DOCUMENT OF THE WORLD BANK FOR OFFICIAL USE ONLY ENVIRONMENTAL AND SOCIAL SYSTEMS ASSESSMENT (ESSA) FOR THE ETHIOPIA HUMAN CAPITAL OPERATION (HCO) - P172284 ENVIRONMENTAL AND SOCIAL SYSTEM ASSESSMENT (ESSA) May 2023 This document has a restricted distribution and may be used by recipients only in the performance of their official duties. Its contents may not otherwise be disclosed without World Bank authorization. i TABLE OF CONTENTS Abbreviations and Acronyms .................................................................................................................. iv Executive Summary ................................................................................................................................... 1 1. Introduction .......................................................................................................................................... 8 1.1. Program Description and Background .................................................................................8 1.2. Program Development Objectives (PDOs) and Program Components ...............................8 1.3. Rationale for Bank Engagement and Relationships to CPF ..............................................12 1.4. Purposes and Objective of the ESSA .................................................................................13 1.4.1. Purposes ........................................................................................................................................ 13 1.4.2. Objective ...................................................................................................................................... 13 1.5. Scope of the ESSA .............................................................................................................14 1.6. ESSA Process and Methodology .......................................................................................15 1.6.1. Desk review.................................................................................................................................. 15 1.6.2. Interviews ..................................................................................................................................... 15 1.6.3. Stakeholder Consultation and Disclosure ................................................................................ 16 2. Summary of potential environmental and social impacts and risks applicable to the proposed HCO……………... .................................................................................................................................. 16 2.1. Potential Environmental Benefits, Risks and Impacts .......................................................16 2.1.1. Potential Environmental Benefits ............................................................................................. 17 2.1.2. Potential Negative Environmental Impacts ............................................................................. 17 2.2. Potential Social Benefits, Risks and Impacts .....................................................................17 2.2.1. Potential Social Benefits ............................................................................................................ 18 2.2.2. Potential Key Social Risks ......................................................................................................... 19 3. Assessment of Ethiopia’s Environmental and Social Management System Relevant to the Proposed HCO .......................................................................................................................................... 20 3.1. Applicable National Policies, Laws, Plans, Strategies and Guidelines Related to Environmental Impact Assessment and Management ...............................................................21 3.2. Applicable National Policies, Laws, Plans, Strategies and Guidelines Related to Social Impact Assessment and Management ........................................................................................24 3.3. Institutional Roles and Responsibilities for Environmental and Social Impact Assessment and Management ........................................................................................................................33 3.3.1. Federal Level ............................................................................................................................... 33 3.3.2. Regional and Woreda Levels ..................................................................................................... 37 ii 4. Analysis of Implementing Agencies Environmental and Social Management Capacity, Coordination, and Performance .............................................................................................................. 38 4.1. Environmental and Social Management Capacity and Performance at Regional and Woreda Level .............................................................................................................................38 4.1.1. Oversight bodies .......................................................................................................................... 38 4.1.2. Basic Sectors ................................................................................................................................ 40 4.2. Coordination ......................................................................................................................42 4.3. Performance and Challenges..............................................................................................44 4.3.1. Gender and Gender Based Violence ......................................................................................... 44 4.3.2. Vulnerable and underserved groups ......................................................................................... 45 4.3.3. Social Conflicts ........................................................................................................................... 45 4.3.4. Grievance Redress Mechanism (GRM) ................................................................................... 46 4.3.5. Public Participation/Consultation.............................................................................................. 46 4.4. . Analysis of Environmental and Social Management Systems against Core Principles of PforR Financing .........................................................................................................................47 5. Environmental and Social Risk Rating and Recommended Actions of the Proposed HCO 60 5.1. Environmental and Social Risk Rating ..............................................................................60 5.2. Recommended Mitigation Measures and Program Action Plan (PAP) .............................62 6. Stakeholders Consultation and Disclosure ..................................................................................... 71 Annex 1: References ................................................................................................................................ 72 Annex 2: Recommended Mitigation Measures and Program Action Plan (PAP) ..........................1 Annex -3: Indicative investment menu of DLI 3.1: Improve learning outcomes in targeted woredas …………………………………………………………………………………………..4 Annex 4: Complementary World Bank Human Capital investments ..............................................5 Annex 5. Subprogram eligibility criteria................................................................................................. 7 Annex 6: Summary of Human Capital ProgramOperation Pilot Woreda on Institutional Arrangement, Capacity and ESM Practice of Oversight Agencies ..................................................... 9 Annex 7: Lists of Participants for HCO ESSA (Federal, Regional and Woreda Levels) ............... 14 iii Abbreviations and Acronyms ACSO Agency for Civil Society Organizations AGP Agricultural Growth Program BoFED Bureau of Finance and Economic Development BOLSA Bureau of Labor and Social Affairs BOWCY Bureau of Women, Children and Youth CALM Climate Action through Landscape Management CRGE Climate Resilient Green Economy DAs Development Agents EFCCC Environment, Forest and Climate Change Commission EFDA Ethiopia Food and Drug Administration EIA Environmental Impact Assessment EIO Ethiopian Institute of Ombudsman EPA Environmental Protection Authority ERA Ethiopian Roads Authority ESIA Environmental and Social Impact Assessment ESM Environmental and Social Management ESMF Environmental and Social Management Framework ESMS Environmental and Social Management System ESPES Enhancing Shared Prosperity through Equitable Services ESSA Environmental and Social System Assessment FSPC Federal Social Protection Council GBV Gender Based Violence GEQIPE General Education Quality Improvement Program for Equity GRM Grievance Redress Mechanism HCI Human Capital Index HCO Human Capital Operation iv HEP Health Extension Program HEWs Health Extension Workers HSTP Health Sector Transformation Plan IGTF Intergovernmental Fiscal Transfer MOA Ministry of Agriculture MOE Ministry of Education MoEFCC Ministry of Environment, Forest and Climate Change MOF Ministry of Finance MOH Ministry of Health MOLSA Ministry of Labor and Social Affairs MOP Ministry of Peace MoWCY Ministry of Women, Children and Youth MOWIE Ministry of Water, Irrigation and Energy NPDC National Planning and Development Commission PAD Program Appraisal Document PAP Program Action Plan PSNP Productive Safety Net Program PWD People living with Disability RPF Resettlement Policy Framework SA Social Assessment SESA Strategic Environmental and Social Assessment SNNP Southern, Nation, Nationalities and People SNNPR Southern, Nation, Nationalities, Peoples region WDC Water Development Commission WOCY Women, Children and Youth WoFED Woreda Finance and Economic Development v Executive Summary The Ethiopian economy is increasingly reliant on human capital. However, like other low-income countries, the country’s HCI score is pulled down by poor learning outcomes and a high child stunting rate. Cognizant of this fact, the government of Ethiopia has designed a10 Year Perspective Development Plan (2021-2030), which includes an emphasis on building human capital through equitable, quality education and health services. In line with this, the proposed Ethiopia Human Capital Operation (HCO) Program Development Objective (PDO) is to improve learning outcomes and nutrition services for girls and boys, and to strengthen service delivery and accountability, in all regions including areas affected by conflict, droughts and high levels of refugees. The Human Capital Operation (HCOO) comprises both PforR and IPF instruments. Accordingly, the HCOO aims to (i) incentivize outcome-oriented reforms at national and regional levels to improve the quality of service delivery across the country through the GPG; and (ii) create a new HC Special Purpose Grant (SPG) to target additional resources to woredas based on critical needs and tied to clear outcomes. The PforR component has two results areas and eight Disbursement Linked Indicators (DLIs) designed to achieve the PDO. DLIs are designed at two levels, national and woreda. The national DLIs were developed with participatory involvement from five sector ministries1 covering the four human capital sectors (health, education, water, and agriculture) and cross-cutting areas (gender, social protection) at federal, regional, and woreda levels to ensure their coordinated engagement in improving quality service delivery. Results area 1 adopts an outcome-based approach to contribute to the HCO PDO of improving learning outcomes and nutrition services for girls and boys, and to strengthen service delivery and accountability, in all regions including areas affected by conflict, droughts and high levels of refugees. Under results area 2, the Human Capital SPGs will have two windows of intervention —one to improve learning and the other to contribute to stunting reduction in the target woredas—directly linking to the HCO PDO targets for learning and nutrition. For each proposed PforR operation, the World Bank task team completes an ESSA. The ESSA process is a multistep methodology in which the Bank team (a) analyzes the E&S effects, including indirect and cumulative effects, of activities associated with the program; (b) analyzes the borrower’s systems for managing the identified E&S effects, including reviewing practices and the performance track record; (c) compares the borrower’s systems against the core principles and key planning elements; and (d) formulates recommended measures to address capacity for and performance on policy issues and specific operational aspects relevant to managing the Program risks. Regarding assessment methods, desk review, Key Informant Interviews, email and telephone exchanges, and stakeholder consultations were conducted. In addition to federal level offices, data was collected from six regions (three from the highland areas: Oromia, Amhara and SNNP and the other from lowland areas Gambella, Somali and Benishangul Gumuz region) and five HCO pilot woredas (Moyale, Yabello, Aware, Kemba, Ebinat). 1 MOH, MOE, Ministry of Agriculture (MOA), Ministry of Women and Social Affairs (MOWSA), and Ministry of Water and Energy (MOWE). The reform process in Ethiopia is overhauling the country’s policy and legal frameworks including proclamations, regulations, strategies, guidelines, etc. In line with this, the institutions that are responsible for the environment and social management are doing their level best to review and update relevant documents used for safeguards purposes. However, these frameworks require (1) harmonization and coordination among existing laws and regulations, and (2) effective implementation and enforcement. The ESSA describes the extent to which the applicable government environmental and social policies, legislations, program procedures and institutional systems are consistent with the ‘six core principles’ of OP/BP 9.00 and recommend actions to address the gaps and enhance performance during Program implementation. The analysis against the core principles is presented below. The ESSA analysis indicates that all the six core principles of PforR financing are applicable to HCO. Core Principle 1: General Principle of Environmental and Social Impact Assessment and Management Findings: The PforR components of the HCO finances recurrent expenditures (salaries for teachers, health and agricultural extension workers, and other frontline staff) in the five basic service sectors at wereda level. Main interventions will be implemented via general and special purpose grants (GPGs/SPGs), transferred to the Woredas. GPGs are, in line with earlier Bank- funded ESPES PforR, used mainly to pay for services provided by local government, i.e., salaries for frontline workers such as primary school teachers and health extension workers. SPGs will fund a convergent package of interventions that address the key drivers of child stunting and learning poverty. The SPGs will introduce innovative modalities to deliver high impact health, nutrition, and education services based on global evidence and national policies. The menu of interventions may include the following: On improving learning poverty: (i) scaling-up of community-based ECE (e.g. establishing new ECE centers, recruiting facilitators, and providing educational materials and games); (ii) scaling up ECE and equipping them with basic learning packages; (iii) improving pre-service, and in-service teacher training based on local needs, including innovative ways to improve reading skills and gender-based approaches; (iv) supporting classroom teaching through provision of scripted lessons and training; (v) strengthening school management committees, community outreach, and sensitization campaigns; (vi) supporting classroom construction, rehabilitation and other school infrastructure (e.g. separate latrines for girls, hygiene kits, and water systems to attract and retain girls in school) mainly in existing schools in pre-primary and secondary education; and (vii) providing financial incentives to encourage transition of girls to upper secondary school and retention in lower and upper secondary schools. Under contributions to stunting reduction, to increase access to diverse foods, depending on the context, the SPGs could provide livelihood and gender empowerment support for vulnerable households to increase their engagement in climate-smart livestock and/or nutrient-dense crop production. Cooking demonstrations will also be conducted to involve mothers and caretakers in the hygienic preparation of nutrient-dense meals using locally available ingredients and applying clean energy cooking practices, which could be reinforced through joint home visits by health and agriculture extension workers. To increase access to WASH, the SPGs could support the construction, maintenance, and usage of improved latrines and handwashing stations at the household level. Several of the stated activities may have adverse E&S impacts, i.e., classroom 2 construction, rehabilitation and other infrastructure, access to health and education services, livestock and crop production, latrine construction and maintenance. Social impacts may include exclusion from project benefits by vulnerable and underserved groups, GBV risks related to girls’ increased access to education, GBV/SEA/SH risks related to construction labor, etc. The program will have lots of social benefits. To ensure that the benefits reach underserved and vulnerable communities, it will be important that geography, gender, disabilities, and socio- economic status are taken into consideration during the design and implementation of the interventions. Land acquisition may be a risk in relation to construction activities, though minor because the constructions are planned to take place in existing school facilities. Overall, the program doesn’t pose direct effect that leads to adverse social or environmental impact however the limited institutional capacity especially at woreda level and contextual risk of social unrest in the country could affect the smooth implementation of the program which may entail substantial risk. This risk could be mitigated through the proper implementation of the Environment and Social Management System (ESMS), allocating required budget, assigning relevant staff, capacity building training managing the staff turnover and strengthening vertical and horizontal coordination. Core Principle 2: Environmental Considerations – Natural Habitats and Physical Cultural Resources Findings: The analysis confirmed that, although the Program investments would neither impact nor convert critical natural habitats, there may generate limited adverse effects on natural habitats as a result of school maintenance and expansion. There is a possibility that some schools might be located nearby natural habitats or areas rich in physical cultural heritage, and clearance of natural vegetation could occur during maintenance and expansion of schools and other facilities. There is limited awareness among implementing agencies regarding the existing environmental regulations or poor capacities about the PCRs and natural habitats. As a result, inadequate listing of the resources could happen and can also be lost unintentionally. The risks should be mitigated through a combination of dedicated enforcement of national legislation and existing guidelines. Core Principle 3: Environmental Considerations – Public and Worker Safety Findings: The Program finances construction activities that support classroom construction, rehabilitation and other school infrastructure (e.g., separate latrines for girls, hygiene kits, and water systems in school) mainly in existing school facilities. Rehabilitation, construction, and operation of subprogram activities may expose the workers, public, as well as students to risks. The core risks may be related to hesitance of the contractors and sub-contractors to spend on safety protective materials at work site and absence of medical facilities near construction sites that could treat injured workers. These risks could be mitigated through legal enforcement and supervision of the proper usage of safety protocols, including the wearing of PPE, as required. Core Principle 4: Social Considerations: Land Acquisition and Access Restriction to Natural Resources Findings: Under learning poverty, there could be land acquisition in the pilot/Special Purpose Grant woredas that will be supported by HCO, with minimal risk as the school related construction 3 is planned to take place mainly in existing school compounds. These involves supporting classroom construction, rehabilitation and other school infrastructure (e.g., separate latrines for girls, hygiene kits, and water systems to attract and retain girls in school), these activities will mainly be implemented in existing school compounds in pre-primary to secondary education. Furthermore, the water and sanitation related latrine construction is planned on latrine and handwashing stations at household level under stunting reduction window. Thus, high risk subprojects that will cause significant adverse impact will not be financed by the program. A procedure will also be in place ( as part of the Environment and Social management guideline as well ) to screen out potential resettlement of Project Affected People(PAPs). Core Principle 5: Social Considerations–Indigenous/underserved Peoples and Vulnerable Groups Findings: The findings of the assessment on vulnerable and underserved group indicate that, in almost all the regions, there are efforts put by government to support needs of vulnerable groups and provide required services to address their barriers and ensure the inclusion of all students irrespective of disability and to address the gap in gender inequality. The core risk could be favouritism in the process of selecting women development army volunteers to promote a multi- sector package of nutrition interventions alongside paid health and agriculture extension workers and a possibility of misappropriation of the financial incentives provided to encourage transition of girls to upper secondary school and retention in lower and upper secondary schools. Designing and implementation of inclusive interventions basing the needs of underserved communities and vulnerable people is vital. To reduce the risks, it may require ensuring equity and fairness on sharing of program benefits among vulnerable and underserved groups by having transparent criteria as well as follow up mechanisms. Moreover, it requires establishing strong coordination between health, education and Children, women and youth oversight bodies. Core Principle 6: Social Considerations – Social Conflict Findings: The proposed program will not exacerbate social conflict rather expected to contribute to social sustainability. However, due to program benefit sharing and construction activities, minimal complaints and conflict might happen. The core risks could be related to contextual security problem that has occurred in different parts of the country, projects as well as regular government activities related to basic services were interrupted. If this prevails during the HCO, similar implementation interruption could happen. Transparency about the program interventions by carrying out proper awareness sessions on the program activities, consultations and reaching consensus with different stakeholders before deciding program implementation sites and beneficiaries has paramount importance. In summary, the assessment revealed that, the institutions and legal frameworks are largely in place, and adequate to address the potential adverse E&S impacts that might arise. However, inadequate human resources in environmental and social safeguards in the regular programs of some of the organizations, such as the MOE and the MOA were observed. In addition, frequent turnover of technical staff is still a challenge. Coupled with this, the inadequate coordination and integration between basic service sectors and oversight bodies continues to limit progress and has remained to be a challenge for effective implementation of environmental and social management systems. Based on the ESSA findings, the program has Substantial environment and social risk associated with the E & S management capacity and implementation. The risks relate to capacity 4 and coordination gaps as well as implementation stage lack of application of standard procedures for risk screening and implementation of mitigation. The following key actions are proposed as mitigation measures to enhance implementing agencies’ capacity to properly meet the environmental and social requirements during the implementation of the proposed HCO: � Establish and Strengthen Environmental and Social Management System (ESMS) in the MoF and basic sectors at different levels. Some basic sectors that will be implementing the HCO such as MOE and MOA do not have safeguards unit in their regular program. Thus, it should be mandatory to establish Environment and Social Management unit at federal, regional and woreda levels in the basic sectors that do not have safeguard structures. This is consistent with the Proclamation for the establishment of environmental protection organs which stipulates the establishment of environmental units in the sectors. For the MoF the existing Social Development unit needs strengthening by assigning the required E & S staff and resources. Due to the current reform, there is frequent and wide-scale reshuffling and change of leadership of the basic sectors and oversight bodies. This creates gaps in awareness about environmental and social impact and risk issues. Therefore, continuous awareness raising and capacity building interventions should be made to put the leadership on track regarding safeguards issues. In addition, enhancing the capacity of newly recruited and assigned experts as well as technical staffs at regional and woreda levels is required. This should be complemented with relevant Environmental and Social Risk Management (ESM) guideline, the necessary logistics and budget. The Program will also benefit from supporting and follow up on functionality of the E & S system at Special Purpose Grant (SPG) woreda level, assessing E&S screening, preparation and implementation of the required safeguards instruments with appropriate mitigation measures. � Putting a Procedure in Place to Screen Out Potential Resettlement of PAPs Classroom construction, rehabilitation and other infrastructure has been envisioned to take place mainly in existing facilities . The program should put land acquisition procedures in place to screen out potential resettlement of PAPs. This should also be part of the Environment and Social Management guideline. The guide needs to include as well the GRM procedure and protocol for voluntary land donation. Furthermore, it is vital that the IAs should conduct timely and meaningful consultations with PAPs over the program implementation period along proper documentation on the same. � Develop Preemptive Conflict preparedness plan and build capacity to reduce the effects of conflicts In the case of contextual social conflict, some preemptive plan could be designed to minimize the negative effects of the conflicts. Such actions could include hiring and assigning staff at the project site that don’t need movement and storing some construction inputs in or around the subproject site as contingency. 5 If the community and other stakeholders are not properly consulted, it can be a source of conflict. Therefore, transparency about the program interventions by carrying out proper awareness sessions on the program activities, consultations and reaching consensus with different stakeholders before deciding program implementation sites and beneficiaries is important. Since there is a possibility of staff turnover as a result of conflicts, conducting wide-scale capacity building could help quick replacement of staff. Moreover, ensuring the functionality of established GRM at the basic sectors, finance offices and oversight bodies will help in conflict resolution. � Sexual Exploitation and Abuse/Sexual harassment (SEA/SH) prevention Students may not be aware about the potential risks associated with the arrival of construction workers in the school compound. Therefore, strengthening and supporting girls’ clubs in the target schools and making them aware about the SEA/SH prevention and response, the incoming GBV risks as a result of the constructions is vital for prevention. � Protecting and maintaining Natural habitat, and Physical Cultural Resources In order to minimize or avoid the negative impacts of HCO on natural habitats and physical cultural resources, it is necessary to take precautionary measures at the design and during site selection and screening of the subprojects. This could be better done in consultation with local community and relevant stakeholders in the basic sectors and oversight bodies. Accordingly, the following specific actions are proposed: o Ensure that impacts are not overlooked and screen all woreda-level projects for possible impacts on physical cultural resources and be alert to the possibility of chance finds. Thus, it is important to have a Chance Find procedures. o Assess the status and presence of sensitive species in the area and check no critical fauna and flora species are found within and around the construction area that could be affected by the program activities o � Strengthen workers and community safety prevention at workplaces One of the reasons for construction related accidents is reluctance in the use of PPE and limited follow up and supervision by the contracting or commissioning agency. Therefore, to improve this, the following actions are suggested: • Ensure Proper usage of safety protocols, including the wearing of PPE and the agreement with contractors should incorporate the provision of PPE and emergency kit as binding requirements. • Create awareness to the school community on the potential safety and health impacts of the construction. • Monitoring of contractors during construction of facilities. � Inclusion of Vulnerable and Underserved Groups The program should give due emphasis for the needs of the vulnerable and underserved groups to enable equitable access and benefit sharing. During HCO implementation, finance offices and the basic sectors, should take into account the situation and need of underserved communities, people with disability and other vulnerable or disadvantaged groups during services provision. This will include following the proper inclusive 6 procedure in constructing service infrastructures such as classrooms, toilets, etc. The program should document the procedures followed and major interventions undertaken to ensure inclusion of Vulnerable and Underserved Groups. � Performance Report, Review and Audit on Environmental, Social and Safety Management To follow up implementation of the suggested actions for mitigating potential negative environmental and social impacts, it would be helpful to organize periodic and regular review meetings and document their results. Therefore, MoF in collaboration with EPA, will take the responsibility of the annual performance report, review and bi-annual technical review meetings. Relevant stakeholders from the basic sectors and oversight bodies will take part in the review meetings. Furthermore, in order to confirm the proper implementation of environmental, social and safety measures, and check the proper implementation of environmental and social mitigation measures on the program SPG woredas, an independent body/the environment authority could be incentivized for review of the program activities and timely preparation of Environment and Social Annual Audits for the SPG woredas. Table 2 in the main report presents the suggested Program Action Plan (PAP) based on the ESSA findings. 