SECURITY RISK ASSESSMENT AND MANAGEMENT PLAN (SRAMP) FOOD SYSTEMS RESILIENCE PROGRAM FOR EASTERN AND SOUTHERN AFRICA (P178566) AUGUST 2022 ADDIS ABABA, ETHIOPIA Table of Contents List of Tables.......................................................................................................................... ii Acronyms ..............................................................................................................................iii Executive Summary ............................................................................................................. iv 1. Introduction ........................................................................................................................ 1 2. Description of the program ................................................................................................ 6 3. Review of National Policies and Legal Frameworks ......................................................... 9 3.1. National Polices and Legal Frameworks .................................................................... 9 3.2. The World Bank Environmental and Social Framework Requirement .................... 14 4. Security Context and Threat Assessment ......................................................................... 18 4.1. National Security Context ......................................................................................... 18 4.2. Security context in regions covered by the FSRP ..................................................... 19 5. Security Risk Assessment ................................................................................................ 21 5.1. Potential risks to the project that may require a security response ........................... 21 5.2. Security Risk Analysis and Evaluation ..................................................................... 22 5.3. Risk Prevention and Mitigating Measures ................................................................ 29 6. Security Approach ............................................................................................................ 34 7. Security management arrangements ................................................................................. 37 8. Physical security ............................................................................................................... 37 9. Oversight and control of security operations ................................................................... 37 10. Community Engagement ............................................................................................... 38 Annexes ............................................................................................................................ 46 i|Page List of Tables Table 1: Summary of consultation participation and interview .............................................................. 4 Table 2: Summary of participants of consultation and interview to elaborate this security assessment report (May 11, 2022) ............................................................................................................................. 5 Table 3: Table showing summary of Selected FSRP Target Woredas ................................................... 6 Table 4: Table showing summary of the relevant constitutional articles ................................................ 9 Table 5: Likelihood of risk occurrence ................................................................................................. 22 Table 6: Risk Severity descriptions and rating ..................................................................................... 23 Table 7: Risk Matrix and risk score range ............................................................................................ 24 Table 8: Calculated security risk value for FSRP ................................................................................. 26 Table 9: Summary of risk level for FSRP from Calculated security risk value for FSRP (see Table 8) .............................................................................................................................................................. 28 Table 10: Summary of potential security risks and mitigation measures ............................................. 29 Table 11: Security Management Plan ................................................................................................... 