PROJECT IDENTIFICATION FORM (PIF)
PROJECT TYPE: FULL SIZE PROJECT
TYPE OF TRUST FUND: GEF TRUST FUND
PART I: PROJECT INFORMATION
Project Title:
Countries:
GEF Agencies:
Other executing partner (s):
GEF focal area (s):
Name of parent program (if
applicable): For SGP +
For SFM/REDD+
For PPP
LAKES EDWARD AND ALBERT INTEGRATED FISHERIES AND WATER
RESOURCES MANAGEMENT PROJECT
GEF Project ID:
Democratic Republic of Congo
Republic of Uganda
AfDB
GEF Agency Project ID
P-Z1-AAF-006
Submission date:
Nile Basin Initiative (NBI)
2014-03-12
International Waters
Project duration (months):
Agencies fees ($):
60
769,500
A. INDICATIVE FOCAL AREAS STRATEGIC FRAMEWORK:
Focal Area Objectives
IW-1: Catalyze multi-state cooperation to balance conflicting water uses in
transboundary surface basins, considering climatic variability and change
Indicator 1.1: Implementation of national/local reforms; functioning of national
inter-ministry committees
Outcome 1.1: Implementation of agreed Strategic Action Programs (SAPs)
incorporates transboundary IWRM principles (including environment and
groundwater) and policy/ legal/institutional reforms into national/local plans
Output 1.1: National and local policy and legal reforms adopted
Output 1.2: Cooperation frameworks agreed with sustainable financing
identified
IW-3: IW Capacity Building: Support foundational capacity building, portfolio
learning and targeted research needs for joint, ecosystem-based management of
transboundary water systems.
Trust
Fund
GEFTF
Indicative
Grant
Amount
($)
4,600,000
GEFTF
3,500,000
9,235,000
8,100,000
26,885,000
Indicative Cofinancing
($)
17,650,000
Outcome 3.1: Political commitment, shared vision and institutional capacity
demonstrated for joint, ecosystem-based management of water bodies and local
ICM principles
Indicators 3.1: Agreed SAPs at ministerial level with considerations for climatic
variability and change; functioning national inter-ministry committees; agreed
ICM plans.
Outcome 3.3: IW portfolio capacity and performance enhanced from active
learning/KM/experience sharing
Output 3.3:Active experience/sharing/ learning practiced in the IW project
portfolio
Total Project Cost
1
B. INDICATIVE PROJECT FRAMEWORK
Project Objective: Sustainable development, management and utilization of the shared water and fisheries resources of the
Lakes Edward and Albert Basin
Project Component
1. Development &
Management of
Sustainable
Fisheries Resources
Grant
Type1
Inv
Expected Outcomes
Expected Outputs
Trust
Fund
1. Ecosystem
conservation produces
sustainable benefits and
LEA fisheries are
increased sustainably
under good bilateral
management, planning
and M&E practices.
1.1 Updated and
harmonized policy, legal
and regulatory
frameworks, and
innovative financing
mechanisms jointly
adopted by DRC and
Uganda
GEFTF
Indicative
Grant
Amount
($)
Indicative Cofinancing ($)
2,250,000
17,000,000
1.2 Bilateral agreement
regarding the protection
of fisheries and
watershed resources is
established and enforced
by DRC and Uganda
1.3 Bilateral Monitoring,
Control and Surveillance
System established and
sustainably funded.
1.4 New technology is
introduced through the
establishment of two fish
sub-stations, a Fish
Management
Information System, biannual catch surveys and
improved fish processing
facilities
1.5 Local communities
adopt responsible fishing
practices and modern
processing techniques.
1.6 Transboundary
learning mechanisms,
1
TA includes capacity building, and research and development.
2
communications and
Knowledge Management
1.7 Improved control of
invasive aquatic weeds
and conservation of
aquatic biodiversity
2. Integrated
Transboundary
Water Resources
and Catchment
Management
Inv
2.1 Countries agree on a
shared water resources
management vision and
implement solutions to
new challenges; these
solutions will be based
on knowledge and
commitments that
address key challenges
related to e.g. oil
exploration and
exploitation, increasing
urbanization, land
degradation and similar
challenges
2.2 Enhanced capacity of
basin stakeholders
to manage natural
resources in a
sustainable manner,
accounting also for
climate change and
variability
2.1 Coordination
capacities of NELSAP and
the participating
agencies in Uganda and
DRC are strengthened
and formalized.
GEFTF
5,250,000
8,250,000
7,500,000
25,250,000
2.2 Existing Integrated
Lake Management Plans
(ILMP) updated and
adopted at ministerial
level by Uganda and DRC
2.3 Establishment of a
financially sustainable
Basin Management
Authority/ Organization
for LEAB, as proposed
under the Integrated
Lake Management Plans
2.4 Water resources and
quality monitoring
strengthened and
enhanced pollution
control achieved at
project closing.
2.5 Community-based
integrated catchment
management plans are
prepared and
implemented for
selected watersheds, and
local capacities on land
and soil conservation are
strengthened.
Subtotal
3
Project Management Cost (PMC)2
600,000
1,635,000
Total Project Cost
8,100,000
26,885,000
C. INDICATIVE CO- FINANCING FOR THE PROJECT BY SOURCES NAD BY NAME IF AVAILABLE ($)
Sources of Co-financing
Grant
Other co-financing sources is under
identifications
Bilateral GEF Agency
Total Co-financing
Name of Co-financier
African Development Bank
Contribution of Uganda, DRC and
the NBI (excluding tax exemptions)
Sweden**
Type of Co-financing
Grant
Cash and in-kind
country contributions
Loan
Amount ($)
16,885,000
4,000,000
6,000,000
26,885,000
* * Existing collaboration with Sida would be enhanced through coordination on such projects as the transboundary trade and
productivity projects.
D. INDICATIVE TRUST FUNDS RESOURCES ($) REQUESTED BY AGENCY, FOCAL AREA AND COUNTRY
GEF
Agency
AfDB
Type of Trust
Fund
GEFTF
Focal
Area
IW
Country
Name/Global
Global
Total Grant Resources
Grant Amount ($)
(a)
8,100,000
Agency Fee ($)
(b)2
769,500
Total ($)
c=a+b
8,869,500
8,100,000
769,500
8,869,500
1 In case of a single focal area, single country, single GEF Agency project, and single trust fund project, no need to provide information
for this table. PMC amount from Table B should be included proportionately to the focal area amount in this table.
2 Indicate fees related to this project.
E. PROJECT PREPARATION GRANT
Please check on the appropriate box for PPG as needed for the project according to the GEF Project Grant:
Amount
Agency Fee
Requested ($) for PPG ($)3
 No PPG required.
___-- 0--________
_ --0--_______
 (upto) $50k for projects up to & including $1 million
___
________ ___
_____
 (upto)$100k for projects up to & including $3 million ___
________ ___
_____
 (upto)$150k for projects up to & including $6 million ___
________ ___
_____
 (upto)$200k for projects up to & including $10 million ___ 200,000____ ___ 19,000_
 (upto)$300k for projects above $10 million
___________
________
PPG AMOUNT REQUESTED BY AGENCY (IES), FOCAL AREA(S) AND COUNTRY (IES) FOR MFA AND/OR
MTF PROJECT ONLY
Trust Fund
GEF Agency
Global
GEFTF
AfDB
IW
Total PPG Amount
MFA: Multi-focal area projects; MTF: Multi-Trust Fund projects.
2
3
(in $)
Country Name/
Focal Area
PPG (a)
200,000
200,000
Agency
Fee (b)
19,000
19,000
Total
c=a+b
219,000
219,000
To be calculated as percent of subtotal.
PPG fee percentage follows the percentage of the GEF Project Grant amount requested.
4
PART II: PROJECT JUSTIFICATION
A. PROJECT OVERVIEW
A.1. Project Description:
1) The global environmental problems, root causes and barriers that need to be addressed;
Context of the Lake Edward and Lake Albert Basin (LEAB)
The Lake Edward and Lake Albert Basin
(LEAB) area in DRC and Uganda is
endowed with rich surface water
fisheries resources that are important for
economic
growth
and
social
development in the region. There are
around 12 million people in the Lake
Edward and Albert Basin, of whom 73%
(8.7 million people) are dependent on
fisheries for their livelihoods. Fisheries
activities in both Lake Edward and Lake
Albert, mostly traditional and artisanal,
are of particular significance, in terms of
food availability (being the cheapest
form of animal protein in both
countries),
employment
creation
(fishing, fish processing, marketing, boat
building and other ancillary activities)
and poverty reduction (as an easy entry
sector, safety net in times of crisis). The
fisheries sub-sector contributes between
1.5 and 2.5% to the GDP of the
respective economies. Over 50% of those
involved in fisheries are women who are
engaged mostly in fish processing and
marketing. Most fishing is traditional and
artisanal.
The catchment of the Edward-George,
Semliki and Albert System covers an area
of 47,500 km2 and is shared between
two countries in Central Africa (DRC and
Uganda). Lake Edward and Albert are
internationally recognized water bodies.
