potential, should be assessed. The developer must seek the views of the communities which may be affected by the project (regulation 12). Once the EIS has been submitted and comments made by the lead agency, comments shall be invited from the persons specifically affected by the project (regulation 20). According to regulation 21, a public hearing may be required by NEMA if the project is likely to have trans-boundary impacts or if there is controversy.

5.4 On-going Reforms in Property and Land Rights in Uganda The government of Uganda is instituting reforms in its policy over land. Today we have The Land Use Policy 2008 that provides guidelines on effective land use for socio-economic development and on minimizing land degradation. The 2004 Land Act Amendment was introduced to re enforces issues of spousal consent and gives women the right of consent about land transaction of household property. A national land policy (NLP) has also been drafted through an internal consultative process within the government. The final draft of the NLP was presented to Cabinet in March 2011 and in April 2012 was still at that level. Once adopted, it will guide the legal reforms in the land sector. The draft NLP supports the registration of land rights under customary tenure and contains a number of important reform proposals to cause gender equality with regard to land rights and inheritance of land. The draft includes also measures geared at rationalizing and streamlining the land dispute resolution structures and recognizes the role of customary institutions in making rules governing land, resolving disputes and protecting land rights. A domestic relations bill has also been the subject of debate in Uganda. Its passing will greatly affect property rights between spouses. It is important that where these reforms take effect, the RAP processes adopt their provisions for use in determining compensation and land rights and entitlements within the road corridor.

5.5 Acquisition and Valuation of Land and Other Assets Land Acquisition Both The Constitution, 1995 and The Land Act, Cap 227 gives the government and local government’s power to compulsorily acquire land. The Constitution states that “no person shall be compulsorily

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deprived of property or any interests in or any right over property of any description except” if the taking of the land necessary “for public use or in the interest of defence, public safety, public order, public morality or public health.”

The Land Acquisition Act, 1965 makes provision for the procedures and method of compulsory acquisition of land for public purposes. The Land Acquisition Act, 1965 states that the minister responsible for land may authorize any person to enter said land to survey the land, bore the subsoil, or any other examination necessary for determining whether the land is suitable for a public purpose. Additionally, once the assessment officer takes possession, the land immediately becomes vested in the land commission. Any dispute as to the compensation payable is to be referred to the Attorney General or court for decision.

Right of Way/Road Reserve The 1965 Roads Act defines the road reserve/”right of way” for a road as the area bounded by imaginary lines and of no more than 50 feet from the center line of the road. This area is declared by statutory instrument as the road reserve. The act also states that no person may build any structure, or plant any tree, plant or crop in the road reserve. The road authorities are allowed to take materials and/or dig within the road reserve for the construction and maintenance of the road.

Valuation Section 77 of the Land Act gives valuation principles for compensation; i.e. crops are compensated at rates set by the District Land Boards; the basis of compensation for land is open market value. The value of buildings is to be taken at open market value for urban areas and depreciated replacement cost in the rural areas. In addition, a 15% or 30% disturbance allowance must be paid if six months or less notice is given to the owner. The Land Act gives powers to District Land Tribunals to determine any dispute relating to the amount of compensation to be paid for land acquired compulsorily.

5.6 Dispute Resolution and Grievance Mechanisms The Land Act, Cap 227 states that land tribunals must be established at district level. It empowers the District Land Tribunals to determine disputes relating to amount of compensation to be paid for land acquired compulsorily. The affected person may appeal to a higher ordinary court. The Land Acquisition Act allows for any person to appeal to the High Court within 60 days of the award being made. All land disputes must be processed by the tribunals, before the case can be taken to the ordinary courts. The act also states that traditional authority mediators must retain their jurisdiction to deal with, and settle, land disputes.

5.7 International Conventions Uganda has signed and/or ratified several international agreements and conventions relating to the environment both at regional and global level. Agreements or conventions of potential relevance to the proposed project include:

5.7.1 The Convention on the protection of the World Cultural and Natural Heritage (World Heritage Convention, 1972) The Convention cites the need for the states to reorganize the duty of ensuring the identification, protection, conservation and transmission to future generations of the cultural and natural heritage. Bwindi Impenetrable National Park, Rwenzori National Park and Kasubi Royal Tombs are among the few sites in Uganda featuring on the World Heritage List. The proposed project and its associated

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activities lie outside the known cultural heritage sites in Bwindi and Rwenzori, which are approximately 150 km away from the site.

5.7.2 Convention for the Safeguarding of Intangible Cultural Heritage, 2003 The Convention highlights the need to identify, define and inventory the various elements of Intangible Cultural Heritage in a State Party territory, with the participation of local communities, groups and individual practitioners. It calls upon State Parties and communities to develop Action Plans for safeguarding culture. Safeguarding those traditions entails their research, documentation, and education and transmission appropriate legal protections among others.

5.7.3 The Convention on Biological Diversity (CBD) The Convention’s main objective is to ensure the conservation of biological diversity and sustainable use of its components. The study process should undertake thorough investigation of the sites and come up with lists of biodiversity in the areas and available information indicate that, none of the groups are threatened, rare or vulnerable, hence no impact of the project on such groups.

Uganda has signed but not yet ratified the Convention on the Conservation of Migratory Species of Wild Animals (CMS): The Convention is aimed at conserving species of wild animals that migrate across or outside national boundaries. None of the species belonging to this category will be affected by the proposed project or any of its activities.

5.7.4 The Convention on Wetlands of International Importance (Ramsar Convention) The project must ensure that all relevant Ramsar sites will not be directly affected by the planned project activities. Uganda ratified the African Convention on the Conservation of Nature and Natural Resources (1968), and also signed the Protocol Agreement on the Conservation of Common Natural Resources (1982).

5.7.5 Stockholm Convention On Persistent Organic Pollutants The Stockholm Convention on Persistent Organic Pollutants is a global treaty to protect human health and the environment from chemicals that remain intact in the environment for long periods, become widely distributed geographically and accumulate in the fatty tissue of humans and wildlife. Exposure to Persistent Organic Pollutants (POPs) can lead to serious health effects including certain cancers, birth defects, and dysfunctional immune and reproductive systems, greater susceptibility to disease and even diminished intelligence. In response, the Stockholm Convention, which was adopted in 2001 and entered into force 2004, requires Parties to take measures to eliminate or reduce the release of POPs into the environment. For this project, it is important to note that, the contractor should not engage is waste disposal by burning as this releases POPs to the atmosphere. Measures in which waste material is recycled or recovered should be very much encouraged. For instance, if the communities are willing to take used/old truck tyres will be encouraged rather than burning.

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5.7.6 Strategic Approach to International Chemicals Management (SAICM) Adopted by the International Conference on Chemicals Management (ICCM) on 6 February 2006 in Dubai, United Arab Emirates, the Strategic Approach to International Chemicals Management (SAICM) is a policy framework to foster the sound management of chemicals. SAICM was developed by a multi-stakeholder and multi-sectoral Preparatory Committee and supports the achievement of the goal agreed at the 2002 Johannesburg World Summit on Sustainable Development of ensuring that, by the year 2020, chemicals are produced and used in ways that minimize significant adverse impacts on the environment and human health. Progress in the implementation of SAICM was reviewed at the second session of the ICCM held from 11 to 15 May 2009.

In all, the Project Developer (UNRA) will take into consideration the relevant provisions contained in the above Agreements and/or Conventions at all stages of the proposed project implementation. Emphasis is focused on safe transportation, storage and handling of any chemicals to be used in the project.

5.8 World Bank Safeguard Policies that are likely to be triggered The World Bank Management has identified a group of Operational Policies (OPs) as being particularly important in ensuring that Bank operations do no harm to people and the environment. There are 10 safeguard policies, comprising the Bank's policy on Environmental Assessment (EA) and policies on: Cultural Property; Disputed Areas; Forestry; Indigenous Peoples; International Waterways; Involuntary Resettlement; Natural Habitats; Pest Management; and Safety of Dams. The Bank undertakes screening of each proposed project to determine the appropriate extent and type of EA to be undertaken and whether or not the project may trigger other safeguard policies.

The following is a short summary of World Bank operational guidelines and procedures, which are relevant to the NECRAMP, and offer elements of policy, procedure, good practices and guidance:

OP/BP 4.01 Environmental Assessment (EA): An Environmental Assessment is conducted to ensure that the Bank’s financed projects are environmentally sound and sustainable, and that decision-making is improved through proper analysis of actions and their likely environmental impacts. The EA evaluates a project’s potential environmental risks and impacts in its areas of influence, examines project alternatives, identifies ways of improving project selection, sitting, planning, design, and implementing by preventing, minimizing, mitigating or compensating and enhancing positive impacts. It includes the process of mitigating and managing adverse environmental impacts throughout project implementing. The take into account the natural environment (air, water, land etc.), human health and safety, social aspects, trans-boundary and global environmental aspects. The borrower is responsible for carrying out the EA and the Bank advises the Borrower on the EA requirements.

An Environment and Social Management Framework has been prepared and submitted under separate cover that proposes EIA guidelines and instruments for use in addressing likely impacts triggered under OP/BP 4.01

OP/BP 4.04 – Natural Habitats, The Bank is committed to protecting natural habitats and provides compensatory measures when lending results in adverse impacts. The natural habitats policy is triggered by the project/subprojects with potential to cause significant conversion/loss or degradation of natural habitats whether directly through construction or indirectly through human activities induced by the project. The policy has separate requirements critical and non-critical habitats. This policy will be triggered as the road works will impact on the existing ecosystems along the road including but not limited to major wetlands, forest plantations adjacent to the road.

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OP/BP 4.11 – Physical Cultural Resources, defined as movable or non-moveable objects, sites, structures and natural features and landscapes that have archaeological, paleontological, historical, architectural, religious aesthetic, or other cultural significance. The Bank is committed to protecting archaeological sites, historic monuments and settlements. The policy is triggered by any project/subproject that requires an EA. Some of NECRAMP works are likely to have adverse impacts, on the physical cultural resources and will need appropriate mitigation measures for avoiding or mitigating the impact as part of the EA process. A number of rocks lie within the NECRAMP area of influence that need be evaluated during the project works. In line with this policy, NECRAMP shall conduct a detailed PCR study to map out the archaeological resources in the project area and propose measures where such resources are encountered.

OP/BP 4.36 – Forests- The policy envisages the protection of forests through consideration of forest related impact of investment operations, ensuring restrictions for operations affecting critical forest conservation areas and improving commercial forest practice. This policy is likely to be triggered given that there are a few forest plantations of mainly eucalyptus and pine tree species along the road corridor. If this policy is triggered, it would be addressed through use of modern certification systems.

OP/BP 4.12 Involuntary Resettlement- The impetus of this Policy is that development projects should not cause the impoverishment of the people who are within the area of influence of the projects. In cases where resettlement of people is inevitable, proper action plan should be undertaken to at least restore, as stated above, their standard of life prior to the projects. Concerning public consultations, persons who are likely to be displaced as well as the host communities should be consulted for the successful implementation of the resettlement process.

Given that this project will include rehabilitation and/ upgrading and routine and periodic maintenance as well as instituting road safety measures and traffic management along the road corridor there will be likely need some land acquisition for possible road re-alignment, borrow-pit areas, soil spoil material, workers camps, equipment storage areas and quarry sites, which may have substantial environmental and social impacts.

5.9 Ugandan Law in Comparison to World Bank OP4.12

Although the Ugandan Constitution requires that prompt, fair and adequate compensation be paid prior to displacement, this is not on par with OP 4.12, as there is no requirement that states that the government should provide alternative land or assist with resettlement. Additionally it is unclear how to interpret “prompt, fair and adequate” compensation. OP 4.12 states that displaced persons should be compensated at full replacement cost.

Ugandan law does not make any specific accommodation for squatters or illegal settlers, and reimbursement is based on legal occupancy.

Finally, there is also no provision in the law that the state should attempt to minimize involuntary resettlement. Table 5-1 below provides an analytical summary of this comparison.

In the implementation of this RPF, World Bank policies will override any inconsistencies that may arise in attempting to seek reconciliation with Government of Uganda policies and statutory requirements and, should be the main guide in the development of RAPs guided by this RPF.

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Table 5-1: Comparison of Ugandan and World Bank Policies on Resettlement and Compensation7

Types of Affected Persons/ Ugandan Law World Bank OP4.12 Comparison/Gaps Lost Assets

Land Owners The Constitution of Uganda, 1995 vests all land Through census and socio-economic The legal right to resettlement is directly in the Citizens of Uganda, and states that surveys of the affected population, applicable only to those with every person in Uganda has the right to own identify, assess, and address the potential proprietary interest in the affected property. Ugandan law recognizes four distinct economic and social impacts of the project land land tenure systems, customary tenure, freehold that are caused by involuntary taking of tenure, leasehold tenure, and mailo tenure. land (e.g., relocation or loss of shelter, loss Customary land holds property and of assets or access to assets, loss of income ownership. Customary land is owned in perpetuity and is sources or means of livelihood, whether or governed by the customary laws by the peoples not the affected person must move to Entitlement for payment of who have customary tenure. These people have another location) or involuntary restriction compensation is essentially based on propriety interest in the land in perpetuity and can of access to legally designated parks and the right of ownership or legal acquire a certificate of customary ownership or a protected areas user/occupancy rights freehold certificate of title by requesting one through the Parish Land Committee (which will Land-for-land exchange is the preferred then be granted by the District Land Board). option; compensation is to be based on replacement cost. Customary land owners are entitled to compensation based on the open market value of the unimproved land

Land Tenants/Squatters Ugandan law does not make any specific For those without formal legal rights to There is no distinction or accommodation for squatters or illegal settlers, lands or claims to such land that could be discrimination made on the basis of and compensation is based on legal occupancy. recognized under the laws of the country, gender, age, or ethnic origin between (lawful or bonafide occupancy) the government should provide Ugandan law and Bank policy.

