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Republic of Kenya
Kenya Electricity Expansion Project
Draft Indigenous Peoples Planning Framework (IPPF)
January 2010
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TABLE OF CONTENTS
A. BACKGROUND AND PROJECT DESCR[PTION
............................................ .5
B. RATIONALE FOR INDIGINEOUS PEOPLES PLANNING FRAMEWORK
(IPPF).......7
C. IMPACTS
..............................................................................................9
D. PARTICIPATORY SOCfALASSESSMENT AND
CONSULTATIONS..................... lO
E. PARTICIPATORY MONITORING AND
EVALUATION....................................12
F. DISCLOSURE
.......................................................................................12
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ABBREVIATIONS AND ACRONYMS
ACHPR
CAS
CBO
ERC
GOK
IDA
IPP
IPPF
KEASP
KEEP
KenGen
KIHBS
KPLC
KShs
kV
M&E
MOE
MW
NGO
OM
PAD
PDO
REA
African Commission on Human and Peoples' Rights
Country Assistance Strategy
Community-based Organization
Energy Regulatory Commission
Government of Kenya
International Development Association
Indigenous Peoples Plans
Indigenous Peoples Planning Framework
Kenya Electricity Access Scale-up Program
Kenya Electricity Expansion Project
Kenya Electricity Generating Company Ltd.
Kenya Integrated Household Budget Survey
Kenya Power and Lighting Company Ltd.
Kenya Shillings
Kilovolt
Monitoring and Evaluation
Ministry of Energy
Megawatt
Non-Governmental Organisation
Operations Manual
Program Appraisal Document
Project Development Objective
Rural Electrification Authority
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EXECUTfVES~Y
The proposed Kenya Electricity Expansion Project (KEEP) is a
sub-set of the Government's Electricity Access Scale-Up Program. It
will support the first phase of the Scale-Up Program's
implementation, with an understanding that additional investments
over a five-year period from 2010 to 2014 will be necessary to
complete the connection of the target one million new customers, in
addition to all designated priority loads.
The screening of project areas indicated that minority ethnic
groups might be present in areas where the planned transmission
lines pass through; or near the sites for the planned substations.
Noting that the Kenyan people and the state use different tenns to
refer to indigenous peoples, such as hunter-gatherers 'Dorobo' and
vulnerable ethnic groups, the screening process has adopted
'vulnerable indigenous peoples' within the context of the World
Bank's policy on Indigenous Peoples (OP 4.10). Considering KEEP
operational areas, the distinct social and cultural conditions and
comparative vulnerability of the various ethnic minority groups,
this document focuses initially on Sengwer, Ogiek, Waata, and Boni
peoples. Any addition to the list of ethnic minority groups who
meet OP 4.10 criteria for indigenous peoples will be made after
further field verification and consultation with the Government of
Kenya .
The Government of Kenya has prepared this Indigenous Peoples
Planning Framework (IPPF), to ensure that, in cases where
indigenous peoples are present in, or have collective attachment to
project lands, an Indigenous Peoples Plan (IPP) is prepared so that
the development process fully respects the dignity, human rights,
economies, and culture of indigenous peoples. To achieve this, the
IPPF provides guidelines for, among other things, a social
assessment of indigenous communities; free, prior and infonned
consultations leading to broad community support; and the
preparation of Action Plans to: (a) avoid potentially adverse
effects on the indigenous peoples' communities; or (b) when
avoidance is not feasible, to minimize, mitigate, or compensate for
such effects; and (c) ensure that the indigenous peoples receive
social and economic benefits that are culturally appropriate, and
gender as well as intergenerationally inclusive.