Lake Edward is the smallest of the Great
Lakes of Africa. It has a mean lake level
of 920 meters (m) and the Lake is 90 km
long and 40 km wide. Its average depth
is estimated at 34 m near the Ugandan
shoreline with a maximum depth of 120 m towards the Congolese side. Its catchment area is estimated at 12,000km2. The
main streams discharging their waters into lake Edward are: Nyamugasani flowing down the Rwenzori Range northeast of
the lake, the Birara and Ishasha flowing from the east in a northerly direction towards the lake, a system of streams pouring
into Rutshuru river running down the Mufumbira Mountains towards the lake in a southerly direction, and the river Rwindi
reaching the lake at its southwest corner.
5
The Semliki River carries the outflow from Lake Edward in addition to the runoff from its own catchment to Lake Albert.
Lake George, to the northeast empties into Lake Edward through the Kazinga Channel. The catchment area of Semliki River
is 8,000km2, bringing the total area of the George-Edward-Semliki system to 30,500km2. The Semliki River flows, after
leaving Lake Edward, a distance of 250 km down the rift valley to the west of the Rwenzori Mountain. The drop of water
level between the two ends of the river caused by the rapids in the upper part of its course is 295m.
Lake Albert is situated in the center of the central African plateau on the border between Uganda and the DR Congo, and is
the northernmost of the chain of lakes in the Great Rift Valley. It is divided along its major axis between Uganda and DR
Congo located between 01000 and 02022N latitudes and 30016 and 31023 E longitudes. It lies at an altitude of 620 m above
sea level. It is 160 km long and 35 km wide. The surface area of the lake at elevation 620 m a.m.s.l is estimated at 5,300
km2. It is relatively shallow with an average depth of 25 m and a maximum of 58 m towards the Congolese border. The
drainage basin of the lake is estimated at 17,000 km2. The inflow to the lake consists of the supply brought by the Semliki
(from Lake Edward) and the runoff from the lake catchment (Waki, Muzizi, Nkuzi, Wambabya, Chambura and others) as
well as the Kyoga Nile. Its outlet, at the northernmost tip of the lake, is the Albert Nile which becomes known as the Bahr el
Jebel in South Sudan and then as the White Nile when it enters Sudan. At the southern end of the lake there are swamps.
Further south (30 km) loom the mighty Ruwenzori Range, while a range of hills called the ‘Blue Mountains’ tower over the
north-western shore. It is therefore an important part of the ecosystem in the region and important for local climate
regulation. The water of the lake is saline4, which is attributed to the fact that the lake evaporation is far more than the
direct precipitation on the lake in addition to the particular morphometric properties of the lake. The climate in the Lake
Albert area is much warmer and drier relative to the climate in the Lake Edward area. Lake Albert outflow is not regulated.
The control section at the lake outlet – which is situated in a swampy area – is subject to frequent changes, even more so
during the wet years 1961-1963.
In terms of biodiversity, the Lakes Edward and Albert Basin area is a home to a highly diversified fauna with an estimated 24
fish species. The lakes have more than 60 endemic cichlid species. McClanahan and Young (1996) reported that while some
species in Lakes Edward and George are also found in Lake Albert (for example Bagrus docmac, and Oreochromis niloticus),
other species (eg Polypterus senegalus and Hydrocynus spp) and families (Mastacemebelidae, Characidae, Schilbeidae) are
absent. The differences in faunal species are attributed to dynamic historical geological activity in the Great Lakes Region
There are national parks, wildlife reserves, forests and forest reserves in the LEA Basin, and these make up some 20% of the
land use in the Albertine Graben. The Albertine Rift harbours a great diversity and a great number of mammals, birds,
snakes and amphibians, many of which are endemic. Indeed the Ruwenzori Mountains are said to contain the highest
species richness of mammals on the African continent; they host 241 species of birds of which 19 are endemic, but are most
noted for their spectacular array of plants including bamboo, Mimulopsis spp, Erica spp, Lobelia spp, Senecio spp and Carex
spp (www.uwa.org). The Uganda Wildlife Authority also reports that the Queen Elizabeth National Park has 95 mammal
species (it is famous for its hippo population), 612 species of birds and 57 types of vegetation (Source: Nile Equatorial Lakes
Multi-sector situational analysis/ strategic social and environmental assessment)
Despite its socio-economic potential and rich natural heritage, the region is under threat from unsustainable natural
resource exploitation practices with undesirable consequences. The Diagnostic Analysis carried out by the LEAF project
identified the key problems and issues in the catchments of the two lakes, which affect the sustainable exploitation and
management of their fishery and water resources. These were mainly related to poverty; inadequacies in policy, laws and
institutions; declining biodiversity and over-fishing; degradation of river banks and lake shores; water quality deterioration,
water level fluctuations and climatic changes; land degradation, deforestation, poor mining and quarrying; civil wars,
population displacement and conflicts in resource use; poor public/ stakeholder participation; poor information generation,
dissemination and poor management practices. Integrated Lake Management Plans (ILMP), prepared in 2008, propose
multiple interventions to address these observed constraints. These ILMPs will be updated under the proposed project. The
NEL Multi-sector Situational Analysis & Strategic Social and Environmental Assessment (2012) together with the updated
ILMPs will be adopted as the TDA/SAP documents for the Lakes Edward and Albert Basin.
Barriers
Barrier # 1: Degradation of the fisheries sector: The important fisheries sector is constrained by various factors, including i)
poor management and degradation of the resource (a.o. due to over-fishing, use of inappropriate vessels, pollution, spread
4
Conductivity at 20 0C of 711µmohs cm-1 with a sodium content of 89.2 mg l-1.
6
of water hyacinth which modifies water quality and thus fish diversity, misalignment of legal and regulatory management
framework, inadequate numbers of qualified personnel, and lack of up to date information); ii) inadequate infrastructure,
iii) limited opportunities for alternative sources of income, iv) low levels of education and literacy among fisher folk
communities, which hinders their capacity to understand issues relating to fisheries management, environment
management, fish quality and fish business management, v) difficulties in marketing due to remoteness of principal fishing
areas, and vi) post-harvest losses. In the last decennia, there has been a steady decline in the Catch per Unit of Effort
indicator, suggesting that the stocks of different fish species are probably over-exploited.
Barrier # 2: Environmental problems as impediments to development: The major environmental challenges faced by the
lakes are related to indiscriminate pollution of the water and the degradation of the natural forest in the catchment area
utilised for the smoking of fish products. A degraded watershed (incl. forests) causes reduced agricultural productivity,
greater erosion and subsequently higher levels of poverty, which in turn results in more pressure on the natural resources
of the watersheds as well as the fisheries resources in the lakes, thereby resulting in conflicts on the use of natural
resources. Poverty, weak technical supervision and means, and unsustainable practices of exploitation and management of
natural resources are still perpetuating, including: poor agricultural practices, overgrazing, bush fires, clearing for firewood
or construction, misuse of pesticides, etc. These practices are the main cause of land, water and ecosystem degradation. In
DRC, the project landscape is characterized by: (i) high population growth of internally displaced persons leading to
increased need for food production and social services such as schools, potable water and sanitation, and health facilities;
and (ii) high levels of poverty which has led to hunger being a cause of mortality in some parts of the Lakes region. In
Uganda, a high population growth rate, environmental degradation, poor rural infrastructure and low capacity of local
government and civil society in areas of planning and implementation of programs hamper development. As stated above,
the Lake Region has been under threat for many decades from unsustainable natural resource exploitation practices with
alarming consequences. The situation is complicated by the region's vulnerability to climate variability, which has
exacerbated these degradation phenomena due to a decrease in rainfall. Thus, halting and reversing land degradation is a
critical step towards improving the livelihoods of the population in the basin. With exception of some localized efforts in
watershed management and initiatives against encroachment of wetlands and deforestation, there is little evidence of
sustainable integrated catchment management practices. Implementation of a livelihood-based watershed management
approach is thus a major priority in order to address environmental degradation and poverty. Although the countries aspire
to achieve the Millennium Development Goals and other similar initiatives, they recognize the urgent importance to
combine efforts to reduce or control these transboundary risks, and revise their resource exploitation practices within their
borders.
Barrier # 3: Lack of integrated transboundary resource management: Though possibly in need of updating after 6 years,
the ILMPs (2008) developed under LEAF will form the framework for transboundary natural resources management for the
Lakes region. At national levels numerous factors constrain progress, including centralized water resources management
(WRM) systems and a multiplicity of actors, inadequate numbers of qualified personnel; outdated environmental
legislation, policy and regulatory frameworks; unavailability of basic environmental management information; low public
awareness on environmental issues; and limited consultation with local communities, civil society organizations, private
sector and the public. Given their transboundary nature with cross-cutting interests and impacts, there is a critical need to
ensure availability of adequate water in terms of quantity and quality for all the proposed interventions to be achieved. This
calls for an Integrated Water Resources Management approach in the basin to ensure that water and other resources are
equally shared and wisely used for the well-being of all peoples in the basin.
Barrier # 4: Volatile security situation in East DRC due to civil war
The Lakes Edward and Albert basin lies within the North Kivu, Oriental and Ituri provinces of Eastern DRC. The presence of
armed groups and political instability in that sub region during the last 10 to 15 years has made management and
regulation of fisheries and related water resources difficult. Since 1998, hundreds of thousands have died in Eastern DRC
alone through cycles of conflict, bringing substantial suffering. The latest cycle of conflict has led to the displacement of
tens of thousands of people from their homes in areas of ongoing rebel conflict. Additionally, the conflict has disrupted
agricultural production and trade and in the process increased the vulnerability of the population to hunger, malnutrition
and poverty. Issues related to the status and return of refugees in particular remain a source of tension within the region,
while displacement overall continues to negatively affect the stability and prospects for economic development, which calls
for addressing the regional dimensions of poverty and forced displacement. The underlying factors are multi-dimensional
and are determined by a complex combination of political, security, social and economic factors at the national level (DRC),
7
and at regional level. Mitigating this impact requires supporting the productive capacities and coping mechanisms of the
displaced, to allow them to contribute to local economies while ensuring solutions for durable social and economic
reintegration in the context of returns when this is possible.