7 Source: Safeguards Diagnostic Review for Piloting the Use of Ugandan Systems to Address Environmental Safeguard Issues in the Proposed World Bank-Assisted Uganda Energy Development and Access Project (GEDAP), December 2006

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Types of Affected Persons/ Ugandan Law World Bank OP4.12 Comparison/Gaps Lost Assets

resettlement assistance in lieu of However, there is no explicit Leasehold tenure is created either by contract or compensation for land, to help improve or equivalence on the specific by operation of the law. The landlord grants the at least restore those affected persons’ requirements for enforcing non- tenants or lessee exclusive possession of the land, livelihoods discrimination, including the usually for a period defined and in return for a requirement that particular attention rent. The tenants or lessee has security of tenure and a proprietary interest in the land. be paid to the needs of vulnerable groups among the displaced. The Land Act treats lawful occupants and bonafide occupants as statutory tenants of the registered owner Those without formal legal rights or claims to such lands are not entitled to be resettled or compensated. Land Users/Licensees Licensees are granted authority to use land for Identify and address impacts also if they No equivalence between Bank and agricultural production, usually limited to annual result from other activities that are: (a) Ugandan systems for identifying and crops. They have no legal security of tenure or directly and significantly related to the addressing impacts resulting from any propriety right in the land. proposed project, (b) necessary to achieve project related activities. its objectives, and (c) carried out or The Land Act, section 29(5) clearly states that for planned to be carried out the avoidance of doubt, a licensee shall not taken contemporaneously with the project. to be a lawful or bonafide occupant

Owners of non-permanent Mailo tenure involves the holding of land in For those without formal legal rights to There appears to be a significant buildings perpetuity. It was established under the Uganda lands or claims to such land or assets that difference between Ugandan laws Agreement of 1900. It permits the separation of could be recognized under the laws of the and Bank policy. Those without ownership of land from the ownership of country, Bank policy provides for formal legal rights or claims to such developments on land made by a lawful occupant. resettlement assistance in lieu of lands and/or semi-permanent Owners of non-permanent buildings are entitled to compensation for land, to help improve or structures are not entitled to compensation based on rates set by District Land at least restore their livelihoods. resettlement assistance or Boards. compensation. Owners of permanent Valuation of buildings is based on open market Entitled to in-kind compensation or cash Values based on depreciated buildings value for urban areas and depreciated replacement compensation at full replacement cost replacement cost do not reflect full cost in the rural areas. including labour and relocation expenses, replacement cost/value

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Types of Affected Persons/ Ugandan Law World Bank OP4.12 Comparison/Gaps Lost Assets

prior to displacement Timing of compensation Once the assessment office takes possession, the Implement all relevant resettlement plans There is no equivalence on payments land immediately becomes vested in the Land before project completion and provide implementing all relevant Commission, according to the Land Acquisition resettlement entitlements before resettlement plans before project Act. However the Land Act Cap 227 (section 42) displacement or restriction of access. For completion or on providing provides compulsory acquisition must comply projects involving restrictions of access, resettlement entitlements before with the provisions of the Constitution(article 26) impose the restrictions in accordance with displacement or restriction of access. the timetable in the plan of actions. Calculation of compensation According to the Land Act, Cap 227 (section 77), Bank policy requires: (a) prompt There are no equivalent provisions and valuation the value of customary land shall be the open compensation at full replacement cost for on relocation assistance, transitional market value of the unimproved land. Value of loss of assets attributable to the project; (b) support, or the provision of civic the buildings shall be at open market value for if there is relocation, assistance during infrastructure. urban areas and depreciated replacement cost for relocation, and residential housing, or rural areas. The crops and buildings of a non- housing sites, or agricultural sites of The basis of compensation permanent nature are compensated at rates set by equivalent productive potential, as assessment is not stated in the Land District Land Boards. required; (c) transitional support and Acquisition Act (an old law due for development assistance, such as land review), although the Constitution preparation, credit facilities, training or job provides for ‘prompt, fair and opportunities as required, in addition to adequate’ compensation. (article 26) compensation measures; (d) cash compensation for land when the impact of land acquisition on livelihoods is minor; and (e) provision of civic infrastructure and community services as required. Relocation and resettlement Both The Constitution, 1995 and The Land Act, To avoid or minimize involuntary Ugandan laws are silent about the 1998 gives the government and local authorities resettlement and, where this is not feasible, provisions for avoidance or power to compulsorily acquire land. The to assist displaced persons in improving or minimizing of involuntary Constitution states that “no person shall be at least restoring their livelihoods and resettlement compulsorily deprived of property or any interests standards of living in real terms relative to in or any right over property of any description pre-displacement levels or to levels except” if the taking of the land necessary “for prevailing prior to the beginning of project public use or in the interest of defence, public implementation, whichever is higher safety, public order, public morality or public

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Types of Affected Persons/ Ugandan Law World Bank OP4.12 Comparison/Gaps Lost Assets

health.” Completion of resettlement Privately owned land’s value is negotiated Implement all relevant resettlement plans There is no equivalence between and compensation between the owner and the developer. In rural before project completion and provide Ugandan law and World Bank areas, land is valued at open market value, resettlement entitlements before policies on implementing relevant buildings are valued at replacement cost, and a displacement or restriction of access. For resettlement plans before project 15% to 30% disturbance allowance must be paid projects involving restrictions of access, completion or on providing if six months or less notice is given to the owner. impose the restrictions in accordance with resettlement entitlements before the timetable in the plan of actions. displacement or restriction of access. Livelihood restoration and There are no explicit provisions under Livelihoods and living standards are to be Ugandan policy and legislation assistance resettlement or relocation for livelihood restored in real terms to pre-displacement would need to be aligned with Bank assistance. levels or better policy to effectively guarantee rights of all affected persons of involuntary resettlement. Consultation and disclosure There are no explicit provisions for consultations Consult project-affected persons, host While the consultation requirement and disclosure but there are guidelines issued by communities and local NGOs, as is inherent in the EIA, it contains a separate ministries (e.g. roads and energy). appropriate. Provide them opportunities to number of differences with the The Land Acquisition Act, however makes participate in the planning, implementation, requirements of Bank policy. provision for an enquiry whereby the affected and monitoring of the resettlement program, person can make formal written claim and the especially in the process of developing and assessment officer is obliged to conduct a hearing implementing the procedures for before making his award. determining eligibility for compensation benefits and development assistance (as documented in a resettlement plan), and for establishing appropriate and accessible grievance mechanisms. Grievance mechanism and The Land Act, 1998 states that land tribunals must Establish appropriate and accessible dispute resolution be established at all districts. The Land Act grievance mechanisms empowers the Land Tribunals to determine disputes and it provides for appeal to higher ordinary courts. The Land Acquisition Act provides for the aggrieved person to appeal to the High Court.

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5.10 Institutional Framework The Institutional framework for implementation of the North Eastern Corridor Road Asset Management contract is demonstrated in Figure 5-1.

All the road works, RPF implementation and subsequent preparation and implementation of the RAP (s) shall be done by the Contractor. The UNRA must ensure that the contractor in preparing the Sub project RAPs comply with the guidance provided in this RPF and also oversee an exhaustive process of disclosure to all stakeholders and approval by the Chief Government Valuer (Valuation Division of the MoLHUD).

The Local Governments within the project area must be involved right from planning up to implementation and monitoring as well as provide updated compensation schedules. The Local Governments include: Tororo, Mbale, Bukedea, Kumi, Soroti, Kaberamaido, Dokolo, Lira and Oyam districts and the urban local governments of Tororo Municipal Council, Mbale Municipal Council, Bukedea Town Council, Kumi Municipal Council, Soroti Municipal Council, Dokolo Town Council and Lira Municipal Council;

The contractor will also be responsible for implementing the financial resettlement programmes identified e.g. paying compensation to PAPs. To do this, the contractor will constitute a RAP team as defined in this RPF comprising of an Accountant, Lawyer, Registered Land Surveyor, Registered Valuation Surveyor and the Sociologist. Reporting to the contractor, the role of the RAP team is to guide the activities of RAP development and implementation and manage the Verification and Disclosure arrangements.

It is the responsibility of the RAP team to conduct participatory consultation with all relevant stakeholders to develop an approved RAP report. During the implementation of the RAP, it is also the responsibility of the RAP team to:

1 Provide timely information to the project about all resettlement and compensation issues arising as a result of RAP related activities;

2 Identify any grievances, especially those that have not yet been resolved at the local level and which may require resolution at the higher levels (e.g. by the Project Implementation Unit);

3 Document completion of project resettlement and compensation that are still pending, including for all permanent and temporary losses;

4 Evaluate whether all PAPs have been compensated in accordance with the requirements of this RPF and that PAPs have better living conditions and livelihoods; and

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5 Identify 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 sub-project).

5.11 The UNRA Safeguards Unit The institutional responsibility for implementation of the RPF and ESMF falls directly under the Uganda National Roads Authority supported by consultants. Since the road projects are based at local government levels, district authorities also form key stakeholders together with the companies contracted to maintain or improve the road corridor.

The responsibility for implementation of the RPF and ESMF within the Uganda National Roads Authority is anchored within the Directorate of Planning and specifically within the Safeguards Unit. Figure 5-2 shows the current structure of the unit.

• Land acquisition Specialist,

• Environmentalist,

• a Surveyor and

• Road safety specialist (position currently vacant as the incumbent recently resigned).

The Unit has been in existence for about one year now having been constituted as result of the amalgamation of the former environment, sociologist and land acquisition units of UNRA. The basic role of the department in respect to Environmental and Social Management, Land Acquisition and Resettlement Action planning and implementation is to:  Undertake the overall coordination and oversight for all the social safeguards activities.  Ensure that Persons affected by road project activities are protected, where inevitable compensated and not left in a worse situation than pre project status.  Coordinate and link with partners on matters regarding land acquisition, occupational safety and health etc.

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Figure 5-1: Institutional Framework for the North Eastern Road Asset Management Project (NECRAMP)

Government of Republic of Uganda (GoU)

NATIONAL ENVIRONMENT EMPLOYER MANAGEMENT AUTHORITY Uganda National Roads Authority World Bank (NEMA) (UNRA)

EMPLOYER's REPRESENTATIVE UNRA SAFEGUARD UNIT Director of Projects

MONITORING CONSULTANT TECHNICAL & FINANCIAL AUDIT Project Manager CONSULTANT

CONTRACTOR

ENGINEERING CONSULTANT Highway Design Engineer Pavement Engineer CONTRACTOR's REPRESENTATIVE Transport Economist Road Manager Environmentalist Sociologist

QUALITY ASSURANCE & MATERIALS / SITE SITE ENGINEER SITE ENGINEER PLANT & EQUIPMENT SAFETY MANAGER ENGINEER MANAGER

TECHNICIANS & FOREMEN

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Figure 5-2: Current Structure of the UNRA Safeguards Unit

Safeguards Manager

Environment Land Acquisition Specialist Specialist (one officer on a long term contract)

Environment al Assistant (employed on a Right of Way Land temporary (employed on a Acquisition contract) temporary contract) Officer

The Unit is responsible for the following activities for all UNRA projects in Uganda:  Providing guidelines and guidance to service providers and to ensure compliance with Environmental and Social Management, Land Acquisition and Resettlement Action planning and implementation regulations. These include supervision and review of reports during preparation of documents for all the above, supervision of adherence by the service providers and also during operation and maintenance of the completed road projects.  Supervising and monitor processes of Resettlement Action Planning and implementation, as well as;  Ensuring that Resettlement issues are well articulated in all phases of the road project cycle.  Ensure that the Environmental and Social Management, Land Acquisition and Resettlement Action planning and implementation are recognized and mainstreamed in the entire project cycle – planning phase, implementation and operation and maintenance.  Also ensure that the needs and requirements of the development partners are observed.

The safeguards unit works in close collaboration with other departments such as Supervising Engineers (Consultant) Specialists and the Contractors specialist, etc., to ensure that safeguards issues are observed.

5.12 Capacity of the UNRA Safeguards Unit Table 5.2 below shows a summary of capacity issues identified for key staff within the UNRA Safeguards unit8. The table also recommends capacity interventions necessary to ensure that the capacity of the unit in ensuring the effective implementation of ESMFs and RPFs is enhanced.

8 The Safeguards team was exposed to a self capacity needs assessment. The information presented here was generated from this assessment

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Table 5-2: UNRA Safeguards Unit Capacity Issues and Recommendations for Re address Structure Status Qualifications Capacity Issues Recommended Capacity within Unit Intervention Safe Guards Position of Safe PhD in Social Limited Exposure to Require basic training and Management Guards Manager Anthropology. development and exposure to ESMF/RPF Filled implementation of ESMF development and and RPF implementation Environment Position of 1 Environmental Too thin to cover the More Environment staff Environmental Specialist at M. number of projects to required to boost current Specialist and 1 Sc with 10 years supervise as well as cover capacity Assistant both of experience in Environmental Monitoring Filled ESIA related and Auditing Require basic training and assignments exposure to ESMF Limited Exposure to development and development and implementation implementation of ESMF

Inadequate in covering. Land Position of 1 Land Acquisition Too thin to cover the Require basic training and Acquisition Acquisition Specialist with number of projects/ exposure to ESMF/RAP Specialist Specialist and 1 M.Sc. with supervise as well as cover development and Land Acquisition more than 7 Land Acquisition related implementation Officer filled years’ Monitoring experience Right of Way Filled (on Require basic training and temporary exposure to ESMF/RAP contract) development and implementation

The unit also requires sufficient resources to implement its mandate. Considering the national scope of services scattered in different parts of the country, and limited exposure to ESMF and RPF development and implementation, the main capacity interventions necessary are the indicated in the table 5-3 below.