39 ii | P a g e Acronyms AGP Agricultural Growth Program CoC Code of Conduct DA Development Agents DRDIP Development Response to Displacement Impacts Project ESF Environmental and Social Framework ESMP Environment Social Management Plan ESHS Environmental, Social, Health and Safety ESS Environmental and Social Standards FDRE Federal Democratic Republic of Ethiopia FSRP Food System Resilient Program GBV Gender-based violence GIIP Good International Industrial Practices GoE Government of Ethiopia GRM Grievance Redress Mechanism MoA Ministry of Agriculture FSRP-PMU Food Systems Resilience Program Management Unit MPA Multiphase Programmatic Approach program NSPP National Social Protection Policy NAPGE National Plan of Action for Gender Equality OCHA Office for the Coordination of Humanitarian Affairs SEA Sexual Exploitation and Abuse SEP Stakeholder Engagement Plan SRMP Security Risk Management Plan SH Sexual Harassment SOP Security Operating Procedure SNNPR Southern, Nations, Nationalities and People’s Region UNSMU United Nation Security Management System UNICEF United Nations International Children's Emergency Fund WB World Bank iii | P a g e Executive Summary The Government of Ethiopia (GoE) is planning to implement Food System Resilient Program (FSRP) and the program will be implemented in nine National Regional states: Oromia, Amhara, Southern, Nations, Nationalities, and People`s Region (SNNPR), Tigiray, Sidama, South-West Ethiopia People, Benshangul Gumuz, Gambella, and Harari regions as well as Dire Dawa and Addis Ababa City Administrations. The FSRP will include four major components: Transforming Agricultural Services and Research System (component 1); Provision of Agricultural Water through the Development of Resilient SSI (component 2); Market and Enterprise Development (component 3) and Enabling environment for Agricultural Transformation and project Management (component 4). The security risk assessment and management plan is prepared with objective of to assess and identify the potential security risks that could potentially threaten the safety and security of the program workers and the beneficiary community in the program intervention areas. The specific objectives are highlighted in the next sub section. Both primary and secondary data were used for the preparation of the document. In this regard, secondary data such as review of national and regional legislation and regulations pertinent to the assignment, Security Risk Assessment and Management Plan carried out by Ethiopian Development Response to Displacement Impacts Project II(DRDIP-II) and other countries are informative and useful for the preparation of Security Risk Assessment and Management Plan. In addition, research findings on security has also been reviewed and utilized. Whereas primary data such as interview, observation and consultation have been used for the preparation of the Security Risk Assessment and Security Risk Management Plan. In the selected target woredas of the FSRP there are security risks that emanate contextual circumstances for instance government attempt to enforce laws in the Northern part of the country; relation with local community which could be manifested by relationship between the contractors and community, the contractor and workers, the PMU and community; and impacts of incidents and response to incidents and other. Security threats/risk can either be external or internal. It is understood that Tigray region is affected by the ongoing conflict and the security situation is unpredictable. It will be difficult for the Ministry of Agriculture to carryout effective implementation of program activities. Due to this fact, the Food and Agriculture Organization of the United Nations (FAO) will be the third-party implementer (TPIA) of the project in the region. Regarding security risk management, FAO will adopt UNSMS and relevant security protocols as TPIA, in Tigray. In addition, FAO will be responsible for implementation of Security Risk Assessment and Management Plan (SRAMP) prepared and approved for FSRP as set out in the Agreement for Delivery of Outputs that will be signed between Government of Ethiopia and FAO. These obligations include among others the development and implementation of site-specific Security Management Plans, monitoring and reporting. Security threats/risk can either be external or internal. Internal threats are those caused by workers in an organization or those that occur within a workplace and may include theft, sabotage, and destruction of equipment, labor unrest, and conflicts between workers, among others. External threats refer to risks of somebody or a group from the outside of an organization to covertly or overtly force or silently exploit system vulnerabilities by acquiring property illegally or harm persons or equipment in the organization such as common criminal activity; disruption of the project for economic, political, or social objectives; iv | P a g e and other deliberate actions that have a negative impact on the effective, efficient, and safe operation of the project. Based on the finding from the security risk assessment the potential external security risks include the following: 1. Theft of equipment and material: employee or visitor/gust stealing equipment or material from project site or individual house. 2. Burglary: Illegal entry of a building with intent to commit a crime, especially theft. It involves breaking and entering the premises. This can be done by staff or outsiders. 3. Banditry/Roadside attacks on workers during transit: The project can be susceptible to attacks while transporting equipment and materials to the targeted regions or to project workers when travelling for field activities. 