Barrier # 5: Oil extraction: Substantial oil deposits have been discovered near the eastern shore of Lake Albert and are now
being developed. In the Albertine Graben, petroleum reserves for Uganda are estimated (2009) at 2 billion barrels of oil
equivalent and the expectation is that production in the national blocks should achieve 150,000 barrels per day by 2020.
The DRC blocks have been awarded for exploration, but some arrangements are under legal dispute and there is as yet no
indication of the likely production levels. Development of oil reserves beneath Lake Albert will require new infrastructure
such as additional wells to draw on subsurface oil and construction of a transmission pipeline. Massive construction could
alter waterways and drainage patterns, which could lead to flooding during the rainy seasons, pollution of water sources
through waste run-off (including oil leaks and spills) and the spread of diseases which can destroy agrarian and fishing
livelihoods and infringe the right to adequate living conditions. Although a bilateral framework on mining and exploration
exists5 between DRC and Uganda, it needs to be strengthened to take into consideration the management of natural
resources (including fisheries and watershed resources) across sectors at trans-boundary level. A 1990 Agreement pledges
cooperation in petroleum exploration in the Lake Albert region and negotiation of any discovered oil reserves, relying on
continued cooperation as opposed to a strict delimitation of the shared border. A 2007 Agreement largely reiterates the
commitments in the 1990 Agreement, and both countries pledge to create a joint committee to resurvey the common
border, establish a joint security force on Rukwanzi Island, and cooperate in the exploration and exploitation of shared oil
reserves. Regarding mining, the two countries signed, in 2008, a protocol for economic and technical cooperation in
geology, mines and metallurgy.
Barrier #6: Limited knowledge: Water resources of Transboundary river basins in this part of Africa are generally
insufficiently known and increasingly threatened by rising demand for water, adverse effects of hydrological variability /
climate change and degradation of water quality due to pollution from various sources. The lack of reliable information on
past and present hydro-meteorological conditions and future climate changes makes it very difficult for governments and
water managers to assess suitable adaptation options and to develop guidelines and standards for planning and water
management purposes.
Barrier #7: Low Institutional capacity: There are many legal instruments for water and environment management, but
these are still poorly enforced at national level. Moreover, the institutional framework is facing serious problems of limited
technical capacity, lacking essential tools for ecological and socio-economic monitoring, to support decision making in basin
management. Finally, civil society remains weakly involved in the management of the basin and community initiatives.
Barrier # 8: Climate change impacts: Recent assessments by the NELSAP (2012) indicate that Climate Change will increase
the vulnerability of ecosystems of the Nile Equatorial lakes region, due to temperature increases, changes in precipitation
patterns, frequent severe weather events, and prolonged droughts. These factors, in turn, will further diminish the ability of
natural systems to filter water and create buffers to flooding. Higher water temperatures and changes in extremes,
including floods and droughts are projected to affect water quality and exacerbate water pollution – from sediments,
nutrients, dissolved organic carbon, pathogens, pesticides and salt as well as thermal pollution. Increase in extreme
precipitation and flooding will increase erosion rates and wash soil based pollutants into the two lakes and their respective
waterways more so from the oil exploration. Increase in water temperatures will lead to more algal and bacterial blooms
that contaminate water supplies, thus contributing to environmental health risks and impact on lake productivity and
distribution of fish. Changes in water quality will contribute to changes in ecosystem composition, function and services,
altering the resiliency of ecosystems.
2) The baseline scenario and any associated baseline projects:
The proposed GEF/ADB Project builds on the achievements of the ADB financed and NBI (Nile Basin Initiative Secretariat)
implemented Transboundary Lake Edward and Albert Fisheries (LEAF) Pilot Project. The LEAF pilot project aimed specifically
at enabling the DRC and Uganda to: (i) strengthen collaboration for rational and sustainable development and management
of the shared water bodies by adopting joint fisheries and watershed management measures; (ii) foster bilateral
cooperation and peace between riparian communities as well as at national level through consultation meetings; (iii) adopt
joint fishing regulations for harmonizing fishing activities, in order to minimize conflicts regarding the lakes; (iv) contribute
5
A policy for oil and gas exploration exists, in Uganda (2008), while none exists in DRC.
8
to conservation of biological diversity in the two lakes; and (v) reduce loss of life through the establishment of safety
regulations and standards. The pilot project achieved its main envisaged outputs, namely: i) development of Integrated
Lake Management Plans; ii) fisheries co-management; iii) integrated capacity building and stakeholders’ participation; and
iv) identification of investment opportunities. Outcomes of the pilot phase include:
Creation of a platform for sustainable use of natural resources: Fisheries and water resources diagnostic and feasibility
studies were undertaken, resulting in Integrated Lakes Management Plans. Strengths, weaknesses, opportunities and
threats to future investments in the Lake Edward and Lake Albert Basins were identified. Key weaknesses and threats
included inter alia: i) un-harmonized policy and regulatory frameworks; ii) inadequate knowledge on the status of fish
stocks making it difficult to establish sustainable levels of fishing; iii) loss of biodiversity; iv) inadequate facilities for seed
multiplications and artificial propagation for stock enhancement; improper and un-gazetted breeding/nursery grounds; v)
undeveloped exploitation of ‘mukene’ and ‘ragogi’ fishery, vi) pollution of the Lake’s waters, deteriorating wetlands, etc.
Strengths and opportunities included inter alia: i) availability of a rich base of natural resources in the Lake Basins (fish,
land, water, wetlands, forests, wildlife, minerals and hydro power; ii) largely untapped potential markets in East Africa, in
the Eastern DRC and in the Southern Sudan; and iii) positive support from development partners. Integrated Lake
Management Plans (ILMP) were prepared for the Lake Edward and Lake Albert areas, comprising investment plans and
integrated capacity development programs for sustainable fisheries and water resources management. It focuses on
improved ecological balance and greater biodiversity in the lakes system, as well as basin enhancement.
Promotion of the co-management of Fisheries Resources: This result area promoted co-management systems as part of
measures to improve the governance of the fisheries in the two lakes for a more sustained use of the resources. It also
ensured that co-management of the fisheries was strengthened and understood. Measures included: review of modalities
for beach management units; development of local management regulations; training /capacity building; and establishment
of co-management structures. Recommendations included: (i) placing communities at the center of fisheries and ecosystem
management; (ii) establishment of protected fishing zones, as a tool for rehabilitation of depleted fisheries and protection
of the ecosystems upon which they depend; (iii) expansion of community-based co-management to new pilot sites; and (iv)
strengthening the capacities of the lake-wide fishing communities to co-manage shared resources and infrastructure. Comanagement systems require significant applied research, extension, education, and awareness-building for all fisheries
stakeholders as a means of building trust and empowering stakeholders to participate in the shared governance of fisheries.
Addressing the challenges of the fisheries through the implementation of co-management systems represents new options,
and requires institutional transformation for focused support to fishers and fishing communities. In terms of replicability,
this project is thus expected to promote co-management to communities all around the two lakes.
Promotion of Community Development Activities for fishing communities: This result area promoted pilot community
development activities. The scope included: (i) sensitizing fishing communities; (ii) implementation of community based
pilot micro projects (through micro-grants to local governments); and (iii) formulation of priority investment community
development activities, which could be scaled up through the Integrated Lakes Management and Investment Plan. In
implementation of this result area, Civil Society Organizations in Uganda and DR Congo were used to identify the most
pressing development concerns and offered unique and valuable insights on the strategies used.
The Nile Basin Initiative (NBI), Uganda and DRC subsequently set up a Regional Working Committee (RWC), which identified
priority areas for further development. The RWC developed possible interventions and investment profiles in the areas of:
a) Institutional Support for Lakes Edwards and Albert; b) Sustainable Management of Fisheries Resources and c) Integrated
Water Resources Management. These have provided the necessary background information and rational for the
preparation of the proposed transboundary project to be primarily financed by GEF and AfDB. Uganda and DRC have agreed
that it is necessary to have policy harmonization in the management and utilisation of the jointly owned Lake resources for
the benefit of the two countries.
Over-arching Nile Basin development framework: The Nile Council of Ministers of Water Resources (Nile-COM) established
the Nile Basin Initiative (NBI) in 1999, as a transitional mechanism that contributes towards addressing regional
development issues, through a basin-wide framework for reducing poverty and promoting growth. The Shared Vision (SV)
is: “to achieve sustainable socio-economic development through equitable utilization of, and benefit from, the common
Nile Basin water resources”. The Shared Vision Program (SVP), which aimed at building trust and capacity, and creating an
9
enabling environment for regional development closed in 2012. Result areas of the ongoing Subsidiary Action Program
(SAP) result areas include: (i) development of the water resources of the Nile Basin in a sustainable and equitable way to
ensure prosperity, security and peace for all its peoples, (ii) ensuring efficient water management and the optimal use of
the resources, (iii) ensuring cooperation and joint action between the riparian countries, seeking win-win gains, (iv)
targeting poverty eradication and promoting economic integration, and (vi) ensuring that programs move from planning to
action. The Nile Equatorial Lakes Subsidiary Action Program (NELSAP) promotes trans-boundary investments at sub-basin
level in the NEL region (Burundi, DRC, Kenya, Rwanda, Tanzania, Uganda and South Sudan).