7 1. Introduction 1.1. Program Description and Background The Ethiopian economy is increasingly reliant on human capital, which accounts for just over half of the country’s wealth. The contribution of human capital to the wealth has grown steadily, from 31 percent in 1995 to 51 percent in 2014. The country achieved the Millennium Development Goal on child mortality three years ahead of target and has made progress in child survival rates and primary education enrollment. Between 2005 and 2019, under-five child mortality decreased from 123 to 55 deaths per 1,000 births and the school population more than tripled, from less than 10 million to approximately 28 million. However, these improvements in human capital come from a low base of essential health, education, and water, sanitation, and hygiene (WASH) services and Ethiopia ranks among the bottom 21 of the 174 countries included in the Human Capital Index (HCI). The 2020 HCI estimates that a child born in Ethiopia today will only reach 38 percent of his or her potential, against a benchmark of complete education and full health. Like other low- income countries, Ethiopia’s HCI score is pulled down by poor learning outcomes and a high child stunting rate. The government’s Pathway to Prosperity: 10 Year Perspective Development Plan (2021-2030) includes an emphasis on building human capital through equitable, quality education and health services. Under this umbrella, the Education Sector Development Plan (ESDP VI) ((2020/21- 2024/25) strives to improve child learning outcomes and ensure that all children have access to pre-primary and secondary school. Similarly, the government made an ambitious commitment to eliminate child stunting by 2030 (Seqota Declaration, 2015). The National Nutrition Program (NNP II) supports the implementation of the Seqota Declaration through multi-sectoral actions and coordination structures. The follow-on to the NNP II, the National Food and Nutrition strategy, will create even stronger links between food security and nutrition and will be supported by a legal and institutional framework. The new HCO design complements and builds on the World Bank portfolio of support financed projects. The Bank portfolio projects include, Health Sustainable Development Goals (SDG) Program for Results (PforR), Ethiopia COVID-19 Emergency Response Project, Japan Social Development Fund (JSDF) Promoting Young Women’s Livelihoods and Nutrition Project, General Education Quality Improvement Program for Equity (GEQIP-E), Enhancing Shared Prosperity through Equitable Services. In addition, the program will improve services to accelerate stunting and learning poverty reduction by supporting the government’s Intergovernmental Fiscal Transfer (IGFT) program, as well as its overall 10-year human development plan and associated sector strategies. 1.2.Program Development Objective (PDO) and Program Components The Program Development Objective (PDO) is to improve learning outcomes and nutrition services for girls and boys, and to strengthen service delivery and accountability, in all regions including areas affected by conflict, droughts and high levels of refugees. The PDO will be measured through the following PDO-level results indicators: (a) Children who are able to read and understand a simple text by age 10 in 29 selected SPG woredas including woredas affected by droughts and high levels of refugees (b) Girls’ survival rate in secondary school in all regions including areas affected by conflict, droughts and high levels of refugees. (c) Children 0–59 months with diarrhea receiving treatment with Oral Rehydration 8 Salts (ORS) and zinc in low performing regions including in areas affected by conflict, droughts and high levels of refugees (d) Children 6–23 months fed a minimum acceptable diet in 29 selected SPG woredas including woredas affected by droughts and high levels of refugees (e) Woredas that engage citizens in planning and budgeting including in areas affected by conflict, droughts and high levels of refugees The program has three components: Component 1: PforR (US$270 million) (US$50 million IDA Credits and US$220 million IDA Grants) The component has two results areas and eight Disbursement Linked Indicators (DLIs) designed to achieve the PDO. DLIs are designed at two levels, national and woreda. The national DLIs were developed with participatory involvement from five sector ministries2 covering the four human capital sectors (health, education, water, and agriculture) and cross-cutting areas (gender, social protection) at federal, regional, and woreda levels to ensure their coordinated engagement in improving quality service delivery. The woreda-level DLIs and intervention packages are expected to be contextualized based on local needs assessments that will be conducted within four months of effectiveness, including in areas affected by conflict, droughts and high levels of refugees. Data collection for monitoring DLI achievement will take place at different levels of government and service delivery. Results area 1: Strengthen basic service delivery system to mitigate the impact of the crises (including conflict, droughts and high levels of refugees) on access and quality of basic services, nationally (US$200 million) (US$50 million IDA Credits and US$150 million IDA Grants) Results area 1 adopts an outcome-based approach to contribute to the HCO PDO of improving learning outcomes and nutrition services for girls and boys, and to strengthen service delivery and accountability, in all regions including areas affected by conflict, droughts and high levels of refugees. Results area 1 focuses on national outcomes that measure improvements in human capital through investment in health, education, water, and agriculture. Specific DLIs target learning and nutrition outcomes, teacher quality, and woreda government capacity for planning, budgeting and monitoring of service delivery across human capital sectors as well as promote awareness on climate change and refugees’ welfare and inclusion in the host communities’ socio-economic structures to realize the government’s mission on climate-resilient and green economy and enacted refugee’s law. These results are complementary to and/or build upon existing World Bank interventions. Results area 2: Improve learning outcomes and address stunting in selected woredas (US$70 million IDA Grants) Under results area 2, the Human Capital SPGs will have two windows of intervention—one to improve learning and the other to contribute to stunting reduction in the target woredas—directly linking to the HCO PDO targets for learning and nutrition. In support of each DLI outcome, a detailed package of interventions will specify eligible expenditures for SPG financing, and the SPG amount will be divided between learning and nutrition. In the 29 SPG woredas (22 woredas 2 MOH, MOE, Ministry of Agriculture (MOA), Ministry of Women and Social Affairs (MOWSA), and Ministry of Water and Energy (MOWE). 9 were selected either from regions affected by droughts or high levels of refugees, in particular, 11 woredas were selected from high level of refugees’ regions), the Woreda Office of Finance and Economic Development (WOFED) will receive the Human Capital SPG funding through Channel One based on the achievement of the DLI targets. The number of woredas per region was determined based on the approved number of Woredas (19) and the ranking of woredas using human capital indicators (10). A mix of high (5) and low (24) performing woredas were selected across nine regions (see Annex 3 for more detail). SPG disbursement will be based on individual woreda performance against the DLI targets, which will be developed for each woreda based on baseline data collection. Component 2: Investment Project Financing (IPF) (US$135 million, of which IDA Grants US$80 million IDA Grant, US$50 million IDA Credit, and US$5 million GFF Grant) The main objectives of the IPF component are to finance a package of interventions to improve human capital outcomes in areas affected by conflict, droughts and high levels of refugees, as well as to provide TA and capacity building support to strengthen systems and quality services across the country, with a particular focus on regions affected by drought and high levels of refugees. The activities under this component respond to the findings from the HCO technical assessments, including risk mitigation measures. Priorities and a menu of interventions for high-risk areas will be refined and documented in the POM based on findings from the planned needs assessment within four months of program effectiveness. Selection of interventions will be coordinated with the new Ethiopia PforR for Strengthening Primary Health Care Services Project (P175167), Additional Financing to GEQIP-E for Refugees Integration (P168411), and 3R-4-CACE Project to ensure complementarity and avoid overlaps. The IPF will allow the MOF to continually adjust to the changing situation in the conflict areas (Tigray, some part of Afar, Amhara, Oromia and Benishangul); to assess and review the situation in conflict areas and adapt accordingly, applying innovative approaches to address barriers identified as affecting essential service delivery, in keeping with the local situation. The TA is designed to support all levels of government. The summary of three subcomponents under the IPF component are described below. Subcomponent 2.1: Protect and improve human capital outcomes in areas -affected by conflict, droughts and high level of refugees (US$48 million IDA Grant) This subcomponent will focus on the design and implementation of multisector interventions in areas affected by conflict, droughts and high level of refugees, drawing from a menu of services based on area-specific priorities and global evidence. The subcomponent will support the delivery of basic services in a multisectoral setting with a special focus on resilience, system rebuilding, and socio-emotional support for children, adolescents, students, and communities and frontline staff in social sectors (education, health, agriculture and water). Potential activities include: (i) support resilience and rebuilding of service delivery systems in high risk, conflict-affected areas, (ii) support the education system in high-risk woredas affected the most by the conflict to recover learning losses, and (iii) support nutrition interventions in high-risk woredas affected the most by the conflict. Subcomponent 2.2: Building models for innovation to address learning poverty and reduce stunting in the selected SPG woredas (US$19 million IDA Grant and US$1 million GFF Grant for stunting reduction). 10 This subcomponent will support technical innovations for effective service delivery in the selected SPG pilot woredas. Capacity-building support will cover audio-visual learning programs, virtual science laboratories, E-learning platforms, and demonstration schools. Using a virtual learning modality will ensure continuous learning even in the case of floods and other natural disasters which prevent students from learning in person. To reduce stunting, TA will support harmonized Social and Behavior Change Communication (SBCC) approaches, technologies to strengthen GMP, and high-impact nutrition-sensitive linkages. Subcomponent 2.3: Strengthening systems and accountability for improved service delivery (US$50 million IDA Credit, US$13 million IDA Grant, and US$4 million GFF Grant for PBB support). This subcomponent will include support for: (i) strengthening participatory, multisectoral planning and budgeting, capacity building as well as quality data collection, verification, and utilization at federal, regional, zonal and woreda levels; (ii) strengthening the promotion, institutionalization and sustainability of Social Accountability and Grievance Redress Mechanisms previously supported under ESPES; PFM including PBB; governance, and procurement systems and reforms; Environmental and Social (E&S) safeguard systems, and revision of the guideline and trainings for Women Development Groups (WDG) as well as establishment of ‘gender equality hubs’ in the SPG pilot woredas to promote gender equality at community level; (iii) building government capacity at all levels to integrate refugees into the basic service delivery system to create medium- to long-term development opportunities for both the refugees and their host communities; (iv) building capacity in drought-affected areas for better preparedness for mitigation and adaptation of climate-related shocks, and (v) management and coordination of the overall program by the MOF and oversight of sector ministries and the cost of independent Third-Party Monitoring (TPM) if needed. It will include an impact evaluation to determine the effectiveness of the new innovations introduced under the SPG for potential expansion. Component 3: Contingent Emergency Response Component (US$0 million, of which IDA US$0 million) Considering the uncertain trajectory of the COVID-19 pandemic, ongoing droughts, new arrival of Somali refugees, the conflict situation in some parts of the country, the associated political, social and economic uncertainties the country is facing, and the possibilities of natural disasters that may affect the delivery of basic human development services, a CERC is included in the HCO as a zero-dollar component. If required, the CERC can be activated and funded during implementation to allow the GOE to rapidly reallocate uncommitted balance of IDA credit under IPF component, as appropriate, to support emergency response in relevant sectors and/or parts of the country. The PforR approach would allow the Bank’s intervention to better align with the Government’s strategy and focuses Bank support on helping governments to improve the design and implementation of their programs using program systems and directly linking achievement of results to the disbursement of Bank funds. Bank task teams work directly with program institutions to strengthen capacity and system performance over time— a critical input to promoting transparency and accountability in government programs. The HCOO will be implemented through institutional arrangements at the federal, regional, and woreda or urban local government levels, with clear division of tasks and responsibilities between the three levels. The MoF is responsible for managing the IGFT of the General-Purpose Grant 11 (GPG) and Human Capital Special Purpose Grant (SPG) and coordinating the core sector ministries implementing the HCO. The five sector ministries involved in Program implementation include: Ministry of Health (MoH), Ministry of Education (MoE), Ministry of Agriculture (MoA), Ministry of Women and Social Affairs (MoWSA), and Ministry of Water and Energy (MoWE). Other implementers include the Ministry of Planning and Development and the Environmental Protection Authority. The sector ministries and agencies will be responsible for supervision, monitoring, and reporting of their respective technical areas under the HCO. They will report to and coordinate with MoF on all activities. At the regional level, BoFEDs will have similar responsibilities at the regional level to that of the MoF at the federal level. Channel One Program coordination structures at the regional level, in collaboration with regional implementing bureaus/institutions, will facilitate program implementation and reporting under the HCO. At the local level, the WoFEDs and Urban Administration Offices of Finance will have responsibilities similar to those of the BoFEDs. Their responsibilities will also include undertaking regular M&E and coordination with the woreda sector offices among others. 1.3.Rationale for Bank Engagement and Relationships to CPF Investing in human capital will help Ethiopia meet its goal of achieving middle-income country status. The World Bank Group CPF for Ethiopia for 2018-2022 strives to assist Ethiopia in forging a more inclusive and sustainable growth path. The Bank is uniquely positioned to support the Government of Ethiopia to make critical fundamental shifts in its investment in basic services and human development to accelerate human capital formation. The Ethiopia Human Capital Operation also falls within the second phase restructuring of the World Bank support to the COVID-19 pandemic. Such investment is particularly urgent to mitigate the impacts of Coronavirus 2019 (COVID-19), which likely have wide-ranging and long-lasting negative impacts on human capital formation. The new Program design complements and builds on the current World Bank portfolio of support for government projects. Valuable lessons will be garnered from the Enhancing Shared Prosperity through Equitable Services (ESPES) PfoR Program (P161373) on the use of GPGs to deliver basic and resilient services, as well as the Ethiopia Social accountability Program (ESAP) (P162469) on the necessity of civic engagement to improve quality of services. However, multi-sectoral planning, need-based targeting, public sector capacity, performance-based principles, digital learning, innovative, evidence-based behavior change approaches, geographic convergence, and data quality and timeliness require greater attention to maximize outcomes of ongoing and future investment. The proposed Human Capital Operation (HCO) is also well placed to facilitate and support the Government’s objective to achieve a more multi-sectoral, outcome-oriented, and targeted approach in such investments. The Program aligns with the CPF’s emphasis on overcoming spatial inequality and fostering inclusiveness. It will identify and address pockets of extreme poverty and poorly performing woredas with a focus on improving key indicators of human capital in these areas, with a simultaneous national focus on improving quality of inclusive service delivery across the country. The Program also shares the CPF focus on strengthening geographic coordination across sector programs and strengthening government systems and capacity across the life cycle especially during the implementation of the HCO. The program will improve services to accelerate stunting, learning and poverty reduction by supporting the government’s Intergovernmental Fiscal 12 Transfer (IGFT) program, as well as its overall 10-year human development plan and associated sector strategies. 1.4.Purposes and Objective of the ESSA 1.4.1. Purposes The ESSA describes the extent to which the applicable government environmental and social policies, legislations, program procedures and institutional systems are consistent with the following ‘six core principles’ of OP/BP 9.00 and recommend actions to address the gaps and to enhance performance during Program implementation. The core principles are: • Promote environmental and social sustainability in the Program design; avoid, minimize, or mitigate adverse impacts, and promote informed decision-making related to the Program’s environmental and social impacts; • Avoid, minimize, or mitigate adverse impacts on natural habitats and physical cultural resources resulting from the Program; • Protect public and worker safety against the potential risks associated with: (i) construction and/or operations of facilities or other operational practices under the Program; (ii) exposure to toxic chemicals, hazardous wastes, and other dangerous materials under the Program; and (iii) reconstruction or rehabilitation of infrastructure located in areas prone to natural hazards; • Manage land acquisition and loss of access to natural resources in a way that avoids or minimizes displacement, and assist the affected people in improving, or at the minimum restoring, their livelihoods and living standards; • Give due consideration to the cultural appropriateness of, and equitable access to, Program benefits, giving special attention to the rights and interests of the Indigenous Peoples and to the needs or concerns of vulnerable groups; and • Avoid exacerbating social conflict, especially in fragile states, post-conflict areas, or areas subject to territorial disputes. 1.4.2. Objective The ESSA is a decision-making tool to be used by the Government of Ethiopia to strategize and provide guidance on implementation of the Human Capital Operation (HCO) in an environmentally friendly and socially acceptable manner. It is also a key instrument, which will enable the World Bank to conduct a focused policy dialogue, provide recommendations for institutional strengthening and address human capital sector development issues with specific focus on environmental and social sustainability in the context of the implementation of HCO. The ESSA is aimed to ensure that environmental and social issues and risks are addressed from an early stage in the process of formulating the environmental and social risk management policy and 13 guidelines in the proposed HCO PforR and are in line with the Bank’s Operational Policy/Bank Procedure (OP/BP) 9.00, Program for Results Financing. The specific objectives of the proposed Environmental and Social Systems Assessment (ESSA) for HCO are to: • establish clear procedures and methodologies for environmental and social planning, review, approval and implementation of the proposed program; • evaluate the institutional capacity of implementing agencies at all level (federal, regional, woreda and kebele) to manage the likely environmental and social effects in accordance with the country’s own requirements under the proposed Program; • prescribe institutional arrangements for the identification, planning, design, preparation and implementation of the sub-projects under the proposed program to adequately address environmental and social sustainability issues; • specify appropriate roles and responsibilities, and outline the necessary reporting procedures for managing and monitoring environmental and social concerns related to the proposed program; • assess the consistency of the borrower’s systems with core principles and attributes defined in the Program-for-Results Guidance Note on Environmental and Social Assessment; • identify the potential environmental and social impacts/risks applicable to the proposed HCO interventions; • establish the risks and potential negative environmental impacts of the Program and ensure that these will be subjected to an adequate initial screening so that relevant mitigation measures can be identified, prepared and implemented; • recommend specific actions for improving counterpart capacity during implementation to ensure that they can adequately perform their mandate; • design enhanced stakeholders’ consultation and participation approaches including stakeholder mapping to mitigate negative impacts and enhance benefits; • Ensure public participation and dialogue on HCO through a process of wide stakeholder consultations to include community groups especially the weaker and vulnerable sections, other Development Partners, Ministries, Civil Society and Private Sector; • assess the Program system performance with respect to the core principles of the PforR instrument and identify gaps in the Program’s performance; • determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESSA; and • describe actions to fill the gaps that will input into the Program Operational Manual in order to strengthen the Program’s performance with respect to the core principles of the PforR instrument. 1.5.Scope of the ESSA The ESSA looked at the overall country system of managing environmental and social impacts specifically related to the human capital development sector and linkage with other respective agencies such as the Environmental Protection Authority (EPA) at the federal level and its counterparts at the regional level. This section was based on the experience of the key institutions implementing the actions in the PAD related to environmental and social risk management. The assessment also covered the institutional responsibilities within the key implementing entities for implementing environmental and social management including responsibilities for carrying out 14 environmental and social analysis; internal review and clearance procedures; consultation processes; consultation with, and measures to assist vulnerable people; information disclosure; grievance redress mechanisms; supervision, monitoring and evaluation arrangements for avoiding or otherwise managing social conflict or other social risks; and the relevant legal and regulatory framework and procedures applicable to the program. 1.6. ESSA Process and Methodology The process of ESSA assessments, compilation and analyses of the results is in accordance with World Bank guidance for the PforR lending instrument, as contained in Chapter Four: Program Management of Environmental and Social Effects Guidance Note. The environmental and social system assessment includes: • A review of existing regulations, procedures and guidelines that apply to Human Capital Operation(HCO) PforR; • Environmental effects, including residual impacts, systemic risks such as the risk of not identifying significant impacts, potential consequences from inadequate enforcement of mitigation measures, as well as the operational risks of unexpected impacts, accidents and natural hazard; • Social effects, including residual impacts and systemic risk, consultation mechanisms, grievance mechanisms, information dissemination and disclosure, participation and transparency; • Identify newly introduced activities and analyze their effect on the E&S Management system; and • Assessment of the capacity to implement the environmental and social management system, including monitoring, supervision and reporting, at local, regional and national levels. In order to carry out the ESSA, the following methods were used taking into consideration the scope, objectives and purposes of the assignment. 1.6.1. Desk review The desk review was done in order to assess the existing environmental and social management systems (ESMSs), implementation capacity as well as to analyze how these systems are applied in practice. The ESSA preparation process was drawn on a wide range of relevant laws, policies and guidelines. Program documents and other reports of relevant World Bank financed projects and programs were reviewed. The review also included the national and regional states Proclamations and legal requirements related to environment and social management. Moreover, the review examined Program concept note or draft PAD, and other ESSA documents prepared by the World Bank for similar programs carried out elsewhere such as Enhancing Shared Prosperity through Equitable Services (ESPES), General Education Quality Improvement Program for Equity (GEQIP-E). Secondary information was also used in order to assess good practices and lessons of related previous interventions, identify existing gaps and plan for effectively dealing with the limitations. With these aims, an extensive review of pertinent literature was undertaken. 1.6.2. Interviews The ESSA team conducted Key Informants Interviews with representatives of Key implementing agencies (MOF MOE, MOA, MOH, MOWE-Water Development Commission, MOPD and ACSO). The interviews were made at national, regional and Woreda level as well as with representatives from community. In addition, interviews were conducted with environmental and 15 social management oversight agencies such as EPA to develop understanding on the potential Environment and Social benefits and risks, as well as related to the proposed Program intervention. The team conducted phone interviews and email exchanges in six regions, namely: Amhara, BenishangulGumuz, Gambella, Oromia, SNNP, and Somali. Because of limitations to carry out field level interviews and consultations due to COVID 19 restrictions and security issues, virtual meetings or interviews, email exchanges and phone interviews were used to collect the required information. Data was collected from six regions (three from the highland areas: Oromia, Amhara and SNNP and the other from lowland areas Gambella, Somali and Benishangul Gumuz region). Furthermore, additional data was collected from sampled pilot HCO woredas. These include Aware (Somali), Yabello and Moyale (Oromia), Ebinat (Amhara), and Kemba (SNNP). 1.6.3. Stakeholder Consultation and Disclosure Consultation is one of the crucial tasks of Environment and Social System Assessment that ensure active participation of communities and stakeholders. Involving local communities and other stakeholders in consultation process informs decisions about local priorities and needs and be considered in determining the overall concept and design of a program. The intervention encompasses the emerging regions in the lowland’s areas inhabited by pastoralists and underserved communities. Due to COVID 19 and security restrictions, local level community consultations were not carried out. However, the concerns, views and opinions of the community regarding the proposed HCO was collected from key stakeholders of the pilot woredas. Discussion with key stakeholders helped in the identification of potential scope and scale of associated environmental and social effects of the proposed HCO. This enables conclusions as to whether present systems to be utilized by the Program have the resources and authority necessary to mitigate unavoidable impacts and achieve maximal social and environmental benefits. It also helped identification of gaps and measures to enhance the Program systems and their performance. Moreover, a workshop will be held with technical staff from the Government (National and Regional). Finally, the ESSA for HCO will be publicly consulted, approved and disclosed in country and the World Bank. 2. Summary of potential environmental and social impacts and risks applicable to the proposed HCO In the following sections, the potential environmental and social benefits, risks and impacts that may be encountered as a result of the implementation of the Human Capital Operation are discussed. 2.1. Potential Environmental Benefits, Risks and Impacts The environmental effects for the PforR component related activities of HCO are assumed not to be significant, since most of the activities are aimed at incentivizing outcome-oriented reforms at national and regional levels to improve the quality of service delivery. However, since SPG will finance construction with potential negative environmental impacts, there could be some environmental risks. Whenever such risks occur, (a) mitigation measures can effectively reverse the potential negative environmental and social effects; and (b) consultation and public participation, using local knowledge whenever appropriate, could help reduce or avoid negative effects. 16 2.1.1. Potential Environmental Benefits Environmental Implications of Construction Activities Construction is the main employer outside agriculture. Therefore, it helps to generate local employment. In addition, the sale of construction materials can help as an income and employment generation for landless rural youth. In some instances, open quarries could be used, with little modification, as water ponds for livestock. 