4. Community unrest: Due to influx of labor, improper behavior towards the community, land and water use conflict, improper site selection and locating project infrastructures and associated facilities, resource abuse by the contractors, improper waste disposal, noise and dust pollution, etc., 5. Risks from Employee industrial action and disruption of services: Likely cause for labor disputes include demand for limited employment opportunities; labor wages/rates and delays of payment; disagreement over working conditions, raising concerns regarding unsafe or unhealthy work situations, or any grievances raised, and such situations could lead to labor unrest and work stoppage. 6. Gender-based violence (GBV)/sexual exploitation and abuse (SEA) and gender-based security incidents: This becomes a security issue when GBV/SEA is inflicted by perpetuators to women and girls of the project workers and community in the project areas (Please refer GBV Action Plan Annex 18 of the Ethiopia ESMF for the Program). 7. Risks emanating from the use of security personnel: Use of security personnel may exacerbate tensions. Security personnel can be private or public. Security personnel can be engaged by the project contractor. Their presence can pose risks to, and have unintended impacts on, both project workers and local communities. Examples include committing a GBV/SEA act by security personnel within conflict affected work environment. It can also occur during community unrest and actions ethnic conflicts within the work environment. 8. Risks associated with armed conflict and kidnapping: armed conflict between government and non- government forces and between non-government armed forces. In areas in which armed groups are operating, there are risk of kidnapping. 9. Environment and OHS risks: Program activities pose potential Environment and Occupational, Health and Safety (OHS) risks which include exposure to hazardous material, noise and vibration, dust (affecting air quality), wastes, stuck by objects, work in height, fire and risks associated with availability of potable etc. 10. Risk of traffic accident: due to erratic driving habits and poorly maintained road infrastructure traffic accidents are potential risks. 11. Medical risk: Access to adequate medical and emergency care in rural areas of the country is limited causing medical risks. 12. Exposure to natural hazard (flooding): the rainy season in Ethiopia runs from June to September, and during this period flooding is common posing flooding. v|Page 1. Introduction The Government of Ethiopia (GoE) is planning to implement Food System Resilient Program (FSRP) and the program will be implemented in nine National Regional states: Oromia, Amhara, Southern, Nations, Nationalities, and People`s Region (SNNPR), Tigiray, Sidama, South-West Ethiopia People, Benshangul Gumuz, Gambella, and Harari regions as well as Dire Dawa and Addis Ababa City Administrations. The FSRP will include four major components: Transforming Agricultural Services and Research System (component 1); Provision of Agricultural Water through the Development of Resilient SSI (component 2); Market and Enterprise Development (component 3) and Enabling environment for Agricultural Transformation and project Management (component 4). Some of the program subprojects may be located in targeted regions with security concern and conflicts. Such risks could pose a security risk to the smooth implementation of the program. Therefore, assessment and management of security risks and impacts conflict situation will greatly contribute to the sustainable implementation of the program. The national Labour Proclamation (Proc.No: 1156/2019) provides the legal context for the management of workplace health, safety and security. According to Article 92 (6) of this proclamation, an employer shall take the necessary measure to safeguard adequately the health and safety of workers and ensure that the workplace and premises of the undertaking do not pose threats to the health and safety of workers. The Environmental and Social Framework (ESF) of the World Bank (WB) governs the management of environmental and social (EandS) risks for projects financed by the Bank specifically Environmental and Social Standards (ESSs) 1 and 4 which indicate the need for security protection of the work environment including the requirement to manage risks emanating from engagement of security personnel in the project. ESS 1 of the ESF requires clients to better assess and manage EandS risks and impacts for improvement of financed development outcomes. The WB ESS1 addresses the need to assess environmental and social assessment risks and impacts, including those related to human security. Annex 1 5(e) Social and conflict analysis states that social conflict an analysis is an instrument that assesses the degree to which the project may: 1. Exacerbate existing tensions and inequality within society 2. Have a negative effect on stability and human security; 3. Be negatively affected by existing tensions, conflict and instability, particularly in circumstances of war, insurrection and civil unrest.” ESS4 also addresses the health, safety, and security risks and impacts on project-affected communities and the corresponding responsibility of client to avoid or minimize such risks and impacts, with particular attention to people who, because of their particular circumstances, may be vulnerable. When security personnel are used to provide security to safeguard project’s personnel and property, there is a need to assess risks posed by these security arrangements to those within and outside the project sites. The sanctioning of any use of force by direct or contracted workers in providing security is discouraged except when used for preventive and defensive purposes in proportion to the nature and extent of the threat. 