Republic of Uganda by tyndale

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									                    Republic of Uganda




              MINISTRY OF AGRICULTURE,

           ANIMAL INDUSTRY AND FISHERIES




AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
             SERVICES PROJECT (ATAAS)




  Environmental and Social Management Framework (ESMF)




                      Prepared By

                Africa Services Group Ltd

            P.O Box 5203, KAMPALA, Uganda




                          Final

                     23th April 2010
Lead Agency

Impact

Disclosure ETC




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            i
TABLE OF CONTENTS
TABLE OF CONTENTS .................................................................................................................... i

ACRONYMS ..................................................................................................................................... v

GLOSSARY OF TERMS ................................................................................................................. ix

EXECUTIVE SUMMARY .................................................................................................................. I

    Background ................................................................................................................................... I

    The ATAAS Project ....................................................................................................................... I

    ATAAS Components .................................................................................................................... II

    Environmental and Social Impacts............................................................................................... II

    The Environmental and Social Management Framework ........................................................... III

    Institutional Framework ............................................................................................................... IV

    The Environmental and Social Screening Process..................................................................... IV

    Environmental and Social Checklists ........................................................................................... V

    Environmental Monitoring and Follow Up ................................................................................... VI

    Capacity Building ........................................................................................................................ VI

1      INTRODUCTION ...................................................................................................................... 1

    1.1     Background......................................................................................................................... 1

    1.2     Agricultural Performance .................................................................................................... 2

    1.3     Agricultural Technology and Advisory Services ................................................................. 4

    1.4     Proposed project development objective(s) ....................................................................... 5

    1.5     Project description .............................................................................................................. 5

    1.6     Proposed ATAAS Components .......................................................................................... 5




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

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2     PROJECT ENVIRONMENTAL AND SOCIAL MANAGEMENT ............................................... 9

    2.1   Overview ............................................................................................................................. 9

    2.2   Objectives ........................................................................................................................... 9

    2.3   Study Approach ................................................................................................................ 10

    2.4   Content of the ESMF ........................................................................................................ 13

3     BIOPHYSICAL AND SOCIO-ECONOMIC ENVIRONMENT OF THE COUNTRY ................ 14

    3.1   Country‟s Setting .............................................................................................................. 14

    3.2   Soils and Topography....................................................................................................... 16

    3.3   CLIMATE AND AGRO-ECOLOGICAL ZONES ................................................................ 18

    3.4   Socio-Economic Setting ................................................................................................... 22

4     POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK FOR ATAAS ................................. 31

    4.1   The Policy Framework ...................................................................................................... 31

    4.2   The Legal Framework ....................................................................................................... 38

    4.3   International Environmental instruments/obligations for Uganda ..................................... 62

    4.4   Institutional Framework .................................................................................................... 66

5     POTENTIAL ENVIRONMENTAL AND SOCIAL CONCERNS ............................................... 67

    5.1   Lessons learnt from the Earlier NAADS and NARO Phases ........................................... 67

    5.2   Potential environmental and social impacts of possible ATAAS Subprojects .................. 67

    5.3   SOCIAL ISSUES .............................................................................................................. 72

6     ENVIRONMENTAL AND SOCIAL SCREENING PROCESS ................................................ 80

    6.1   Environmental Principles .................................................................................................. 80

7     ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN .................................................... 94

    7.1   Introduction ....................................................................................................................... 94

    7.2   Guidelines for an Environmental Management Plan (EMP) ............................................. 95

Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                                                                ii
    7.3    Environmental Management In Subprojects .................................................................... 96

    7.4    Pest Management ............................................................................................................ 97

    7.5    Protected Areas, Natural Habitats and Forests ................................................................ 97

    7.6    Protecting Cultural Heritage ............................................................................................. 98

8     ESMF COORDINATION AND IMPLEMENTATION............................................................. 100

    8.1    Institutional Structure and Responsibilities ..................................................................... 100

    8.2    Annual Reviews And Auditing ........................................................................................ 106

9     CAPACITY BUILDING PROGRAMMES FOR THE IMPLEMENTATION OF ESMF ........... 108

    9.1    Institutional Capacity Assessment .................................................................................. 108

    9.2    Capacity Building ............................................................................................................ 109

    9.3    Training needs ................................................................................................................ 110

    9.4    Training Modules ............................................................................................................ 112

    9.5    Monitoring ....................................................................................................................... 113

    9.6    Reporting ........................................................................................................................ 114

10 REFERENCES ..................................................................................................................... 115

APPENDIX 1 -           Environmental and Social Review (ESR) Form................................................. 116

APPENDIX 2 -    Projects to be considered for Environmental Impact Assessment as in the Third
Schedule of the National environment Act Cap. 153................................................................... 119

APPENDIX 3 -           Agricultural Production Zones and Selected Enterprises .................................. 123

General Environmental Management Conditions for Construction Contracts............................. 127

APPENDIX 4 -           Zonal Institutes and their geographical mandates ............................................ 137

APPENDIX 5 -           Persons Contacted ............................................................................................ 139

    10.1       Commodity Pesticide Fungicide Herbicide ........................................................... 154




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                                                               iii
11 Dithane ................................................................................................................................. 154




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

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ACRONYMS

AfDB                 African Development Bank

ARATP II             Agricultural Research and Training Project Phase II

ASL                  Above Sea Level

ATAAS                Agricultural Technology and Agribusiness Advisory Services

BuZARDI              Buginyanya         Zonal   Agricultural       Research        and     Development
                     Institutes

CAADP                Comprehensive Africa Agriculture Development Program

CBD                  Convention on Biological Diversity

CDM                  Clean Development Mechanism

CDRN                 Community Development Resource Network

CDO                  Community Development Officer

CSO                  Civil Service Organizations

DANIDA               Danish International Development Agency

DEOs                 District Environment Officers

DPs                  Development Partners

DRC                  Democratic Republic of Congo

DSIP                 Development Strategy and Investment Plan

EAAPP                East Africa Agricultural Productivity Project

EDC                  Enterprise Development and Commercialization

ESMF                 Environmental and Social Management Framework

EU                   European Union
Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

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HIV/AIDS             Human Immune Virus/Acquired Immune Deficiency Syndrome

IBC                  Institutional Biosafety Committees

IDA                  International Development Agency

IFAD                 International Fund for Agricultural Development

IFPRI                International Food Policy Research Institute

ITCZ                 Inter-Tropical Convergence Zone

EC                   European Commission

EFP                  Environmental Focal Person

EIA                  Environmental Impact Assessment

EIE                  Environmental Initial Evaluation

EIR                  Environmental Impact Review

EIS                  Environmental Impact Statement

FACE                 Forests Absorbing Carbon Emissions

FAO                  Food and Agriculture Organization

FI                   Farmer Institutions

FG                   Farmer Groups

GEF                  Global Environment Facility

GMOs                 Genetically Modified Organisms

GoU                  Government of Uganda

IDA                  International Development Association

LEA                  Limited Environmental Assessment


Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

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LVEMP II             Lake Victoria Environment Management Project Phase 2

LVFO                 Lake Victoria Fisheries Organization

MAAIF                Ministry of Agriculture, Animal Industry and Fisheries

MFPED                Ministry of Finance of Planning and Economic Development

NAADS                National Agricultural Advisory Services

NAP                  National Action Plan

NAPA                 National Adaptation Programmes of Action

NARO                 National Agricultural Research Organization

NBC                  National Biosafety Committee

NDP                  National Development Plan

NEMA                 National Environment Management Authority

NUSAF 2              Northern Uganda Social Action Fund Phase 2

NRM                  National Resistance Movement

NWSC                 National Water and Sewerage Corporation

PB                   Project Brief

PDOs                 Project Development Objectives

PID                  Project Information Document

PFA                  Prosperity for All

PRDP                 Peace, Reconstruction and Development Program

PPE                  Personal Protective Equipment

RCE                  Regional Centre of Excellence


Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            vii
SIL                  Specific Investment Loan

SLM                  Sustainable Land Management

SWAP                 Sector Wide Approach

UBOS                 Uganda Bureau of Statistics

UNCST                Uganda National Council of Science and Technology

UNEP                 United Nation Environment Programme

UNCCD                United Nations Convention to Combat Desertification

UNFCCC               United Nations Framework Convention on Climate Change

UPE                  Universal Primary Education

UWA                  Uganda Wildlife Authority

WHO                  World Health Organization

WRMD                 Water Resources Management Department

ZARDI‟s              Zonal Agricultural Research Development Institutes




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

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GLOSSARY OF TERMS
Cumulative Impacts/Effects: The total effects on the same aspect of the environment
resulting from a number of activities or projects.

Developer/Proponent/Sponsor: The entity – person/ company/agency – proposing to
develop/implement/install a new project/sub- project or expand an existing project under
the ATAAS Project.

Direct Impacts: An effect on the environment brought about directly by the ATAAS
project activities.

Disclosure: Information availability to all stakeholders at all stages of the development
of projects.

Environmental Impact Assessment (EIA): A comprehensive analysis of the project
and its effects (positive and negative) on the environment and a description of the
mitigative actions that will be carried out in order to avoid or minimize these effects.

Environment: Physical, biological and social components and processes that define our
surroundings.

Environmental Monitoring: The process of examining a project on a regular basis to
ensure that it is in compliance with an Environmental Management Plan (EMP) as will be
approved by NEMA after EIA study.

Involuntary Resettlement: The forceful loss of land resources that requires individuals,
families and / or groups to move and resettle elsewhere.

Impact: A positive or negative effect that a project has on an aspect of the environment.

Indirect impact: A positive or negative effect that a project indirectly has on an aspect
of the environment.

Lead Agency: The agency with primary responsibility for the protection of the
environment. For instance, the lead agency for environment matters in Uganda is the
National Environment Management Authority (NEMA).

Mitigation Measures: The actions identified in an EIA to negate or minimize the
negative environmental impact that a project may have on the environment.



Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

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Pollution: Contamination altering the state of purity (e.g. chemical effluent discharge
into a surface water body).

Project and Sub-Project: A set of planned activities designed to achieve specific
objectives within a given area and time frame. With respect to ATAAS Project, the
terminology can be confusing. The project in World Bank terms in the ATAAS project;
and all proposals subject to intermediary loans are subprojects.

Project Brief: An outline of the planned development giving a brief background of the
project in terms of in-puts; activities to be undertaken; and their likely impacts.

Scoping: The initial stage in an environmental assessment that establishes the extent of
the development and its likely environmental and social parameters that will be affected.

Screening: An initial step in which, a project will be considered for environmental
assessment as well as, the level and focus of the assessment as per the Third Schedule
of the National Environment Act Cap 153.

Significance: Level or scale of importance.

Significant effect: An impact with a magnitude on the environment.

Stakeholder: Any person, group, institution or agency that has an interest in the project,
and the environmental effects that the project may bring about.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            x
EXECUTIVE SUMMARY
BACKGROUND
Agriculture is one of the key sectors of the Ugandan economy and features prominently
amongst the top five priority areas for public sector investment in the country‟s new five
year strategic framework for economic development, the National Development Plan
(NDP). It is also the centerpiece in the Prosperity for All (PFA) program, the vision
driving the NDP based on the political manifesto of the NRM. The sector contributes
nearly 20 percent of GDP, accounts for 48 percent of exports and provides a large
proportion of the raw materials for industry. Food processing alone accounts for 40 per
cent of total manufacturing. It employs 73 percent of the population aged 10 years and
older.

In the past, the World Bank has supported agricultural research and advisory services
through two parastatal bodies, the National Agricultural Research Organization (NARO)
and National Agricultural Advisory Services (NAADS), given their critical contribution to
pro-poor agricultural growth in Uganda. Both agricultural research and NAADS were key
pillars of the Plan for Modernization of Agriculture (PMA), the strategic framework for the
sector since 2001. Both areas are also core functions and mandates of MAAIF under the
proposed DSIP, and are projected to absorb more than 50 percent of total sector budget
over the next five years. Despite the critical role of these “supply side” interventions, it is
increasingly recognized by GoU, other stakeholders and the Development Partners
(DPs) that, other core public functions which are core mandates of MAAIF under the
proposed DSIP such as animal and plant disease control, regulatory services, water for
agricultural production, sector statistics and monitoring and evaluation, etc. need to be
also supported to ensure enduring agricultural growth, including the desired impact of
research and advisory services.

THE ATAAS PROJECT
The ATAAS project will build on the accomplishments of the completed Second Agricultural
Research and Training Project (ARTP II) and the nearly completed National Agricultural Advisory
Service Project (NAADS). Both programs are rated as satisfactory in achieving their PDOs.
Significant institutional development progress has been achieved under these projects, including:

               the establishment of a decentralized, demand driven and pluralistic advisory services
                through the NAADS Act in 2000;

               the building up of NARO since 1992 and then the reform of the National Agricultural
                Research System (NARS) through the NARS Act in 2005;


Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            I
               innovative designs of both NARO and NAADS and building basic capacities
                for enhanced and effective service delivery; and

               strengthened stakeholder-driven NARO and NAADS governing entities at the
                national and zonal levels.

There is considerable evidence of impact at the farm level in terms of technology
dissemination and adoption, household incomes and other outcome measures. The next
phase would consolidate the achievements of the previous projects by further
strengthening the institutions, deepening their effectiveness and outreach, and move the
agenda forward under a unified framework for substantive research and service delivery.
NARO and NAADS are now well-positioned to exploit synergies and deliver increased
results for the sector.

ATAAS COMPONENTS
The project will be implemented through two main sub-components namely:

Component 1: Supporting the National Agricultural Research System. This
component will focus on supporting agricultural research in Uganda through three sets of
activities. It will have three sub-components, namely: (i) technology development and
adaptation; (ii) outreach and technology dissemination; and (iii) institutional
strengthening of the research system.

Component 2: Strengthening the Agricultural Advisory Services. This component
will support the delivery of quality agricultural advisory services. It will have four sub-
components: (i) advisory and information services to farmers; (ii) agribusiness and
market linkages; (iii) planning, monitoring/quality assurance; and (iv) institutional
development and program management. This component will build on core principles of
the current NAADS program.

ENVIRONMENTAL AND SOCIAL IMPACTS

POSITIVE I MPACTS OF THE ATAAS

Anticipated positive impacts of the project can be summarized as:

               Empowerment of vulnerable Groups especially women

               Re-orientation of mode of service delivery

               Re-organization of Farmers Institutions through:


Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            II
                -    Mass mobilization and sensitization;

                -    Group formation and development;

                -    Farmer fora formation and development; and

                -    Enterprise selection and development.

               Impacts on production and productivity

               Creation of Better Marketing Opportunities

               Contribution to Improved GDP

               Improved Environmental and Natural Resources Management

               Promotion of Public-Private Partnership

               Institutional Capacity Building

               Enhanced Regional Collaboration in Agricultural Research

               Standardization of Service Providers



NEGATIVE I MPACTS

By and large, there are likely to be no potential large-scale, significant or irreversible
adverse environmental impacts associated with ATAAS Project implementation.
However, there are likely to be potential risks or negative impacts that could arise from
its implementation and their mitigation measures have been proposed in the ESMF. It is
important to note that, the ESMF provides a broader framework of environmental and
social impacts of the planned project without necessarily getting to the specifics of the
activities that will be defined once the details of the sub-projects are known.

THE ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK
The objective of the ESMF is to provide an Environmental and social screening for the
planned projects. It is intended to be used as a practical tool during project
implementation. It explicitly describes the environmental steps to be undertaken in the
implementation of the planned subprojects under ATAAS Project activities. The ESMF is
to ensure that the implementation of the ATAAS projects activities will be carried out in
an environmentally and socially sustainable manner.

Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            III
It also provides a framework to enable communities/beneficiaries screen sub-projects
and institutional measures to address adverse environmental and social impacts. In
order to ensure sustainability of the ATAAS activities, the ESMF is expected to cover the
environmental unknowns, to help in the Environmental Screening, and to recommend
appropriate mitigation measures. The screening and review process will determine how
and when a particular subproject will trigger a given safeguard policy, and what
mitigation measures need to be put in place. Ideally, the screening and review process
will also ensure that, subsequent sub-projects with potentially significant impacts will
require further environmental studies whose scale will be appropriate to the planned
activities.

The ESMF is to stipulate among others, the Environmental Management Plan (EMP)
together with its mitigation measures, monitoring indicators as well as, institutional
responsibilities which have to be integrated into the formulation, and the implementation
and operation of the Project‟s activities to minimize any adverse environmental and
social impacts of the Project. Such a framework is what is important at this preparatory
stage of the Project as the exact details and location of the component activities are not
yet confirmed with certainty. The Social Safeguard Policies also require that, the ESMF
must be disclosed as a separate and stand alone by the Government as a condition for
Bank Appraisal of the ATAAS.

INSTITUTIONAL FRAMEWORK
Taking into consideration the need for environmental and social compliance for the
ATAAS activities, an effective and efficient institutional and management structure is a
critical foundation for the implementation of the project and the eventual achievement of
the planned project development strategies. The overall coordination of ATAAS will be
entrusted in the Coordination Unit to be housed in NARO which will be responsible for
the projects activities and related programmes while MAAIF will maintain policy oversight
over the implementation of the project.

THE ENVIRONMENTAL AND SOCIAL SCREENING PROCESS
The screening process is designed to determine which projects require a full EIA
process and which do not. Screening is done with the aid of EIA « Screening Forms ».
The screening process ensures objectivity and transparency.

Not all development projects may necessarily cause adverse effects on the environment
due to differences in scale and types of activities to be undertaken during their
implementation and their location. This therefore implies that, not all proposed projects
requiring Environmental Assessments shall undergo full scale EIA process.

Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

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The objective of the screening phase therefore is to determine if a proposed project
does/or does not have significant environmental and impacts. If it is determined not to
have potential to cause significant environmental impacts, it shall be categorically
excluded from further environmental impact assessment, and an appropriate decision
shall be made to approve and implement the project, with, where appropriate,
recommendations to the developer, for sound environmental management of the project.

If it is not exempt, and is found to have potential significant environmental impacts,
further screening is conducted to determine if mitigation measures can readily be
identified through further Environmental Impact Review (EIR) or a full Environmental
Impact Study (EIS) shall be required. If in conducting the EIR adequate mitigation
measures are incorporated for the identified impacts, the environmental aspects of the
project can be approved.

The screening process, therefore, assists in determining whether a proposed sub-project
clearly does not require EIA i.e.; exempt category, has significant environmental impacts
for which mitigation measures can readily be identified either directly or through
environmental impact review, or has significant environmental impacts whose mitigation
measures cannot readily be identified, hence requiring a detailed Environmental Impact
Study.

If a decision is made at the screening stage to exempt a project, or to approve its
environmental aspects on the basis of identified mitigation measures, such a decision
shall be contained in a Certificate of Approval of the Environmental Impact
Assessment issued by the Executive Director of the National Environment Management
Authority.

If, however, after screening, it is determined that the project requires a detailed
Environmental Impact Study (EIStudy), such a certificate shall only be issued after
approval of an Environmental Impact Statement (EIS) done subsequently.

ENVIRONMENTAL AND SOCIAL CHECKLISTS
The environmental and social check lists have been compiled and will be completed by
the developers or where need be and depending on the availability of resources, an
external consultant may be hired to provide such services. Details of the checklists have
been worked out and can readily be used.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

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ENVIRONMENTAL MONITORING AND FOLLOW UP
Environmental monitoring aimed at checking the effectiveness and relevance of the
implementation of the proposed mitigation measures. In order to assess the efficiency of
ATAAS sub-project activities, the will be need to provide monitoring indicators to bench
mark the activities. Monitoring will act as a check balance between environment and
development i.e. to determine whether the mitigation measures have been successful in
such a way that the pre- program environmental and social condition have been
restored, improved upon or worst than before and to determine what further mitigation
measures may be required. The responsibility for monitoring and evaluation of the
mitigation measures is assigned at two different levels i.e. the local and national level.

CAPACITY BUILDING
It is envisaged that, effective implementation of this ESMF will require adequate capacity
enhancement within the collaborating institutions and other stakeholders. In light of this,
ATAAS has provided for capacity building component through which, the capacity of key
stakeholder institutions will be strengthened through tailor made training programmes
whose focus, emphasis mode of deliver including the content will be in line with the
capacity needs of such entities. The training will also address the implementation needs
of the ESMF as well as, the technical aspects relevant to the ATAAS. Training on ESMF
will be undertaken in three levels namely; the local communities (farmers), NARO and
NAADS technical staff and the ELU staff in the collaborating sector ministries and
institutions.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

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1 INTRODUCTION

1.1 BACKGROUND
Agriculture is a key sector of the Ugandan economy and features prominently amongst
the top five priority areas for the public sector investment in the country's new five year
strategic framework for economic development, the National Development Plan (NDP),
The sector contributes nearly 23.7 percent of GDP1, accounts for 48 percent of exports
and provides a large proportion of the raw materials for industry. Food processing alone
accounts for 40 per cent of total manufacturing. The sector employs 73 percent of the
population aged 10 years and older. It is within this framework that the new
Development Strategy and Investment Plan (DSIP) for the agriculture sector is being
designed by the Ministry of Agriculture, Animal Industry and Fisheries (MAAIF). The
DSIP envisages a comprehensive Sector Wide Approach (SWAP) aligned with the
principles and aspirations of the Comprehensive Africa Agriculture Development
Program (CAADP), which has been endorsed by African governments, including the
Government of Uganda (GoU).




1 In 2008/09

Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            1
The DSIP will focus on four main intervention and investment areas, namely: (i)
enhancing agricultural production and productivity; (ii) improving access to and
sustainability of markets; (iii) creating an enabling environment for the agricultural sector;
and, (iv) undertaking agricultural sector institutional reforms and development. The
provision of agricultural research and advisory services, for which the Bank has been a
major supporter over the past about 15 years , is well established as the most significant
contributor to agricultural growth in Uganda, according to an IFPRI study on the impacts
of public expenditures. A rigorous impact evaluation of the National Agricultural Advisory
Services (NAADS) provides evidence of its positive impact on farm productivity, income
and wealth. National Agricultural Research Organization (NARO) has also just
completed an impact evaluation which shows high returns to its investment in research.
Uganda's system of agricultural technology development and dissemination, which has
reached one million Ugandan farmers through NAADS and many more through research
outreach, merits continued support as a core public good needed to raise productivity in
an agriculture-based country such as Uganda. The Bank has been a major contributor to
both these programs and there is a strong rationale for continuing this support. The
Government of Uganda fully recognizes the critical importance of these two services for
its agriculture and development agenda.


1.2 AGRICULTURAL PERFORMANCE
Recent performance of the agriculture sector in Uganda appears to have been poor
according to the national accounts data. The official statistics indicate that the
agricultural sector grew at an average annual rate of just 1.3 percent from 2003 to 2008,
significantly lower than the government target of more than 3.8 per cent. Other data,
however, suggest that the overall performance has not been quite so dismal. The data
on poverty reduction, including among rural Ugandans, show a significant reduction in
poverty from 38 percent in 2002 to 31 percent in 2005. The food prices have been quite
stable until the unusual rise in 2008 in contrast to the steep increases in neighboring
countries like Kenya, Ethiopia, and Sudan. Exports of food staples to Kenya, Rwanda,
and recently to southern Sudan and DRC have been rising rapidly with Uganda
increasingly being looked at as a potential bread-basket for East Africa. Stable prices
with increased food exports are suggestive of a non-stagnant agriculture. Some of these
developments are corroborated from the findings of the two NAADS evaluation surveys,
which show an increase in median real wealth per capita of about 10 percent (across all
households surveyed) between 2004 and 2007. Similarly, the real gross value of
agricultural production increased between 2004 and 2007 by 57 percent, and yields
increased by 39 percent for maize, 16 percent for rice, 14 percent for sweet potato and 5
percent for cassava (yields for sorghum and millet declined by 28 percent and 13
percent, respectively, on the other hand declined).

Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            2
Over the past two years, the Development Partners have been engaged with the
Government at the highest levels on key implementation issues concerning NAADS.
This dialogue has resulted in important adjustments to the program in an effort to
strengthen its implementation and address the main political concerns, including: (a)
mode of agricultural extension service delivery, including the utilization of government
extension workers, the role of private service provision and the role of the research
institutions; (b) the role of NAADs in agro-processing, including promoting public private
partnerships; the development and/or strengthening of higher level farmer organizations,
introduction and promotion of specific technologies; and facilitating linkages throughout
the value chains, and; (c) progression of farmers through a typology of farmer types,
including the development of criteria for selection of farmers in the different farmer types
(demonstration, lead, model and nucleus farmers) and guidelines for implementation.

The continued vulnerability of the program, however, was witnessed again in early 2009,
when the issue of farmer selection under (c) resurfaced after the Government issued
directives to implement its PFA strategy of focusing resources and services on six
farmers per parish, a deviation from the NAADS Act and guidelines. Continued
engagement again helped reach a compromise position that allowed the program to
continue as designed during the bridging phase and to revisit the issue during the design
of the next phase of support. However the political message had already been sent to
local government and has proved difficult to rescind. To move forward on the next
phase of support to NAADS under ATAAS, the World Bank (and other DPs) will seek to
reach an agreement on this issue as well as a confirmation of the core principles and
modalities of the NAADS design with Government before proceeding with subsequent
implementation.




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1.3 AGRICULTURAL TECHNOLOGY AND ADVISORY SERVICES
The ATAAS project will build on the accomplishments of the completed Second
Agricultural Research and Training Project (ARTP II) and the nearly completed National
Agricultural Advisory Service Project (NAADS). Both programs are rated as satisfactory
in achieving their PDOs. Significant institutional development progress has been
achieved under these projects, including (i) the establishment of a decentralized,
demand driven and pluralistic advisory services through the NAADS Act in 2000; (ii) the
building up of NARO since 1992 and then the reform of the National Agricultural
Research System (NARS) through the NARS Act in 2005; (iii) innovative designs of both
NARO and NAADS and building basic capacities for enhanced and effective service
delivery; and (iii) strengthened stakeholder-driven NARO and NAADS governing entities
at the national and zonal levels. There is considerable evidence of impact at the farm
level in terms of technology dissemination and adoption, household incomes and other
outcome measures. The next phase would consolidate the achievements of the previous
projects by further strengthening the institutions, deepening their effectiveness and
outreach, and move the agenda forward under a unified framework for substantive
research and service delivery. NARO and NAADS are now well-positioned to exploit
synergies and deliver increased results for the sector.

A new element in the next phase will be increased attention to sustainable land
management (SLM) to help prevent and reduce the impact of land degradation
processes on ecosystem services in agricultural landscapes. This effort is envisaged to
strengthen farmers‟ capacity to adapt to climate change. This support will build on the
Bank‟s SLM per the Uganda Strategic Investment Framework for SLM and the current
DSIP through generation and dissemination of proven SLM technologies such as
integrated nutrient management, agro-forestry, reduced tillage, and water harvesting,
among others. Global Environment Facility (GEF) grants will be used for these activities,
and will be fully blended with IDA and other financial resources to promote SLM. GEF
support would also finance the GoU‟s on-going effort as part of CAADP pillar 1 to
improve institutional capacity to carry out multi-sector investment programming and
monitoring on land use, land management, and land use change. This effort is led by
MAAIF and involves NARO, NAADS and five line ministries.

The ATAAS project will be supported by other Development Partners in addition to IDA.
IFAD will continue with the current arrangements it has with the World Bank for NAADS
for management of their funds. The EU, DANIDA, and the African Development Bank
(AfDB) are the other DPs who will participate in the program through parallel financing to
a “basket fund” and have actively been participating in the project identification and
preparation.


Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            4
1.4 PROPOSED PROJECT DEVELOPMENT OBJECTIVE(S)
The project development objective (PDO) is to increase agricultural productivity and the
household incomes of participating smallholder farmers. Project activities will contribute
to this objective by transforming and improving the performance of the agricultural
technology development and advisory service systems in Uganda. The proposed key
performance indicators are (i) farmer adoption rates of improved agricultural
technologies, including SLM technologies; (ii) percentage increase of the agricultural
income of households participating in the project; and (iii) proportion of participating male
and female smallholder farmers who are satisfied with agricultural research and
extension services.


1.5 PROJECT DESCRIPTION
The project will be implemented over a five year period (2010-2015).This is to enable up-
scaling and consolidation of research and advisory services activities supported in the
previous phases, and to continue to have impact on productivity growth at the farm level.
Financing will be provided through joint DP Basket Funding arrangements, under which
IFAD will be co-financing the project with the funds being managed by IDA. EC, AfDB,
and DANIDA have committed to provide funds to the basket. The proposed IDA
allocation is US$100 million with IFAD co-financing of a minimum of US$30 million.
Government co-financing is estimated at US$50 million. In addition, the GEF grant will
be blended with IDA in the amount of US$7.2 million to promote SLM and to respond to
climate change. The project is to be financed by a Specific Investment Loan (SIL).


1.6 PROPOSED ATAAS COMPONENTS
Two project components have been proposed and these are:

    1.1.1 COMPONENT 1: SUPPORTING THE NATIONAL A GRICULTURAL RESEARCH
          SYSTEM

This component will focus on supporting agricultural research in Uganda through three
sets of activities. It will have three sub-components, namely:

    i.    technology development and adaptation;
   ii.    outreach and technology dissemination; and
  iii.    Institutional strengthening of the research system.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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The details of each of these sub-components include the following:

1.1.1.1 T ECHNOLOGY D EVELOPMENT AND A DAPTATION

The project will support (i) on-going core national strategic and agro-ecological zone
specific adaptive research which addresses problems of dominant production and
resource management systems; (ii) newly initiated research to respond to serious
emerging problems; and (iii) other important research priorities through National and
Zonal competitive grant schemes. Increased attention will be given to developing
adequate measures for agriculture to cope with climate change. The project will support
the adaptation of technologies (e.g. drought resistant varieties and enhanced soil/water
management) and finance studies on mitigation of the effects of climate change.

1.1.1.2 O UTREACH AND T ECHNOLOGY D ISSEMINATION .

The ultimate objective of generating any technology is impact through widespread
adoption. Up to now research-extension linkages and interactions in Uganda have been
successful but not systematic. The project will support the formalization of NARO-
NAADS collaboration to: (i) ensure more effective dissemination and adoption of existing
“on the shelf” technologies; (ii) facilitate more effective and efficient technology
adaptation; and (iii) facilitate continuous feedback of farmers, advisory service providers
and other stakeholders to NARO institutions on the performance of new technologies
and newly emerging needs. Through training, research institutions will also help
strengthen the capacity of extension service providers in both the public and private
sector in technology adaptation and promotion.

1.1.1.3 I NSTITUTIONAL S TRENGTHENING                  OF THE     R ESEARCH S YSTEM

The effectiveness and interaction of the key elements of the NARS will be reinforced
through: (i) National Agricultural Research Institutes (NARIs) being capacitated and
facilitated with some becoming Regional Centers of Excellence; (ii) Zonal Agricultural
Research and Development Institutes (ZARDIs) capacity strengthening, including for
governance by their local stakeholders; (iii) public and private research providers
operating in synergy; and (iv) the NARO Council of Stakeholders efficiently and
effectively coordinating the NARS. As part of capacity building, physical infrastructure
improvements are needed at several of NARIs and ZARDIs, including new civil works in
the three newly established ZARDIs. In most other cases, this will entail rehabilitation
and upgrading of existing facilities and in some cases new civil works are proposed for
expansion or addition of essential facilities. In all cases, civil works will be on land
already owned by NARO, thus requiring no land acquisition (and hence no involuntary
resettlement).

Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            6
    1.1.2 COMPONENT 2: STRENGTHENING THE A GRICULTURAL ADVISORY
          SERVICES

This component will support the delivery of quality agricultural advisory services. It will
have four sub-components: (i) advisory and information services to farmers; (ii)
agribusiness and market linkages; (iii) planning, monitoring/quality assurance and (iv)
institutional development and program management. This component will build on core
principles of the current NAADS program and it will make substantial efforts to deepen
NAADS by increasing its outreach to more farmers as well as assisting farmers to move
up the value chain. NAADS has been very successful in reaching to the grassroots, and
given its visibility at the local level has therefore been subject to political interference. In
this phase, the farmer-group based approach and farmer empowerment will remain
central to the service delivery model, and will be strengthened as key elements of the
program design. The concept of farmer progression, from subsistence to model to
nucleus farmers with linkages up the value chain will be fully developed to support
progressive commercialization of agriculture. Agreements reached with the country‟s
leadership on the basic approaches guiding the NAADS program will be at the core of
the ATAAS design and final project agreements.

1.1.2.1 A DVISORY             AND INFORMATION SERVICES TO FARMERS

The project sub-component is envisaged to support initiatives by men and women
farmers, working together in groups to contract agricultural advisory services. Matching
grants would be channeled through sub-county governments to farmers‟ fora to finance
such contracts. Services contracted under this mechanism would include group
mobilization for farmers, participatory planning, farm advisory services, and information
and communications. The process of sub-county enterprise selection would be well
linked with the research system. Advisory services provide the “push” to allow farmers
to benefit from better linkages to market.

1.1.2.2 A GRIBUSINESS                   AND MARKET LINKAGES

The project would support linkages between agribusiness, farmers, advisers and
researchers to create viable, sustainable market linkages. Building on successful
partnerships model developed by NAADS, the program would use the market to “pull”
farmers out of subsistence agriculture.




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Prepared by Africa Services Group Ltd                                                                            7
1.1.2.3 P LANNING , M ONITORING /Q UALITY A SSURANCE

The NAADS Board and Secretariat, in conjunction with MAAIF, would continue to set
standards and provide a regulatory framework for service providers by setting and
enforcing standards for qualification and performance, and developing model contracts.

1.1.2.4 I NSTITUTIONAL D EVELOPMENT AND P ROGRAM                         MANAGEMENT

 Established institutional entities at all levels of Government would be supported to
coordinate and administer the program. At national level, this will include maintenance of
the NAADS Board and Secretariat. At district and sub-county levels, district and sub-
county NAADS coordinators will be supported to facilitate the bottom-up planning
process of the program and liaise with other stakeholders to provide consultation and
dialogue These positions will be mainstreamed into the government structure, and will
support the facilitation, co-ordination, financial management and reporting, and oversight
of service contracts.       In addition, the management information system will be
strengthened, as well as the data gathering procedures for baseline establishment and
impact evaluation.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            8
2 PROJECT ENVIRONMENTAL AND SOCIAL
  MANAGEMENT
2.1 OVERVIEW
Good environmental and social management practice is a well-established element of
project preparation and implementation. The Environment and Social Management
Framework (ESMF) summarizes the prevailing policies, guidelines, procedures,
implementation roles and responsibilities to be integrated into the implementation of the
planned ATAAS and describes the principles, objectives and approach to be followed in
minimizing and mitigation of the adverse environmental and social impacts anticipated
during the implementation of the proposed ATAAS Project activities.

According to Ugandan Environmental law, ESIA is a requirement for mainly large scale
investment activities. However there are no clear EIA requirements for small scale
investments such as those anticipated in ATAAS which might have negative localized
impacts that would require appropriate mitigation. This is the reason why ATAAS will use
the environmental and social screening process outlined in this ESMF. The ESMF is
intended to be a practical tool during project formulation, design, monitoring and
implementation and describes the steps involved in identifying and mitigating potential
negative environmental and social impacts of future investment activities. It is a living
document that may be revised from time to time to improve its effectiveness and
efficiency based on the implementation experiences and feedback from stakeholders.
Relevant simplified versions handbooks with messages relating to the ESMF are
proposed to be prepared to guide its implementation.