2.1.2. Potential Negative Environmental Impacts 1. Negative Environmental Implications of Construction Activities Activities such as getting construction materials from the source can leave the area open and dangerous for the surrounding community. In addition, it can result in accumulation of standing water, which will be a breeding place for mosquitos. In addition, loss of vegetation that could provide protection to the watershed and depletion of biodiversity of national or international importance could happen. Thus, recognizing these negative impacts and developing appropriate mitigation measures is required. In line with this, though it may require strict follow up and supervision, the rural road authority has a regulation that obliges construction firms to close opened pits and quarries after use. In all schools parent and teachers’ committees are established. These committees in addition to addressing educational quality issues, they involve in all aspects of school related activities including the environment. Therefore, additional awareness creation to the school committee will help to curb negative environmental risks that may occur. With regard to health issues, the negative impacts of construction related activities such as dust, piling of construction inputs and debris, and unregulated water flow. These risks can be mitigated through proper implementation of the health facility construction guidelines. 2. Negative Implications for Natural Habitat and Physical Cultural Resources It is highly unlikely that natural habitats will be disturbed. The constructions activities to be supported by the program will be in the existing school compounds and inhabited areas. Therfore, they will not have direct impacts on natural habitats.. Regarding physical cultural resources the EIAs do not give due attention, even though Ethiopia is particularly rich in tangible cultural heritage. To ensure that impacts are not overlooked, it is important to screen all woreda-level projects for possible impacts on physical cultural resources, and to be alert to the possibility of chance finds. Although it is advisable to strengthen the ESMS in this aspect, the program activities impact on physical cultural resources is insignificant 3. Potential for Depletion and Pollution of Surface and Groundwater Resources Water required for construction purposes and it could potentially place greater demand on both surface and groundwater resources. The risk that the construction activities in the sectors supported by the HCO will over-extract groundwater remains very low. If liquid discharges from structures such as health institutions are released into nearby water systems, they could have an adverse impact on water quality, resulting in pollution with solid waste debris, wastewater, and silt. Committees that are formed around health facilities could be made aware and strengthened to look after these kinds of issues. 2.2. Potential Social Benefits, Risks and Impacts HCO funded activities are not expected to cause significant negative social impacts rather benefits the society by strengthening capacity of the basic sectors through salary and operational cost 17 coverage. It supports salaries for teachers, health and agricultural extension workers and other frontline staff. Besides, the contextual security risk with the current social conflict in different parts of the country may affect the smooth implementation of the program and pose potential risk on workers’ health and safety. In the following sections, some of the potential social benefits, impacts and risks that may be encountered as a result of certain activities implemented by HCO are described. 2.2.1. Potential Social Benefits 1. Improvement in Public Service Delivery and community empowerment - As the program is planned to support salaries for teachers, health and agricultural extension workers, and other frontline staff, disadvantaged areas and communities will have better opportunity for getting access to quality service. - It increases citizen awareness of package of social services they are entitled for. - Increase access to information and generate demand for quality health and education services, while also improving key nutrition and hygiene behaviors. 2. Improved access to basic education by children with mental or physical disabilities 3. Improved access to quality education, especially among the poor and rural households 4. Encouragement for girls to go to and stay in school and encouraging greater school attendance of school-aged boys and girls A. Encouraging girls to go to school and stay in school The program provides financial incentives and making school going girls focus on their education rather than using their extra time for income generation activities. It can also improve the communities’ perception towards girls’ education and encourage more girls to attend school. As the program supports classroom construction, rehabilitation and other school infrastructure (e.g. separate latrines for girls, hygiene kits, and water systems); it will attract and retain girls in school. B. Encouraging greater school attendance The program supports classroom construction, rehabilitation and other school related capacity building activities. This enables to accommodate a greater number of school-aged boys and girls to attend school. 5. Enhancing quality education and reducing the effect of stunting - The program support related to improving educational quality through innovative educational models will give better opportunity to improve boys and girls attentively attend classes, easily capture the educational content and be motivated to continue their education. - HCO implements innovative approaches geared towards reducing stunting. This in turn will enhance the understanding capacity of boys and girls to actively participate in their education, be an able and productive citizen and create a healthy society. - 18 6. Improvement in Livelihood The program has plan to engage in livelihood interventions (such as animal-fattening, manufacture of furniture or artefacts, poultry keeping, trading in fuelwood, poles or charcoal, processing of agricultural residues for animal feed production) targeting households with adolescents, pregnant and lactating women and young children. This will improve the skill and knowledge of the target group on getting better employment and income. It also improves food security of the household. In addition, because of the new business, facilities and income-generation activities, the community will get better services. 7. System improvement All round reforms have brought positive changes in different aspects of government operations. The specific reforms in policies, proclamations, regulations, strategies, guidelines and plans are detailed in section 3.1. The detail includes useful reforms, which will have positive consequences on ESM related practices. 2.2.2. Potential Key Social Risks The main risks associated with the proposed HCO could be: 1. Risk of economic and physical displacement due to Land Acquisition Though the risk will be minimal as construction is planned to take place at household level for latrines and other constructions mainly in existing school compounds, land acquisition may be one of the concerns of the proposed HCO during discussions with the basic sector implementers and oversight bodies. This is due to the program’s involvement in the construction of schools, expanding the existing premises of schools may demand newly acquired land though minor. This may cause limited economic and physical displacement. 2. Risk on Public & workers’ health and safety Operations related to the Program particularly in the construction of infrastructure including schools may engage workers/employers. This will expose construction workers to different kinds of accidents that could lead to injury, loss of livelihoods. In addition, livelihoods interventions such as poultry keeping could result in health complications from using drugs or chemicals if there is gap in health and safety measures. 3. Prevalence of contextual conflict may pose implementation risk The proposed program will not exacerbate social conflict. However, contextual risk related to civil unrest (ethnic-based conflicts) may pose implementation risk because, it may disrupt access to program implementation sites. There might be conflict, which may arise because of complaints for not being included in the HCO. Besides, there could be social conflict arising from degradation caused by livestock overgrazing resulting from animal-fattening, which can be used as livelihoods interventions. Civil unrest (ethnic-based conflicts) that may happen due to the above or other reasons, may pose implementation risk because it may disrupt access to program implementation sites. In addition, such conflicts can result in staff displacement and turnover, and communication gap due to document/knowledge loss in government offices. ESM being one of the activities of the government, the aforementioned negative consequences of conflict will affect its effective implementation. 19 4. Risk of SEA/SH Discussion conducted with the basic sector and oversight bodies’ representatives during ESSA showed that the prevalence of GBV, particularly sexual harassment, rape and early marriage in some of the program areas as per the country context. The HCO may escalate the prevalence of SEA/SH due to the school construction activities that could result in influx of workers. New workers will be hired for the construction activities in the schools that could result in SEA/SH if workers are not well orientated and properly managed that could pose some risk. 5. Risk of Implementing Agencies Reluctance to Build the Institutional Capacity for Environmental and Social Management During HCO ESSA preparation, the institutional capacity and practices of basic sectors and oversight bodies for ESM was found to be weak and gaps in coordination despite the fact various efforts were made by ESPES to improve capacity. Since capacity building is pivotal for proper implementation of ESM, the current ESSA has recommended it as one intervention. Therefore, if there is gap in regular reviews and capacity building interventions are not implemented effectively, there will be a risk that woreda offices will lag behind in implementing ESM. 6. Risk related to the exclusion of vulnerable and underserved groups and individuals from program benefits. As there is limited awareness and tendency by officials to consider the different groups as similar, there is always a possibility to overlook the need of the vulnerable and underserved groups that results in exclusion of such groups. Therefore, it is imperative to give attention to the needs and concerns of these groups during the program planning, implementation and monitoring using available documents and proper consultations. 3. Assessment of Ethiopia’s Environmental and Social Management System Relevant to the Proposed HCO The Bank’s PforR financing policy sets out core principles and key planning elements intended to ensure that program’s operations are designed and implemented in a manner that maximizes potential environmental and social benefits, while avoiding, minimizing, or otherwise mitigating environmental or social harm. To this end, it requires that all operations function within an adequate legal and regulatory framework to guide environmental and social impact assessment and management. This section reviews the policies, laws, and regulations relevant to Human Capital Operation implementation at the national level, designed to manage environmental and social systems; Ministry of Finance, basic sectors and oversight bodies’ environmental and social management practice and performance; and analyze the environmental and social management systems against core principles of World Bank’s PforR financing. The reform process in Ethiopia is overhauling the country’s policy and legal frameworks including proclamations, regulations, strategies, guidelines, etc. In line with this, the institutions that are responsible for the environment and social management are doing their level best to review and update relevant documents used for safeguards purposes. However, these frameworks may require (1) harmonization and coordination among existing laws and regulations, and (2) effective implementation and enforcement. In the following sections, detail discussions of the applicable environmental and social management policies, laws, plans, guidelines, and strategies are presented. 20 3.1. Applicable National Policies, Laws, Plans, Strategies and Guidelines Related to Environmental Impact Assessment and Management A. The Constitution The Federal Democratic Republic of Ethiopia (FDRE) Constitution provides the overriding principles for all legislative frameworks in the country. The right of Ethiopian people to clean and healthy environment is enshrined in the Constitution under the following articles. Article Description of the Issues raised under the article 43 The Right to Development identifies citizens’ right to improved living standards and sustainable development and participates in national development and to be consulted with respect to policies and programs affecting their community. 44 Environmental Rights stipulations that all citizens have the right to a clean and healthy environment; and those who have been displaced or whose livelihoods have been adversely affected as a result of state programs have a right to commensurate monetary or alternative means of compensation, including relocation with adequate state assistance. 92 Environmental objectives are identified, as government would endeavor to ensure that all Ethiopians live in a clean and healthy environment. The design and implementation of programs would not damage nor destroy the environment. Citizens also have a right to full consultation and to expression of views in the planning and implementation of environmental policies and programs that directly affect them. Government and citizens would have the duty to protect the environment. The above-stated constitutional provisions are directly related to core principles 1-5 of Operational Policy (OP)/Bank Procedure (BP), and lay down the basis for the issuance of specific rules and regulations in subsidiary legislations. B. Relevant National Policies Environmental Policy of Ethiopia (EPE) EPE was approved by the Council of Ministers in 1997. It is comprised of 10 sector and 10 cross- sector components, one of which addresses Human Settlements, Urban Environment and Environmental Health. The Policy contains elements that emphasize the importance of mainstreaming socio-ecological dimensions in development programs and projects. The goal of the Policy is to improve and enhance the health and quality of life of all Ethiopians and to promote sustainable social and economic development through sound management of the environment and use of resources so as to meet the needs of the present generation without compromising the ability of future generations to meet their own needs. The Environmental Policy provides a number of guiding principles that require adherence to the general principles of sustainable development. C. National Proclamations i) Environmental Protection Organs Establishment Proclamation, No. 295/2002 The objective of this Proclamation is to define coordinated but differentiated responsibilities of environmental protection agencies at federal and regional levels, and sector environmental units. Thus, the Proclamation aims to lay down a system that fosters sustainable use of 21 environmental resources, thereby avoiding possible conflicts of interests and duplication of efforts. By Proclamation No. 803/2013, the former Environmental Protection Authority (EPA) was upgraded to t h e M inistry of Environment and Forest (MEF) then to MEFCC which became Environment, Forest and Climate Change Commission (EFCCC) accountable to the Prime Minister’s office. In the new government, which was formed in September 2021, it was reorganized as Environmental Protection Authority, accountable to the Ministry of Planning and Development. All the duties and responsibilities of the former EFCCC were accordingly entrusted to the newly reorganized EPA. Definition of Powers and Duties of the Executive Organs Proclamation No.916/2015 This Proclamation redefines the mandates of several federal government agencies including that of the environment. It makes amendments to previous laws and provides for expanded responsibilities to the Ministry of Environment and Forest, adding ‘climate change’ to its naming and the responsibilities of climate change mitigation and adaptation to its mandate. The EFCCC was reorganized as EPA by Proclamation No. /2021. Sectoral Environmental Units: Concerned line ministries are required by Proclamation No. 295/2002 to establish or designate an environmental unit that shall be responsible for coordination and follow-up of their activities to make sure that they are in harmony with the Proclamation and other environmental protection requirements. Regional Environmental Protection Agencies (REPAs): Proclamation No. 295/2002 decrees that national regional state shall establish an independent regional environmental agency or designate existing agencies to ensure public participation in the decision-making process, based on the Ethiopian Environmental Policy, and the National Conservation Strategy. i) Environmental Impact Assessment Proclamation No. 299/2002 Proclamation No. 299/2002 makes environmental impact assessment (EIA) a mandatory requirement for the implementation of major development projects, programs and plans. The Proclamation is a tool for harmonizing and integrating environmental, economic, cultural, and social considerations into decision making processes in a manner that promotes sustainable development. The law clearly defines: a. Why there is a need to conduct EIAs; b. What procedure are to be followed in order to implement EIA of the project; c. The depth of environmental impact studies; d. Which projects require full EIA reports; e. Which projects need partial or no EIA report; and f. To whom the report has to be submitted. Under the Proclamation, development projects and programs that are likely to have negative environmental and social impacts are subject to an EIA process. With regard to development projects, Article 3(1) of the Proclamation stipulates that no person shall commence implementing proposed projects that are identified by a directive as requiring EIA, without first passing through an EIA process and obtaining authorization from the concerned environmental agency. In line with this, Article 7 of the Proclamation requires project proponents to carry out EIA on them and submit 22 the report to the concerned environmental organ, and, when implementing the project, fulfill the terms and conditions of the EIA authorization given to them. Furthermore, Article 3 of the Proclamation obliges licensing institutions, before issuing investment permits or operation licenses to projects, to ensure that the relevant environmental bodies have authorized the implementation of the projects. In addition, Article 12 requires such licensing institutions to suspend or cancel the permit or license they have issued for projects if the concerned environmental body has withdrawn the authorization given for the implementation of the project. These provisions are important to ensure that project owners comply with the EIA requirements. The Proclamation also provides for public participation in the EIA process. Articles 15 requires environmental bodies to ensure that the comments made by the public, in particular the comments by the communities, likely to be affected by the implementation of a project, are incorporated into the EIA study and project evaluation reports. Moreover, the Proclamation decrees environmental bodies make EIA study reports accessible to the public and solicit comments on them. The proposed amendment to the 2002 EIA Proclamation changes the title and other provisions of the proclamation to explicitly reference environmental and social impact assessment and management. The EPA and its regional counterparts will assess social impacts alongside environmental ones, and this change will require enhanced communication and collaboration processes with relevant sources of social expertise as well as the development of new capacities at the regional and federal level. These changes will result in additional human resources and capacity building needs within the EFCCC, related ministries and regional authorities. The federal competent authority, the EPA and its regional counterparts each have designated responsibilities to assess and manage environmental and social impacts. EPA has overall responsibility for the national ESIA system and is the lead agency for federal or trans-regional projects. Regional authorities are responsible for interpreting federal ESIA guidance within their region and overseeing the ESIA process for regional projects. ii) Solid Waste Management Proclamation No. 513/2007 Proclamation 513/2007 aims to promote community participation in order to prevent adverse effects and enhance benefits resulting from solid waste management. It provides for preparation of solid waste management action plans by the concerned government sector and other agencies/institutions. D. National and Sectoral Plans i. Ten-Year Development Plan Environment and Climate Change: In the Ten Years Development Plan, activities in the environment and climate change focus on ensuring sustainable development by developing, enriching, maintaining and protecting the country’s environment, forests, wildlife and other biodiversity resources. It also focuses on sustainable utilization and maintenance of healthy ecosystem interactions. The plan has laid out to achieve by increasing the greenhouse gas 23 emissions reduction capacity from the present 92.7 million metric tons of carbon dioxide equivalent (CO2E) to 162.3 million metric tons of carbon dioxide equivalent. It also intends to increase the coverage of protection against illicit activities in wildlife habitats from 62% to 92%, increase national forest coverage from 15.5% to 30%, increase the wildlife habitats from the present area of 8.6% to 14%, increase the number of enriched wildlife and biodiversity species from 311,470 to 743,447, and the number of species maintained from 179,285 to 764,361. ii. Ten-Years Agricultural Plan The Ten- Years Agricultural Plan mentions that natural resource will be developed taking into consideration the different agro-ecologies and watersheds. In doing so, appropriate technologies and required inputs will be introduced and used. During implementation, active community participation will be ensured, specifically women and youth. The specific focus of natural resource management will consider soil, water, forest, and common grazing land in pastoral areas. In addition, the Ten- Years Agricultural Plan regarding sustainable rural land administration and use intends to reduce land related conflicts from the current 20% to 15%. In addition, the plan intends to increase landowners’ access to credit. It also intends to develop land use policy in the coming years. In line with the implementation of the CRGE Strategy, the Ten-Years Agricultural Plan intends to increase reduction in greenhouse gas emission from the current 36.84 million metric tons to 125.8 metric tons. E. Guidelines Various environmental guidelines related and applied to this proposed program are stipulated and being functional at national and regional level, some among others are the following: 1 . Environmental Impact Assessment Procedural Guideline (2003) 2. Guideline for Social, Environmental and Ecological Impact Assessment and Environmental Hygiene in Settlement Areas (2004) 3. Environmental and social impact assessment guidelines The former EPA prepared a series of environmental and social impact assessment guidelines for the different sectors, outlining the key issues, principles, procedures and processes to be adopted and adhered to avoid and/or mitigate potentially negative environmental and social impacts during project planning, implementation and operation by government, public and private entities. Some of the guidelines are generic and are applicable in different sectors, and there are also sector specific guidelines prepared for key environmental and social issues to adhere to during the ESIA process in those specific sectors. 4. Environmental and Social Management Plan Preparation Guideline, Nov. 2004 The guideline provides the essential components to be covered in any environmental management plan (e.g., identified impacts, mitigation measures, monitoring, capacity building, etc.) and structured formats for mitigation measures, monitoring and institutional arrangements. 3.2.Applicable National Policies, Laws, Plans, Strategies and Guidelines Related to Social Impact Assessment and Management 24 In the Ethiopian context, the term environmental management also covers social issues. However, there are social issues that require special attention and analysis since social benefits cannot be guaranteed unless programs/projects are designed in an inclusive manner. This means ensuring distribution of benefits to all sections of the society including vulnerable groups in the design. Therefore, there is a requirement to ensure that the program or projects are planned and implemented so that they maximize benefits. In order to assess the adequacy of the social management system, relevant policies, laws, and regulations are summarized. A. The Constitution The Ethiopian Constitution recognizes the presence of different socio-cultural groups, including historically disadvantaged and underserved communities, pastoralists, agro-pastoralists, and ethnic minorities, as well as their rights to socioeconomic equity and justice. Article Description of the Issues raised under the article 25 The Right to ‘Education For All’ is enshrined in the Constitution which provides for a range of fundamental rights including: the right to equal and effective protection without discrimination. 35 Special attention to the rights of Women guaranteeing affirmative action to address inequality and discrimination 36 The rights of children are constitutionally protected against harassment and violence in schools and other institutions responsible for the care of children. 39 The Constitution recognizes the rights of groups identified as “Nations, Nationalities and Peoples�. The Constitution depicts the rights of these Nations, Nationalities and Peoples to: self-determination, including the right to secession; speak, write and develop their own languages; express, develop and promote their cultures; preserve their history; and, self-government, which includes the right to establish institutions of government in the territory that they inhabit and equitable representation in regional states and federal governments. 40 “Land is a common property of the Ethiopian Nations, Nationalities and Peoples of Ethiopia and shall not be subject to sale or to other means of exchange�. The Constitution states that the Government has the right to expropriate private property for public use subject to payment in advance of compensation commensurate to the value of the property. The Constitution lays down the basis for the property to be compensated in case of expropriation as a result of State programs or projects in both rural and urban areas. Persons who have lost their land as a result of acquisition of such land for the purpose of public projects are entitled to be compensated to a similar land plus the related costs arising from relocation; assets such as buildings, crops or fruit trees that are part of the land etc. Article 40 (7) of the Constitution states the right of citizens to develop the land and to have immovable property and make permanent improvements. 41 Article 41 of the Constitution (Economic, Social and Cultural Rights) states that every Ethiopian has the right to access publicly funded social services. Sub Article 5 of the same article stipulates, the state, within available means, should allocate resource to provide rehabilitation and assistance to physically and mentally 25 disabled, the aged and to children who are left without parents or guardians. It also protects the rights of ethnic groups within Ethiopia in terms of their use of mother tongue, and the protection of culture and identity, and equal representation in regional states and the federal government. Moreover, provision is made for the conditions of equal opportunities and full participation of people with disabilities. 42 The article stipulates that ‘workers have the right to a healthy and safe work environment’, obliging an employer (be it government or private) to take all necessary measures to ensure that workplace is safe, healthy and free of any danger to the wellbeing of workers. 44 Regarding displacement of the public due to development projects, “All persons who have been displaced or whose livelihoods have been adversely affected as a result of state programs have the right to commensurate monetary or alternative means of compensation, including relocation with adequate state assistance�. 54 The Constitution recognizes existence of “national minorities�. It states “members of the House [of Peoples Representatives], on the basis of population and special representation of minority Nationalities and Peoples, shall not exceed 550; of these, minority Nationalities and Peoples shall have at least 20 seats.� These groups have less than 100,000 members and most live in the ‘Developing Regional States’. 89 Article 89 (2) of the Constitution stipulates: ‘The Government has the obligation to ensure that all Ethiopians get equal opportunity to improve their economic situations and to promote equitable distribution of wealth among them’. Article 89 (4) in particular states: ‘Nations, Nationalities and Peoples least advantaged in economic and social development shall receive special assistance’. 90 It states: “To the extent the country’s resources permit, all Ethiopians are guaranteed access to education in a manner that is free from any religious influence, political partisanship or cultural prejudices.