1|Page 1.1. Objective and Methodology of the Security Risk Assessments and Management Plan 1.1.1. Objective of the Security Risk Assessments and Management Plan General Objective The overall objective of this security risk assessment and management plan is to assess and identify the potential security risks that could potentially threaten the safety and security of the program workers and the beneficiary community in the program intervention areas. The specific objectives are highlighted in the next sub section. Specific objectives ➢To identify, evaluate, and prioritize potential security risks and impacts likely to affect the safety and security of persons and operation of the FSRP; ➢To understand and respond to community concerns and perceptions ➢To determine appropriate security arrangements and ➢To propose mitigation measures and security management plan for the identified security risks and impacts related to FSRP. 1.1.2. Methodology of the Security Risk Assessment Methodological Approach The assignment requires that the preparation of the Security Risk Assessment and Security Risk Management Plan. Accordingly, both primary and secondary data were used for the preparation of the document. In this regard, secondary data such as review of national and regional legislation and regulations pertinent to the assignment, Good International Industrial Practices (GIIP) for instance ISO 31000(Risk Management Guidelines) and the WB Good Practice Note on Assessing and Managing the Risks and Impacts of the Use of Security Personnel , Security Risk Assessment and Management Plan carried out by Ethiopian Development Response to Displacement Impacts Project II(DRDIP-II) and other countries are informative and useful for the preparation of Security Risk Assessment and Management Plan. In addition, research findings on security have also been reviewed and utilized. Whereas primary data such as interview, observation and consultation have been used for the preparation of the Security Risk Assessment and Security Risk Management Plan. a) Desk Review Review of relevant existing documents have been done to understand international standards and good practices notes for assessing and managing the risks and impacts of the use of security personnel. Accordingly, review of national and regional legislation and regulations pertinent to the assignment such as Good International Industrial Practices (GIIP) for instance the WB Good Practice Note on Assessing and Managing the Risks and Impacts of the Use of Security Personnel and ISO 31000(Risk Management Guidelines), Environment and Social Frameworks (ESF), Environment and Social Standards (ESSs), United Nation Security Management System (UNSMU) have been done. Incident reports and responses for AGPII, Security Risk Assessment and Management Plan carried out by Ethiopian Development Response to Displacement Impacts Project II(DRDIP-II) and other countries have also been reviewed. Furthermore, research and report findings have been reviewed to understand security context of country in general and program in particular. b) Primary Data Collection Methods The primary data collection methods deployed includes observation selected FSRP target woreda, interviews, observation and consultations. 2|Page Observation: observations of FSRP target woredas have been carried out. This includes visual observation of offices, incident recording and reporting system of ongoing, guard force appearances, physical security system etc. Interviews: Interview is an effective method in gathering information related to potential security risks and impacts related to project. Accordingly, interviews were made with different community representatives, government officials, AGP II woreda focal persons. The interview collects information on potential security risk or impacts, the likelihood of the risks to occur, potential security responses, the severity of the risks and impacts, on security incidents and potential responses, potential mitigation measures etc. Consultations: consultations have also been conducted with community representatives the potential risks and impacts of security, relationships of security personnel with the community, the likelihood and severity of the security risks and impacts on the community, security issues in the communities, etc. Main Findings of the Consultation and Interview Consultations were made with various stakeholders at federal, regional, Woreda and community levels. Since, the Security Risk Assessment and Management Plan has been as a part of the ESMF initially a total of 18 consultations were held On August 2021 with 611 (520 men and 91 female) members of different regional bureaus and Woreda level stakeholders