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L
A. BACKGROUND AND PROJECT DESCRIPTION
The Kenya Electricity Access Scale-Up Program (KEASP) is the
Government's program for scaling-up electricity access over a
period of five years. It calls for doubling ofthe number of
customer connections and connecting 100 percent of priority
loads-defined as district headquarters, secondary schools, coffee
factories, community based water supply works, health facilities,
and trading centers. GoK, in cooperation with the development
partners, has prepared the Kenya Electricity Access Investment
Prospectus ("Prospectus") 2009/2014 that presents a coherent and
comprehensive plan for expansion of electrification ("the scale-up
program"). The purpose of the Prospectus is to increase
concessional financing for the electrification program. The
program, already underway, completed 201,000 new connections in
2008/09, about 60 per cent more connections than in 2007/08.
2. The proposed Kenya Electricity Expansion Project (KEEP) is a
sub-set of the Government's Electricity Access Scale-Up Program. It
will support the first phase of the Scale-Up Program's
implementation, with an understanding that additional investments
over the five-year period from 2010 to 2014 will be necessary to
complete the connection of the target one million new customers, in
addition to all designated priority loads.
3. The proposed Project Development Objectives (PDO) are to
support the GoK efforts to: (a) increase access to electricity in
urban, peri-urban and rural areas; and (b) improve the efficiency,
reliability, and quality of service to consumers. The project will
also help to sustain the policy, institutional and regulatory
environment needed for these results to materialize.
4. The project's first component includes construction of
geothermal power generation plants. This entails construction of
280 MW ofgeothermal generation capacity, consisting of the
extension of the Olkaria r power station by addition oftwo 70 MW
units (nos. 4 &5) and construction of a new power station oftwo
70 MW units at the Olkaria IV site. The proposed plants will be
within or adjacent to the existing geothermal plants where KenGen
has completed considerable geophysical exploration to prove the
resource.
5. A feasibility and reservoir optimization study I , completed
in August 2009, concluded that the Greater Olkaria Geothermal Area
reservoirs could sustain exploitation of430 MW worth of steam for
25 years. Of this total capacity, 115 MW already is in operation by
KenGen at Olkaria I and II and the commissioning of35 MW is
expected in May 2010 (Olkaria n3rd unit). The remaining 280 MW is
available for development. The study confirmed technical and
economic viability of the proposed investments. It also has
prepared a conceptual design and site selection for the two plants,
based on the topography of the area, reservoir simulations, and
proximity to steam wells.
6. The second component includes the construction ofthree 132-
kV transmission lines as follows: (a) Kindaruma-Mwingi-Garissa; (b)
Eldoret-Kitale; and (c) Kisii-Awehdo. These three lines are the top
priorities for construction among eight 132 kV lines that the
Government identified in the scale-up program. These lines will
expand electrification to a disadvantaged region in the
Northeastern province,
I Feasibility Study Report for New Units of the Optimization
Project, West Japan Engineering Consultants, Inc., with
subcontracted services to GeothermEX, Inc (USA) and Global Synergy
Link (Kenya), August 2009.
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replace diesel generation, and improve the reliability of supply
to major agriculture areas with fast growing populations in Western
and Nyanza provinces.
7. The Kindaruma-Mwingi-Garissa Line will connect Garissa - the
provincial headquarters of the expansive Northeastern province - to
the national grid. The area has high levels ofpoverty. Livestock
rearing is the main economic activity but the area also has
agricultural potentiaL The development ofthe transmission line will
generate employment during the construction phase and lead to
opportunities for the development of small and larger scale
industries after the line's completion. The scope of work includes
construction of 230 km of a I 32-k V transmission line from
Kindaruma, via Mwingi, to Garissa, including new substations in
Mwingi and Garissa.
8. Eldoret is the fourth largest town in Kenya. The
Eldoret-Kitale Line will serve a heavily
populated area with important agricultural activities. Wheat and
maize production and dairy farming are
among the main activities. Informal sector activities such as
fabrication of small household items,
woodcraft and basketry also provide substantial sources of
income. Power supply is very unreliable
due to inadequate capacity of the transmission network in the
area. The component will construct a 60-km, I 32-kV line from
Eldoret to Kitale and a 132/33-kV line with a 23MV A substation at
Kitale.