NELSAP’s objective is to promote investments related to the shared water course of the Nile, in order to reduce poverty,
promote growth and reverse environmental degradation (Policy Guidelines 6), following the principles of subsidiarity. This
includes the fact that investments are to be planned at the lowest appropriate level. Given the hydrological conditions of
the Nile Basin, action on the ground is planned and implemented at sub-basin levels. Subsidiarity as in the case of the Lakes
Edward and Albert fisheries and water resources project ensures economy and efficiency in decision making and execution
of the planning, design, implementation and operation of projects. In line with the principle of subsidiarity, the NELSAP
mandate is to facilitate Member States in preparation, structuring, transaction advisory support, finance mobilization, and
implementation of cooperative/ consultative 7 investment projects. The proposed project conforms to the NELSAP Strategic
plan 2012-2016 (approved by NELCOM in 2012), which focuses on improving efficiency through institutional and financial
sustainability and improving country/regional impacts through infrastructure development (river basin management,
agriculture including irrigation, fisheries and trade) and power development and trade). NELSAP is well established and
mandated to undertake and enhance the coordination of investment activities in the Lakes Region.
Other initiatives that will contribute to the proposed project include:
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Breeding areas conservation in the Southern part of Lake Albert/Uganda: The FGEF (French Global Environment Fund)
supports a project for the conservation of breeding areas in the southern part of the lake (started August 2011). The
objective is the conservation of the lake’s biodiversity through the protection of habitats and in particular of breeding
areas.
Lake Albert Water management Zone: Uganda has decentralised water management. The zone includes catchments
discharging into Lake Edward and Lake George, and catchments downstream of Lake Edward discharging into Lake
Albert. This framework is important in as far as it concerns the implementation of programs on the Uganda side.
Farm Income enhancement and Forest Conservation, Uganda
The Ministry of Agriculture, Uganda is involved in projects to develop markets and trade in the area.
AfDB supports a Water Supply and Sanitation Project with selected municipalities.
Rural electrification development programs involving the Ministries of Energy in each country are underway as well
through development of small hydropower stations.
NELSAP is also responsible for project preparation of transmission interconnections for power trade including
upgrading the Nkenda power substation in Uganda with an interconnection planned to DRC (Beni and Butembo), as
well as identification of an irrigation and watershed management program in the Lakes Edward and Albert Basin.
UNDP supports capacity building of national stakeholders in the use of IWRM tools and climate change. UNDP country
offices support government and communities on the implementation of ecosystem restoration actions, setting up
funding mobilization mechanisms, poverty reduction actions and promoting the participation of the stakeholders.
Other on-going UNDP initiatives include the strengthening of national capacities on climate change risks and
vulnerability management.
3) The proposed alternative scenario, with a brief description of expected outcomes and components of the project
The design of the proposed GEF and AfDB funded project will take full account of the Diagnostic and SWOT analyses
performed under the LEAF pilot project, and of the Integrated Lake Management Plans developed under LEAF. GEF
6
NELSAP Policy Guidelines, as adopted and amended by NEL-COM, on 14 February 2002 at Cairo, Egypt
Within the NELSAP framework a Nile project could include any project undertaken: (i) cooperatively (i.e. by 2 or more countries) as an
inter-country project like the LEAF project; (ii) cooperatively as an in-country project (i.e. with multi-country investment taking place
within one country); or (iii) consultatively (i.e. significant Nile project by an individual country, in consultation with other NELSAP
countries), as an in-country project.
7
10
International Waters funding is requested to complement the AfDB funding. In component 1 the focus is on financing of the
development and implementation of sustainable fisheries management, while in component 2 the focus is on water and
environmental management, specifically improved integrated catchment management (water resources monitoring,
catchment planning) and water quality management. A comprehensive approach to sustainable fisheries management is
crucial in the face of an increase in the number of potential pollution sources and associated pressures – social, industrial,
etc - from the development of the oil fields East of Lake Albert. The project will support stakeholder participation and
commitment in the preparation of Water Resources Management and integrated catchment management plans to ensure
that ongoing and future developments in the watershed such as oil and natural gas mining are sustainably managed.
COMPONENT 1: Development & Management of Sustainable Fisheries Resources
This component will address the basic problems identified under the LEAF project in the management of the two lakes.
These problems include among others,: a) un-harmonized policy and regulatory frameworks; b) inadequate knowledge on
the status of fish stocks, making it difficult to establish sustainable levels of fishing; c) loss of biodiversity; d) inadequate
facilities for seed multiplications and artificial propagation for re-stocking and stock enhancement; improper and ungazetted breeding/nursery grounds; e) undeveloped exploitation of ‘mukene’ and ‘ragogi’ fishery, etc. The result areas
under the project are equally important for women and men. Women not only play an important role in fish marketing, but
also in fisheries management through their participation in co-management structures. Thus gender-related interventions
related to resource use by women, men and children will be a particular emphasis under the project. Outcomes are:
Outcome 1: Ecosystem conservation produces sustainable benefits and LEA fisheries are increased sustainably under good
bilateral management, planning and M&E practices.
Output 1.1: Updated and harmonized policy, legal and regulatory frameworks, and innovative financing mechanisms jointly
adopted by DRC and Uganda
The Project will assist the countries in establishing and enforcing harmonized policy, legal and regulatory frameworks for
fisheries development and lake management, as well as explore financing mechanisms for future investments in the Basin,
keeping in view the transboundary nature and issues of the Lake Basin. Transparent processes and systematic approaches
for planning and decision making involving all relevant sectors can help to ensure the integration of ecosystem conservation
and wise use into energy policies and plans, and can facilitate the participation of policy makers, water and biodiversity
(especially fisheries) managers, and other stakeholders in these processes.
Output 1.2: Bilateral agreement regarding the protection of fisheries and watershed resources is established and enforced
by DRC and Uganda
Oil exploration and extraction and its associated infrastructures can pose major threats to water resources and fisheries.
Ecosystem goods and services generated by the project could be lost if the adverse impacts of this activity are not properly
mitigated. While modern energy services contribute to poverty eradication, saves lives, improves health and helps provide
for basic human needs, livelihoods could also be lost, resulting in increased poverty and social conflicts. The impacts of oil
exploration and extraction are primarily expressed through (but not limited to) the following aspects:
 changes in water, soil and air quality due to chemical, thermal, radioactive and organic pollutants resulting from oil
extraction activities;
 direct impacts on lake habitats arising from the conversion of wetlands for construction and operation of energy
generation facilities and from infrastructure and disruption in sediment flow and ecosystem connectivity caused by
energy-related activities or infrastructure;
 direct impacts on biodiversity, especially fish species;
 indirect impacts of habitat fragmentation and connectivity between hydrographic basins, their wetlands and primary
forest zones with a high biodiversity component.
The project will facilitate actions that assist DRC and Uganda in identifying the capacity, expertise and technical information
which are needed, particularly in relevant public sector and local government institutions, to address the specific issues and
potential impacts of oil extraction on water-related ecosystems. The project will promote that the DRC and Uganda adopt
ecological impact criteria for energy generation consistently, as part of Environmental Impact Assessment (EIA) and
Strategic Impact Assessment (SEA) processes or water resources planning processes. This will guide energy development
planning in a manner that impacts on the ecological character, functions and biodiversity of the concerned lake ecosystems
will be minimized.
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Output 1.3: Bilateral Monitoring, Control and Surveillance System established and sustainably funded.
The project will invest in a Regional Monitoring, Control and Surveillance System (RMCS). A RMCS action plan will be
developed and well equipped patrol boats (2 N°) will be procured for monitoring and surveillance of the Lakes Edward and
Albert, including provisions for boat communication equipment and boat operation. The project will endeavor to establish a
sustainable (regional) fund for the operation of MSC. Monitoring will involve the joint collection, measurement and analysis
of fishing activity (catch, species composition, fishing effort, by catch, discards, area of operations), which information will
be used by fisheries managers to arrive at management decisions for developing and implementing management measures.
Control on the other hand will involve: specification of the terms under which fisheries resources can be harvested. The
specifications will be jointly agreed by Uganda and DRC, building on national fisheries legislation. This will provide a basis on
which fisheries management arrangements are implemented. Surveillance will involve the joint regulation and supervision
of fishing activity to ensure that national legislation and terms, conditions of access and management measures are
observed. This is to ensure that fisheries resources are not over-exploited and management arrangements are
implemented. The real indicator for MCS will be the level of compliance, which is governed by factors, e.g. the number of
fishers; the number of vessels; effort and area coverage of patrols; results of patrols, increase in voluntary compliance, etc.
Output 1.4: New technology is introduced through the establishment of two fish sub-stations, a Fish Management
Information System, bi-annual catch surveys and improved fish processing facilities
The project will support the construction of two fisheries sub-stations (one in each country) for the assessment and
research of fish stocks, fish biodiversity resources, aquatic and environmental quality, fish gear and post-harvesting
technology. The project will finance a Fisheries Management Information Systems through the procurement of necessary
ICT equipment and software for the development of an integrated fisheries database for the two neighboring countries. In
addition, the project will conduct bi-annually Fish Frame Surveys and Catch Assessment Surveys in order to obtain
systematically data on the fish stock for proper planning. Adaptive research regarding adequate technology for the efficient
harvesting /utilization of the ‘ragori and mukene’ fish species will be conducted, as well as research to determine a
sustainable level of fish catches. Finally, this sub-component will invest in the improvement of fish handling facilities at the
community level.