2.2 OBJECTIVES
The objective of an ESMF is to ensure that the ATAAS is implemented according to GoU
environmental and social management guidelines and the World Bank's safe guard
policy on Environmental Assessment. The ESMF will provide an environmental and
social screening process for the ATAAS activities and address potential adverse
environmental and social impacts.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            9
2.3 STUDY APPROACH
The study was conducted by the consultant using the following approach and
methodology:

LITERATURE REVIEW

The ESMF was prepared based on existing general literature, among them; relevant
national legislations and policies on environment and social development e.g. the
Constitution of the Republic of Uganda 1995, the National Environment Act Cap 135, the
National Environment Management Policy 1994, the National Gender Policy 1997 and
the EIA Guidelines 1997, the EIA Regulations of 1998. Other documents consulted
included ESMP for the following projects; LVEMP II, NUSAF II, NWSC as well as the
ESMF for East African Agricultural Productivity Project. These amongst others, were
very useful in the preparation of this ESMF.

    2.3.1 INTERACTIVE DISCUSSIONS

The consultant held consultative discussions with a number of stakeholders such as;
District Focal Farmer Groups, members of the private sector dealing in enterprises
relating to agricultural development, technical staff of both NAADS and NARO as well
with members of the donor groups in Kampala. During the meetings, the following
emerged:

     (a) It is important to package relevant environmental and social information for the
          project in a user friendly manner for the farmers;

     (b) In some of the areas especially rice growing areas, the parents withdraw their
          children from school to scare birds. This has an effect on the UPE programme.
          The ATAAS project will put in place measures to address such social concerns;

     (c) It is important to confine new / introduced crop varieties to avoid possibilities of
          them becoming escape crops hence, posing a threat to the environment;

     (d) Farmers will be given guidance on matters on soil erosion management and tree
          planting especially multi-purpose trees. It is important that, environmental
          awareness is created amongst the farmers to enable them to see the linkages
          between environmental sustainability and crop productivity;

     (e) It is important to involve the private sector in the delivery of some of the services;
          and


Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            10
         (f) The success of the environmental integration into the ATAAS Project is very
            much dependent on the political will at various levels of government. In many
            cases, the politicians sometimes become culprits of environment abuse.

    2.3.2 PRINCIPLES AND CONSIDERATIONS

The ESMF incorporates principles of due diligence in managing potential environmental and
social risks in ATAAS project implementation. Key ESMF principles taken into
consideration include;

   i.       The proposed ATAAS project will support multiple subprojects whose detailed
            designs is not yet known at the moment. To ensure effective implementation of
            environmental and social criteria, the ESMF provides guidance on the approach
            to be taken during selection, design and implementation of subprojects and the
            planning of mitigation measures; and

   ii.      Subprojects with the potential for significant negative environment and social
            impacts are expected to be very few in number. If any are identified (through the
            subproject screening mechanism), subproject-specific environmental and/or
            social assessment will be prepared and subjected to review and approval by
            NEMA.

The ESMF is intended to be used as a practical tool during project formulation, design,
implementation and monitoring. It describes the steps involved in identifying and
mitigating the potential environmental and social impacts of future investment activities.
This ESMF has been prepared in recognition of the fact the provisions of the national
laws on EIA are less comprehensive than those of the World Bank‟s OP.4.01 which call
for the environmental screening of all Bank-financed projects.

               Development of the ESMF attempts to respond to the needs of the
                reconstruction and the opportunities provided by it, and seeks to:

               Enhance positive and sustainable environmental and social outcomes
                associated with Project implementation;

               Support the integration of environmental and social aspects associated with
                the project sub-components into the decision making process;

               Minimize environmental degradation as a result of either individual
                subprojects or their cumulative effects;

               Support and assist with the achievement of compliance with applicable laws
                and regulations and with relevant Bank policies on environment and social
                development issues.



Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Although most of the subprojects are not expected to lead to significant negative
environmental impacts, localized impacts may occur and require appropriate mitigation.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

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2.4 CONTENT OF THE ESMF
This ESMF report is structured as follows:


Section 1:             Introduction. This covers as well the description of the ATAAS Project
                       including the Components and sub-components


Section 2:             Describes the ESMF in terms of its principles and objectives. It also has
                       information on its scope and how it was prepared;


Section 3:             This Section is devoted to information on the baseline setting of the
                       project in terms of the bio-physical and social settings. It gives a
                       framework baseline data on the prevailing conditions in the country as
                       this will be a national project;


Section 4:             This section covers Policy, Legal and Institutional Framework for
                       Environmental Management as well as the World Bank‟s Safeguard
                       Policies


Section 5:             Major Environmental and Social Concerns of Potential Projects under
                       ATAAS Project;


Section 6:             Environmental and Social Screening Process


Section 7:             Environmental and Social Management Plan (ESMP);


Section 8:             ESMF Coordination and Implementation arrangements


Section 9:             Capacity Building and Training


References and Appendices constitute the other sections in the submission.




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3 BIOPHYSICAL AND SOCIO-ECONOMIC
  ENVIRONMENT OF THE COUNTRY
3.1 COUNTRY’S SETTING
Uganda lies astride the Equator, between latitudes 4o 12´ N and 1o 29´ S and longitudes
29o 34´ W, and 35o 0´ E. Temperatures are in the range of 15o - 30o C. More than two-
thirds of the country is a plateau, lying between 1 000 - 2 500 metres above sea level.
Precipitation is fairly reliable, varying from 750 mm in Karamoja in the Northeast to 1 500
mm in the high rainfall areas on the shores of Lake Victoria, in the highlands around Mt.
Elgon in the east, the Ruwenzori mountains in the south-west and some parts of Masindi
and Gulu.




FIGURE 3-1: MAP OF UGANDA
(Source: MFPED, 2004)




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            14
Uganda has a total land area of 241 548 km2, and is administratively divided close to
100 districts. Lakes, swamps and protected areas constitute 25%. More than 75% of the
country (over 18 million hectares) is available for both cultivation and pasture (Table 3-1:
Current and Potential Grazing Areas of Uganda). Pastures and grazing land are
estimated at over 16 million hectares, half of which (8.4 million hectares) is extensive
grazing. Improved pastures are estimated to comprise only 1.8 million hectares. This
land resource, together with the bodies of water, are the base upon which most of the 20
million Ugandans (1997 census estimates) and their livestock depend for their livelihood
(according to the World Fact book of July 2006 population was estimated at 28,195,754
with a growth rate of 3.37%). The capacity of this land resource to sustain the rapidly
increasing populations largely depends on the influence of edaphic (relief and soil
fertility), climatic and biotic factors and how well they can be managed to increase and
sustain its productivity.

TABLE 3-1: CURRENT AND POTENTIAL GRAZING AREAS OF UGANDA
                                             2
Land Classification                     Km                               Percentage

Grassland                               51 118.6                         21.16

Farmland                                83 931.0                         34.75

Woodland                                40 277.7                         16.67

Bush                                    14 198.6                         5.88

Total potential grazing land            189 525.9                        78.46

Total Land Area                         241 548.0                        100


(Source: Statistical Abstracts, MFPED, 2004)

Agriculture is the backbone of Uganda's economy; 95% of the population farms (both
crops and livestock) on small farms for food and cash income, and on fairly large, farms
including ranches, of an average size of 1 200 ha and crop farms (5 - 20 ha). Agriculture
contributes over 40% to the Gross Domestic Product (GDP) and over 90% to the
country's foreign exchange earnings. It also contributes over 60% of total Government
revenue in addition to employing more than 80% of the total labour force and providing
over half of the total income for the bottom three-quarters of the population (MFPED,
2004).




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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The major livestock species in Uganda include cattle, sheep, goats, pigs, rabbits and
poultry. Livestock production is an important sub-sector of agriculture contributing about
7.5% to total GDP or 17% to AGDP. It is estimated that mixed farming small holders and
pastoralists own over 90% of the cattle herd and all of the small ruminants and non-
ruminant stock; they produce the bulk of domestic milk and slaughter animals. From an
economic point of view, cattle are the most important livestock with significant
contributions, though to a lesser extent, from goats and sheep. Pig and chicken meat
production are also important.

Official statistics (MFPED, 2004) put the ruminant livestock population at 5.46 million
cattle, 5.83 million goats and 980 000 sheep in 1997 while by 2004 numbers had
increased to: cattle 6.1 million, goats 7.7 million and sheep 1.6 million . Improved breeds
are mostly kept under intensive management on small and medium sized farms under
zero grazing. The indigenous breeds, on the other hand, are kept under extensive
traditional methods. Livestock production has continued to grow in response to
increasing demand for milk as new milk plants open up, and increased demand for meat
in the local market. Eighty percent of the national cattle herd is in Southern and Western
Uganda where the average number of cattle per household is 2.11 compared to
Northern Uganda at 0.67 and the national average of 1.37. Uganda continues to import
dairy products and in 2003 milk equivalent imports were some 7,222 tonnes costing the
country US$ 2,765,000.

The 1995 constitution of the Republic of Uganda recognizes the following land tenure
systems; Customary, Freehold, Mailo and Leasehold. The different systems have had
different effects on land productivity. In communal grazing areas, since the individual
does not have legal ownership of the land, they take very little responsibility for the
damage caused by their activities. On private land, the traditional system of land
inheritance has gradually resulted in land fragmentation.

3.2 SOILS AND TOPOGRAPHY
According to Parsons (1970), the soils of Uganda have been classified as :-

               Soils of high productivity - 8% of the land area

               Soils of medium productivity - 14% of the land area

               Soils of fair productivity - 43% of the land area

               Soils of low productivity - 30% of the land area

               Soils of negligible productivity - 5% of the land area

Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            16
The main soil types are 18 divided into 7 groups based on their occurrence and
agricultural productivity:

               The Uganda surfaces cover most areas south of Lake Yoga. This group
                embraces five types of deep, sandy clay loams with medium to high
                productivity;

               The Tanganyika surfaces cover most areas north of Lake Kyoga, West Nile
                and some parts of the South Western tip of Uganda, embracing five types of
                sandy clay loam with low to medium productivity;

               The Karamoja surfaces cover the North Eastern part of the country and
                embrace two soil types of sandy clay loams and black clays with very low
                productivity;

               Rift valley soils in the Western and Northern parts of the country, bordering
                on the Western Rift Valley, embracing two types of mainly sandy clay loams
                with alluvial parent rock of medium to high productivity;

               Volcanic soils are dominant in Mt. Elgon, Northern Karamoja, and the
                extreme South Western tip of Uganda (Kabale and Kisoro) with medium to
                high productivity except in N. Karamoja where their productivity is low; and

               Alluvial soils are found outside the Rift Valley, mainly in Central Northern
                Uganda (Lango and Acholi) as well as West of Lake Victoria. The productivity
                of these sandy soils is very low.

The last group of soil types is in Northern Uganda and their productivity is low.

Based on topography, Uganda has been divided into four relief regions:-

               Above 2,000 m (2% of the land area);

               1 500 - 2 000 m (5% of the land area);

               900 - 1 500 m (84% of the land area); and

               Below 900 m (9% of the land area).




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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3.3 CLIMATE AND AGRO-ECOLOGICAL ZONES

    3.3.1 CLIMATE

Uganda's temperatures show little variation throughout the year with maxima ranging
between 25o -31oC for most areas.

Rainfall distribution has generally been categorized as:

               High: Over 1 750 mm per annum - 4% of the land area

               Moderate: 1 000-1 750 mm per annum 70% of the land area

               Low: Under 1 000 mm per annum 26% of the land area

Rainfall distribution in Southern Uganda is bimodal, allowing two crops annually, and
adequate grazing for livestock throughout the year. Around Lake Victoria the annual
rainfall averages 1,200–1,500 mm, and is well distributed. To the north, the two rainy
seasons gradually merge into one dry period at the end of the year become longer, with
annual rainfall ranging between 900-1,300 mm, this restricts the range of crops that can
be grown. These conditions are not suitable for bananas but favor extensive livestock
production. The influence of soils, topography and climate on the farming systems
(Figure 3-1: Map of Uganda) in Uganda has led to the dividing of the country into seven
broad agro-ecological zones (see Error! Reference source not found.Error!
Reference source not found.). These zones are based on soils, topography, rainfall
and major crops grown:-

    3.3.2 AGRO-ECOLOGICAL ZONES

The country can be conveniently divided into seven broad agro-ecological zones which
have similar economic and social backgrounds, and in which ecological conditions (soil
types, topography, and rainfall), farming systems and practices are fairly homogeneous.
These are often further split into sub-zones usually identified by such factors as similar
crop combinations, size of holdings, average plot sizes and yields. Based on these
divisions, defined mapping units are often worked out, together with outlines of potential
for use, as a basis for zoning and stratification for production.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            18
FIGURE 3-2: FARMING SYSTEMS IN UGANDA                     (Source: MFPED, 2004)



3.3.2.1 T HE B ANANA -C OFFEE S YSTEM

In this system, rainfall is evenly distributed (1,000-1,500 mm) on soils of medium to high
productivity. The areas cultivated per capita are small, under one hectare. Banana and
coffee are the main cash crops; root crops and several annual or biennial food crops are
on the increase. Maize is a secondary cash crop and sweet potatoes a secondary food
to bananas. Livestock is generally not integrated into the system, but dairy cattle are
gaining prominence. The typical land holding is 2-4 hectares. The vegetation is mainly
forest-savanna mosaic with pastures suitable for intensive livestock production.

3.3.2.2 T HE B ANANA -M ILLET -C OTTON S YSTEM

Rainfall for this system is less stable than for the banana-coffee system, so there is
greater reliance on annual food crops (millet, sorghum and maize). In the drier areas,
livestock      is     a     main       activity.   The     vegetation     is     moist
Combetrum/Terminalia/Butyrospermum savanna with moderate biomass production.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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3.3.2.3 T HE M ONTANE S YSTEM

This is found at higher elevations between 1,500-1,750 meters above sea level. The
area receives high and effective rainfall and cloud cover. Banana is a major staple as
well as sweet potatoes, cassava and Irish potatoes. Arabica coffee is prevalent at above
1 600 meters. Some temperate crops like wheat and barley are grown. High population
intensities and intensive agriculture are the norm because of small holdings of about 1.5
hectares. Feeding crop residues to livestock is a common practice.

3.3.2.4 T HE T ESO S YSTEM

The area receives bimodal rainfall on sandy-loams of medium to low fertility. The dry
season is longer, from December to March. The vegetation association is moist
Combetrum/Butyrospermum and grass savannas; short grassland which is ideal for
grazing. The staple foods are millet, maize and sorghum; other crops are oil seed crops
(groundnuts, simsim- Sesamum indicum - and sunflower) with cotton as the major cash
crop. Mixed agriculture (crops and livestock) is practiced, cultivation by oxen is the main
agricultural technology. Livestock are kept extensively in those areas which are tsetse-fly
free. The use of crop residues is very common in the Teso System. The average farm
size is about 3 hectares.

3.3.2.5 T HE N ORTHERN S YSTEM

The rainfall in areas of this system is less pronouncedly bimodal with about 800 mm
annually. Rainfall in the far north and north-east of the country (Kotido and Moroto) is
unimodal and too low (under 800 mm) and erratic for satisfactory crop production. The
dry season is so severe that drought tolerant annuals are cultivated; these include finger
millet (Eleusine coracana), simsim, cassava and sorghum. Tobacco and cotton are
major cash crops. The grassland is short and communal grazing abounds. This area is
well-known for its pastoral system with semi nomadic cattle herding.

3.3.2.6 T HE W EST N ILE S YSTEM

The rainfall pattern resembles that of the northern system, with more rain at higher
altitudes. Mixed cropping is common with a wide variety of crops. The system is in the
sub-humid       zone     where      the     vegetation     community      is     moist
Butyrospermum/Combetrum/Terminalia grassland. Livestock activities are limited by the
presence of tsetse fly. As in the northern system, tobacco and cotton are major cash
crops.




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3.3.2.7 T HE P ASTORAL S YSTEM

This system covers some districts in the north-east ; parts of Western and Central
Districts. Annual rainfall is low (under 1 000 mm). The system is characterised by short
grassland where pastoralism prevails with nomadic extensive grazing. Mixed herds are
common but with no sound information on cattle:small ruminant ratios for optimum
grassland use.

TABLE 3-2: SUMMARY OF AGRICULTURAL SYSTEMS OF UGANDA

         Farming system                 Districts

         Banana/Coffee System Bundibugyo, parts of Hoima, Kabarole, Mbarara,
                              Bushenyi, Mubende, Luweero, Mukono, Masaka,
                              Iganga, Jinja, Kalangala, Mpigi and Kampala

         Banana/Millet/Cotton           Kamuli, Pallisa, Tororo, parts of Masindi and
         System                         Luweero

         Montane System                 Kabale, Kisoro, parts of Rukungiri, Bushenyi,
                                        Kasese, Kabarole, Bundibugyo, Mbarara, Mbale
                                        and Kapchorwa

         Teso systems                   Soroti, Kumi, Kaberamaido

         Northern System                Gulu, Lira, Apac, Kitgum

         Pastoral System                Kotido, Moroto, parts of Mbarara, Ntungamo,
                                        Masaka, Nakasongola, Luwero and Rakai

         West Nile System               Moyo, Arua and Nebbi

                                           (Source: MFPED, 2004)




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3.4 SOCIO-ECONOMIC SETTING

    3.4.1 THE PEOPLE

The hospitality of the people of Uganda is acknowledged worldwide. The Uganda
constitution 1995 recognizes 46 tribes (GoU 1995) with varying production and
consumption patterns in the traditional setting. Modes of production and the rural
livelihood coping strategies range from mainly cultivators (e.g. Baganda, Bakiga, Bagisu
and Basoga) to pastoralists (e.g. the Karimojong and the Bahima) the rest of the people
derive their livelihoods from a mix of livestock keeping and cultivation or agro-
pastoralism. In addition, Uganda has been and still is, home to several thousand
refugees from neighboring countries. There are also other non-citizens residing in
Uganda as a preferred place for home or where they are engaged in various economic
activities. This mosaic provides Uganda with a rich cultural base and opportunities for
modernization. However, there are also challenges the people of Uganda face, among
others are: (i) rapid population growth and the ensuing pressures on the country‟ s
natural capital; (ii) inadequate provision of, and demand for, social services and
infrastructure; and (iii) poor environmental conditions. Population Growth

In Uganda, the 20th century marked an unprecedented population growth and economic
development as well as environmental change. The Census report of 2002 put the
country‟s population at 24.7 million people in 2003. The current growth rate of 3.4% per
year is higher than the 2.9% that was envisaged for the period 1991 – 2002. With the
prevailing trends, the population of Uganda is likely to reach close to 50 million by 2025.
Figure 3-3: Population trends in uganda, shows the population trends in Uganda from
1959 to 2005. Population is a key determinant of economic and social well being and
the underlying force behind environmental degradation.

The population of Uganda as of 2007 was 30.6 million people; population growth is 3.3%
life expectance is 52.4, mortality rate, infant (per 1,000 live births). Literacy rate, youth
female (% of females ages 15-49) 84.2% GNI (current US$) 370; prevalence of
HIV/AIDS, total (% of population ages 15-49), 5.4% (World Development Indicators).

In summary, Uganda's population is characterized by:

               Rapid population growth estimated at 2.5 per cent per annum.

               Young population with a median age of 17.5 years and high dependency ratio
                at 1.03.

Very high total fertility rate at an average of 7 births per woman and there is no evidence
that fertility will decline soon.

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International migration contributes a very small proportion of about 3% to the overall
growth of Uganda's population. However, the current situation in the region may have
changed the status because of immigration of refugees.




FIGURE 3-3: POPULATION TRENDS IN UGANDA
1959 - 6.5, 1969 - 9.5, 1980 - 12.6, 1991 - 16.7, 2002 - 24.7, 2003 - 25.5, 2004 -26.4, 2005 - 27.3
1959 – 2002 = ACTUAL
2002 – 2005 = PROJECTED
SOURCE: UN SYSTEM (2004)

The proportion of the elderly (dependants) age 60 years and above had decreases from
5.9% in 1969 to 4.5% in 2002. Despite the depicted decrease in the percentage of
elderly people, a significant quantitative increase from 556 000 people in 1969 to 1.1
million people in 2002 was recorded (UBOS, 2002).

Table 3-3: Selected Percentages of Uganda's Population 1969, 1991 and 2002 further
depicts that the median age of Ugandans has been declining over time from 17.2 in
1969 to 15.6 in 2002. This indicates that the Ugandan population is becoming younger
gradually. When this high population of the young reaches productive age, the result will
be a high population growth rate for some years to come (UBOS, 2002). Other things
being equal, this may also mean increased pressure of the country‟s natural resources
and possibly higher levels of environmental degradation. On the other hand, a youthful
population offers opportunities for the creation of increasing environmental awareness
through education within the Universal Primary Education (UPE). The National
Environmental Management Authority has already put in place environmental education
strategy for the formal sector (NEMA 1997), which has been incorporated into the formal
curriculum. What is required is increased levels of operationalisation of the strategy.


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 TABLE 3-3: SELECTED PERCENTAGES OF UGANDA'S POPULATION 1969, 1991
                             AND 2002

                      Age category                                1969         1991         2002

                      Population aged less than 5 years           19.3         18.9         18.6

                      Population aged 6 – 12 years                22.7         23.3         22.0

                      Population aged less than 15 years          46.2         47.3         49.3

                      Population aged less than 18 years          51.4         53.8         56.1

                      Population aged 10 – 24 years               27.8         33.3         34.3

                      Population aged 18 – 30 years               21.7         23.6         22.4

                      Population aged 60 years or more            5.9          5.0          4.5

                      Median age                                  17.2         16.3         15.6
                                                (UBOS, 2008)


         TABLE 3-4: SOME SALIENT INDICATORS OF UGANDA'S POPULATION


                 Indicator                                              1991         1995     2000

                 Total Population (millions)                            16.7         19.3     22.2

                 Female Population (millions)                           8.5          9.8      11.2

                 Male Population (millions)                             8.2          9.5      11.0

                 Population Growth Rate (%)                             2.5                   2.9

                 Total Fertility Rate (births per woman)                7.1          6.9      6.9

                 Maternal Mortality Ratio (per 100, 000)                700          506      504

                 Births Attended by Trained Personnel (%)               38           38       38

                 Infant Mortality Rate (per 1, 000 live births)         122          81       88



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                 Indicator                                          1991     1995     2000

                 Under 5 Mortality Rate (per 1, 000 live births)    180      147      152

                 Life Expectancy at Birth (in years)                48                43

                 Average Age at First Marriage                      17.5     17.5     17.8

                 Average Age at First Birth                         18.5     18.6     18.7

                 Contraceptive Prevalence Rate (%)                  5        15       23

                 Unmet Need for Family Planning (%)                 52       29       35

                 Full Immunization Coverage (%)                     31       47       38

                 HIV Prevalence Rate (%)                            30       14       6.1

                 Pop. Without Access to Safe Drinking Water         74       58       40

                 Stunted Children Under Five Years (%)              45       38       39

                 Poverty Level (%)                                  56*      44*      35

                 Literacy Rate (%)                                  54       62       74

                 Primary School Enrolment (millions)                2.3**    2.6      6.8

                 GDP per Capita (in US $)                           251      330      350


                 * Poverty level figures 56 and 44 are for 1992 and 1997 respectively
                          ** Primary school enrolment figure 2.3 is for 1989.
                    (Source: Census 1991, UDHS 1995, UNHS 2000 & UDHS 2000)

Uganda's prevailing demographic, social and economic indices are still unfavorable as
can be seen in the above Table 3-4: Some Salient indicators of Uganda's Population.
The population growth rate is high with a sizeable young population. Fertility levels are
high and traditions and cultural practices that encourage high fertility are still strong. The
use of modern contraceptives is low and there is evidence of unmet need for family
planning and other reproductive health problems.


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    3.4.2 IMPLICATIONS OF POPULATION ON AGRICULTURAL PRODUCTION

The implications of the high population growth means there is need to plan agricultural
production to meet the demand for food by the rapidly growing population. This can be
achieved through technology development and its subsequent dissemination. Secondly,
looking at the country‟s large young population (50% of which is below 15 years), it
depicts a highly dependent population. In addition, the proportion of the elderly is said to
double in 10 years period which will equally put a burden to the relatively smaller active
population in terms of food security. Furthermore, the local farming communities are
engulfed in rudimentary subsistence production technologies with attendant poor
production and productivity hence; there is virtually a perpetual concern over food
production, household income and general poor levels of livelihoods. It is also noted
that, efforts to modernize agriculture remain a challenge especially in terms of
mobilization, re-organization of farmers as they are scattered in their rural settings.

Above all, Uganda‟s economy is largely agricultural based which forms the economic
base as well as food security for the country‟s population. This means, increase in
population is likely to lead to increased intensive utilization of land as well as extension
cultivation into fragile lands such as swamps and mountainous areas. It also implies
restricted grazing, soil erosion, deforestation and the reduced fallow periods amongst
others.     All these have continued to contribute to considerable environmental
degradation and low productivity in most of the areas. Of recent, during heavy rains,
there have been rampant incidences of landslides in mountainous areas of Mbale,
Kabale and Kisoro. The landslides are attributed to degradation of areas through
vegetation clearance and poor cultivation methods. Therefore, all these pose a
challenge to the Programme to put in place environmentally friendly, socially acceptable
and affordable technologies that should be developed and disseminated for efficient use
of natural resources and general environmental management in rural areas. These
challenges are amongst the focus aspects that ATAAS has set to address in its project
components.


    3.4.3 HIV/AIDS

It is two decades now since the first cases of AIDS were identified in Uganda. Since then
a number of multi-sectoral approach has been put in place to combat the scourge. AIDS
control activities are coordinated by the Uganda AIDS Commission at the National level
and the District AIDS Coordination Committees at the district level. Under the multi-
sectoral approach, all line ministries are actively involved in AIDS control and most have
initiated AIDS control programmes. There are also a number of Non-Governmental
Organizations involved in the fight against the scourge.


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An estimated1.4 million people are living with HIV; 100, 000 people are living with AIDS;
4% of rural population is living with HIV; 8% of the urban population is living with HIV;
Average HIV/AIDS prevalence is 6.1%; 25, 000 annual mother to child transmissions;
2.2 million cumulative HIV infections; Approximately 800, 000 have died of AIDS.
(Source HIV/AIDS surveillance report MOH, June 2001)

    3.4.4 PROSPECTS FOR FERTILITY DECLINE

The demographic characteristics of the Uganda's population are influenced by a number
of factors. These include rapid population growth, fertility, mortality and to a certain
extent migration. In addition, there are underlying issues such as poverty, social, cultural
and gender inequity, which contribute to the people's choices about fertility, development
and resource management. These factors affect the day-to-day decisions and choices
made by individuals, women and communities, often creating circumstances where they
are forced to maintain high fertility. For this reason, it is crucial that the government
tackle concerns which have wider policy issues if efforts to meet our fertility transition
and objective for sustainable development are to be achieved by:

               Design interventions targeting the rural men and adolescents;

               Support strategies to address high unmet need across the country and avail
                contraceptives in the rural areas for quality reproductive healthcare and
                family planning information and services;

               Promote safe motherhood programs with particular emphasis on Birth
                Preparedness;

               Support education programs on population and interrelationships at schools,
                beginning at primary level;

               Support enrolment of adolescent girls in post-primary training institutions;

               Support advocacy to promote Family Planning - focusing on policy and
                decision makers at national, district and lower levels;

               Support strategies for women inequity for quality reproductive health
                services;

               Support strategies for addressing wide spread poverty in the rural areas.

               Involve civil society organization in population programmes; and

               Support private sector to provide family planning services and education.



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    3.4.5 THE SOCIO-ECONOMIC AND CULTURAL ENVIRONMENT

3.4.5.1 H UMAN SETTLEMENTS , HOUSING AND URBANIZATION

In general and particularly in rural areas, settlement patterns are wasteful of land and
increase the cost of providing services to the areas. The settlements are also largely
unplanned; and where plans exist they are often not adhered to. The quality of
Ugandans‟ housing has improved over the years. When compared to the situation in
1991 where over 85% of the houses in both urban and rural areas has rammed earthen
floors, by 2002 only 29% urban and 77% rural houses had the same. The use of mud
and pole for walls has also declined relieving the pressure somewhat on the natural
forests and woodland areas, but this change may also mean more clay mining for bricks
and stone quarrying both of which have adverse impacts on the environment unless
mitigated.

Although Uganda is one of the least urbanized countries in the world in absolute terms,
the urban population is growing. Beginning from about 635,000 in 1969, the urban
population increased to 938,000 in 1980, 1,890,000 in 1991 and 2,922,000 in 2002. The
urban population is also growing faster (3.7%) than the national average (3.4%). The
growth in the urban population means that pollution issues such as solid wastes
management, and the provision of adequate safe water and acceptable level of
sanitation coverage will have to be addressed.

3.4.5.2 S AFE WATER AND SANITATION

Access to safe water and sanitation in both urban and rural areas has increased
compared to the situation 10 years ago. For example in 1991, only 11 towns had the
services of the National Water and Sewage Cooperation. Now the corporation covers 19
towns. By 2004, rural access to safe drinking water had increased to 57% while the
urban one was at 67%. If current trends continue, and incremental investment funds are
procured, Uganda should be in a position to meet its Millennium Development Goal
obligations on water supply.

While safe water access per se has improved, functionality of water points is another key
issue. Also, the costs of water in urban areas and the distance traveled to and queuing
at water points in rural areas easily undermine accessibility. As far as sanitation is
concerned, latrines coverage, the board indicator (as a measure) of environmental
health had improved from 41.7% in 1999 to in 2002.




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3.4.5.3 P OLLUTION

As Uganda‟s urban areas increases in number and the urban population grows,
pollution, whether air, noise, water solid waste, are emerging as significant issues in
environmental management. Standards have been established for noise and air pollution
and effluent discharge, but enforcement of the standards notwithstanding is still
inadequate. However, while guidelines have been developed for solid waste
management, a stronger law is required and the pre-requisite is a national policy on solid
waste management. The Uganda Cleaner Production Center is assisting several
companies to reduce wastes generation, by conserving raw materials, substitution of
toxic and dangerous materials, and recovering, recycling and re-using by-products,
among others.

3.4.5.4 P OVERTY

Headcount poverty has declined from 56% of the national population in 1992 to 38% by
2004. On the other hand, the gap between the rich and the poor is widening. For the
poor, natural resources constitute important „gift of nature‟ and social safety nets on
which their livelihoods depend all the time or at certain critical periods such as droughts.
The poor are agents of environmental degradation because they have limited livelihoods
alterative. They are also at the same time victims of environmental degradation because
their coping abilities are limited.

3.4.5.5 E NVIRONMENTAL H EALTH

Over 80% of all the diseases in Uganda can be ascribed to poor environmental
conditions. Malaria is the number one killer disease because mosquitoes have fertile
breeding grounds. Water-borne diseases or water-related diseases are a result of poor
sanitation. Respiratory diseases are encouraged by poorly ventilated houses and dusty
environments as well as congestion in such dwellings. The sick cannot be counted on to
invest in environmental management, such as proper soil and water conservation
measures. The sick are also unable to be productive and look for opportunities
elsewhere, hence resulting in a heavy dependency in the available natural resources in
the immediate vicinity. Treatment costs mean the diversion of a greater share of
household income to purchase drugs and to consult with medical personnel, leaving little
else for other expenditures, including purchase of food items. It is no wonder then that
malnutrition is one of the important health problems among infants and young children in
Uganda.




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3.4.5.6 C ULTURAL H ERITAGE

Cultural heritage is part of humanity‟s link with the world and its past, its achievements
and discoveries. The National Environmental Act provides for the protection of the
country‟s cultural heritage. Approximately 187 cultural, historical and para- archeological
sites have been identified and there specific locations recorded. Unfortunately,
Uganda‟s cultural heritage had not featured prominently among the county‟s tourist
attractions. Yet the promotion of cultural heritage as a tourist attraction could enhance
community participation and even bring districts on board with respect to tourism.




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4 POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK
  FOR ATAAS
4.1 THE POLICY FRAMEWORK
The policy framework for the Environment and Social Management Framework (ESMF)
for the Agricultural Technology and Advisory Services (ATAAS) project is principally
premised on the National Environment Management Policy 1994 and related policies.
The policies that guide the implementation of agricultural technology, research,
agricultural advisory services and development are not discussed since these are part
and parcel of the ATAAS which is the subject of this ESMF.

    4.1.1 THE NATIONAL ENVIRONMENT MANAGEMENT POLICY 1994 (NEMP)

The National Environment Management Policy, 1994 (NEMP) was the precursor to the
National Environment Act. The overall policy goal is sustainable social and economic
development which maintains or enhances environmental quality and resource
productivity on a long term basis that meets the needs of the present generations
without compromising the ability of future generations to meet their own needs. The key
policy objectives include the enhancement of the health and quality of life of all people in
Uganda and promotion of long-term, sustainable socio-economic development through
sound environmental and natural resource management and use; and optimizing
resource use and achieving a sustainable level of resource consumption.

Key principles that guide policy development and the implementation strategies include
the constitutional right to a healthy environment and the corollary duty to keep the
environment clean; economic development based on sustainable natural resource use
and sound management; optimal utilization of nonrenewable resources; development
and dissemination of environmentally friendly, socially acceptable and affordable
technologies for efficient use of natural resources; social and economic incentives which
complement regulatory measures to influence people‟s willingness to invest in
sustainable environmental management; regular monitoring and accurate assessment of
the environment; and adequate enforcement capacity of environmentally related laws.
Sub-regional, regional and international environmental interdependence is recognized.




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The NEMP seeks to promote improved land stewardship by rural and urban land users
by better defining and strengthening land and resource tenure rights through, inter alia,
requiring that new leases of public lands carry conditions which prohibit environmentally
unacceptable behavior. Realizing that there was no comprehensive national land use
policy resulting in inappropriate land use activities that was leading to serious
environmental degradation, the policy sought to provide a coordinated, national
approach to sustainable land use planning and prepare national and local land use plans
to help guide land use decisions in an environmentally sound, economically sustainable
and socially acceptable manner.

Sustainable management of the country‟s biological diversity through the establishment
and maintenance of protected areas and local community involvement in the
management of these areas and sharing the benefits derived from such areas;
sustainably managing and developing water resources and conserving wetlands
ensuring that an EIA is undertaken prior to any activity that may have a significant
impact on these resources are some of the principles, objectives and strategies
enunciated in the policy. Environment impact assessment and environmental monitoring
are promoted as mechanisms through which adverse environmental impacts can be
foreseen, eliminated and mitigated. As a principle, an EIA will consider not only the
biophysical/environmental impact but address impact on existing social, economic,
political and cultural conditions. Environmental audits will be required for activities that
impact negatively on the environment.