9. The Kisii-Awendo Line will serve an area that is experiencing
rapid population growth. Kisii and Southern Nyanza have a large
primary agricultural industry in tea and sugar. Kisii is a
significant regional town. However, power supply in the area is
extremely unreliable. Between 2003 and 2008, outages averaged 556
hours a year. The line will improve the quality of power supply in
the Kisii and Southern Nyanza province and enhance security of
supply in Kisumu. The component will extend the Kisii 132 kV
substation (additional 132kV line bay), and construct 44krn of
132kV line and a substation at Awendo. It also will complete the
Chemosit Kisumu 132kV ring.
10. The third component involves upgrading and extension of the
distribution network in urban and peri-urban areas. This will
enable KPLC to connect one million new consumers over five years
(200,000 connections annually). An increasing number of new
customers will come from lower income, peri-urban and rural areas.
This component will support measures to enhance the affordability
of new connections, such as staggered payments ofconnection fees
and installation ofpre-paid meters that will enable consumers to
control their electricity use more effectively. In addition to
expanding connections, the component will improve the quality of
power supply.
II. The fourth component involves rural electrification and will
support GoK's objective to expand access to electricity in rural
areas. The REA's initial target is to connect all priority loads,
including trading centers, secondary schools, health centers,
administrative facilities and other key public/community
facilities, as well as 750,000 rural households in rural areas. The
Rural Electrification Master Plan (REMP) provides a roadmap to
achieve these targets over ten years.
12. To maximize the impact of this component REA will form
linkages to agri-businesses transforming and improving performance
ofagricultural technology systems, empowering stakeholders and
promoting development ofagribusiness in the Project Areas. The lack
of modern energy services has been a key constraint to improving
the agricultural productivity and development of
agribusinesses.
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13. The fifth component involves Technical Assistance that will
support implementation of Kenya's energy policy, as set out in
Sessional Paper No.4, 2004. The technical assistance activities
will contribute to advancing the agenda set out in Sessional Paper,
particularly activities that facilitate increased competition,
investment and private sector participation. Areas for technical
assistance include: (i) studies in expanding the role of private
sector participation in power generation, distribution and supply;
allowing open access of the power transmission network and
facilitating power transfers between generators and consumers;
successful implementation of the Least Cost Power Development Plan;
small Hydro resource potential; wind resource potential; and hydro
Power Potential; (ii) Consultancies in: development of regulatory
frameworks to create an enabling environment to accelerate the
development and utilization of solar energy technology; development
of a regulatory framework for energy conservation and efficiency;
development of disaster prevention and management capacity in the
Energy Sector; and establishment, maintenance and updating of
databases in the Energy Sector; and (iii) further capacity building
in use of planning tools by planning engineers and economists drawn
from KPLC, ERC and KenGen.
RATIONALE FOR THE INDIGENOUS PEOPLES PLANNING FRAMEWORK
(lPPF)
14. Among the salient features of contemporary Kenya's
development is that indigenous
peoples' identity remains an important factor in national and
local organization. As the country
implements its generation and electrification projects,
indigenous households and communities
will be potential beneficiaries of some of the KEEP
sub-projects.
15. KEEP involves the preparation and implementation of
subprojects in a number of regions
of the country. During project preparation, it became clear that
KEEP might generate potential
benefits to vulnerable and indigenous peoples' groups and may
also lead to some adverse impact
on these groups. In this context, the Indigenous People's
Operational Policy (OP 4.10) will be triggered and in response the
Government of Kenya has prepared an Indigenous Peoples
Planning framework (IPPF) to guide intervention in this area.
The purpose of the IPPF is to
ensure that the development process fully respects the dignity,
rights, economies, and cultures of
these communities and that the project is able to gain broad
community support of affected
indigenous peoples and other vulnerable groups.
16. Subprojects to be financed under KEEP will be screened and
if Indigenous People is a
factor, a specific Indigenous Peoples Plan (IPP) will be
prepared. These subprojects will not be
implemented until the associated IPP has been developed in
agreement with the affected
indigenous peoples communities, cleared and disclosed.
