Uganda - Road Sector Institutional Support Technical Assistance Project : environmental assessment (Vol. 7 of 7) : Executive summary

E-358 VOL.7 Ministry of Works, Housing & Communications Entebbe Uganda SECTOR ENVIRONMENTAL POLICY AND MANAGEMENT ASSESSMENT OF FRSP VOLUME I: EXECUTIVE SUMMARY FINAL REPORT March 1999 437.4520.1 ARCADIS Euroconsult Makerere University Institute of Arnhem, the Netherlands Environment and Natural Resources, Kampala, Uganda  SECTOR ENVIRONMENTAL POLICY AND MANAGEMENT ASSESSMENT OF FRSP FINAL REPORT VOLUME I: EXECUTIVE SUMM1RY TABLE OF CONTENTS 1. INTRODUCTION 3 1.1 Background to the Study 3 1.1.1 Objectives of the FRSP Environmental Policy and Management Assessment Study 3 1.2 Study Methodology 3 2. CONTENTS OF EACH VOLUME 5 3. BACKGROUND 6 3.1 Summary of the FRSP 6 3.2 Review of the Present Institutional Framework 6 4. MAIN FINDINGS AND ISSUES 8 4.1 EIA Guidelines 8 4.2 Formation of Environmental Management Units 8 4.2.1 Training 9 4.2.2 Geographical Information Systems 10 4.2.3 National Level Monitoring 10 5. IMPLEMENTATION PLAN I 1 5.1 Task I Dissemination and Maintenance of Information I 1 5.2 Task 2 Revision of Ministry Manuals and Procedures 11 5.3 Task 3 Development of National Level Monitoring I I 5.4 Task 4 Formation of Ministry ELU 1 2 5.5 Task 5 The Establishment of RAFU Environmental Unit 12 5.6 Task 6 Training of Ministry and RAFU Staff 12 5.7 Task 7 Development of Local Capacity to do EIAs 12 5.8 Task 8 Implementation of EIA Guidelines 12 5.9 Task 9 Overall Management and Monitoring 13 6. BUDGET 16 7. CONCLUSIONS 17 OTHER VOLUMES Volume 11 Main Report Volume III Road Sector EIA Guidelines Volume IV Environmental Management Resources  2 ACRONYMS AND ABBREVIATIONS EIA - Environmental Impact Assessment ELU - Environmental Liaison Unit EU - Environmental Unit FRSP - First Road Sector Project GOU - Govemment of Uganda MOWHC - Ministry of Works, Housing and Communications (formerly the Ministry of Works. Transport and Communications) NEAP - National Environment Action Plan NEMA - National Environment Management Authority NGO - non govemment organisation RAFU - Road Agency Formation Unit RSDP - Road Sector Development Programme UWA - Uganda Wildlife Authority WB - World Bank  3 1. INTRODUCTION 1.1 Background to the Studv In July 1998, the Ministry of Works, Housing and Communications (MOWHC) awarded the contract for conducting a study to assess the environmental policy and management of the First Road Sector Project (FRSP) to ARCADIS Euroconsult. The study was initiated as a result of three major developments: i) the National Environment Statute of 1995 which made it mandatory for environmental impact assessments (ElAs) to be carried out for all new development projects; ii) the realisation by the MOWHC that the FRSP would include major road works requiring ElAs; and iii) increased funding for road sector activities by donors who stipulate environmental assessments as a condition of funding. The FRSP's strategy for integrating environmental concerns into road sector activities is to: (a) identify the sectoral environmental impacts of the road programme, and (b) conduct site-specific impact assessments for each of the planned road sections. This study focuses on environmental policv and management as the basis of the Sectoral Environmental Assessment for the road sector in Uganda. 1.1.1 Objectives of the FRSP Environmental Policy and Management Assessment Study The objectives of the study can be summarised as follows: i) to assist the Government of Uganda to identify the status of the country's procedures for conducting ElAs of road sector projects by reviewing policies, regulations and the institutional framework for conducting ElAs; ii) to identify the most critical constraints to environmental management of the road sector in Uganda; iii) to develop sector specific environmental guidelines; iv) to streamline and standardise the EIA process for road works. 1.2 Study Methodologv The Inception Phase of this study began in early July 1998. This phase involved familiarisation with road sector activities and national environmental procedures and regulations through perusing documentation and holding meetings with affected parties, such as the National Environment Management Authority (NEMA) and the Uganda Wildlife Authority (UWA) among others. Phase 11 of the study began in mid-August. The bulk of the work was undertaken during this phase: documentation reviews, and meetings with various stakeholders, organisations and institutions. Field trips were made to a number of districts, and several FRSP roads were inspected.  4 The initial findings of the study were presented at a workshop held at the Public Works Training Centre (PWTC) at Kyambogo on 30thl September 1998. The workshop was attended by participants from the MOWHC, NEMA and various other government and non-government organisations that would play a role in road sector environmental management. The main issues discussed at the workshop were the nature of the environmental guidelines and the procedures for conducting ElAs, and the institutional and training aspects of the study. A Project Steering Committee (PSC), comprising personnel from the MOWHC, NEMA, USAID and UWA, was set up to provide a platform for liaison between the stakeholders, MOWHC and the study team, and to give general guidance to the study team. Two meetings were held before the submission of this Draft Final Report. During these meetings clarification on specific aspects of the study were received. These were: i) the confirmation of the acceptability of an environmental unit (EU) within RAFU (Road Agency Formation Unit) ii) an indication of the preferred location of an environmental liaison unit (ELU) within the MOWHC, and iii) with regard to the guidelines, the possibility of undertaking the first four steps in the EIA process (ie preparation of the project brief, screening, scoping, preparation of terms of reference for the environmental study) simultaneously in order to streamline the EIA process to avoid delays in road project implementation.  