Output 1.5: Local communities adopt responsible fishing practices and modern processing techniques.
The project will fund training, information dissemination and sensitization programs in sustainable fishing practices and
modern fish processing techniques for local beneficiaries/communities. These will focus on responsible fishing practices and
water utilization methods (gradual abandoning of harmful fishing equipment and practices), improved fish processing and
preservation techniques by introducing modern fish drying techniques and smoking methods. The training of staff of the
relevant ministries in the two countries and of fisher-folks (particularly women) in the benefiting communities - especially
on fish handling, processing and conservation of products, health standards, and the reduction of post-catch losses - will be
well promoted.
Output 1.6: Transboundary learning mechanisms, communications and Knowledge Management.
Transboundary learning mechanisms, KM, communication and awareness building activities will be established at
community and inter-states levels. Experiences will be shared through establishing websites, bi-annual GEF conferences,
regional meetings, IW:LEARN, technical papers, video, technical forums, WWF, AMCOW and other relevant forums. A
significant budget (to be determined during project design) will be allocated to KM, drawing of lessons and
outreach/awareness campaign efforts to underpin sustainable lake management. At least 1% of the GEF grant will be
dedicated to IW: Learn related activities. To address multiple level challenges associated with sporadic violence within the
basin, the project will support activities for conflict prevention and resolution, such as training, consultative forums, joint
and shared responsibilities, promotion of users associations, etc.
Output 1.7: Improved control of invasive aquatic weeds and conservation of aquatic biodiversity
The project will invest in the effective control of invasive aquatic weeds and the conservation of aquatic biodiversity. The
most characteristic invasive aquatic species in the basin is the water hyacinth (Eichornia crassipes). The invasion of the lakes
by the proliferation of aquatic plants disrupts the ecological balance, restricts certain economic activities, and creates
conditions favourable to the development of disease-carrying aquatic organisms. Investments will be made in mechanical
weed harvesters at Wanseko as well as in manual tools for the removal of weeds by the benefitting communities.
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COMPONENT 2: Integrated Transboundary Water Resources and Catchment Management
The water resources in the LEA Basin are recognized as transboundary water resources with cross-cutting interests
spanning from economic sectors, legal jurisdictions, or political interests, to individual irrigators and environmental
advocates, urban versus rural uses, and the nations that share these international waters. Therefore, managing the LEAB
water resources in an integrated approach is important in order to meet these diverse values and needs of peoples at local,
national, regional, and international scales.
Outcome 2.1: Countries agree on a shared water resources management vision and implement solutions to new challenges;
these solutions will based on knowledge and commitments that address key challenges related to e.g. oil exploration and
exploitation, increasing urbanization, land degradation and similar challenges.
Outcome 2.2: Enhanced capacity of basin stakeholders to manage natural resources in a sustainable manner, accounting
also for climate change and variability.
Output 2.1: Coordination capacities of NELSAP and the participating agencies in Uganda and DRC are strengthened and
formalized.
The project will be coordinated at the regional level by the NELSAP (investment and implementation arm of the NBI
Secretariat) and implemented at a national level by the relevant country agencies. The NELSAP role will include but not be
limited to: (i) producing analytical work to identify problems that would benefit from a regional approach and facilitating
cross-country dialogue; (ii) assessing with countries the costs and benefits of their participation in proposed interventions
and facilitating agreement on how costs are to be shared; (iii) providing TA, know-how, and expertise; (iv) gathering data,
sharing information on good practices; (v) coordinating country-level operational activities and harmonizing policies and
procedures; and (vi) monitoring and reporting on progress of interventions for agreed interventions. National level activities
will be implemented by existing national institutions and mechanisms – with technical support to complement existing
national capacities to be provided by the Project resources. In line with the guidelines for establishing subsidiary entities
under the NBI, the NELSAP financial sustainability framework, and the substantial economic interest generated by the
planned project outcomes, Uganda and DRC will assume responsibility for continued activities, including collective
responsibility for any continuation of regional level activities after the project ends 8. Relevant strategies will be put in place
to this effect. NELSAP will also facilitate the establishment of a regional Lakes Management Authority (output 2.2 below).
Output 2.2: Existing Integrated lake Management Plans (ILMP) updated and adopted at ministerial level by Uganda and DRC
The existing ILMPs for Lake Edward and Lake Albert will be updated in order to address issues of climate variability and
change (based on recent NELSAP report and the latest GCM climate projections for the region) and recent developments in
the Lake Basins (such as the recent oil discoveries and exploration licenses). This update of ILMPs would be considered as
the equivalent to the standard TDA and SAP. The updated ILMPs will prioritize actions in view of more recent developments
and will be adopted at ministerial level in DRC and Uganda. The updating of the ILMPs will involve a range of stakeholders,
inter alia government agencies, academia (national and international), CSOs, NGOs, the private sector, etc
Output 2.3: Establishment of a financially sustainable LEA Basin Management Authority
In order to catalyze bi-lateral cooperation between Uganda and DRC and balance conflicting water and fisheries resources
in a transboundary context, this result area will promote the establishment of a Lakes Management Authority, following the
principles of subsidiarity and building onto existing national fisheries and water governance institutions within the Lakes
basin. The authority would ensure the optimum management and utilization of the fisheries and water resources of the
Lakes basin. A sustainable sub-basin organization framework would be promoted for the LEA sub-basin organization,
following the principles of the Nile Cooperative Framework Agreement.
Output 2.4: Water resources and quality monitoring strengthened and enhanced pollution control achieved at project
closing.
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In Uganda, the project area is located within the Lake Albert Water management Zone, a new decentralized entity for advancing integrated
water management (including addressing transboundary issues). Mainstreaming project outcomes to such entities will ensure sustainability of
the project outcomes
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This component will support partner states and riparian communities’ efforts to reduce Lakes Edward and Albert pollution.
Eutrophication resulting from excessive quantities of nutrients reaching the two water bodies is cause for algal blooms that
may lead to oxygen deficits and fish kills, or promote the excessive growth of weeds such as water hyacinth. The
transboundary movement of pollutants is also expected to increase in volume and complexity as the population increases,
along with the impacts of industrialization, oil mining, urbanization, changing agricultural practices, environmental
degradation and climate change. This requires coordinated and relatively frequent measurements of water flow and
pollutant concentrations to determine how much pollution is transported across borders in the two countries and in the
White Nile system. Management Measures to be supported by the project will include:
 Preparation of a water quality monitoring framework for the two lakes with focus on: development of water quality
objectives and emission standards; ambient monitoring (trend detection, testing standards); effluent monitoring:
control of spill-loads/discharges; early warning and operational monitoring (industrial use, fisheries etc).
 Construction and equipping of two Water quality laboratories within the framework of national agencies responsible for
water resources monitoring, regulation and provision of advisory functions. This, coupled with tailored capacity building
through project funds will ensure the strengthening of the national agencies and build relevant human resources
capacity9 to maintain the water quality functions. This intervention will be informed by interventions, implemented in
other basins in the past, by the NBI (through Nile Transboundary Environmental Action Project).
 Establishment of water quality monitoring networks, a regional knowledge base and mechanisms to exchange data and
information, between the partner states of Uganda and DR Congo. The project will finance the regular inventories of
contaminants in an effort to beef up data on pollution controls of the Lakes. The project will explore possibilities for
Public-Private Sector Partnerships, which include outsourcing of monitoring and analysis because of greater efficiency in
the private sector. Further, given economic activities related to oil exploration within the Albertine graben, and the
concerns over polluting activities, a linkage with the oil sector would provide cost-effective assessment and
remediation, with the bulk of the costs paid by the oil sector.
 Public awareness campaigns
 Promoting the adoption at ministerial levels of stricter regulations regarding pollution, and active engagement with
polluting (extracting and other) industries
 Investment in urban waste management systems (from AfDB co-financing).
 Installation of 10 hydrological stations (5 in each of the countries) to enable water resources monitoring in the lakes
basin. A substantial part of the drainage basin of the Lakes Edward and Albert basin consists of ungauged areas.
 Development of a model for the Lake Edward and Albert basins, building on the hydrological spine of the Nile basin
dynamic water budget model as a key tool for future planning and management of the water resources of the two lakes.
This will enable the definition, running and analysis of various scenarios, albeit climate change scenarios, future water
development or operation scenarios. The model will also serve as a comprehensive data management tool that
combines time series and spatial data for the two lakes.
Intermediate and final targets at project closing for enhanced pollution control will be defined during project design. One of
the conditions for project appraisal and/or approval by the Bank will be that the governments of Uganda and DRC commit
to provide long-term funding for adequate O&M of the water quality monitoring stations and laboratories.
Output 2.5: Four (4) Community-based integrated catchment management plans are prepared and implemented for
selected watersheds and local capacities on land and soil conservation are strengthened.
Financial resources will be set aside to prepare and implement catchment and wetland management plans. The project will
strengthen local capacities for integrated soil and water conservation in the catchment area as well as afforestation efforts
for sustainable community based wetland conservation. This component will also contribute to improving livelihoods
through water harvesting and alternative energy saving technologies.