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Table 5-3: UNRA Safeguards Unit proposed Capacity Interventions and Budget Estimate Capacity Gap Recommended Interventions Estimated Cost over the next 5 Years (US $) a) Inadequate staff for Recruitment of additional both Environmental and 1) 2 Environmental Assistants 540,000 Land Acquisition parts (Monitoring and Audit) of the Unit’s structure 2) 2 Land Acquisition Assistants 3) 1 Safety Specialist 4) 1 Safety Assistant

b) Limited Exposure to Orientation training on 27,000 development and  development and implementation implementation of of ESMF and RPF for all ESMF and RPF Safeguard Unit Staff  Supervision of Contractor implementation of ESMF and RPF  Monitoring and Evaluation Skills

Grand Total 587,000

5.13 Involvement of other Key Stakeholders in enhancing UNRA’s Monitoring Capacity The structural operations of UNRA have no operational provisions to accommodate facilitation of the local governments to provide monitoring functions or even enhance capacity of its consultants and contractors. It is important to observe, however, that local governments suffer the consequences of poor road maintenance, safety as well as environmental and land deprivation issues related to road projects that are the responsibility of UNRA. Incapacity amongst local governments arises from inadequate funding to the Engineering, District Community Development and Environment offices that would otherwise provide supplementary services in ensuring that Environment and Resettlement issues are dealt with adequately and in time.

The contractor will initiate modalities for involving relevant district authorities in monitoring rehabilitation and maintenance works along the corridor need to be initiated in conjunction with UNRA regional station offices. This would beef rapid reporting that is vital in the decision making processes related to maintenance of the corridor.

It is also observed that where ESIA are submitted for NEMA approval, these often take long beyond the mandatory 30 days. Consultations with NEMA indicate that this arises from the fact that NEMA is under staffed and underfunded reducing its capacity to coordinate the review and subsequent approval of ESIAs. A special fund may be necessary to ensure that NEMA plays its role in this regard.

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6 Compensation for Land and Other Assets

6.1 Introduction The RPF guidelines apply to all components under the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini whether or not they are directly funded in whole or in part by the Output and Performance Based Road Contract for the Tororo-Mbale- Soroti-Lira-Kamdini Road corridor.

The RPF will be implemented respecting the law on land9 and land administration system in Uganda which provides for land acquisition through;

 occupancy by individual persons and by local communities, in accordance with customary norms and practices, which do not contradict the Constitution;

 uninterrupted occupancy by individual nationals who have been using the land in good faith for at least twelve years before 1995 and;

 authorization on the basis of an application submitted by an individual or corporate person in the manner established by the Land Law

The RPF will apply to activities in sub-projects (or components) affecting those who would be physically displaced or who would lose some or all access to resources, and regardless of the total

9 The Land Law in Uganda stipulates that a land title will be issued by the Lands Department. However, the absence of a title will not prejudice the right of land use and benefit the acquired through occupancy. The application for a land title will include a statement by the local administrative authorities, preceded by consultation with the respective communities, for the purpose of confirming that the area is free and has no occupants. Title to local community land will be issued in a name decided upon by the community and individual men and women who are members of the local community may request individual titles after partitioning community land.

The right of land use and benefit can be proved by presentation of the respective title; testimonial proof presented by members, men and women of local communities and by expert evidence and other means permitted by law.

Among other modes of land transfer, the Land Law permits the transfer of land by inheritance, without distinction by gender. The right of land is not subject to time limit for the following cases: (i) Where the right was acquired by local communities through occupancy; (ii) Where it is intended for personal residential purposes and; (iii) Where individual nationals reserve it for family.

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number affected, the severity of impact, and their legal status (e.g. the RPF guidelines apply also to those with ill-defined or no title to the land).

The RPF provides special attention to the needs of vulnerable groups among the PAPs, especially households with incomes below the national poverty line, including the landless, elderly and disabled, women and children, indigenous groups and ethnic minorities, and other historically disadvantaged.

The activities in the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini that are expected to have some land acquisition or restriction of access include the following: 1. Improvement works that will require re alignment causing a demand on neighbouring land 2. Drainage channels created that will create a demand for land to be acquired for disposal of flood water 3. Opening up new borrow pits (fill material) and other sources of construction materials such as building sand and water for works without making provisions for restoration 4. Construction of detours made to divert traffic and avoid rehabilitation in half width 5. Construction of access roads to new borrow pits to be opened up by the contractor and also access road to other sources of construction materials such as building sand and water for works 6. Development of spoil tipping sites including development of the access roads to these tipping sites 7. Creation of material storage sites (normally carrying stockpiles of road materials such as stone) and road equipment packing sites outside the established road reserve 8. Filling up of sections of wetlands to create diversions during road maintenance or expand the width of existing road sections

Although the exact nature and locations of probable areas of sub-project impacts are unknown, the following categories of PAPs will be used in identifying groups of PAPs for the purpose of determining impacts. • Project affected persons (PAPs) are individuals whose assets may be lost, including land, property, other assets, and/or access to natural and/or economic resources as a result of activities related to sub-project(s). • Project affected households are groups of PAPs in one household and where one or more of its members are directly affected by the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini. These include members like the head of household, male, and female members, dependent relatives, tenants, etc. • Vulnerable groups of people. From these households the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini will separately identify the vulnerable members, such as squatters, those who are too old or too ill; children; those stricken with HIV/AIDS; women; unemployed youth; etc. Households headed by women that depend on sons, brothers, and others for support are especially vulnerable. Similarly, households with elderly or seriously ill persons are eligible for additional support.

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that stage, OP 4.12 calls for the preparation of separate stand-alone Resettlement Action Plans (RAPs) consistent with the guidelines provided in this RPF. The following procedural guidelines will apply when it is determined that a RAP would be developed. (i) All potential PAPs should be identified (through a scoping exercise) and informed about their options and rights pertaining to compensation for land and assets to be acquired by the sub- project(s); (ii) PAPs must be consulted about land acquisition and compensation and offered technical and financial options, including the most economically feasible alternatives; and (iii) PAPs should receive reasonable compensation at full replacement cost for losses of assets and access attributable to the sub-project.

6.2 RAP Preparation The RAP will be prepared by the Contractor. The following guidelines will apply in the preparation of the RAP.

6.2.1 Screening A screening process will have to be conducted in order to generate a list of the number and types of infrastructure (including buildings or other structures) that sub-projects will construct that may potentially involve resettlement issues. This list will be presented and discussed with affected communities during a sensitization and consultation meetings. These consultations will be documented for each site (sub-project).

6.2.2 Socio economic Surveys As soon as the list (sub-projects) is approved by the responsible agency implementing the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini, a consultative and participatory process for preparing a RAP will be started, as follows: (i) A socio-economic survey will be completed to determine scope and nature of resettlement impacts. (ii) The socio-economic study will be carried out to collect data in the selected sub-project sites. (iii) The socio-economic assessment will focus on the potential affected communities, including some demographic data, description of the area, livelihoods, the local participation process, and establishing baseline information on livelihoods and income, landholding, etc.

Annex 3 describes the requirements for the RAP in detail. In general, the RAP contains the following information: (i) Baseline Census; (ii) Socio-Economic Survey; (iii) Specific Compensation Rates and Standards; (iv) Entitlements related to any additional impacts; (v) Site Description; (vi) Programs to Improve or Restore Livelihoods and Standards of Living; (vii) Detailed cost estimates and Implementation Schedule.

6.2.3 Consultation and Participatory Approaches The consultations must start during the planning stages when the technical designs are being developed, and at the land selection/screening stage. A participatory approach must be adopted to

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initiate the compensation process. The process therefore seeks the involvement of PAPs throughout the census for identifying eligible PAPs and throughout the RAP preparation process.

6.2.4 Determination of Eligibility It is envisaged that subsequent sub component activities will have minor and localized impacts particularly on land and cause minimal disruption in the pace of normal Socio-economic activities. Even where these impacts occur, they are likely to be temporary.

To ensure that resettlement costs are minimized, all alternative options will have to be critically examined before the key implementation decisions are taken and alternative sites that involve less or no resettlement should be considered especially where PAPs are eminent. This must be so particularly at the Trading centres and major towns dotting the corridor.

Fortunately most management, maintenance, rehabilitation and improvement works do not require much land and space and are not necessarily concentrated in one locality. In this case, minimizing resettlement should be very possible.

The process of assessing affected persons and determining the magnitude of impacts should be done within 30 days of the commencement of the project. Affected persons will be eligible for resettlement assistance if:

 They have formal legal rights to land (including customary and traditional rights recognized under the Laws of Uganda) and can produce satisfactory evidence of this;  They do not have formal legal rights to land, but have a claim to such land or assets provided that such claims are lawfully recognized in Uganda or become recognized through a process identified in the RAP.  They have no legal or traditional claim to the land, but are occupying or using the land prior to the cut-off date.

6.2.5 PAP notification and cut-off date All eligible PAPs must be informed about the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini and the RAP process. In accordance with OP 4.12 and for each sub-project activities under the NECRAMP, a cut-off date will be determined, taking into account the likely implementation schedule of the activities. A cut-off date is established as part of determining PAPs eligibility. . To ensure consistency between Ugandan legal requirements and WB policies, this cut-off date should be the date of notification to owners/occupiers as provided under the Lands (land act) Act, 1995, where acquisition of land is involved. The cut-off date is enforceable once the census and assets inventory for persons affected by the project is completed and a Development Order restricting development of enumerated assets and property is issued. Persons occupying the project area after the cut-off date are not eligible for compensation and/or resettlement assistance. Similarly, fixed assets (such as built structures, crops, fruit trees, and woodlots) established after the date of completion of the assets inventory, or an alternative mutually agreed on date, will not be compensated. The contractor will bring on board the Local governments to ensure that the cut off date is respected and enforced.

The RAP team must notify PAPs about the established cut-off date and its significance both in writing and by verbal notification delivered in the presence of all the relevant stakeholders. Sufficient

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publicity within acceptable media must be provided to raise awareness of the cut off date and the implications of not respecting it.

Census-takers must provide affected people documentation that confirms their enumeration (identity cards or a witnessed copy of the survey endorsed by the household head). Proof of enumeration precludes an influx of people into the project area after the cut-off date. Although concessions should be made for enumerator errors and omissions, as a rule people moving into the project area after the cut-off date should not be entitled to assistance. The RAP team must nevertheless accommodate individuals or groups who are not present at the time of registration but who have a legitimate claim to membership in the affected community. Such groups might include absent family members engaged in migrant wage labour or nomadic pastoralists who use local resources on a seasonal basis. If there is a significant time lag between the completion of the census and implementation of the RAP, resettlement planners should make provision for population movements as well as natural population increase and expansion of households, which may include a repeat census

In special cases where there are no clearly identifiable owners or users of the land or asset, the RAP team must notify the respective local authorities and leaders. A “triangulation” of information – affected persons; community leaders and representatives; and an independent agent (e.g. local organization or NGO; other government agency; land valuer) – may help to identify eligible PAPs.

6.2.6 Documentation and verification of land and other assets The government authorities at both national and local levels; community elders and leaders; representatives from the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini will arrange meetings with PAPs to discuss the compensation and valuation process. For each individual or household affected by the sub-project, the RAP preparation team will complete a Compensation Report containing necessary personal information on the PAPs and their household members; their total land holdings; inventory of assets affected; and demographic and socio-economic information for monitoring of impacts. This information will be documented in a Report, and ideally should be “witnessed” by an independent or locally acceptable body (e.g. Resettlement Committee). The Reports will be regularly updated and monitored.

6.2.7 Compensation and valuation Compensation will be paid only to those persons:

1. Who prior to the commencement of the project, have evidence of ownership or occupancy of the land of at least 30 days within the period of commencement of the project;

3. Who have property (a house, crops or thriving business enterprise) situated in the area identified for development;

4. With household members who derive their livelihood from the advantage of location and proximity to other Socio-economic facilities provided by the current settlement.

Some impacts may be defined as non-compensate -able, or as compensate-able with a generic payment – minor strips of land of a meter or two along a road to be widened in a non-farmed area, for example. Cash payments may be more acceptable when losses constitute a very small fraction of incomes, than when the income source (or residence plot) is so compromised that the entire holding

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or structure should be replaced. Defining the treatment to be applied to the major variations of all the main types of impacts eliminates the need to negotiate these issues for each subproject

As a principle, exercising transparency and garnering the confidence of affected persons must be upheld. Affected persons must be invited to participate throughout the various stages of the planning and implementation of the resettlement activities. Particular care must be taken to ensure that the interests of vulnerable groups such as women and children, widows, the disabled, the elderly and the sick are appropriately addressed. They must be involved and approaches to solicit their participation use to capture their interests and concerns.

All types of compensation will be clearly explained to the individual and households involved. These refer especially to the basis for valuing the land and other assets. Once such valuation is established, the Uganda National Roads Authority will produce a Contract or Agreement that lists all property and assets being acquired by the sub-project and the types of compensation selected. Table 6 -I below provides a summary of entitlements that are eligible for compensation. These options include in-kind (e.g. replacement housing) and cash compensation. All compensation should occur in the presence of the affected persons and the community local leaders.