5 2. CONTENTS OF EACH VOLUME The findings and recommendations of this study have been presented in four volumes. in order to separate the distinct study components. These are: Volume I The Executive SummarN Volume 11 Main Report Volume III Road Sector EIA Guidelines Volume IV Environmental Management Resources Volume 11 is the Main Report and is summarised here. The Main Report describes policy and management issues relating to roadworks and the environment. It is aimed at decision-makers, including top level management in the MOWHC (these being the Permanent Secretary, the Engineer in Chief, Commissioners and Assistant Commissioners), RAFU and the future Road Agency (RA), and donor agencies involved in the road sector. Volume III contains Environmental Impact Assessment (EIA) Guidelines which have been developed specifically for the road sector. The report contains guidelines for conducting ElAs at two levels (depending on the complexity of the situation) as well as guidelines for environmental considerations during road maintenance activities. In addition, guidelines for public participation in the EIA process, compensation and resettlement are provided. The document specifies the roles and functions, in the EIA process, of the environmental liaison unit (ELU) within the MOWHC and the environmental unit (EU) in RAFU, as well as of the National Environment Management Authority (NEMA). It will therefore be of use not only to EIA practitioners and firms of consulting engineers, but also to persons concerned with environmental issues related to the road sector in MOWHC, RAFU/RA, NEMA, donor agencies and other stakeholders (UWA. environmental conservation organisations, NGOs involved in social and economic projects in areas affected by roads, etc). Volume IV is intended as a reference document for road engineers within the MOWHC. RAFU/RA, firms of consulting engineers, environmental practitioners and any individuals interested in environmental issues related to the road sector. The document gives a description of the legal framework for environmental management of the road sector. The physical, natural and social environment of Uganda is presented as applicable to the FRSP and the road sector. The report also presents, as a guide, an analysis of the types of impacts that may arise from road works activities, indicating possible mitigation measures and responsibility for monitoring. The importance of public participation in project planning and environmental assessment is addressed. Of particular use to road engineers and EIA practitioners is a listing of environmental considerations that are included in existing MOWHC manuals and documentation.  6 3. BACKGROUND 3.1 Summarv of the FRSP The First Road Sector Project represents the first five vears of a ten-year US$1.5 billion investment in the Ugandan road sector. The main works proposed under the FRSP are: . prioritising roads in the network for manual and mechanical routine maintenance and periodic maintenance; * upgrading of 32 km of urban trunk roads in Kampala from 2-lane to 4-lane dual carriageway: * strengthening of 357 km of existing paved roads; * paving of 950 km of gravel roads: * upgrading of 1700 km of feeder roads, * construction of a 21 km new road - ie. the Kampala Bypass. In addition, the FRSP includes a number of studies on road network improvement, and investments in road network administration and capacity building. Similar investments are proposed under the second five vears of the Road Sector Development Programme (RSDP). 3.2 Review of the Present Institutional Framework This study takes place against a backdrop of considerable institutional change in the Ministry of Works, Housing and Communications. It is being reorganised, following the Post Constitutional Restructurinig Report prepared in May 1998, by the Ministry of Public Service for all ministries. The Ministry is still considering this report and it can be anticipated that some chaniges will take place to the proposals before they are implemented. At the same time, the Ministry is forming a semi-autonomous Road Agency Formation Unit. This is intended to evolve in three years time to an independent Road Agency. The expatriate Director took up his position earlier this year and is presently engaged in setting up the unit. RAFU will be responsible for all construction and major maintenance contracts. Most environmental management issues will therefore be associated with RAFU - a departure to what may have been foreseen when the terns of reference for this study were prepared. The National Environment Management Authority was established by statute in 1996. In Mav 1998 it issued regulations concerning the conduct of environmental impact assessment for developments in Uganda. This study is very much in keeping with these national initiatives for improved environmental management. NEMA has promulgated concepts for, inter alia, environmental liaison units in each lead agency, and for the preparation of sector specific guidelines. Both of these concepts are taken up by this study which in some respects breaks new ground in their application.  