The policy seeks to control water, land and air pollution from domestic, industrial and
other emissions and discharges and promote environmentally sound management of
wastes and hazardous materials. It advocates the polluter pays principle and clear
linkages between sectoral policies on water resources, human settlements, health and
disaster prevention and preparedness. Specific guiding principles to achieve this
objective are stated for agriculture: adequate regulation of agricultural (crops and
livestock) chemicals and other hazardous materials will be established and enforced.
The strategies to attain this as stated in the Policy include training and encouraging
farmers and extension workers in the safe use of agro-chemicals; providing
environmental guidelines/legislation for the management of hazardous installations; and
maintaining regular environmental audits to ensure the adoption of environmentally
sound practices.




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Agricultural and farming systems are particularly provided for agriculture being the
backbone of the economy and source of domestic food supply. The objective of the
policy initiative is to promote farming systems and land use practices that conserve and
enhance land productivity in an environmentally sustainable manner. The guiding
principles include increased agricultural production on the basis of improved farming
systems and security of land tenure; and participation of the local communities in
agricultural policy and planning. Agricultural policy and planning will incorporate the
environmental costs of soil degradation in the economic analysis of agricultural
development programs and projects.

The recommended strategies include enhancing and strengthening the environmental
concerns in the agricultural extension system including research and training for
extension workers, NGOs and land users. Greater emphasis will be placed on
environmentally friendly means of increasing agricultural production; and support will be
given to develop farming systems that combine optimal production with land resources
conservation while maintaining compatibility with the socio-economic conditions of the
target population. Livestock and rangelands management is provisioned for with the
objective of managing the rangeland resources in the nation within the capacity of the
land to support both livestock and wildlife. The policy objective for fisheries and other
aquatic resources conservation and management is sustainable management and
production.

Policy implementation shall be attained through creating a legal framework for the
implementation of the policy. This was achieved through the enactment of the National
Environment Act, Cap 153. An appropriate institutional framework was established under
the Environment Act providing both horizontal and vertical linkages; encouraging
linkages with non-governmental organizations and fostering regional and international
cooperation in recognition of the complex, wide spread and trans-boundary nature of
environmental issues.

    4.1.2 THE NATIONAL W ATER POLICY, 1999

The Water Policy lays the framework for the management of water resources in Uganda.
It identifies the Department of Water Development as the principal agency responsible
for the implementation of the policy under the general supervision of the ministry
responsible for water. Water must be conserved and equitably utilized for the benefit of
the people of Uganda. Any developments or use of water in a manner that may affect
the environment must be subjected to an environmental assessment. The department is
responsible for the implementation of standards regarding water quality and the
issuance of any permits related thereto.


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    4.1.3 THE NATIONAL LAND USE POLICY

The overall policy goal is to achieve sustainable and equitable socio-economic
development through optimal land management and utilization in Uganda. Specific
policy goals include the reversal and alleviation of adverse environmental effects at local
and national levels; and the promotion of land use activities that ensure sustainable
utilization and management of environmental, natural and cultural resources for national
socio-economic development. The policy is premised on a number of principles. It is
acknowledged that land is a scarce resource; and that land ownership has a significant
bearing on land use. Some land use practices have led to the severe degradation of
land. Land is a basic resource for many uses including minerals. Land evaluation will
serve as the basis for land use planning through assessing the suitability of different
tracts of land and sites for specified alternative forms of use. In order to ensure
sustainability of land resources and fight poverty, community based land use planning is
an important strategy that will be utilized.

Some of the key issues identified in land use include the degradation of water sources
and catchment areas as a result of large scale drainage of wetlands; the direct discharge
of untreated or poorly treated effluent from industries into water; and waste water
discharge especially from industrial activities close to or discharging directly into water
systems. The impact of mining, quarrying and excavation on land was identified as a key
issue that could be addressed through land use planning.

The policy observes that in addition to land degradation, mining and related activities
generate negative environmental impacts including physical and health risks to those
involved in the mineral sector. Unsustainable use of local construction materials is also
identified as an issue to be addressed through land use planning. The policy seeks to
ensure that deliberate actions are taken to restore the environment and minimize health
risks from mining, quarrying and excavation; and promotion of sustainable use of locally
available materials for construction. The strategies adopted are the promotion and
enforcement of environmental restoration of sites degraded by mining, quarrying and
excavation; and promoting the application of environmentally friendly technologies and
methods in mineral exploitation, quarrying and extraction.




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    4.1.4 THE NATIONAL P OLICY FOR THE CONSERVATION AND MANAGEMENT OF
          WETLAND RESOURCES, 1995

The National Policy for the Conservation and Management of Wetland Resources (the
Wetlands Policy) has as its overall aim the promotion of the conservation of wetlands in
Uganda in order to sustain their ecological and socio-economic functions for the present
and future well being of the people. To this end the Government seeks to establish
principles by which wetlands resources can be optimally used and their productivity
maintained in the future; and end existing unsustainable exploitative practices in
wetlands.

All proposed modifications and restorations on wetlands shall be subject to an EIA, the
result of which shall determine whether such restoration or modification shall proceed
and if so to what extent. All planned new wetland developments will be subject to an EIA
to determine the required environmental controls and will be monitored continuously to
assess their impact on the environment and determine continued progress of the
development or otherwise.

    4.1.5 THE UGANDA W ILDLIFE POLICY, 1999

The overall aim of the policy is to promote the long term conservation of the country‟s
wildlife and biodiversity in a cost effective manner which maximizes the benefits to the
people of Uganda. Government will encourage a range of participatory approaches such
as empowering the people to participate in the conservation and management of the
country‟s natural resources, and related decision making processes that affect their
livelihood.

In order to conserve and manage species, Government shall promote and maintain
viable and representative wildlife populations in Uganda both within and outside
protected areas. The objective of conservation in wildlife protected areas is to ensure
that the biological diversity of Uganda is conserved within the country‟s protected area
system and is managed on sound conservation principles.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            35
Consequently, all developments and interventions within protected areas shall be
subjected to environmental assessment. All physical development such as roads and
buildings shall follow general management plan guidelines. Industrial and agricultural
development activities within national parks and centrally managed wildlife reserves
shall be excluded including mineral exploration or extraction, quarrying for stones and
crop production. EIAs and environmental audits must be undertaken for all proposed
developments and existing facilities and necessary restraints imposed based on the
findings. The policy is implemented by the Uganda Wildlife Authority under the overall
supervision of the ministry responsible for wildlife. In implementing the policy, the
authority collaborates with related authorities like NEMA.

    4.1.6 NATIONAL GENDER P OLICY, 1997

The overall goal of the National Gender Policy 1997 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 of Uganda in Particular women. Thus, in
the context of the planned ATAAS the project will take into consideration the involvement
of women and also address the imbalances which may arise from the existing gender
inequalities and promote the participation of both women and men in all stages of the
project cycle, equal access to and control over economically significant resources and
benefits.

    4.1.7 THE NATIONAL BIOTECHNOLOGY AND BIOSAFETY POLICY, 2008

The goal of the policy is to contribute to the national goals of poverty eradication,
improved healthcare, food security, industrialization and the protection of the
environment through the safe application of biotechnology. The policy objectives include
building and strengthening national capacity in biotechnology research, development
and application; promoting the utilization of biotechnology products and processes as
tools for national development; and providing a regulatory and institutional framework for
safe and sustainable biotechnology development and applications. Biotechnology can
encourage increased agricultural production including increased incomes and improving
the quality of life of poor subsistence farmers through increased productivity and
increased share of marketed production; improving household food security; providing
gainful employment through the secondary benefits of agricultural production such as
agro-processing factories and services; and promoting sustainable use and
management of natural resources by promotion of environmentally friendly technologies.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            36
Biosafety is a collective term that refers to the safe development, transfer, application
and utilization of biotechnology and its products. It is a set of measures used for
assessing and regulating or controlling potential risks that biotechnology application may
pose to human health and the environment. Such potential risks may include
contamination of conventionally bred crops with the modified genes, negative impacts on
biodiversity and allergens in foods among others. Biotechnology is a wide field of
science that embraces a wide scope and diverse spectrum of biological principles,
materials, organisms and transformations cutting across several industrial sectors. It can
be defined as the application of scientific and engineering principles to the processing of
materials using biological agents to provide goods and services; i.e. any technique that
uses living organisms or substances there from to make or modify a product, improve a
plant or animal breed, or micro organisms for specific uses. In the case of genetic
transformation, plants, animals or micro-organisms are improved through the
incorporation of genes, which may come from related organisms, or from a completely
different species and are artificially inserted. The resulting organism is said to be
"genetically modified" and is commonly referred to as a genetically modified organism
(GMO).

Strategic actions highlighted in the policy include research and development with a
strong emphasis on biotechnology and biosafety R&D in the priority areas of food and
agriculture, health, industry, environment and natural resources development; creation of
a conducive environment and appropriate initiatives for the wider application and
commercialization of biotechnology in the relevant sectors of the economy; the
encouragement of strategic partnerships in order to foster synergistic alliances with
public and private research institutions, civil society and the international community in
the implementation of the policy; and the enhancement of the regulation, conservation
and sustainable utilization of the nation‟s natural resources through judicious application
of biotechnology.

Biotechnology activities have thus far evolved out of research and development (R&D)
programmes mainly implemented under international collaboration arrangements and
regulated under such agreements between the collaborating agencies and national
institutions especially under the aegis of the National Agricultural Research Organization
(NARO), its associated institutions and Makerere University under the auspices of the
National Agricultural Research Act, 2005 the UNCST Act and the Universities and other
Tertiary Institutions Act among others. Following the promulgation of the Policy, the
activities will now be regulated by the policy framework.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            37
An institutional framework is established in the policy comprised of the National Focal
Point (NFP), the National Competent Authority (NCA), the National Biosafety Committee
(NBC) and related lead agencies. The Uganda National Council of Science &
Technology (UNSCT) continues to be the NCA charged with the duty of supervising and
coordinating the implementation of the policy; and housing the NBC. The specific powers
and responsibilities of the NCA shall be spelt out in the requisite legislation still in its
formulation stages. The NFP which is part of the Ministry responsible for the
environment and is responsible for liaising with the Convention on Biological Diversity
(CBD) Secretariat; shall have its relationship with the NCA strengthened to improve its
role of coordination and information flow between the NCA and the CBD Secretariat. The
NBC is a technical committee charged with the responsibility of reviewing and approving
all biotechnology research and development activities in the country. It is to be
comprised of experts with competence to evaluate the risks and benefits of
biotechnology research and development activities across sectors. The related lead
agencies comprise institutions that have the mandate of conducting research, product
development and various aspects of innovation of biotechnology. They include crop
protection for purposes of compliance with phytosanitary and other crop related
requirements; health as regards development of pharmaceuticals, nutrition and matters
concerning human health; environment for matters concerning environmental
compliance and protection; trade for issues of commercialization and trade in
biotechnology products; and labour for occupational health and safety issues.
Universities, private sector institutions form part of the lead agencies.

The legal and regulatory framework for biotechnology will be stipulated in a law to be
made specifically for the safe development and application of biotechnology. The Act will
provide for the establishment of the institutional arrangements provided for under the
policy and spell out the institutional mandates, functions and administrative roles for the
effective and safe application of biotechnology in national development.

4.2 THE LEGAL FRAMEWORK
The legal framework will be treated in like manner to the policy framework.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            38
    4.2.1 THE CONSTITUTION OF THE REPUBLIC OF UGANDA, 1995

The Constitution as amended in February 2006, in the national objectives and directive
principles of state policy, provides that the State shall protect important natural
resources including fauna and flora on behalf of the people of Uganda (objective XIII).
The State commits itself to promote sustainable development and the rational use of
natural resources so as to safeguard and protect the biodiversity of Uganda (objective
XXVII). The right to a clean and healthy environment is enshrined in article 39 while
article 245 requires Parliament to pass laws for the protection and preservation of the
environment.

    4.2.2 THE NATIONAL ENVIRONMENT ACT, CAP 153

The National Environment Act is a framework law that provides for the sustainable
management of the environment and establishes NEMA as the principal agency
responsible for the management of the environment. NEMA‟s functions include:

  iii.    the integration of environmental concerns in overall national planning through
          coordination with the relevant institutions of Government;

  iv.     review and approve EIAs and environment impact studies submitted in
          accordance with the Environment Act and any other law;

  v.      ensure 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.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            39
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.

Environmental regulation is provided for under the Act through the environment impact
assessment process, environmental audit and environmental monitoring. Environmental
audit is defined as the systematic, documented, periodic and objective evaluation of how
well environmental organization, management and equipment are performing in
conserving the environment and its resources [section 1(p)]. Environmental monitoring
means the continuous determination of actual and potential benefits of any activity or
phenomenon on the environment, whether short term or long term [section 1(u)].
Agriculture including large scale agriculture, use of new pesticides, introduction of new
crops and animals, use of fertilizers; processing and manufacturing industries including
food processing plants and waste disposal are stipulated in the third schedule to the Act
as activities requiring an EIA.

Any person carry out an activity that has or is likely to have a significant impact on the
environment shall keep records of the amount of wastes and by products of the activity;
the economic value of the activity on the area covered; the observable effects of the
activity on the environment; and the extent of compliance with statutory provisions. Such
records shall be made available, on request, to an environment inspector, the district
environment committee, the board or the policy committee [section 77].

    4.2.3 THE LAND ACT, CAP 227

The Land Act is mentioned in light of environmental and social issues that may affect
land. The Constitution of the Republic of Uganda 1995 as amended stipulates that land
in Uganda belongs to the citizens of Uganda and shall vest in the citizens in accordance
with the land tenure systems in Uganda [Article 237(1)]. Similarly, the Land Act
stipulates that all land in Uganda vests in the citizens of Uganda and shall be owned in
accordance with the customary, freehold, mailo and leasehold tenure systems [section
2].




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            40
Environmental issues are taken into account in various provisions of the Land Act. A
person who owns or occupies land shall manage and utilize the land in accordance with
the Forest Act, Mining Act, National Environment Act, the Water Act, the Uganda Wildlife
Act and any other law [section 43, Land Act]. Environmentally sensitive areas like natural
lakes, rivers, ground water, natural ponds, natural streams wetlands, forest reserves,
national parks and any other land reserved for ecological and touristic purposes for the
common good of the citizens of Uganda shall be held by Government or a local
government in trust for the people. The Government or local government shall not lease
out or otherwise alienate any natural resource referred to above but may grant
concessions or licenses or permits subject to any law concerning the natural resource
[Section 44]. Any use of land shall conform to the provisions of the Town and Country
Planning Act and any other law [Section 45].

Water rights and rights of way are protected under the Act. Section 71 of the Land Act
reserves all rights in the water of any natural spring, river, stream, watercourse, pond, or
lake on or under land, whether alienated or unalienated, to the Government; and no
such water shall be obstructed, dammed, diverted, polluted or otherwise interfered with,
directly or indirectly, except with the written permission of the Minister responsible for
water in accordance with the Water Act. An occupier of land on which such water exists
is not precluded from utilizing the water for domestic purposes. All land, whether
alienated or unalienated, shall be subject to all existing public rights of way which shall
be reserved to and vested in the Government on behalf of the public; and all such rights
of way shall be maintained by the public uninterrupted unless they are terminated or
altered by the direction of the Minister responsible for lands in writing [section 71].

    4.2.4 THE W ATER ACT, CAP 152

The Water Act, Cap 152, provides for the use, protection and management of water
resources and supply. Its objectives include the promotion of the rational management
and use of the waters of Uganda; the promotion of the provision of clean, safe and
sufficient supply of water for domestic purposes to all persons. The Act provides for the
orderly development and use of water resources for purposes other than domestic use
such as the watering of stock, irrigation and agriculture, fishing, preservation of flora and
fauna; and seeks to control pollution and promote the safe storage, treatment, discharge
and disposal of waste which may pollute water or otherwise harm the environment and
human health [section 4]. All rights to investigate, control, protect and manage water in
Uganda for any use vests in the Government and shall be exercised by the Minister
responsible for water and the director of water development in accordance with the Act
[section 5].




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            41
"Domestic use" is defined in section 2 of the Act to include use for the purpose of basic
human consumption; watering not more than thirty livestock units, (approximately 43
cattle or 50 horses or 75 donkeys or 200 goats or 200 sheep or a mixture of these
animals); subsistence agriculture, and watering a subsistence fish pond. As indicated in
the Water Policy, DWD's first priority is provision of water for domestic use. The policy
categorically states that in allocating water, water allocation for the domestic needs of a
community will be reserved within the total available from each water resource.

Environment is defined to mean all aspects of the surroundings of humans including the
physical, biological, economic, cultural and social aspects [section 2 (n)]; while pollute
means to directly or indirectly alter the physical, thermal, chemical, biological or
radioactive properties of any water so as to render the water less fit for any beneficial
purpose for which it is or may reasonably be used, or to cause a condition which is
hazardous or potentially hazardous to public health, safety or welfare, or to animals or
birds, fish or aquatic life or other organisms or to plants [section 2 (y)]. Section 6 of the
Act stipulates that no person shall acquire or have a right to use water, construct or
operate any works; or cause or allow any waste to come into contact whether directly or
indirectly with any water save under the provisions of the Act.

Division 3 of Part II of the Water Act makes provision for hydraulic works and uses of
water. Construction and operation of water works or taking and using water otherwise
than for domestic purposes can only be undertaken pursuant to a water permit issued for
that purpose. A holder of a permit shall not cause or allow water to be polluted; prevent
damage to the source from which water is taken or to which water is discharged after
use; observe regulations made under the Act and take precautions to ensure that no
activities on the land where the water is used result in the accumulation of any
substance that will make the water less fit for the purpose for which it may be reasonably
used. The Minister may exempt a class of persons or works from the requirement for a
water permit on such conditions as the Minister deems fit [sections 18-20].

A water permit may be varied or suspended by the director if there is insufficient water in
the area to meet the needs of the people using or seeking to use it. The director may
specify the quantity of water that may be taken under a permit where the permit does not
specify the quantity. A permit may be cancelled for various reasons including failure to
comply with any express or implied condition; failure to comply with any provision of the
Act; taking more water than the quantity specified; using water for purposes other than
the purposes specified in the water permit. A permit may be varied or cancelled in order
to make water available for a public purpose [sections 22-26].




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            42
A waste water permit must be obtained in order to enable a person responsible for
production, storage, discharge or deposit of waste; or a person engaged in any trade; or
an owner or occupier of any premise, to discharge waste directly or indirectly into water
[section 28]. An application for a waste discharge permit shall be made to the director
who may issue the permit with all or any of the following conditions stipulated in section
29:

               specify, restrict or prohibit certain types, volumes or concentrations of waste
                which may be produced, stored, discharged or deposited;

               specify the manner in which waste is stored, treated, discharged or otherwise
                dealt with;

               require the holder at their own cost, to install pollution control or waste
                treatment equipment of a type specified by the director and to operate that
                equipment in a manner determined by the director;

               require the holder to take measures specified by the director for the purpose
                of minimizing the possibility of pollution occurring as a result of any activity
                conducted or proposed to be conducted on land owned or occupied by the
                holder;

               require the holder at their cost, to provide monitoring equipment specified by
                the director;

               require the holder at their expense, to carry out a monitoring programme
                specified by the director and to provide the director with information and data
                relating to the characteristics, volume and effects of waste being produced,
                stored, treated, discharged, deposited or otherwise disposed of.

The Minister may by notice fix fees and charges for the taking or use of water under a
water permit; and the discharge of waste under a waste discharge permit [section 32].
Further provisions are made for water permits under the Water (Water Resources)
Regulations S.I. 152-1. An applicant for a water permit shall pay fees for processing the
application and the holder of a water permit is required to pay an annual water charge as
specified in the Second Schedule to the regulations.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            43
    4.2.5 THE UGANDA W ILDLIFE ACT, CAP 200

The Uganda Wildlife Act, Cap 200, was enacted to make provision for the conservation
of the biological diversity of Uganda for the benefit of all Ugandans, establish a
mechanism through which local populations would participate in and benefit from the
biological diversity in their locality, and establish the Uganda Wildlife Authority as the
institution charged with the principal responsibility for the implementation of the Act
under the general supervision of the Minister responsible for wildlife. The functions of the
Authority include the control and monitoring of agricultural and industrial developments
in wildlife protected areas [Section 5(h)].

A wildlife protected area includes any area which is provided for as a national park or a
wildlife sanctuary [section 1(mm)]. A national park is an area of international and national
importance because of its biological diversity, landscape or national heritage and in
which the activities of biodiversity conservation, recreation, scenic viewing, scientific
research and any other economic activity are permitted [Section 18(5)]. A wildlife
sanctuary is an area which has been identified as being essential for the protection of a
species of wild animal or wild plant in which activities which are not going to be
destructive to the protected species or its habitat may be permitted [Section 18(7)].

The purpose of wildlife protected areas, which includes a national park, is more
restrictive and in section 19(1) of the Act the activities mentioned are premised largely
on the protection of wildlife and its environment. In managing wildlife management
areas, the purposes include permitting the sustainable exploitation of the natural
resources of the area by mining and other like methods in a manner which is compatible
with the continued presence of wildlife in the area [section 19(2)(d)]. A wildlife sanctuary
is a wildlife management area.

In sustainably managing the wildlife resources of Uganda and protecting the interests of
the community, the Authority requires that any development in a protected area be
preceded by an environment impact assessment in accordance with the EIA provisions
under the National Environment Act and any regulations made thereunder. The Authority
shall perform all the functions required of a lead agency for the purposes of the EIA
under the National Environment Act unless the Authority is the developer. The Authority
shall, in addition, carry out audits and monitoring or cause such audits and monitoring of
projects to be carried out in accordance with the National Environment Act and any
regulations made thereunder [Sections 15-16].




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            44
It is an offence under section 21 for a person to prospect for minerals or mines or
attempt to do so unless provided for under the Act. An otherwise unlawful act can be
authorized in a wildlife conservation area if an EIA is undertaken and the Board
authorizes the act by issuing written instructions to any officer or person in the interest of
better wildlife management [Section 24].

Other activities may therefore take place within a wildlife protected area if the EIA study
findings recommend that the activity will not have an adverse effect on wildlife and the
Authority determines that it is in the interest of the better management of wildlife. The
activity would be subject to environmental audits and monitoring during the lifetime of the
activity.

    4.2.6 THE NATIONAL FORESTRY AND TREE PLANTING ACT, 2003

The Act seeks to provide for the conservation and sustainable management and
development of forests for the benefit of the people of Uganda; for the promotion of tree
planting and for the establishment of a National Forestry Authority. According to section
2, the purposes of the Act include the creation of an integrated forest sector that will
facilitate the achievement of sustainable increases in economic, social and
environmental benefits from forests and trees by all Ugandans; to ensure that forests are
sustainably managed; and to ensure that environmental benefits, costs and values are
reflected in strategies and activities relating to forestry.

The Government or a local government is charged with the responsibility of holding in
trust for the people and protecting forest reserves for ecological, forestry and tourism
purposes for the common good of the citizens of Uganda [section 5(1)]. A forest reserve
must be managed appropriately and shall not be put under any use other than in
accordance with the management plan [section 13]. A management plan prepared in
consultation with the local community shall, amongst other things, contain a description
of all matters relating to the forest, the forest produce and the use currently being made
of the forest produce; state the type of activities to be carried out in the forest; state the
measures to be taken for the sustainable management of the forest; and contain any
other information as the Minister may prescribe. A management plan shall be approved
by the Minister or a person designated by the Minister [section 28].

A person intending to undertake a project or activity which may or is likely to have a
significant impact on a forest shall undertake an environment impact assessment
[section 38].




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            45
The Act is administered by the National Forestry Authority established under section 52
of the Act under the general supervision of the Minister responsible for forestry. The
functions of the Authority include:

               to cooperate and coordinate with NEMA and other lead agencies in the
                management of Uganda‟s forest resources;

               in conjunction with other regulatory authorities, to control and monitor
                industrial and mining developments in central forest reserves; and

               in consultation with other lead agencies, to develop or control the
                development of tourist facilities in central forest reserves [section 54].

The Authority may enter into contracts that authorize it to advise on and support the
preparation of management plans for local forest reserves, private forests and other
forests on private land; and liaise with NEMA in the protection of Uganda‟s forest
resources and the evaluation of environment impact assessments undertaken under the
Act.

Central forest reserves are managed by the Authority [section 54(1)(a)] while local forest
reserves are managed by the local government specified by the Minister as the
responsible body in the order declaring a local forest reserve [section9(3)]. Any other
activity proposed in a forest reserve would have to undergo an environment impact
assessment and depending on the findings of the EIA study, be controlled and
monitored by the Authority, local government in whose jurisdiction the reserve is , if a
local forest reserve, NEMA and MAAIF (or related institution).

    4.2.7 UGANDA NATIONAL COUNCIL OF SCIENCE AND TECHNOLOGY ACT, CAP
          209

The Uganda National Council for Science and Technology (UNCST) is established as a
body corporate under the general supervision of the Minister responsible for planning
and economic development. The functions of the Council as stipulated in section 4 of
the Act include:

               advise on and coordinate the formulation of an explicit policy on all fields of
                science and technology;

               to assist in the promotion and development of indigenous science and
                technology through, inter alia, technology transfer and adaptation;
                establishment of research and experimental development institutions, pilot
                plants and other testing ground and standardization and quality control
                centres;


Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            46
               assist in the rationalization of the use of foreign science and technology;

               act as a clearing house for information on research and experimental
                development taking place in scientific institutions, centres and other
                enterprises and on the potential application of their results;

               work in close cooperation with and coordinate all scientific and technological
                activities of persons, institutions, sectors and organizations; and

               carry out any other function incidental or conducive to these functions or as
                the Minister may assign to the Council.

The Council is authorized under section 5 of the Act to do all such things to facilitate its
work or that are conducive or incidental to better carrying out its functions. In this vein
the Council may establish any specialized committees, research councils, organizations
and experimental and development activities or other scientific and technological
services. UNCST may establish and maintain relationships with national, regional and
international organizations and agencies as it may deem appropriate. There is
established under the Act, a specialized committee on natural sciences whose mandate
includes bio-science (section 15(1)(e)) and whose functions include advising the Council
on all policy matters on bio-science in the country; and advising on the assignment of
scientific and technological responsibilities to different institutions or persons.

The Ministry responsible for agriculture, animal industry and fisheries; ministry
responsible for environment protection; ministry responsible for health; the National
Bureau of Standards; universities and eminent scientists in the field of agriculture and
allied sciences, medical science and natural science are represented on the Council.

    4.2.8 THE NATIONAL A GRICULTURAL ADVISORY SERVICES ACT, 2001

The NAADS Act establishes the National Agricultural Advisory Services Organization
(NAADS) as a body corporate with the objects of promoting food security, nutrition and
household incomes through increased productivity and market oriented farming;
empowering farmers to access and utilize contracted agricultural advisory services;
promoting farmer groups to develop capacity to manage farming enterprises; creating
options for financing and delivery of agricultural advice for the different types of farmers;
gradually shifting from public to private delivery of agricultural service; developing private
sector agricultural advisory delivery capacity and systems and assuring quality of advice;
and catalyzing the participation of the private sector to fund agricultural advisory services
[section 5].




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            47
To this end, NAADS in order to contribute to the modernization of agriculture is required
to support the provision of advice and information services to farmers; support
technology development and linkages with markets; monitor and ensure the quality,
appropriateness and affordability of advisory services; support private sector and farmer
institutional development; provide programme management and monitoring; and ensure
that the research and extension needs of farmers are identified and answered by service
providers [section 6(1)]. In carrying out its mandate, NAADS is expected to collaborate
with government ministries and their agencies, local governments, administrative units,
the private sector and universities [section 6(2)].

The institutional set up of NAADS comprises the Board, Secretariat and the farmers‟
fora. The farmers‟ fora exist at national, district and sub county level. The sub county
farmers‟ forum shall have the duty of considering and approving proposed annual work
plans and budgets at sub county level for NAADS activities in the area; advising NAADS
on suitable strategies for the implementation of advisory services; and monitoring the
overall implementation of the NAADS programme in the sub county [section 18]. The
functions of the District Farmers‟ Forum are similar to those of the sub-county save that
the district forum operates at the district level [section 20]. The National Farmers‟ Forum
has the functions of participating in monitoring and evaluation of the progress of advisory
services; participating in the review of local government‟s plans for agricultural
development; playing an advocacy role for general agricultural development and NAADS
in particular; providing feedback at different levels; and identifying and nominating the
farmers‟ representatives on the Board [section 22].

NAADS services are structured to be delivered to individual farmers or farmers groups
registered with NAADS [section 15]. The actual delivery of services is through service
providers registered with the NAADS Board and professionally competent to deliver the
services registered for. The service provision contract is executed by the service
provider with the sub county chief (local government) and the chairperson of the farmers‟
forum and witnessed by the sub county NAADS coordinator [section 24].

The NAADS programme is primarily delivered through service providers and premised
on the work plans and budgets of the sub-county and district farmers‟ fora; the success
of the programme is thus to a large extent dependent on the efficient and effective
performance of these intermediaries.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            48
    4.2.9 THE NATIONAL A GRICULTURAL RESEARCH ACT, 2005

The National Agricultural Research Act (NARS) repealed the National Agricultural
Research organization Act, Cap 205 and the organization established there under was
accordingly dissolved. The NARS was enacted to provide for the development of an
agricultural research system for Uganda for the purpose of improving agricultural
research services delivery, financing and management; and for the establishment of a
National Agricultural Research Organization as a body corporate to serve as the apex
body for guidance and coordination of all agricultural research activities in the national
agricultural system.

The purposes of the Act are further elaborated in section 3 to include the creation of an
integrated agricultural research system that will facilitate the achievement of sustainable
increases in economic, social and environmental benefits from agricultural research
services and products by all the people of Uganda; provision for a market responsive
and client oriented national agricultural research system that generates knowledge and
information and disseminates demand driven problem solving, profitable and
environmentally sound technologies on a sustainable basis; creation of options for
financing and delivery of agricultural research services appropriate for the different
categories of farmers and market needs of Uganda; and facilitation of the involvement of
the private sector, universities, civil society and others in the governance, financing,
management and conduct of agricultural research.

The objects of agricultural research are to transform agricultural production into modern
science based market oriented agriculture capable of greater efficiency and profitability,
and capable of sustaining growth in the agricultural sector while contributing to poverty
eradication. Agricultural research further seeks to promote agriculture and related
industry for the purposes of contributing to the improvement of the quality of life and
livelihoods of the people having regard to the protection of the environment.

Agricultural research services shall be provided by service providers comprising public
agricultural research institutes, universities, tertiary institutions, private sector
organizations, civil society organizations, farmers groups and any other entity with
appropriate capacity as may be determined by the NARO Council. Agricultural research
service providers are expected to carry out research whether basic, applied, adaptive or
strategic; mobilize teams to carry out research; participate in problem identification and
prioritization amongst other functions.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            49
The farmers‟ fora established under the NAADS Act are expected to perform the
functions of identifying and prioritizing agricultural research activities; advising on the
use and integration of local knowledge in agricultural research; collaborating with
agricultural research service providers in agricultural research and development
activities; assisting local communities to benefit from agricultural research; and informing
NARO of ideas, desires and opinions of the people in their respective areas on all
matters relating to agricultural research [section 38].

    4.2.10 THE SEEDS AND PLANTS ACT, 2007

The Act provides for the promotion, regulation and control of plant breeding and variety
release, multiplication, conditioning, marketing, importing and quality assurance of seeds
and other planting material and for other related matters. The Act is overseen by the
National Seed Board whose membership includes representation from NARO and
NAADS. The day to day administration of the Act is the responsibility of the National
Seed Certification Service (NSCS) which is part of the department of crop protection of
the ministry of agriculture.

NSCS is responsible amongst other things for releasing and testing all new varieties of
seeds intended for release and multiplication assisted by the technical committee of the
National Seed Board in accordance with recognized standard procedure. The Service is
further charged with the duty of carrying out distinctiveness, uniformity and stability tests
for candidate varieties and establishing standards for variety performance trials; carrying
out field inspection, testing, labeling, sealing and eventual certification; determining the
contribution of varieties for agricultural development; and determining the varieties to be
fully released, partially released (restricted release), referred or rejected [section 8]. All
imported and domestic varieties are required to undergo testing in variety performance
trials for at least two growing seasons before their release [section 9]. Variety release
means making available to the public a variety for multiplication and use.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            50
    4.2.11 PLANT PROTECTION ACT, CAP 31

The Plant Protection Act was originally passed as an Ordinance in 1937. The scope of
the Act can be gleaned from the long title that limits the Act to the prevention of the
introduction and spread of diseases destructive to plants. The definition section is very
limited and is an indicator of the purpose of the Act. The Act precedes the International
Plant Protection Convention (IPPC) of 1951 and does not take any international
considerations into account. The administrative structure was limited to the size of the
service required. Over time, the structure became too small and the budget too
restrictive to allow the operation of an efficient and effective service. The penalties
imposed were found to have no deterrent or actual value. For these reasons, inter alia,
the Act was reviewed in 2001 and the Plant Protection and Health Bill, 2003 was drafted.

The 2003 Bill attempted to fill in the gaps identified in the Act by establishing a Technical
Committee to assist the Commissioner and the Minister in carrying out the functions
outlined for the Department of Crop Protection in the Ministry responsible for agriculture.
The penalties were reviewed and currency points introduced to make the penalties more
realistic. The definition section was expanded to include newer terms used in
phytosanitary service, drawing on the Glossary of Phytosanitary Terms of the revised
text of the IPPC (1997). The thrust of the Bill was to protect plant health and the natural
environment and comply with international standards on plant protection in order to
enhance the international reputation of Ugandan agricultural imports and exports. The
cost recovery proposed in the draft bill particularly to enable rapid response to epidemics
of quarantine importance was not included in the final text of the Bill. The 2003 Bill was
found lacking in these respects and a revised Bill was proposed in 2005.

The Plant Protection Bill, 2005, seeks to consolidate and reform the law relating to
protection of plants against pests; to prevent the introduction and spread of pests that
may adversely affect Uganda's agriculture, the natural environment and livelihood of the
people; to ensure sustainable plant and environmental protection; to regulate the export
and import of plants and plant products and introduction of new plants in accordance
with international commitments on plant protection. The Bill proposes a cost recovery
mechanism to enable rapid response to epidemics of quarantine importance. It
introduces pest risk analysis and strengthens the import and export controls of plants,
plant products and regulated articles. The objective of the Bill is to protect and enhance
the international reputation of Ugandan agricultural imports and exports, and to entrust
all plant protection regulatory functions to the Government through the national plant
protection organization (NPPO).




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            51
The Department responsible for plant protection is designated as the NPPO and shall be
responsible for the protection of the plant resources of Uganda from pests that exist in
the country or could be introduced into the country. The NPPO shall be responsible for
the implementation of the Act. To this end, the NPPO is responsible for carrying out
surveillance of growing plants, including areas under cultivation and wild flora, and of
plants and plant products in storage or in transport, for the purpose of reporting the
occurrence, outbreak and spread of pests, and of controlling those pests. The NPPO
shall enforce the Act and any other legislation relating to plant protection that the
Minister may identify; and establish procedures for accreditation of any quarantine
station, official analyst, official laboratory or any other person or institution from the
public or private sector involved in phytosanitary matters. The Minister shall appoint a
Plant Protection Technical Committee to advise the Commissioner on all technical
matters arising from the administration of the Act and on any other related issues. The
Commissioner shall be the head of the NPPO and responsible for the day –to- day
administration of this Act. The Commissioner is defined to mean the Commissioner
responsible for plant protection or any other Commissioner or competent person
assigned by law to administer the Act.