� B. Proclamations, Policies, Regulations, Strategies and Guidelines i. Proclamation on Rural Land Administration and Land Use No. 456/2005 The objective of the Proclamation is to conserve and develop natural resources in rural areas by promoting sustainable land use practices. In order to encourage farmers and pastoralists to implement measures to guard against soil erosion, the Proclamation introduces a Rural Land Holding Certificate, which provides a level of security of tenure. Ministry of Agriculture is charged with the responsibility of executing the Proclamation by providing support and coordinating the activities of the regional authorities. Regional governments have an obligation to establish a competent organization to implement the rural land administration and land use law. The Proclamation imposes restrictions on the use of various categories of land, for example wetland areas, steep slopes, land dissected by gullies, etc. ii. Expropriation of Land for Public Purposes, Payments of Compensation and Resettlement of Displaced People Proclamation No. 1161/2019 FDRE House of People’s Representatives has recently rectified Proclamation No.1161/2019 that deals with “Expropriation of Land for Public Purposes, Payments of Compensation and Resettlement of 26 Displaced People�, and replaced the previously active legislation on the matter i.e. Expropriation of Land and Compensation Proclamation No. 455/2005. The new Proclamation gives priority rights to develop Land for the Landholders when the capacity of the Landholders to develop the land as per the approved land use plan; urban structural plan; or development master plan is presented. It states, “Landholders whose holdings are within the area prescribed to be redeveloped shall have priority rights to develop their lands according to the plan either individually or in a group� (Article 7, sub - article 1-2). Generally, the new Land expropriation, compensation payment and resettlement Proclamation, compared with the Proclamation No. 455/2005, has improved a number of issues related to compensation and resettlement, among others, the major improvements are: • Number of years for permanent loss of farmland has increased from ten (10) years into fifteen (15) years; • The number of consecutive years of productivity of crops and price considered for compensation estimate is reduced from five (5) to three (3) years of which the best productivity and price of the three (3) years is to be considered; • Time limit for the landholder to whom compensation is not paid after estimation, can use the land for former purpose is added in the new proclamation (Article 3, sub-article a, b and C); • Number of days of notice for illegal holders is set to be thirty (30) days (Article 8); • Displaced People shall be compensated for the breakup of their social ties and moral damage they suffer as a result of the expropriation (Article 4e); and • Provision on resettlement packages that enable displaced people to sustainably resettle (Article 16, sub-article 2). Land Related Grievance Redress Mechanism as Per Proclamation No. 1161/2019 a. Establishing Complaint Hearing Body and Appeal Council According to Proclamation No. 1161/2019, article 18 (1) “Regional States, Addis Ababa and Dire Dawa City Administrations shall establish Complaint Hearing Body and Appeal Hearing Council which shall have jurisdiction to entertain grievances arising from decisions under this Proclamation�. Under sub-article 2, “Regional States, Addis Ababa and Dire Dawa City Administrations may establish Complaint Hearing Body and Appeals Hearing Council in some of their towns as deemed necessary.� Under sub article 3, “The structure, powers and duties of the Complaint Hearing Body and Appeal Hearing Council shall be determined in a Regulation that shall be enacted to implement this Proclamation.� b. Complaints Proclamation No. 1161/2019, Article 19 (1) regarding complaints states that, “Any person who received an order of expropriation of his landholding; or who has an interest or claim on the property to be expropriated may file an application within 30 (thirty) days of service of the order to the Complaint Hearing Body�. Further, sub-article 2 indicates that after investigating the complaint submitted to it, the complaint hearing body, shall make its decisions within 30 (thirty) days of the filing of the application and notify in written to the parties. c. Appeal 27 Article 20 (1) of Proclamation No. 1161/2019, states that “A party who is aggrieved with the decision given under Article 19 sub-article 1of this proclamation shall file an appeal to the Appeal Hearing Council within 30 (thirty) days of the receipt of the written notice of the decision thereof.� Under sub- article 2, “The party who is dissatisfied with the decision has the right to continue his claim; however, for the continuance of the development, he has to surrender his land holdings.� Moreover, under sub- article 3 of the proclamation “If the land holder faces economic loss due to the expropriation and is unable to file an appeal, the government shall arrange for free legal services.� d. Taking Over Land under Complaint As per the Proclamation No. 1161/2019 sub-article 1, “If the person who received an order of evacuation of his landholding filed a Complaint application as per this Proclamation, the Woreda or City administration may take over of the land only where: • The appeal is affirmed as per article 19 sub-article 1of this proclamation and failed to make an appeal on that decision; or • The landholder failed to make an appeal as per Article 20 sub-article 2 of this proclamation. Furthermore, the Proclamation No. 1161/2019 sub-article 2 noted that “Notwithstanding to sub-article 1 of this Article where Land under complaint is illegally occupied land, the Woreda or Urban Administration may takeover the land after removing the property, demolishing building on the land.� iii. Proclamation on Public and Workers Health and Safety Proclamation No. 624/2009 and regulation no. 243/2011 serves to protect the safety of the public and workers in the construction sector. Articles 31 and 36 state the precautionary measures to be taken during construction and necessary facilities required by persons with disabilities in public buildings. Labor safety and protection activities are handled by different institutions. However, the Ministry of Labor and Social Affairs (MOLSA) is mandated to design mechanisms that ensure the safety and health of workers. In line with this, Proclamation No. 1097/2018, which specifies the powers and duties of the federal ministries has given MOLSA, in article 29(3) to “establish a system to prevent occupational accidents and occupational diseases; issue occupational health and safety standards and supervise their implementation;� under sub-article 4, it also gives power to “set up a system to ensure industrial peace and ensure its proper implementation�. Therefore, MOLSA is better placed to coordinate tasks related to labor safety and health in collaboration with other similar organizations. In addition, the Labour Proclamation No.1156/2019 is enacted to “create favorable environment for investment and achievement of national economic goals without scarifying fundamental workplace rights by laying down well considered labour administration; and determine the duties and responsibilities of governmental organs entrusted with the power to monitor labour conditions; occupational health and safety; and environmental protection together with bilateral and tripartite social dialogue mechanisms; political, economic and social policies of the Country�. iv. Proclamation No. 1097/2018 on Gender Based Violence In relation to Gender Based Violence, proclamation No. 1097/2018, article 28 (f & g) bestow powers and duties to the Ministry of Women, Children and Youth to: “design strategies to effectively prevent and take measures against gender-based violence against women; implement 28 same in collaboration with relevant organs; facilitate the setting up centers for provision of holistic health, psychological, legal and rehabilitation services for women who were victims of violence; and follow up the implementation of same.� V. Cultural Policy One of the prime objectives of the Ethiopian Cultural Policy, adopted in 1997, is to create an enabling environment for the equal recognition and respect of the languages, heritages, histories, fine arts, oral traditions, and belief systems of the various nations, nationalities, and peoples of Ethiopia, and for their preservation, conservation and transfer to future generations. vi. The National Policy on Ethiopian Women (1993) It underlines the need to establish equitable and gender sensitive public policies that empower woman, especially in education and property rights, and engaging them in decision making. Improving healthy working conditions, ensuring access to basic services, protecting woman from harmful traditional practices are among the emphasized key issues. vii. Regulation No. 472/2020 on Expropriation and Valuation and Compensation and Resettlement Furthermore, FDRE Council of Ministers Regulation No. 472/2020 on Expropriation and Valuation and Compensation and Resettlement was issued. The regulation provides the basis for compensation of affected properties and to assist the displaced or affected persons to restore their livelihood. viii. Regulations on Gender and Women Empowerment The Constitution under Article 43 provides a foundation for the recognition and protection of woman’s rights and guarantee equal right with men. The Constitution stipulates providing special attention to women to remedy the historical legacy of inequality and discrimination Ethiopian women endured. Women have the right to full consultation, the formulation of national development policies, the designing and execution of projects particularly those affecting the interests of women. Womens right to acquire, administer, control, use and transfer property; and rights to equality in employment, promotion, pay and transfer of pension entitlemtns are clearly stated in the constitution. The state shall enforce the right of women including to elimination of the influences of harmful customs and practices that oppress or cause bodily or mental harm to women. ix. Regulations to support underserved and Vulnerable groups A range of policies, action plans and strategies aimed at protecting and promoting the wellbeing, life chances and education opportunities of disadvantaged groups and developing regions are in place. Owing to their limited access to socioeconomic development and underserved status over the decades, the Ethiopian government has designated four of the country’s regions, namely: Afar, Somali, Benishangul-Gumz, and Gambella as Developing Regional States (DRS). In connection with quality, access and equity of educational opportunities, ESDP V includes special support programs targeting the four developing regional states: Afar, Somali, Gambella and Benishangul-Gumuz, referred to as such because of their historical marginalization and the consequent low levels of socio-economic development relative to other regional states. As stated 29 in previous section, the government has established, in recognition of this, a multi-sectoral special support program, in which MoE is a main actor. As laid out in ESDP V, the special support program for developing regions offers three levels of capacity development in a multi-sectoral approach, namely: individual, organizational and enabling environment. In consideration of these three levels of capacity development (Individual, Organizational, and enabling environment) strategies are integrated into the special support program of ESDP V for developing regions. There are a number of overarching laws and additional implementation strategies/guidelines adopted by the government to protect vulnerable groups including women, children and people with disabilities, and ensure their rights to quality, access and equity of educational opportunities. Provisions requiring parents and guardians to protect the health, education and social development of children, and respect the legal age of 18 for the marriage as a safeguard against early marriage (Family Code 2000). Useful proclamations, regulations and plans of actions were formulated to protect people with disability and the elderly. Among others, the most relevant ones include: (i) National Plan of Action of Persons with Disabilities (2012-2021); (ii) Proclamation No. 568/2008, Rights to Employment for Persons with Disabilities; (iii) Building Proclamation, No. 624/2009 and Regulation 243/2011. Vulnerable and Disadvantaged Groups: Proclamation No. 1097/2018, which specifies the powers and duties of the federal ministries under article 29, sub-article 11 has given MOLSA the duty to: work in collaboration with the concerned bodies to strengthen the social protection system to improve and ensure the social and economic wellbeing of citizens and, in particular to: a) enable persons with disabilities benefit from equal opportunities and full participation; b) enable the elderly to get care and support and enhance their participation; prevent social and economic problems and provide the necessary services to segments of the society under difficult circumstances particularly the elderly and people with disabilities. The Proclamation No. 1097/2018 Article 13 (1t), which specifies the powers and duties of the federal ministries has given to Ministry of Peace “in collaboration with concerned organs coordinate activities that enable pastoralists and semi-pastoralists to become beneficiaries of social and economic developments.� Besides to this, each ministry is given the power and duties to ensure the aforementioned segments of the society who are vulnerable to social and economic problems benefit from equal opportunities and full participation. x. The National Social Protection Policy of Ethiopia Ethiopia has formulated National Social Protection policy in 2012 with a general objective to create an enabling environment in which citizens (including special need and other vulnerable segments) have equitable access to all social protection services that will enhance their growth, development. Ethiopia’s social protection policy is a central public policy component for addressing poverty, vulnerability and inequality. 30 The Policy has designed instruments to reach long and short term objectives including conditional and unconditional social transfer, expansion of public works; providing technical support and financial services; mandatory social insurance and community based health insurance; establishment of social work system, services for PWDs, the elderly and mobility constrained persons; enhancing abuse and exploitation prevention communication, provide protective legal and policy environment, support for survivors of abuse and exploitation and drop in centers and hot lines. The Social Protection Policy of Ethiopia has identified four key focus areas: i) social safety nets; ii) livelihood and employment schemes; iii) social insurance and iv) addressing inequalities of access to basic services. Further, the policy commits the Government to move beyond the partial, and fragmented, provision of social protection to establish a social protection system. xi. National Hygiene and Environmental Health Strategy 2021-2025 The Hygiene and Environmental Health strategy is designed for five years (2021-2025) to support the HSTP plan taking into considerations the promising achievements as well as, drawbacks and gaps of the past and with a pragmatic and innovative plan for 100% achievements in Hygiene and environmental Health in the future. xii. The National Nutrition Program (NNP) In order to combat the challenges of malnutrition in Ethiopia the Government embarked on the second National Nutrition Program (NNP II) in 2016, focusing on the first 1,000 days of life to eradicate chronic malnutrition by 2030. The principles for implementation of the program include, breaking the lifecycle and intergenerational transmission of malnutrition; stepping up public health interventions; addressing chronic and recurrent food insecurity; and engaging a large number of stakeholders including, but not limited to, Ministries of Health; Agriculture; Education; Water, Irrigation and Electricity; Finance Labor and Social Affairs; Women and Children Affairs. The ministries have recognized that high malnutrition rate in Ethiopia is unacceptable and have stressed the need for strengthened collaboration to reduce the impact of malnutrition in the country. As malnutrition remains to be the underlying cause of more than one in five child deaths in Ethiopia, the goal of the NNP II is to provide a framework for coordinated and integrated implementation of multisector nutrition interventions. The NNP II was developed taking into account past experiences and lessons learned from the implementation of the NNP I and integrating new initiatives from the second Growth and Transformation Plan (GTP II). The updated aims of the NNP II include reducing the prevalence of three crucial indicators for children under five: stunting from 40 per cent to 26 per cent, underweight from 25 per cent to 13 per cent, and wasting from 9 per cent to 4.9 per cent. With the following five strategic objectives, the NNP II envisions Ethiopia free of malnutrition and diet-related non-communicable diseases by 2050: • Improve the nutritional status of women (15 -49 years) and adolescent girls (10 – 19 years) • Improve the nutritional status of children from birth up to 10 years • Improve the delivery of nutrition services for communicable and non- communicable/lifestyle related diseases • Strengthen the implementation of nutrition-sensitive interventions across sectors • Improve multi sector coordination and capacity to implement the national nutrition program 31 HCO will support the NNP by integrating nutrition sensitive approaches throughout the new design and by designing specific linkages to ongoing health and nutrition interventions, which will help to maximize the positive and minimize any negative social impacts. xiii. Gender mainstreaming strategy and guideline (2010) It stresses the consideration of gender issues in policies, programs and projects implemented by government and development parteners. This is to ensure that the out comes of development are shared equally between men and women. In addition, it gives right for both men and women to enjoy equal opportunities, status and recognition. The ratification of the Family Law and amendements made to the criminal code significantly help to fight abuses committted against women and children. Proclamation No, 377/2003 gives special attention to woman and young workers. The proclamation provides protection for women in general and pregenant women in particular from hard work and long hours. The law clearly states that women should not be discriminated against as regards to employment and payment on the basis of their sex. C. National and Sectoral roadmaps and Plans i.Ten-Years Development Plan Population and Human Resource Development: In the areas of population and human resource development, the Ten- Years Development Plan aims to develop an all-rounded human resource capacity. It intends to achieve this through the provision of equitable access to health and education services as well as ensuring quality and relevance, which will form the primary area of focus for the coming ten years. Social Justice, Social Security and Public Services: In the areas of Social Justice and Social Security, the ten years plan focuses on empowering various sections of the society to enable them benefit from economic development and get their fair share from the development endeavors. This is planned to be attained through skills development, capacity building and equitable participation. The plan specifically pay attention to inclusiveness and developing the overall capacity of women, children, the youth, the elderly, the handicapped and all vulnerable citizens and facilitate their all- rounded participation in the country’s economic, social, and cultural affairs. The plan also looked at the areas of the justice and public services. The main focus is to ensure access to justice and good governance, providing impartial and effective legal services, enforcing the rule of law, protecting and respecting the constitution, and enforcing the criminal law. Gender: The Ten-Year Development Plan vision and goals are, by and large, interlinked with the 17 goals and the associated 169 targets that are identified in the SDG 2030. Of the 17 goals, goal number 5, which states achieving gender equality and empowerment for all women and girls is adopted by the Ten-Year Development Plan. i. A Roadmap for Optimizing the Ethiopian Health Extension Program The government of Ethiopia has launched a new roadmap for optimizing the Ethiopian health extension program from 2020-2035. Among other things, the new roadmap aims to improve the earlier health extension program, which focused mostly on addressing married women in their homes. Since that was found to be inadequate, the new roadmap has set a goal to leave no one and reach the different categories of target populations in the different settings. 32 The roadmap has outlined six strategic objectives. From among these, four of the strategic objectives that deal on: ensuring equitable access to essential health services, improving the quality of health services provided through HEP (introduce professional and gender mix among HP staff), strengthening community engagement and empowerment as well as strengthening political leadership, multi-sectoral engagement and partnerships deliberate on issues of ESM. Therefore, if these are implemented, they will have a positive effect on the improvement of ESM. ii. Health Sector Transformation Plan (HSTP-II) The MOH has prepared a five years Health Sector Transformation Plan (HSTP-II) (2020– 2025). In this plan, among the 14 strategic directions that are identified, the following seven are directly and indirectly linked to the issue of ESM: • Enhance provision of equitable and quality comprehensive health service; • Improve health emergency and disaster risk management; • Ensure community engagement and ownership; • Improve regulatory systems; • Improve human resource development and management; • Improve health infrastructure; and • Ensure integration of health in all policies and strategies; In addition, the HSTP-II has identified five transformation agenda. Out of which two are related to the issue of ESM. These are: • Transformation in equity and quality of health service delivery: it refers to ensuring delivery of quality health services and creating high performing primary health care units, engaging the community in service delivery and consistently improving the outcome of clinical care. • Transformation in Health Workforce: it aims at ensuring the availability of adequate number and mix of quality health workforce that are Motivated, Competent and Compassionate (MCC) to provide quality health service. iii. The Education Sector Development Plan (ESDP VI) ((2020/21-2024/25) The Education Sector Development Plan (ESDP VI) aims at improving child learning outcomes and ensuring that all children have access to pre-primary and secondary school. 3.3. Institutional Roles and Responsibilities for Environmental and Social Impact Assessment and Management 3.3.1. Federal Level Ministry of Finance (MOF) The implementation of the program requires multi-sectoral effort across all levels of government. At the federal level, the MoF is the lead implementing agency responsible for managing the IGFT of the GPG and HC SPG, and for coordinating the core human development sectors, i.e. the Ministry of Health (MOH), Ministry of Education (MOE), and Ministry of Women and Social Welfare (MoWSA) and other stakeholders including the Ministry of Agriculture (MOA), and the 33 Ministry of Water and Energy (MOWE). MOF will be responsible for the consolidation of technical and financial reports and for liaising with the World Bank on all aspects of the program. At the regional level, the Bureaus of Finance and Economic Development (BoFED) will have similar responsibilities to that of MoF at the federal level. They will manage resource transfers to woredas and the consolidation of physical and financial reports to MoF, support the program in coordination with the regional counterparts, and will be responsible for the fiduciary aspect of the program in their region. At woreda level, the Woreda Office of Finance and Economic Development (WoFED) or Urban Administration Offices of Finance will be responsible for the management of the HCO and the facilitation of multisectoral planning, budgeting, implementation, and monitoring of the HCO, and for submitting consolidated reports. The woreda education, health, social affairs, and other offices will be responsible for the delivery of specific actions and outputs agreed in the joint multisectoral human capital action plan which the SPG intends to finance. Environmental Protection Authority (EPA) Currently, the EPA is in the process of amending the 299/2002 proclamation on environmental impact assessment (EIA). The draft document was submitted to the Council of Ministers and feedback was received. The feedback was incorporated and resubmitted to the same. The Council is expected to review and submit the draft document to the parliament. The revised draft proclamation is made to include Strategic Environment and Social Assessment (SESA) as a requirement in developing investment proposals. It also specifies when and by whom the SESA should be prepared. In addition, the revised draft proclamation has included environmental audit as one part with details of when and how it should be carried out. Moreover, equal emphasis is given to social assessment, and amended proclamation will have the title “Environment and Social Impact Assessment�. However, earlier than this, the social components of the assessment were overlooked and given limited attention. Besides, usually it is obvious that after proclamation, regulations are prepared. However, the previous EIA Proclamation was not complemented with regulation. But now, the EPA has planned to prepare a regulation after the proclamation is enacted. Furthermore, the former EFCCC has prepared Integrated Risk Management Guideline in 2020 in order to complement ESIA. The guideline is prepared as a national general guideline and specific for mines and irrigation. The guideline recommends ESIA to consider additionally the assessment of impact that may happen as a result of climate change, ecosystem restoration, and disaster. In addition, the former EFCCC has prepared public consultation guideline in 2020. This was prepared to guide how public consultation should be undertaken during project planning and implementation. Ministry of Agriculture The regular program of the Ministry of Agriculture does not have a safeguards unit. However, starting from 2019, the environment and climate change coordination directorate was established. The directorate has climate change as well as environment and social safeguards wing. It has a mandate of capacity building of regions on ESM issues as well as monitoring and support. In 2020, to guide the implementation of ESM, the directorate has prepared social and environmental code of practice to be used for commercial agriculture. Even though the current focus of the directorate is on commercial farms, in the future, it intends to support small scale farms. 34 All projects in the Ministry of Agriculture have experts working on safeguards. However, coordination between the regular programs and the projects safeguard units is nonexistent. But, when revising the current watershed development manual, the project safeguard experts made contributions in preparing the ESMF section of the manual. This manual is also being used by the regular watershed development program. Ministry of Health The ministry has about six directorates namely, Heath Extension and Primary Health Service, Hygiene and Environmental Health, Health System Special Support, Women, Youth and Children Affair, Health and Health-Related Inspection, and Primary Health Infrastructure Development that are directly or indirectly involved in ESM related issues. In relation to vulnerable and disadvantaged groups, more specifically, the Health System Special Support Directorate and the Women, Children and Youth (WOCY) Affairs Directorate support regions that require special attention. The regions that receive the support include Afar, Somali, Gambella, Benishangul Gumuz and parts of pastoral areas of Oromia and SNNP. In addition, low performing zones in Amhara and Tigray regions are given support. With respect to integration and coordination, a multi-sectoral woreda transformation pilot program led by the Ministry of Health was implemented in Gimbichu woreda of Oromia region in 2019 to demonstrate the integration of multi-sectoral activities. Although coordination between the WOCY affairs directorate in the MOH and the MOWCY were expected, they rarely have working relationship. If there were coordination, they could have synergistically benefited their clients as well as reduced overlap and redundancy. Hygiene and Environmental Health Directorate has four case teams: Waste management, Food, water safety and hygiene, Institutional Water Supply, Sanitation and Hygiene and Climate change and social conformity. The Roles and responsibilities of the directorate include: Waste management, prevention and control of land pollution, food hygiene and safety, air quality management, environmental radiation/emission hazards, occupational/work-related health and safety, environmental noise management and environmental impact assessments, accident prevention, environmental health aspects of public recreation and tourism, environmental health measures associated with epidemics, emergencies, disasters and migrations of populations, establishment of an effective environmental health surveillance and information system. Ministry of Education In the MOE, there is Women, children and youth directorate in the regular program that handles safeguard issues. The directorate has women and children and youth teams. In addition, each directorate in the ministry has a gender focal person that works in collaboration with women, children and youth directorate. Some of the tasks of the directorate include: development of guidelines to control and prevent GBV, gender mainstreaming, organizing empowerment training for leaders, workers of the ministry and the regions, and improve women’s participation in educational sectors. With regard to ESM issues, agreement was reached to establish a directorate looking after ESM issues in federal sectoral offices. However, this was not materialized in the MOE. This was due to challenges faced in convincing the office responsible for federal civil service to approve a structure for safeguards specialists. In relation to ESM capacity building, a 35 training was organized in collaboration with the MOH and other organizations focusing on the educational sector ESM. The Ministry of Water and Energy (MoWE) It was established by proclamation No.1097/2018 and is the lead institution for the Water, Irrigation and Energy Sectors. Its responsibilities include resource assessment and development, policy and regulatory and research and development. In the resource assessment and development area, its fields of operation are mainly water, hydropower, wind & solar energy resources. Under the new government, it is reorganized as the Ministry of Water and Energy without the irrigation sector which has moved to another ministry. Ministry of Women and Social Affairs (MoWSA) MoWSA is responsible for the coordination and implementation of the Social Protection Policy. Given the multidimensional nature of the policy implementation, a Federal Social Protection Council (FSPC) was established consisting of members drawn from the relevant federal offices and other stakeholders. To implement the policy across the federal structure, institutional arrangements and accountability mechanisms were established at regional, zonal, and woreda levels. It also plays an overarching role in the design, amendment, implementation and monitoring of occupational health and safety policies, directives and guidelines, and makes sure that sector ministries and other executive organs perform their responsibilities related to health and safety issues in their respective mandate areas. MoWSA is also responsible for organizing and coordinating support for vulnerable groups. It has the necessary structure at regional, zonal and woreda levels but not at kebele levels. MOWSA has a mandate to support vulnerable members of society. This entails assessing and providing technical support to address the social and occupational health and safety related risks and taking appropriate measures to mitigate these risks. The activities of MoWSA are informed by the national social protection policy, which was prepared in 2015. In addition, in 2018, a new proclamation (1097/2018) that states the roles and responsibilities of all federal ministries and offices in relation to the implementation of the national social protection policy, was enacted. In this proclamation under Article 10.4, the role and responsibility of each ministry was stated about disadvantaged and vulnerable groups. Informants from MOWSA argue that there could be duplication of policies, regulations, or guidelines as they are being prepared by different organizations without considering what is already existing. This shows the need for coordinated and harmonized way of preparing polices, proclamations and guidelines. Recently, the Attorney General office has given attention to the issue of duplication. Therefore, it has become mandatory for every proclamation and regulation to pass through the Attorney General office. Ministry of Planning and Development (MOPD) The Ministry of Planning and Development is responsible for preparing development plans and monitoring and evaluation of their implementation. It has regional counterparts which are not directly reporting to it but have functional relationships. With regard to coordination, at national level, the MOPD as federal public body gives directions to line ministries and receives reports from each sector ministry regarding the preparation and 36 implementation of development plans. It supports regions in capacity building and has provided training on planning monitoring and evaluation, regional accounts development and population. In relation to ESMS, the MOPD has established a gender directorate which looks after gender issues within the Commission as well as in all areas of its mandate. In addition, the MOPD has established an environment team that works on environment and climate change issues. Agency for Civil Society Organizations (ACSO) The agency has seven core directorates, namely: registration, monitoring and evaluation; civil society property administration; volunteering, promotion fund administration; strategic partnership and cooperation; study, research and dissemination; planning, budget and change and women, children and youth. ACSO has mandate to register and work with civil societies operating in Addis Ababa, Dire Dawa and with those CSOs that operate in more than two regions (CSOs operating only in one region are handled by the host region). The operations of the agency in the regions are handled by the regional bureau of finance. In terms of coordination, there is a joint council, which meets quarterly. The members of the joint council are regional representatives and key federal ministries. With regards to ESM, the plan, budget and change directorate and the ethics monitoring unit perform tasks to ensure client satisfaction on the service that the agency is providing. In addition, these two units follow up that vulnerable and disadvantaged groups are getting appropriate service and priority. In relation to capacity building, the leadership has received safeguards related training organized by a multi-donor civil society support program. 