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Table 6.1: Entitlement Matrix Land and Assets Types of Impact Person(s) Affected Compensation/Entitlement/Benefits

Agricultural land Cash compensation for affected land Farmer/ title holder Cash compensation for affected land equivalent to replacement value at prevailing market equivalent to market value rates Less than 20% of land holding affected Tenant/ lease holder Cash compensation for the harvest at prevailing market rates or product from the affected Land remains economically viable. land or asset, equivalent to average market value of last 3 years, or market value of the crop for the remaining period of tenancy/ lease agreement, whichever is greater. Greater than 20% of land holding lost Farmer/ Title holder Land for land replacement where feasible, or compensation in cash at prevailing market rates for the entire landholding according to PAP’s choice. Land does not become economically viable. Land for land replacement will be in terms of a new parcel of land of equivalent size and productivity with a secure tenure status at an available location which is acceptable to PAPs. Transfer of the land to PAPs shall be free of taxes, registration, and other costs.

Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature )

Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature ) Tenant/Lease holder Cash compensation at prevailing market rates or equivalent to average of last 3 years’ market value for the mature and harvested crop, or market value of the crop for the remaining period of tenancy/ lease agreement, whichever is greater.

Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature

Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature )

Relocation assistance (costs of shifting + allowance).

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Land and Assets Types of Impact Person(s) Affected Compensation/Entitlement/Benefits

Commercial Land Land used for business partially Title holder/ business Cash compensation at prevailing market rates for affected land affected owner Opportunity cost compensation equivalent to 5% of net annual income based on tax records Limited loss for previous year (or tax records from comparable business, or estimates where such records do not exist). Assets used for business severely Title holder/business Land for land replacement or compensation in cash according to PAP’s choice. Land for affected owner land replacement will be provided in terms of a new parcel of land of equivalent size and market potential with a secured tenure status at an available location which is acceptable to If partially affected, the remaining the PAP. assets become insufficient for business purposes Transfer of the land to the PAP shall be free of taxes, registration, and other costs.

Relocation assistance (costs of shifting + allowance)

Opportunity cost compensation equivalent to 2 months net income based on tax records for previous year (or tax records from comparable business, or estimates) Business person is lease holder Business person is Opportunity cost compensation equivalent to 2 months net income based on tax records for lease holder previous year (or tax records from comparable business, or estimates), or the relocation allowance, whichever is higher. Relocation assistance (costs of shifting)

Assistance in rental/ lease of alternative land/ property (for a maximum of 6 months) to re- establish the business.

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Land and Assets Types of Impact Person(s) Affected Compensation/Entitlement/Benefits

Residential Land Land used for residence partially Title holder Cash compensation at prevailing market rates for affected land affected, limited loss Rental/lease holder Cash compensation at prevailing market rates equivalent to 10% of lease/ rental fee for the Remaining land viable for present use. remaining period of rental/ lease agreement (written or verbal) Title holder Land for land replacement or compensation in cash according to PAP’s choice.

Land for land replacement shall be of minimum plot of acceptable size under the zoning law/ s or a plot of equivalent size, whichever is larger, in either the community or a nearby resettlement area with adequate physical and social infrastructure systems as well as secured tenure status.

When the affected holding is larger than the relocation plot, cash compensation to cover the difference in value.

Transfer of the land to the PAP shall be free of taxes, registration, and other costs.

Relocation assistance (costs of shifting + allowance) Land and assets used for residence Rental/lease holder Refund of any lease/ rental fees paid for time/ use after date of removal severely affected Cash compensation at prevailing market rates equivalent to 3 months of lease/ rental fee Remaining area insufficient for Assistance in rental/ lease of alternative land/ property continued use or becomes smaller than Relocation assistance (costs of shifting + allowance) minimally accepted under zoning laws Buildings and Structures are partially affected Owner Cash compensation at prevailing market rates for affected building and other fixed assets structures Remaining structures viable for continued use Cash assistance at prevailing market rates to cover costs of restoration of the remaining structure Rental/lease holder Cash compensation at prevailing market rates for affected assets (verifiable improvements to the property by the tenant). Disturbance compensation equivalent to two months rental costs

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Land and Assets Types of Impact Person(s) Affected Compensation/Entitlement/Benefits

Entire structures are affected or Owner Cash compensation at prevailing market rates for entire structure and other fixed assets partially affected without depreciation, or alternative structure of equal or better size and quality in an available location which is acceptable to the PAP. Remaining structures not suitable for continued use Right to salvage materials without deduction from compensation

Relocation assistance (costs of shifting + allowance)

Rehabilitation assistance if required (assistance with job placement, skills training) Rental/lease holder Cash compensation at prevailing market rates for affected assets (verifiable improvements to the property by the tenant)

Relocation assistance (costs of shifting + allowance equivalent to four months rental costs)

Assistance to help find alternative rental arrangements

Rehabilitation assistance if required (assistance with job placement, skills training) Squatter/informal Cash compensation at prevailing market rates for affected structure without depreciation dweller Right to salvage materials without deduction from compensation

Relocation assistance (costs of shifting + assistance to find alternative secure accommodation preferably in the community of residence through involvement of the project

Alternatively, assistance to find accommodation in rental housing or in a squatter settlement scheme, if available)

Rehabilitation assistance if required assistance with job placement, skills training)

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Land and Assets Types of Impact Person(s) Affected Compensation/Entitlement/Benefits

Standing Crops Crops affected by land acquisition or PAP (whether owner, Cash compensation at prevailing market rates equivalent to average of last 3 years market temporary acquisition or easement tenant, or squatter) value for the mature and harvested crop. Trees Trees lost Title holder Cash compensation at prevailing market rates based on type, age and productive value of affected trees plus 10% premium. Temporary Temporary acquisition PAP (whether owner, Cash compensation at prevailing market rates for any assets affected (e. g. boundary wall Acquisition tenant, or squatter) demolished, trees removed).

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6.2.8 Disclosure arrangements This RPF will be disclosed in compliance with relevant Ugandan regulations and the World Bank Operational Policy OP 4.12 on Involuntary Resettlement and with the review and approval of the World Bank. The RPF will be disclosed through the media as seen appropriate. The UNRA will have to ensure that the contractor prepares RAPs for all NECRAMP sub projects resulting in involuntary Resettlement. To comply with the World Bank’s policies on environmental assessment of projects and disclosure of information, UNRA will ensure that copies of the RPF - along with all other documents related to NECRAMP’s environmental assessment - are submitted to the World Bank InfoShop. Through the World Bank InfoShop, the RPF report will be disclosed for at least 60 days to allow the public and all interested and affected parties access to review and submit their comments and concerns about the RPF. After the World Bank’s approval of the RPF, UNRA must ensure that the RPF is available throughout the project area. To this end, UNRA may be required to prepare summaries of the RPF in local languages for distribution to accessible points within the project area.

Once a contracted as prepared a RAP and had it appropriately approved for implementation, a ‘Verification and Disclosure team ” will have to be constituted which includes the Sociologist from the Contractor’s team, the respective LC 1 Chairpersons; District Land Officer and the respective Town Clerk where applicable. Adverts and public announcements will be made to mobilize PAPs for disclosure. The adverts and public announcements will stipulate the time, venue and which PAPs will be attended to by village. All affected persons will be invited to be verified before disclosure. At verification, identification of affected stakeholders and PAPs to be paid compensation is based on the Valuation Report approved by the CGV. One has to prove identity by showing all or some of the following: - ID Card, Passport, Voters Card, Driving Permit, and Two Passport Photos. The identification procedure is carried out locally (at prominent locations within the project area) and in the presence of local leaders during widely publicized verification sessions. Each PAP will be issued with a formal verification form, signed by a designated representative of the contractor and witnessed by the Town Clerk and the LC chairpersons and, for those who are successfully verified, a disclosure form will be issued indicating the amount of compensation due. Forms of agreement against payments will be filled after verification and all parties involved will sign a compensation certificate. Signatories to the compensation certificate will include: the recipient, Local Council representatives, member of the Parish Land Committee and a UNRA representative.

6.2.9 Community payments It is not anticipated that implementation of the North Eastern Corridor Road Asset Management Project Tororo, Mbale, Soroti, Lira to Kamdini will take land and other assets belonging to a community, such as a community center, school, or sacred site. However, where this occurs, the community (as a whole) will be compensated. This compensation will be in the form of reconstruction of the facility (in case of damages) or replacement at least the same standard or equivalent or better standard required by local planning regulation. Examples of community compensation expansion of grazing grounds; rehabilitation of school buildings, public toilets, health facilities; installation of wells or pumps; creation of market places; and reconstruction of community roads.

6.2.10 Grievance mechanism The sub-project RAP team will establish an independent grievance mechanism. The procedure for management of appeals will be as follows:

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a) The Contractor will constitute a Grievance management Committee that will comprise of a LC representative from the village from whence the aggrieved party comes from as well as the respective members of the Land Committee, the Sub county Assistant Secretary and an opinion leader from the locality.

b) Based on an information dissemination and publicity system acceptable within the locality, all PAPs will be informed about how to register grievances or complaints, including specific concerns about  Flaws in the consultation process  Noise and pollution  Roads and traffic  Access to natural resources  Access to project benefits (e.g., no or insufficient jobs created for local communities)  Compensation and relocation  Access to land, land acquisition, and resettlement  Influx and in-migration of workers  Access roads and heavy traffic  Security forces  Indigenous peoples etc, . c) The PAPs should also be informed about the dispute resolution process. This information should include the following:

 Who can raise complaints (affected communities),  Where, when, and how community members can file complaints  Who is responsible for receiving and responding to complaints, and any external parties that can take complaints from communities ,  What sort of response complainants can expect including timing of response ,  What other rights and protection are guaranteed and;  How the disputes will be resolved in an impartial and timely manner.

d) All PAPs with grievances must fill out a Grievance and Resolution form (see sample in Annex 4) formally routed through local and sub-county leaders.

e) All incoming grievances should be acknowledged as soon as possible, properly filed and a formal confirmation with a complaint number, or other identifier, and a timeline for response provided.

f) The Grievance management Committee on receipt of the grievance resolution form must within 30 days investigate the grievance. Depending on the circumstances of the complaint, various units or departments may need to get involved, including senior management if their direction and decision is required by the established procedures and division of responsibilities. To begin this process, the team must establish the nature of the grievance to determine the measures needed for review and investigation. A judgment will be taken and an appropriate response will be made and addressed to the complainant in writing indicating the course of further action.

g) The Grievance management Committee will notify relevant authorities on the action needed to be taken based on its assessment of the case to ensure that the complainant’s issues are addressed.

h) Overall, the Grievance Management Procedure will involve a four stage process and constitutes the main responsibility of the Grievance management Committee i.e.:

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 Establishment of a Grievance Management & Care centre to which all complaints will be submitted by the respective complainants.  Administrative review at project level (involving land surveyors and valuers) of filled out Grievance forms based on the action recommended by an Grievance management Committee;  Area Magisterial Court of competent jurisdiction and The High Court to resolve issues that are beyond the capacity of the Appeals Management Tribunal to handle.

The RAP Team must closely track grievances and ensure that aggrieved parties understand the decisions made or abide by the action and decision made. The team will produce a Report containing a summary of all grievances. If needed, the dispute resolution process should include Ugandan Courts of Law, but traditional institutions can be an effective first step in both receiving and resolving grievances.

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7 Implementation Schedule and Costs

1. At this stage, is not possible to provide an estimate of the number of persons and property to be affected because the final design of the final design of the road is not yet determined. . However, the final designs of the road and the RAP preparation will be undertaken by a consultant to be procured by UNRA. The prepared RAP will be reviewed and issues verified by an independent consultant prior its actual implementation. The budget will cater for the following resettlement costs/activities: Costs of RAP preparation and review

2. PAP Resettlement costs

3. Livelihood restoration activities and:

4. Miscellaneous administrative expenses

The financing of the RAP preparation and implementation activities is a responsibility of of the Government of Uganda/Ministry of Finance, Planning and Economic Development (MoFPED), managed by UNRA the implementing agency. UNRA will ensure that the RAP Compensation and resettlement costs are appropriately reviewed and approved by the Office of the Chief Government Valuer before passing it to the contractor for administration. RAP costs are part of counterpart funding from the GoU/UNRA and will be incorporated into the overall NECRAMP Contractors budget.

The resettlement cost for NECRAMP, and compensation budget is approximated not to exceed USD 13, 000,000. The estimates are based on the RAP costs for recent and on-going road projects in North and Eastern Uganda. On average, USD 4,000,000 is spent for 100km road section, which has some urban centres along the its section. The main costs may be related temporal land acquisition and probable impacts to some community infrastructure. Given that the resettlement cost is an estimate, the GoU commits to take the responsibility to meet any variances that may arise. In estimating the RAP costs the following other issues have been put into consideration:

1. The projects is to be implemented on an already existing road alignment and will take a linear dimension of acquisition. It will also minimise road width in urban areas and or aquire/align on one side of the growth centres (urban areas) to avoid huge compensation costs for structures, relocation and other properties

2. There will be minimal disruption of livelihood activities due the linear nature of the existing road project s tretch. Moreover, agriculture is the main source of livelihood with a few mobile markets along the road stretch. While a number of people will lose small pieces of land near the road and will require compensated for the loss, they will not have to relocate or even change sources of livelihood.

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8 Public Consultation and Disclosure Plan Public consultations in relation to the RAP occur at all stages, starting with inception and planning when the potential lands and alternative sites are being considered. A participatory approach is adopted as an on-going strategy throughout the entire project cycle.

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 sub-project are made; RAP implementation of activities; and during the monitoring and evaluation process. Selection of ways to consult, and expand participation by PAPs and other stakeholders, will take into consideration literacy levels prevalent in affected communities; ethnicity and cultural aspects; and practical conditions (like distance).

8.1 Data Collection Phase Consultations during preparation, in particular, the collection of background information, and the social survey or social assessment, are critical for successful data collection. The levels of consultation will vary from households to community groups, based on the particular context of the sub-project(s). The RAP 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 centres, and agricultural cooperative unions are usually good sources for establishing the community baseline situation.