4) Incremental/additional cost reasoning and expected contributions from the baseline, the GEFTF and co-financing
The overall objective of the project is to enhance sustainable livelihoods for local fishing communities through effective
management of Lake Edward and Lake Albert basin water and fisheries resources and protection of the environment. The
9
Uganda, through the Lake Albert Water Management Zone
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project builds on the achievements of the LEAF pilot project. Besides water, fisheries in the Lakes Edward and Albert region
are a regional resource par excellence, which necessitates a regional approach to their sustainable management, utilization
and development. Important elements of the fisheries system, such as fish stocks and the very medium fish live in water,
move throughout the basin and cross national boundaries; others are fixed, such as critical refuge or breeding and feeding
habitats, which may influence regional fisheries well beyond their immediate limits. Thus, without the AfDB/GEF project the
lessons learned from the LEAF project would not be implemented. Moreover, this project adopts a comprehensive and
transboundary approach that addresses not only the challenges at local/national level but also the transboundary issues.
Without this project transboundary issues would not be systematically and comprehensively addressed in the foreseeable
future. In this regard the following transboundary aspects will benefit from the AfDB/GEF intervention:
 Updated and harmonized policy, legal and regulatory framework, and innovative financing mechanisms established and
jointly adopted by DRC and Uganda
 Establishment of a financially sustainable Basin Management Authority/ Organization for LEAB, as proposed under the
Integrated Lake Management Plan(S)
 Integrated Lake Management Plans(s) will be updated based on recent developments and envisaged oil exploration and
extraction, and endorsed by DRC and Uganda at ministerial level.
 Bilateral Agreement on the protection of fisheries and watershed resources is made and enforced by DRC and Uganda
 Protected areas around critical fisheries habitat such as spawning areas are established and officially designated by DRC
and Uganda governments
 Improved fish processing systems are put into operation; reliable and updated information systems are shared and
used by stakeholders
The need to build capacity and increase knowledge and commitment at transboundary level is entirely an additional cost
imposed by the transboundary nature of Lake Edward and Lake Albert and this is consistent with the GEF principles and
strategic objectives.
The incremental benefits of this project will accrue to the international waters of East and Central Africa; there will be
lessons learned on international waters issues that are relevant to all of Africa, especially regarding the impacts of
extractive industries on ecosystem goods and services and consequently on the interests of vulnerable people. Concerning
contaminants from the oil industry, the greatest incremental benefits will be regional. Fisheries and water resources
conservation and wise use of water in Africa constitute an incremental benefit.
5) Global environment benefits
The project aims to halt deterioration of natural resources and to start a process that will support the trend towards
sustainable natural resource management and protection of the environment and promotion of alternative income sources,
diversification of welfare. Women will be particularly encouraged to take a leading role in project implementation as well as
being part of various committees.
In the shared LEAB basin area, this project, through specific investments in fisheries and water management, capacity
development, the provision of information and support to governance processes, seeks to increase socio-economic
resilience. Management and mitigation strategies will be developed to minimize the potential impacts of variability in water
resources availability resulting from extreme climate events (drought, floods) or long-term climate changes. In the LEAB
region food security of the population is critical, which depends substantially on fisheries in the Lakes and rainfed
agriculture. Thus, improvement of fish production and subsistence farming will significantly improve livelihoods.
In the area of water resources management, this project will promote a coordinated and integrated approach to prevent
environmental degradation from overexploitation of water resources. Mechanisms will be developed to promote
appropriate allocations among competing uses, equitable distribution of benefits and burdens, adequate involvement of
both women and men and community participation in addressing sustainability in water resources management. The
project will additionally promote gender equity in the areas of management, governance, and policy development. The
project will emphasize cross-sectoral, inter-ministerial, integrated ecosystem approaches that rely on consultative
processes and equity in gender participation.
Socio-economic activity in the project area already includes significant participation of women, especially in the
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production and marketing of fisheries products. Women are also typically custodians of water at the household level.
Project efforts to ensure sustainable use and protection of water quality will contribute to sustaining livelihoods and the
important roles that women play in them. Finally, community participation in conservation will increase sustainable
practices and better protection of natural resources.
6) Innovativeness, sustainability and potential for scaling up.
Innovativeness
The project will adopt innovative approaches to the development of Transboundary and
National Fisheries Management and IWRM policies and related legal and regulatory
frameworks; legal agreements will be established with communities and the private sector to
implement Best Practices in Fisheries Management and IWRM.
The project will apply decision-support capabilities drawn from the use of knowledge bases,
and simple tools for both fisheries and water resources management. This will be key, given
the data-poor environments that are typical of the Lakes Edward and Albert Basin. This will
also address the fact that the pace of development and scope of water quality problems
almost always grow faster than any ability to build and sustain in-country capacity. The tools
will place domain knowledge into the hands of local practitioners in such a way that water
and fisheries managers are guided through decision making.
The project will take into account gender concerns considering the fact that the issue of
resource degradation and natural disasters (flooding) affects differently men and women and
vulnerable groups (children, young and old). The dissemination and sharing of information
will be developed and disseminated in order to ensure that women and girls - especially those
who are poor or who were denied the right to education - can easily have access to the
necessary information. During the formulation phase of the project, a gender expert will be
recruited to systematically analyze and address the issues relating to the specific needs of
women and men, and the targeted interventions to enable women and men to participate and also enjoy – in the development efforts.
Sustainability and
potential for scaling up
The project addresses key regional, national and local development priorities spelled out in
the Integrated Lake Management Plans for Lake Edward and Lake Albert. The focus on
capacity building will generate a pool of technical experts that can be utilised for future
replication in other parts of the countries. The strong capacity building and participation of
local stakeholders in project activities contributes to sustainability.
The design principles of the project are set out to foster replicability through up-scaling of
learning and mainstreaming into policy processes. In particular, this Project will provide
lessons for application in other Lake Basins in Africa.
To address multiple level challenges associated with (sporadic) violence within the basins, the
project will support training activities, consultative forums, joint and shared responsibilities,
and the promotion of users associations to help in conflict prevention and resolution.
Technically, the project is designed to foster ownership, enhance coordinated basin
management and ensure long-term sustainability for fisheries, water resources and
ecosystem management in the NEL river basin. The project contributes towards the NBI
vision, to which NBI member countries have shown strong commitment. Further, the planned
results have been mainstreamed within national priorities and build on strengthened existing
decentralized catchment management structures (like the lake Albert water management
zone in Uganda), which provides prospects for sustainability of benefits. NELSAP will continue
to engage counterpart staff in project planning and management.
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Effective 2004, NELSAP has strengthened institutional arrangements for enhanced program
sustainability. Several policies/strategies exist to guide implementation of projects. Key
among them include: human resources policy, resource mobilization strategy, gender
mainstreaming strategy, communication strategy, anti-fraud policy (NBI), internal audit
charter, procurement manual (NBI), Financial Management Manual (NBI), Environment and
Social management framework as well as the Nile Basin Sustainability Framework.
The project will explore financial and sustainability measures with respect to the project,
which include but are not limited to cost avoidance and cost-reduction, the use of new costeffective technologies for monitoring, control and surveillance and a variety of
donor/public/private sector linkages that focus on commercial benefits that permit offloading of monitoring and assessment from government to the private sector.
Financially, NELSAP countries provide counterpart contributions in-cash and in-kind
(counterpart staff and office space), which is a sign of commitment to the program’s
objectives. Effective May 2008, the NEL countries have provided cash contributions
amounting to US$ 120,000 per year. Agreement was reached by the NILECOM (July 2012) to
scale up this annual contribution to US$ 1,000,000 per year by 2017 to cater for core
functionality of the NELSAP CU. In August 2012, the countries agreed to incrementally finance
recurrent costs of the sub-basin organizations like the planned Lakes Edward and Albert subbasin Authority. This incremental contribution will contribute towards sustainability of the
project results.
A.2. Stakeholders: Identify key stakeholders (including civil society organisations, indigenous people, gender groups, and
other as relevant) and describe how they would be engaged in project preparation.
Within the NBI, social analysis is an essential part of project preparation and is an integral part of the project design
process; it contributes to the technical analyses, stakeholder consultations and consideration of alternative design options.
In order to guide social analysis, the NBI has developed specific policies and strategies which guide the inclusion of social
dimensions in project preparation. These dimensions include (i) participation, (ii) gender and development, (iii) social
safeguards, and (iv) management of social risks and vulnerabilities.
Stakeholder Involvement: Key stakeholders within the project area include the local communities, NGOs (like World Wildlife
Fund), government ministries (like the Ministries of Agriculture and Energy in each country), private sector, as well as other
regional programs and projects. NELSAP is responsible for multinational coordination of water resources management and
development within the Lakes region, which form part of the White Nile System. NELSAP recognizes the importance of
involving a wide range of stakeholders in the preparation of projects. This improves the effectiveness, relevance, and
sustainability of development programs, and contributes to good governance, inclusion and empowerment of
disadvantaged groups. A MoU exists with the Nile Basin Discourse (civil society), which is a key umbrella of Civil Society
Organizations involved in management and development of shared water resources of the Nile river. Stakeholder
involvement during project preparation and implementation will be guided by the NBI Public Consultation Framework
(2006) and the NELSAP Communication Strategy (2009).