3.3.2. Regional and Woreda Levels In the six sampled regions, the institutional arrangement for ESM is different. In SNNPR, Oromia, and Gambella regions, it is organized in the form of Environment, Forest and Climate Change Authority while in Somali region, it is organized as Environmental Protection, Mines, Forest and Energy Development Agency (EPMFEDA). In Amhara region, it is organized as Environment Forest and Wildlife Protection and Development Agency (EFoWPDA). At zone and woreda level the structure is similar i.e. zonal EFoWPD Office and Woreda EFoWPD Office. Under these offices, ESIA Experts and Environmental Compliance Audit Experts are in place to perform similar activities like that of EFoWPDA at regional level. The Environment Authorities of SNNP and Oromia Regions have offices at woreda level, while in Gambella Region there is no such an office at woreda level. However, the Gambella regional environment authority has delegated the Natural Resource Conservation section in the woreda office of Agriculture to carry environmental and social management and assessment related activities on its behalf. Almost all of the regional environment authorities have zonal environment offices. The structure of BOLSA in the regions differs from region to region. As a result, in Dire Dawa Gambella and Sidama, it is organized as agency; in Harari and Benishangul Gumuz, it is organized as office; while in the other regions (Amhara, Afar, Oromia, Somali, SNNP and Tigray), it is organized as bureau. Communication between BOLSA and other federal and regional basic sector offices is weak except in some externally supported programs. 37 In most regions, at woreda level, the labor and social affairs unit is organized under the woreda Administration office as a case team or with focal person. However, in some regions, it is organized as member of the cabinet independently, for example Kemba woreda of SNNP. Given that the woredas are responsible for implementing community consultation, land acquisition, and resettlement, including compensation enforcement and oversight of Grievance Redress Mechanism (GRM) it is very important to ensure that they have adequate capacity to perform these activities. The SPG woredas are generally low performing woredas with capacity limitations on environmental and social risk management. Going forward, it is critical to build their capacity in environmental and social management and assessment. 4. Analysis of Implementing Agencies Environmental and Social Management Capacity, Coordination, and Performance The basic environmental and social management institutions and legal frameworks are largely in place. However, inadequate human resources in some of the organizations such as MOE and the regular program of the MOA are observed. In addition, frequent turnover of technical staff is still a challenge. Coordination and integration between basic service sectors and oversight bodies continues to be inadequate. As a result, it has remained to be a challenge for effective implementation of environmental and social management and assessment. In addition, coordination between and within the oversight bodies requires more work. Effective implementation and enforcement of environmental laws, regulations and standards in most cases is based on: • sound decision-making processes on environmental protection and natural resources management and conservation, • regular, effective and strong coordination among the institutions endowed with environmental and social mandates, • reliable and open data and information management system; • effective compliance monitoring and enforcement capacity. Strengthening the capacity of units responsible for environmental and social management in the basic service sectors that implement the HCO will play a significant role in tackling the issues related to the weak implementation and enforcement of all environmental and social aspects. This is mainly associated with relevant laws, policies, proclamations, regulations, strategies, guidelines and standards. 4.1. Environmental and Social Management Capacity and Performance at Regional and Woreda Level 4.1.1. Oversight bodies a. Regional and Woreda Environmental Protection Agency The appropriate skills and knowledge required to implement planned environmental and social management can be attained through a well-organized Capacity development. In line with this, capacity building trainings on environmental and social safeguard issues at federal sectoral offices and oversight bodies were provided to relevant organizations and staff members. These trainings 38 were also cascaded to regions. For example, EFCCC has provided training on EIA and Audit for Amhara, Oromia, SNNP and Sidama regions. It is expected that the trainings will also be provided to Benishangul Gumuz, Gambella, Afar, and Somali regions. This has resulted in improvement in knowledge and skills to carry out environmental and social impact assessments based on the ESMS Operational Manual. Nevertheless, there are still capacity differences between regions. The four regions (Amhara, Oromia, SNNP and Tigray) have developed a well-established structure or system for the environment and social management. These were mainly due to: - the size of these regions, there are a greater number of projects (big, medium and small) that has helped professionals to get better exposure and acquaint themselves with issues of environment and social aspects. - Similarly, due to the above reasons, they had better chance to get a greater number of capacity building trainings from various development partners, including the WB On the other hand, regions such as Benishangul Gumuz, Gambella, Afar, and Somali are still in need of further strengthening. In the case of Tigray, EFCCC has established a committee comprised of 3 people to assess the current situation in the region regarding the environmental and social management and the required actions. Based on the feedbacks from the committee, the Commission in collaboration with other stakeholders will prepare an action plan that includes training. In relation to ESIA, some regions have adopted the Federal ESIA procedures. For example, Somali region has issued a directive that categorizes projects into: 1) Projects requiring full ESIA, 2) Projects requiring preliminary/partial assessment and 3) projects that do not require an assessment. In addition, the regional Agency has developed a guideline for the preparation and review of ESIA reports. This is expected to strengthen vetting processes of newly developed program activities. Similarly, the Regional Bureau of Finance and Economic Development (BoFED) introduced a requirement of certificate of approval from Environmental, Forest, and Climate Change Authority before the release of a project fund. In SNNP, the Environment Authority has not yet developed its own contextualized operational documents. As a result, documents prepared at federal level are in use. In most of the HCO pilot woredas, environmental protection offices are organized as an independent office and they are member of the woreda cabinet. However, in somali region, it is organized as wildlife and environmental protection unit under agriculture and natural resource management office The regular programs at regional basic sector bureaus do not have dedicated persons for environment and social management. But various projects such as PSNP, AGP, CALM and One Wash have environmental focal persons designated/employed to support and supervise implementation of projects. At woreda level, most of the offices generally lack dedicated environmental and social management focal persons. Nevertheless, in woreda agricultural offices implementation of ESMF for projects is handled by the natural resource experts. In the woreda health office, personnel are assigned to perform health and health related facilities regulatory purposes. b. Bureau of Labor and Social Affairs (BOLSA) 39 BOLSA’s experience of working with regional basic sector bureaus is limited. However, since recently, in some projects, for instance, PSNP, BOLSA has started working with Bureaus of Agriculture in implementing social issues related to the project. By and large, monitoring and supervision on workers’ safety issues is irregular and inadequate due to shortage of human resources and logistics. The federal civil service and labor law proclamations are employed at regional level to ensure basic safety of workers. However, the system in place is only responsive to demand for reconciliation between conflicting parties. In most regions, the social protection guideline developed by MOLSA is used by the regional BOLSA’s as a guideline when implementing activities related to supporting disadvantaged and vulnerable groups. Most of the activities of BOLSA are related to Environmental and Social management issues. ESM issues are handled as an integral part of each directorate. However, the directorate of social protection works more in supporting vulnerable and disadvantaged groups. In some regions, media awareness campaigns were used. For example, in Somali region, BOLSA utilized mass media in creating awareness to the public and private sectors on the rights and responsibilities of workers and employers. In addition, training was organized by BOLSA in 2019 to laborers and contractors on issues of workers safety. Due to budget limitation the training was not expanded to include more participants. In most of the HCO pilot woredas, the labor and social affairs offices are organized as an independent office and they are member of the woreda cabinet. However, in Amhara region, it is organized as a case team under the woreda administration office. c. Bureau of Woman, Children and Youth In all regions, the bureau is organized around three core processes: gender development, empowerment, and child protection. At woreda level, though similar structures exist, most positions are vacant. All staff members of the bureau are engaged in the issue of women, children and youth. Therefore, the task of all technical staff members is focused on providing supports such as awareness creation, training, community mobilization, empowerment, legal support, preparing guidelines, strategies and directives. The bureau of women, children and youth of the consulted regions main engagements are focused mainly on the aforementioned activities. However, they lack capacity building trainings on empowering women for income generation for beneficiaries. In addition, the capacity building trainings are given as blanket to everybody. Thus, lacks targeted trainings required for implementing agencies and experts. Partly the challenges are logistics and budget to handle the capacity buildings systematically. 4.1.2. Basic Sectors Effective implementation of projects requires relevant capacity, at the same time, most projects in the basic sectors give priority to technical capacity. As a result, ESM is given less priority. The limited priority given to ESM resulted in shortage of skilled human resource, high staff turnover, and shortage of logistics required for mobility purposes and this made the ESM implementation to be ineffective. The following sections summarizes the environmental and social management arrangements and practices in the basic sectors at regional level. 40 a. Health The units and sub-units handling ESM issues in the regional health bureaus include hygiene and sanitation, health and health related facilities regulatory functions. There are continuous capacity building interventions in the health sectors at different levels. These include community led hygiene and sanitation, latrine strategies, infection prevention guideline, which were provided by different development partners. In addition, in 2018, the SNNP health bureau has provided training to regulatory staff members on health and health related facilities regulatory packages. Similarly, in 2021, EFDA (Ethiopian Food and Drug Administration) provided training on iodized salt testing. b. Education Environmental and social safeguards unit and experts are not assigned for ESM purposes at regional educational bureau. Nevertheless, there exist gender focal unit which looks after gender related issues in the bureaus. In addition, for projects such as GEQIPE, a committee is established composed of representatives from all departments and led by an expert. In the regular education system (non-project), school supervisors carry out activities related to ESM. The situation is more or less similar in all sampled regions. Specific to overseeing Gender and GBV issues under the education sector, nationally, there is Directorate that is responsible to oversee such activities. The ministry has Gender Mainstreaming Guideline approved in 2014, which is under implementation. Specific to GBV, School Related Gender Based Violence Code of Conduct is under revision by the ministry of education, regions contextualized as per their need including translation of the guideline into the local language. The code of conduct is to be implemented at school level through Gender club with the selected committee. There is potential gap in the proper implementation of the guideline due to human resources, logistical and budget shortage. On the overall ESM strengthening, the GEQIPE project organized training on the implementation of ESM guidelines in 2019. The training was cascaded to zones and woredas in 2018, 2019 & 2020. Though the plan was to reach more participants, due to budget limitation, the trainings were delivered to limited experts and schools. c. Water For regular programs of regional bureaus, ESM focal persons/experts were not assigned. However, for federally financed small scale irrigation, experts from federal and regions of different specializations are engaged for ESIA as the work requires the cooperation and participation of various expertise. Additionally, in regions where projects such as One WASH operate, Safeguard specialists are assigned for environment and social management. d. Agriculture Safeguards unit or focal persons were not assigned in the regular programs of the agricultural bureaus to handle environment and social issues. However, for projects such as PSNP, AGP, SLMP, etc. have one ESMF expert operating at Bureau level. In these projects also attention was mainly given to the environmental component of ESM. As a result, social development expert/focal persons were not assigned. Although there was an opportunity to utilize the project ESM experts in the regular programs, due to limited cooperation and coordination between them, the regular program has not been benefited. 41 With regards to capacity building trainings, the EFCCC has organized training on Environmental Impact Assessment, Environmental and Social Management Framework as well as Environmental and Social Management Plan in most regions in 2018. e. Rural Roads Authority The government of Ethiopia is implementing wide-scale road networking throughout the country. This involves construction of rural roads that enable the rural people get access to various services. The ESIA for all road development projects implemented by the federal Ethiopian Roads Authority (ERA) is carried out using the Ethiopian Government Environmental Impact Assessment (EIA) guideline. However, the regional Rural Road Authorities do not have independent unit responsible for ESIA. In Oromia region, for example, the task of handling the ESM activities is not limited to a single unit. It is rather given as an additional task to different sections including the Roads’ right unit. Limited trainings were provided by regional Road Authority. However, trainings on safeguards in road construction were organized and provided by AGP and SLM in 2017. 4.2. Coordination A. Basic Sectors and Oversight Bodies With regard to ESM, the coordination and cooperation of basic sectors and oversight bodies is highly required. The need for coordination is due to the fact that the expertise on environmental and social issues are mainly concentrated in the oversight bodies. Thus, coordination between these actors have been playing significant role in knowledge and information exchange. In addition, it also helps harmonization of ESM activities. In the sampled regions, BoFED plays a key role in coordinating basic sector service providers in the planning and implementation of projects. Nevertheless, coordination and networking between basic service sectors and oversight bodies on ESM related issues is limited. In this regard the regional experiences vary from region to region. For example, in Oromia region, coordination between Bureau of Education and Bureau of Environment, Forest and Climate Change Authority in the implementation of ESM was reported to be limited. In addition, the coordination with BOLSA is almost nonexistent. In Somali region, BOLSA coordinates the issue of social safeguard work with different sectors such as rural road authority, agriculture, health, microfinance, urban administration, education, police, and justice office. However, the regional BOLSA and the basic sectors are not satisfied with the current level of coordination as the problem at hand requires them to do more and bring about an observable change. They mentioned finance and capacity as the problem that restricted them from doing what is expected from all stakeholders. Similarly, the environmental protection guideline, which was developed by MOA and contextualized by MOWCY in 2018 is in use in the Somali region BOWCY. They mainly used the guideline to improve youth participation in natural resource activities. In Gambella region, BOLSA has some joint activities with nutrition cluster offices (labor and social affairs, health, women and children, and agriculture) on breast feeding and nutritional food for pregnant women with external support. It may be difficult to sustain such activities in the absence of external financial support. In Amhara and Benishangul regions, there exists some coordination attempts between BOLSA and the basic sectors. However, experts in the regional BOLSAs felt that it is not satisfactory. 42 At woreda level, coordination with police, health, attorney, education, agriculture, and finance have started but needs more strengthening, for example, soliciting medical support for the elderly and vulnerable groups was reported by informants of the HCO pilot woredas as a problem. In relation to gender and gender mainstreaming, the basic sectors have recognized and committed for coordination, harmonization and leveraging of resources. One of the improvements in this regard is the establishment of a Gender Directorate or units in regional Bureaus. There is overall improvement in integration and coordination between gender directorates/units of the basic sectors and the regional women, children and youth bureaus. Furthermore, gender focal persons are assigned in all basic sectors. This can be taken as a positive development since it can create an opportunity to handle gender and vulnerability related issues in collaboration with the oversight bodies such as BOLSA and BOWCY. However, inadequate understanding by leadership in sector offices compounded with irregular monitoring and follow up has limited its effectiveness. B. Between Oversight Bodies Oversight bodies in relation to ESM include agencies working on labor and social affairs, environmental authorities as well as women, children and youth. These agencies implement activities which sometimes can be overlapping or requiring harmonization. Therefore, coordination between these organizations is required for effective implementation of ESM. The coordination could be between administrative levels or between agencies. In relation to coordination between administrative levels, for example, BOLSA and MOLSA have good cooperation. MOLSA organizes annual planning and review meetings, and it provides technical support to its regional counterparts. In some cases, federal level basic sector departments mandated for women, children and youth issues work in coordination and cooperation with their regional counterparts. For example, the women, children and youth directorate of the Ministry of Education implement most of their activities in coordination with the regional, zonal, woreda offices and schools. When it comes to coordination between oversight bodies, in most regions, it is weak. However, in the implementation of some externally funded projects, they participate as member of committees or platforms. Generally, coordination and cooperation between and across various organizations (basic service sectors and oversight bodies) is a prerequisite for effectiveness of social and environmental management and assessment. Some steps which can be initiated to enhance coordination could include: • Building common understanding between all stakeholders (clients, implementing agencies and oversight bodies) about the available laws, policies, regulations, strategies, guidelines, and standards • Developing accountability mechanism within and across involved stakeholders • Implementing joint activities to monitor and enforce active compliance through local institutions, particularly woreda level; • Collecting and sharing relevant information and analysis on implementation, compliance and enforcement of environmental and social laws, regulations and standards; and • Developing and implementing joint capacity enhancement programs, including training. 43 4.3. Performance and Challenges This section describes existing practice of ESM implementation in the basic sectors and oversight bodies. Therefore, to help understand what is being done currently, implementations and achievements in the area of gender and gender-based violence, conflict management, grievance redress, and public consultation and participation are presented as follows. 4.3.1. Gender and Gender Based Violence Though the scale may vary, gender inequality has been common in all parts of the country. This is mainly observed in accessing productive resources and basic services. However, initiatives are implemented that enhance the participation and benefits of women in various development projects. In some programs, for example, ESPES, the MOE has considered girls grade 8 completion rate as one criteria to select the bottom 20% woredas that was used to be included in the program. As a result, activities that helped to increase girls’ grade 8 completion rate were identified and implemented. Besides, regional governments passed a directive which gave a 50 % share to women in committees, including parent and teacher. Similarly, in Somali region, though women are hesitant, they are highly encouraged to be member of steering committees working on women issues. In the DHS data3 reported that in all regions, there were considerable number of GBV cases. For example, in SNNP the prevalence of GBV was 29% and in Oromia 38%. Therefore, during the implementation of the IPF component of the HCO, taking due consideration on the issue of GBV should be given attention. Although there is a National GBV Working Group, currently its main focus is on humanitarian/ rehabilitation issues. However, since HCO is not directly involved in humanitarian activities, it may not be supported by the working group. Therefore, it may be necessary to strengthen the activities of the multi-sectoral government partners namely health service providers, Women and Children Affairs, Police and legal service providers. Furthermore, National GBV Working Group may be required to update the gender action plan and make sure it has a protocol on how to carry out referrals of GBV to response services. Besides, it may be helpful to recognize and refer grievances related to GBV to respective service providers based on the demands of survivors and without forgetting confidentiality. In this respect, GBV related grievances could be better handled by the Woreda Women, Children and Youth Office or female GBV focal points who have the knowledge and skill to provide basic referrals. In relation to awareness creation and capacity building, various organizations have started to organize trainings on issue of GBV. For example, the gender department of Oromia Bureau of Education has organized and provided trainings and awareness raising programs on GBV for teachers and students, mainly through girls’ clubs. In addition, Somali region BOLSA organized training and orientation forums aimed at protecting GBV in the workplace. In the area of supporting GBV affected in Somali region, one stop center having representatives from BOWCY, justice office, police, sheria, woreda administration, kebele, health office, social worker was established to enable victims get the required holistic support. Similarly, in 3 Demographic and Health Survey (DHS), 2016, Central Statistical Agency, Addis Ababa 44 Arbaminch, SNNP, one stop center was established and provided service through which victims get support such as psychological, physical and cash in one place from different organizations. 4.3.2. Vulnerable and underserved groups Various measures were undertaken to improve the livelihoods of vulnerable and underserved groups by the government. In most cases, the interventions identify and assess the situation of these groups. Following that targeted support such as direct transfer, employment and income generation schemes were implemented in collaboration with development partners. For example, MOWCY has developed an alternative childcare guideline to provide appropriate services for vulnerable children through different mechanisms. Moreover, Social Protection Fund was also established in 2020. Despite these efforts, the following challenges still prevail: - Inadequate awareness and prevalence of misconceptions about special needs issues. - Limited awareness about children nutrition, which are the reasons for stunting - Limited number of schools or classrooms and inaccessibility that accommodate school- aged girls. - Shortage of skilled human resource in the area of inclusive education - Poor adherence of the government standard service guideline during care and support intervention for vulnerable children - Weak coordination of the support provided for vulnerable groups 4.3.3. Social Conflicts Conflict and civil unrest disrupt program implementation. This creates problem of movement from place to place and restricts access to the affected areas. During the last three years, Ethiopia has experienced various internal conflicts in different parts of the country, including parts of Oromia, Somali, Sidama, Amhara, SNNP, Benishangul Gumuz, Afar and Tigray. Due to security problems, for instance, in West Oromia, Guji, and in other parts of the country, projects as well as regular government activities related to basic services were disrupted for a while. This has also significantly affected projects and programs to deliver services due to disruption of experts’ movement to perform their duties. In addition, the internal displacement of people as a result of conflicts in different parts of the country has forced the government to divert budget that could have been used for improving the delivery of basic services. In most of the places except in Tigray the internal conflict has calmed down. However, if the situations relapse, there could be chance that similar situations will happen. Regarding conflicts and conflict resolution mechanisms, The Proclamation No. 1097/2018 Article 13 (1g), which specifies the powers and duties of the federal ministries has given a mandate to Ministry of Peace to, “identify factors serving as causes of conflicts among communities; submit a study proposing recommendations to keep communities away from conflicts and instability and implement same upon approval�. As a result, in most parts of the country where conflicts erupted, the formal and informal institutions with the support of the MOP and in collaboration with the regional and federal security forces helped in resolving the conflicts. This helped to resume most activities, including of projects. 