The Minister is authorized, from time to time, to appoint by notice in the Gazette, officers
of the NPPO or other competent persons to be inspectors for the purposes of this Act. In
addition, the Minister has powers, by statutory instrument, to prescribe functions under
the Act that may be delegated to any specified competent individual or institution,
including designation of laboratories and competent scientists. Delegated individuals or
institutions shall be required to comply with instructions that may from time to time be
issued by the Minister; report on their activities to the NPPO on a periodic basis as may
be determined by the Minister; assist in and co-operate with the NPPO in attaining the
purposes of the Act.

A perusal of related laws revealed that there are overlaps that should be addressed in
the Bill to avoid institutional conflict and the resultant inefficiency it engenders. Section
12 of the Agricultural Seeds and Plant Act, Cap 28, Laws of Uganda 2000, authorizes
the National Seed Certification Service (NSCS) to establish phytosanitary standards and
practices for any particular crop as the need arises. The NSCS is further authorized to
direct that seeds or plants harboring pests and diseases be destroyed within a specified
period of time and in a specified manner. The Cotton Development Act, Cap 30, in
section 12 mandates the Minister responsible for agriculture in consultation with the
Cotton Development Organization (CDO), to direct that any cottonseed or plant
harboring or likely to harbor any cotton pest or cotton disease be destroyed. A provision
is proposed in the Plant Health and Protection Bill, 2005, to address this anomaly and
ensure that law to the national plant protection organization assigns the principal
authority for all phytosanitary matters.

Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            52
    4.2.12 ANIMAL BREEDING ACT, 2001

The Animal Breeding Act provides for the promotion, regulation and control, marketing,
import and export and quality assurance of animal and fish genetic materials. It makes
general provision for the implementation of the national breeding policy in Uganda and
other matters connected therewith.

The Director of Animal Resources is charged with various functions. Under Section 4,
the director should promote optimum animal genetic resource management,
conservation and sustainable use commensurate with Uganda‟s needs and
environmental protection. The Commissioner of Animal Production and Marketing is
responsible for registration of animal genetic resources and related activities (sect. 6(1)),
while the Commissioner of Fisheries Resources is responsible for the register of fish
breeding and related activities (sect. 6(4)). "Animals" are defined to mean all livestock,
camels, donkeys, rabbits, poultry, other ruminating and pseudo-ruminating animals, fish
and any other animal that the minister may by statutory instrument so declare (sect. 3).

No imports or exports of animal breeds and genetic material shall be done without
obtaining a permit from the Commissioner of Livestock and Entomology (sect. 7). A list
of suitable breeds for widespread use is contained in the third schedule to the act, and
any breed not appearing in that schedule shall only be allowed into the country for
restricted use on designated locations and experimental stations or specialized
production units as approved by the director (sect. 8(1)). The director shall sanction
imports and exports based on verified documentary evidence of the material being free
of the disease agents and prohibited hereditary defects specified in the fourth schedule
to the act (sect. 8(4)). A sample of all genetic materials defined to be semen, ova, eggs
and embryos shall be submitted to a national depository for examination and future
reference (sect. 9). The National Animal Genetic Resources Centre and Data Bank
established under Section 13 is identified to serve as a national gene depository and
examination centre for genetic materials (sect. 15(2)), among other functions. All genetic
materials must conform to the national biosafety standards set by UNCST and UNBS
(sect. 9).




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            53
    4.2.13 THE NATIONAL ENVIRONMENT (ENVIRONMENT IMPACT ASSESSMENT )
           REGULATIONS (S.I. 153-1)

(EIA Regulations) provide that an EIA must be undertaken by experts whose names and
qualifications are approved by NEMA. A project brief will 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 will take into consideration ecological issues
including biological diversity, sustainable use of renewable resources and ecosystem
maintenance. The EIS will 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, will 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.

In determining whether or not to approve the EIA, the Executive Director of NEMA shall
take into account the validity of the predictions made in the EIS; the comments made by
the various parties; and the analysis of the economic and socio-cultural impacts of the
project [regulation 24]. The Executive Director may give approval to the project subject
to such conditions deemed necessary [regulation 26]. A certificate of approval may be
revoked by the Executive Director at any time if there is noncompliance with the
conditions set in the certificate; if there is a substantial modification of the project
implementation which may lead to adverse environmental impacts; or if there is a
substantive undesirable effect not contemplated in the approval. The developer must
rectify the adverse impact before any further implementation of the project can take
place [Regulation 28].

The fees payable to NEMA on EIAs are stipulated in the third schedule to the
regulations. The Executive Director may, as authorized by regulation 39, delegate any of
the functions and powers under the EIA Regulations to any officer of NEMA or to a lead
agency.

Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            54
The EIA regulations provide for post assessment environmental audits. The developer is
required to take all practicable steps to ensure that the predictions made during the EIA
process are complied with. An initial self audit report is expected to be submitted by the
developer within a period of twelve to thirty six months of the project life. An audit may
be required sooner if the project has a shorter life span. The audit must be undertaken
by qualified persons approved by NEMA [Regulation 31]. NEMA itself may audit the
project at any time to determine compliance with the EIA predictions. The audit by
NEMA may be undertaken of its own volition or following a substantive petition by a
member of the public [Regulation 32]. NEMA may require the developer to take specific
mitigation measures to ensure compliance with the EIA. Failure by the developer to do
so may cause an improvement notice to be issued against it and civil and criminal
proceedings may be instituted against the developer in accordance with the provisions of
the National Environment Act [Regulation 33].

    4.2.14 THE NATIONAL ENVIRONMENT (AUDIT ) REGULATIONS , 2006 (12/2006)

Makes further provision for environmental audits. An environmental audit would in
addition to its definition under the Act, determine the compliance status with
environmental regulatory requirements, the environmental management system and the
overall environmental risk of the facility [Regulation 2]. The audit regulations apply to
environmental audits under the Environment Act, environmental audits under the EIA
regulations, voluntary environmental audits by the owner and any other audits as may be
required or prescribed [Regulation 3].

Every owner or operator of a facility whose activities are likely to have a significant
impact on the environment is required to establish an environmental management
system in accordance with these regulations. An environment management system
means a documented system that defines the manner in which a facility manages its
environmental activities by developing, implementing, reviewing and monitoring
compliance to environmental regulations and requirements. A facility includes any
activity or part of an activity, field, farm, vessel, place, premises, project, means of
communication, production process or consumption method which is the subject or
potential subject of an environmental audit [Regulation 2].




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            55
An environment management system shall include a corporate environmental
management policy with a commitment by the owner or operator of the facility to
implement it; a plan for the implementation of the policy; a mechanism for developing
capabilities and support systems necessary to achieve the objectives of the policy; and a
mechanism for reporting, reviewing, monitoring and evaluating the environmental
performance of the facility. A copy of the policy must be displayed in a conspicuous
place in the facility. Failure to establish an environment management system is an
offence that attracts the sanction of imprisonment, a fine or both [Regulation 8].

    4.2.15 THE NATIONAL ENVIRONMENT (W ASTE MANAGEMENT) REGULATIONS (SI
           153-2)

Applies to all categories of waste, to the storage and disposal of waste and to all waste
disposal facilities. Waste is defined under regulation 3(x) to include any matter
prescribed as waste, and any radioactive matter whether liquid, solid or gaseous or
radioactive which is discharged, emitted or deposited into the environment in such
volume, composition or manner as to cause an alteration of the environment.

A person who generates waste is duty bound to minimize the waste generated by
adopting cleaner production methods which include the improvement of production
processes; the monitoring of the product life cycle to identify and eliminate potential
negative impacts of the product, enable the recovery and reuse of the product where
possible, reclaim and recycle; and incorporating environmental concerns in the design
and disposal of a product.

The characteristics of hazardous wastes are stipulated in the second schedule to the
regulations and include explosive, flammable, spontaneous combustion, oxidizing, acute
toxicity, ecotoxic, radioactive, persistent waste, corrosive and carcinogenic waste.
Guidelines for the determination of hazardous characteristics are contained in the third
schedule to the regulations. Wastes considered hazardous are listed in the fifth schedule
and include wastes from heat treatment and tempering operations containing cyanide,
wastes of an explosive nature, wastes containing arsenic and its compounds, selenium
and its compounds mercury and its compounds and other chemicals and their
compounds. A person violating the regulations may be served with an improvement
notice and such further action authorized by the National Environment Act may be taken
against such person. Discharge of effluent from any establishment will be in compliance
with the National Environmental (Standards for Discharge of Effluent into Water or on
Land) Regulations (SI 153-3).




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            56
    4.2.16 NATIONAL ENVIRONMENT (STANDARDS FOR DISCHARGE OF EFFLUENT
           INTO W ATER OR ON L AND) REGULATIONS (SI 153-3)

Which stipulates that effluent or waste water should be discharged in accordance with
the standards prescribed in the schedule to the regulations. It is the general obligation of
every industry or establishment to mitigate pollution by installing at the premises anti
pollution equipment for the treatment of effluent and chemical discharge emanating from
the industry or establishment. Records must be kept on the waste discharged and
submitted to NEMA and any relevant lead agency every three months from the
commencement of the activity for which the permit was issued. Penalties are prescribed
for the contravention of the provisions of the regulations. NEMA may in addition to any
penalty require the industry or establishment to take specific action to mitigate the
damage caused as a result of the contravention.

In implementing the Effluent Discharge Regulations, NEMA has delegated its authority
with regard to the discharge of effluent into water to the Director of Water Development
through the National Environment (Delegation of Waste Water Discharge Functions)
Instrument (SI 153-4). The delegated function must be undertaken in accordance with
the provisions of the Environment Act and any regulations, guidelines or directions
issued under it. The delegated function may be withdrawn in writing by the Executive
Director, NEMA, for breach of any of the terms of delegation.

    4.2.17 THE NATIONAL ENVIRONMENT (W ETLANDS, RIVERBANKS AND
           LAKESHORES MANAGEMENT) REGULATIONS (SI 153-5)

Makes provision for the mentioned areas deemed to be environmentally fragile. The use
of a wetland, which is defined as an area permanently or seasonally flooded by water
where plants and animals have become adapted and includes swamps, dambos, areas
of marsh, peatland, mountain bogs, banks of rivers, vegetation, areas of impeded
drainage or blackish salt; is regulated save in instances where the wetland is used for
traditional purposes like harvesting papyrus, collection of water for domestic use, fishing
using traditional fishing methods.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
SERVICES PROJECT (ATAASATAASATAAS)

Prepared by Africa Services Group Ltd                                                                            57
Regulated activities in wetlands include brick making, drainage, sewerage filtration and
construction of transport and communication facilities like roads, railways and telephone
lines (second schedule). The wetlands on the shores of Lake George and associated
inflowing rivers have been declared wetlands of international importance in the third
schedule to the regulations. Such wetland is a fully protected wetland in which the only
permitted activities are tourism, research and restoration or enhancement of the wetland.
Regulated activities mentioned in the second schedule may be permitted if an
application lodged (Form A, First Schedule) in accordance with the provisions of
regulations 11-12 with an environment impact assessment attached, are approved by
NEMA and a permit issued for that purpose (Form B, First schedule). Landowners,
occupiers or users who are adjacent to or contiguous with a wetland must prevent the
degradation or destruction of the wetland and maintain the ecological and other
functions of the wetland.

Riverbanks and lakeshores are to be well managed to prevent siltation of rivers and
lakes and control pollution or degrading activities. An EIA is required for all major
activities on riverbanks and lakeshores. Special measures are essential for the
protection of these areas from soil erosion, siltation and water pollution (regulations 19-
29). A river is defined to mean a body of natural surface stream of water of considerable
volume permanently or seasonally flowing in a defined channel. A riverbank is the rising
ground, not more than one hundred meters long, bordering or adjacent to a river in the
form of rock, mud, gravel or sand and in cases of flood plains includes the point where
the water surface touches the land, that land not being the bed of the river. A lake is a
body of fresh or salt water of considerable size, completely surrounded by land, or a
natural body or pool of water; while a lakeshore is the land not more than one hundred
meters adjacent to or bordering a lake [regulation 2].

In accordance with regulation 23, any person who intends to use, erect, alter, remove or
demolish any structure or part of any structure in, under or over the riverbank or
lakeshore; or intends to excavate, drill, tunnel or otherwise disturb the riverbank or
lakeshore; or intends to deposit any substance on a riverbank or lakeshore if that
substance would or is likely to have adverse effects on the environment; must apply to
NEMA for a permit in the terms set out in Form A of the First schedule to the regulations




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            58
A permit granted for use of a wetland, riverbank or lakeshore may be revoked if the
conditions of the grant of permit are not complied with. A local environment committee
has the duty to assist local communities in the conservation of wetlands, and ensure the
protection of all riverbanks and lakeshores within their jurisdiction. An environment
officer is duty bound to ensure that the communities living near a wetland participate in
its conservation and is required to assist environment committees in implementing these
regulations. Private landowners in whose land a riverbank or lakeshore is situated have
the duty to prevent and repair damaged riverbanks and lakeshores using
environmentally friendly methods.

The rivers specified in the sixth schedule to the regulations have a protection zone of
one hundred meters from the highest water mark of the river. Other rivers have a
protection zone of thirty meters from the highest water mark of the river. All shores of
lakes specified in the seventh schedule to these regulations have a protection zone of
two hundred meters measured from the low water mark. All shores of other lakes have a
protection zone of one hundred meters from the low water mark. No activity is permitted
in a protected zone without the written authority of NEMA. Access to the natural beaches
of rivers and lakes, whether alienated or not are reserved for public recreation and open
access unless permitted to do otherwise by the Minister [regulation 32]. Activities sought
to be undertaken require an EIA. Once a permit has been granted to a developer, annual
audits must be undertaken by the developer and reports submitted to NEMA and the
lead agency. An environment restoration order or an improvement notice may be issued
by NEMA during the subsistence of the permit.

The functions of the Executive Director may be delegated to an officer of NEMA or to a
lead agency. The functions with regard to exercising any waiver on the limitations on the
use of lakes and rivers as stipulated in the National Environment Act are delegated to
the Director of Water Development when issuing waste discharge permits under the
Water Act [regulation 3(2), The National Environment (Delegation of Waste discharge
Functions) Instrument].




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            59
Mountainous and hilly areas should be managed in a sustainable manner to ensure the
sustainable utilization of resources for the benefit of the people and communities living in
the area as provided in the National Environment (Mountainous and Hilly Areas
Management) Regulations (SI 153-6). Every land owner or occupier is enjoined to, while
utilizing land in a hilly or mountainous area, use the best available technologies to
minimize significant risks to ecological and landscape aspects; maintain such vegetation
cover as may be determined by the local authorities; and carry out soil conservation
measures. A person who desires to carry out any developmental activity requiring an
EIA in a mountainous or hilly area where the gradient exceeds 15 percent must make an
application to the local environment committee in terms of Form A, Second Schedule
stating the activities to be carried out in the area, the estimated life span of the activities
and attach the EIA report. A permit to carry out the requested activities may be granted
by the local environment committee in accordance with Form B Second schedule subject
to such conditions deemed necessary.

    4.2.18 THE NATIONAL ENVIRONMENT (ACCESS TO GENETIC RESOURCES AND
           BENEFIT SHARING) REGULATIONS , 2005

Defines genetic resources as genetic material of actual or potential use or value and
includes their derivative products and intangible components; while „access‟ is defined to
mean the obtaining, possessing and using of genetic resources for purposes of
research, bio-prospecting, conservation, industrial application or commercial use. The
regulations prescribe the procedure for access to genetic resources for scientific
research, commercial purposes, bio-prospecting, conservation or industrial application;
provide for sharing of benefits derived from genetic resources; and promote the
sustainable management and utilization of genetic resources.

The regulations apply to access to genetic resources or parts thereof, whether naturally
occurring or naturalized, whether in-situ conditions or ex-situ conditions, including
genetic resources bred for or intended for commercial purposes within Uganda or for
export. Exchange of genetic resources that are certified to be purely for food or other
consumptive purposes as prescribed by the relevant laws; transit of genetic resources
through Uganda; exchange by a local community inter se for consumptive purposes;
access to genetic resources derived from plant breeders as defined by laws relating to
plant breeding and plant variety are, inter alia, excluded from the application of the
regulations. Where access to genetic resources is likely to have a significant impact on
the environment, an environment impact assessment shall be carried out prior to the
conclusion of a materials transfer agreement.




Environmental and Social Management Framework (ESMF) for the AGRICULTURAL TECHNOLOGY AND AGRIBUSINESS ADVISORY
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Prepared by Africa Services Group Ltd                                                                            60
The Uganda National Council for Science and Technology (UNCST), which is
established under the Uganda National Council for Science and Technology Act, Cap
209 (see below), is designated as the competent authority for the purpose of fulfilling the
object of the regulations. The UNCST is enjoined to coordinate all activities of lead
agencies relating to access to genetic resources in accordance with these regulations
and the National Environment Act; and submit to NEMA reports relating to the
implementation of these regulations. NEMA, however, retains the function of initiating
the formulation of national policy on access to genetic resources; developing guidelines
for access to and export of genetic resources; collaborating with lead agencies in
carrying out public awareness campaigns, designing capacity building programmes and
ensuring compliance with and enforcement of these regulations; developing guidelines
for the export of genetic resources and benefit sharing; and advising on access to
genetic resources outside protected areas.

    4.2.19 THE GUIDELINES ON THE MANAGEMENT OF LAND AND OTHER RELATED
           ISSUES UNDER THE L AND ACT, 1998

Indicate that natural resources such as natural lakes, rivers, ground water, natural
ponds, natural streams, wetlands, forest reserves, national parks and other land
reserved for ecological and tourist purposes are vested in the central Government which
holds these resources in trust for the people for the common good of the citizens of
Uganda. A local government may request the central Government to transfer ownership
of a natural resource to it. Until such a request is granted, the natural resource still vests
in the central Government. The central Government or a local government shall not
lease or otherwise alienate such natural resource described above.

    4.2.20 THE W ATER (W ASTE DISCHARGE ) REGULATIONS S.I. 152-4

Stipulate further requirements for obtaining waste water permits. Discharge of effluent or
waste contrary to the standards set by NEMA in the National Environment (Standards for
Discharge of Effluent on Land or into Water) Regulations is prohibited [regulation 4]. An
applicant for a waste discharge permit shall pay the requisite fee specified in Form B of
the Fourth Schedule to these Regulations and shall pay an annual waste discharge fee
as specified in the same form and schedule. A person who is engaged in ant trade
specified in the Third Schedule; or owns or occupies premises specified in the Third
Schedule to these Regulations from which waste may come into contact with water
directly or indirectly, may apply to the director for a waste discharge permit [regulation
5(1)(b)]. Coffee factories, commercial fish farms, fish processing factories, fruit and
vegetable processing factories, meat processing factories and slaughtering works are
identified under the third schedule as prescribed trades and premises requiring permits.


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    4.2.21 THE LOCAL G OVERNMENT ACT, CAP 243

The Act was passed, amongst other things, to give effect to the decentralization and
devolution of functions, powers and services; and to provide for decentralization at all
levels of local governments to ensure good governance and democratic participation in
and control of decision making by the people. The system of local government is based
on the district as a unit with lower local governments and administrative units. For
purposes of the NAADS Act that dwells on sub-counties, the lower local government in
the district would be the sub-county council.

A local government council whether district or sub-county, has the duty of performing the
functions prescribed under the Constitution and this Act; and ensuring the
implementation and compliance of Government policy. A lower local government has the
duty of monitoring the performance of persons employed by the Government or a higher
local government to provide services in its area of jurisdiction and monitor the provision
of Government services or the implementation of projects in the area [section 30]. The
Ministry responsible for local government has the responsibility of giving guidance,
inspecting, monitoring and coordinating local governments in order to ensure compliance
with the requirements of the national legal framework. Ministries are required to give
technical support to local governments to ensure that the implementation of national
policies and adherence to performance standards is realized.

Functions and services for which district councils are responsible include crop, animal
and fisheries husbandry extension services [Part 2, Second Schedule]. Lower local
government councils are responsible for the provision of agricultural ancillary field
services; the control of soil erosion and protection of local wetlands; and the provision of
measures to contain food shortages including relief work, the provision of seed and the
storage of foodstuffs [part 4, Second Schedule]. Since NAADS and NARS are central
government entities, the local governments are duty bound to ensure compliance with
the provisions of the laws and policies as pertain to local governments.

NAADS will operate at the grassroots through the Local Government structures and
through CSO Networks.

4.3 INTERNATIONAL ENVIRONMENTAL INSTRUMENTS/OBLIGATIONS FOR
    UGANDA
Uganda is a signatory to several international instruments on environmental
management. These are summarized in Table 4-1: International environment
instruments / obligations applicable to Uganda below.


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           TABLE 4-1: INTERNATIONAL ENVIRONMENT INSTRUMENTS /
                    OBLIGATIONS APPLICABLE TO UGANDA

Convention                              Objective
The MDG 7                               to ensure environmental sustainability
The African Convention on               to encourage individual and joint action for the
the Conservation of Nature              conservation, utilization and development of soil, water,
(1968)                                  flora and fauna for the present and future welfare of
                                        mankind, from an economic, nutritional, scientific,
                                        educational, cultural and aesthetic point of view.
The Ramsar Convention                   to stop the progressive encroachment on and loss of
(1971) on wetlands of                   wetland now and in the future, recognizing the
International Importance                fundamental ecological functions of wetlands and their
                                        economic, cultural, scientific and recreational values
The Protection of World and             to establish an effective system of collective protection of
Cultural Heritage                       the cultural and natural heritage of outstanding universal
convention (1972)                       values
The Convention on the                   to protect certain endangered species from over-
International Trade in                  exploitation by means of a system of import/export
Endangered Species of                   permits
Wild Flora and Fauna
(CITES, 1973)
The Convention on the                    to protect those species of that migrate across or outside
conservation of migratory               national boundaries
species of wild animals
(1979).
The Vienna Convention for               to protect human health and the environment against
the protection of the Ozone             adverse effects resulting from modification of the ozone
Layer (1985)                            layer
Montreal Protocol on                    to protect the ozone layer by taking precautionary
Substances that deplete the             measures to control global emissions of substances that
Ozone layer (1987)                      deplete it.
The Basel Convention on                  to reduce trans-boundary movements of waste subject to
the trans-boundary                      a minimum consistent to the environmentally sound and
Movement of Hazardous                   different effects of such wastes and to minimizing the
Wastes and their disposal               amount and toxicity of hazardous wastes generated and
                                        ensuring their environmentally sound management
Convention on Biological                to promote diversity and sustainable use and encourage
Diversity- (CBD 1992)                   equitable sharing of benefits arising out of the utilization
                                        of genetic resources
United Nations Framework                to regulate the levels of green house gases concentration
Convention on Climate                   in the atmosphere so as to avoid the occurrence of
Change (UNFCCC, 1992)                   climate change on a level that would impede sustainable
                                        economic development, or compromise initiative in food
                                        production


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Convention                              Objective
United Nations Convention               to combat desertification and mitigate the effects of
to combat Desertification               drought in countries experiencing serious drought and or
(UNCCD, 1994)                           desertification
Lake Victoria Fisheries                 to regulate and enhance fisheries in Lake Victoria
Organization (1994) LVFO                covering Uganda, Kenya and Tanzania.
Lake Victoria Environment               to improve the management of the environment in the
Management Programme                    Lake Victoria region by addressing water quality, land
(1994)                                  use, wetlands, fisheries and control of water hyacinth
The technical Cooperation                to promote Basin wide cooperation for the integrated and
Committees for the                      just development, conservation and use of the Nile Basin
promotion of resources                  water and to determine the equitable entitlement of each
Development and                         state of the Nile
Environmental Protection of
the Nile Basin (1992)
The Basin Cooperation                   To control illegal trade in Wildlife and Wildlife products
enforcement Operations
Directed at illegal trade in
Wild Fauna and Flora (the
Lusaka Agreement 1996)
The Inter-Government                    to improve environment management particularly early
Authority in Development                warning system and food security and reduce conflict in
(1986)                                  Sudan, Eritrea, Djibouti, Ethiopia, Kenya, Uganda and
                                        Somalia


    4.3.1 W ORLD BANK SAFEGUARD POLICIES

The provisions in the ESMF have to comply with the World Bank‟s operational policies
on Environmental and Social Assessment (OP 4.01). Other operational policies can be
optionally used for the screening of subprojects if considered useful. These safeguard
policies are designed to help ensure that programs proposed for Bank financing are
environmentally and socially sustainable; thereby improving decision making, provide for
a sustainable stream of direct or indirect benefits to alleviate poverty and to enhance
community income and environmental protection. There are other policies that cover a
number of specific environmental issues which will be considered when screening
activities in this project.




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Some of the policies that relate to the ATAAS Project include:

OP 4.01 (Environmental Assessment) issued in January 1999, is the central document
that defines the Bank's environmental assessment requirements. This directive outlines
the Bank policy and procedures for the environmental assessment of Bank lending
operations. Environmental consequences will be recognized early in the project cycle
and taken into account in project selection, sitting , planning, and design by preventing,
minimizing, mitigating or compensating for adverse environmental and social impacts
and enhancing positive impacts. EA includes the process of mitigating and managing
environmental impacts throughout project implementation. Specifically, this Safeguard
Policy will be triggered when new/rehabilitation of ZaRDI‟s is undertaken during the
project implementation.

OP 4.04 (Natural Habitats) which clearly stipulates that projects involving the significant
conversion or down grading of natural habitat cannot be supported unless the projects
include adequate mitigation measures;

OP 4.09 (Pest Management) – the objective of this policy is to promote the use of
biological or environmental control methods and reduce reliance on synthetic chemical
pesticides. This policy is triggered by ATAAS project especially when use of agro-
chemicals is involved;

OP 4.11 (Physical Cultural Resources) – the objective of this policy is the help
countries avoid or reduce the adverse impacts of development projects on physical
cultural resources; and

OP 4.36 (Forest) – provides guidance for forestry projects are provided, detailing policy
on commercial logging operations or acquisition of equipment for use in primary moist
tropical forests and in forests of high ecological value. The Bank finances can only be
utilized for preservation and light, non-extractive uses of forest resources.

A screening process for all World Bank projects classifies them into one of three
environmental assessment categories:

               Category "A" projects potentially cause significant and irremediable
                environmental impacts.

               Category "B" projects cause lesser impacts, which are often essentially
                remediable or can be mitigated. This ESMF categorizes the ATAAS as
                Category B Project.


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               Category "C" projects can be expected to have little or no environmental
                impact.

Category A projects require a full, detailed Environmental Impact Assessment, which
needs to be approved before the Bank can give its support. Category B projects require
the implementation of an Environmental Impact Evaluation (EIE), which requires far less
details than an EIA. Category C projects do not require an EIE or EIA.

4.4 INSTITUTIONAL FRAMEWORK
The institutional mechanism for the attainment of the ATAAS is contained in the laws
that establish the two main institutions involved - NAADS and NARO as discussed
above. There must be collaboration with related entities like the UNSCT and the National
Biosafety Committee, the NSCS and the local governance structure in order for the
policy initiatives to succeed. The two main laws mentioned do recognize the need to
collaborate with other institutions both public and private in undertaking their mandates.
It is imperative in the design of the next phase to ensure that there is a central
coordinating unit to ensure that each participating institution effectively performs their
role in realizing the objectives and purpose of the project.




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5 POTENTIAL ENVIRONMENTAL AND SOCIAL
  CONCERNS
5.1 LESSONS LEARNT FROM THE EARLIER NAADS AND NARO PHASES
It was observed that in the previous NAADS and NARO activities, environmental issues
were considered in sub-project design and funds budgeted for mitigation measures out
of community contribution; however mitigation measures were largely not implemented.
The levels of environmental and social mitigation differed from district to district. Also
where the interventions were implemented, there was no uniform mechanism in terms of
reporting and collaborative mechanisms with stakeholders to create synergies especially
between NAADS and with such service providers.

In addition, there was limited explicit environmental and social focus during the review
and appraisal regimes of both NARO and NAADs. Building on lessons learnt from the
previous NAADS and NARO programmes, this ESMF adequately emphasizes the
environmental and social mitigation measures whose implementation costs have been
budgeted and are to financed by the project, and implemented concurrently with the
subproject other activities. Similarly, ATAAS will strengthen environmental review at the
sub-projects levels. During the DPs project reviews and appraisals missions, issues of
environmental and social nature are proposed to be part of such undertakings. For
effective institutionalization and operationalization of the ESMF, the services of an
Environmental and Social Specialist will be procured at agreed time schedules and
frameworks.

5.2 POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS OF POSSIBLE
    ATAAS SUBPROJECTS
Implementation of ATAAS Program will have both positive and negative impacts
summarized under 5.2.1.and 5.2.2 here below.

    5.2.1 POSITIVE I MPACTS OF THE ATAAS

The aim of NAADS is to develop demand driven, client oriented, and farmer-led
agricultural advisory service delivery system, in particular targeting women and the poor.
NAADS is grounded in the Ugandan government‟s overarching policies of:
decentralization, liberalization, and increased participation of the people in governance.




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5.2.1.1 E MPOWERMENT OF VULNERABLE G ROUPS ESPECIALLY WOMEN

Overall, the Program is likely to have a positive impact on the social issues in community
development in Uganda in the short, medium and long term. NAADS is built on
principles of participation, reducing poverty, strengthening farmer livelihoods and
reducing the level of environmental degradation. Further, NAADS activities are oriented
towards gender equality and an equitable distribution of benefits. This ensures that, the
women who are traditionally marginalized will be able to voice their concerns through
respective Farmer Groups.

5.2.1.2 R E - ORIENTATION OF MODE OF SERVICE DELIVERY

NAADS is seen as a reform process, and as such is meant to assist in transforming the
role of farmers through empowerment so they can gain access to and have control over
agricultural advisory service provision, market information, and technological
development and in transforming the role of those that support farmers in their
development. This means that, it will redirect the roles of the various actors (service
providers, farmers and their groups and other development support agencies), in the
development of their capacity to deliver services to the recipient groups. With such a
move, there is likely to be a re-organization and re-orientation in the extension arm of
agricultural service delivery in a responsive manner.

NAADS intention has been to build upon these efforts as well as support other self-
organized groups. It should be noted that each of these project interventions impact on
the local institutional environment, that is, new social structures resulting from inter-
project and project-community interactions emerge as the local people are consulted,
meetings are organized, resources and other services are provided. External rules
(procedures, regulations and values) may replace or meld with local rules. Continuity
can be an issue as well as loss of indigenous structures and management systems.

5.2.1.3 R E - ORGANIZATION OF F ARMERS I NSTITUTIONS

NAADS initial evaluation of farmer groups revealed their weak capacity and limited
empowerment levels that led to the invitation of NGOs during the start-up phase to
facilitate the process of FID. Subsequent feedback from the grassroots had indicated
progress as well as some issues arising. Some of the areas that have been highlighted
requiring further and deeper investigation included: farmer group development involving
agro-enterprise selection and development; roles and responsibilities of the various
actors and how these are being carried out; inclusiveness, empowerment, and
accountability; and technical service delivery itself.



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Therefore, organizing and strengthening Farmer Institutions has been one of the major
starting activities in the districts where NAADS is being implemented and it is hoped that,
under ATAAS, this initiative will be continued. The process of organizing and
strengthening FIs will be through the following steps:

               Mass mobilization and sensitization;
               Group formation and development;
               Farmer fora formation and development; and
               Enterprise selection and development.

5.2.1.4 I MPACTS ON PRODUCTION AND PRODUCTIVITY

ATAAS Project focuses on three sub-projects of: technology development and
adaptation; outreach and technology dissemination and institutional strengthening of
research systems. These components will yield positive impacts with synergies and
complementarities in terms of the following:

               Improvement in terms of yields through research and technology
                development which will lead to development of better varieties and breeds of
                crops and livestock with better production and productivity traits which will
                address issues of food security and climatic vulnerabilities;

               Adaptation of technology implies, technology will be responsive to the needs
                and challenges to the local farmers in their efforts to modernize their methods
                of production. This will be consistent with the broader and over-arching policy
                of the Plan for Modernization of Agriculture (PMA) which aims at transforming
                farmers production from largely being dominantly subsistence based to
                becoming market oriented;

               A combination of technology development, dissemination and institutional
                strengthening will in overall terms lead to improvement in agricultural
                production which will lead to better incomes and livelihoods of the farmers.
                This will lead to the creation of employment opportunities in the sector and
                asset creation and ownership by the farmers. In all there will be socio-
                economic empowerment of the farmers;

               It is envisaged that, institutional strengthening especially the ZaRDIs will
                make them able to conduct focused research and zone based research which
                is responsive to the needs of the farming challenges in such zones. The
                results of the agricultural research will result into better agricultural production
                in the respective zones. That means the farmers in the agro-ecological zones
                will be empowered socio-economically and in all, lead to regional balance.




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5.2.1.5 C REATION OF B ETTER M ARKETING O PPORTUNITIES

The program will enhance the linkages between agribusiness, farmers, advisers and
researchers thereby creating viable, sustainable market linkages. Based on successful
partnerships model developed by NAADS, the program would use the market to “pull”
farmers out of subsistence agriculture. These will lead to value addition, and access to
market information and the markets thus, better marketing of their products thereby
making them earn better income and have good livelihoods in the end.

5.2.1.6 C ONTRIBUTION TO I MPROVED GDP

Available records indicate that, Agricultural sector contributes nearly 20 percent
of GDP for Uganda. It is also reported that, the sector accounts for 48 percent of
exports and provides a large proportion of the raw materials for industry. On the
other hand, food processing alone accounts for 40 per cent of total
manufacturing. Furthermore, the sector employs 73 percent of the population
aged 10 years and older. All these are very large positive impacts anticipated
from ATAAS project.

5.2.1.7 I MPROVED E NVIRONMENTAL AND N ATURAL R ESOURCES M ANAGEMENT

An element in the ATAAS Project will be increased attention to Sustainable Land
Management (SLM) to help prevent and reduce the impact of land degradation
processes on ecosystem services in agricultural landscapes. This effort is envisaged to
strengthen farmers‟ capacity to adapt to climate change. This support will build on
amongst others, the Uganda Strategic Framework for SLM3, and the current DSIP
through generation and dissemination of proven SLM technologies such as integrated
nutrient management, agro-forestry, reduced tillage, and water harvesting, among
others.

This will be a very large positive impact in light of the current rampant environmental and
natural resources degradation.

5.2.1.8 P ROMOTION OF P UBLIC -P RIVATE P ARTNERSHIP

Program management and monitoring component under NAADS will build on core
principles of the current NAADS program i.e. deepening decentralization, (ii)
participation and ownership of stakeholders, (iii) farmer empowerment, (iv) pluralism in
service delivery, (v) promotion of public-private partnerships, (vi) promotion. These will
all make a substantial effort to deepen NAADS by increasing its outreach to more
farmers as well as, assisting farmers to move up the value chain.