8.2 Implementation Phase During implementation, PAPs will be informed about their rights and options. The grievance mechanism will continue to operate and all grievances will be recorded. The participation of local leaders and PAPs in disseminating information and resolving disputes will be important once RAP implementation starts. A dynamic participatory approach involves PAPs in decision making about livelihood and community development programs.

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8.3 Monitoring and Evaluation Phase The planning and implementation of the RAP will be based on the principle of full involvement of the PAP’s in all project planning and implementation activities in cooperation with the project implementing bodies. This participation will be gender sensitive, ensuring equal involvement of men and women, and paying special attention to the poorest and most vulnerable households. As the majority of the PAP’s are low income earners (poor people), all the project components will be implemented in a poverty sensitive way, aimed at poverty reduction. The continuous internal and external monitoring of the progress of various project activities will ensure that these principles are realized throughout the Project.

PAPs representatives will participate in the sub-project workshops at mid-term and at the end of RAP implementation. To the extent possible, the RAP should include social accountability tools like citizen report cards to assess the quality of RAP implementation, and in some cases, assist the RAP team in tracking expenditures. The latter would be significant in helping PAPs with money management and restoring their livelihoods. PAPs will be able to suggest corrective measures, as needed, to improve RAP implementation in the sub-project(s). Prior to closing the RAP, PAPs will participate in a feedback survey as part of the RAP’s independent impact evaluation exercise.

The UNRA Social Safeguard team will ensure that Monitoring and Evaluation of the implementation of the Resettlement Action plan is effectively handled. Thorough explanation and sensitization must be provided to the PAPs in order for them to understand that they may approach the team in the event of any complaints.

The key areas for monitoring will amongst other areas, include the following:

Consultation and participation: Monitor the participatory process and various mechanisms as well as measures taken, both in terms of the quality and meaningfulness of this process, and the extent that primary stakeholders actively participate in the process, and if the measures implemented meet the absorptive capacity of the PAP’s. This monitoring will be partly undertaken at village level groups meetings as part of the social mobilization activities.

Transparency: Monitor how information is distributed and to whom, in order to make sure that all PAP’s have the proper information and access to knowledge. Related to this is the functioning of decision-making bodies and how this information is properly recorded and made available to the population as a whole.

Disclosure and Enforcement of the cut off date: Monitor the disclosure of the updated and detailed plans to affected people for the cultural and language appropriateness of the disclosure methods, and whether the cut off date is being enforced, the affected people know their entitlements and know whether they have received all of their entitlements.

Gender: Monitor and assess (i) the designed institutional and staffing mechanisms, (ii) women’s representation and participation in the detailed planning and implementation process, (iii) gender inclusiveness; (iv) delivery of land titles in the presence of both husband and wife and; (v) that all compensation has been delivered to both husband and wife, together; (vi) the effectiveness of resettlement and livelihoods programs for restoring and developing women’s income and living standards.

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1. Vulnerable groups: Monitor the appropriateness of various entitlements, programs and activities and methods of delivery for various vulnerable households and groups, and the need for adjustment or additional measures

2. Poverty reduction: Evaluate the adequacy of the various activities for reaching the long-term sustainability and poverty reduction goals.

3. Grievance mechanism: Monitor the effectiveness of the grievance mechanism, types of grievances, if and how resolved.

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9 Monitoring and Evaluation of Impacts The RAP team will be constituted by the contractor to develop and implement a Monitoring and Evaluation Plan (MEP). The overall objective of the Monitoring and Evaluation plan is to ensure that after the project period all PAP’s have at least their pre-project level or better living, production, nutritional and health standards, and that the poorest and vulnerable households have been assisted to improve their social and economic status. The most vulnerable PAP’s must be assisted not only to restore their socio-cultural and economic life but they will be supported in various ways to improve their current living and production conditions after resettlement.

The focus of monitoring will be on evaluating if the Project will meet the set goals in different project phases and areas in:  Implementation of the physical delivery of compensation and inputs;  Carrying out livelihoods restoration and development; and  Effectiveness, in terms of restoration and development of PAP’s’ Socio-economic status.

The general targets of the M&E will be:

 To monitor the progress of project implementation (process and delivery in relation to the plans);  To monitor and measure whether the Socio-economic status and livelihoods of PAP’s are restored, and that vulnerable PAP’s have been assisted to improve their Socio-economic status;  To assess if all entitlements for compensation, rehabilitation measures, social support and gender sensitive action have been delivered, and assess the effectiveness of the measures in meeting the intended objectives;  To identify problems and constraints in order to make timely adjustments to plans

Based on the general targets of the M&E, the main indicators that the MEP will measure include: (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 RAP identifies 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).

Based on the specific stage in the RAP development and Implementation phase, the RAP team will have to adopt the reporting periods in Table 9-1 below:

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Table 9-1: Type and contents of reports within specific periods of the RAP Development and Implementation Phases

RAP Stage Type of Report Contents of Report

RAP Development Inception Report (i) Inception activities and implementation progress update (Within 1 -2 weeks of commencement) (ii) Approach and Methods for RAP development

(iii) RAP team mobilised and Tasks

(iv) RAP Development Execution work plan

(v) Quality Assurance Tools

Draft RAP Report As detailed out in Annexe 3 of this RPF (within 1 -2 months of commencement depending on No. of PAPs)

Final RAP Report (i) As detailed out in Annexe 3 of this RPF (within 2 weeks after the 60 days disclosure (ii) Enclosed copy of approval letter from the CGF and the at the World Bank UNRA Infoshop)

RAP Inception Report (1 (i) Inception activities and implementation progress update Implementation week on commencement (ii) Approach and Methods for RAP implementation

(iii) RAP team mobilised and Tasks

(iv) RAP Implementation Execution work plan

(iii) Quality Assurance Tools

Bi Weekly Reports (iv) Detailed Activity implementation process report;

(v) Outcome of the Consultation process with Minutes/Reports on Meetings held with PAPs

(vi) Compensation progress update against RAP Survey/Census Statistics

(i) Constraints, difficulties and proposals for recommendations for the way forward

(ii) Activities for the coming month divided into weeks or shorter units

Draft RAP (iii) Summary of Activities implemented indicating progress Performance/

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RAP Stage Type of Report Contents of Report

Accountability against cardinal indicators of the MEP Report (At least 80% of PAPs (vii) Analysis of probable impact of activities implemented to compensated/resettled both the objectives of the Land acquisition process and against Census given stakeholders involved in the RAP report (iv) Constraints, difficulties and proposals/recommendations for the way forward

Final RAP (v) Summary of Activities implemented indicating progress Performance/ against cardinal indicators of the MEP Accountability Report (at least 98% (viii) Analysis of probable impact of activities implemented to of PAPs both the objectives of the Land acquisition process and compensated/resettled stakeholders involved against census given in the RAP report) (vi) Constraints, difficulties and proposals/recommendations for the way forward

(vii) Evidence that all comments to Draft RAP Performance/ Accountability Report have been addressed

In order to effectively play an overseer’s role, the UNRA Social Safeguard team will carry out monitoring to ascertain and remedy any concerns that may arise in the following areas:

1) Consultation and participation: Monitor the participatory process and various mechanisms as well as measures taken, both in terms of the quality and meaningfulness of this process, and the extent that primary stakeholders actively participate in the process, and if the measures implemented meet the absorptive capacity of the PAP’s. This monitoring will be partly undertaken at village level groups meetings as part of the social mobilization activities.

2) Transparency: Monitor how information is distributed and to whom, in order to make sure that all PAP’s have the proper information and access to knowledge. Related to this is the functioning of decision-making bodies and how this information is properly recorded and made available to the population as a whole.

3) Disclosure: Monitor the disclosure of the updated and detailed plans to affected people for the cultural and language appropriateness of the disclosure methods, and whether affected people know their entitlements and know whether they have received all of their entitlements.

4) Gender: Monitor and assess (i) the designed institutional and staffing mechanisms, (ii) women’s representation and participation in the detailed planning and implementation process, (iii) gender inclusiveness; (iv) delivery of land titles in the presence of both husband and wife and; (v) that all compensation has been delivered to both husband and wife, together; (vi) the

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effectiveness of resettlement and livelihoods programs for restoring and developing women’s income and living standards.

5) Vulnerable groups: Monitor the appropriateness of various entitlements, programs and activities and methods of delivery for various vulnerable households and groups, and the need for adjustment or additional measures

6) Poverty reduction: Evaluate the adequacy of the various activities for reaching the long-term sustainability and poverty reduction goals.

7) Grievance mechanism: Monitor the effectiveness of the grievance mechanism, types of grievances, if and how resolved.

The UNRA will engage an independent monitoring Consultant (IMC) if necessary for purposes of external monitoring and evaluating implementation of compensation and resettlement activities. In establishing the unit, effort will be made to draw on personnel with resettlement and social development experience in Uganda. The IMC shall be appointed to monitor the resettlement and compensation process and implementation of requirements to verify that compensation, resettlement and rehabilitation have been implemented in accordance with this RPF and the agreed subproject RAPs. The IMC will also be involved in the complaints and grievance procedures to ensure concerns raised by PAPs are addressed. Alternatively, external monitoring of RAP will be provided by the World Bank who will monitor the entire process through regular reports and supervision missions.

The IMC will determine:

(i) If compensation payments have been completed in a satisfactory manner; and

(ii) If there are improvements in livelihoods and well-being of PAPs.

Several indicators are used to measure these impacts. These include, among others, a comparison of income levels before-and-after; access to livelihoods and employment; changes in standards of housing and living conditions; and improvements in level of participation in sub-project activities. There are measures to verify these basic indicators, such as number of children in-school (compared to pre-RAP levels); changes in health standards; and changes in access to markets or roads – all of which may reflect overall improvements in standards of living.

The following methods will be used for measuring impacts:

(i) Questionnaires with data stored in a database for comparative analysis (before-after and with- without);

(ii) Documentation and recording of PAPs situation, including subsequent uses of assets/improvements;

(iii) Relocation/resettlement and Compensation Reports, including status of land impacts; percentage of individuals selecting cash or a combination of cash and in-kind compensation; proposed use of payments;

(iv) Number of grievances and time and quality of resolution; and

(v) Ability of individuals and families to re-establish their pre-resettlement activities, in terms of improvements in land and crop production, and/or presence of other alternative incomes.

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The RAP team will maintain, together with local officials, basic information on all physical or economic displacement arising from the sub-project. This includes an update, for example on a quarterly basis, of the following:

(i) Number of sub-projects requiring preparation of a RAP;

(ii) Number of households and individuals physically or economically displaced by each sub- project;

(iii) Length of time from sub-project identification to payment of compensation to PAPs;

(iv) Timing of compensation in relation to commencement of physical works;

(v) Amount of compensation paid to each PAP household (if in cash), or the nature of compensation (if in kind);

(vi) Number of people raising grievances in relation to each sub-project;

(vii) Number of unresolved grievances.

The UNRA Social Safeguard team will review these statistics to determine whether the RAP implementation arrangements, as defined in this RPF, are effective in addressing RAP related issues. Financial records will be maintained by the sub-projects and the UNRA Social Safeguard team, to determine the final cost of RAP implementation. The following indicators (in Table 9-2) can be used to monitor implementation of the RAP.

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Table 9-2: Indicators RAP Impacts Monitoring (of Issues) Evaluation (of Impacts)

Number of compensation (and valuation) not Changes (+/-) in PAPs conditions during transition completed process Number of sub-projects unable to settle compensation Changes (+/-) in PAPs income and livelihood after two years conditions Number of grievances filed Quality of grievances or disputes resolved (qualitative) Number of livelihood restoration programs completed Changes (+/-) in affected households income levels Pre project production versus present production levels Equal or improved production per affected ( crops for crops, land for land) household/homestead

Annual Audit. The annual audit of RPF implementation, and as applicable RAP implementation in sub-project(s), includes: (i) a summary of RAP performance of each sub-project; (ii) a compliance review of RAP implementation process; and (iii) a progress report on the quality of RAP implementation in terms of application of guidelines provided in this RPF.

The audit will verify results of monitoring of RAP implementation indicators, and assess whether the project achieved the resettlement objectives. A specific measure of whether livelihood and living standards have been restored or enhanced will be completed. The audit will also assess the efficiency, effectiveness, impact, and sustainability of RAP sub-project activities. The aim is to learn lessons for application to future sub-projects or other projects in the sector and in the country. Finally, the audit will ascertain whether the resettlement entitlements were appropriate, as defined in the RPF guidelines.

Socio-Economic Assessment. The purpose of socio-economic assessment, which is part of the evaluation process, is to ensure that PAPs livelihood and wellbeing have improved, and have not worsened as a result of the sub-project. An assessment will be undertaken on payment of compensation, restoration of income and livelihoods, and provision of sufficient community development activities. Monitoring of living standards will continue after resettlement. Additionally a reasonable period (usually two years) must be established for monitoring post-resettlement impacts. A number of indicators will be used for measuring status of affected people.

Most socio-economic assessments use surveys, focus group meetings, and participatory appraisal tools for measuring impacts. A separate assessment must be made for each sub-project. Additionally, since a baseline household survey was completed during RAP preparation, the end-RAP assessment can measure changes from this baseline.