45 4.3.4. Grievance Redress Mechanism (GRM) All regional governments have established their respective GRM structures down to woreda level with focal points located in the Kebeles. At kebele level, GRM committee members are drawn from kebele administration, teachers, DAs, HEWs, and the community. At woreda level, it is composed of representatives from the local administration, education, health, women and child affairs, and the community. The reporting structure starts from the woreda by the assigned GRM officers reporting to the woreda administrator, who in turn submits regular consolidated reports to the GRM office at the regional level. The head of the regional GRM office is accountable to the regional presidents and also provides regionally consolidated reports to the Ethiopian Institute of Ombudsman. Regarding working documents, except Gambella and Afar, all regions have laws that enforces the implementation of GRM. By and large, the grievances reported so far are related to land issues. For example, in rural roads construction, conflicts arise between implementers of road projects and local communities. This is mainly due to amount of compensation and delay in compensation payments. As a result, delay in project completion is frequently observed. Such kind of cases are handled through continuous consultation, awareness creation, negotiation with community and revising the compensation. However, the government encounters budget constraint when trying to compensate affected individuals. Thus, addressing grievances related to land has an influence on the implementation of ESM. Achievements that have happened regarding GRM institutional issues and capacity building include: • Job Evaluation and Grading (JEG) assessment was carried out for all regions. Based on this, positions were identified and filled. • Logistics including desk top computers, laptops were distributed to all regions. • Exposure visits were organized for better performing regions and they were sent to visit best practices abroad. • Capacity building was given to regional and woreda GRM office staff on prevention and investigation of conflict. Two studies on grievance hearing and redress mechanism were also conducted in 2015 and 2016. Based on the study result, a draft procedural manual was prepared. Public consultation on the draft procedural manual was conducted at different forums in the different regions except Amhara and Addis Ababa. The public consultations for Amhara region and Addis Ababa will commence soon. In order to enable GRM to be more effective in the HCO, there is a need for GRM to enter into mediation and arbitration levels of conflict resolution. Therefore, staff and the leadership should be given capacity building to enable them perform these tasks 4.3.5. Public Participation/Consultation Community participation is required at all stages of the project cycle including planning, implementation, monitoring and evaluation. As a result, representatives of all community groups 46 should be involved and their opinions should be taken into consideration. The experiences of the basic sectors regarding participation and consultation are presented as follows. Basic service providers: Health, Education, Agriculture, Rural Roads and Water conduct community consultation at project level using general as well as sectoral guidelines. At woreda and kebele levels, demands arise from the community and/or the government initiates projects. In cases when government initiate projects, experts consult the community to understand and identify the priority needs, interests and concerns. Moreover, they conduct technical assessment regarding the appropriateness of the proposed site. However, several community consultations were not conducted due to urgency to start implementation and logistical challenges. For example, key informants from Oromia basic sectors mentioned that most consultation processes were inclusive but sometimes due to time constraints, key stakeholders were skipped. In Somali region, score cards are used to measure communities’ satisfaction with services provided through health extension system. The cards show three satisfaction levels excellent, medium and low. This has increased communities’ participation in evaluating public services. In addition, in the region, EIA and One WASH guidelines are used by regional bureaus to conduct public participation for bigger projects which are within the jurisdiction of the bureau. In Gambella, as there is a perception that land is not a scarce resource in the region, community consultation on land acquisition is taken lightly. Most of the times it is only used to identify preferred site by the community. The former EFCCC prepared a Public Consultation Guideline aimed at harmonizing the public consultations process currently being finalized and to be applied by different sectors. 4.3.6. Land Acquisition, Resettlement, and Compensation There are improvements made regarding land acquisition, resettlement and compensation. These include updating of the Proclamations and Regulations. For example, Proclamation 455/2005 has been replaced by 1161/2019 with consideration of livelihood restoration and consultation requirements as discussed in the previous section. As the issue of land has become a major source of conflict and public grievances, the government and project implementers have given due attention. As a result, consultations and participations of the community and other stakeholders is taken seriously during the project identification, planning and implementation. However, on the government side, challenges related to delayed compensation payment, lack of livelihood restoration plan, and lack of proper implementation of resettlement action plan are observed, which is partly due to capacity gaps. On the side of the project-affected people, there is a tendency to overvalue the land chosen for the project. 4.4.. Analysis of Environmental and Social Management Systems against Core Principles of PforR Financing This section presents the analysis of core principles of PforR financing in light of the consistency of government’s environmental and social management systems. The core principles are analyzed considering applicability, strength, gaps, opportunities, risks and the recommended actions. 47 Core Principle #1: Program E&S management systems are designed to (a) promote E&S sustainability in the Program design; (b) avoid, minimize, or mitigate adverse impacts; and (c) promote informed decision-making relating to a Program’s E&S effects. Program procedures will: ▪ Operate within an adequate legal and regulatory framework to guide environmental and social impact assessments at the program level ▪ Incorporate recognized elements of environmental and social assessment good practice, including (a) early screening of potential effects; (b) consideration of strategic, technical, and site alternatives (including the “no action� alternative); (c) explicit assessment of potential induced, cumulative, and trans-boundary impacts; (d) identification of measures to mitigate adverse environmental or social impacts that cannot be otherwise avoided or minimized; (e) clear articulation of institutional responsibilities and resources to support implementation of plans; and (f) responsiveness and accountability through stakeholder consultation, timely dissemination of program information, and responsive grievance redress measures. Applicability: Applicable The PforR components of the HCO finances recurrent expenditures (salaries for teachers, health and agricultural extension workers, and other frontline staff) in the five basic service sectors at woreda level. However, the SPG component of the HCO may environmental and social impacts or risks. When the records of accomplishment of these activities in these sectors are scrutinized, only projects, which have been financed, by donors or lenders were subject to EIA procedures within the meaning of legal and regulatory framework of the country. That is, these projects have been implemented by fulfilling the legal requirements of EIA as prescribed under the Federal Constitution, the Environmental Policy of Ethiopia and the EIA Proclamation No. 299/2002. • Some regional states have also enacted their own EIA proclamations (e.g. Amhara, Proclamation No. 181/2011 and Oromia, Proclamation No. 176/2012) by including additional elements in their laws. The other regional states, however, use the federal EIA guideline as they have not yet adopted their own. • Certain types of activities in the basic service sectors may have potential adverse environmental and social impacts due to activities like construction of rural roads, health posts or schools; spraying of chemicals (agricultural inputs). • Undertaking an environmental assessment and implementing an environmental management plan appear to be key to mitigate adverse environment and social impacts which might be created while implementing the associated projects/programs. Strengths: • The country is under a major reform process. As a result, most basic sector as well as oversight offices have revised their proclamations, regulations, and guidelines to address the issue of environment and social management in better ways. For example, the Environmental Policy of the country and other supportive documents outlined guiding principles that require adherence to sustainable development. In particular, the documents underscore that Environmental Impact Assessment considers the impacts on human and natural environments; provides for early consideration of environmental impacts in projects and programs design; recognizes public consultation; includes mitigation and 48 contingency plans; provides for auditing and monitoring; and is a legally binding requirement. • The content of the screening and analysis for EIA under the Proclamation, Directive and Procedural Guideline are comprehensive with respect to the principles of PforR financing. Gaps: • There is limited coordination and cooperation between E&S oversight agencies and basic sectors; within oversight agencies and between project safeguard units and the regular programs • E&S oversight entities are organized differently in different regions. It is either organized as bureau, authority or agency. This affects the amount of budget allotted and organizational structure allowed by the civil service for the offices. • Absence of qualified environmental and social safeguards focal persons at Woreda levels • Inadequate resources in the basic sectors and oversight bodies to carry out ESM. • Limited experience on the preparation and supervision of safeguards instruments like ESIA and ESMPs, which needs to be considered during implementation of the program, mainly at local levels • Lack of proper public disclosure guidelines and low awareness of the implementing agencies on the importance of disclosure Opportunities: • The country has experience on developing and implementing various programs funded by the World Bank. Accordingly, experiences and best lessons on the Environmental and Social Management System have been acquired and used by projects and programs in basic sectors and oversight bodies. • The Government has appreciated the need for ESM and takes the necessary action to improve the ESM system. Risks: Specific risks to the proposed program will be: • Weak institutional capacity of woredas, especially their inability to enforce the existing environmental laws • All potential environmental and social impacts of the HCO may not be identified, mitigated, and monitored. • Stakeholder’s concerns related to environmental, social and safety issues could be overlooked. • Inability to utilize opportunities timely, effectively and address gaps could lead to inefficient implementation of ESM. • Reluctance of Woreda level implementers to ESM capacity building Risks are deemed moderate and should be mitigated through a combination of dedicated enforcement of national legislation and existing guidelines at all levels. Recommended Actions: • Utilize the revised ESM documents which include proclamations, regulations, and guidelines through awareness creation forums and adapt them to suit the regional contexts 49 by allotting the required budget. For example, the Expropriation of Land holdings for Public Purposes, Payments of Compensation and Resettlement Proclamation, 2019, Public consultation guideline. • Create mechanism to utilize safeguards staff assigned in projects to support ESM activities in regular programs of sectoral offices. • Strengthen regional and woreda level sectoral safeguards units through filling vacant positions and building their capacity. • Reduce the effect of knowledge loss due to staff turnover by introducing continuous capacity building intervention. • Build a system to increase cross sectoral collaboration and support. This could be supported by mechanism of accountability, which has reward and penalty. • Elevate regional environmental protection offices to a bureau level so that they have better voice and capacity to implement ESM. Core Principle #2: Program E&S management systems are designed to avoid, minimize, or mitigate adverse impacts on natural habitats and physical cultural resources resulting from the Program. Program activities that involve the significant conversion or degradation of critical natural habitats or critical physical cultural heritage are not eligible for PforR financing As relevant, the program to be supported: ▪ Includes appropriate measures for early identification and screening of potentially important biodiversity and cultural resource areas ▪ Supports and promotes the conservation, maintenance, and rehabilitation of natural habitats; avoids the significant conversion or degradation of critical natural habitats, and if avoiding the significant conversion of natural habitats is not technically feasible, includes measures to mitigate or offset impacts or program activities ▪ Takes into account potential adverse effects on physical cultural property and, as warranted, provides adequate measures to avoid, minimize, or mitigate such effects. Applicability: The provisions in Core Principle 2 are considered as part of the ESIA system analyzed under Core Principle 1. The analysis confirmed that, although the Program investments would neither impact nor convert critical natural habitats, there may generate limited adverse effects on natural habitats as a result school maintenance and expansion including girl student latrines. There is a possibility that some schools might be located nearby natural habitats or areas rich in physical cultural heritage, and also clearance of natural vegetation could occur during maintenance and expansion of schools and other facilities. Strengths: • National proclamation and EIA procedure guidelines are consistent with the principle of environmental protection, which highlights consideration of natural and cultural values • The EIA proclamation has clearly outlined components that are needed to be in place to protect the natural habitat. 50 • The National Conservation Strategy (1996) presents a coherent framework of policies and plans for investment to promote environmental sustainability, through a holistic view of natural, human and cultural resources; • As per Proclamation No. 209/2000, the Authority for Research and Conservation of Cultural Heritage (ARCCH) was established. One of the responsibilities of ARCCH is to protect the cultural heritage from human and natural disasters. • The GoE enacted the National Biodiversity Strategy and Action Plan of 2005. The strategy and action plan outlines activities that needs to be considered to protect the natural habitats. This will be implemented through the national coordinating body, which will be established to oversee environmental safeguards and information dissemination. • By and large, there are no significant disagreement between OP/BP 9.00 and the existing policies, laws, and regulations of the country related to natural habitats. Gaps: • Although the country has well defined and structured policy and legal framework, some implementing agencies in the basic sectors have limited experience and authority in the implementation of the existing legal frameworks regarding the natural habitats and PCRs. • Federal and regional basic sectors have limited capacity and tools to assess the potential impacts on the natural habitats and physical cultural resources during the preparation of EIA, review of EIAs and implementation of the recommended measures. However, some regions such as Amhara and Oromia have started to build the capacity of implementing ESIA by their own. • Environmental and social officers are not assigned in the regular programs of the basic sectors to ensure compliance to required environmental standards regarding PCR and natural habitats. • Basic sectors and oversight bodies have constraints such as logistic and budget, lack of law enforcement authority, inadequate public consultations and participation, inadequate environmental monitoring equipment and tools. Opportunities: • Capacity, experience and lessons on the Environmental and Social Management System exists in projects and programs. This is due to skill and knowledge accumulated through the implementation of various projects and programs implemented by the World Bank and other Development Partners. • Since the Government has appreciated the implementation of the national biodiversity conservation practices and the need to promote the tourism sector, it is expected that the government will take appropriate actions such as preparation and implementation of suitable guidelines, directives, and strengthening the capacities of institutions working on ESM that help reduce adverse impacts on natural habitats and PCRs. Risks: • There could be a risk that natural habitat and biodiversity will be degraded and lost as result of construction related to school maintenance and expansion as well as girl students’ sanitation facilities. 51 • There is limited awareness among implementing agencies regarding the existing environmental regulations or poor capacities about the PCRs and natural habitats. As a result, inadequate listing of the resources could happen and can also be lost unintentionally • Risks are deemed low and should be mitigated through a combination of dedicated enforcement of national legislation and existing guidelines. Recommended Actions: • Include a section on chance find procedures in the ESMSG guidelines. This will help to provide overall guidance on the requirements and procedures for environmental and social screening of HCO regarding PCRs and natural habitats • Build the required capacity, avail budget and human resource to implement the ESMG guideline • Plan accordingly to minimize or avoid the sources of impacts during designing phase Core Principle #3: Program E&S management systems are designed to protect public and worker safety against the potential risks associated with (a) the construction and/or operation of facilities or other operational practices under the Program; (b) exposure to toxic chemicals, hazardous wastes, and otherwise dangerous materials under the Program; and (c) reconstruction or rehabilitation of infrastructure located in areas prone to natural hazards As required, the program to be supported has to: ▪ Promote community, individual, and worker safety through the safe design, construction, operation, and maintenance of physical infrastructure, or in carrying out activities that may be dependent on such infrastructure with safety measures, inspections, or remedial works incorporated as needed ▪ Promote use of recognized good practice in the production, management, storage, transport, and disposal of hazardous materials generated through program construction or operations; and promotes use of integrated pest management practices to manage or reduce pests or disease vectors; and provides training for workers involved in the production, procurement, storage, transport, use, and disposal of hazardous chemicals in accordance with international guidelines and conventions ▪ Include measures to avoid, minimize, or mitigate community, individual, and worker risks when program activities are located within areas prone to natural hazards such as floods, hurricanes, earthquakes, or other severe weather or climate events. Applicability: Core Principle 3 is applicable to the Program as it finances construction activities related supporting classroom construction, rehabilitation and other school infrastructure (e.g. separate latrines for girls, hygiene kits, and water systems in school) as well as constructing safe and welcoming boarding secondary schools for girls where supply is limited. Rehabilitation, construction, and operation of subproject activities may expose the workers, public, as well as students to risks. The provisions in Core Principle 3 are considered as part of the ESIA process analyzed under Core Principle 1 Strengths: The issue of Public and workers safety is addressed in the Labour and Social Affairs sector proclamations and guidelines, namely the Labour Proclamation (No. 377/2003) and Occupational 52 Health and Safety Directive (2008). The Ministry of Labor and Social Affairs and Regional bureaus of Labor and Social Affairs are responsible to ensure the health and safety of the public. In addition, federal and regional bureaus such as the health ministry and health bureaus follow relevant public and worker safety procedures. The country has various guidelines that enforce best practices, monitors, and enforces occupational health and safety regulations with regard to construction works. The guideline require that contractors must maintain accident registers, provide workers with protective gear, and standards for construction sites and post warning signs visible to the public and workers awareness about requirements, use and knowledge for personal protective equipment. In line with this, the following Proclamations and guidelines can be considered as the system’s strengths: • Environmental Pollution Control Proclamation 300/2002. • Labour Proclamation 377/2003. • Occupational Health and Safety Guideline (2003). Occupational health and safety aspects are important during the construction/rehabilitation of classrooms and school facilities. With regard to this, the existing Labour and Social Affairs proclamation and guideline requires that employers should keep an accident register, ensure that employees are not at risk and provide all workers with the required protective equipment. Gaps: • Safety provisions including Personal Protective Equipment (PPE) are not always included in civil works contracts. • Inadequate experience and devotion to enforce safety rules such as use of personal protective equipment by contractors and sub-contractors. • Weak or no understanding and carelessness of workers in applying safety measures • Weak or no supervision on the implementation of safety management • Inadequate logistics, budget and other resources to conduct regular supervision • Other gaps identified in Core Principle 1 are also applicable to Core Principle 3 Opportunities: • Most bid documents include occupational health and safety as an attachment as part of the contract agreement so that contractors are responsible for the wrongdoing, • The existence of regulatory agencies and starting of some actions to improve standards of labor safety during construction, operation, and maintenance of physical infrastructure. • The culture of using PPE by construction workers is becoming a trend in most construction firms. Risks: • Hesitance of the contractors and sub-contractors to spend on Safety protective materials at work site • Low awareness level and carelessness of workers on properly applying the PPE • Absence first aid kits in the construction sites and medical facilities near construction sites that could treat injured workers may result into major damage or loss of life 53 • In addition, the risks identified for strengthening the system for Core Principle 1 is applicable to Core Principle 3. Recommended Actions: • Enforce and supervise the proper usage of safety protocols, including the wearing of PPE, as required • Create awareness to the school community and ensure their understanding of the potential safety and health impacts including mitigation measures. • Make sure that all construction agreements include an attachment on public and workers safety clause as part of the bid document. • Strengthen school environmental and sanitation clubs to manage waste in their compound Core Principle #4: Program E&S systems manage land acquisition and loss of access to natural resources in a way that avoids or minimizes displacement and assists affected people in improving, or at the minimum restoring, their livelihoods and living standards. As relevant, the program to be supported: ▪ Avoids or minimizes land acquisition and related adverse impacts; ▪ Identifies and addresses economic and social impacts caused by land acquisition or loss of access to natural resources, including those affecting people who may lack full legal rights to assets or resources they use or occupy; ▪ Provides compensation sufficient to purchase replacement assets of equivalent value and to meet any necessary transitional expenses, paid prior to taking of land or restricting access; ▪ Provides supplemental livelihood improvement or restoration measures if taking of land causes loss of income-generating opportunity (e.g., loss of crop production or employment); and ▪ Restores or replaces public infrastructure and community services that may be adversely affected. Applicability: Applicable There could be minimal risk in case of land acquisition related to SPG woredas that will be supported by HCO for construction facilities by the basic sectors: education, health/water and sanitation. Subprojects affecting more than 200 people will not be financed by the program. Furthermore, to curb the risk, the woreda administration is expected to provide land for the infrastructural development and replacement based on the Country’s proclamation No.1161/2019 article 1(1) and Regulation No. 472/2020 that states landholding expropriation for public purposes is compensated and a payment is supposed to be made either in cash or in kind. In this regard, the assessment found the analysis of Core Principle 4 is applicable. Strength: • The availability of Government of Ethiopia’s Legislation (Proclamation No 1161/2019, Regulation No. 472/2020) and regional proclamation on land administration and use for most of the regional states with clear articles that stipulate the process of land acquisition, resettlement and compensation processes for public service. Most of the articles of the legislations are consistent with the requirements of core principle. 54 • Under Article 16 (sub-article 2), the Proclamation mandates the responsible bodies to establish a resettlement package for the affected persons as follows: “Regional states, Addis Ababa, and Dire Dawa, shall develop resettlement packages4 that may enable displaced people to sustainably resettle�. The Proclamation gives the affected community the right to purchase shares from the investment under Article 16 (sub-article 4). More to the point, “If the land expropriation for public purpose is for investment, people who are displaced may own shares from the investment�. It is made clear in the Proclamation that people who are displaced and who lost their income shall be beneficiaries of the resettlement package if they do not own shares from the investment. The decision on expropriation for public purpose will be made by the appropriate Federal Authority, or a Regional, Addis Ababa, Dire Dawa City Administration cabinets on the basis of an approved land use plan; or master plan; or structural plan. The Proclamation indicates, “the budget necessary to cover the costs of compensation and resettlement and the responsible body that shall cover these costs shall be made clear at the time when expropriation for public purpose is decided�. According to the Proclamation, unless the government needs the land urgently, landholders who are to be displaced shall be consulted at least one year before they handover their land on the type, benefits, and general process of the project; and shall be paid compensation or provided substitute land before displacement (Article 8, sub-article 1(a)). • The preparation of Public Consultation Guideline (2020) by EFCCC. • Besides regional level proclamations (Regulation No. 159/2018 the Revised ANRS Rural Land Administration and Use System Implementation, Council of Regional Government Regulation) also provided additional provision that allows substitute dwelling and working land shall be identified and prepared in favor of those holders residing within the plan and administrative boundary of any town and be made available for displaced persons • Availability of sufficient land mostly in rural schools for additional construction to upgrade the status/grade level of the school. • Community support for school expansion and upgrading related interventions. In most cases, request for school construction or expansion comes from the community. Usually this happens after having sufficient consultation, identifying the land for construction (volunteer donation, use of communal land and provision of replacement land) and other community contribution. Gaps: • Absence of proclamation for land administration and utilization in some regions like Somali and application of customary/traditional law that might be inconsistent with the core principle requirements. • Delayed compensation and communities’ perception and knowledge about the issue of compensation. In some places, the community may claim more compensation above what is budgeted. This could delay the program implementation. • The legal framework only recognizes legal titles and quasi-legal titles (such as customary rights over land and communal land) and does not cater to citizens with no legal rights. Citizens without legal rights to land receive “special assistance�, but not formal compensation for loss of land. In settlements where pastoralist and agro-pastoralists reside, there are cases where modern and customary laws are practiced simultaneously. This may likely create problem and 4 It is also stated that the contents and detail implementation of the resettlement package shall be determined by the regulation to be enacted following the proclamation. 