and communities in Oromia, Amhara, SNNPR, Sidama, Gambella, and Dire Dawa. In addition, an additional community consultation and interview have been conducted on starting from 11th May 2022 with 56 (52 male and 4 female) to elaborate the security assessment report. The findings are summarized as below: What are the potential for security risks in and around the project area? With regard to the potential conflicts in and around the potential the project target area the consultation participants revealed that though the magnitude and scope varies security issues such as theft, burglary, roadside attacks on workers during transit, community unrest, risks from employee industrial action and disruption of services, Gender-based violence (GBV)/sexual exploitation and abuse (SEA) and gender-based security incidents are among the security risks areas (Please refer GBV Action Plan Annex 18 of the Ethiopia ESMF for the program). Besides, risk emanating from the use of security personnel mainly security personnel hired to guard construction sites, shades, warehouses etc. Furthermore, the participants of the consultation also revealed that armed conflict are key security issue. Are there different project locations, with different risk profiles? Are some project areas higher risk or do they need more security than others? The consultation exposed that security issues varies from project to project with in region and between regions. Likewise, some program target areas of Amahara region bordering with Tigray are found in area where security is volatile due to the armed conflict in the Northern part of the country. Besides, in Oromia, Benishangul Gumuz, and SNNP regions FSRP target woredas where armed groups operate are have security risks related to armed conflict. The consultation also revealed that GBV, road site attacks and road blockage related to security risks are more likely areas affected by armed conflict. Hence, the consultation exposed that some program target woredas where security is volatile needs more security than others. Does the nature of the Program itself pose any risks to the community? 3|Page The consultation revealed that the Food System Resilience Program by itself does not pose security risk to the community, rather it would help the target communities through investing on agricultural infrastructures that helps to improve productivity and their life. Yet, the consultation publicised that potential program impacts such as unmet expectation related to the program, access restriction, land acquisition without adequate consultation with affected and timely compensation, trespassing, and labour influx if not managed appropriately it may result in distrust between the program and the community which in turn might pose security risk. Who will provide security to the project sites? The consultation unveiled that security personnel who will be deployed at the project site are militia from the kebele where the subproject is located who have the same background as local communities. The security personnel is recommended by the local officials based on his/her prior discipline record, experience and acceptance of the community. The consultations also uncovered that no security personnel (militia) related incidents have been reported. If a security incident/response happens, what would be the impact on the program? Regarding the potential impact of security incident on the program consultation exposed that security incidents such as armed conflict and community unrest could potentially result injury to project workers or damage of project properties. Armed conflict and community unrest related incidents would impact program by damaging program properties, temporary evacuation of program workers from sites, and disruption of program activities. What are possible mitigation measures that prevent or reduce negative impacts? The consultation exposed that security assessment, communication and disclosure of security situation of each subproject site at the planning stage and throughout is key security response. Besides, the consultation participants stressed the need for the physical measures to prevent access to construction sites through putting in place fence, gates, hiring guards, etc. In addition, working closely and regular communication with security actors as key security response. Furthermore, consultation and participation of key stakeholders mainly project workers, community and program affected people in all project activities would help to avoid or mitigate security issues that might happen in relation to the program activities and unmet expectations- related to the program. Moreover, provision of priority in employment opportunities created by the program subprojects would help create good relationship with the community through avoiding or minimizing the potential security issues that may happen due to labour influx. Table 1: Summary of consultation participation and interview No. of Participant Regions/City Participants by Regional, CA and Total No. Administration Woreda/ Community/ Levels Male Female Regional Level 5 1 6 1 Oromia Woreda level 397 79 476 2 Amhara Regional Level 9 9 Regional Level 