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Annex 1: Outcome of Consultation Meetings Held along the Road Corridor

Date/Stakeholders met Summary of stakeholder Concerns raised during the consultations

3rd October 2013, Meeting  Lamented on the public inconvenience arising from the works with District Technical done by Dott Services in Tororo Municipality and its environs Staff and Political Leaders  Dust along the road during construction activities needs to be minimized as it is a cause of ill health as well as destroying the food markets found along the road side  Construction activities that result into stagnant water provide mosquito breeding grounds. The contractor must ensure that this is avoided  Neglect to maintain road sections make them dangerous spots for accidents particularly for heavy trucks  Maintenance works done without consideration of other facilities within the road reserve such as telecommunication cables and electricity poles expose them to damage destroying lines  The contractor responsible for road maintenance must ensure that he/she plants trees to manage the environment besides the road corridor.  Contractors must as part of social responsibility, support promoting business along the road. There are markets and trading centers without proper infrastructure. The contractor should help develop them (Molo as an example)  There is need to provide resting places for long distance drivers and passengers along the road. These resting places need to have accommodation facilities.  Tororo needs a by-pass (not to pass through the senior quarters) on the way to Mbale – Southern Sudan. This is because the road through Tororo senior quarters was not meant for heavy traffic. Now it has been damaged by heavy trucks. Another bypass is also necessary through Busia.  Tororo is a hub for building materials. Tororo district should be allowed to start taxing contractors for the use of materials found in the district.

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Date/Stakeholders met Summary of stakeholder Concerns raised during the consultations

 Some mild humps need to be put similar to those done at Malaba to curb accidents.  Quarrying is at the Mbale side and also in Busitema. Quarry sites should also be put in Tororo to allow the people gain employment  In other areas, communities have been compensated for land within the road reserve. This must be emulated in Tororo, Mbale to Soroti road sections  Because of the poor condition of the Tororo to Mbale road, the two districts have lost marketing opportunities with Mbale. Some community members have also pulled out their vehicles from operating along this road due to the high cost of repairs.  Road maintenance is necessary to minimize accidents.  The contractor should endeavour to limit dust during maintenance works. Dust is polluting markets along the road rendering food sold unhygienic. As result some markets have moved a little inland.  People have encroached and made difficulties in creating road reserve. (Community know that they are already on the road reserve. No crops affected.)  Excavation of murram is done half hazardly without returning surface soil  The Contractor does not want to give employment to local people.  Involvement of women has not taken place. Recruit local people into the contract (1/3 of women). Women can mix tarmac, cook, clean/sweep the tarmac. Flag bearing/traffic control.  Schools have not been affected because they are a distance away from the road)  Water pipes were affected only on Malaba – Jinja. This has not happened here on this road).  The drainage systems lead water into people’s land affecting their crops and land.

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Date/Stakeholders met Summary of stakeholder Concerns raised during the consultations

 Overloading and crop destruction).  The quality of works on the Tororo to Mable road looks rather poorer compared to Jinja – Malaba. Is it possible to ensure that these roads have the same quality since they carry heavy traffic  Where there are adjoining roads, no provision is made for drainage. As a result, roads joining the main road are disconnected by flood water making approach difficult.  Sidewalks need to be catered to ensure that access is available for people with disability.  The road needs to be marked to allow it be very visible (signage)  Cattle crossings, children crossings (zebra crossings) and humps must be placed on the road to enhance safety  It is important to make the road wide to minimize road accidents  Where road works are to commence, sensitization needs to be given to road side communities and the district leadership.  Roads with contractors coming from the centre present a by gap between local authorities and contractors (example of Malaba – Jinja). The contractor is detached from the district authorities and does his own thing (local authority is left toothless).  Nobody has communicated to local authorities over orders that the contractors must adhere to  Murram burrow pits are not restored (not adequately done). Certification of works must be reviewed to include approval once the contractor has restored the borrow pits.  Rice Cultivation by communities is making road maintenance where the culverts are installed difficult as they block once side of the culverts to irrigate their fields causing water logging and destabilizing the culvert foundation  UNRA station office does not work with local authorities and yet the local authorities are the ones who take the

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Date/Stakeholders met Summary of stakeholder Concerns raised during the consultations

consequence of poor roads in terms of risks to community safety and poor health  The contractor does not pour water on the road surface to minimize dust. As a result, road side communities and road users have to suffer dust  The bridges along the road are not good.  The Tororo Mbale section constitutes the economic hub for Tororo. Here are found some of Tororo’s most productive areas Molo, Kwapa and Mirikit which supply matooke, fish orange, pineapples, maize, and timber from domestic plantations to markets through this road.  Mbale also supplies matooke to Tororo through this area. It is therefore important to have this road maintained well to enhance the productivity of this area 04th October 2013, Mbale  Most sections of the Tororo to Mbale and Mbale to Soroti district have seen an increase in heavy truck particularly destined for northern Uganda and the Southern Sudan. The state of roads within this corridor is very poor and unsafe for communities along the road corridor.  Because the tarmac surface has been destroyed, there is a lot of dust related to the current works. There is already social unrest arising from this causing rioting  Within the Municipal council of Mbale, there is a lot of pedestrian traffic. And yet, today most of the heavy trucks pass in the centre of the town through the clock tower. Pedestrians – the first five to ten dams are urban areas. A lot of pedestrians traffic (motorcycles, bicycles)  Tarmac in Mbale was put in 1954 to last 20 years. The design and drainage was meant for a small population with light traffic. No rehabilitation works have been done since then. Over the years, thus has changed and complicated both the state of the roads and the drainage system  Mbale Municipal Council made a bye – law that heavy trucks should not pass through the business district. Unfortunately due to the absence of a suitable alternative for

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Date/Stakeholders met Summary of stakeholder Concerns raised during the consultations

the heavy trucks, this has not been enforced  Due to heavy traffic, Mbale now has no safe walk ways as these are also sometimes shared with boda bodas due to increase in traffic  The road corridor stops outside the civil centre. No provision for rehabilitation for the roads within the municipality has been catered for. Roads are potholed. (recommend diverting the road from the town possibility from Bugema to Bugwere road (Namakwekwe) through Nabunyonyi – through NFA land  There are no forums for districts to district to discuss issues related to the road corridor with UNRA. Planning under UNRA is half hazard. Upgrade of roads does not have local input. Existing laws, Road Fund Act 2008 completely puts away local stakeholders (UNRA is absent in this act.)  The contractor for the main road is supposed to make the road accessible and motor able while works proceed as well as provide access way linking to the corridor. This is not done as a result, current works have made access to the following roads dangerous for traffic: Bugema – Doko Buwalula; Nabumali, Busoba – Bukiyende; Busoba – Mahai, Busiu; Namawanga, Lwaboba – Busiu town council and Nkoma Makudunju, Nakaloke – Namunsi  The Population density in Mable is over 905 persons per sq. km. People here own less than one acre of land. Everywhere is cultivated; enforcing road reserves is very challenging. The challenge can be possibly exhibited even where the existing road is.  Cultivation allows silting into the drains causing flooding. This can only be eliminated by people stopping cultivate up to the end of the road. People may need to be compensated to leave the road reserves to allow access  Environment concerns must be embedded into the contract document for the contractor to ensure that his performance and works certification captures this,

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Date/Stakeholders met Summary of stakeholder Concerns raised during the consultations

 The Contractor need to have environment specialists in their camps.  1) Burrow pits: Rehabilitation and certification processes have not involved the district.  Complaints (1) burrow pit left open.  2) Access roads have been destroyed by contractors works  3) The contractors destroy crops and the drainage channels also render farmland infertile. And yet no compensation is paid for this.  - The EMP generated by the contractors need to disseminated to local authorities to enhance monitoring. The EMP should become a public document. Local governments should be facilitated to handle the environment audit function and enhance the role the role of the District Environment Officers in the contractor’s works. Usually, no resources are available for conducting follow-up. It would be useful to explore NEMA relationship with UNRA. There are regional UNRA offices. Can this link with Environment Officers? The District budget conferences can be used to share information and ensure that UNRA regional officer are strengthened by support from environment officers to take on their responsibility.  4) Communities and local authorities need to be engaged, informed and their participation enlisted in managing road related environment concerns. This consultation does not take place at road construction/implementation level.  5) Issues affecting the livelihoods of the communities are ignored once road construction begins. One such example is the issue of dust and yet there are several livelihoods activities along the road. This must be taken care of  6) Dumping s– off cuts, spoil materials – find themselves in the wetlands. Fleet operators need to be controlled and guided and suitable dumping sites if the contractor cannot acquire land for this purpose.  7) Compensation must be made more meaningful since

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Date/Stakeholders met Summary of stakeholder Concerns raised during the consultations

offset of livelihood issues is involuntary. –There are people whose business is on the roadside. These must be catered for. There is a need to regularly update district compensation rates to ensure that this is achieved. Resettlement issues arising from the need to widen the road must compensate those on the road side as well  8) No specific measures have been indicated relating gasses emitted from equipment in use (Carbon credit activities). 10/10/2013 Lira District  Specific care needs to be taken to ensure that silting into the wetlands is mitigated. Burrow silt materials are sometimes dumped into the wetland (infilling the wetland). Sometimes this material is given to the communities to fill the swamps. (Ignoring the environment requirement to have them placed in specific dumping sites).  Future road maintenance must allow resident districts to supervise environment issues.  Servicing the equipment, poor management of oils and oil wastes are polluting the swamp water (health hazards).  HIV/AIDS came on board during the interface with communities.  Contractors are brought on board without informing the host populations and local authorities. There is no sensitization.  Replacement of trees needs to be done (for the Lira level)  The roads have been raised and yet trading centres are low causing flooding  People compensated – no enforcement done to ensure that people are evicted (this needs to be tackled).  China Road and Bridge services took the Lira to Soroti road and Dott Services the road to Kamdini. The quality of the two roads. The issue of road quality needs to be seen.  The issue of signage differ from Tororo - Mbale to Soroti from Lira to Kamdini. The experience and quality of workmanship.  The District engineering department must be involved from the beginning of the project to end during implementation.

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Date/Stakeholders met Summary of stakeholder Concerns raised during the consultations

5th/11/ 2013, Soroti  The Quarry site at Oculoi was a source of livelihood for the people around it. During construction of the Soroti to Lira road, the contractor stopped the local community from this source of livelihood. During quarrying, a lot of dust was generated polluting the environment. It is important for contractors to minimize this dust and also allow livelihood activities continue. In one incident an explosive went off and maimed a child at Oculoi. No compensation was done. Trees and grasslands need to be protected. The trees and land was not valued for compensation  There has been siltation in Awoja arising from bridge works.  Basically there has been no working relationship between local district authorities and UNRA  There are NFA forest reserves along the road corridor that must be protected (Kachung and Kumi).  Within many of the settlement along the road corridor, improved oranges and mango plantations (NARO) multiplication sites) can be seen. These take time to grow and must be protected if farmers have to gain from them. Contractors must bear this in mind and stop littering the environment and polluting it with dust. This can result into production loses for farmers Settlement and cropping up along the roads. 6/11/2013, Kumi  The delayed completion of the construction works along the road corridor has resulted into high maintenance cost on vehicles, safety measures are not well achieved exposing drivers/road users to accidents  Diversion of traffic to district roads has led to heavy trucks destroying the district roads. In Kumi the diversion was made along the district administration building raising dust and inconveniencing those offices.  Access culverts have not been placed for roads joining the main road. This should be one of the first things that the contractor must do to ensure that he reduces the difficulty of joining main roads.

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Date/Stakeholders met Summary of stakeholder Concerns raised during the consultations

 The districts are closer to the road corridor. Absence of operational linkage between UNRA and the districts must be addressed to allow rapid response to issues that arise along the corridor.  Kumi has district road committees (Area MPs, LC V chairman, CAO, District Engineer – as secretary and secretary works) discuss all issues affecting public roads. The role of the committee is to act as link between community and road users to the Road Fund. This committee is not being exploited by contractors and UNRA.  There are some S-curves particularly as you approach Kumi from Bukedea. This needs to be straightened to improve driver visibility and enhance safety.  There should be special treatment of sections where humps are put to mitigate stress. Also the humps have become too many. (This is unnecessarily to many seen on the Soroti – Lira road.)  Land ownership is predominantly customary. Land use is dominantly for both Crops and livestock. People adjacent to the road corridor plough up to the road reserve. These are as a result of population explosion. This ploughing has affected the road through creating channels particularly as a result of pulling ploughs along the road sides.  Grazing areas are next to swamps. These include Abubum and Odero which house large numbers of animals. Silting of these swamps arising from road works may affect grazing activities as this will reduce on watering points  There are several Rural Growth centres along the road corridor whose populace needs to be protected from accidents. Humps are necessary at these points.  Also, Kumi has markets that attract populations along this route. Abata market (Every Saturday market), Atutur market (operating on Monday) and Koloin market. Safety of market goers must be factored in road maintenance works and safety concerns along the road corridor

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Date/Stakeholders met Summary of stakeholder Concerns raised during the consultations

 Rice growing communities block the drainage to avoid flooding their farmland. This affects the stability of the road sections.  Borrow pits are established within community land and left open, not restored posing a danger to communities. 6/11/2013, Bukedea  Bukedea has markets that attract populations along this route. Bukedea cattle market (operating every Mondays), Aloit (Thursdays) and Kachumbala (Saturday). Safety of market going communities must be safeguarded  The district has no compensation schedule. Compensation efforts must take this into account  There are several Primary schools whose pupils must be protected along the corridor

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Annex 2: List of Persons Consulted