Main interveners
NELSAP
Expected roles in Project preparation
Coordination of the project preparation process
Facilitate involvement of countries and stakeholders participation in identification of
project activities and institutional arrangement;
Secure Letters Co-financing from development partners;
Facilitate organisation of the inception and validation meeting for the project
document at national and local levels
Provide technical input in the Project Document
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Main interveners
Ministries of Water Resources
and Environment,
Parliamentarians
Research institutes
3.1
3.2
Local government
3.3
3.4
Community organisations,
NGOs, Civil Society
Technical partners, regional
programs and projects
Private sector
Expected roles in Project preparation
Participate in meetings for the identification and validation of Project key actions;
Contribute technically in the project document during PP
Facilitate the involvement of national partners
Identification of project activities and institutional arrangement
Contribute in the elaboration of project documents
Identification of project activities and institutional arrangements
Facilitate the participation of local communities, specifically women
Participation in stakeholders consultations
Contribute in the designing of Prodoc
Create a synergy among their on-going programs and contribute to the project
Contribute in the preparation of project documents
Extracting industries and other polluting industries
Gender and development: Reducing inequalities based on gender and empowering women to participate more fully in
social-economic growth are recognized as essential to reducing poverty and achieving development goals within the NBI
countries. Under its Gender Strategy (2008), NELSAP has committed to mainstream gender considerations in all its
operations and support gender-specific activities, especially in areas where gender disparities are most severe. During
project preparation, gender analysis will identify (i) gender disparities that may affect the feasibility and success of the
project; (ii) opportunities within the project to improve women’s access to basic services, economic opportunities or
decision making; and (iii) specific components or other mechanisms to ensure that both women and men participate in and
benefit from the program/project.
Safeguards: NELSAP has developed an environment and social management framework which includes social safeguards,
which seek to avoid or mitigate the social costs that may result from prepared projects. Because resettlement policies aim
to prevent harm related to prepared investments, they are treated separately from strategies that promote broad social
development goals such as those related to poverty reduction, gender and development, and social protection. Social
safeguards during project preparation will be guided by the NELSAP ESMF (2009), revised (2012), which is compliant with
AfDB safeguards.
Management of Social Risks and Vulnerabilities: NELSAP ensures that the benefits of economic development from the
shared resources are widely shared, which calls for addressing the variety of risks that can push people into poverty, and
the social characteristics that increase people’s vulnerability. Some risks that are relevant to project preparation include (i)
labor conditions; (ii) risks of HIV/AIDS transmission in infrastructure projects; (iii) social impacts of natural disasters and
conflicts; and (iv) vulnerabilities related to disability. These issues will be addressed during project preparation, guided by
relevant NBI social development strategies.
A.3. Risks: Indicate risks, including climate changes, potential social and environmental risks that might prevent the project
objective from being achieved, and if possible, propose measures that address these risks to be further developed during the
project design (table format acceptable).
Risks related to the absorptive capacity of the local institutions to implement the project can be mitigated through the use
of international and local NGOs with experience in community development, fisheries management and sustainable
livelihood activities. The AfDB as implementing agency will provide the necessary backup and support to ensure that project
activities are implemented in a timely fashion.
Key risks to the program are rated medium, and relate to (i) challenges faced by stakeholders and key partners when
engaging into programmatic approaches, (ii) competing priorities such as food security, poverty reduction and conservation
that may alter long term political and financial support given to WRM up-scaling, (iii) transition time and incentives needed
to progress with alignment and harmonization, and (iv) hesitancy to consider new knowledge and technical approaches.
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Critical Risks
Climate change impacts are larger than
anticipated levels
Risk
Level
M
Regional Coordination between Uganda and
DRC is not sustained
M
Ongoing conflict within the region, particularly
in parts of the Eastern DRC, could disrupt the
project implementation
S
Project overwhelms the available capacity and
skills to an extent it fails.
M
Projects become source of conflict
M
Governments’ commitment is not sustained
M
Vulnerability
conditions
M
to
changing
environmental
Limited capacity of stakeholders to implement
IWRM best practices and transboundary
policies
L
Possibility that key national and regional
stakeholders are not effectively engaged in
the consultation process and that project
outputs are not translated into meaningful
investment programs.
Inadequate technical and institutional
L
M
Proposed Mitigation
1.1 The region is likely to face more droughts and floods and the
project is flexible enough to function under changing conditions.
1.2
NELSAP guidelines for mainstreaming climate adaptation
into investment programming (2012) and relevant tools will be
used to guide integration of climate dimensions into project
preparation and implementation.
2.1 The projects rely on national action with NELSAP playing a
coordination role. Each country can coordinate its own projects
even though it may be at a higher cost.
2.2 The Project will build capacity in NELSAP and countries
2.3. The project will promote the formation of a Lakes
Management Authority, which would ensure optimum
management and utilization of the fisheries and water resources
of the Lakes basin. A sustainability plan will be prepared and
operationalized.
3.1 Ongoing national, regional and international dialogue may
reduce this risk. For instance, the African Union/United
Nations/Great Lakes Consultative Forum is mediating in the
regional conflicts.
4.1 Community based planning methods will be used to assess
community priorities for the allocate of interventions
4.2
Involvement of NGOs with experience in community
development, fisheries management and sustainable livelihood
activities.
5.1 Project will be established through a consultative process
and all decisions are made with a bottom-up consultation where
possible.
5.2 Strengthening mechanisms for conflict prevention,
management and resolution
6.1 Policy advocacy tools and approaches produced to reflect
equitable economic benefit sharing among countries.
6.2
Multi-stakeholders dialogue platforms established to
support political conditions and rapidly determine possible
project implementation risks.
7.1 Adoption of “no-regrets” approaches in all IWRM, IEM and
Sustainable Fisheries Management Practices;
7.2
Promotion of integrated tools and approaches that
mainstream adaptation to climate change;
7.3
Participatory monitoring and evaluation of climate
parameters and adaptation options.
8.1
Provision of IWRM, IEM and Sustainable Fisheries
Management guidance coupled with specific training to empower
stakeholders at both national and regional levels;
8.2
Promotion of strong linkage with on-going capacity
development initiatives.
9.1 Stakeholder consultations (particularly from the private sector
and development partners) and alignment with regional and
national strategic plans and programs will mitigate this risk
(including early engagement with country policy and investment
decision makers, such as the Ministry of Finance).
10.1 Targeted capacity building to create critical mass of experts
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Critical Risks
capacities of Steering Committees and
National sub-basin agencies to participate in
Project activities, which could affect project
oversight.
Risk
Level
Proposed Mitigation
in the national institutions will avert this risk
Risks: L= Low; M=Medium; S=Significant
The project design mitigates these risks by, among other measures, committing partners and countries up-front to
operational alliances at regional and country level across sectors. These alliances are to be backed by key analytical,
dissemination, and monitoring tools designed to provide guidance and feedback to those working on the project. Private
sector activity in the region in the oilfields development can pose a risk to water quality and fish catches in the lakes. This
risk will be mitigated by ensuring that the oil companies use effective pollution prevention measures and the
communication channels with the actors in the area are well clarified and organized
A.4. Coordination: Outline the coordination with other relevant GEF financed and other initiatives
The AfDB has a strategic partnership with the World Bank on the economic development of the Nile Basin Region. The pilot
phase was jointly appraised by the two Banks in March 2003. The Bank’s coordination with other donors in DRC occurs
within the framework of the consultative group for mobilization of resources in favor of the Emergency Multi-sector
Program for Infrastructure Rehabilitation and Reconstruction and the government’s Economic Reform Program (reinforced
at sectoral level by roundtable consultations). With regards to Uganda, the Bank participates in the Local Development
Partners Group (LDPG) and macro and sector thematic working groups. Bank activities complement those of other donors
and also government activities. Bank Field offices (UGFO and CDFO) have been established in both countries, and FO
personnel are instrumental in country dialogue, portfolio management and coordination with other development partners.
At the Regional level, there are new initiatives by the Nile Basin Initiative (NBI) to have donor round-table conferences
(once every two years) that will discuss the modalities of interventions and support to the NBI initiatives. The Bank is
actively engaged by regular participation in these fora.
At the countries levels, several donors and development partners have contributed to the enhancement of WRM and
water-related activities; for instance WWF & Norway with the Semuliki River Catchment and WRM project, Denmark with
the support to the Ugandan Water Supply and Sanitation program and Japan with development activities in National
Wetlands and Water Supply in Uganda.
At the LEA level, during preparation/appraisal mission the coordination with several on-going activities will be further
concretized and enhanced by undertaking a donors’ round table. This event will also be an opportunity to fundraise
additional resources, (including potential resources from the private sector), to augment the available resources in
furtherance of the objectives of this project and even more. The preparation/appraisal missions will consolidate the
cooperation and synergies of on-going and potential activities of the Sweden cooperation with NELSAP and the incremental
and complementarity opportunities therefrom will be fully explored. All these will lead to the reinforcement of the capacity
building outcomes of the project.
At the project level Uganda and DRC have demonstrated commitment to the project. The commitment of the two
countries is further exemplified by the constitution of the Regional Working Committee (RWC), which is responsible for the
identification and design of the likely areas of interventions. In addition, the two countries have agreed that it is necessary
to have policy harmonization in the management and utilization of the jointly owned Lake resources for the benefit of the
two countries. NBI/NELSAP is equally committed to the project and - as the umbrella organization for the NEL region - will
serve as the focal institution for the management and coordination of the Project.