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5.2.1.9 I NSTITUTIONAL C APACITY B UILDING

As part of capacity building, physical infrastructure improvements are needed at several
of NARIs and ZARDIs, including new civil works in the three newly established ZARDIs.
In most other cases, this will entail rehabilitation and upgrading of existing facilities and
in some cases new civil works are proposed for expansion or addition of essential
facilities. These will be large positive benefits of ATAAS Program.

5.2.1.10             E NHANCED R EGIONAL C OLLABORATION IN A GRICULTURAL R ESEARCH

The Project is envisaged to strengthen the work of NARO under the East Africa
Agricultural Productivity Project (EAAPP) as a Regional Center of Excellence (RCE) in
cassava research and participate in the regional research on dairy, wheat and rice
together with Kenya, Ethiopia and Tanzania.

In this way, ATS will be contributing to enhanced regional research collaboration in
research leading to regional food security and better livelihoods of the broader EAC
population.

5.2.1.11             S TANDARDIZATION OF S ERVICE P ROVIDERS

ATAAS planned support to the development of quality assurance mechanisms for the
service providers in terms of setting and enforcing standards, regulations and technical
auditing of service providers will go a long way to ensuring that, the farmers get better
services. Plans to set and enforce standards as well as providing regulatory framework
for their qualifications and performance, and developing model contracts will ensure that
quality and capable service provides will very much eliminate quack service providers in
the market.

    5.2.2 NEGATIVE I MPACTS

By and large, there are likely to be no potential large-scale, significant or irreversible
adverse environmental impacts associated with ATAAS Project implementation.
However, there are potential risks or negative impacts that could arise from its
implementation are summarized in Table 5-1: Synopsis of some potential negative
environmental impacts of the ATAAS project. It is also important to note that, although
the project activities could potentially lead to some cumulative negative impacts, this
ESMF has proposed some monitoring mechanisms through which, unforeseeable
negative impacts of the project can be identified monitored to ensure compliance with
environmental provisions.



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The potential environmental and social impacts of the ATAAS project have been broadly
developed based on the sub-components. Finer sub-projects are yet to be designed.
However, as and when they become known, then based on their nature, they will then
be subjected to specific and responsive EIAs investigations.

5.3 SOCIAL ISSUES
Social                      Likely impacts                           Mitigation measures
concerns

Unemployment, increasing the need for cash                           Increase access to micro
livelihood     incomes in rural households to                        finance to finance agricultural
based earnings cover the costs of                                    inputs; and
               technological inputs is likely to                     Encourage labor intensive
               force women to work as                                technologies.
               agricultural laborers;
                            increasing the need for unpaid
                            female labour for farming tasks
                            is likely to augment women's
                            already high labour burden;
                            Displacing women's wage-
                            earning opportunities through
                            mechanization;
                            Not enough wages from
                            increasing labour; and
                            Commercialization of
                            agriculture can lead to farm
                            consolidation, struggling
                            farmers cannot compete
                            successfully in the commercial
                            sector, they should abandon
                            their livelihood and culture, and
                            seek off-farm employment
                            instead.

Food security,              More time spent on agriculture           Need for improved granary
food                        labor less food. The poor will           storage technologies;
distribution,               remain without food and thus,            Institute bye-laws on food
hunger                      malnutrition and hunger.                 security as food security
                            Food storage may be a                    measures;

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Social                      Likely impacts                           Mitigation measures
concerns
                            problem.                                 Post handling services to
                                                                     avoid food waste and loses in
                            Shifting "subsistence-oriented"
                                                                     after harvest;
                            and "small market-oriented"
                            farmers into the commercial              Encourage food production.
                            farm sector may disrupt food
                            security and force small
                            farmers off the land.


Gender equity,              Studies of impact have shown             Recognizing women farmers
regional                    that the better-off strata of rural      as forming a constituency for
balance                     society have gained access to            agricultural research;
                            better incomes generated by              Recording from women the
                            the introduction of technology           husbandry and utilization
                            whereas the poorest strata               information on indigenous
                            have tended to lose access to            plant varieties that would
                            income that was available                provide insight into
                            before its introduction.                 performance characteristics;
                            The wealthy have benefited               giving due attention to the
                            more from technological                  multiple uses of plants for
                            change in agriculture than the
                                                                     food and other uses;
                            less well off and;
                                                                     Studying domestic
                            Men are likely to benefit more           processing, storage and
                            than women.                              cooking technology and
                            Technical training and                   linking them to plant breeding
                            extension programmes may                 programmes.
                            target men thereby denying               Substantial investment in
                            women opportunities to                   infrastructure and credit
                            improve their skills and access          markets
                            to important extension
                            services.
                            Unequal adoption and low use
                            of inputs like fertilizers.

Vulnerability,              Some technologies are                    The fact that they are
capacity                    expensive to raise; e.g. some            expensive to adapt calls for
building,                   breeds of chicken and fish are           research on responsive and

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Social                      Likely impacts                           Mitigation measures
concerns
production                  expensive to raise;                      easily adaptable
asset                                                                technologies;
                            Landless, small-scale farming
ownership                   households likely to go into             Increase access to micro
                            under nutrition and poverty.             finance services; and
                                                                     The livelihoods and rights of
                                                                     the poor protected.

Market access,              Links between new                        More participation of farmers
policies,                   technologies and markets;                in problem identification for
regulations                 comparative advantage of new             improvement;
standards,                  varieties to local popular               Conflict resolution and
institutions,               varieties on different                   sensitization;
infrastructure              characteristics; pricing issues;
                            and seed quality control.                Advocacy for inclusion of
                                                                     hard to reach regions.
                            Power imbalance and conflict
                            in some local institutions;              Rigorous sensitization of
                                                                     farmers on the benefits of the
                            Lack of participation and                research varieties. This could
                            feedback from farmers/                   be followed with
                            Lip service is given to the              demonstration and study
                            participation of local interests         tours/exchange programs
                            and civil society, but the
                            strategy does not suggest how
                            this goal can and should be
                            implemented

Governance,                 Disregard for farmers' rights:           Implementing policies that
voicelessness,              the right to grow safe and               encourage greater
marginalization             nutritious food, the right to a          agricultural productivity and
                            livelihood of their own                  sound natural resource
                            choosing.                                management
                            many rural communities are               Investing in infrastructure that
                            rejecting transgenic crops               enables markets to work
                            because their use frequently             efficiently
                            denies farmers' cultural right to        Building research institutions
                            save, breed and exchange                 that ensure a flow of new and
                            seed                                     adapted technologies to
                                                                     producers and postharvest

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Social                      Likely impacts                           Mitigation measures
concerns
                                                                     enterprises
                                                                     Supporting the expansion of
                                                                     effective training, education,
                                                                     and communication systems
                                                                     that provide producers and
                                                                     those in agribusiness -
                                                                     women and men - with
                                                                     information they need to be
                                                                     effective market participants


Rural                       improved technologies may not Measures to sustain adoption
development,                be backed by clear economic   include investments on
budgeting,                  policy support or guidance;   irrigation use, water
infrastructure                                            conservation technologies,
                            Sustainability of adoption
services,                                                 drought- tolerant crop
policies,                                                 varieties.
institutions                                                         Rural development strategy
                                                                     to reflect the needs and
                                                                     concerns of the rural poor. A
                                                                     sound rural development
                                                                     strategy should start with an
                                                                     accurate assessment of the
                                                                     social and political roots of
                                                                     poverty;
                                                                     locally owned agriculture as
                                                                     opposed to corporate-
                                                                     controlled agriculture and
                                                                     relies on environmentally
                                                                     sustainable methods such as
                                                                     organic farming;
                                                                     Emphasize proven low-cost,
                                                                     low-risk agricultural
                                                                     technologies;
                                                                     Have suitable partners in
                                                                     rural development; peasant
                                                                     and producer organizations,

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Social                      Likely impacts                           Mitigation measures
concerns
                                                                     NGOs, and international
                                                                     institutions with proven
                                                                     capacity to empower farmers;
                                                                     and
                                                                     Uphold workers' and farmers'
                                                                     rights to produce safe and
                                                                     nutritious food for themselves
                                                                     and their communities and to
                                                                     retain decision-making control
                                                                     over their choice of livelihood
                                                                     and methods of agriculture.
                                                                     Uphold the right to food
                                                                     security and food sovereignty.




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 TABLE 5-1: SYNOPSIS OF SOME POTENTIAL NEGATIVE ENVIRONMENTAL IMPACTS OF THE
                                ATAAS PROJECT

                                                   Possible Sub-                         Potential Environmental
No. Component                                      projects/Activities                   Impacts                                Mitigation Measures


01.     Generation of technologies,                Selection of focus                    Possible loss of some of the           Use of the gene banks to
        practices and strategies,                  commodities for research              genetic materials;                     conserve crop genetic
        addressing stakeholders‟                                                                                                materials
        demands and responding to                  Research work on the crop             Concerns relating to
        market opportunities                       and animal materials                  laboratory research                    Adoption of bets practices in
                                                                                                                                conduct of research
                                                   Agro-processing facilities            Management of agro-
                                                                                         processing wastes                      May need specific EIAs/project
                                                                                                                                briefs for such establishments.
                                                                                         Possible long terms impacts
                                                                                         of the technologies                    Monitoring of the farmers
                                                                                         developed if widely adopted            activities and evaluation of the
                                                                                         by farmers (e.g. wider                 research programmes
                                                                                         farmer base engaged in
                                                                                         production hence, need to
                                                                                         open large areas for
                                                                                         cultivation)


                                                   Development specific                  Possible pollution of land             Adoption of IPM strategies
                                                   fertilizer recommendations            and water sources through
                                                                                                                                Need for Environmental


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                                                   Possible Sub-                         Potential Environmental
No. Component                                      projects/Activities                   Impacts                                Mitigation Measures

                                                                                         these agro-chemicals                   Screening on the application of
                                                                                                                                fertilizers


                                                   Understanding and                     Interference with grazing              Conducting EIAs on the
                                                   handling of invasive                  lands;                                 activities of the Invasive
                                                   species                                                                      species as well as undertaking
                                                                                         Impacts on ecosystems                  evaluation and monitoring of
                                                                                         (land, water bodies                    their programmes.


02.     Efficient and effective delivery           Storage, transportation               Pollution risks on land,               Adoption of IPM principles in
        and uptake of technology and               and application of agro-              water and human risks due              the handling of agro-in puts
        knowledge established within               inputs                                to the handling of agro-               (agro-chemicals).
        the innovation system                                                            inputs


                                                   Production of foundation              Large lands in ZARDIs will             Zoning of the ZARDIs so as to
                                                   seed                                  be taken up for foundation             have some of their areas
                                                                                         seed production.                       under fallow

                                                                                         Management of                          Follow standard operations
                                                                                         waste/inferior seed at the             and guidelines for seed
                                                                                         Seed Certification Unit                centres

                                                                                         Potential invasion of seed             Use of standard control

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                                                   Possible Sub-                         Potential Environmental
No. Component                                      projects/Activities                   Impacts                                Mitigation Measures

                                                                                         certification by vermin                measures for vermin in storage
                                                                                                                                areas


03.     Strengthened effectiveness of              Construction/rehabilitation           Vegetation clearing                    May require specific EIAs to be
        the NARS                                   of ZARDIs Infrastructures                                                    conducted for such facilities;
                                                                                         Disposal of construction
                                                                                         debris                                 Management of construction
                                                                                                                                period to ensure health and
                                                                                                                                safety especially for the
                                                                                                                                workers and users of such
                                                                                                                                facilities (Appendix 4).

                                                                                                                                Removal and proper disposal
                                                                                                                                of construction debris;

                                                                                                                                Replant vegetation after
                                                                                                                                construction; and

                                                                                                                                Contractors have to comply
                                                                                                                                with the ESMP for the projects
                                                                                                                                they are undertaking.




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6 ENVIRONMENTAL AND SOCIAL SCREENING
  PROCESS
The sections below illustrate the stages of the environmental and social screening
process leading to the review and approval of subprojects to be implemented. The
purpose of this screening process is to determine which activities are likely to have
negative environmental and social impacts; to determine appropriate mitigation
measures for activities with adverse impacts; to incorporate mitigation measures into the
project as appropriate; to review and approve the project‟s proposals and to monitor
environmental parameters during the implementation of activities.

6.1 ENVIRONMENTAL PRINCIPLES
This section proposes key principles to be considered in the design and implementation
of ATAAS Project. These principles propose a framework for considering issues,
remedial options and opportunities to enhance environmental management and
outcomes associated with manmade and natural systems.

    6.1.1 MAINSTREAMING ENVIRONMENTAL CONSIDERATIONS INTO THE SUB-
          PROJECT PLANS AND BUDGETS

There are environmental and social concerns o practically in all the sectors of economy
as well as in agriculture. This therefore requires that, environmental and social aspects
be integrated into the economic development .process. Agricultural activities will seek to
ensure that the sustainability of ecosystems (land, wetlands forests, rivers, air, water,
etc) is not compromised, and is ideally enhanced as the goods and services they provide
underpin the livelihoods and immediate welfare of local communities. On the other hand,
development of technologies for agricultural production tends to produce a number of
negative impacts that have a potential of having far reaching impacts on both the bio-
physical and social environmental settings. Wherever possible, options with fewer
adverse environmental impacts will be favored over those that may involve changes in
ecosystem integrity and other natural processes. In the short-term, monitoring is key to
identifying environmental damage and prioritizing environmental mitigation which has to
be embedded in the plans and budgets of the projects such as ATAAS




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    6.1.2 ADAPTATION TO IMPACTS OF CLIMATE

Impacts of climate change are evident in Uganda and this project offers an opportunity to
enhance the resilience of natural and modified ecosystems and households to such
extreme events, which in turn will help plan mitigation of the potential impacts of a range
of natural risks and hazards including floods, droughts and, diseases. During
consultations with stakeholders, it was emphasized that, ATAAS project will have
modalities of addressing some of the pressing environmental issues such as landslides;
soil erosion and tree cover improvements. ATAAS will work with some of the climate
change mitigating programmes such as Uganda Carbon Bureau Services and Forests
Absorbing Carbon dioxide Emissions (FACE) under Uganda Wildlife Authority (UWA)
especially on aspects of carbon credit. Additionally the SLM activities have incorporated
NAP and NAPA activities that specifically address adaptation and mitigation measures.
The NAP addresses UNCCD interventions while the NAPA addresses the UNFCCC
interventions.

    6.1.3 SUB-PROJECT CYCLE AND THE SCREENING CRITERIA

Sub-project identification and preparation, design, appraisal, approval, implementation,
monitoring and supervision will be consistent with agreed guidelines, requirements and
documentation as required under the Screening and Review Process which will be fully
integrated into the Project Implementation Plan. The sections below describe actions to
be undertaken in each step of the subproject cycle in relation to implementation of
environmental and social safeguards.

The screening process is designed to determine which sub-projects require a full EIA
process and which do not. Screening is done with the aid of EIA « Screening Forms ».
The screening process ensures objectivity and transparency. It is important to note
that, not all sub-projects may necessarily cause adverse effects on the
environment due to differences in scale of the operation, nature of the proposed
sub-project and its location. Thus, not all proposed sub-projects requiring EIA
shall undergo the entire EIA process, nor necessarily the same level of
assessment.

The objective of the screening phase therefore is to determine if a proposed sub-project
does or does not have significant environmental and impacts. If it is determined not to
have potential to cause significant environmental impacts, it shall be categorically
excluded from further environmental impact assessment, and an appropriate decision
shall be made to approve and implement the project, with, where appropriate,
recommendations to the developer, for sound environmental management of the project.



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If it is not exempt, and is found to have potential significant environmental impacts,
further screening is conducted to determine if mitigation measures can readily be
identified through further Environmental Impact Review (EIR) or a full Environmental
Impact Study (EIS) shall be required. If in conducting the EIR adequate mitigation
measures are incorporated for the identified impacts, the environmental aspects of the
project can be approved.

6.1.3.1 S CREENING S TEPS

The environmental and social screening process for sub-projects consists of seven steps
as follows:

               Step 1 – Initial Screening;

               Step 2 – Assignment of Appropriate Environmental Categorisation;

               Step 3 – Environmental Impact Assessment;

               Step 4 – Review and Approval;

               Step 5 – Public Consultation and Disclosure;

               Step 6 – Environmental Monitoring and Follow-up; and

               Step 7 – Monitoring Indicators

Each of these is described in more detail below.

6.1.3.1.1 S TEP 1 – I NITIAL S CREENING

Initial screening of the sub-projects will be carried out by the Environmental Focal
Person (EFP) who could be designated in the various ATAAS Projects. The EFPs will
receive environmental training to ensure that they are able to carry out their
responsibilities efficiently and effectively. The EFP will complete the ESSF which will
facilitate him/her to identify potential environmental and social impacts of the sub-project;
determine their significance; assign the sub-project to the appropriate environmental
category; propose appropriate impact mitigation measures or recommend, where
necessary, that a sub-project be subjected to a full EIA.

6.1.3.1.2 S TEP 2 – A SSIGNMENT OF A PPROPRIATE E NVIRONMENTAL
          C ATEGORIZATION

The EFP will assign each sub-project its appropriate environmental category based on
the information provided in the ESSF from one of the following categories:

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               Category C – Clearly does not require EIA i.e.; exempt category,

               Category B – Has significant environmental impacts for which mitigation
                measures can readily be identified either directly or through environmental
                impact review, or

               Category A – Has significant environmental impacts whose mitigation
                measures cannot readily be identified, hence requiring a detailed
                Environmental Impact Study.

The assignment of an appropriate category to a sub-project will be based on the
provisions of OP 4.01 Environmental Assessment. The ATAAS Project activities have
been classified under Category B. As such any sub-project assessed to fall under
Categories A will not be eligible for funding under the project and only projects
categorized as B or C i.e. those whose potential adverse environmental impacts on
human populations or environmentally important areas are reversible or neutral and for
which mitigating measures are readily available – will be considered further.

If a decision is made at this stage of the screening process to exempt a project, or to
approve its environmental aspects on the basis of identified mitigation measures, such a
decision shall be contained in a Certificate of Approval of the Environmental Impact
Assessment issued by the Executive Director of the National Environment Management
Authority.

If, however, after screening, it is determined that the project requires a detailed
Environmental Impact Assessment Study, such a certificate shall only be issued after
approval of an Environmental Impact Statement (EIS) done subsequently.

6.1.3.1.3 S TEP 3 – E NVIRONMENTAL I MPACT A SSESSMENT

The basic components of the EIA process, including outputs and inputs, are summarized
as follows:

6.1.3.1.3.1 SCOPING

The initial step in the Environmental Impact Study (EIA) is to determine the scope of
work to be undertaken in assessing the likely environmental impacts of a proposed
project. Scoping will entail identification of potentially significant environmental impacts
and/or elimination of insignificant impacts. This will include meetings with relevant
agencies and stakeholders to obtain their comments on what will be included in the
study and what alternatives to be considered in the planned sub-project designs and
implementation arrangements.



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During scoping, the developer, in consultation with the Authority, Lead Agency, and
other appropriate and interested parties, stakeholders and the members of the general
public, shall establish the following, among others:

   i.     Suggested delineation of the appropriate boundaries to be considered in the EIA
          Study;

   ii.    the activities that shall be undertaken during and after the development of the
          project;

  iii.    design of the sub-project;

  iv.     Identification of the potentially significant impacts of the project which shall be
          addressed in the EIA Study;

  v.      Alternatives to the proposed action;

  vi.     The full range of stakeholders to be consulted and suggestions for full public
          involvement in the process;

 vii.     Identification of the full range of stakeholders who may be affected or are
          interested in the proposed project;

viii.     Other technical aspects related to the proposed development;

  ix.     the materials that the project shall use, including both construction materials and
          in-puts;

  x.      the possible products and by-products, including waste generation of the project;

  xi.     the number of people that the project will employ, the economic and social
          benefits to the local community and the nation in general;

 xii.     the environmental effects of the materials, methods, products and by-products of
          the project, and how they will be eliminated or mitigated;

xiii.     Identification of other past, present, or foreseeable future projects in the area that
          may be impacted upon by, or will impact on the proposed project;

xiv.      How the proposed project conforms to existing laws, policies and regulations.

 xv.      Any other matter which may be required by the Authority (NEMA).




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The scoping exercise will, to the extent possible, involve consultation with potentially
affected communities, relevant government agencies, representatives of other interested
parties including Non-Governmental Organizations (NGOs), the private sector,
independent experts and all other stakeholders including the general public.

6.1.3.1.3.2 PREPARING A PROJECT BRIEF

Subprojects in category B where potential negative and social impacts are significant, an
explicit project brief (PB) will be required. A concise project brief shall be prepared by the
EFP in the components and submitted to NEMA. Once submitted, NEMA will undertake
a screening process using information provided in the PB. The objective of screening is
to determine the extent to which a project is likely to affect the environment and
therefore, be able to determine the level of assessment required. Screening is generally
guided by the following criteria:

   i.     Size or location of project;

   ii.    Type of project; and

  iii.    Potential impacts compared against set thresholds and standards.

6.1.3.1.3.3 IDENTIFICATION OF SIGNIFICANT IMPACTS DURING SCOPING

The identification of potentially significant impacts is left to the discretion of all the parties
involved in the scoping exercise. Significance is a project and site, specific
determination, depending upon the context of the project and its associated activities, its
scope and magnitude, and the nature of the proposed project site.

In identifying potentially significant environmental impacts, participants in the scoping
exercise shall use their own experience, expertise and knowledge of the project
area/site, or they may utilize a Checklist to assist them in identifying the potentially
significant impacts. Participants with little knowledge of the project area/site may
consider visiting it to acquaint themselves with the site conditions prior to the scoping
exercise. The participants shall also consider direct and indirect impacts, as well as
cumulative and any likely growth inducing impacts of the proposed actions.

Once the potentially significant impacts are identified, the participants shall review the
proposed alternatives and suggest, if necessary, other alternatives which should be
assessed. Impacts which the participants agree must be addressed to protect the
environment shall be considered potentially significant.




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The scoping exercise shall conclude with the identification of the relevant inter-
disciplinary expertise necessary to address the identified significant impacts. The names
and qualifications of the experts identified to undertake the Environmental Impact Study
shall be approved by the Authority.

The responsibility for scoping shall be that of the developer, but NEMA, the lead
agencies and other interested parties stakeholders shall also be consulted. The
developer (beneficiary community for instance) shall undertake then to prepare a
scoping report/Project Brief which will summarize the results of scoping as provided for
both in the EIA Guidelines of 1997 and the EIA Regulations of 1998.

6.1.3.1.3.4 NEMA‟S DECISION ON THE SCOPING/PROJECT BRIEF

The developer will then submit 10 copies of the Scoping/Project Brief to the Executive
Director NEMA and if the Executive Director deems the Project Brief to be complete, he
may transmit a copy of the Report to the lead agency for comments. If the Executive
Director is satisfied that the project will have no significant impact on the environment, or
that the Project Brief discloses sufficient mitigation measures to cope with the
anticipated impacts he may approve project. The Executive Director of NEMA or his
delegated official shall then issue a Certificate of Approval for the project.

However, if the Executive Director finds that the project will have significant impacts o
the environment and that, the Project Brief does not disclose sufficient mitigation
measures to cope with the anticipated negative impacts, he shall require that, the
developer undertakes and EIA for the planned sub-project. The Terms of Reference
shall therefore define the scope of the EIA. Such Terms of Reference shall be submitted
to the NEMA who in-turn will forward them to the appropriate lead agencies for
comment. The Terms of Reference shall be reviewed by the Authority, in consultation
with the responsible Lead Agencies before an Environmental Impact Study is conducted.

6.1.3.1.3.5 CARRYING OUT THE ENVIRONMENTAL I MPACT ASSESSMENT

The environmental impact assessment study report will incorporate, but not be limited to,
the following information:

   i.     the proposed location of the project;

   ii.    a concise description of the national legislative and regulatory framework,
          baseline information, and any other relevant information related to the project;

  iii.    the objectives of the project;



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  iv.     the technology, procedures and processes to be used in the implementation of
          the project;

  v.      the materials to be used in the construction and implementation of the project;

  vi.     the products, by-products and waste generated by the project;

 vii.     a description of the potentially affected environment;

viii.     the environmental effects of the project including the social and cultural effects
          and the direct, indirect, cumulative, irreversible, short-term and long term effects
          anticipated;

  ix.     alternative technologies and processes available and reasons for preferring the
          chosen technology and processes;

  x.      analysis of alternatives including project site, design and technologies and
          reasons for preferring the proposed site, design and technologies;

  xi.     an environmental management plan proposing measures for eliminating,
          minimizing or mitigating adverse impacts on the environment; including the cost,
          time frame and responsibility to implement the measures;

 xii.     provision of an action plan for the prevention and management of foreseeable
          accidents and hazardous activities in the cause of carrying out activities or major
          industrial and other development projects;

xiii.     the measures to prevent health hazards and to ensure security in the working
          environment for the employees and for the management of emergencies;

xiv.      an identification of gaps in knowledge and uncertainties which were encountered
          in compiling the information;

 xv.      an economic and social analysis of the project;

xvi.      an indication of whether the environment of any other state is likely to be affected
          and the available alternatives and mitigating measures; and

xvii.     any other matters as NEMA may require.

6.1.3.1.3.6 USE OF THE ENVIRONMENTAL AND SOCIAL CHECKLISTS (APPENDIX 1)

The environmental and social check list (Appendix 1) will be completed by the
developers or where need be and depending on the availability of resources, an external
consultant may be hired to provide such services.



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6.1.3.1.3.7 ASSIGNING THE APPROPRIATE ENVIRONMENTAL CATEGORIES

The assignment of the appropriate environmental category to a particular sub-project
activity will be based on the information provided in the environmental and social
screening form (Appendix 1) and this will be the responsibility of the developers. The
sub-projects can be categorized either as A, B, or C based on the levels of anticipated
activities to be undertaken.

A screening process for all World Bank projects classifies them into one of three
environmental assessment categories:

               Category "A" projects potentially cause significant and irremediable
                environmental impacts.

               Category "B" projects cause lesser impacts, which are often essentially
                remediable or can be mitigated.

               Category "C" projects can be expected to have little or no environmental
                impact. Category A projects requires a full, detailed Environmental Impact
                Assessment, which needs to be approved before the Bank can give its
                support. Category B projects require the implementation of an Environmental
                Impact Evaluation (EIE), which requires far less details than an EIA. Category
                C projects do not require an EIE or EIA.

ATAAS project triggers OP 4.01 on Environmental Assessment and OP 4.09 on Pest
Management which all make the project be classified as Category "B" because as a
whole, as it may have limited adverse environmental impacts. In practice, most of the
sub-projects are likely to belong to Category C.

The assignment of the appropriate environmental category will be based on a
combination of consideration of the provisions in OP 4.01 Environmental Assessment
and National Environment Act Cap 153. Some activities might be categorized as “C” if
the environmental and social screening results indicate that such activities will have no
significant environmental and social impacts and therefore do not require additional
environmental work. Thus, if the screening form has only “non” impacts, the proposed
activity will not require further environmental work and screening report/scoping reports
can be submitted to NEMA for approval before the project can proceed.




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6.1.3.1.4 S TEP 6 – P REPARATION OF THE E NVIRONMENTAL I MPACT S TATEMENT
          (EIS )

Based on the information from the scoping exercise as contained in the Terms of
Reference, an Environmental Impact Study shall be conducted and an Environmental
Impact Statement (EIS) will be prepared. The developer shall submit ten copies of the
EIS to the Authority that shall in-turn forward copies to the Lead Agency and to other
stakeholders and interested parties for comment and review, before approval is
considered. Any comments received shall be taken into account in making a decision on
the EIS.




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EIS/EIR Report

The findings of the EIA will be detailed in an EIA/EA Report whose contents should
include the following:

               Acknowledgement

               Executive Summary

               Introduction

               EIA object and methodology

               Project Description

               Policy, legal and institutional framework

               Environmental Background of the project area

               Potential environmental impacts and mitigation

               Environmental Management Plan

               Conclusion and recommendation

               Appendices

6.1.3.1.5 S TEP 5 - P UBLIC C ONSULTATION AND D ISCLOSURE

Once the ESIA study is concluded, the Developer submits ten (10) copies of the
Environmental Impact Statement (EIS) to NEMA for review and approval. Once
submitted to NEMA, the EIS becomes a public document and may be inspected at any
reasonable time by any person. Within two (2) weeks from date of receipt of the EIS,
NEMA is mandated, if it finds it necessary; to publicize receipt of the EIS, identify the
concerned region and stakeholders, the places for inspection of the EIS, and makes
copies or summaries of the statement available for public inspection.




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NEMA also sends copies of the EIS within 14 days from the date on which the EIS was
received to other relevant agencies and experts for comments. Public comments and/or
objections are submitted to NEMA within 3 weeks. It is therefore, policy of government to
have the Statement disclosed by NEMA during the review process but the level of
disclosure is at the discretion of NEMA, the Authority mandated by law to coordinate,
monitor and supervise all activities in the field of the environment. As per its mandate,
NEMA sends the EISs to Lead Agencies and the general public at the places where the
Statements can be consulted and through the District Environment Offices who invites
the potentially project affected persons to make comments on the project which
comments will be transmitted to NEMA for a final decision regarding the environmental
aspect to be made by the Executive Director.

6.1.3.1.5.1 PUBLIC HEARINGS

A public hearing is only conducted if NEMA is of the opinion that the public hearing:-

     (a) will enable the Executive Director make a fair and just decision if the comments
          received during the public disclosure from the Lead Agencies, the general public
          and persons affected by the project are not sufficient to reach such a decision.

     (b) is necessary for the protection of the environment and protection of good
          governance.

Public Hearings are therefore, at the discretion of the Executive Director of NEMA,
based on the outcomes of the Public Disclosure during the ESIS review process. For the
Public Hearing to be conducted the Executive Director of NEMA makes a written request
to the Lead Agency to hold the Public Hearing. Public Hearings are conducted in line
with the relevant national laws and established guidelines. It should be noted that the
environmental aspects of ATAAS are not likely to call for a public hearings. Where EIAs
are conducted on ATAAS projects, it is likely that, they will be approved by NEMA
without necessitating public hearings as they are in the category B or C ranking of
projects.

6.1.3.1.6 S TEP 4 – R EVIEW AND A PPROVAL

Either on the basis of a finding that a project is exempt, appropriate mitigation measures
have been incorporated for identified potential environmental impacts, or the preparation
of an Environmental Impact Statement, a decision shall be made to approve or
disapprove the environmental aspects of a proposed project. If approved, the necessary
action shall be taken by the developer.




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The basic steps in the approval process for the EIS include the following:

               Based on the contents of the EIS, and taking into account the Lead Agency
                review findings and the stakeholder and public comments on the EIS, the
                Authority shall, undertake to approve or disapprove the environmental
                aspects of the project, or part thereof, and issue a Certificate of Approval of
                the Environmental Impact Assessment. The Authority may also issue such
                approval subject to such conditions it deems necessary ;

               After approval or disapproval of the environmental aspects of the EIS by the
                Authority, the Lead Agency decision makers and licensing authorities, will
                then take appropriate action to approve or deny the project based on all of its
                merits (environmental, social, economic, political or other factors), and a
                Record of Decision shall be prepared ; and

               After reaching a decision on the proposed action, if it is approved, the
                developer will be licensed or permitted to implement the project in
                accordance with the mitigation measures stipulated in the Environmental
                Impact Statement and any other terms and conditions attached to the
                approval. If it is denied, the developer may, if such denial is based on
                environmental considerations that can further be improved, be urged to revise
                the proposed action to eliminate adverse impacts.




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7 ENVIRONMENTAL AND SOCIAL MANAGEMENT
  PLAN
7.1 INTRODUCTION
The Environmental Management Plan (EMP) for is intended to ensure efficient
management of environmental and social issues in subprojects. The EMP consists of:

     (a) The relevant project activities,

     (b) The potential negative environmental and social impacts,

     (c) The proposed mitigating measures,

     (d) The institutions responsible for implementing the mitigation measures,

     (e) The institutions responsible for monitoring the implementation of the mitigation
          measures and the frequency of the afore-mentioned measures;

     (f) Capacity building needs and

     (g) The cost estimates for these activities.

This section of the ESMF describes how subprojects will respond to the needs for
environmental management. As indicated earlier, only environmental safeguards policy
OP4.01 is triggered by the overall project. However, other policies, especially with regard
to pest management policy OP4.09 may be triggered by some sub projects.

ATAAS will have sub-projects, most of which are small in nature without significant
environmental impacts. This calls for EMP specific actions to mitigate these impacts and
conforming to the obligations stipulated in the screening exercises, the environmental
checklists and all legal instruments in force.

At the time of the implementation of the sub-projects, the potential environmental and
social impacts must be clearly identified and a management plan formulated,
implemented and the plan‟s performance monitored during and after execution of sub-
project activities. The impacts must be avoided or neutralized where possible or
mitigated in conformity with Uganda‟s and the World Bank‟s prescriptions for sound
environmental management.




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7.2 GUIDELINES FOR AN ENVIRONMENTAL MANAGEMENT PLAN (EMP)
The EMP would have the following format:

    7.2.1 DESCRIPTION OF ADVERSE IMPACTS

The anticipated impacts are identified and summarized.

    7.2.2 DESCRIPTION OF MITIGATION MEASURE

Each measure is described with reference to the effects it is intended to deal with. As
needed, detailed plans, designs, equipment description, and operating procedures are
described.

    7.2.3 DESCRIPTION OF MONITORING PROGRAM

Monitoring provides information on the occurrence of impacts. It helps identify how well
mitigation measures are working, and where better mitigation may be needed. The
monitoring program should identify what information will be collected, how, where and
how often. It should also indicate at what level of effect there will be a need for further
mitigation. How environmental impacts are monitored is discussed below.

    7.2.4 RESPONSIBILITIES

The people, groups, or organizations that will carry out the mitigation and monitoring
activities are defined, as well as to whom they report and are responsible. There may be
a need to train people to carry out these responsibilities, and to provide them with
equipment and supplies.

    7.2.5 IMPLEMENTATION SCHEDULE

The timing, frequency and duration of mitigation measure and monitoring are specified in
an implementation schedule, and linked to the overall sub project schedule.

    7.2.6 COST ESTIMATES AND SOURCE OF FUNDS

These are specified for the mitigation and monitoring activities as a sub project is
implemented.




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    7.2.7 MONITORING METHODS

Methods for monitoring the implementation of mitigation measures or environmental
impacts should be as simple as possible, consistent with collecting useful information, so
that the sub project implementer can apply them. For instance, they could just be regular
observations of the sub project activities or sites during construction and then when in
use. Are plant/equipment being maintained and damages repaired, does a water source
look muddier/cloudier different than it should, if so, why and where is the potential
source of contamination. Most observations of inappropriate behavior or adverse
impacts should lead to common sense solutions. In some case, e.g. transgenic crops,
there may be need to require investigation by a technically qualified person.

7.3 ENVIRONMENTAL MANAGEMENT IN SUBPROJECTS
After analyzing the data contained in the environmental and social screening forms and
after having identified the right environmental category and thus the scope of the
environmental work required, the Environment Focal Person in the various project
components will make a recommendation to NEMA or the DEO in the project area as to
whether: (a) no environmental work is required; (b) the implementation of simple
mitigation measures will be enough; or (c) a project brief will be required.