55 could be a challenge during implementation of the program as harmonizing modern and customary laws could sometimes be difficult. • Woreda level experts and officials, to some extent exhibit capacity gaps related to valuing the acquired land to avoid disagreement, preparing and implementing culturally acceptable and economically feasible resettlement plan, negotiation skill to come up with compensations which is agreed by both parties (the government and PAP). Opportunities: • Availability of sufficient land mostly in rural areas for infrastructural construction, including schools • In most cases, request for school construction or expansion comes from the community and willingness of the community to contribute land for the infrastructural construction. Such conditions are treated through Voluntary Land Donation Protocol. • Previous experiences in the world Bank supported projects, particularly in the implementation of Program for Results such as Ethiopia Urban Institutional and Infrastructure Development, Ethiopia Water Supply, Sanitation and Hygiene Project, GEQIPE, CALM, etc to build on and capitalize for better implementation of the program Risks: • The Bank’s policy recognizes that involuntary resettlement may cause severe long -term hardship, • Impoverishment and environmental damage may happen unless appropriate measures are carefully planned and carried out. • Inability to rehabilitate and adequately compensate affected people while acquiring land for projects/programs will adversely affect livelihoods of displaced people. • There is a possibility that some people may lose their livelihoods as a result of land acquisition. If they have not received replacement land or not been appropriately treated and consulted to restore their livelihoods, it is likely that they engage in activities such as illegal forest logging, illegally resettling within forests and engage in other crimes. Recommended Actions: • Prepare and implement directives and guidelines at regions and City councils for the newly enacted proclamation and regulation on land expropriation, compensation and resettlement. • Enhance leadership commitment in the basic service sectors and oversight bodies to implement the directives and guidelines related to land expropriation, compensation and resettlement. • Establish and Strengthen functional GRM to extend its scope and coverage into issues of land expropriation, compensation and resettlement. However, since the issue requires attention, frequent review and reflection should be done to follow up its implementation. • Implement the newly enacted proclamation and regulation in restoration of livelihoods of program affected people. This could be done by coordinating with other schemes of the government at the city and woreda level, which focuses on income restoration. • The capacity of woreda governments should be improved to plan, undertake and document the process of land acquisition; independent valuation of assets; and grievance redress. • Establishment of appropriate and transparent mechanisms to ensure meaningful consultation and documentation in regions that operate under a communal land system will mitigate the risk of faulty land acquisition and resettlement practices. 56 • Awareness creation for the community in relation to land expropriation, compensation and resettlement. Thus, the community perceives the benefits of the infrastructural facilities and avoids undue personal compensation. • In the few instances where land acquisition, resettlement or loss of access to resources is necessary, the concerned organs should ensure that PAPs received compensation and are properly resettled before the land is expropriated. Core Principle #5: Program E&S systems give due consideration to the cultural appropriateness of, and equitable access to, Program benefits, giving special attention to the rights and interests of Sub-Saharan African Historically Underserved Traditional Local Communities, and to the needs or concerns of vulnerable groups. The program: ▪ Undertakes free, prior, and informed consultations if Underserved Traditional Local Communities are potentially affected (positively or negatively) to determine whether there is broad community support for the program. ▪ Ensures that Underserved Traditional Local Communities can participate in devising opportunities to benefit from exploitation of customary resources or indigenous knowledge, the latter (indigenous knowledge) to include the consent of the Indigenous Peoples. ▪ Gives attention to groups vulnerable to hardship or disadvantage, including as relevant the poor, the disabled, women and children, the elderly, or marginalized ethnic groups. If necessary, special measures are taken to promote equitable access to program benefits. Applicability: Applicable The core principle is applicable to the analysis of HCO on the basis of girl students and other vulnerable children especially in underserved/marginalized community. The findings of the assessment on vulnerable and underserved group indicate that, in almost all the regions, there are efforts put by government to support needs of vulnerable groups and provide required services to address their barriers and ensure the inclusion of all students irrespective of disability and to address the gap in gender inequality. Given the existing practical experience of basic sectors in the implementation of the Bank PforR program and the presence of support system to the vulnerable and Underserved Traditional Local Communities, the application of social impact and risk management systems of the implementing agencies are adequate to execute the activities in the HCO. The program incentivizes women development army volunteers to promote a multi-sector package of nutrition interventions alongside paid health and agriculture extension workers. In addition, it provides financial incentives to encourage transition of girls to upper secondary school and retention in lower and upper secondary schools. This may result in favoritism in the selection of beneficiaries for these activities and consequently some support-deserving people may be left out. Strengths: 57 • The policies, strategies and constitution clearly emphasis the rights of vulnerable individuals and groups as well as Underserved Traditional Local Communities to have access to services. • Interest to improve gender equality outcomes across Ethiopia’s basic sectors • Presence of special support in the basic sectors to coordinate and provide technical support to disadvantaged areas. • Most regional governments have commitments to support students with special needs approving budget by regional councils • Existence of government commitment and initiatives to mitigate the problem of vulnerable groups, including gender mainstreaming in different institutions. • The government’s Pathway to Prosperity: 10 Year Perspective Development Plan (2021- 2030) includes an emphasis on building human capital through equitable, quality education and health services. • The Education Sector Development Plan (ESDP VI) ((2020/21-2024/25) strives to improve child learning outcomes and ensure that all children have access to pre-primary and secondary school. • The National Nutrition Program (NNP II) supports the implementation of the Seqota Declaration through multi-sectoral actions and coordination structures. Opportunity: • Policy framework supported by political commitment is in place to address the needs of vulnerable groups including gender mainstreaming in various institutions. • Through the Seqota Declaration, the government has made an ambitious commitment to eliminate child stunting by 2030. Gaps: • Inadequate awareness and prevalence of misconceptions about special needs issues. There are problems related to awareness and wrong perceptions about disability and special needs in general on the part of planners, decision makers, implementers and the public at large. • Limited awareness about child feeding and children nutrition, which are the reasons for stunting • Limited number of schools or classrooms and inaccessibility (long distance from the village) that accommodate school-aged girls. • Shortage of skilled human resource in the area of inclusive education • Poor adherence of the government standard service guideline during care and support intervention for vulnerable children • Weak coordination of the support provided for vulnerable groups and Underserved Traditional Local Communities Risks: • Risk of favouritism in the process of selecting women development army volunteers to promote a multi-sector package of nutrition interventions alongside paid health and agriculture extension workers 58 • There is a possibility of misappropriation of the financial incentives provided to encourage transition of girls to upper secondary school and retention in lower and upper secondary schools • The support provided for children to improve stunting may be shared with adult members of the family as there exists overall food shortage • Failure to address the gaps applying the actions and utilize the opportunities identified in the analysis is key challenges to ensure equity and fairness on sharing program benefits among vulnerable groups and underserved people that will result in the possible risk of not being able to achieve the desired social effects. Recommended Actions: • Ensure the application of the legal frameworks designed and in place to support vulnerable and Underserved Traditional Local Communities across the region and constantly follow the adherence • Establish strong coordination between oversight bodies working on vulnerable groups including children, youth and women. • Ensure the proper participation and consultation of vulnerable and Underserved Traditional Local Communities during planning, implementation and monitoring • Conduct awareness raising on GRM to the community to create awareness about the procedures for accessing GRM, understanding how the GRM functions, timelines, etc. • Strengthen awareness on the benefit of women’s involvement in development • Support women’s empowerment through skill and knowledge development Core Principle #6: Program E&S systems avoid exacerbating social conflict, especially in fragile states, post-conflict areas, or areas subject to territorial disputes. The program: Considers conflict risks, including distributional equity and cultural sensitivities. Applicability: Applicable The proposed program neither exacerbate social conflict nor will it operate in a fragile state context, a post-conflict area or in areas subject territorial disputes. However, due to program benefit sharing and construction activities complaints and minimal conflict might happen. In addition, absence of standard and uniform service package and limited information for vulnerable and underserved groups are challenges to provide equitable access that may result in social conflict. As a result, the assessment found the analysis of Core Principle 6 is applicable. Strength: ▪ The formal and informal institutions with the support of the MOP and in collaboration with the regional and federal security forces help in resolving conflicts. ▪ The recent effort of GRM establishment at different level for various purposes including for projects and in the basic sectors as well as oversight bodies can help reduce in addressing grievances. Moreover, the presence of ethics and anti-corruption directorate at different sectors is also a complement. Gaps: • Internal displacement of people as a result of conflicts in different parts of the country has forced the government to divert budget that could have been used for basic services. 59 • Absence of standard and uniform service guideline to coordinate the care and support effort to vulnerable and underserved groups • Inadequate functional and accessible GRM system at different levels which could have helped in resolving wide-scale conflicts • Absence of clear and consistent data that can support evidence-based budgeting for intervention related to rehabilitating IDPs. • Inadequate attention to the informal conflict resolution practices Opportunities: • The existence of the legal frameworks that can serve as a basis to address complaints and conflicts related to program implementation. • The effort of establishing school level GRM system which is linked to Kebele or woreda level GRM established for GEIQPE is another opportunity for the program to minimize the social conflict that may arise in the school set ups. Risks: • Due to security problems that has occurred in different parts of the country, projects as well as regular government activities related to basic services were interrupted. If this prevails during the HCO, similar implementation interruption could happen. • There may be risk of conflicts during selection of beneficiaries for the different components of HCO. Recommended Actions: • Strengthen the useful experiences in resolving the recently observed social conflicts through blending the formal and informal institutions. • Document good practices that were used to resolve conflicts with collaboration of the local communities and the government operating at different levels. • Organize awareness and consult with the community to help them understand the relationship of conflicts and program delays. • Put in place a standard and minimum service package for vulnerable and underserved groups • Strengthen the relationship/coordination among key stakeholders of the program implementing agencies 5. Environmental and Social Risk Rating and Recommended Actions of the Proposed HCO 5.1. Environmental and Social Risk Rating Most of the identified environmental and social impacts and risks could apply throughout the program life cycle. The MOF, the basic sectors and oversight bodies at all levels are responsible for environmental and social risk management during the HCO implementation. Investments and activities of the program which are likely to have significant adverse environmental and social impacts that are sensitive, diverse, or unprecedented which are classified as high risk are excluded from the Program and will not be supported by PforR operations of the program. Indicative investment menu is annexed in the report. 60 The finding of the ESSA identified nine major risk areas. Of which one is low, two are substantial and the remaining risks are found moderate. The overall environmental and social risk rating for the proposed HCO is ‘substantial’. This is largely because of the absence or gap in E&S management capacity. Moreover, smooth program implementation will be affected due to the current country context with social unrest in different parts of the country. The country is included in Fragile, Conflict and Violence (FCV) Country list in which the program will operate in a post- conflict area. As per the findings of the ESSA, the specific risks with their risk level and proposed mitigation measures are presented in Table 1 below. Table 1: Environmental and Social Risk Rating for Proposed Program No Risk Description Risk Management Risk Rating 1 • Establish Environment and Social Management system at Substantial Absence/gap in federal and regional levels in the basic sectors that do not Environment and have safeguard structures yet Social • Create awareness and organize capacity building sessions Management for the leadership of the basic sectors on safeguards issues System • Enhance the capacity of newly recruited and assigned experts and technical staffs at regional and woreda levels 2 Economic and • Minor risk because constructions are planned to be Moderate physical undertaken mainly in existing school facilities. displacement due • Have a procedure in place to screen out activities with to Land potential resettlement of PAPs Acquisition • Conduct meaningful community consultation and participation including the affected persons using the consultation guideline and ensure that consultation minutes are prepared and properly documented. 3 Prevalence of • Prepare plan for conflict prone areas so that program Substantial Contextual implementation disruption is minimized. Conflict • Carry out proper consultations and reach consensus with different stakeholders before deciding program implementation sites and beneficiaries • Wide-scale capacity building which will allow easy replacement for staff turnover as a result of the conflict • Ensure the functionality of established GRM at the basic sectors and oversight bodies 4 Vulnerability of • Strengthen and support girls’ clubs in schools and create Moderate girls to Sexual awareness on GBV risks because of the constructions such Exploitation and as influx of daily laborers and other skilled workers. Abuse/Sexual • Awareness creation for the contractors Harassment • Facilitate construction activities during absence of students (SEA/SH) during school level constructions 61 No Risk Description Risk Management Risk Rating 5 Exclusion of • Have a procedure as part of the Environment and Social Low vulnerable and Management guideline and apply to ensure vulnerable underserved and underserved groups and individuals are not groups and excluded due to program activities individuals 6 Public & workers’ • Ensure Proper usage of safety protocols, including the Moderate health and safety wearing of PPE and the agreement with contractors should include the provision of PPE and emergency kit as binding requirements. • Create awareness to the school community on the potential safety and health impacts of the construction. • Monitoring of contractors during construction of facilities. 7 Environmental • Ensure the proper utilization of the regulations developed by Moderate Implications of rural road authority that obliges construction firms to close Construction pits and quarries after use. Activities 8 Impacts on natural • Ensure that impacts are not overlooked and important to Moderate habitat and screen all woreda-level projects for possible impacts on physical cultural physical cultural resources and be alert to the possibility of resources due to chance finds school • Assess the status and presence of sensitive species in the area construction and check no sensitive fauna and flora species are found within and around the construction area that could be affected by the program activities 9 Potential for • The proponent of the subproject must ensure proper design Low Depletion and and construction of schools that possess proper drainage Pollution of systems and septic tank Surface and • Committees that are formed around health facilities could be Groundwater made aware and strengthened to look after these issues. Resources 10 Weak • Develop environmental and social safeguard reporting Moderate Environmental, (Quarter and Annual) template Social and Safety • Undertake annual environmental, social and safety audit at Management SPG woredas Supervision and • Conduct annual performance review Monitoring • Prepare biannual and annual environmental and social implementation reports Overall Risks Substantial 5.2. Recommended Mitigation Measures and Program Action Plan (PAP) 62 The following key actions are proposed as mitigation measures to enhance implementing agencies capacity to properly identify E&S risks that may occur during the implementation of the proposed HCO and implement proper environmental and social management. o Establish and Strengthen Environmental and Social Management System (ESMS) in the basic sectors at different levels o Have a procedure in place to screen out activities with potential resettlement of PAPs o Develop Conflict preparedness plan o Prevent SEA/SH by strengthening the system at schools o Protecting and maintaining Natural habitat, and Physical Cultural Resources o Avoid depletion and pollution of surface and groundwater resources o Strengthen workers and community safety prevention at workplaces o Inclusion of Vulnerable Groups and Underserved Traditional Local Communities o Performance Report, Review and Audit on Environmental, Social and Safety Management The detail of the recommendations is included in Annex 1. Table 2 presents the suggested Program Action Plan (PAP) of HCO ESSA that will help to improve the management of environmental, social and safety impacts. The recommendations and actions on the environment and social management and safety will be a part of the Program Action Plan. 63 Table 2: Recommended Program Action Plan (PAP) on Environment and Social Management No Action Items Activities/Actions Link Progress Indicator Level of Responsibilit Timeline Output to application y DLI/IPF 1 Establish and i) Establish This is • Establishment of MOF and Prior to Strengthen environmental and linked to safeguard unit at the Federal and Basic sectors program Safeguard Environmental social management unit DLI 2.4 MOF region levels at different implementat s unit and Social at the MOF and focal • Number of focal levels ion establishe Management persons at regional and persons assigned at d System woreda levels for the different (ESMS) in the regular program of the administrative levels Focal basic sectors at basic sectors for the regular persons in federal, program of the basic place regional and sectors woreda levels ii) Organize awareness IPF Percentage of leaders Federal and EPA in Throughout Leaders raising and capacity that received training regional collaboration the program with better building interventions levels with basic period knowledg for the leadership of the sectors e about basic sectors regarding safeguards safeguards issues iii) Organize capacity IPF Percentage of staff Federal, EPA in Throughout Staff building training for trained regional, collaboration program having newly recruited and and Woreda with basic period knowledg assigned experts and sectors e about technical staffs at ESM regional and woreda levels on environmental and social management of the program. 2 i) Conduct timely and Number of Woreda and Regional and During Consensus meaningful consultations, timeliness kebele Level Woreda basic project reached on 64 No Action Items Activities/Actions Link Progress Indicator Level of Responsibilit Timeline Output to application y DLI/IPF consultations with sectors and identificatio the details Conduct PAPs oversight n of the Meaningful bodies program Consultation, Have a ii) Document Number of meeting Woreda and Regional and Continuous Meeting procedure in consultation minutes documented kebele level Woreda basic throughout minutes place to screen meetings minutes sectors and the program document out activities oversight identificatio ed with potential bodies n and resettlement of implementat PAPs ion process iii) update or adopt the Updated or adopted Federal and Federal and Prior to ESMG Environment and guideline on regional regional basic program with Social Management resettlement level, sectors and resumption Procedure Guideline that include Woreda oversight and in place to a procedure to screen endorsemen bodies implementat screen out out activities with t ion resettleme potential resettlement nt of of PAPs, PAPs, as grievance handling well as mechanism, protocol outline the for voluntary land GRM and donation voluntary donation procedure 3 Develop i) Develop pre-emptive Presence of pre-emptive Federal and Federal and Prior to Pre- conflict conflict preparedness conflict preparedness regional regional basic program emptive preparedness plan plan level sectors and implementat conflict plan and build oversight ion preparedn capacity to bodies ess plan reduce the prepared 65 No Action Items Activities/Actions Link Progress Indicator Level of Responsibilit Timeline Output to application y DLI/IPF effects of ii) Strengthen GRM Percentage of GRM Regional, Regional and Throughout GRM conflicts committee through committee members Woreda & Woreda level program Committe training trained kebele level GRM period e members structures with better knowledg e about GRM iii) Carry out Number of consultation Regional, Regional and During Consensus community and and stakeholder Woreda and Woreda basic project reached on stakeholder representation kebele Level sectors and identificatio the details consultation and reach oversight n of the consensus during site bodies program and beneficiary selection 4 Prevent SEA/SH and Strengthen girls’ clubs Percentage of girls’ School level Woreda basic Throughout Girls’ put in place in schools through clubs that received sectors and program clubs in OHS measures awareness creation awareness creation oversight period schools training on the training bodies aware program, construction about related SEA/SH risks SEA/SH prevention Finalize School National Ministry of Year 1-2 and Related Gender Based School related GBV Level Education response Violence Code of guideline finalized Conduct and pilot the Year 2 implementation at Implementation at onwards Selected SPG woredas sample SPG woredas 66 No Action Items Activities/Actions Link Progress Indicator Level of Responsibilit Timeline Output to application y DLI/IPF Awareness creation for Contractors that adhered School level Woreda Throughout the contractors the required safety education the program measures office period Facilitate construction Site specific Woreda Throughout activities during education the program absence of students offices and life schools 5 Strengthen i) Organize awareness Number of meetings and School level Woreda basic Throughout Schools workers and raising meetings on the participants sectors and program aware community potential safety and oversight period about the safety health impacts of the bodies incoming prevention at construction to the risks workplaces school community ii) Ensure availability Use of first aid kits and School level Woreda, Throughout First aid of first aid kits, COVID COVID 19 protective schools and program kits and 19 protective devises, devises and fire Contractors period COVID construction related extinguisher 19 accidents protective protective devices and fire devises extinguisher and fire extinguish er made available and constructi on related accidents protective devices 67 No Action Items Activities/Actions Link Progress Indicator Level of Responsibilit Timeline Output to application y DLI/IPF iii) Fulfil required Number of transport Woreda Regional and During Monitorin logistics to enable the logistics (motorbikes, level woreda program g logistics staff for monitoring bicycles) bought oversight implementat bought construction sites offices ion iv) Strengthen school School environmental and School level Woreda, During Functional environmental and sanitation clubs established schools program clubs sanitation clubs to implementat manage waste ion v) Ensure that all Construction agreements Woreda Regional and During Safe construction include public and level woreda program working agreements include workers’ safety clauses oversight implementat environme public and workers’ offices ion nt safety clauses 6 Protecting and i) Update the EIA Availability of updated Federal and Federal and Before Updated maintaining guideline to screen all EIA guideline regional regional Program EIA Natural woreda level projects level oversight implementat guideline habitat, and on natural habitats offices ion Physical and physical cultural Cultural resources. Resources ii) Ensure assessment EIA guideline that has Woreda, Federal and Before Revised of sensitive species part to assess sensitive city, kebele regional Program EIA including fauna and species including fauna level oversight implementat guideline flora also be alert to the and flora offices ion developed possibility of chance . find of physical cultural resources. Avoid depletion i) The implementers of Woreda, MOE Before Updated 7 and pollution of the subproject must School design that city, kebele Program school surface and ensure proper design possesses proper level and implementat design and construction of school level ion document 68 No Action Items Activities/Actions Link Progress Indicator Level of Responsibilit Timeline Output to application y DLI/IPF groundwater schools that possess drainage system and with resources proper drainage septic tank proper systems and septic tank drainage School level system ii) Committees that are and septic formed around health Woreda tank facilities could be made Education During Number of committees aware and strengthened Office program Committe made aware and to look after these implementat es become strengthened issues. ion aware about depletion and pollution of surface water 7 Inclusion of i) Create awareness and Number of awareness Region, Regional and During Basic vulnerable capacity building to raising capacity building Woreda and woreda program sectors, groups and enable basic sectors forums and participants Schools oversight implementat oversight Underserved and oversight bodies levels offices ion bodies and Traditional follow proper schools Local procedure that consider become communities disabilities and other aware forms of vulnerability about in constructing public needs of service infrastructures people with disability and other forms of 69 No Action Items Activities/Actions Link Progress Indicator Level of Responsibilit Timeline Output to application y DLI/IPF vulnerabil ity 8 Performance i) Develop Prepared environmental Federal and Regional and Before Reporting Report, Review environmental and and social reporting regional woreda Program Templates and Audit on social safeguard template level oversight implementat Develope Environmental reporting (Quarter and offices ion d , Social and Annual) template Safety ii) Conduct annual Organized performance Federal MoF End of every Annual Management performance review review workshop level Year (June) review workshop report iii) Undertake annual Completion of Federal, MoF, EPA After end of Annual environmental, social environmental, social Region and and regional every Year Audit and safety audit at SPG and safety audit woreda counterpart (July- Report woredas August) iv) Prepare biannual Presence of biannual and Federal, Federal, January and Biannual and annual annual reports Regional regional and June, every and annual environmental and and Woreda woreda Year reports social implementation oversight reports bodies 70 6. Stakeholders Consultation and Disclosure The consultation with stakeholders explored the potential environmental and social impacts and risks of the PforR, the capacity of implementing agencies in mitigating the negative environmental and social impacts and risks associated with the proposed program. The consultation also aims at ensuring the priority concerns of stakeholders that are taken full account during program implementation. The draft report was prepared based on assessments in six regions using telephone interviews and email exchanges, desk review of relevant documents and related studies and consultation with relevant federal and regional sector bureaus. The key findings and conclusions of the report will be presented during the virtual workshop with a view to solicit comments and inputs from the participants. Participants were drawn from the six regions (two from regional Environmental Protection Agency, one from regional Finance and Economic Development Bureau and one from BOLSA), federal basic sector ministries, the Environment, Forest and Climate Change Commission, MOLSA, ACSO, and NPDC. The participants commended the efforts made to assess the environmental and social management capacity in the federal agencies and the regions, and the level of consultation. They agreed with the findings, main conclusions and recommendations of HCO ESSA. Comments were provided, particularly on the proposed ESSA actions to be included in the HCO Program Action Plan. After deliberations and agreement on the suggested changes to the proposed actions in the PAP, the virtual workshop endorsed the HCO ESSA. 7. Disclosure The draft ESSA will be publicly disclosed at the World Bank external website for review by relevant institutions before the stakeholders’ consultation. The national HCO ESSA public consultation workshop aimed at reviewing regional findings and enriching the draft report will be held via WebEx. The final ESSA will be enriched based on the feedback provided in the public consultation. The World Bank will re-disclose the final ESSA on the World Bank external website and request MoF for the in-country disclosure. 