B. DESCRIPTION OF THE CONSISTENCY OF THE PROJECT WITH:
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B.1. National strategies and plans or reports under relevant conventions, if applicable i.e. NAPAs, NAPs, NBSAPs, national
communications, TNAs, NCSAs, NIPs, PRSPs, NPFE, Biennale updated Reports, etc.:
Alignment with PRSPs10
The project is aligned with the Poverty Eradication Action Plan (PEAP) for Uganda and with the Poverty Reduction and
Growth Strategy Paper (PRGSP) for the DRC. These strategies emphasize healthy ecosystems, poverty reduction and
sustainable economic growth. They also identify degradation of natural resources as a key impediment to attainment of
results. The project will contribute towards addressing these concerns.
Alignment to National Adaptation Programs of Action (NAPA)
This project will enhance Uganda’s and DRC’s compliance with their international Conventions including the UNFCCC 11,
UNCCD and the CBD. The Ugandan NAPA was launched in 2007 and a strategy for its implementation developed under the
leadership of the Meteorology Department. It focuses on the enhancement of resilience and adopts an integrated/
programmatic approach, with emphasis on communities and ecosystem adaptation to avert climate change in vulnerable
communities. The DRC's NAPA (September 2006) is focused on three overarching areas: water, infrastructure, and
agriculture. Key project interventions, that relate to priority actions that will be supported by the project include: (i)
community afforestation programs, (ii) eradication of land degradation through watershed mechanisms, (iii) reduction of
point and non-point sources of pollution from the oil fields and other mining operations, (iv) strengthening water resources
monitoring (hydro-meteorological services), (vi) improvement of Water and Sanitation, and (vii) enhancement of
knowledge management systems for enhanced Natural Resources Management. The project will also raise capacities to
implement National Biodiversity Strategies and Action Plans (NBSAP) by setting up monitoring systems for aquatic
biodiversity and reducing threats to Protected Areas (Queen Elizabeth national Park and Virunga National Park); refer to:
Rapport National sur le Développement Durable en RD Congo, 2012 and Uganda NAPA project Profile.
Alignment with AfDB Regional and Country Strategies
The African Development Bank has developed, in consultation and alignment with the national strategies, plans and PRSPs,
the Country Strategy Papers and the Eastern Africa Regional Integration Strategy Paper. The project is fully aligned as
follows:
The Eastern Africa Regional Integration Strategy Paper (RISP) (2011 – 2015) was presented to the Board in January 2011. It
has two main pillars: 1) supporting regional infrastructure development for greater competitiveness and enhanced trade
and 2) supporting institutional capacity building for stronger regional and national bodies. The proposed Lake Edward and
Albert Fisheries and Water Resources Management Project aims at providing regional infrastructures in the utilisation of
the natural endowments of the lakes for the benefits of the two countries. The project will provide for Monitoring, Control
and Surveillance facilities (for joint monitoring of the extraction of the fisheries potentials of the Lakes) and construction of
Fisheries Research Sub-stations in the two countries. Furthermore, the project aims at promoting economic integration by
building the capacity of the NBI/NELSAP which is one the relevant Regional Economic Commission (REC). The project is thus
aligned to the two pillars of the RISP.
The Project supports the relevant pillars in the respective CSPs of both DRC and Uganda. With respect to Uganda, the CSP
(2011-2015) has just passed through a mid-term review exercise, whereby its two pillars were retained, namely: a)
Infrastructure Development with a focus on development and rehabilitation of critical economic and social infrastructure
10
PRSPs present the macro-economic, structural and social policies and programs that the countries will pursue over several years to
promote broad-based growth and reduce poverty, as well as external financing needs and the associated sources of financing. They aim
to provide the crucial link between national public actions, donor support and the development outcomes required to meet the
Millennium Development Goals.
11 The UNFCCC initiated at its 7th Conference of the Parties (COP 7) in Marrakech, Morocco the development of National Adaptation
Programs of Action (NAPA).
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(roads, railways, energy, water, health facilities); and (ii) increased agricultural productivity. DRC’s Results-based Country
Strategy Paper for the period 2013-2017 focuses similarly on two complementary pillars: (i) development of private
investment and regional integration support infrastructure; and (ii) building central government’s capacity to increase
public revenue and create an enabling framework for private investment.
Other treaties: The DRC and Uganda are party to a number of regional and international conventions/ protocols that
promote sustainable natural resources, such as the Ramsar Convention and the FAO Code of Conduct for Responsible
Fisheries. Of particular significance is the 1990 ‘Protocol on Fisheries’ between the two countries. Key issues to be
addressed under this are the equitable and reasonable utilisation of shared water resources, the obligation not to cause
significant harm to co-riparian’s interests, and information sharing. These issues remained mostly unimplemented till date.
The Bank’s involvement as neutral third party will help contribute to the achievement of these commitments and
compliance with international treaties.
B.2. GEF focal area and/or funds strategies, eligibility criteria and priorities
This project is consistent with the GEF Strategy on the International waters, such as described in the GEF-5 Final
programming document (GEF/R.5/25/CRP.1), particularly with:
 IW-1 - Catalyse multi-state cooperation to balance conflicting water uses in the transboundary waters for Lake Edward
and Lake Albert, while considering climatic variability and change; the project is consistent particularly with Outcome
1.1: Implementation of agreed Strategic Action Programs (SAPs) incorporates transboundary IWRM principles (including
environment and groundwater) and policy/ legal/institutional reforms into national/local plans, and
 IW-3: IW Capacity Building: Support foundational capacity building, portfolio learning and targeted research needs for
joint, ecosystem-based management of transboundary water systems; the project is particularly consistent with (i)
Outcome 3.1: Political commitment, shared vision, and institutional capacity demonstrated for joint, ecosystem-based
management of water bodies and local ICM principles, and with (ii) Outcome 3.3: IW portfolio capacity and performance
enhanced from active learning/Knowledge Management/experience sharing.
The project will enhance confidence building between the two neighboring countries and assist in reducing political tension
which is a common occurrence in the region. The project will thus help promote peace in the region.
B.3. GEF agency’s comparative advantages for implementing this project
Alignment: The project objectives are anchored in the Bank’s priority areas as stated in the Bank Ten Year Strategy (20132022) and complement the countries’ objectives especially Regional Economic Integration, which is one of the core priority
areas of the strategy. Also, the project’s thrust and planned activities - which aim at creating an enabling environment and
strengthening the legal, policy, institutional and regulatory framework for sustainable management of natural resources
and protection of the environment - are all in line with the countries’ CSPs and PRSPs mentioned above. Promotion of
better use of water and fisheries resources, encouraging private sector development, as well as strengthening governance
and participatory processes in natural resource management and environmental conservation through this project are in
line with the orientation of Uganda’s National Development Plan and DRC’s PRGSP.
Implementation: In terms of implementation it should be noted that the AfDB disposes of field offices in the two beneficiary
countries as well as in Rwanda, where NELSAP is hosted.
Experience: The recent trend of environmental degradation in the Lakes Edward and Albert Basin is a main source of threat
to fish resources; also over-exploitation of plant species, soil erosion, and pollution of soils, water and the atmosphere as
well as climate change vulnerability raises concerns about the inherent risks in the basins immediate environment. The
Bank would be building on the foundation laid by its support to the LEAF pilot project. By supporting this project the Bank
will further demonstrate its commitment to sustainable development projects through poverty eradication, promotion of
economic growth and reversing environmental degradation in the Nile Equatorial Lakes region. The project will also help to
22
further improve regional consultation and cooperation, which will help (in both medium and long term), to reduce potential
sources of conflict in this region where a socio-political crisis has been raging and insecurity is persistent.
The Bank also has previous knowledge in this area having led the multi-donor effort in the establishment of the Lake
Tanganyika Authority. Through this experience, the Bank has learned the importance of involving the local authorities as
key to implementation success. The Bank had also learned through its experience in the implementation of the Fishery
project in Uganda, the effectiveness of a decentralization policy of the government which added value to the
implementation of the project.
PART III: APPROVAL/ENDORSEMENT BY THE GEF OPERATIONAL FOCAL POINT(S) AND GEF AGENCY (IES)
A. RECORD AND ENDORSEMENT OF GEF OPERATIONAL FOCAL POINT(S) ON BEHALF OF THE GOVERNMENT(S) : (Please attach
the operational focal point endorsement letter with the template. for the SGP, use this OFP endorsement letter)
NAME
Vincent KASULU SEYA
MAKONGA
POSITION
MINISTRY
Mr. Patrick OCAILAP
Political/Operational
Focal Point
Operational
Focal Ministere de L'Environnement,
Point & Directeur de Conservation de la Nature, Eaux
Developpement
et Forets
Durable
Acting
Secretary
Treasury
DATE DD/MM/YYYY
19/12/2013
Ministry of Finance, Planning
and Economic Development
Deputy
to
the
B. GEF AGENCY (IES) CERTIFICATION
This request has been prepared in accordance with GEF policies and procedures and meets the GEF criteria for
project identification and preparation.
Agency Coordinator,
Signature
Date
Project contact
Telephone
E-mail address
Agency Name
(mm/dd/yyyy)
person
TOURINO SOTO,
Ignacio
12/15/2013
OLADAPO,
OLAGOKE A.
+21671103494
o.oladapo@afdb.org
African Development
Bank
23