17. Social Management Requirements oftbe World Bank's Indigenous
Peoples Operational Policy OP 4.10 contributes to the World Bank's
mission to reduce poverty and
promote sustainable development by ensuring that indigenous
peoples' human rights, dignity, cultures and economies are fully
respected. Through this policy, the Bank recognizes that indigenous
people's identities and cultures are inextricably linked to the
lands on which they live, and the natural resources they are
dependent on. These distinct characteristics and
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circumstances make indigenous people vulnerable to different
types of risks and levels of impacts from development projects.
Such risks include loss of identity, culture and customary
livelihoods as well as exposure to negative health impacts. The
World Bank recognizes the vital role that indigenous people play in
sustainable development; the fact that their rights receive
increasing attention and action under domestic and international
law. In the context of this policy and acknowledging that there are
vulnerable groups that are likely to be more than just
hunter-gatherer, the IPPF for the KEEP has been developed,
highlighting the positive effects of new electricity connections in
Kenya.
Regional Aspects of Indigenous Peoples
18. In 2003, the African Commission on Human and Peoples' Rights
(ACHPR), a sub-body of the African Union adopted the document
"Report of the African Commission's Working Group of Experts on
Indigenous Populations/Communities". The report emphasizes that the
overall characteristics of groups identifying themselves as
indigenous peoples as follows:
• Their cultures and ways of life differ considerably from the
dominant society. • Their cultures are under threat, in some cases
to the point of extinction. • The survival of their particular way
of life depends on access and rights to their lands and
the natural resources thereon. • They suffer from discrimination
as they are regarded as less developed and less advanced
than other more dominant sectors of society. • They often live
in inaccessible regions, often geographically isolated. • They
suffer from various forms of marginalization, both politically and
socially.
19. The African Commission report concludes that this
discrimination and marginalization threatens the continuation of
indigenous peoples' cultures and ways oflife and prevents them
from being able to genuinely participate in decisions regarding
their own future and forms of development.
20. Following the publication of its report on indigenous
populations, the African Commission has produced an Advisory
Opinion on the UN Declaration on the Rights of Indigenous Peoples
which concludes that the UN Declaration is in line with the African
Charter on Human and Peoples' Rights and with the conceptualization
and work of the African Commission on indigenous peoples. The
African Commission further engaged in a series of country visits
and seminars aimed at examining the situation of indigenous peoples
and establishing dialogue with African governments and other
stakeholders. The African Commission has published a series of
reports from its visits, and it is regularly raising indigenous
rights issues in its examinations of government reports submitted
to the African Commission.
21. It is, therefore, clear that the African Commission on Human
and Peoples' Rights (the major regional African human rights
institution) recognizes the discourse of indigenous peoples based
on the fundamental UN principles and spearheads the discussion in
an African context and
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the World Bank should, therefore, work with African governments
to address issues relating to
indigenous peoples in the African continent.
Indigenous Peoples in Kenya
22. The African Commission's Working Group on Indigenous
Populations & Communities
affirms that " ...almost all African states host a rich variety
ofdifferent ethnic groups ( ..). All of these groups are indigenous
to Africa. However, some are in a structurally subordinate
position
to the dominating groups and the state, leading to
marginalization and discrimination. It is this
situation that the indigenous concept, in its modern analytical
form, and the international legal
framework attached to it, addresses". According to the ACHPR,
there are several vulnerable
ethnic groups in Kenya that identify as indigenous peoples. Some
of them are hunter-gatherers, including the Ogiek, Watta, Sengwer,
Yiaku (ACHPR, 2006).