71 Annexes Annex 1: References Federal Democratic Republic of Ethiopia, Ministry of Finance & Economic Development (MOFED), Studying the Grievance Hearing and Redress at Federal, Regional and Local Levels in Ethiopia, study conducted by IPE GLOBAL PRIVATE LIMITED Federal Democratic Republic of Ethiopia, Ministry of Health (2020), Health Sector Transformation Plan II 2020/21-2024/25, Ministry of Health, Addis Ababa, Ethiopia Federal Democratic Republic of Ethiopia, Ministry of Women, Children and Youth, Ten Years Indicative Development Plan (2013-2022) Federal Democratic Republic of Ethiopia, Planning and Development Commission, 10 Years Development Plan, A pathway to Prosperity (2021-2030) Federal Negarit Gazatte of Federal Democratic Republic of Ethiopia (2020), Expropriation and Valuation, Compensation and Resettlement Council of Ministers Regulation No. 472/2020, Addis Ababa, Ethiopia Federal Negarit Gazatte of Federal Democratic Republic of Ethiopia (2018), A Proclamation To Provide For The Definition Of The Powers And Duties Of The Executive Orangs Of The Federal Democratic Republic Of Ethiopia, Proclamation No.1097/2018, Addis Ababa, Ethiopia Ministry of Health (2020), Realizing Universal Health Coverage through Primary Healthcare: A Roadmap for Optimizing the Ethiopian Health Extension Program (2020 – 2035), Addis Ababa, Ethiopia MOA (2020), 10 Years Agricultural Indicative Development Plan, Addis Ababa, Ethiopia. 72 Annex 2: Recommended Mitigation Measures and Program Action Plan (PAP) The following key actions are proposed as mitigation measures to enhance implementing agencies capacity to properly identify E&S risks that may occur during the implementation of the proposed HCO and implement proper environmental and social management. � Establish and Strengthen Environmental and Social Management System (ESMS) in the MoF and basic sectors at different levels. Some basic sectors that will be implementing the HCO such as MOE and MOA do not have safeguards unit in their regular program. Thus, it should be made to be mandatory to establish Environment and Social Management unit at federal, regional and woreda levels in the basic sectors that do not have safeguard structures. This is consistent with the Proclamation for the establishment of environmental protection organs which stipulates the establishment of environmental units in the sectors. For the MoF the existing Social Development unit needs strengthening by assigning the required E & S staff and resources. Due to the current reform, there is frequent and wide-scale reshuffling and change of leadership of the basic sectors and oversight bodies. This creates gaps in awareness about environmental and social impact and risk issues. Therefore, continuous awareness raising and capacity building interventions should be made to put the leadership on track regarding safeguards issues. In addition, enhancing the capacity of newly recruited and assigned experts as well as technical staffs at regional and woreda levels is required. This should be complemented with relevant Environment and Social Risk Management (ESM) guideline, the necessary logistics and budget. The Program will also benefit from supporting and follow up on functionality of the E & S system at Special Purpose Grant (SPG) woreda level assessing E &S screening, preparation and implementation of the required safeguards instruments with appropriate mitigation measures. � Putting a Procedure in Place to Screen Out Potential Resettlement of PAPs Classroom construction, rehabilitation and other infrastructure has been envisioned to take place mainly in existing facilities . The program should put land acquisition procedures in place to screen out potential resettlement of PAPs. This should also be part of the Environment and Social Management guideline. The guide needs to include as well the GRM procedure and protocol for voluntary land donation. Furthermore, it is vital that the IAs should conduct timely and meaningful consultations with PAPs over the program implementation period along proper documentation on the same. � Develop Preemptive Conflict preparedness plan and build capacity to reduce the effects of conflicts In the case of contextual social conflict, some preemptive plan could be designed to minimize the negative effects of the conflicts. Such actions could include hiring and assigning staff at the project site that don’t need movement and storing some construction inputs in or around the subproject site as contingency. If the community and other stakeholders are not properly consulted, it can be a source of conflict. Therefore, transparency about the program interventions by carrying out proper awareness sessions on the program activities, consultations and reaching consensus with different stakeholders before deciding project implementation sites and beneficiaries has paramount importance. Since there is a possibility of staff turnover as a result of conflicts, conducting wide-scale capacity building could help quick replacement of staff. Moreover, ensuring the functionality of established GRM at the basic sectors, finance offices and oversight bodies will help in conflict resolution. � Sexual Exploitation and Abuse/Sexual harassment (SEA/SH) prevention in line with program Students may not be aware about the potential risks that will manifest with the arrival of construction workers in the school compound. Therefore, strengthening and supporting girls’ clubs in the target schools and making them aware about the SEA/SH prevention and response , the incoming GBV risks as a result of the constructions. � Protecting and maintaining Natural habitat, and Physical Cultural Resources In order to minimize or avoid the negative impacts of HCO on natural habitats and physical cultural resources, it is necessary to take precautionary measures at the design and during site selection and screening of the subprojects. This could be better done in consultation with local community and relevant stakeholders in the basic sectors and oversight bodies. Accordingly, the following specific actions are proposed: o Ensure that impacts are not overlooked and important to screen all woreda-level projects for possible impacts on physical cultural resources and be alert to the possibility of chance finds. Thus, it is important to have a Chance Find procedures. o Assess the status and presence of sensitive species in the area and check no critical fauna and flora species are found within and around the construction area that could be affected by the program activities � Strengthen workers and community safety prevention at workplaces One of the reasons for construction related accidents is reluctance in the use of PPE and limited follow up and supervision by the contracting or commissioning agency. Therefore, to improve this, the following actions are suggested: • Ensure Proper usage of safety protocols, including the wearing of PPE and the agreement with contractors should incorporate the provision of PPE and emergency kit as binding requirements. • Create awareness to the school community on the potential safety and health impacts of the construction. • Monitoring of contractors during construction of facilities. � Inclusion of Vulnerable Groups and Underserved Communities The program should give due emphasis for the needs of the vulnerable and underserved groups to enable equitable access and benefit sharing. During HCO implementation, finance offices and the basic sectors, should take into account the situation and need of underserved communities, people with disability and other vulnerable or disadvantaged groups during services provision. This will include following the proper inclusive 2 procedure in constructing service infrastructures such as classrooms, toilets, etc. The program should document the procedures followed and major interventions undertaken to ensure inclusion of Vulnerable and Underserved Groups. � Performance Report, Review and Audit on Environmental, Social and Safety Management To follow up implementation of the suggested actions for mitigating potential negative environmental and social impacts, it would be helpful to organize periodic and regular review meetings and document their results. Therefore, MoF in collaboration with EFCCC, will take the responsibility of the annual performance report, review and bi-annual technical review meetings. Relevant stakeholders from the basic sectors and oversight bodies will take part in the review meetings. Furthermore, in order to confirm the proper implementation of environmental, social and safety measures, check the proper implementation of environmental and social mitigation measures on the program SPG woredas, an independent body/the environment authority could be incentivized for reviewing program activities and timely preparation of Environment and Social Annual Audits for the SPG woredas. 3 Annex -3: Indicative investment menu: Improve learning outcomes in targeted woredas The menu of interventions under the learning window will boost learning outcomes by strengthening school readiness, improving teaching and learning environments, and increasing school retention (especially for girls). Activities under this window will support the achievement of the 6th Education Sector Development Program (ESDP VI) for 2021 to 2025. With technical assistance, woredas will select from the following menu of potential interventions based on their unique circumstances and needs. Options include: i. scaling-up of innovative community-based Early Childhood Education (ECE) approaches; ii. scaling-up quality ECE and equipping them with basic learning packages. iii. improving in-service teacher training based on local needs, including innovative ways to improve reading skills and gender-based approaches in pre-primary to secondary education; iv. supporting classroom teaching through provision of scripted lessons and training in pre-primary and primary education. v. strengthening school management committees, community outreach, and sensitization campaigns. vi. supporting classroom extension, rehabilitation, and other school infrastructure (e.g. separate latrines for girls, hygiene kits, and water systems to attract and retain girls in school) mainly in existing schools in pre-primary to secondary education; vii. providing financial incentives to support the transition of girls to secondary schools, and their retention in lower and upper secondary schools; and viii. support cluster schools for teaching and learning demonstrations to share their experiences with other schools. All activities will be implemented in close coordination with GEQIP-E, ONE WASH, and the Health SDG PforR to strengthen convergence of school education, health, nutrition, and hygiene services, including strengthening Gender-Based Violence (GBV) referral mechanisms to the health system. 4 Annex 4: Complementary World Bank Human Capital investments Name of HC-related Project Areas for convergence with HCO Health Sustainable Build on the achievements in improving the delivery and use of Development Goals (SDG) a comprehensive package of adolescent, maternal and child Program for Results (PforR) health services through the SDG Performance Fund (SDG-PF), which is a pooled financing mechanism managed by the Ministry of Health with contributions from 11 donors. Ethiopia COVID-19 Build on lessons-learned from COVID-19 to strengthen Emergency Response Project systems to respond to other emergencies that may affect basic service delivery. Japan Social Development Gather lessons-learned from establishing girls’ clubs as a Fund (JSDF) Promoting platform to promote nutrition, reproductive health, and life Young Women’s Livelihoods skills and provision of intermittent IFA supplementation for and Nutrition Project adolescents and young women. General Education Quality Address any gaps in GEQIP-E in implementation with an Improvement Project for increased focus on innovative approaches to improving learning Equity (GEQIP-E) outcomes for children and adolescents. Rural Productive Safety Net Create demand for nutrition services provided through the Program (PSNP) IV/V health system, including promotion of exclusive breastfeeding, complementary feeding, and hygiene practices; as well as build on the findings from the community-based early childcare pilot impact evaluation. Urban PSNP Learn from innovative implementation arrangements and capacity-building models, including contracting NGOs to conduct community-based services. Enhancing Shared Prosperity Build on lessons-learned from the GPG in delivering basic through Equitable Services services and citizen engagement at the woreda level; as well as (ESPES) PforR analytics conducted on local planning and budgeting and service delivery and on how to improve outcomes through coordinated and adaptable basic service delivery at the woreda level. ONE WASH Consolidated Increase access to WASH services (construction/rehabilitation WASH Account (CWA) of water and sanitation facilities and demand creation and Project (Phase I and II) promotion of improved hygiene practices through the health extension program); formative research being conducted on Baby WASH and nutrition behaviors at the household level to guide innovative behavior change strategies. Agricultural Growth Project Increase access to an adequate, nutritious, and safe diet (fruits, (AGP) II vegetables, pulses) through agricultural production and food processing as well as increasing access to safe water through small-scale irrigation. Livestock and Fisheries Increase access to animal-source foods (dairy, eggs, poultry, Sector Development Project and fish) through livestock production and promotion of dietary diversity through common interest groups. 5 Lowlands Livelihood Increase access to diverse, safe, and nutritious foods in pastoral Resilience Project and agro-pastoral communities through improved production of diverse crops and livestock (including safe food handling, promotion of food preservation and storage technologies); as well as increasing access to economic and social services. 6 Annex 5. Subproject eligibility criteria5 Exclusions. Under the Policy, activities that are “judged to be likely to have significant adverse impacts that are sensitive, diverse, or unprecedented on the environment and/or affected people are not eligible for financing and are excluded from the Program.� More specifically, PforR financing should not be used to support projects, or activities within programs, that in the Bank’s opinion involve the following: • Significant conversion or degradation of critical natural habitats or critical cultural heritage sites; • Air, water, or soil contamination leading to significant adverse impacts on the health or safety of individuals, communities, or ecosystems; • Workplace conditions that expose workers to significant risks to health and personal safety; • Land acquisition and/or resettlement of a scale or nature that will have significant adverse impacts on affected people, or the use of forced evictions; • Large-scale changes in land use or access to land and/or natural resources; • Adverse E&S impacts covering large geographical areas, including transboundary impacts, or global impacts such as greenhouse gas (GHG) emissions; • Significant cumulative, induced, or indirect impacts; • Activities that involve the use of forced or child labor; • Marginalization of, discrimination against, or conflict within or among, social (including ethnic and racial) groups; or • Activities that would (a) have adverse impacts on land and natural resources subject to traditional ownership or under customary use or occupation; (b) cause relocation of Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities from land and natural resources that are subject to traditional ownership or under customary use or occupation; or (c) have significant impacts on Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities’ cultural heritage that is material to the identity and/or cultural, ceremonial, or spiritual aspects of the affected communities. This exclusion principle applies to Program activities that meet these criteria, regardless of the borrower’s capacity to manage such effects. In the PforR context, the concept of exclusion means that an activity is not included in the identified program of expenditures. In addition, an activity is not included if it requires the completion of a non-eligible activity to achieve its contribution to the PDO or any specific DLI. The following list provides examples of activities that are normally excluded from PforR financing: new or significant expansion of 5 Bank Guidance – Program for Results Financing Environmental and Social Systems Assessment, September 18, 2020 7 • Power plants; • Major transport infrastructure—for example, new highways, expressways, urban metro systems, railways, and ports; • Operations in mining and extractive industries; • Commercial logging or large-scale forest-products-processing operations; • Large-scale water (surface and groundwater) resource infrastructure, including large dams, or activities involving the allocation or conveyance of water, including inter-basin water transfers or activities resulting in significant changes to water quality or availability; or • Manufacturing or industrial processing facilities. 8 Annex 6: Summary of Human Capital Operation Pilot Woreda on Institutional Arrangement, Capacity and ESM Practice of Oversight Agencies Region Woreda ESM status Oversight Agencies indicators WCY Environment LSA Amhara Ebinat Organizational Independent office and member Independent office and member The labor and social affairs and of the woreda cabinet of the woreda cabinet office is organized as a case institutional team under the woreda setup administration office, the case team is not the member of the woreda cabinet Capacity 27 technical experts 7 technical staff members 4 staff members ESM practice Preliminary gender and GBV - No impact assessment Attempts to support vulnerable assessment was carried out carried out by the office groups through programs. - GRM structure exists but the However, the regular program Organization of women at process is cumbersome has limited activities to support community level - Limited coordination with these groups Controlling GBV through basic sectors - ESIA not carried out for There are some coordination husband-and-wife consultation activities between the case team implemented Projects and other basic service sectors. Training and awareness creation - Logistic and budget to improve economic constraint Since it does not have empowerment of women - Limited authoritative power independent organizational to execute wrongdoing structure, it limited budget Women support unit was allocation and established to provide support operationalization of its GBV and other victims activities 9 The office works in collaboration and cooperation with other sectoral offices, eg. With regard to Harmful traditional practices, the office collaborates with Police, Judiciary and woreda administration Logistic, budget and the need to establish Kebele level structure is mentioned as improvement points SNNP Kemba Organizational Independent office and member Independent office and member Independent office and member and of the woreda cabinet of the woreda cabinet of the woreda cabinet institutional setup Capacity 25 staff members 21 technical staff 13 technical staff ESM practice Awareness creation and training Coordination with woreda office Coordination with WCY office, and experience in collaboration with the woreda of agriculture, police, revenue,police, construction, attorney and working on administration, health and finance, administration, attorney, reducing harmful traditional and office of labor and social agriculture. However, the practices affairs office. coordination is not satisfactory for example, the coordination Creation of women focused - Afforestation campaign, b/n the health office is not income generation activities deforestation and forest satisfactory b/c people with grabbing activities disability and elderly were not Support vulnerable and disabled - Solid waste management given required health services. people, for example, providing - Organization of youth to educational materials to orphan eradicate invasive weeds Practices: (peritoneum) 10 children with the support of - Conducted preliminary Elderly homes were projects environmental impact rehabilitated. The office assessment in collaboration provided construction input There is some coordination and with the agricultural offices. support. collaboration with other basic Challenges sectors People with disability were - Logistics for frequently provided with wheelchairs and Logistics and budget are limiting regulating illegal other facilities the office activities deforestation - Budget to establish nursery Training of hotel and other and carry out frequent service providers on public and supervision and regulatory workers safety work Challenges: - Since there is no kebele level structure, the activities are - Social worker Assigned only hampered in 10 kebeles out of the 32. This is due to unavailability of trained professionals mostly diploma holders are trained in TEVET are assigned in the kebeles - Budget limitation has hampered the amount of support the office can provide to its clients. Currently, this service is given with the support obtained from individuals and NGOs operating in the woreda. - On job training for Kebele level diploma holders social 11 workers may be an urgent capacity development work. - Somali Aware Organizational NA It is organized as wildlife and NA and environmental protection unit institutional under agriculture and natural setup resource management office Capacity NA 9 experts and 17 support staff NA ESM practice NA - Existence of appeal NA and experience committee at office level in the woreda and they are all functional - ESMF is prepared for PSNP - There exists STC and TC at Woreda level for PSNP - Budget and logistics limitation is hampering the ESM implementation Oromia Yabello Organizational Independent office and member NA Independent office and member and of the woreda cabinet of the woreda cabinet institutional setup Capacity 19 NA 18, in addition, they have Kebele level social workers. ESM practice Coordination with health, police, NA Coordination with health, and experience attorney, finance and education police, finance, education and Industry. 2% budget support from the total share of the woreda budget to Activities performed include job creation for the youth, 12 children of poor and HIV/AIDS supporting elderly and the poor, positive households linking job-seekers with the employers, creating income Awareness creation on HTPs generating activities, facilitating such as GMs, early marriage, etc health support for vulnerable citizens, organizing credit and Challenges saving associations. - Budget and logistic Challenges - Shortage of budget to construct shelter for the elderly and to provide mobility appliances - Transport logistics including motorbike and vehicles N.B. NA refers to data not available or not provided. 13 Annex 7: Lists of Participants for HCO ESSA (Federal, Regional and Woreda Levels) No Name Administrati Institution Position Phone No. Email Address ve Level 1 Melaku Kifle Federal MOF Senior Program Management 0911124249 melakukifle2004@yahoo.co Specialist & Consultant m Channel One Programs Coordinating Directorate 2 Demile Yismaw Federal MOF Sr. Social Protection Specialist 0911397784 demileyismaw@yahoo.com Channel One Programs Coordinating Directorate 3 Abayneh Federal MOA Focal person, planning 0911533204 abakalu@gmail.com directorate 4 Addis Negash Federal MOA Environment and Social 0911023263 negash.addis@gmail.com Safeguards Team Leader 5 Abinet Mengistu Federal MOA Public Work Coordination Unit 0911701783 Abmengistu2003@gmail.co Coordinator m 6 Mulatu Abebe Federal MOA Small-scale Irrigation 0943040387 Mulatuabebe1@gmail.com Development Directorate, Senior Irrigation and Drainage Engineer 7 Shiferaw Negash Federal EFCCC General Director, 0911936802 shifeabbagada@gmail.com Environmental and Social Impact Assessment Directorate 8 Tolessa Yadessa Federa EFCCC Director, 0913754227 Tyterfa2011@gmail.com Environmental and Social Impact Assessment Directorate 9 Getahun Desalgn Federal MOE Focal person, planning 0911566975 Getahundesalegn737@gmai l.com 10 Tesfahun Belay Federal MOE Focal person 0911835102 tesfaeyosias@gmail.com 11 Dr. Feben Girma Federal MOH A/Director, Partnership and 0911098464 feven.girma@moh.gov.et Cooperation Directorate, 14 No Name Administrati Institution Position Phone No. Email Address ve Level 12 Mesfine Kebede Federal MOH Partnership and Cooperation 0913464510 mesfine.kebede@moh.gov.e Directorate, Assistant director t 13 Enawgaw Alemayhu Federal MOH Youth Case Team Leader, 0910602033 Enawgawalemayhu2013@g WCY directorate mail.com 14 Nigussie Lemma Federal MOH Health System Strengthen 0936239730 Nigussie.lemma@mo.gov.et directorate 15 Andargie Abie Federal MOH Senior Health financing 0967131921 Andarge.abie@moh.gov.et advisor, 16 Jamal Mohammed Federal MOH Health and Health related 0913367442 Jamalmohmohammed14@g inspection regulation mail.com directorate 17 Samuel Kebede Federal MOH Director of Infrastructure expert 18 Tesfahun Belay Federal MOE Focal person 0911835102 tesfaeyosias@gmail.com 19 Feleke Jembere Federal MOLSA Director, Social welfare 0911897179 development promotion directorate 20 Elsabet Geto Federal Ethiopian 0993657618 elsabetgeto6@gmail.com Institution of Ombudsman 21 Deneke Shanko Federal Ethiopian 0911682201 Institution of Ombudsman 22 Agash Asmamaw Federal WDC 0911418736 23 Shewanesh Demeku Federal WDC 0911875771 24 Zebidar Alem Federal WDC Environment, Social and 0947372172 Climate Change 25 Elsabet Geto Federal Ethiopian 0993657618 elsabetgeto6@gmail.com Institution of Ombudsman 15 No Name Administrati Institution Position Phone No. Email Address ve Level 26 Solomon Tesfasilassie Federal PDO M&E Director 0911904620 solomontesfasilassie@gmail .com 27 Fassikaw Federal ACSO Deputy director 0944307311 fassikaw@gmail.com 28 Mahamud Yesuf Region Somali Channel One Program 0913832288 mahamudmaelin@gmail.co Region Coordinator m 29 Tesfaye Gemechu Region Oromia Channel One Program 0911866629 Tesfayegemechu830@gmai Region Coordinator l.com 30 Obong Oboya Region Gambella Channel One Program 0917907908 obongoboya@yahoo.com Region Coordinator 31 Tarekegne Nuramo Region SNNP Channel One Program 0911711527 tareknnuramo@yahoo.com Coordinator 32 Sadik Region Somali Bureau of Agriculture 0911977798 Region 33 Abebe Gizachew Region Oromia Road Rights expert 0912745703 Region 34 Ahmed Mohamed Region Somali Regional office of Education, 0915745442 Camarhadi@gmail.com Usman Region Social and Environment Safe guard Officer 35 Mohamed Aynale Region Somali Bureau of Health, Planning, 0910484566 ayanle5710@gmail.com Hassen Region Policy Monitoring and Evaluation Director 36 Wardi Abdulacif Region Somali Panning, Monitoring and region, Evaluation Director BOWCY 37 Nimo Yusuf Region Somali Social Development Director region, BOLSA 38 Ahmed Adem Region Somali Environment Assessment region, Expert Environment 16 No Name Administrati Institution Position Phone No. Email Address ve Level 39 Tesfaye Tesfahun Region SNNP, ESM Expert 911923372 Bureau of Education 40 Bogale Region SNNP, Agriculture 41 Shimels Region SNNP, Health and Health related 911052342 Bureau of Product Quality team leader Health 42 Belayneh Banja Region SNNNP, 949613977 BOLSA 43 Wudneh Region SNNP, Environment 44 Dereje Mekonen Region Oromia General Education Quality region, Improvement Program for Education equity GEQIP-E Director 45 Elias Kedir Region Oromia Agriculture and Natural resource bureau 46 Motuma hirko Region Oromia Agriculture and Natural 0911871131 motumahirko@gmail.com resource bureau 47 Olieck Omodo Woreda Gambela Planning and Program team 0917483040 Finance leader Office, GOG woreda 48 Damot Woiide Woreda SNNP Office leader Finance Office, Dugoma Soloso 49 Mohammd Woreda Somali Gursum woreda 0913421410 region 17 No Name Administrati Institution Position Phone No. Email Address ve Level 50 Zewudu Region Amhara ONE WASH CWA 0918714372/091 Zewduzegeye372@gmail.c health Coordinator 3858318 om bureau 51 Belayneh Region BOLSA Social Protection Promotion 0918412989 tsegabelaynew@gmail.com and Coordination Directorate's Director 52 Debasu Yayeh Region Education ENVIRONMENTAL AND 0918708042 Debasu2001@gmail.com Bureau SOCIAL SAFEGUARD EXPERT 53 Asmamaw Endalew Region Bureau of 0918715890 easmi2e@gmail.com women, children and youth 54 Aderaw Region Bureau of 0913952465 agriculture 55 Woldegberile G/Kidan Region Environment ESIA Expert and UIIDP Focal 0918780444 geberewolde@gmail.com , Forest and Person Wildlife Protection and Developmen t Authority (EFoWPDA ) 56 Mihret Federal MOE, 0911670168 Gender Directorate 57 Tamiru Mamo Region Benishangul Environment & Social 0900381397 Tamirumamo371@gmail.co Gumuz, Safeguarding Expert- GEQIP m 18 No Name Administrati Institution Position Phone No. Email Address ve Level Education Bureau 58 Mihretu Mekonen Region Agriculture Plan & Environment 0986640853 mihretumeknnen55@gmail. Bureau com 59 Melaku Womber Region Agriculture Environmental safeguard 0910551409 melaku.womber2014@gmai Bureau Specialist l.com 60 Girma Kebede Region Health Environmental Health Expert 0911836030 girmayyekebede@gmail Bureau 61 Alem Tadel Region Benishangul OWNP-CWA PMU 0964225018 alembulu1@gmail.com Gumuzu, Environmental and Social Water, safeguard specialist Irrigation and Energy Developmen t Bureau 62 Beyene Alemu Region Benishangul Planer 0913270998 beyenealemu@yahoo.com Road Authority 63 Dasash Guche Region BoLSA Social Security Case Team 0917457996 dasashguche@gmail.com Leader 64 Dagnew Tadesse Federal MOH, Senior Hygiene and 0911-38-95-41 dangew_tadesse@yahoo.co Hygiene and Environmental Health Advisor m, Environment envirnonmental.ht@gmail.c al Health om Directorate 19 No Name Administrati Institution Position Phone No. Email Address ve Level 65 Asherfedin Youya Federal MOH, Deputy Director ashrafkiya20@gmail.com Hygiene and Environment al Health Directorate 66 Tiru Belete Federal MOWCYA Childcare support and 0911103781 tiru_belete@yahoo.com inspection team leader 67 Eshete Mitku Kassie Woreda Ebinat Program preparation, eshetiemitiku89 0989355900/0918085621 Woreda evaluation and fund rising @gmail.com Women,Chil expert dern and Youth Affairs Office 68 Belayneh Getaneh Woreda Ebinat Ebinat Woreda Enviroment, 0918080477 getanehb45@gmail.com Woreda Forest and Wildlife Protection Enviroment, Office team leader Forest and Wildlife Protection Office 69 Getasew Wube Woreda Ebinat Ebinat Woreda Labor and 0918214384 getasew007@gmail.com Woreda Social Affairs Office Case team Labor and head 20 No Name Administrati Institution Position Phone No. Email Address ve Level Social Affairs Case team 70 NADIR SH/OSMAN Woreda Aware Aware Woreda Wildlife and 0953195154 nadirgure hotmail.com GURE Woreda environmental protection Agriculture officer and NRM Office 71 Omar Abdi Woreda Aware Head, Aware Woreda Finance 0915753135 cumeralale@gmail.com Woreda Office Finance Office 72 Kedir Woreda Aware 0915058982 Woreda Labor and social affairs office 73 Galgalo Woreda Yabello Head, Yabello Woreda Finance 0912129690 galgalojaldes2028@gmail.c Woreda office om, Finance galgalojaldes@gmail.com office 74 Abiot Kanko Woreda Kemba Head, Kemba Woreda 0910300031 Abiotkank2013@gmail.com Woreda Environmental Protection, Environment Forest, Climate Change al Regulation Office Protection, Forest, Climate Change 21 No Name Administrati Institution Position Phone No. Email Address ve Level Regulation Office 75 Wako Sora Yabello Head, Planning and budget 0916179922 Wakosora2010@gmail.com Woreda Yabello Woreda Women, children and youth office 76 Billali Doyo Yabello Yabello Yabello woreda 0942487103 goreessaa@gmail.com woreda Woreda peace and security office 77 Matama mangom Yabello Woreda Yabello Woreda Labor and 0911827640 matamangom@gmail.com Woreda Labor and social affairs office social affairs office 22