# NAME DESIGNATION CONTACTS

LIST OF STAKEHOLDERS CONSULTED – TORORO - 03/10/2013

1 BALABA SWAIBU DCAO 0772 367274

2 LUGOLOBI HAROLD ACAO 0772 305442 [email protected]

3 OSUNA EMMANUEL DISTRICT CHAIRPERSON - [email protected] TORORO

4 EKANYA GEOFREY MP [email protected]

5 OGUTI VINCENT DEDO 0772 555391/0704 403691 [email protected]

6 CONGO JOHN DIST. ENV.OFFICER 0752 6266817 [email protected]

7 MULABYA WILLIAM DISTRICT PLANNER Mulawilliam2gmail.com

8 ASAYA ANDREW P S.O.W 0772 885374 [email protected]

LIST OF STAKEHOLDERS CONSULTED – MBALE - 04/10/2013

# NAME DESIGNATION CONTACTS

1 WAUSBOW DAVID P.A.S 0782 966450

2 NANGOSYAH WILLY DE 0772 433683 [email protected]

3 NAKAYENCE ANNA S.ENV. OFFICER 0772 555387/0701 555387 [email protected]

4 KASAATA E MUNICIPAL ENGINEER 0772 459706 timtownguesthouse@yahoo. com

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LIST OF STAKEHOLDERS CONSULTED – SOROTI -05/10/2013

# NAME DESIGNATION CONTACTS

1 GRALUDU TOM Ag.CAO 0772 685856

2 WAKWESA EMMA STAT. 0772 689633 [email protected]

3 ADUTU GEORGE D/FORESTRY OFFICER 0772 682954

4 OPOROT FRANCIS ENV.OFFICER 0782800692

5 DR. EYUDU PATRICK Ag.DPO 0772 581630

LIST OF STAKEHOLDERS CONSULTED – LIRA - 05/10/2013

1 EYAL LILLIAN DCAO 0772 663258/0750342001 [email protected]

2 OTIKE PABIOUS ENV’T OFFICER - LDLG 0772 453435 [email protected]

3 ARIONG FRANCIS ENG. ASST. 0772 562191 [email protected]

LIST OF STAKEHOLDERS CONSULTED – KUMI - 06/11/2013

# NAME DESIGNATION CONTACTS

1 ORONE JUSTINE Ag.DE 0772 199888 [email protected]

2 ODEKE VALDO DISTRICT AGRIC. OFFICER 0772 463936

3 IKARA EMMANUEL ASSISTANT CAO 0782 909304/0700913790

4 AMANO LUCY DPO 0751 810383

LIST OF STAKEHOLDERS CONSULTED – RUKEDEA - 06/11/2013

1 ETIANG JOSEPH DAO 0772 452606 [email protected]

2 ODENY WILFRED POPULATION OFFICER 0782 431374 [email protected]

3 MALINGA JAMES PETER ENV’T OFFICER 0772 392187

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Annex 3: World Bank Resettlement Policy Framework (RPF) Excerpt from the World Bank OP4.12 Involuntary Resettlement, Revised April 2004]

These policies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. OP 4.12 (Revised April 2004) applies only to projects that are governed by OP / BP 6.00, Bank Financing - that is, those in countries with approved country financing parameters. Other operational policy statements governing Bank financing that have been amended to reflect OP/BP 6.00 also apply to these projects.

Projects in countries without approved country financing parameters continue to be subject to other operational policy statements governing Bank financing.

Resettlement Policy Framework

For sector investment operations that may involve involuntary resettlement, the Bank requires that the project implementing agency screen subprojects to be financed by the Bank to ensure their consistency with this OP. For these operations, the borrower submits, prior to appraisal, a resettlement policy framework that conforms to this policy (see Annex A, paragraphs 23-25). The framework also estimates, to the extent feasible, the total population to be displaced, and the overall resettlement costs.

For financial intermediary operations that may involve involuntary resettlement, the Bank requires that the financial intermediary (FI) screen subprojects to be financed by the Bank to ensure their consistency with this OP. For these operations, the Bank requires that before appraisal the borrower or the FI submit to the Bank a resettlement policy framework conforming to this policy (see Annex A, paragraphs 23-25). In addition, the framework includes an assessment of the institutional capacity and procedures of each of the FIs that will be responsible for subproject financing. When, in the assessment of the Bank, no resettlement is envisaged in the subprojects to be financed by the FI, a resettlement policy framework is not required. Instead, the legal agreements specify the obligation of the FIs to obtain from the potential sub-borrowers a resettlement plan consistent with this policy if a subproject gives rise to resettlement. For all subprojects involving resettlement, the resettlement plan is provided to the Bank for approval before the subproject is accepted for Bank financing.

For other Bank-assisted project with multiple subprojects26 that may involve involuntary resettlement, the Bank requires that a draft resettlement plan conforming to this policy be submitted to the Bank before appraisal of the project unless, because of the nature and design of the project or of a specific subproject or subprojects (a) the zone of impact of subprojects cannot be determined, or (b) the zone of impact is known but precise sitting alignments cannot be determined. In such cases, the borrower submits a resettlement policy framework consistent with this policy prior to appraisal (see Annex A, paragraphs 23-25). For other subprojects that do not fall within the above criteria, a resettlement plan conforming to this policy is required prior to appraisal.

For each subproject included in a project described in paragraphs 26, 27, or 28 that may involve resettlement, the Bank requires that a satisfactory resettlement plan or an abbreviated resettlement plan that is consistent with the provisions of the policy framework be submitted to the Bank for approval before the subproject is accepted for Bank financing.

For projects described in paragraphs 26-28 above, the Bank may agree, in writing that sub-project resettlement plans may be approved by the project implementing agency or a responsible government agency or financial intermediary without prior Bank review, if that agency has demonstrated adequate

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institutional capacity to review resettlement plans and ensure their consistency with this policy. Any such delegation, and appropriate remedies for the entity’s approval of resettlement plans found not to comply with Bank policy, is provided for in the legal agreements for the project. In all such cases, implementation of the resettlement plans is subject to ex post review by the Bank.

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Annex 4: Annotated Outline for preparing a Resettlement Action Plan

This template is extracted from OP 4.12 Annex A. Its full description can be found in the World Bank external website [INSERT LINK].

The scope and level of detail of the RAP will vary depending on the magnitude and complexity of resettlement or displacement. The RAP is prepared based on the most recent and accurate information on the: (i) proposed resettlement and its impacts on displaced persons and other adversely affected groups; and (ii) legal issues affecting resettlement. The RAP covers elements that are specific to the project context.

A broad outline of the RAP, as applied to sub-projects covered under a RPF includes, but is not limited to, the following:

Description of the sub-project: General description of the sub-project and identification of sub-project area or areas.

Potential Impacts: Identification of the: (i) the sub-project components or activities that require resettlement or restriction of access; (ii) zone of impact of components or activities; (iii) alternatives considered to avoid or minimize resettlement or restricted access; and (iv) mechanisms established to minimize resettlement, displacement, and restricted access, to the extent possible, during project implementation.

Objectives: The main objectives of the resettlement program as these apply to the sub-projects.

Socio-economic studies: The findings of socio-economic studies to be conducted in the early stages of project preparation, and with the involvement of potentially affected people will be needed. These generally include the results of a census of the affected populations covering:

(i) Current occupants of the affected area as a basis for design of the RAP and to clearly set a cut- off date, the purpose of which is to exclude subsequent inflows of people from eligibility for compensation and resettlement assistance;

(ii) Standard characteristics of displaced households, including a description of production systems, labour, and household organization; and baseline information on livelihoods (including, as relevant, production levels and income derived from both formal and informal economic activities) and standards of living (including health status) of the displaced population;

(iii) Magnitude of the expected loss, total or partial, of assets, and the extent of displacement, physical or economic;

(iv) Information on vulnerable groups or persons, for whom special provisions may have to be made; and

(v) Provisions to update information on the displaced people’s livelihoods and standards of living at regular intervals so that the latest information is available at the time of their displacement, and to measure impacts (or changes) in their livelihood and living conditions.

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There may be other studies that the RAP can draw upon, such as those describing the following:

(i) Land tenure, property, and transfer systems, including an inventory of common property natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems (including fishing, grazing, or use of forest areas) governed by local recognized land allocation mechanisms, and any issues raised by different tenure systems in the sub project area;

(ii) Patterns of social interaction in the affected communities, including social support systems, and how they will be affected by the sub-project;

(iii) Public infrastructure and social services that will be affected; and

(iv) Social and cultural characteristics of displaced communities, and their host communities, including a description of formal and informal institutions. These may cover, for example, community organizations; cultural, social or ritual groups; and non-governmental organizations (NGOs) that may be relevant to the consultation strategy and to designing and implementing the resettlement activities.

Legal Framework: The analysis of the legal and institutional framework should cover the following:

(i) Scope of existing land and property laws governing resources, including state-owned lands under eminent domain and the nature of compensation associated with valuation methodologies; land market; mode and timing of payments, etc;

(ii) Applicable legal and administrative procedures, including a description of the grievance procedures and remedies available to PAPs in the judicial process and the execution of these procedures, including any available alternative dispute resolution mechanisms that may be relevant to implementation of the RAP for the sub-project;

(iii) Relevant laws ( including customary and traditional law) governing land tenure, valuation of assets and losses, compensation, and natural resource usage rights, customary personal law; communal laws, etc related to displacement and resettlement, and environmental laws and social welfare legislation;

(iv) Laws and regulations relating to the agencies responsible for implementing resettlement activities in the sub-projects;

(v) Gaps, if any, between local laws covering resettlement and the Bank’s resettlement policy, and the mechanisms for addressing such gaps; and

(vi) Legal steps necessary to ensure the effective implementation of RAP activities in the sub- projects, including, as appropriate, a process for recognizing claims to legal rights to land, including claims that derive from customary and traditional usage, etc and which are specific to the sub-projects.

The institutional framework governing RAP implementation generally covers:

(i) Agencies and offices responsible for resettlement activities and civil society groups like NGOs that may have a role in RAP implementation;

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(ii) Institutional capacities of these agencies, offices, and civil society groups in carrying out RAP implementation, monitoring, and evaluation; and

(iii) Activities for enhancing the institutional capacities of agencies, offices, and civil society groups, especially in the consultation and monitoring processes.

Eligibility: Definition of displaced persons or PAPS and criteria for determining their eligibility for compensation and other resettlement assistance, including relevant cut-off dates.

Valuation of and compensation for losses: The methodology to be used for valuing losses, or damages, for the purpose of determining their replacement costs; and a description of the proposed types and levels of compensation consistent with national and local laws and measures, as necessary, to ensure that these are based on acceptable values (e.g. market rates).

Resettlement Measures: A description of the compensation and other resettlement measures that will assist each category of eligible PAPs to achieve the objectives of OP 4.12. Aside from compensation, these measures should include programs for livelihood restoration, grievance mechanisms, consultations, and disclosure of information.

Site selection, site preparation, and relocation: Alternative relocation sites should be described and cover the following:

(i) Institutional and technical arrangements for identifying and preparing relocation sites, whether rural or urban, for which a combination of productive potential, location advantages, and other factors is at least comparable to the advantages of the old sites, with an estimate of the time needed to acquire and transfer land and ancillary resources;

(ii) Any measures necessary to prevent land speculation or influx of eligible persons at the selected sites;

(iii) Procedures for physical relocation under the project, including timetables for site preparation and transfer; and

(iv) Legal arrangements for recognizing (or regularizing) tenure and transferring titles to those being resettled.

Housing, infrastructure, and social services: Plans to provide (or to finance provision of) housing, infrastructure (e.g. water supply, feeder roads), and social services to host populations; and any other necessary site development, engineering, and architectural designs for these facilities should be described.

Environmental protection and management. A description of the boundaries of the relocation area is needed. This description includes an assessment of the environmental impacts of the proposed resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement).

(i) Community Participation: Consistent with the World Bank’s policy on consultation and disclosure, a strategy for consultation with, and participation of, PAPs and host communities, should include:

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(ii) Description of the strategy for consultation with and participation of PAPs and hosts in the design and implementation of resettlement activities;

(iii) Summary of the consultations and how PAPs’ views were taken into account in preparing the resettlement plan; and

(iv) Review of resettlement alternatives presented and the choices made by PAPs regarding options available to them, including choices related to forms of compensation and resettlement assistance, to relocating as individual families or as parts of pre-existing communities or kinship groups, to sustaining existing patterns of group organization, and to retaining access to cultural property (e.g. places of worship, pilgrimage centers, cemeteries); and

(v) Arrangements on how PAPs can communicate their concerns to project authorities throughout planning and implementation, and measures to ensure that vulnerable groups (including indigenous peoples, ethnic minorities, landless, children and youth, and women) are adequately represented.

(i) The consultations should cover measures to mitigate the impact of resettlement on any host communities, including:

(ii) Consultations with host communities and local governments;

(iii) Arrangements for prompt tendering of any payment due the hosts for land or other assets provided to PAPs;

(iv) Conflict resolution involving PAPs and host communities; and

(v) Additional services (e.g. education, water, health, and production services) in host communities to make them at least comparable to services available to PAPs.

Grievance procedures: The RAP should provide mechanisms for ensuring that an affordable and accessible procedure is in place for third-party settlement of disputes arising from resettlement. These mechanisms should take into account the availability of judicial and legal services, as well as community and traditional dispute settlement mechanisms.

RAP implementation responsibilities: The RAP should be clear about the implementation responsibilities of various agencies, offices, and local representatives. These responsibilities should cover (i) delivery of RAP compensation and rehabilitation measures and provision of services; (ii) appropriate coordination between agencies and jurisdictions involved in RAP implementation; and (iii) measures (including technical assistance) needed to strengthen the implementing agencies’ capacities of responsibility for managing facilities and services provided under the project and for transferring to PAPs some responsibilities related to RAP components (e.g. community-based livelihood restoration; participatory monitoring; etc).

Implementation Schedule: An implementation schedule covering all RAP activities from preparation, implementation, and monitoring and evaluation should be included. These should identify the target dates for delivery of benefits to the resettled population and the hosts, as well as clearly defining a closing date. The schedule should indicate how the RAP activities are linked to the implementation of the overall project.