9 3 12 3 SNNPRS Woreda level 33 5 38 Regional Level 6 2 8 4 Sidama Woreda level 13 13 Regional Level 17 1 18 5 Gambella Woreda level 19 19 4|Page No. of Participant Regions/City Participants by Regional, CA and Total No. Administration Woreda/ Community/ Levels Male Female 6 Dire Dawa CA 12 12 Total 520 91 611 Table 2: Summary of participants of consultation and interview to elaborate this security assessment report (May 11, 2022) No Participants of No of Participants consultation and M F Total interview 1 Federal level 3 - 3 2 Regional PIU 4 1 5 3 Woreda Focal person 12 12 4 Community level 33 3 36 5 Total 52 4 56 5|Page 2. Description of the program The Ethiopian FSRP project builds upon more than a decade of successful experience of implementing Agricultural Growth Program (AGP) I and II. The PDO of the Ethiopia FSRP is to increase the resilience of food systems and the country’s preparedness for food insecurity in project areas. The program will be implemented in nine National Regional states: Oromia, Amhara, Southern, Nations, Nationalities, and People`s Region (SNNPR), Tigiray, Sidama, South West Ethiopia People , Benshangul Gumuz, Gambella, Harari and Dire Dawa and Addis Ababa City Administrations. Table 3: Table showing summary of Selected FSRP Target Woredas AGP I AGP II FSRP woredas (New) Total Regionn/Z No of No of No of No of one Woreda Kebel Woreda Keble Woreda kebele Woreda Keble Oromia 19 441 25 624 28 703 72 1768 Amhara 21 505 14 378 11 308 46 1191 SNNPR 12 315 3 64 2 72 17 451 S/West 7 205 7 150 1 13 15 368 Tigiray 7 117 2 25 3 34 12 176 Sidama 3 65 4 85 1 14 8 164 B/ Gumuz 3 70 3 70 Gambella 1 12 1 12 2 24 Hareri 1 17 1 17 Dire Dawa 1 21 1 21 Addis Ababa 4 4 69 1648 58 1,376 54 1226 181 4250 The project scales-up many of the successful interventions of AGP I and II and introduces many new elements. The following elements are scale-up of AGP I and II: (i) geographic expansion of additional woredas; (ii) scale up of irrigation plus approach to push for integrated one-wash agenda; (iii) scale up of nutrition, gender and CSA approach which has been mainstreamed in the program, (iv) scale up of research system and extension system integrated for providing services to farmers; (v) scale up of up-stream catchment area treatment by soil and water conservation measures to ensure sustainability of small scale irrigation as well as activities related to Micro-Scale Irrigation Technologies; and (vi) scale of agricultural service delivery by supporting public investments and delivery by the government extension delivery system. The project introduces many new elements including (i) supporting implementation of agricultural and rural development policy reform and improving overall enabling environment of agricultural sector; (ii) integrating private sector in delivery of agricultural services and facilitating private investment in supply chain infrastructure; (iii) providing direct support to private enterprises (both group as well individual commercial businesses) to support job creation; (iv) focusing on digital agricultural agenda to reduce the digital divide; (v) incorporating of urban and peri-urban agriculture which can contribute to improved food security by providing the urban/per-urban/poor with food and a source of viable income; (vi) incorporating of Agricultural Technical Vocational Education and Training colleges (ATVET) 6|Page system in the project domain; (vii) supporting broader agricultural sector MandE system; and (viii) supporting technical assistance to stakeholders in agricultural finance to facilitate flow of credit to agricultural sector. The following section presents detail description of the four Ethiopian FSRP program components. Component 1. Transforming Agricultural Services and Innovation Systems The objective is to increase the quality, relevance and coverage of agricultural services leading to increased adoption to improved technologies and Ag. Practices, (and enhanced skills) by male and female farmers (and rural youth) which in turn contribute to improved Food Systems Resilience. The component has two major sub-components namely Promoting Efficiency and Outreach of key Agriculture Services and Transforming Agricultural Technology Generation and Innovation System which are explained in detail below. Component 2: Resilient SSI Development and Management The intermediate objective of this component is improving the security of agricultural water. This could be realized by expanding SSI infrastructure so as to increase area of land equipped with irrigation infrastructure for improving availability of and access to irrigation water; and improving irrigation infrastructure governance and irrigation water use management to enhance sustainability. To achieve this objective, the component has been designed to have two sub-components: a. Small-scale and Household Irrigation Infrastructure Development; and b. Water Management and SSI Infrastructure Governance. Component 3. Food market development The objective of this component is to increase marketed output of strategic agricultural products (including global market share) as well as rural employment opportunities by promoting