23. OP 4.10 was initially applied to some foraging groups in the
country. Nevertheless, the list of ethnic minority groups who meet
the policy criteria of indigenous peoples will be revised after
further field verification and consultation with the GoK.
c. IMPACTS
24. This IPPF provides the framework in which negative impacts
to the vulnerable groups and indigenous people are mitigated and
positive impacts are enhanced based on free, prior and
informed consultations with the affected beneficiaries. As the
project is currently designed, some transmission lines and
substations traverse areas where vulnerable indigenous people
are
located. As such an action plan will be developed within the
scope of the proposed Social
Assessment that will provide the project implementing agencies
with practical measures in which the vulnerable and marginalized
and indigenous people will be able to benefit from the project
activities. Equally important is the incorporation of grievance
mechanisms to ensure that the voice of these people is heard. As
such the Social Assessment will provide pointer to the
appropriate mechanisms that can be adopted to address these
issues.
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Table 1: KEEP - POTENTIAL IMPACTS ON VULNERABLE -INDIGENOUS
PEoPLES
Component(s) Possible impacts on the indigenous Mitigation
measures peoples
'~:-.
I)
2)
3)
4)
Geothermal Generation; Transmission lines; Distribution
upgrading & infilling; and Rural Electrification
I) Interference with ancestral land tenure;
2) Loss of grazing resources such as vegetation;
3) noise, dust, soil erosion, construction waste;
4) loss of livelihoods and/or land; and
5) interruption of services
1 ) Community participation and buy2) plan land use change
compensatio
relocation; 3) sensitize workers and community
safety and health measures; and 4) consider alternative
sites.
-in; n,
on
.
D. PARTICIPATORY SocIAL AsSESSMENT AND CONSULTATIONS
25. The social assessment will entail gathering relevant
information on demographic data: social, cultural and economic
situation; and group meetings within the indigenous community,
including their leaders, NGOs, CBOs, and affected persons.
Discussions will focus on potential positive and negative impacts
of the subprogram; measures to enhance positive impacts; and
strategies/options to minimize and/or mitigate negative impacts.
The social assessment will include the following elements, as
needed:
(a) A review, on a scale appropriate to the subprogram, of the
legal and institutional framework applicable to Indigenous
Peoples.
(b) Gathering of baseline information on the demographic,
social, cultural, and political characteristics of the affected
Indigenous Peoples' communities, the land and territories that they
have traditionally owned or customarily used or occupied, and the
natural resources on which they depend.
(c) Taking the review and baseline information into account, the
identification of key subprogram stakeholders and the elaboration
of a culturally appropriate process for consulting with the
Indigenous Peoples at each stage of subprogram preparation and
implementation.
(d) An assessment, based on free, prior, and informed
consultation, with the affected Indigenous Peoples' communities, of
the potential adverse and positive effects of the subprogram.
Critical to the determination of potential adverse impacts is an
analysis of the relative vulnerability of, and risks to, the
affected Indigenous Peoples' communities given their distinct
circumstances and close ties to land and natural resources, as well
as their lack of access to opportunities relative to other social
groups in the communities, regions, or national societies in which
they live.
.
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(e) The identification and evaluation, based on free, prior, and
informed consultation with the affected Indigenous Peoples'
communities, of measures necessary to avoid adverse effects, or if
such measures are not feasible, the identification of measures to
minimize, mitigate, or compensate for such effects, and to ensure
that the Indigenous Peoples receive culturally appropriate benefits
under the subprogram.
26. The consultation and participation of Indigenous Peoples
will be ensured in formulation of the subprogram IPP to ensure that
it adequately deals with their needs, priorities, and preferences.
Indigenous Peoples will be provided with relevant project
information in language(s) in a manner suitable to them. Separate
focus group discussions will be carried out to assess the
subprogram impacts and benefits of these groups. Accordingly, the
subprogram IPP would be prepared in consultation with the
beneficiaries. The outcome of the social assessment and the
subprogram IPP would be presented in community
workshops/meetings.