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Costs and budget: The RAP for the specific sub-projects should provide detailed (itemized) cost estimates for all RAP activities, including allowances for inflation, population growth, and other contingencies; timetable for expenditures; sources of funds; and arrangements for timely flow of funds. These should include other fiduciary arrangements consistent with the rest of the project governing financial management and procurement.

Monitoring and evaluation: Arrangements for monitoring of RAP activities by the implementing agency, and the independent monitoring of these activities, should be included in the RAP section on monitoring and evaluation. The final evaluation should be done by an independent monitor or agency to measure RAP outcomes and impacts on PAPs’ livelihood and living conditions. The World Bank has examples of performance monitoring indicators to measure inputs, outputs, and outcomes for RAP activities; involvement of PAPS in the monitoring process; evaluation of the impact of RAP activities over a reasonable period after resettlement and compensation, and using the results of RAP impact monitoring to guide subsequent implementation.

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Annex 5: Sample Grievance and Resolution form

Name (Filer of Complaint): ______ID Number: ______(PAPs ID number) Contact Information:______(Village ; mobile phone) Nature of Grievance or Complaint: ______Date Individuals Contacted Summary of Discussion

______

Signature______Date: ______

Signed (Filer of Complaint): ______Name of Person Filing Complaint:______( if different from Filer) Position or Relationship to Filer: ______

Review/Resolution Date of Conciliation Session: ______Was Filer Present?: Yes No Was field verification of complaint conducted? Yes No Findings of field investigation: ______

Summary of Conciliation Session Discussion: ______Issue______

Was agreement reached on the issues? Yes No If agreement was reached, detail the agreement below: If agreement was not reached, specify the points of disagreement below:

______

Signed (Conciliator):______Signed (Filer):______

Signed: ______Independent Observer Date: ______

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Annex 6: Sample Table of contents for Consultation Reports 1.0 Introduction.

1.1 Project Description

1.2 Applicable Laws, Regulations, and Policies to Public Engagement

1.3 Project Lenders

2.0 Stakeholder Analysis

2.1 Areas of Influence/Stakeholders

2.2 Description of Stakeholders

3.0 Stakeholder Engagement

3.1 Previous Consultation Activities

3.2 Implemented Community Engagement Activities

3.3 Project Sponsor’s Community Engagement Plan

3.3.1 Phase 1 – Initial Stakeholder Consultation

3.3.2 Phase 2 – Release of the SEA Terms of Reference and Draft PCDP

3.3.3 Phase 3 – Release of SEA Consultation Summary Report

4.0 Summary of Key Issues

5.0 Future Consultation Events

5.1 Phase 4 – Release of the SEA Report and Action Plans

5.2 Phase 5 – RCDAP Planning Consultation

5.3 Phase 6 - On-going Project Communication

6.0 Disclosure Plan

Tables

Table 2.1: Consultation Activity Summary

Table 3.1: Initial Government Agency Consultations

Table 3.2: Summary of NGO Meetings

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Table 3.3: Sub-County Committee Composition

Table 3.4: Summary of Community Discussions

Table 3.5: Local Community Comments

Table 4.1: Summary of Key Issues and Responses

Table 5.1: Summary of Future Consultation Activities per Stakeholder Group

TEMPLATE Table on Consultation Activity Summary Location and Meeting Dates Attendees Discussion Summary Communities Represented

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Annex 7: Glossary of Terms

Census A field survey carried out to identify and determine the number of Project Affected Persons (PAPs) or Displaced Persons (DPs) as a result of land acquisition and related impacts. The census provides the basic information necessary for determining eligibility for compensation, resettlement, and other measures emanating from consultations with affected communities and the local government institutions.

Compensation The payment in kind, cash or other assets given in exchange for the acquisition of land including fixed assets, is called compensation. These include other impacts resulting from activities to rehabilitate or cushion the impacts from displacement.

Cut-off Date The cut-off date is the date of commencement of the census of PAPs or DPs within the EASP program area boundaries. This is the date on and beyond which any person whose land is occupied for EASP program, will not be eligible for compensation.

Grievance The RPF contains a grievance mechanism based on policies Mechanism and procedures that are designed to ensure that the complaints or disputes about any aspect of the land acquisition, compensation, resettlement, and rehabilitation process, etc. are being addressed. This mechanism includes a procedure for filing of complaints and a process for dispute resolution within an acceptable time period.

Implementation The RPF contains an implementation schedule that outlines Schedule the time frame for planning, implementation, and monitoring and evaluation of the RAPs for sub-projects, if applicable.

Land Land refers to all types of agricultural and/or non-agricultural land and any structures thereon whether temporary or permanent and which may be acquired by the project.

Land Acquisition Land acquisition means the possession of or alienation of land, buildings, or other assets thereon for purposes of the project.

Project Affected Project affected persons (PAPs) or Displaced Persons (DPs) Persons (PAPs) or are persons affected by land and other assets loss as a result of Displaced Persons EASP activities. These person(s) are affected because they (DPs) may lose, be denied, or be restricted access to economic assets; lose shelter, income sources, or means of livelihood. These persons are affected whether or not they will move to another location. Most often, the term DPs applies to those who are physically relocated. These people may have their: standard of living adversely affected, whether or not the Displaced Person will move to another location ; lose right,

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title, interest in any houses, land (including premises, agricultural and grazing land) or any other fixed or movable assets acquired or possessed, lose access to productive assets or any means of livelihood.

Project Impacts Impacts on the people living and working in the affected areas of the project, including the surrounding and host communities are assessed as part of the overall evaluation of the project.

Project Some projects make use of project implementing units Implementing Unit (PIUs), which are generally separate units within the project (PIU) recipient’s agency. The PIU is often composed of full time staff devoted to implementing the project, and have been encouraged to have separate teams with environment and social specialists who can carry out the activities, for example, as outlined in the RPF or RAP.

Rehabilitation Rehabilitation assistance is the provision of development Assistance assistance in addition to compensation such as livelihood support, credit facilities, training, or job opportunities, needed to assist PAPs or DPs restore their livelihoods.

Replacement Cost Replacement cost refers to the amount sufficient to cover full recovery of lost assets and related transaction costs.

Resettlement The RAP is a resettlement instrument (document) to be Action Plan (RAP) prepared when sub-project locations are identified. In such cases, land acquisition leads to physical displacement of persons, and/or loss of shelter, and /or loss of livelihoods and/or loss, denial or restriction of access to economic resources. RAPs are prepared by the implementing agency and contain specific and legal binding requirements to resettle and compensate the affected people before project implementation.

Resettlement Resettlement assistance refers to activities that are usually Assistance provided during, and immediately after, relocation, such as moving allowances, residential housing, or rentals or other assistance to make the transition smoother for affected households.

Resettlement Policy The RPF is an instrument to be used throughout the project’s Framework (RPF) implementation. The RPF sets out the objectives and principles, organizational arrangements, and funding mechanisms for any resettlement, that may be necessary during implementation. The RPF guides the preparation of Resettlement Action Plans (RAPs), as needed, for sub- projects.

Rights and Rights and entitlements are defined for PAPs and DPs (with Entitlements the cut-off date) and cover those losing businesses, jobs, and income. These include options for land-for-land or cash compensation. Options regarding community and individual

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resettlement, and provisions and entitlements to be provided for each affected community or household will be determined and explained, usually in an entitlement matrix.

Witness NGO or Some RPFs refer to a witness NGO or an independent Independent monitor that can be contracted to observe the compensation Monitor process and provide an independent assessment of the quality of the process. These are usually NGOs or other agencies that are not directly involved in the project and have a reputation for independence and integrity.

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Annex 8: Relevant Laws

Property Rights and Land Rights Law / Regulation There are four land tenure systems in Uganda, as recognized by Ugandan law. Land Act 1998 Mailo, Freehold, Customary, and Leasehold. The Constitution (1995) restored all private tenure regimes, divested the state Constitution 1995, and the Uganda Land Commission of radical title to all land and vested this Article 237 directly in the citizens of Uganda. All land is vested in the citizens of Uganda. Land Act 1998 Customary tenure: Land Act 1998  Is governed by rules generally accepted as binding and authoritative by the class of persons to which it applies, in other words, “customary regime” is not governed by written law.  Is owned in perpetuity  Customary occupants are occupants of former public land, and occupy the land by virtue of their customary rights; they have propriety interest in the land and are entitled to certificates of customary ownership  Certificates for customary ownership may be acquired, through application to the Parish Land Committee and eventual issuance by the District Land Board Freehold tenure: Land Act 1998  Derives its legality from the Constitution and its incidents from the written law  Involves the holding of land in perpetuity or of a period less than perpetuity fixed by a condition  Enables the holder to exercise, subject to the law, full powers of ownership. Mailo tenure: Land Act 1998  Has roots in the allotment of land pursuant to the 1900 Uganda Agreement  Derives its legality from the Constitutions and its incidents from the written law  Involves the holding of land in perpetuity  Permits the separation of ownership of land from the ownership of developments on land made by a lawful or bona fide occupant  Enables the holder to exercise all the powers of ownership, subject to the rights of those people occupying the land at the time of the creation of the mailo title and their successors. Leasehold tenure: Land Act 1998  Is created either by contract or by operation of the law  Is a form under which the landlord or lessor grants the tenant or leasee exclusive possession of the land, usually for a period defined and in return for a rent.  The tenant has security of tenure and a proprietary interest in the land

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“Licence” or “Share Cropper” Land Act 1998  Although only these later forms of tenure are legally defined under the Land Act, the context of common law also recognizes the statute of “licensee” or “sharecroppers”, these terms having similar meanings in practice. Licensees are persons granted authority to use land within for agricultural production. Traditionally, such production would be limited to annual crops. Licensees have no legal security of tenure of any propriety right in the land. Their tenure is purely contractual. Every person in Uganda has the right to own property. Constitution (1995) Article 26 Land Acquisition Law / Regulation The government and local authorities have statutory power to compulsorily Constitution: Article acquire land. 26(2) and Article 237(2) Land Act (1998) The minister responsible for land may authorize any person to enter upon Land Acquisition Act land and survey the land dig or bore the subsoil or any other thing necessary (1965) for ascertaining whether the land is suitable for a public purpose. Fixing the value for land in Uganda depends on whether it is public Land Act of 1998 as (Government owned) or privately owned according to land tenure types amended in 2004 indicated in the section of land acquisition. If it is public land, the Chief Government Valuer’s office fixes the rates of compensation. However, if it is owned privately, the developer will negotiate with the owner and agree on the amount to pay for the land to be acquired. Value for customary land is open market value, buildings on land is taken to Land Act of 1998 as be on replacement costs in rural areas, 15% and 30% (of total sum assessed) amended in 2004 disturbance allowance is to be paid if less than six months or six months notice respectively is given up to vacant possession. It is the responsibility of the developer to engage a professional Valuer to None cited carry out an assessment of all structures and assets in the affected area. However, rates for structures/buildings in urban areas are fixed by the Chief Government Valuer’s Office It defines a road reserve as that area bounded by imaginary lines parallel to Roads Act (1964) and not more than fifty feet distant from the centerline of any road, and declared to be a road reserve. No person shall erect any building or plant, trees or permanent crops within a Roads Act (1964) road reserve. The road authorities are permitted to dig and take materials from the road Roads Act (1964) reserve for the construction and maintenance of roads. The Town and Country Planning Act of 1964 gives broad powers to planning Town and Country authorities at the national and local level to take land, against compensation, Planning Act 1964 for public purposes within an approved planning area. Each District Land Board adopts its own compensation rates. As a result, None cited variation exists among the different districts. The rates are reviewed each year.

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Article 26(2) of the Constitution provides that: “No person shall be Constitution (1995), compulsorily deprived of property or any interests in or any right over Article 26(2) property of any description except where the following conditions are satisfied.  The taking of possession or acquisition is necessary for public use or in the interest of defence, public safety, public order, public morality or public health and  The compulsory taking of possession or acquisition of property is made under a law which makes provision for:  Prompt payment of fair and adequate compensation, prior to the taking or acquisition of the property, and  A right of access to a court of law by any person who has an interest or right over the property. “Where the assessment officer takes possession of land, the land shall Land Acquisition Act immediately by the operation of this act be vested in the land commission free 7(2) from all encumbrances” “the Uganda Land Commission shall hold and manage any land in Uganda Land Act (2004) which is vested in or acquired by the government in accordance with the Section 49 as amended constitution and perform such other functions as may be prescribed by or specifically under under this Act or any other enactment.” subsections (a) and (d) The Government or Local Government may acquire land in public interest. Article 237(1) Compensation Law / Regulation Prompt payment of fair and adequate compensation prior to the taking Constitution Act 1995 possession or acquisition of the property. Prompt payment of fair and adequate compensation to all interested parties on Electricity Act (1999), the land. Part VIII Compensation for affected people should be determined according to the Electricity Act (1999) Land Act (1998) and the Land Acquisition Act (1965). Section 71 Electricity Regulatory Authority has the power to handle claims for Electricity Act (1999) compensation for land acquired. The Government is supposed to pay compensation (cash) to any person who Land Acquisition Act suffers damage as a result of any action. Any dispute as to the compensation (1965) payable is to be referred by the Attorney General to court for decision. The basis for compensation is depreciated replacement costs for rural Land Act (1998) properties and market values for urban properties. Section 78 Each District Land Board adopts its own compensation rates. As a result, None cited variation exists among the different districts. The rates are reviewed each year. Dispute Resolution and Grievance Mechanisms Law / Regulation Land Tribunals must be established at all local governments and all land Land Act (1998), disputes must first be processed through them before any resort can be made Article 75 to ordinary courts. Traditional authority mediators retain their jurisdiction over land disputes. Land Act (1998), Article 89