Depending on the results of the screening process, the following environmental work can
be carried out:

(a) Use of the environmental and social check list (Appendix 1): The environmental
and social checklist will be filled by the Environmental Focal Persons/DEO.

               Subprojects in category C environmental and social issues will be identified,
                mitigation measures developed and planned for. These projects will benefit
                from the application of simple mitigation measures outlined in the checklists.
                Appropriate mitigation measures developed, planned and budgeted for and
                are integrated into project implementation. These will be verified in the
                approval, monitoring and supervision processes.




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7.4 PEST MANAGEMENT
Pests are defined in the broad sense. In addition to agricultural insect pests and plant
diseases, pests also include weeds, birds, rodents, and human or livestock disease
vectors. Integrated Pest Management (IPM) is an effective approach to combat the
negative effects of pesticide misuse, which can result in the destruction of crop
pollinators leading to poor crop yields; elimination of the natural enemies of crop pests
and consequent loss of natural pest control that keeps the populations of crop pests very
low; development of pest resistance to pesticides, encouraging further increases in the
use of chemical pesticides; contamination of the soil and water bodies; pesticide
poisoning of farmers and deleterious effects on human health unacceptable levels of
pesticide residues in harvested produce and in the food chain; and loss of biodiversity in
the environment. Successful IPM is based on building sound farmer knowledge of the
agro-ecological processes of the farming environment and empowering them to make
informed decisions on the most appropriate management strategies to apply a specific
period of crop development and production cycle. ATAAS would promote the use of
Integrated Pest Management (IPM) practices in general; and in particular through the
application of the Integrated Pest Management Plan (IPMP), where possible:

A detailed Integrated Pest Management Plan is attached as an addendum.

7.5 PROTECTED AREAS, NATURAL HABITATS AND FORESTS
Natural habitats need to be conserved when planning and implementing subprojects.
These are land, wetlands, forests and water areas whose ecological functions have not
been essentially modified by human activities. As subprojects are likely to be typically
small, these are unlikely to lead to significant conversion or degradation of natural
habitats. However, the Bank‟s policy on Natural Habitat OP 4.04 will be used to see if a
subproject would significantly convert or degrade a natural habitat. It is recommended
that such a subproject will incorporate acceptable mitigation measures such as
minimizing habitat loss and establishing and maintaining an ecologically similar area
even for minor impacts.




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Significant conversion means eliminating or severely reducing the integrity of a natural
habitat through long-term change in land or water use. It may include, for example, land
clearing; replacement of natural vegetation; permanent flooding; and drainage, dredging,
filling, or canalization of wetlands. It can occur as the result of severe pollution or it can
result directly from subproject activities or indirectly (e.g. through induced settlement
along a road). Degradation means substantially reducing the ability of a natural habitat to
maintain viable populations of its native species. Subprojects involving the significant
conversion or degradation of critical natural habitats (including forests) cannot be
funded.

These are natural habitats that:

               are protected by government (e.g. parks, World Heritage Sites) or by tradition
                ; or
               have known high suitability for biodiversity conservation; or
               are critical for rare, vulnerable, migratory, or endangered species.
               Perform ecological functions that are critical to the livelihoods of the people
                there

Subprojects designed to support community-based forest management and involving
forest restoration or plantation development need to address the following issues:

               the potential of forest restoration to improve biodiversity and ecosystem
                functions;
               the potential to establish plantations on non-forest lands that do not contain
                critical natural habitats.

7.6 PROTECTING CULTURAL HERITAGE
Cultural Resources may range from thousands of acres of rural tracts of land to a small
homestead with a front yard of less than one acre. A cultural site is defined as "a
geographic area, including both cultural and natural resources and the wildlife or
domestic animals therein, associated with a historic event, activity, or person or
exhibiting other cultural or aesthetic values. These may include residential gardens and
community parks, scenic/impressive geological structure/areas, ceremonial grounds,
cemeteries, battlefields and religious sacred sites. They are composed of a number of
character-defining features: vegetation, topography and water features such as ponds,
streams and falls, animals, etc.

There is need for careful planning prior to undertaking sub project work to avoid causing
irrevocable damage to cultural resources. Generally, preservation of cultural resources is
recommended as it is the most respectful of cultural resources. It maintains their existing
forms and functions.

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Preservation planning generally involves the following steps:

               Cultural resources will be identified, documented and preserved during
                project sitting and implementation. Together with the local community,
                undertake a rapid field investigation and reconnaissance to inventory, map
                and document any existing cultural resources and their conditions.
                Documentation will also record the location- registration points can be set to
                indicate the precise location, the significant features as they exist and their
                orientation. Photographs should be taken as part of documentation, wherever
                possible.

               Develop a cultural resources management plan including a strategy for
                ongoing maintenance and their continued access to the cultural resources by
                the community.

               New additions such as limited and sensitive upgrading of mechanical,
                electrical and plumbing systems and other required work to make properties
                functional for instance in an eco-tourism project is appropriate. This will be
                discussed and agreed upon with the community.

               All necessary and adequate care shall be taken to minimize impact on
                cultural resources and properties. No works will spill over to these properties,
                premises and resources unless it is an agreed upon sub project.




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8 ESMF COORDINATION AND IMPLEMENTATION
The overall management framework, including roles and responsibilities, for the
implementation of the ESMF will be consistent with the government structures as earlier
outlined in previous sections. In addition, in order to ensure that the safeguards in the
Environmental and Social Framework (ESMF) are operationalized the support structure
for subproject planning, review and implementation has to be appropriately organized.
The following sections outline the institutional arrangements in place for ESMF
implementation and coordination.

8.1 INSTITUTIONAL STRUCTURE AND RESPONSIBILITIES
Institutional responsibility for implementation of the EMP would rest with the project
Coordinating Unit at the ATAAS Secretariat. In particular, the Coordinating Units would:

               Ensure the screening process would be used to assess the potential impacts
                associated with ATAAS activities and sub-projects;

               Review research proposals and implementation reports from implanting
                agencies for compliance with the ESMF;

               Request proponents of non-compliant proposals to revise them accordingly;

               Review EMPs reports to ensure that environmental mitigation measures
                recommended are of acceptable standards;

               Monitor the implementation of the mitigation measures;

               Coordinate the provision of training and capacity building on ESMF
                compliance for implementing agencies as needed; and

               Report on ESMF implementation to NEMA




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Both NARO and NAADS will be the main implementing agencies for ATAAS Project. It is
proposed that, each of these agencies will have a ATAAS coordination focal point who
will report to the Coordination Unit and to the Director General in the case of NARO and
to the Head of NAADS. The two focal points will have primary responsibility for
implementation of the ESMF. Short term technical assistance will be required to support
the Coordinating Unit in initial training on the ESMF and in undertaking monitoring and
third party reviews of EMPs. A work program and budget will be prepared on an annual
basis for ATAAS and activities that will be established to likely have civil works or involve
transgenic crops would require completion of the environmental screening checklist. If
activities are judged to have minimal impact no further action would be required.
Activities judged to have a potential negative impact would require preparation of an
EMP. The EMP would be monitored and reviewed by the coordination unit of the project.




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                                        Completion of                         Minimal impact – no action
 Identification of                      environmental                         necessary
 ATAASATAASA                            screening checklist
 TAAS activities                        for activities with
 through annual                         civil works or
 work program
                                        transgenic crop                       Potential impact – preparation of
 and budget
                                        research or                           Environmental Management Plan
 Responsibility of                      pesticide use                         (EMP)
 NARO and
 NAADS                                  Responsibility of                     Responsibility: Lead Scientist,
                                        NARO and NAADS                        research center or implementing
                                                                              Component




                                                                              EMP Monitoring and Review

                                                                              Responsibility of NARO and
                                                                              NAADS


FIGURE 8-1: PROPOSED ATAASATAASATAAS ENVIRONMENTAL SCREENING PROCESS FOR
EMPS PREPARATION




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C. Monitoring

Monitoring of the ESMF implementation is needed to verify impacts, ensure adherence
to approved plans, environmental standards and general compliance. Monitoring of the
ESMF is not to be confused with monitoring EMPs, which are sub-project specific and
therefore site specific only. Monitoring of the ESMF covers the entire ATAAS project at
the national level. The objective of ESMF monitoring is to: (i) provide timely information
about the success or otherwise of the Environmental Management process outlined in
the ESMF in such a manner that changes can be made as required to ensure
continuous improvement to the process; and (ii) to evaluate the performance of the
ESMF by determining whether the mitigation measures designed have been successful
in such a way that the pre- program environmental condition has been restored,
improved upon or worse than before and to determine what further mitigation measures
may be required.

The project Coordinating Unit will undertake ESMF monitoring. Should there be an
activity in which there are indications of serious breaches of the ESMF, they will
undertake a special study to determine the true extent of the breaches and to determine
the way forward. Independent assessment of the adequacy and implementation of the
ESMF at two or three year intervals would also be undertaken in coordination with
NEMA. Annual reports on ESMF implementation will be compiled and submitted by the
coordinating units at NARO and MAAIF.

    8.1.1 INSTITUTIONAL STRUCTURES

Each of the components will designate an EFP technical person to coordinate and
ensure compliance to the Environmental Management and Social safeguards, sector
guidelines and checklists as outlined in this ESMF. The primary responsibility for
compliance with ESMF will rest with the respective component heads and the District
Environment Officers (DEO) in the areas where the project components will be
implemented. It is also important to note that, there will some activities of the project
which will call for collaboration with other line sectors such as Ministry of Works and
Transport with respect to rehabilitation/reconstruction of ZaRDIs and general
infrastructure developments. Such sectors will be responsible for compliance of the
project activities with prevailing environmental and social obligations as enshrined in the
laws of Uganda.




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However, based on previous experience from other sectors, and in view of the fact that,
integration of cross-cutting issues into the development process is an emerging concept
in the developing world (Uganda inclusive), it is recommended that, the Coordination
Unit engages the services of Environmental Specialist to assist in the operationalization
of this ESMF. Such expert will be sourced locally for at least the period of the project.

On the other hand, the DEOs at the project areas will ensure that mitigation measures
are adequate and are well integrated in the sub project proposals. DEO and the EFPs
will oversee implementation, monitoring and supervision of the ESMF safeguards and
ensure their effective implementation.

At the sectors levels, the responsibilities of implementing and monitoring the compliance
of the ATAAS activities with the environmental and social obligations rests with
Environmental Liaison Units (ELUs) as provided in the National Environment Action Plan
(NEAP, 1995) and the National Environment Act Cap 153. However, in most of the
ministries though the ELUs were established in late 1990s, they have not been
operationalized, hence they are non functional due a number of factors. The role of the
ELU staff was an additional responsibility we no facilitation. Therefore, if the sectors are
to effectively monitor the activities of the ATAAS, there is need to build in some
support/facilitation for the ELUs especially in ministries that have a role in the
implementation of ATAAS such as MAAIF, Ministry of Water and Environment (MoWE)
and Ministry of Works and Transport (MoWT). It is important to note that, MoWT is
among a few ministries that has a functional ELU. MoWT is important on matters of
access to landing sites, markets, transportation of in-puts and general construction of
infrastructures relating to ATAAS (such in ZARDIs).

MAAIF is central in that, it has a policy oversight over the activities of the programme
while MoWE is of relevance in aspects such as climate change and availability of water
which is essential for programme (e.g. irrigation waters etc).

Therefore, a modest facilitation is herewith proposed for the support of the ELUs in the
line ministries (Table) for three years. It is important to note that, the proposed support is
supplementary to the running of the mandated roles of these offices.




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Table: Budget Requirements for ELUs

No.     Item                            Unit               Unit Cost        Quantity        Total Cost
                                                              (USD)                             (USD)

01.     Training Technical              01 months      20,000            01              20,000
        Assistance

02.     Transport (3 4WD                03             30,000            03              90,000
        Station Wagons)

03.     Running costs for the 3         03             15,000            03              45,000
        vehicles

04.     Office running expenses         03             3,000             03              9,000
        (3 offices)

05.     Travel Expenses                 03             6,000             03              18,000
        (internal travels)

TOTAL                                                                                    182,000



    8.1.2 ALLOCATION O F RESPONSIBILITY

The majority of the sub projects to be financed are expected to be environmentally
benign or those where best practices available can be easily applied (Category B ). The
DEO will ensure that environment focal persons at sub-project levels will be trained to
provide competent support to the components. Initial training will be provided at the start
of the project and refresher courses will be provided based on progress as evidenced by
annual performance reviews. Additionally, the DEO will identify resource persons from
among individuals or organizations who have the expertise to address environmental
concerns related to anticipated subprojects; whom he/she can hire from time to time to
address project specific environmental issues as and when necessary. Such tasks may
include:

                Advising the communities and the Project Coordination Unit on the
                environmental issues and how to address them;

               Selective review of ER and other documents from the proponents for quality
                assessment;

               Selective monitoring and evaluation of subprojects;



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The service of the consultants may also be utilized to undertake the annual sample
environmental audit of all the financed subprojects. However, if the idea of an in-house
Environmental Specialist is acceptable, then he/she will undertake such a task.

However as stated above, the ELUs will assume the coordination responsibility of
ensuring that, the activities of ATAAS that relate to their sectors and compliant with the
environmental and social compliance procedures. The challenge is, how to bring on
board the ELUs to be part of this project needs a coordination framework to be spelt by
ATAAS secretariat.

8.2 ANNUAL REVIEWS AND AUDITING
The ESMF will be utilized for screening of projects as well as implementation of the
specified environmental and social safeguard in the sub-projects of ATAAS and is
considered to be a „living document‟ enabling revision where necessary. It is imminent
that certain factors that would have been overlooked or not considered due to the
preparation of this document upfront in the project cycle with minimum ground
verification would crop up during project implementation.

According to the National Environment Act Cap 135, an Audit is to be undertaken after
initial 12 months after the start of the project. This project should also conduct such audit
to assess compliance of the project with environmental provisions. Such an Audit will be
used to establish the effectiveness of the mitigation measures proposed in the ESMF
and will be carried out by an independent environmental consultant.

The purpose of the Audit will be two-fold:

               To assess compliance with ESMF procedures, learn lessons, and improve
                future ESMF performance; and

               To assess the occurrence of, and potential for, cumulative impacts due to
                project-funded and other development activities.

The Environmental Audit review report will cover the following but will not be limited to;
progress made in implementing ESMF safeguards, the challenges encountered,
emerging issues, lessons learnt and recommendations for improvement.
Recommendations from the Environmental Audits will be addressed through revision
and updating of the ESMF.




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These annual Environmental Audits will be a principal source of information to project
management for improving performance, and to the World Bank supervision missions.
Thus, they will be undertaken after the annual report has been prepared and will be
available for Bank supervision of the Project.




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9 CAPACITY BUILDING PROGRAMMES FOR THE
  IMPLEMENTATION OF ESMF
ATAAS involves funding of a cross-section of subprojects and also subsequent
operationalization of the ESMF needs an oversight of highly and unavoidably, dependent
on the capacity of EFPs at the Component levels to carry out the associated design,
planning, approval and implementation work if the environmental and socio sustainability
is to be achieved. Thus, to ensure that capacity, it is vital that, sufficient resources to
training and capacity building for the different stakeholders who will be involved in
project implementation especially in the early years is undertaken. These efforts will not
only benefit the ATAAS project staff but also assist to build the capacity of the NARO
and NAADS in mainstreaming environmental issues into their programmes and activities.

9.1 INSTITUTIONAL CAPACITY ASSESSMENT
This section focuses on the adequacy of the institutions to carry out their ESMF
responsibilities. It assesses, at a minimum, the adequacy of:

               the institutional structure, and its authorities at all relevant levels, to address
                environmental management issues;

               the number and qualifications of staff to carry out their ESMF responsibilities;

               resources to support staff in their work; and

               knowledge and experience relevant to carrying out environmental analyses
                and designing mitigation measures for small-scale infrastructure.

The local governments have a very limited institutional capacity to implement the ESMF.
Except for a DEO who usually keeps track of all environmental activities in the areas
where the project is being implemented, there is very limited capacity for environment
management at local government level. The DEO‟s office is understaffed; with only one
staff (DEO) to oversee environmental management in the entire district.




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In addition, the office is poorly funded from government funds-often providing funds for
DEO‟s salary and nothing else for any activity implementation and monitoring. Often the
DEO has no transport (vehicle or motorcycle) to enable him traverse the whole district.
At sub/county level an officer (usually agriculture extension worker or CDO) is
designated to oversee the environment portfolio, even at this level the funding for
environment management is not earmarked. Although environmental issues are
integrated into district and sub county development plans, there are always not
prioritized during budget allocation and end up not being implemented all the time.

The local environment committees at district and sub-county levels, who would
otherwise assist the DEO oversee environmental management are largely non
functional; they are comprised of the local councilors including the chairmen, who are
elected community representatives with little knowledge on environmental issues. These
committees don‟t sit/meet at all because they are no funds to pay their sitting allowances
and often times they don‟t even know their roles and responsibilities.

At the sector levels i.e. Government Ministries (MoWE, MAAIF and MoWT) for instance,
there is need to offer the ELUs in these entities with specialized short term training on
aspects of this ESMF and their role in its implementation.

At community level, there is secretary for environment but who does nothing to enhance
environmental management. While communities are knowledgeable about their
relationship with the environment as reflected in their indigenous knowledge, cultural
beliefs, norms and practices; they don‟t prioritize environmental issues in their planning.
Environmental resources are taken as a God give which don‟t have to be managed. The
capacity building under ATAAS is envisaged to improve the effectiveness of local
governments in the management of environmental and social impacts during planning,
implementation and operation of proposed investments.

9.2 CAPACITY BUILDING
Capacity building will be required to implement the recommendations outlined in the
ESMF. Research staff and other implementing actors may require training in IPM,
environmental screening, EMP preparation as well as some other mitigation measures.
In addition, it will be necessary to build awareness and knowledge in environmental
screening and EMP preparation among the relevant implementing institutions. It is
proposed that, during the first six months of ATAAS implementation, a capacity building
plan would be prepared by the coordination units in both NARO/NAADS describing the
capacity building to be provided.




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This could include capacity building on:

The Environmental Management process:

               Review of Environmental and Social Management Process

               Review of the ESMF (this document)

               Classification of project activities

               How to prepare ESMPs

               How to measure cumulative adverse impacts

               Design of appropriate mitigation measures

               How to monitor mitigation measures

               How to embed the Environmental Management process into the civil works
                contract

As well as selected topics on environmental protection:

               Integrated Pest Management

               Safe management of pesticides

               Management of transgenic crops

9.3 TRAINING NEEDS
Uganda‟s environmental policy and legal framework mandates Environmental Liaison
Units in sector ministries to handle sector-specific aspects of environmental
management. An important aspect of the ESMF will to be assess the extent to which this
is functioning properly and to institute measures to address any problems through the
institutional reforms supported by ATAAS.As such, an institutional and training needs
assessment will be carried out not only for DEOs and EFPs, but also for the principal
ATAAS implementers – i.e. NAADS, NARO and MAAIF. The assessment will be
translated into a capacity building program (sub-project) and will outline in detail and
cost the required capacity building actions to be undertaken under ATAAS.




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Training programs will be coordinated and anchored within the ATAAS at national level
and District at local government level. Individuals experienced in environmental and
social aspects of subprojects will be called upon through a competitive process to
develop and conduct short term trainings on various aspects of implementing the ESMF
guidelines.

Different groups involved in ATAAS subprojects‟ implementation have different training
needs in terms of raised awareness, sensitization to the issues, and detailed technical
training:

               Awareness-raising for participants so that they are able to appreciate the
                significance or relevance of environmental and social issues;

               Sensitization for participants to be familiar enough with environmental and
                social issues that they can make informed and specific requests for technical
                support; and

               Detailed technical training for participants who will need to analyze
                potentially adverse environmental and social impacts, to prescribe mitigation
                approaches and measures, and to prepare and supervise the implementation
                of management plans.

The training program for various role players will include

   i.     Orientation program on the ESMF,

   ii.    Environmental Assessment Processes,

  iii.    Participatory Methodologies

  iv.     Project Management

  v.      Environmental analysis;

  vi.     Using the ESR checklist and assigning of environmental categories

 vii.     Design of appropriate mitigation measures.

viii.     Integrating environmental and social management aspects into the
          implementation of sub-projects

  ix.     Reporting;

  x.      Subproject supervision and monitoring.



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9.4 TRAINING MODULES

    9.4.1 MODULE 1
     (a) Introduction to Basic concepts on environment and social issues

     (b) ATAAS ESMF what it is and why it was prepared

     (c) Their relevance and significance in project implementation

     (d) Overview of national and World Bank Environment and social regulations

    9.4.2 MODULE 2

     (a) Environmental and social considerations in project implementation

     (b) Environmental and social concerns in typical ATAAS projects (with specific
          reference to pest management aspects).

     (c) Good environmental and social practices in project implementation

    9.4.3 MODULE 3

     (a) Environmental and social assessment processes

     (b) Project site selection

     (c) Use of checklists (ESMF)

     (d) Filling ER forms

     (e) Writing Project Brief

     (f) EIA process

    9.4.4 MODULE 4

     (a) Monitoring and supervision

     (b) Environmental and social indicators

     (c) Reporting- format & content

     (d) Project management




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    9.4.5 MODULE 5

Roles and responsibilities key actors in the ATAAS project. The proposed areas of
training and desired outcomes for appraisal teams and communities in environmental
management in C category subprojects which will also inform the development of
training modules at all levels.

9.5 MONITORING
Monitoring of the ESMF implementation is needed to verify impacts, ensure adherence
to approved plans, environmental standards and general compliance. Monitoring of the
ESMF is not to be confused with monitoring EMPs, which are sub-project specific and
therefore site specific only. Monitoring of the ESMF covers the entire ATAAS project at
the national level. The objective of ESMF monitoring is to: (i) provide timely information
about the success or otherwise of the Environmental Management process outlined in
the ESMF in such a manner that changes can be made as required to ensure
continuous improvement to the process; and (ii) to evaluate the performance of the
ESMF by determining whether the mitigation measures designed into ATAAS activities
have been successful in such a way that the pre- program environmental condition has
been restored, improved upon or worse than before and to determine what further
mitigation measures may be required.

The project Coordinating Unit will undertake ESMF monitoring. Should there be an
activity in which there are likely to be indications of serious breaches of the ESMF
provisions, they will undertake a special study to determine the true extent of the
breaches and to determine the way forward. Independent assessment of the adequacy
and implementation of the ESMF at agreed intervals would also be undertaken in
coordination with NEMA. Annual reports on ESMF implementation will be compiled and
submitted by the coordinating unit to NEMA and to the World Bank.

Monitoring is done on the basis of agreed upon indicators.

Examples of typical environmental indicators will include:

   i.     Evidence of anti soil erosion measures such as terraces, and planting of grass;

   ii.    Re-planted vegetation,

  iii.    training modules for capacity building prepared and implemented;

  iv.     Programmes for sensitization and mobilization drives in place;



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9.6 REPORTING
It is proposed that, each of the project components prepares periodic environmental
reports summarizing the compliance levels of the project with the ESMF conditions. The
individual reports will be aggregated by the Coordination Unit into one report for the
reporting period and it will be circulated to the various stakeholders especially NEMA
and the World Bank amongst others. By and large, these annual reports will capture the
experience with implementation of the ESMF procedures. The purpose of these reports
is to provide:

               an assessment of extent of compliance with ESMF procedures, learn
                lessons, and improve future ESMF performance; and

               to assess the occurrence of, and potential for, cumulative impacts due to
                project-funded and other development activities

               A record of progress, experiences, challenges encountered, lessons learnt
                and emerging issues from year-to-year implementation of ESMF that can be
                used to improve performance;

The report shall include the following key information:

               Reporting period

               ESMF management actions undertaken during the reporting period

               Progress to date in implementing the ESMF

               Challenges encountered

               Lessons learnt

               Emerging issues

               Recommendations for improvement

               Conclusion




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10 REFERENCES
1. A Common Framework for Social Analysis: Five Entry Points.

2. Ann Stroud et al : Managing Change: Institutional Development under NAADS: A
     Field Study on Farmer Institutions Working with NAADS1

3. ATAAS P 109224, Project Concept Note.

4. Bernard Bashaasha, Ph.D. Impact Assessment of the National Agricultural
     Research Organization (NARO). September 2009.

5. East Africa Agricultural Productivity Project. ESMF Final Draft, Uganda.

6. ESMF for Small Development Subprojects under Bangaladesh Local Governance
     Support Project.

7. GoU 2008, Millennium Science Initiative. ESMF-Strategic Environment
     Assessment Report.

8. Government of Nepal, ESMF Project for Agriculture Commercialization and
     Trade, Singhdurbar, Kathmandu-Nepal.

9. MAAIF 2009, DSIP for 2009/10-2013/14

10. MOFED 2004, Increasing Incomes through Exports: A plan for Zonal Agricultural
     Production, Agro-processing and Marketing for Uganda.

11. MoLG, ESMF for Local Government Management and Service Delivery Program,
     2007

12. MoWE, ESMF for LVEMP II-2007

13. NUSAF 2 ESMF for the PRDP. Office of the Prime Minister-Kampala.

14. Social analysis source book: incorporating social issues into Bank supported
     projects. Social Development Department. The World Bank. Washington DC.

15. Uganda 2008, ESMF for East Africa Agricultural Productivity Project.




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APPENDIX 1 -                    ENVIRONMENTAL AND SOCIAL REVIEW (ESR)
  FORM
(This form filled with appropriate information is to be attached to each subproject document)

District:                               Sub-county:                              Parish:

Subproject

In-charge:

Subproject Name:

Subproject Objectives




SPECIFICATION STATUS

1. Will the subproject encroach onto an important natural habitat?                   Yes [ ]     No [ ]

     (a) Wetlands                                                                    Yes [ ]     No [ ]

     (b) Forests                                                                     Yes [ ]     No [ ]

     (c) Land                                                                        Yes [ ]     No [ ]

     (d) Water                                                                       Yes [ ]     No [ ]

     (e) Rangeland                                                                   Yes [ ]     No [ ]

     (f)

2. Will the subproject affect sensitive ecosystems?                                  Yes [ ]     No [ ]

If yes describe how it will affect




3. Will vegetation be cleared?                                                       Yes [ ]     No [ ]

  If yes, are there proposed actions to restore cleared areas




4. Use firewood for fuel                                                             Yes [ ]     No [ ]

5. Use petroleum-based fuel                                                          Yes [ ]     No [ ]

6. Involves use of pesticides                                                        Yes [ ]     No [ ]

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7. Diversion or use of surface waters                                                Yes [ ]     No [ ]

8. New or rebuilt irrigation or drainage systems                                     Yes [ ]     No [ ]

9. Require the construction of a seasonal dam                                        Yes [ ]     No [ ]

9. Involves latrines, septic or sewage systems                                       Yes [ ]     No [ ]

10. Waste generation (e.g. slaughterhouse, medical waste, market etc.)               Yes [ ]     No [ ]

(a) Description of type of waste generated solid (bulk), solid (particulate), liquid, gaseous, etc




(b) Proposed waste management/disposal methods




11. Residues that may be used as fertilizers:                         Yes [ ]         No [ ] In part [ ]

Describe.

12. Do the subproject activities

Occur within vicinity of a protected area                                            Yes [ ]     No [ ]

Affect any protected up or downstream                                                Yes [ ]     No [ ]

Affect any ecological corridors for migratory species                                Yes [ ]     No [ ]

13 Are the sub project activities likely to introduce new species/varieties into the area       Yes [ ]    No [ ]

What type seeds, invasive species?

14. Will slope or soil stability be affected?                                                   Yes [ ]    No [ ]

Will local resources such as sand, gravel, bricks, ground water be used?                        Yes [ ]    No [ ]

Will activities cause soil salinity?                                                            Yes [ ]    No [ ]

Socio Screening

15. Will subproject activities affect aesthetics of the landscape                               Yes [ ]    No [ ]

16. Describe existing land use patterns (community facilities, tourism, agriculture etc)


Will sub project activities cause any changes in land use                                       Yes [ ]    No [ ]

Will the subproject activities restrict peoples‟ access to natural resources                    Yes [ ]    No [ ]


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Are there any cultural/ spiritual sites in the vicinity of the sub project site                 Yes [ ]     No [ ]

Will the subproject alter any of these sites                                                    Yes [ ]     No [ ]

Will the subproject causes an losses in livelihood opportunities for households                 Yes [ ]     No [ ]

Will the subproject activities affect any resources the people take from the natural environment

Will the subproject require any resettlement or compensation of residents including squatters

                                                                                                Yes [ ]     No [ ]

Will there be additional demand to local resources (eg water supply, sanitation facilities, health
centers, lodging, etc)                                                           Yes [ ] No [ ]

Will the subproject provide safeguard to workers‟ health and safety                             Yes [ ]     No [ ]

Measures in place to safeguard human health and safety

Is the program likely to local employment opportunities including women and youth               Yes [ ]     No [ ]

EVALUATION

1. Produce significant amount of pollutants:                                                    Yes [ ]     No [ ]

2. Type of pollutants (if yes in 1):                                                  Air [ ] Water [ ]    Soil [ ]

3. Quantity of pollutants (per month):

4. Probable cumulative impacts                                                                  Yes [ ]     No [ ]

5. Means of disposal available:                                                             Yes [ ] No [ ]In part [ ]

6. Fate of pollutants:

7. Remedial measures and any other issues/ Comments:

                                1
Environmental Category                                                                 C[]         B[]       A[]

Needs further Evaluation                                                                        Yes [ ]     No [ ]

Needs LEA                                                                                       Yes [ ]     No [ ]

Prepared by (Name):

SIGNATURE:

DATE:




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APPENDIX 2 - PROJECTS TO BE CONSIDERED FOR
  ENVIRONMENTAL IMPACT ASSESSMENT AS IN THE THIRD
  SCHEDULE OF THE NATIONAL ENVIRONMENT ACT CAP. 153
The Third Schedule of the National Environment Act Cap 135 outlines projects below
as those requiring mandatory EIA before their implementation. Though in ATAAS,
projects such as those listed below can be candidate investment types, it does not
necessarily mean that, they need an EIA to be conducted but through the screening
process, appropriate levels of Environment Assessments can be conducted. Some of
the Projects can be approved based on a comprehensive Project Briefs.

1. General:

     (a) Any activity out of character with its surroundings;
     (b) Any structure of a scale not keeping with its surroundings
     (c) Major changes in land use.

2. Urban Development, including:

     (a) designing of a new township, villages and residential areas;
     (b) establishment of industrial estates;
     (c) establishment or expansion of recreational areas;
     (d) establishment or expansion of recreational townships in hilly areas, national
          and game reserves;
     (e) shopping centres and complexes;
     (f) hotel and other tourist facilities.

3. Transportation, including:

     (a) all major roads;
     (b) all roads in scenic, wooded or hilly areas;
     (c) bridges;
     (d) railway lines;
     (e) airports and airfields;
     (f) pipelines;
     (g) water transport
     (h) ports and landing sites.




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4. Dams, rivers and water resources including:
     (a) storage dams, barrages and weirs;
     (b) river diversions and water transfers between catchments;
     (c) flood control schemes;
     (d) drilling for purposes of utilizing ground water resources including geothermal
          energy.
5. Aerial spraying
6. Fisheries especially large scale commercial projects
7. Mining including quarrying and open cast extraction of:
     (a) precious metals;
     (b) diamonds
     (c) metalliferous ores;
     (d) coal
     (e) phosphates
     (f) limestone and dolomite
     (g) stone and slate
     (h) aggregates, sand, gravel and laterite;
     (i) clay
     (j) exploration for the production of petroleum in any form;
     (k) off-shores activities.
8. Forestry related activities, including:
     (a) timber harvesting
     (b) clearance of forest areas;
     (c) reforestation and afforestation
     (d) establishment of wood plantations.
9. Agriculture, including:
     (a) large scale agriculture;
     (b) use of new pesticides;
     (c) introduction of new crops and animals
     (d) use of fertilisers

10. Processing and manufacturing industries including:

     (a) mineral processing, reduction of ores and minerals;


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     (b) smelting and refining of ores and minerals;
     (c) foundries
     (d) brick and earthware manufacture;
     (e) cement works and lime processing
     (f) glass works;
     (g) fertilizers manufacture or processing;
     (h) explosives plants;
     (i) oil refineries and petro-chemicals;
     (j) tanning and dressing o hides and skins;
     (k) abattoirs and meat processing plants;
     (l) chemical works and process plants;
     (m) brewing and malting;
     (n) bulk grain processing plants;
     (o) fish processing plants;
     (p) pulp and paper mills;
     (q) plants for the manufacture or assembly of motor vehicles;
     (r) plants for the construction or repairs of aircraft or railway equipment
     (s) plants for the manufacture or processing of rubber;
     (t) plants for the manufacture of groundnuts briquettes or other briquettes;
     (u) mechanical workshop
     (v) cottage industries.
11. Electrical infrastructure, including:
     (a) electrical generation stations;
     (b) electrical transmission;
     (c) electrical storage schemes.
12. Management of hydrocarbons including the storage of natural gas and
     combustible explosive fuels.

13. Waste Disposal, including;

     (a) sites for solid waste disposal;
     (b) sites for hazardous waste disposal;
     (c) sewerage disposal works;
     (d) major atmospheric emissions;
     (e) offensive odours.


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14. Natural Conservation Areas, including:
     (a) creation of national parks, game reserves, buffer zones;
     (b) establishment of wilderness areas;
     (c) formulation or modification of forestry management policies;
     (d) formulation or modification of water catchments management policies;
     (e) policies for the management of ecosystems, especially by use of fire;
     (f) commercial exploitation of natural fauna and flora;
     (g) introduction of alien species of fauna and flora into ecosystems;
     (h) establishment of natural heritage areas.




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APPENDIX 3 -                    AGRICULTURAL PRODUCTION ZONES AND SELECTED ENTERPRISES
Zone        Districts                   Climate                                            Other characteristics                       Enterprises

I           Moroto                      Average rainfall of 745 mm with high               Generally flat with isolated hills          Gum Arabica
            Northern Kotido             variability, from about 600 mm over                Abundance of land still abundant in         Simsim
            Eastern Kitgum              the north and northeastern parts to                this zone                                   Apiculture
                                        about 1000 mm over the southern and                                                            Goats/Skins
                                        western parts.                                     Shifting cultivation is practiced           Beef cattle/Hides
                                                                                           Soils are moderate to poor                  Ostriches
                                        One rainy season of about 5½                       There is largely subsistence farming        Sunflower
                                        months, from April to early September              and pastoral activities
                                        with the main peak in July/August and              There are no natural open water
                                        a secondary peak in May. One long                  bodies
                                        dry season of about 6 months from
                                        October to March. Most dry months                  Area is semi arid
                                        from December to February.                         Poor underdeveloped infrastructure
                                                                                           Ongoing programmes include
                                        Evaporation exceeds rainfall by a                  NUSAF, KDA and WFP
                                        factor of over 10 during the driest                Civil strife and cattle rustling
                                        months, December to February.
                                        During the rainy season evaporation
                                        is slightly more than rainfall.