27. Based on the social assessment, an IPP will be developed
where a key section will be an Action Plan with the appropriate
mitigation measures and service delivery option for the relevant
subprogram to enhance service delivery for indigenous peoples. The
IPP would address: (i) the results of the social assessment,
particularly the aspirations, needs, and preferred options of the
affected indigenous peoples; (ii) local social organization,
cultural beliefs, ancestral territory, and resource use patterns
among the affected indigenous peoples; (iii) potential positive and
negative impacts of the subprogram on indigenous peoples; (iv)
measures to avoid, mitigate, or compensate for any adverse effects
of the subprogram effects; (v) measures to ensure project benefits
which will accrue to indigenous peoples; (vi) measures to
strengthen the capacity of local authority and relevant government
departments to address indigenous peoples issues; (vii) the
possibility of involving local organizations and NOOs with
expertise in indigenous peoples issues; (viii) an action plan; (ix)
budget; and (x) monitoring. The IPP will include the following
elements, as needed:
(a) A summary of the social assessment. (b) A summary of results
of the free, prior, and informed consultation with the affected
Indigenous Peoples' communities that was carried out during
subprogram preparation and that led to broad community support for
the subprogram.
(c) A framework for free, prior, and informed consultation with
the affected Indigenous Peoples' communities during subprogram
implementation.
(d) An action plan of measures to ensure that the Indigenous
Peoples receive social and economic benefits that are culturally
appropriate, including, if necessary, measures to enhance the
capacity ofthe subprogram implementing agencies.
(e) When potential adverse effects on Indigenous Peoples are
identified, an appropriate action plan which includes measures to
avoid, minimize, mitigate, or compensate for these adverse
affects.
(f) The cost estimates and financing plan for the IPP. (g)
Accessible procedures appropriate to the subprogram to address
grievances by the
affected Indigenous Peoples' communities arising from subprogram
implementation. When designing the grievance procedures, the
borrower takes into account the availability ofjudicial recourse
and customary dispute settlement mechanisms among the Indigenous
Peoples.
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(h) Mechanisms and benchmarks appropriate to the subprogram for
monitoring, evaluating, and reporting on the implementation of the
IPP. The monitoring and evaluation mechanisms should include
arrangements for the free, prior, and informed consultation with
the affected Indigenous Peoples' communities.
Institutional Arrangements
28. A short-term consultant, functioning as development
specialist, will be contracted during project supervision to assist
the KEEP Secretariat inter alia to facilitate the development and
implementation of the IPPF activities, and eventually the relevant
subprogram IPPs. KEEP subprogram staff would receive capacity
development in dealing with social issues and skills necessary for
screening subprogram-supported activities, evaluating their effects
on indigenous peoples, preparing IPPs, and addressing any
grievances. The social assessment, rolling annual consultations,
and the preparation of the relevant subprogram IPPs would be
undertaken by one consulting firm or individual, according to terms
of reference approved by the World Bank. If necessary, a local NGO
with expertise in the indigenous peoples' cultures and issues would
be subcontracted to implement the respective subprogram IPP.
E. PARTICIPATORY MONITORING AND EVALUATION
29. The KEEP Program Coordination Team will establish an annual
monitoring system to monitor the implementation of the indigenous
peoples plan (IPP) against a set of monitoring indicators. Progress
reports will be produced by June 30th of every year and
communicated to all stakeholders.
F. DISCLOSURE
30. The final draft of this IPPF will be submitted by the GoK to
the World Bank for review and clearance. Once cleared, it will be
disclosed in-country, in the appropriate form, manner and language.
Later on, the information from the documents specified,
particularly the subprograms will be made available to beneficiary
populations in the appropriate local language. The GoK will post
the relevant documents on its website, and in the World Bank's
InfoShop in Washington, DC. During implementation, GoK will prepare
social accountability reports (showing available services,
complaints received and response measures from GoK) and make them
available to indigenous peoples, post them on its website, and
submit these to the Bank for review along with the annual
supervision reports.
G. BUDGET.
31. Implementation and supervision budget for this IPPF will be
built in the project budget. Approximately US$ LOO,OOO will be
required to carry out capacity building for project staff,
preparation of IPPs and the necessary social assessment and
consultations with indigenous communities.
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