7 The same statute made a number of provisions for environmental management arrangements at the District level: the appointment of District Environmental Officers and District Environmental Committees, and the preparation of State of the Environment Reports and Environmental Action Plans for all districts. These provisions are at widely varying states of implementation. Although district level bodies will not take a leadership role in ElAs of classified roads, the provisions will provide an increasingly important frame of reference for the conduct of all ElAs.  8 4. MAIN FINDINGS AND ISSUES Where issues arose during the conduct of the study, we attempted to resolve them wvith representatives from the organisations concerned and were generally successful. We nevertheless record the issues for the benefit of executive authorities reading this report. Other key findinlgs are also highlighted here. 4.1 EIA Guidelines The EIA guidelines for the road sector are a major output of the report and are presented in Volume III. We believe that they are only the second sectoral guidelines (after water) to be developed in Uganda. They have been developed in accordance with the EIA Regulations. The main issue that arose during their preparation was this: the regulations envisage separate steps for: preparation of the project brief, screening, scoping and drafting the terms of reference of EIAs. (For definitions of these terms see Volume III). However, it is important that ElAs are tied into the road project development cycle which envisages a single pre-feasibility. feasibility and design phase prior to construction. Accordingly, we have provided for these four steps to be conducted concurrently. This will allow the EIA contract to be combined with the feasibility and design work. This approach has been endorsed by NEMA. 4.2 Formation of Environmental Management Units It is a provision of the National Environment Action Plan that all line Ministries and/or lead agencies should form an Environmental Liaison Unit to integrate environmental management concerns into the agencies' activities. It is clearly essential that the provisions of this report have an institutional home if they are to be implemented effectively. The creation of RAFU as a semi- autonomous agency responsible for some but not all road sector activities gives rise to several issues in this regard. Firstly. most environmental impacts will arise from RAFU activities. The single most important environmental management intervention is the EIA process which needs to be managed by RAFU if it is to be properly integrated into the road project cycle. However, the Ministry has residual road sector activities and responsibility for other sub-sectors. We have therefore suggested the formation of two units: a 'Ministry ELU' which will incorporate environmental concerns into the policies of the Ministry and inform environmental policy makers of relevant Ministry issues and activities; and a 'RAFU Environment Unit' which will provide the resources required to ensure RAFU acts in accordance with national guidelines concerning the environment. Detailed tasks for these two units are set out in Volume lI. Secondly, the formation of two units leads to the question of what supervision role the Milistry ELU has over the RAFU EU. One option is for the Ministry to closely supervise and approve the detailed work of the RAFU EU. This would give an additional control that RAFU was acting with due respect for the environment but would not be in keeping with its semi-autonomous status. We have therefore adopted an approach where the ELU is responsible for approving procedures insofar as they conform with policy, but its role in day to day work is one of consultation rather than approval. The ELU will make an important contribution to the Ministry's responsibility in monitoring the overall performance of RAFU and would take up any systemic weaknesses in RAFU's environmental management practice.  9 Thiirdly, it is not clear whiat the work load of the units will be. We estimate that the RAFU EU w ill need up to thlree full time staff, both in terms of volume of work and to provide the range of skills. However, this estimate must be subject to a considerable amount of uncertainty. and RAFU will build up its staff over its tilree years. The study workshop agreed that the unit shiould be initially staffed by a full time environmentalist who lias access to a sociologist on a draw-down contract. Engineering expertise would be drawn from within RAFU as needed and the whole arrangement reviewed after one year. The workload of the Ministry ELU, taking in other transport sub-sectors is not for us to estimate. It might be noted tihat this approach of dedicated staff contrasts withl common practice elsewhere of formingg the ELU as ad hoc committees of managers. This experience hias not been without problems. Fourthly, we have recommended that the RAFU EU should fall under- the Division of Engineering. This is acceptable to the Director of RAFU. We presented several options for the placing of the Ministry ELU. The Ministry has indicated an intention for it to be placed in the Policy Analysis Unit. We endorse this from a road sector perspective. It allows a clear separation where the ELU concentrates on the environmental implications of policy matters and tile RAFU EU concentrates on the environmental implications of implementation. 4.2.1 Training The introduction of the measures described in this report will require a new awareness and additional skills amongst Ministry staff responsible for maintenance. and RAFU staff will also need to be made aware of the regulations and procedures. The Ministry has indicated that the staff appointed to the ELU will be transferred from existing posts within tile Ministry. They will almost certainly require specialist training. We lhave drafted a training programme to address these requirements as follows: Table A: Summary of Indicative Environmental Training Needs Nos Nos Composition Ministry RAFU Subjects Duration Top 12 - Introduction and overview of environmental issues 2 days Management - Ugandan regulatorv framework 2 Road planners, 70 32 - Road engineering and the environment 5 days senior design. - EIA construction and - Contracts and environmental matters maintenance staff (including - Regulatory framework District - Design and implementation of mitigation measures Engineers) - Working with small scale contractors 3 Ministry ELU 2 - Environmental impact Assessment up to 3 - Natural Resources and development issues months 4 Inspectors and 94 - Environmental assessments - practical 8 davs Overseers - Working with small scale contractors - Standard practical mitigation measures - Environmental monitoring systems - Review of existing practices from an environmental standpoint. (Very practical orientation)  THE ROAD NETWORK IN UGANDA 30