                                        Temperature ranges 12.5 – 32.5 C
                                        Altitude ranges from 351 – 1,524 m
                                        ASL
II          Pader                       Average rainfall of 1197 mm with                   Generally flat with isolated hills          Apiculture

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Zone        Districts                   Climate                                            Other characteristics                       Enterprises

            Kitgum                      moderate variability, from about 1000              Land is available but mainly in             Beef cattle/Hides
            Eastern Lira                mm over the north and north-eastern                communal ownership                          Goats/Skins
            Katakwi                     parts to about 1300 mm over western                Shifting cultivation is practiced           Simsim
            Northern Sironko            and southern parts                                 Soils are moderate to poor                  Cassava
                                                                                                                                       Pulses
            Northern                                                                       Wide wetlands with potential for
                                                                                                                                       Sunflower
            Kapchorwa                   One rainy season of about 7 months,                irrigation
            Nakapiripirit               from April to late October with the
            Southern Kotido             main peak in July/August and a                     Farming is mainly communal and
                                        secondary peak in May. One long dry                predominantly subsistence with
                                        season of about 4 months from mid-                 emerging commercial farms
                                        November to late March.                            There is communal labour for
                                                                                           cultivation
                                        Driest months are from December to
                                        February. Evaporation exceeds                      There is moderate to high literacy
                                        rainfall by a factor of over 10 during             Moderate infrastructure
                                        the driest months, December to                     development Area suffers from low
                                        February. During the rainy months,                 incidental strife
                                        May; July and August rainfall is
                                        slightly more than evaporation                     Programmes include NUSAF,
                                        Temperature ranges from 15 - 32.5 C               Olweny Rice Scheme, and VODP
                                        Altitude ranges from 975 – 1,524 m
                                        ASL




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Zone        Districts                   Climate                                            Other characteristics                       Enterprises

III         Adjumani                    Average rainfall range of 1340 mm –                Generally flat with undulating hills        Spices (ginger,
            Western Nebbi               1371mm                                             Good to moderate soils                      cardamom, white/black
            Arua                        Moderate variability, from about 1200              Mainly small holder food and cash           pepper, birds eye chillies,
            Moyo                        over northwestern and western parts                crop farming with subsistence in            red chillies)
            Yumbe                       to about 1500 mm over the southern                 some areas                                  Tobacco
            Northern Gulu               parts.                                             Numerous small perennial streams            Apiculture
            Northern Apac                                                                  Moderate literacy levels                    Cotton
            Western Lira                One rainy season, about 7½ from                    Have largely poor incomes due to            Pulses
                                        months, April to about mid November                high levels of strife                       Simsim
                                        with the main peak in August to mid                Largely peaceful but with influx of         Robusta coffee
                                        October and a secondary peak in                    refugees
                                        April/May. One long dry season of                  Infrastructure is moderate to poor
                                        about 4 months from mid-November                   There is a possibility of block
                                        to late March. Driest months are                   farming on a large scale in the short
                                        December to February. Evaporation                  term due to the IDPs
                                        exceeds rainfall by a factor of up to 10           Abundance of land in this zone and
                                        during the driest months from                      hence there is high potential for
                                        December to February. During the                   increased production
                                        rainy months of May, August and                    Out-grower systems existing
                                        September rainfall exceeds                         Have advantage of cross border
                                        evaporation.                                       trade with DR Congo and Sudan
                                                                                           On-going programmes are NUSAF.
                                        Temperature ranges from 15 - 25 C                 Rural Electrification Programme,
                                        Altitude ranges from 351 – 1,341 m                 NAADS, Northwest Smallholder
                                        ASL                                                Agric project



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Zone        Districts                   Climate                                            Other characteristics                       Enterprises

IV          Eastern Nebbi               Average rainfall of 1259 mm with high              Largely parkland with potential for         Spices (ginger,
            South-western Gulu          variability, from about 800 within the             livestock ranching.                         cardamom, white/black
            Western Masindi             Lake Albert basin to about 1500 mm                 Generally flat with undulating hills        pepper, birds, eye
                                        over the western parts                             Good to moderate soils                      chillies, red chillies)
                                        Mainly one rainy season of about 8                 Moderate literacy levels                    Fisheries
                                        months, from late March to late                    Largely peaceful but with influx of         Cassava
                                        November with the main peak from                   refugees                                    Apiculture
                                        August to October and a secondary                  Infrastructure is moderate to poor          Beef cattle/Hides
                                        peak in April/May. One long dry                    There is a possibility of block             Goats/Skins
                                        season of about 3½ months, from                    farming on a large scale in the short       Mangoes
                                        December to about mid March. Driest                term due to the IDPs
                                        months December to February.                       Land available in this zone and
                                        Evaporation exceeds rainfall by a                  hence there is high potential for
                                        factor of about 6 during the driest                increased production
                                        months from December to March.                     Have advantage of cross border
                                        During the rainy season, July to                   trade with DR Congo
                                        October, evaporation exceeds rainfall.             On-going programmes are NUSAF.
                                        Temperature ranges from 17.5 – 32.5                Northwest Smallholder Agric project,
                                        C                                                 UWA programme
                                        Altitude ranges from 351 – 1,341 m
                                        ABL
(Source: MFPED, 2004)




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     GENERAL ENVIRONMENTAL MANAGEMENT CONDITIONS FOR
     CONSTRUCTION CONTRACTS
General

1. In addition to these general conditions, the Contractor shall comply with any specific
Environmental Management Plan (EMP) or Environmental and Social Management Plan (ESMP)
for the works he is responsible for. The Contractor shall inform himself about such an EMP, and
prepare his work strategy and plan to fully take into account relevant provisions of that EMP. If
the Contractor fails to implement the approved EMP after written instruction by the Supervising
Engineer (SE) to fulfill his obligation within the requested time, the Owner reserves the right to
arrange through the SE for execution of the missing action by a third party on account of the
Contractor.

2. Notwithstanding the Contractor‟s obligation under the above clause, the Contractor shall
implement all measures necessary to avoid undesirable adverse environmental and social
impacts wherever possible, restore work sites to acceptable standards, and abide by any
environmental performance requirements specified in an EMP. In general these measures shall
include but not be limited to:

(a) Minimize the effect of dust on the surrounding environment resulting from earth mixing sites,
asphalt mixing sites, dispersing coal ashes, vibrating equipment, temporary access roads, etc. to
ensure safety, health and the protection of workers and communities living in the vicinity dust
producing activities.

(b) Ensure that noise levels emanating from machinery, vehicles and noisy construction
activities (e.g. excavation, blasting) are kept at a minimum for the safety, health and protection of
workers within the vicinity of high noise levels and nearby communities.

(c) Ensure that existing water flow regimes in rivers, streams, wetlands and other natural or
irrigation channels is maintained and/or re-established where they are disrupted due to works
being carried out.

(d) Prevent bitumen, oils, lubricants and waste water used or produced during the execution of
works from entering into rivers, streams and other natural water bodies/reservoirs, and also
ensure that stagnant water in uncovered borrow pits is treated in the best way to avoid creating
possible breeding grounds for mosquitoes.

(e) Prevent and minimize the impacts of quarrying, earth borrowing, piling and building of
temporary construction camps and access roads on the biophysical environment including
protected areas and arable lands; local communities and their settlements. In as much as
possible restore/rehabilitate all sites to acceptable standards.

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(f) Upon discovery of ancient heritage, relics or anything that might or believed to be of
archeological or historical importance during the execution of works, immediately report such
findings to the SE so that the appropriate authorities may be expeditiously contacted for
fulfillment of the measures aimed at protecting such historical or archaeological resources.

(g) Discourage construction workers from engaging in the exploitation of natural resources such
as hunting, fishing, collection of forest products or any other activity that might have a negative
impact on the social and economic welfare of the local communities.

(h) Implement soil erosion control measures in order to avoid surface run off and prevents
siltation, etc.

(i) Ensure that garbage, sanitation and drinking water facilities are provided in construction
workers camps.

(j) Ensure that, in as much as possible, local materials are used to avoid importation of foreign
material and long distance transportation.

(k) Ensure public safety, and meet traffic safety requirements for the operation of work to avoid
accidents.

3. The Contractor shall indicate the period within which he/she shall maintain status on site after
completion of civil works to ensure that significant adverse impacts arising from such works have
been appropriately addressed.

4. The Contractor shall adhere to the proposed activity implementation schedule and the
monitoring plan / strategy to ensure effective feedback of monitoring information to project
management so that impact management can be implemented properly, and if necessary, adapt
to changing and unforeseen conditions.

5. Besides the regular inspection of the sites by the SE for adherence to the contract conditions
and specifications, the Owner may appoint an Inspector to oversee the compliance with these
environmental conditions and any proposed mitigation measures.              State environmental
authorities may carry out similar inspection duties. In all cases, as directed by the SE, the
Contractor shall comply with directives from such inspectors to implement measures required to
ensure the adequacy rehabilitation measures carried out on the bio-physical environment and
compensation for socio-economic disruption resulting from implementation of any works.

Worksite/Campsite Waste Management

6. All vessels (drums, containers, bags, etc.) containing oil/fuel/surfacing materials and other
hazardous chemicals shall be bunded in order to contain spillage. All waste containers, litter and
any other waste generated during the construction shall be collected and disposed off at
designated disposal sites in line with applicable government waste management regulations.



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7. All drainage and effluent from storage areas, workshops and camp sites shall be captured
and treated before being discharged into the drainage system in line with applicable government
water pollution control regulations.

8. Used oil from maintenance shall be collected and disposed off appropriately at designated
sites or be re-used or sold for re-use locally.

9. Entry of runoff to the site shall be restricted by constructing diversion channels or holding
structures such as banks, drains, dams, etc. to reduce the potential of soil erosion and water
pollution.

10. Construction waste shall not be left in stockpiles along the road, but removed and reused or
disposed of on a daily basis.

11. If disposal sites for clean spoil are necessary, they shall be located in areas, approved by the
SE, of low land use value and where they will not result in material being easily washed into
drainage channels. Whenever possible, spoil materials should be placed in low-lying areas and
should be compacted and planted with species indigenous to the locality.

Material Excavation and Deposit

12. The Contractor shall obtain appropriate licenses/permits from relevant authorities to operate
quarries or borrow areas.

13. The location of quarries and borrow areas shall be subject to approval by relevant local and
national authorities, including traditional authorities if the land on which the quarry or borrow
areas fall in traditional land.

14. New extraction sites:

a) Shall not be located in the vicinity of settlement areas, cultural sites, wetlands or any other
valued ecosystem component, or on high or steep ground or in areas of high scenic value, and
shall not be located less than 1km from such areas.

b) Shall not be located adjacent to stream channels wherever possible to avoid siltation of river
channels. Where they are located near water sources, borrow pits and perimeter drains shall
surround quarry sites.

c) Shall not be located in archaeological areas. Excavations in the vicinity of such areas shall
proceed with great care and shall be done in the presence of government authorities having a
mandate for their protection.

d) Shall not be located in forest reserves. However, where there are no other alternatives,
permission shall be obtained from the appropriate authorities and an environmental impact study
shall be conducted.


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e) Shall be easily rehabilitated. Areas with minimal vegetation cover such as flat and bare
ground, or areas covered with grass only or covered with shrubs less than 1.5m in height, are
preferred.

f) Shall have clearly demarcated and marked boundaries to minimize vegetation clearing.

15. Vegetation clearing shall be restricted to the area required for safe operation of construction
work. Vegetation clearing shall not be done more than two months in advance of operations.

16. Stockpile areas shall be located in areas where trees can act as buffers to prevent dust
pollution. Perimeter drains shall be built around stockpile areas. Sediment and other pollutant
traps shall be located at drainage exits from workings.

17. The Contractor shall deposit any excess material in accordance with the principles of these
general conditions, and any applicable EMP, in areas approved by local authorities and/or the
SE.

18. Areas for depositing hazardous materials such as contaminated liquid and solid materials
shall be approved by the SE and appropriate local and/or national authorities before the
commencement of work. Use of existing, approved sites shall be preferred over the
establishment of new sites.

Rehabilitation and Soil Erosion Prevention

19. To the extent practicable, the Contractor shall rehabilitate the site progressively so that the
rate of rehabilitation is similar to the rate of construction.

20. Always remove and retain topsoil for subsequent rehabilitation. Soils shall not be stripped
when they are wet as this can lead to soil compaction and loss of structure.

21. Topsoil shall not be stored in large heaps. Low mounds of no more than 1 to 2m high are
recommended.

22. Re-vegetate stockpiles to protect the soil from erosion, discourage weeds and maintain an
active population of beneficial soil microbes.

23. Locate stockpiles where they will not be disturbed by future construction activities.

24. To the extent practicable, reinstate natural drainage patterns where they have been altered
or impaired.

25. Remove toxic materials and dispose of them in designated sites. Backfill excavated areas
with soils or overburden that is free of foreign material that could pollute groundwater and soil.

26. Identify potentially toxic overburden and screen with suitable material to prevent mobilization
of toxins.


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27. Ensure reshaped land is formed so as to be inherently stable, adequately drained and
suitable for the desired long-term land use, and allow natural regeneration of vegetation.

28. Minimize the long-term visual impact by creating landforms that are compatible with the
adjacent landscape.

29. Minimize erosion by wind and water both during and after the process of reinstatement.

30. Compacted surfaces shall be deep ripped to relieve compaction unless subsurface
conditions dictate otherwise.

31. Re-vegetate with plant species that will control erosion, provide vegetative diversity and,
through succession, contribute to a resilient ecosystem. The choice of plant species for
rehabilitation shall be done in consultation with local research institutions, forest department and
the local people.

Water Resources Management

32. The Contractor shall at all costs avoid conflicting with water demands of local communities.

33. Abstraction of both surface and underground water shall only be done with the consultation
of the local community and after obtaining a permit from the relevant Water Authority.

34. Abstraction of water from wetlands shall be avoided. Where necessary, authority has to be
obtained from relevant authorities.

35. Temporary damming of streams and rivers shall be done in such a way avoids disrupting
water supplies to communities downstream, and maintains the ecological balance of the river
system.

36. No construction water containing spoils or site effluent, especially cement and oil, shall be
allowed to flow into natural water drainage courses.

37. Wash water from washing out of equipment shall not be discharged into water courses or
road drains.

38. Site spoils and temporary stockpiles shall be located away from the drainage system, and
surface run off shall be directed away from stockpiles to prevent erosion.

Traffic Management

39. Location of access roads/detours shall be done in consultation with the local community
especially in important or sensitive environments. Access roads shall not traverse wetland
areas.

40. Upon the completion of civil works, all access roads shall be ripped and rehabilitated.


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41. Access roads shall be sprinkled with water at least five times a day in settled areas, and
three times in unsettled areas, to suppress dust emissions.

Blasting

42. Blasting activities shall not take place less than 2km from settlement areas, cultural sites, or
wetlands without the permission of the SE.

43. Blasting activities shall be done during working hours, and local communities shall be
consulted on the proposed blasting times.

44. Noise levels reaching the communities from blasting activities shall not exceed 90 decibels.

Disposal of Unusable Elements

45. Unusable materials and construction elements such as electro-mechanical equipment, pipes,
accessories and demolished structures will be disposed of in a manner approved by the SE. The
Contractor has to agree with the SE which elements are to be surrendered to the Client‟s
premises, which will be recycled or reused, and which will be disposed of at approved landfill
sites.

46. As far as possible, abandoned pipelines shall remain in place. Where for any reason no
alternative alignment for the new pipeline is possible, the old pipes shall be safely removed and
stored at a safe place to be agreed upon with the SE and the local authorities concerned.

47. AC-pipes as well as broken parts thereof have to be treated as hazardous material and
disposed of as specified above.

48. Unsuitable and demolished elements shall be dismantled to a size fitting on ordinary trucks
for transport.

Health and Safety

49. In advance of the construction work, the Contractor shall mount an awareness and hygiene
campaign. Workers and local residents shall be sensitized on health risks particularly of AIDS.

50. Adequate road signs to warn pedestrians and motorists of construction activities, diversions,
etc. shall be provided at appropriate points.

51. Construction vehicles shall not exceed maximum speed limit of 40km per hour.




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Repair of Private Property

52. Should the Contractor, deliberately or accidentally, damage private property, he shall repair
the property to the owner‟s satisfaction and at his own cost. For each repair, the Contractor shall
obtain from the owner a certificate that the damage has been made good satisfactorily in order to
indemnify the Client from subsequent claims.

53. In cases where compensation for inconveniences, damage of crops etc. are claimed by the
owner, the Client has to be informed by the Contractor through the SE. This compensation is in
general settled under the responsibility of the Client before signing the Contract.         In
unforeseeable cases, the respective administrative entities of the Client will take care of
compensation.

Contractor’s Health, Safety and Environment Management Plan (HSE-MP)

54. Within 6 weeks of signing the Contract, the Contractor shall prepare an EHS-MP to ensure
the adequate management of the health, safety, environmental and social aspects of the works,
including implementation of the requirements of these general conditions and any specific
requirements of an EMP for the works. The Contractor‟s EHS-MP will serve two main purposes:

For the Contractor, for internal purposes, to ensure that all measures are in place for adequate
HSE management, and as an operational manual for his staff.

For the Client, supported where necessary by a SE, to ensure that the Contractor is fully
prepared for the adequate management of the HSE aspects of the project, and as a basis for
monitoring of the Contractor‟s HSE performance.

55. The Contractor’s EHS-MP shall provide at least:

         Description of procedures and methods for complying with these general environmental
          management conditions, and any specific conditions specified in an EMP;

         Description of specific mitigation measures that will be implemented in order to minimize
          adverse impacts;

         Description of all planned monitoring activities (e.g. sediment discharges from borrow
          areas) and the reporting thereof; and the internal organizational, management and
          reporting mechanisms put in place for such.

56. The Contractor‟s EHS-MP will be reviewed and approved by the Client before start of the
works. This review should demonstrate if the Contractor‟s EHS-MP covers all of the identified
impacts, and has defined appropriate measures to counteract any potential impacts.




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HSE Reporting

57. The Contractor shall prepare bi-weekly progress reports to the SE on compliance
with these general conditions, the project EMP if any, and his own EHS-MP. An
example format for a Contractor HSE report is given below. It is expected that the
Contractor‟s reports will include information on:

HSE management actions/measures taken, including approvals sought from local or
national authorities;

Problems encountered in relation to HSE aspects (incidents, including delays, cost
consequences, etc. as a result thereof);

Lack of compliance with contract requirements on the part of the Contractor;

Changes of assumptions, conditions, measures, designs and actual works in relation to
HSE aspects; and

Observations, concerns raised and/or decisions taken with regard to HSE management
during site meetings.

58. It is advisable that reporting of significant HSE incidents be done “as soon as practicable”.
Such incident reporting shall therefore be done individually. Also, it is advisable that the
Contractor keeps his own records on health, safety and welfare of persons, and damage to
property. It is advisable to include such records, as well as copies of incident reports, as
appendixes to the bi-weekly reports. Example formats for an incident notification and detailed
report are given below. Details of HSE performance will be reported to the Client through the
SE‟s reports to the Client.

Training of Contractor’s Personnel

59. The Contractor shall provide sufficient training to his own personnel to ensure that they are
all aware of the relevant aspects of these general conditions, any project EMP, and his own
EHS-MP, and are able to fulfill their expected roles and functions. Specific training should be
provided to those employees that have particular responsibilities associated with the
implementation of the EHS-MP. General topics should be:

HSE in general (working procedures);

Emergency procedures; and

Social and cultural aspects (raising awareness on social issues).




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Cost of Compliance

60. It is expected that compliance with these conditions is already part of standard good
workmanship and state of art as generally required under this Contract. The item “Compliance
with Environmental Management Conditions” in the Bill of Quantities covers these costs. No
other payments will be made to the Contractor for compliance with any request to avoid and/or
mitigate an avoidable HSE impact.




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Example Format: HSE Report

Contract:

Period of reporting:

HSE management actions/measures:

Summarize HSE management actions/measures taken during period of reporting,
including planning and management activities (e.g. risk and impact assessments),
HSE training, specific design and work measures taken, etc.

HSE incidents:

Report on any problems encountered in relation to HSE aspects, including its
consequences (delays, costs) and corrective measures taken. Include relevant
incident reports.

HSE compliance:

Report on compliance with Contract HSE conditions, including any cases of non-
compliance.

Changes:

Report on any changes of assumptions, conditions, measures, designs and actual
works in relation to HSE aspects.

Concerns and observations:

Report on any observations, concerns raised and/or decisions taken with regard to
HSE management during site meetings and visits.

Signature (Name, Title Date):

Contractor                                                                             Representative




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     APPENDIX 4 -                    ZONAL INSTITUTES AND THEIR
          GEOGRAPHICAL MANDATES

Farming System                       Name of ZARDI         Constituent                  Operational Status
                                                           districts


1. Lake Victoria                     Mukono ZARDI          Mpigi, Luwero,               Operational
Crescent                                                   Nakasongola,
                                                           Masaka, Mubende


2. Southwestern                      Mbarara ZARDI         Mbarara, Ntungamo,           Operational
Rangelands                                                 Sembabule and
                                                           Rakai


3. Southern Western                  Kachwekano            Kabale, Kisoro,              Operational
Highlands                            ZARDI                 Kanungu, and
                                                           Bushenyi


4. Lake Albert Crescent              Bulindi ZARDI         Masindi, Hoima, &            Operational
                                                           Kibale,


5. West Nile Farming                 Abi ZARDI             Arua, Moyo, Nebbi,           Operational
System                                                     Koboko and
                                                           Adjumani


6. Mid-Northern Farming              Ngetta ZARDI          Lira, Apac, Gulu,            Operational
System                                                     Kitgum


7. Eastern dry lands                 Nabiun ZARDI          Soroti, Kumi, Pallisa,       Operational
Zone Farming System                                        Moroto, Kotido,


8. Eastern Highland                  Buginyanya ZARDI      Sironko, Mbale,              Operational
                                                           Nakapiripit, Tororo,
                                                           Jinja, Iganga &
                                                           Kamuli


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9. Mid-Western Highland              Rwabitaba             Kabarole,                    Not Operational ( to be
Farming System                                             Bundibugyo, Kasese           operationalised
                                                                                        2010/11)




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APPENDIX 5 -         PERSONS CONTACTED
1.    Emily TWINAMASIKO
2.    Drake MUBIRU               Senior Research Scientist, NARO
3.    Konstantin ODONGKARA
4.    Matthias MAGUNDA           Senior Principal Research Scientist
5.    Geresom OKECHO-OCHWO
6.    Francis BYEKWASO
7.    Willy ODWONG, World Bank
8.    Asaph NUWAGIRA
9.    Bernard CRABBE
10.   John OLWENYI
11.   Julius ECURU
12.   Tuma Kooko Emmanuel        NAADS DFF Chairman
13.   Namolya Alex               NAADS DFF Chairman
14.   Luka Abe                   Consultant
15.   Suubi Godfrey              Hope 21
16.   Gadi Gumisiriza            Consultant
17.   Tindiwensi Catherine       Consultant
18.   Tottio G Wilson            Nakaseke DFF Chairperson
19.   Kyorantungye Karemente     NAADS Consultant
20.   Omoit Charles              NAADS Secretary
21.   Kiggundu Josephine         NAADS Secretariat
22.   Kemigisha Sharon           NAADS Secretariat
23.   Alex Akishule              NAADS Secretariat
24.   Faith Akello               NAADS Secretariat
25.   Obwalinga John Peter       Farmer / Katakwi Rep
26.   Hasoho William,            NAADS
27.   Godfrey Kaboyo             Consultant NIDA
28.   Anthony Mugenyi            NAADS
29.   Andrew K Lojut             NAADS
30.   Kupare O Richard           C/P DFF, Nebbi
31.   Kodet Matthew              C/P DFF, Moroto
32.   Okwii Kokas Olumu,         C/P DFF, Bukedea
33.   Lyth Epila                 C/P DFF, Lira
34.   Kayaayo Florence           C/P DFF, Kabarole
35.   Monica Olweny              Rep NFF, Tororo
36.   Emojong Lawrence           District Executive Member, Tororo
37.   Olinsa Silver              C/P DFF, Tororo
38.   Mubanziizi Emmanuel        FICA Seeds / TM
39.   Akankwasa Kenneth          Makerere University
40.   Otyama O Chris             C/P DFF Katakwi
41.   Bob Kibirango              DFF Chair, Mukono
42.   Ignatius Kashaija          C/Man DFF, Amolatar
43.   Sam Opio                   Apac
44.   Dan Kisauzi                NIDA / Consultant
45.   Mutema Mohammed            C/P DFF, Namutumba
46.   Ogwal Richard T K          C/P DFF, Lira
47.   Najjemba Ann Maria         C/P DFF, Kiboga
48.   John Wakikona              NAADS
49.   Joseph Kyamanywa           Makerere University
50.   Enid Katungi               Makerere University
                     Republic of Uganda




             MINISTRY OF AGRICULTURE,

          ANIMAL INDUSTRY AND FISHERIES




AGRICULTURAL TECHNOLOGY, AGRIBUSINESS AND ADVISORY SERVICES
                     PROJECT (ATAAS)




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 Environmental and Social Management Framework (ESMF)




            ADDENDUM: PEST MANAGEMENT PLAN




                          By



                    J.A. AGONA, PhD

                   J.A. OGWANG, PhD




                     APRIL 2010


1. Introduction




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The overall goal of the agricultural sector in Uganda is to promote food and nutrition
security and household incomes through, among others, coordinated interventions
that enhance sustainable agricultural production and productivity. One of the
greatest challenges in enhancing production and productivity however, is the
reduction of losses from pests. The pest spectrum includes insects, fungi, bacteria,
viruses, mites, rodents, birds and weeds. Pest infestations and/or infections are
manifested on crops, livestock, forest trees and water bodies. In order to reduce
and/or control damage levels there are several proscribed methods in use. The
methods include: cultural control, physical/mechanical control, biological control,
breeding and selection for resistance, and chemical pesticide control.

The application and the effectiveness of each of the different pest management
methods vary depending on the type of pest, damage levels, type of enterprise, scale
of production, social-economic conditions, aesthetic requirements, environmental
including climatic conditions, legal requirements and consumer preference.
Currently, farming in Uganda is mainly practiced at small-scale level that is
characterized by low input application, drudgery, low production, and heavy reliance
on traditional norms.      With the advent/promotion of Agricultural Technology,
Agribusiness and Advisory Services (ATAAS) it envisaged that the capacities of the
farmers will be built in modern farming methods that entail heavy use of agro-inputs
that increase productivity of enterprises, especially those targeted in the
Development Strategy and Investment Plan (DSIP).

This comprehensive pest management plan (PMP) provides information on functional
mechanisms that can enable the identification, understanding and management of
pest and vector problems in the development of Uganda‟s agriculture, reduction of
personal and environmental health risks associated with pesticide use, and
protection of beneficial biodiversity such as natural enemies of pests and pollinators
in the effort to increase productivity consistently with Ugandan regulations and World
Bank Operational Policy on Pest Management (OP 4.09). The PMP takes
cognizance of the need to understand and respond to external integrated pest
management (IPM) environment affecting farmers‟ livelihoods. For instance alien
invasive species, quarantine pests and stringent pesticide residue level that limit the
potential for farmers to benefit from international trade opportunities.




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1.1 Pest and pesticides management implications of project activities

Pests are insects, diseases (fungi, bacteria, viruses, mycoplasma like bodies),
helminthes, mites, rodents, birds and weeds that cause significant and adverse
economic, environmental and social impacts. Pest populations are parts of
ecosystems. Attempting to eradicate pests with intensive pesticide use tends to
destabilize these ecosystems and lead to more pest problems. Besides killing a pest,
most pesticides have a broader impact on the agro-ecosystem. Particularly their
impact on beneficial insects and soil organisms may disrupt the functioning of agro-
ecosystems, reduce their health, and increase the risk of further pest problems. In
addition, use of pesticides may have negative health, environmental and economic
implications.

Conventional chemical pest control has often led to undesirable escalation of
pesticide use and crop protection costs. Mechanisms contributing to upward spiraling
pesticide use have included:

      Development of pesticide resistance as a result of unnecessarily intensive
       use
      Resurgence of primary pests (pesticide application against a pest is followed
       by a much bigger outbreak of the same pest because its natural enemy
       population was also destroyed and takes more time to recover than the pest
       population)
      Induced outbreaks of secondary pest (spraying against one pest kills the
       natural enemies of another pest and triggers an outbreak of that pest)

Of the major enterprises, those that are crop-based are the most widely farmed and
require large quantities of agro-inputs that enhance productivity. Most of the inputs
are chemicals that range from inorganic fertilizers to synthetic pesticides, and if not
handled properly can cause problems to human health and eco-systems. A correct
choice of management method that causes no or minimal adverse effects on the
environment is a pre-requisite.


1.2 Environmental    consequences of pest management practices

The four major problems associated with conventional pesticides are toxic residues,
pest resistance, resurgence of primary pests and secondary pests. The latter three
of these are fundamental consequences of reliance on interventions that are both
disruptive and of diminishing value because of the countermoves of ecological
system. Therefore a mere switch to non-toxic pesticides, such as microbials or
inundative releases of natural enemies, although helpful in reducing environmental
contamination and safety problems, still does not truly address the ecological based
weakness of conventional pest control approach. Toxic residues are of major
economic importance on non-target plants and animals, soil, water and air resources




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During implementation of ATAAS the pest management plan espoused will be based
on approaches that appreciate the interactive webs in the ecosystems and that seek
solutions with net benefits at the total ecosystem level. To minimize negative
environmental consequences of pest management practices, three lines of
approaches, but not totally exclusive, will be followed. The lines include ecosystems
management; crop attributes and multi-trophic level interactions; and therapeutics
with minimal disruptions. Integrated pest management programmes that strive to
balance economics, efficacy and environmental risks will be utilized where available.

Appropriate set of mitigation technologies will be implemented to address the
environmental risks of pest management activities in order to adequately treat
identified resource concerns. Mitigation techniques may include practices like filter
strips, crop rotation, and management techniques like application timing, dosage and
method.


2. Pest management approaches used in country

Pest and diseases control is vital in food production and security as pests
attack virtually all crops in one way or the other. A judicious decision making
process that is cognisant of effectiveness, availability, cost, user and
environmental friendliness determines what control options to apply. A proper
decision making process that increases value as well as reduces uncertainty
associated with economic, environmental or health risks are fundamental. The
importance of the practice of Integrated Pest Management (IPM) in pest
management is paramount.


2.1 Overview of forest, livestock and crop management problems

The open agro-systems of Uganda are vulnerable to crop, forestry and livestock
pests and diseases because of the favorable environmental conditions and
anthropogenic factors. As global warming takes effect, drought will set in due to
rainfall and wind factors. This coupled with loss of biodiversity attributed to tree
cutting, as bio-fuels for the ever-growing population is likely to reduce food availability
to insects in their natural environment, as they will change their foraging habits to
attack food crops for survival. Loss of forest biodiversity may increase drought. This
with changing wind pattern may mean frequent attacks by locusts and armyworm.
Anthropogenic factors are mainly attributed to the mobility of human beings most of
the time and the porous border with inadequate quarantine staff to monitor entry of
non-native pests and diseases. Indiscriminate exchange of planting materials and
stocking materials by farmers across borders without following proper plant/livestock
quarantine requirements is considered a big threat to ensuring crop and livestock
health within the country. Trade in animals and livestock products are one sure way
of exposing the country to attacks by livestock pests and diseases. Currently the
east African region has been put on alert for the highly contagious avian influenza
that kills both domestic birds and human beings.




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2.2 Current crop pest management approaches

The general pest management objectives in Uganda are to:

    i.  Control and/or eradicate and maintain good surveillance of the major
        economic pests whose outbreaks are responsible for large-scale damage/loss
        to agricultural production
    ii. Provide protection to man and animals against vectors of deadly diseases

Pest control ideally falls under the following options:

           Chemical pesticide control
           Cultural control
           Physical/mechanical control
           Biological control
           Breeding and selection for resistance


2.2.1       Impact of Chemical Pest control

Pesticides have a magic performance of quick pest knockdown. Pesticides are also
commonly used in treating livestock pests like ticks on cows. The synthetic pesticides
have several disadvantages including high costs and risks to the environment (water
and land ecosystems) and human health. The dangers are exacerbated by the
continued use of banned pesticides like DDT, use of expired and/or adulterated
pesticides and farmers who are ill trained in pesticide handling, application and
disposal.

2.2.2       Cultural pest control

Cultural practices that can prevent build of pests include:

    i.         Crop rotation
    ii.        Inter-cropping
    iii.       Field sanitation and seed bed sanitation
    iv.        Use of pest-resistant or tolerant varieties
    v.         Managing sowing, planting or harvesting dates to escape the period when
               insect pests would attack
    vi.        Soil and nutrient management (including mulching, zero tillage, fertilizer
               management)
    vii.       Practices to enhance the buildup of naturally existing predator populations
    viii.      Hand-picking of pests or hand-weeding
    ix.        Use of traps or trap crops
    x.         Post-harvest loss prevention

Cultural control is considered cheap, but effective pest control method that has been
successful for some insect pest control. The best example of a successful cultural
program is the control of the banana weevils. Cultural control is safe both to the
environment, livestock and man.




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2.2.3   Biological Pest Control

Biological control or the use of natural enemies to control pests and weeds has been
successfully used to control pests and weeds in Uganda. However, the major
criticism of biological control is the fact that it is slow to act. A number of biocontrol
options are available for use in biological control but generally the following can be
classified as bio-agents:

       Parasites/Parasitoids e.g. Parasitic wasps
       Predators – e.g. Teretrius nigrescens, Ladybird beetles
       Biorationals/bio-pesticides – toxic plant products like Neem, tobacco,
        tephrosia, tagetes
       Entomopathogens like Bacillus thuringiensis, Beauvaria bassiana
       Diatomaceous Earth fossilized unicellular organisms

There is little doubt that the various pest control options have had a tremendous
impact in ensuring food security. However in an effort to increase soil productivity
through fertilizer application, a lot of wash-off has increased nutrient status in water
bodies. This has resulted in the blooming of some otherwise harmless algae in
several lakes. Additionally, heightened nutrient levels in rivers and water bodies are
partly responsible for the resurgence of aquatic weeds like water hyacinth that was in
effect under control.




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2.3 IPM experience

Integrated pest management is an approach to pest control that combines
biological, cultural and other alternatives to chemical control with the judicious
use of pesticides. The objective is to maintain pest levels below economically
damaging levels while minimizing harmful effects of pest control on human
health and environmental resources. The integrated concept means that a
broad interdisciplinary approach is taken using scientific principles of
plant/animal protection to bring together a variety of management tactics into
an overall strategy. IPM relies chiefly on natural control processes and other
ecological methods such as cultural controls that conserve and complement
the action of natural enemies. IPM experiences in Uganda are presented in
Table 1 below.

2.3.1    Biological control

Natural enemies of pests can effectively reduce pest populations, and biological is
the manipulation of natural enemy populations to do just that. There are three
approaches to biological control and these include:

i.     Classical biological control: The method is used against exotic pests e.g.
       water hyacinth, Larger grain borer (LGB), cassava green mite, that have been
       introduced to a new region leaving their natural enemies behind and as a result
       their numbers increase rapidly. The control strategy involves introduction of the
       natural enemies of the pest organism e.g. Neochetina spp., Teretrius nigrescens
       and Typhlodromalus aripo against water hyacinth, LGB and cassava green mite,
       respectively. A classical biological control programme requires that the climatic
       conditions and ecology of the agro-ecosystem are suitable for the imported bio-
       agent, and that any chemical control used is compatible with the introductions.

ii.    Conservation: This involves the conservation of the natural enemies already
       present in the environment. In many systems the elimination of natural enemies
       results from using broad-spectrum pesticides. Pesticides should only be used
       as the last resort when other control methods have failed to achieve sufficient
       control: minimal, efficient and carefully targeted application is the main strategy
       for conserving natural enemies. Some insecticides are intrinsically less harmful
       to natural enemies than others; bio pesticides such as Bacillus thuringiensis,
       bacteria that produces a powerful but selective insect toxin, are often safer than
       many synthetic chemicals.

iii.   Augmentation: The method involves actively boosting the populations of native
       natural enemies that are already in the ecosystem, but are unable, for one
       reason or another, to prevent the pests from reaching the levels that cause
       economic damage. In Colombia, for example, some coffee farmers spray
       Beauveria bassiana, a fungus that infects and kills coffee berry borer as it bores
       into the berries, onto coffee tree to increase natural levels of this fungus in the
       environment.




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2.3.2     Cultural control

There are several cultural control methods developed for specific pests. For instance:

i.      In crops where fallen fruits or those left on trees, are used as over wintering
        sites, e.g. mango fruit flies, it is recommended such fruits are destroyed at the
        end of each cropping season.

ii.     The use of clean (pest and disease free) seed or planting material is an
        important strategy for controlling seed-borne diseases, banana weevils,
        nematodes etc.

iii.    Pruning of coffee trees/mango/avocado increases the vigor of the plant by
        cutting away unproductive vegetation and opening up leafy canopy. This allows
        more light to penetrate and air to circulate, thus reducing humidity and
        temperature. These conditions are less favorable to many pests and diseases.

iv.     Mulching of plantations or vegetable fields with suitable materials may help to
        improve soil conditions by increasing soil fertility, conserving soil moisture,
        protecting the soil from compaction, and reducing soil acidity. Mulch may help
        to conserve soil by reducing loss to surface runoff water.

2.3.3     Pest and disease resistant varieties

The use of resistant varieties is a valuable IPM strategy, but its development is a
slow process. Significant achievements however, have been made in:

i.      Crops such as coffee (Ruiru 11 variety resistant against coffee berry disease);
        cassava (variety 2961 resistant against African cassava mosaic virus, and
        varieties 0067 and TME 14 tolerant to the ACMV)

ii.     Currently NARO is evaluating a transgenic banana variety that has been
        genetically engineered for resistance against Black Sigatoka disease

iii.    Grafting is another valuable technique for the production of resistant plants on
        shorter timescale than growing from seed. “Ruiru 11” cultivars may be grafted
        on existing root stock to confer coffee leaf rust resistance

2.3.4     Weed control

Cultural and mechanical methods of weed control include weed slashing, and the use
of mulch or cover crop that are effective against many grass weeds such as couch
and star grass. Hoeing may be used in some systems, but it may increase soil
erosion. Broad-spectrum herbicides and blanket application techniques may also
promote soil erosion by removing ground cover.

2.3.5     Storage pest management

Although natural enemies may be important against field pests, they are considered
unimportant on storage pests, because of the aesthetic standards required on stored
produce that has “zero tolerance” for insects or their impurities. Relevance of natural
enemies however, may be seen against primary pests that begin infestation in the
field and continue during storage e.g. LGB, maize weevil and bean bruchids. So far
it is only LGB that has successfully been managed in Uganda through deployment of


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Teretrius nigrescens in the field. Other pest management methods being developed
include use of Diatomaceous earth as dust admixtures on grains (has abrading effect
on insect cuticle and pest dies of dehydration); botanicals (tobacco, tephrosia,
tagetes, neem) applied as powders at the rate of 1-2% w/w (work as biocides, anti-
oviposition deterrents, repellents); solarisation of stored grain in a solar heater (all
stages of insects die within 1-2 hours on a sunny day); efficacy evaluation of
chemical dust admixtures (actellic, actellic super, malathion, permethrin, super grain
dust) and phosphine of different proprietary formulations.




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        Table 1 Major pests of crops and IPM tools applied

Crop            Pests (insects,            Diseases               IPM tools

                nematodes)


Cassava         - Cassava green mite       - Cassava Brown        - Biocontrol (Apoanagyrus
                (Mononychellus tanajoa)    streak                 lopezi, Typhlodromalus
                                                                  aripo)
                - Mealybugs                - Cassava mosaic
                (Phenacoccus manihoti)                            - Breeding for resistance

                - Whiteflies (Bemisia                             - Biotechnology
                tabaci)

Banana          - Banana weevil            - Banana bacterial     - Chemical (insecticides,
                (Cosmoplites sordidus)     wilt (Xanthomonas      nematicides, fungicides)
                                           musacearum pv
                - Nematodes (Radopholus    campestris)            - Bio-control
                similis)
                                           - Black sigatoka       - Breeding
                                           (Mycosphaerella
                                           fijiensis)             - Biotechnology

                                           - Banana streak        - Cultural methods
                                           virus (Badnovirus)
                                                                  - Mechanical (breaking of
                                           - Fusarium wilt        male buds)
                                           (Fusarium
                                           oxysporum)

Maize           - Stem borers (Chilo       - Maize streak virus   - Biocontrol (Cotesia
                partellus)                                        flavipes, Teretrius
                                           - Smut                 nigrescens, arboreal
                - Aphids                                          termites)
                                           - Northern leaf
                - American bollworm        blight                 - Breeding for resistance
                (Helicoverpa armigera)
                                                                  - Chemical (insecticides)
                - Larger Grain Borer
                (Prostephanus truncatus)

                - Termites

                - Maize and rice weevils
                (Sitophilus spp.)

                - Angoumois grain moths
                (Sitotroga cerealella)


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               - Rhyzopertha dominica

Beans          - Bean fly (Ophiomya spp.)   - Anthracnose         - Cultural (heaping up,
                                            (Colletotrichum       sanitation)
               - Bean weevil                lindemuthianum)
               (Acanthoscelides obtectus)                         - Chemical (insecticides,
                                            - Root rot            fungicides)
               - American bollworm
               (Heliothis armigera)         - Angular leaf spot   - Breeding

               - Pod borer (Maruca                                - Biotechnology (gene
               testulalis)                                        pyramiding)

               - Thrips (Megalurothrips
               sjostedti)

Coffee         - Coffee berry borer         - Coffee wilt         - Chemicals
                                            disease
               - Coffee stem borer                                - Breeding
                                            - Coffee leaf rust
               - Antestia bugs                                    - Cultural

               - Coffee mealybugs

Tea            - Mites                      - Leaf rust           - Chemical (Acaricides,
                                                                  fungicides)

                                                                  - Breeding
                                                                  - Parasitoids
Napier grass   - Stem borers                - Stunting disease
                                                                  - Breeding for resistance
(for zero
grazed dairy
cattle
               - Tsetse flies               - Mastitis            - Acaricides
Cattle
               - Warble fly                 - East coast fever    - De-ticking physically
               - Ticks                      - Trypanosomiasis     - Quarantine
               - Helminths                  - Foot and mouth      - Breed selection for
                                              disease               resistance
                                            - Newcastle
Chicken        - Mites                        disease             - Antibiotics
                                            - Coccidiosis

Rangeland      - Lantana camara                                   - Bio-control (Ophiomyia
(Pasture)                                                         camarae)




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3. Pesticide use and management

The World Bank‟s key preamble states that:

   i.      All insecticides harm the environment to some extent and,
   ii.     Environmental risks from insecticides use in agriculture far outweigh those
           of spraying for malaria control


Synthetic pesticides are known to be the most versatile and quick in pest eradication.
Nevertheless there use is associated with a number of problems that affect human
health, agro-systems and the environment. It is therefore important that the use of
any given pesticide must be properly justified, and a lot of caution is required in
handling, application and disposal of the toxicants, including containers.


3.1 Pesticide use in country


The most commonly used pesticides in the country fall under the three categories viz.
organochlorines, organophosphates and synthetic pyrethroids. Organochlorines such
as DDT are environmentally stable compounds that are highly soluble in lipids
making it possible for them to accumulate in the body fat of non-target organisms.
DDT is also a Persistent Organic Pollutant (POPs). They are bio-accumulative –
being accumulated through ingestion and retained in organisms at concentrations
higher than in the food and water by which they are transmitted. POPs can be
transported over long distances through air and water, and concentrate in the
environment and biota of regions far removed from the original source of emission.

Organophosphates (OPs) e.g. Malathion, Fenvalarate, Fenthion, Fenitrothion etc. are
generally less persistent than organochlorines, although some have higher acute
toxicities, both for mammals and other organisms. OP compounds degrade rapidly in
the environment, especially in moist soil, and it displays low toxicity to birds and
mammals. However, they are highly toxic to insects, including beneficial insects
such as pollinators.

Synthetic pyrethroids, such as Permethrin and Doom, are broad-spectrum toxicants
that are very toxic to fish, aquatic organisms and most cold-blooded animals. Due to
their high and broad range of toxicity to insects, they may affect beneficial species,
thereby lessening natural controls, and for some pests may actually increase the
need to further chemical control. Carbamates are broad-spectrum, tend to be more
persistent that OPs in the soil, and thus have potential for considerable
environmental impact.




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3.2 Circumstances of pesticide use and competence to handle
    chemical products


Chemical pest control is perhaps the most widely used option of pest control in
Uganda especially, in commercial farms including flower farms, coffee, tea and
sugarcane. Location of sugarcane plantations and flower farms, especially those
astride Lake Victoria significantly increases the risk of wash-offs into the lake hence
increasing the risk of pollution. Some of the pesticides in Uganda are presented in
Table 2.




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Table 2 Samples of Agro-chemicals used in Uganda




10.1 COMMODITY                                         PESTICIDE                               FUNGICIDE
      HERBICIDE
Sugarcane                                   Dursban                              -                  Round-up

                                                                                                    Kombi



Coffee                                      Diazinon                             Copper
           Round-up

                                            Fenitrothion                         Oxycholride


11                                                                               DITHANE


Tea                                         Karate                               Dithane            Round-u

                                            Dimethoate                           Marshall           2-4D

                                            Fenitrothion                         Ridomil



Maize (stored)                              Malathion                            -                  -do-

                                            Actellic super

                                            Phosphine



Tomato                                      Fenitrothion                         Dithane M45        -

                                                                                 Mancozeb

Livestock                                   Acaricides                           -                  -




Some of the factors that appear to be driving increased pesticide use include:




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             Improved varieties that are more susceptible to pests and diseases

             Recent introduction of pest and disease problems, linked to absence of
              advice on non-pesticide control methods

             Pest resistance and/or disruption of natural control mechanisms, due to
              inappropriate or excessive use pesticides

             Farmers‟ desire to increase yield or quality and lack of knowledge on how to
              achieve this without reliance on pesticides

3.3          Assessment of risks

Risk expresses the likelihood that harm from a particular hazard is realized, and is a
function of hazard and exposure. Therefore risk assessment is the identification and
quantification of the of the risk resulting from a specific use or occurrence of a
chemical or physical agent, taking into account possible harmful effects on individual
people or society of using the chemical or physical agent in the amount and manner
proposed and all the possible routes of exposure. Quantification ideally requires the
establishment of dose-effect and dose-response relationships in likely target
individuals and populations.

The following four stages will be used to conduct risk assessment on the effect of
pesticide use in during ATAAS implementation. These include:

      i.         Hazard identification: What are the substances of concern and what are
                 their adverse effects?

      ii.        Dose (concentration) – response (effect) relation: What is the relationship
                 between the dose and either the severity or the frequency of the effect
                 (dose-effect and dose-response relationships respectively)?

      iii.       Exposure assessment: What is the intensity, and the duration or
                 frequency of exposure to and agent?

      iv.        Risk characterization: How can one quantify the risk from the above data?


Possible areas interventions that are envisaged for risk assessment include pest
management that integrate pesticides in crops, forestry and livestock resources; and
products of genetic engineering or genetically modified organisms.


3.4          Promoting IPM/ICM in the context of current practices

The availability of both effective pest management strategies and the system for their
employment is fundamental for successful IPM or integrated crop management
(ICM). Key strategies that will be promoted include:
             Prevention or avoidance of pests and/or pathogens
             Decrease of pest populations
             Decrease of crop or animal susceptibility
             Eradication of pests
             A combination of strategies, or


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      Pursuing no action



Primary tactic (tools) used in IPM will encompass

      Host resistance
      Use of natural enemies or biological controls
      Cultural practices, and
      Judicious use of pesticides

Reliable identification, diagnosis, and monitoring of pest populations will be essential
for successful IPM implementation.        On the other improved soil and water
management methods will be applied improve crop growth and vigor that enables it
withstands pest and disease pressures.


4. Policy, regulatory framework and institutional capacity

The current Policy Framework that is relevant to the ATAAS implementation includes:


   1. Adoption and implementation of the new National Agricultural Research
      System (NARS), that is market-responsive, client-oriented and demand-driven,
      comprising public and private institutions working in tandem for the sustainable
      economic growth of Uganda

   2. Revision and adoption of a number of agricultural policies, statutes and
      regulations such as the Tea Development policy, Sericulture policy, Animal
      Feeds policy, Rangeland policy, Organic Farming policy, Hides, skins and
      Leather development policy, Seeds Industry Reorganization Policy, Agricultural
      Mechanization Policy, Tsetse Control Policy, Tick Control Policy, Apiculture
      policy, Fisheries Policy, Meat Policy, the Phytosanitary regulations which are to
      enable us meet the Euro- Gap requirements and their respective attendant
      laws or regulations respectively

3. Implementation of animal disease control strategy including enforcement of
   standards and regulations such as the control of FMD and CBPP and the control
   of the movement of animals and animal products




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4.1   Plant protection policy


  11.1.1 THE PLANT PROTECTION ACT CAP 31

The Plant Protection Act was originally passed as an Ordinance in 1937. The scope
of the Act can be gleaned from the long title that limits the Act to the prevention of the
introduction and spread of diseases destructive to plants. The Act precedes the
International Plant Protection Convention (IPPC) of 1951 and does not take any
international considerations into account. The administrative structure was limited to
the size of the service required. Over time, the structure became too small and the
budget too restrictive to allow the operation of an efficient and effective service. The
penalties imposed were found to have no deterrent or actual value. For these
reasons, inter alia, the Act was reviewed in 2001 and the Plant Protection and Health
Bill, 2003 was drafted.

The thrust of the Bill was to protect plant health and the natural environment and
comply with international standards on plant protection in order to enhance the
international reputation of Ugandan agricultural imports and exports. The cost
recovery proposed in the draft bill particularly to enable rapid response to epidemics
of quarantine importance was not included in the final text of the Bill. The 2003 Bill
was found lacking in these respects and a revised Bill was proposed in 2005.

The Plant Protection Bill, 2005, seeks to consolidate and reform the law relating to
protection of plants against pests; to prevent the introduction and spread of pests that
may adversely affect Uganda's agriculture, the natural environment and livelihood of
the people; to ensure sustainable plant and environmental protection; to regulate the
export and import of plants and plant products and introduction of new plants in
accordance with international commitments on plant protection. The Bill proposes a
cost recovery mechanism to enable rapid response to epidemics of quarantine
importance. It introduces pest risk analysis and strengthens the import and export
controls of plants, plant products and regulated articles. The objective of the Bill is to
protect and enhance the international reputation of Ugandan agricultural imports and
exports, and to entrust all plant protection regulatory functions to the Government
through the national plant protection organization (NPPO).




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The Department responsible for plant protection is designated as the NPPO and shall
be responsible for the protection of the plant resources of Uganda from pests that
exist in the country or could be introduced into the country. The NPPO shall be
responsible for the implementation of the Act. To this end, the NPPO is responsible
for carrying out surveillance of growing plants, including areas under cultivation and
wild flora, and of plants and plant products in storage or in transport, for the purpose
of reporting the occurrence, outbreak and spread of pests, and of controlling those
pests. The NPPO shall enforce the Act and any other legislation relating to plant
protection that the Minister may identify; and establish procedures for accreditation of
any quarantine station, official analyst, official laboratory or any other person or
institution from the public or private sector involved in phytosanitary matters. The
Minister shall appoint a Plant Protection Technical Committee to advise the
Commissioner on all technical matters arising from the administration of the Act and
on any other related issues. The Commissioner shall be the head of the NPPO and
responsible for the day –to- day administration of this Act. The Commissioner is
defined to mean the Commissioner responsible for plant protection or any other
Commissioner or competent person assigned by law to administer the Act.

The Minister is authorised, from time to time, to appoint by notice in the Gazette,
officers of the NPPO or other competent persons to be inspectors for the purposes of
this Act. In addition, the Minister has powers, by statutory instrument, to prescribe
functions under the Act that may be delegated to any specified competent individual
or institution, including designation of laboratories and competent scientists.
Delegated individuals or institutions shall be required to comply with instructions that
may from time to time be issued by the Minister; report on their activities to the NPPO
on a periodic basis as may be determined by the Minister; assist in and co-operate
with the NPPO in attaining the purposes of the Act.

A perusal of related laws revealed that there are overlaps that should be addressed
in the Bill to avoid institutional conflict and the resultant inefficiency it engenders.
Section 12 of the Agricultural Seeds and Plant Act, Cap 28, Laws of Uganda 2000,
authorizes the National Seed Certification Service (NSCS) to establish phytosanitary
standards and practices for any particular crop as the need arises. The NSCS is
further authorized to direct that seeds or plants harboring pests and diseases be
destroyed within a specified period of time and in a specified manner. The Cotton
Development Act, Cap 30, in section 12 mandates the Minister responsible for
agriculture in consultation with the Cotton Development Organisation, to direct that
any cottonseed or plant harboring or likely to harbor any cotton pest or cotton
disease be destroyed. A provision is proposed in the Plant Health and Protection Bill,
2005, to address this anomaly and ensure that law to the national plant protection
organization assigns the principal authority for all phytosanitary matters.




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  11.1.2 AGRICULTURAL SEEDS AND PLANT ACT CAP 28


The Agricultural Seeds and Plant Act provides for the promotion, regulation and
control of plant breeding and variety release; multiplication, conditioning, marketing,
importing and quality assurance of seeds and other planting materials. The National
Seed Industry Authority established under the Act is responsible for advising
Government on national seeds policy; constantly reviewing the national seeds
supply; and coordinating and monitoring public and private seeds sector in order to
achieve the national seed programme objectives. The NSCS is responsible for the
design, establishment and enforcement of certification standards, methods and
procedures in the seed industry; while the variety release committee reviews and
maintains the national variety list including the approval of new varieties of seeds,
and approves variety release and entry of seeds into the seed multiplication
programme.



The National Forestry and Tree Planting Act, 2003 (the Forestry Act)

Contains provisions that address phytosanitary matters related to forests. Under
section 36 of the Forestry Act the Minister responsible for forestry, the National
Forestry Authority or a District Council are authorized to notify the public through the
mass media of the existence of plant and livestock pests or diseases dangerous to
forests or forest produce and prescribe the measures to be taken to control or
eradicate those pests and diseases. Section 92(2)(g)-(i) empowers the Minister by
statutory instrument to issue regulations that may provide for the notification of plant
and livestock pests and diseases dangerous to forests and forest produce and the
measures to be taken to control or eradicate the notified pests or diseases; and the
introduction of alien and exotic species.

World Bank Operational Policy OP 4.09 on Pest Management

The policy applies to all World Bank financed projects that lead to procurement of
pesticides or entail pest management. The policy promotes Integrated Pest
Management and requires that procurement of pesticides is consistent with WHO
Classification of Pesticides by Hazard.




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4.2 National capacity to develop and implement IPM/ICM (IPPM)

The National Agricultural Research Organization is the legal semi-autonomous body
charged with all aspects of agricultural research including pests. There are Public
Agricultural Research Institutes (PARIs) that handle demand-driven day-to-day
aspects of research. The PARIs are constituted by six National Agricultural Research
Institutes that conduct research of national and strategic importance, and nine Zonal
Agricultural Research and Development Institutes that conduct research on
articulated demands of the constituent agro-ecological zones.           A Director of
Research who leads a Team of Researchers based on commodities under various
disciplines including Entomology, Pathology and Plant breeding provides
administrative oversight in each institute.

This falls under the direct supervision of the Director of Crop Protection of MAAIF.
The most important function of this Directorate is Plant Quarantine, which has a team
of officers including Entomologists and Pathologists who monitor pest and disease
outbreak. The Directorate also coordinates extension work involved with pest control.
The Directorate in collaboration with NARO coordinates control of major outbreaks of
pests like the Locust and Armyworm including Tsetse flies.

4.3         Control of the distribution and use of pesticides

The government has the overall responsibility to regulate the introduction, availability,
distribution and use of pesticides in the country. In MAAIF there is established the
Chemical Control and Registration Board (CCRD) that provides oversight to testing,
registration and/or de-registration of newly introduced and/or old pesticides on the
market. It is a requirement that before anyone can sell or distribute a pesticide, they
must first obtain a registration from MAAIF. Pesticide samples obtained from
distributors are deposited at MAAIF, and through CCRD suitable institutions with
capacity are identified to test the chemicals for effectiveness against target pests and
diseases. The results obtained are analyzed and technical reports are submitted to
the Board for consideration for registration. Other considerations for registration
include whether the performance of the pesticide is in conformity with the label
directions, has no adverse effects to humans, wildlife, aquatic organisms and plants.

The proliferation of pesticide supply and distribution in Uganda is attributed to the
liberalization of input supply markets and government‟s withdrawal from direct
provision.    Most farmers therefore rely on obtaining pesticides via informal,
unlicensed dealers, often, petty traders visiting rural markets or selling informally in
larger towns. There are few registered agro-input dealers who sell genuine products.
Products from non-registered, petty and small-scale dealers are most often of
dubious quality, are frequently re-packaged and re-labeled, while their contents have
been diluted, expired, mixed or changed so that they do not always correspond to the
label. This therefore makes control of pesticide distribution and use very precarious.

5. Implementing the pest management plan (PMP)

The objectives of PMP are to:
      i.        Assist stakeholders to plan and design location-specific IPM activities
      ii.       Promote participatory approaches in IPM for farmers to learn, test, select
                and implement „best-bet‟ IPM options to reduce losses to pests


                                                                                       160
      iii.       Promote biodiversity monitoring to serve as early warning systems on
                 pest status, invasive alien species, beneficial species and migratory pests
      iv.        Establish linkages to develop a national IPM policy to promote IPM
                 compliance with international conventions and guidelines on pesticide use
      v.         Monitor and evaluate the benefits of IPM on food security, the
                 environment and health



5.1          Strengthening national capacities


Strengthening of national capacities to plan, implement, monitor and sustain PMP will
be achieved by establishing functional mechanisms that promote stakeholder
engagements at all levels in identifying, understanding and managing pest and vector
problems that curtail agricultural productivity, and that may cause adverse human
health and environmental concerns.          Identified stakeholders include farmers,
extension agents, scientists and policy makers at local and national levels.
Collaborative linkages between national and international IPM groups will be forged
to bring relevant expertise and supporting IPM resources developed elsewhere to
strengthen national and local capacity to address pest and disease problems faced
by farmers, develop a national IPM policy to encourage national and local
compliance with international conventions and guidelines on pesticides, and to
further develop robust IPM options across crop, forestry and livestock resources.


5.2          Activities of the PMP

The first step to be undertaken will be stocking taking of the available IPM
technologies, including traditional knowledge, stakeholders involved in technology
generation and policies that promote adoption of IPM technologies. Since the
majority of farmers in Uganda are smallholder producers who have poor access to
information, knowledge and technologies, it important their capacities are built on the
application of the different IPM strategies. This will therefore require proper
communication channels through production of user friendly dissemination materials
on IPM, on-farm demonstrations, agricultural shows, farmer-field schools and as
incorporation of IPM methods in the training curriculum in schools. Promotion of
proven IPM methods will through the revitalized extension system, and thus capacity
building of agricultural extension staff, NGOs and/or CBOs through short or refresher
courses will be conducted. The extension agents act as the interface between
research and farmers.

The technologies currently available are for only a small number of pests. It is
suggested that research in developing mitigation measures of some of these
constraints is continued. These will however, require financial support to the
scientists in order to meet research costs. It is therefore important that limiting
factors to agricultural productivity, and farming methods that are harmful to the
environment are identified, prioritized and calls for proposals that are specific to the
identified problems made for scientists to compete.

It is suggested policies that recommend and promote IPM application at grass root
levels are formulated in consultation with the farming communities, consumers,
scientists, NGOs and different line ministries.



                                                                                         161
6. Actors and partners

The principal actors will include a number of NARO institutes directly involved in
implementing the PMP while other agencies (partners) will include national, regional
and international institutions to provide technical and other support for the
implementation of the plan. The actors mainly from NARO, universities, MAAIF,
Ministry of water and Environment, Ministry of Health, National Environment
Management Authority and Uganda National Council of Science and Technology will:
         Prepare and produce field guides and other relevant IPM information
          materials
         Provide policy guidance for implementation of the PMP
         Facilitate extension and farmer training
         Monitor, supervise and coordinate IPM activities
         Document user compliance on pesticide use

The partners will be mainly from regional and international agricultural research
institutions/CGIAR, universities and programmes e.g. IITA, CIP, CIAT, WARDA,
CYMMT, ICRISAT, KUL, QUT, AATF, IPM-CRSP, and they will provide:
     Technical support in pest and natural enemy identification
     Sources of resistant genes for screening
     Expertise in planning, training and field implementation of IPM


7. Institutional arrangements for implementation of the PMP

The current administrative structure of the Ministry comprises a Minister and three
Ministers of State, responsible for the crops, animal industry and fisheries sub-
sectors, respectively. At the managerial level there is the Permanent Secretary who
also is the Accounting Officer of the Ministry. There are two Directorates – Crop
Resources and Animal Resources, an Agricultural Planning Department, a Finance &
Administration Department, a Policy Analysis Unit, a Resource Centre – all directly
reporting to the Permanent Secretary. A Procurement Unit, that directly reports to the
Permanent Secretary has now been established, staffed and is operational.

7.1       Directorate of Crop Resources

The Directorate of Crop Resources has three Departments, namely:
    Crop Production
    Crop Protection
    Farm Development

7.2       Directorate of Animal Resources

The Animal Resources Directorate also comprises three Departments:
    Animal Production and Marketing
    Livestock Health & Entomology
    Fisheries Resources




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      

7.3       Autonomous Bodies

Besides the directorates and departments, there are some semi-autonomous bodies,
which report to the Ministry for policy guidance and have countrywide mandates.
These are:
    National Agricultural Research Organization (NARO)
    Dairy Development Authority (DDA)
    Uganda Coffee Development Authority (UCDA)
    Cotton Development Organization (CDO)
    National Agricultural Advisory Services (NAADS)
    National Animal Genetic Resource Centre and Data Bank (NAGRC&DB)
    Coordinating Office for the Control of Trypanosomiasis in Uganda (COCTU)

The MAAIF directorates and the autonomous bodies have capacity (human and
infrastructural) to promote and support safe, effective, and environmentally sound
pest management within their mandate areas. Additionally the Local Governments
(LGs) at the grassroots level have capacity / units for carrying out IPM functions /
activities. However their capacity (LG) and that of NGOs needs to be strengthened.
The overall mandate for regulating the importation; the private sector involved in the
distribution; and overall use of agro-chemicals is with the Directorate of Crop
Protection of MAAIF.


8. Phasing plan

The success of IPM depends largely on developing and sustaining institutional and
human capacity to facilitate informed decision-making by farmers, and empower
them to integrate scientific and traditional knowledge to solve location-specific
problems, and respond to market opportunities (Table 3). A phased approach will be
used in the implementation of PMP and promotion of IPM programmes. The phase
plan will entail conducting of surveys, consultative meetings and/or workshops to:

         Identify the key pests and diseases of crop, forestry and livestock resources
          in different agro-systems
         Prioritize identified pest and disease problems
         Identify barriers to existing and recommended IPM options
         Develop action plan with specific and extension goals
         Develop policy recommendations on IPM application and sustainability




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9. Sustainability


Strategic alliances/partnerships with international IPM groups e.g. IPM-CRSP, will be
forged and/or strengthened through joint project formulations and/or implementation;
and signing of memoranda of understanding to strengthen national capacities to
integrate new IPM options in crop and livestock production. Scientific information,
adapted into user-friendly format will be provided to strengthen training and extension
delivery, and increase IPM literacy in farming communities. It is proposed that the
capacity of scientists is built in robust pesticide risk analysis, and the use of Windows
Pesticide Screening Tool (WIN-PST) (Table 3). WIN-PST evaluates the potential for
off-site pesticide movement in water, and its relative potential to chronically impact
humans and sensitive fish species.
Farmer-educational activities will be central and will feature increased roles
and responsibilities of committed national and local communities to take
primary responsibilities in the development of action plans and expertise
exchange for IPM development and promotion. Training and certification of
agro-input suppliers, especially pesticide dealers in rural areas and townships
will be implemented.

A national IPM advisory and oversight committee composed of IPM
practitioners in the fields of entomology, pathology, virology, bacteriology,
agronomy, breeding and biotechnology currently available within NARO and
other public/private institution will be required to enable building of synergies,
and timely and well-coordinated interventions in case of pest outbreaks or
disasters arising from ill-managed pest management activities or provide
oversight in promotion of national and local compliance with international
conventions and guidelines on pesticides.

10. Monitoring and evaluation

Declared pests are insects, diseases, mites, rodents, birds and weeds that cause
significant and adverse economic, environmental and social impacts. Therefore pest
management must be based on ecologically and socially responsible practices that
protect the environment and the productive capacity of natural resources. In
developing a comprehensive pest monitoring and evaluation regime it is important to
know pests of economic importance (including native, alien and invasive species),
management practices and the impacts of those practices on the environment.
Regular M&E of pest control activities is necessary to improve pest management
practices (Table 3). The development of M&E regimes involves:

   i.      Identification of M&E team through a participatory stakeholder analysis

   ii.     Development and implementation of a monitoring system for the
           environmental impact of pests, pest management activities and impacts
           on non-target species

   iii.    Monitoring, reviewing and evaluating pest management plan yearly



                                                                                      164
   iv.     Development and monitoring key performance indicators to enable
           auditing of pest management practices

   v.      Monitoring the effectiveness of pest management programmes and
           practices to agreed standards and report annually


Indicators will include major benefits accruing in terms of increase in crop/livestock
production; increase in farm revenue; social benefits: e.g. improvement in the health
status of farmers; level of reduction of pesticide purchase and use.




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11.1.2.1     T ABLE 3 PMP   IMPLEMENTATION ACTION SCHEDULE AND PROPOSED BUDGET

                                                                                                     Funding provided by
Activity                                                                           Funds available         ATAAS
                                         Status               Actors
                                                                                       (US$)
                                                                                                           (US$)

 1. Pesticide regulation and
    screening
     Screening of newly
       introduced pesticides         Ongoing      MAAIF, NARO, Universities    0                     N/A
     Take inventory of pesticides
       on the market
     Documentation of obsolete
       pesticides and                Weak         MAAIF                        0                     N/A
       recommendation for disposal
     Quality assurance

                                     Weak         MAAIF                        0                     N/A




                                     Weak         MAAIF, NARO, Universities,   0                     N/A
                                                  UNBS




                                                                                                                    166
2. Capacity building (Pesticide
             use)
    Training of farmers and
      pesticide applicators            Weak   MAAIF, NAADS, Subject matter   600,000
                                              specialists, NGOs


      Training and certification of
       agro-input dealers

                                              MAAIF, Makerere University,
                                       Low    NARO, UNIDA                    300,000   125,000
      Training of agricultural
       advisory service providers


                                              NAADS, NARO
      Production of reference
       materials in user friendly      Weak                                            250,000
       languages
                                                                             0

                                              NAADS, NARO

                                       None                                  0         15,000*




                                                                                                 167
3. Capacity building (IPM use)
    Farmer training country wide

                                    Ongoing   NARO, NAADS, Universities   150,000

      Training of agricultural
       advisory service providers
                                    Ongoing   NARO, NAADS                 150,000   Included in sec. 2
                                                                                    above
      Training of NGOs



                                    Ongoing   NARO, NAADS                 75,000




                                                                                                         168
4. Promotion of IPM
    Stocking taking of IPM
      activities and inventory of
      IPM practitioners              Weak      NARO, Universities

                                                                                               These activities are
                                                                                               integrated into NARO
      Packaging of dissemination/                                                             strategic research
       information materials
                                                                                               program
                                     Weak      NARO, Universities, NAADS             15,000

      Development of IPM
       curricula


                                               Universities, Tertiary institutions
      Rearing and release of
       biocontrol agents (natural    Weak
       enemies)


                                     Ongoing   NARO                                  45,000
      Breeding for resistance to
       pests (conventional and
       biotechnology)


                                                                                     250,000
      Cultural management
       methods (biorationals,
                                     Ongoing   NARO, Makerere University
       sanitation, physical)



                                                                                     60,000                    169

                                     Ongoing   NARO, Universities, NGOs
5. Risk assessment
    Pest surveillance

                                        Weak   MAAIF, NARO                       N/A

      Pest identification

                                        Weak   NARO, Universities, Natural
                                               Museum UK
      Training of scientists in risk
       assessment tools and
       analysis (e.g. WIN-PST)
                                        Weak
                                               Universities, NARO
                                                                                 1,250,000**
      Pesticide hazard analysis
       and quantification



                                        None
                                               NARO, Universities, Ministry of
                                               Health, Ministry of Water and     N/A
                                               Environment, NEMA




                                                                                               170
 6. Monitoring and Evaluation of
    IPM
     Establish IPM M&E team
                                        None                 NARO, NAADS, Universities,
                                                             Private Sectors, Farmers and
                                                             other relevant stakeholders                                   1,500,000***




                                                             NARO
       Development and
        Implementation of               None                                                                               125,000
        monitoring system of IPM
        activities, monitoring,
        reviewing and evaluating
        pest management plan
        annually, and development
        and monitoring key
        performance indicators of
        PMP




N/A – not applicable for the ATAAS, because it mainly relates to MAAIF activities which will be supported under the future project with MAAIF. *
- in addition to various manuals and booklets produced by NARO and NAADS. ** - This training is included in training of NARO on demand. ***
- IPM, PMP and other related monitoring is included in the NARO and NAADS M&E budgets.




                                                                                                                                              171
  monitoring system of IPM
        activities, monitoring,
        reviewing and evaluating
        pest management plan
        annually, and development
        and monitoring key
        performance indicators of
        PMP




N/A – not applicable for the ATAAS, because it mainly relates to MAAIF activities which will be supported under the future project with MAAIF. *
- in addition to various manuals and booklets produced by NARO and NAADS. ** - This training is included in training of NARO on demand. ***
- IPM, PMP and other related monitoring is included in the NARO and NAADS M&E budgets.




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