enterprise growth along selected value chains, improving the efficiency of agricultural input and output markets, and promoting greater market orientation of smallholder farmers. The food market development interventions that aim to enhance trade facilitation services will mainly focus on improving value chain efficiency and competitiveness of selected food value chain commodities with the aim of increased income, food and nutrition security. To this end, priority and potential food value chains that are selected based on agreed value chain selection criteria will be determined with full participation of concerned regional key stakeholder. Component 4. Improving Enabling Environment for Food Systems and Project Management Improving Enabling Environment for Food Systems and project management of the Ethiopian FSRP is intended as a key financing and implementation vehicle for the government‘s new Agriculture and Rural Development Policy. It will support project management and ensure that the project’s performance and impact are carefully tracked for informed decisions for better project management and result. The component will also host the project’s contingency 7|Page emergency response resources to accommodate unforeseen eligible emergencies. Please refer project description section of the ESMF for detailed description of Multiphase Programmatic Approach program (MPA) and Ethiopian FSRP project description. 8|Page 3. Review of National Policies and Legal Frameworks The following relevant national and international regulations, laws and WB ESF related to the security risk assessment were reviewed. 3.1. National Polices and Legal Frameworks 3.1.1. Provisions of the Constitution of Ethiopia The Constitution of the Federal Democratic Republic of Ethiopia (FDRE) is the supreme law of the land. Any law, customary practice or a decision of an organ of state or a public official which contravenes this Constitution shall be of no effect. Besides, it states that all citizens, organs of state, political organizations, other associations as well as their officials have the duty to ensure observance of the Constitution and to obey it. Moreover, the constitution recognizes that all international agreements ratified by Ethiopia are an integral part of the law of the land. Hence, any agreement related to the security, fundamental right and freedom are ratified by the country are integral part of the law and are indicated below. Table 4: Table showing summary of the relevant constitutional articles Relevant Articles Description Article 14. Rights to life, the Security of -Every person has the inviolable and inalienable right to life, the Person and Liberty security of person and liberty. Article 15. Right to Life -Every person has the right to life. No person may be deprived of his life except as a punishment for a serious criminal offence determined by law. Article 16. The Right of the Security of Person -Everyone has the right to protection against bodily harm. - No one shall be deprived of his or her liberty except on such grounds Article 17. Right to Liberty and in accordance with such procedure as are established by law. -No person may be subjected to arbitrary arrest, and no person may be detained without a charge or conviction against him. - Everyone has the right to protection against cruel, inhuman or Article 18. Prohibition against Inhuman degrading treatment or punishment. Treatment -No one shall be held in slavery or servitude. Trafficking in human beings for whatever purpose is prohibited: - No one shall be required to perform forced or compulsory labour. -For the purpose of sub-Article 3 of this Article the phrase "forced or compulsory labour" shall not include: (a) Any work or service normally required of a person who is under detention in consequence of a lawful order, or of a person during conditional release from such detention; (b) In the case of conscientious objectors, any service exacted in lieu of compulsory military service; (c) Any service exacted in cases of emergency or calamity threatening the life or well-being of the community; (d) Any economic and social development activity voluntarily performed by a community within its locality. -Persons arrested have the right to be informed promptly, in a Article 19. The Right of Persons Arrested language they understand, of the reasons for their arrest and of any charge against them. -Persons arrested have the right to remain silent. Upon arrest, they have the right to be informed promptly, in a language they understand, that any statement they make may be used as evidence against them in 9|Page Relevant Articles Description court. -Persons arrested have the right to be brought before a court within 48 hours of their arrest. Such time shall not include the time reasonably required for the journey from the place of arrest to the court. On appearing before a court, they have the right to be given prompt and specific explanation of the reasons for their arrest due to the alleged crime committed. -All persons have an inalienable right to petition the court to order their physical release where the arresting police officer or the law enforcer fails to bring" them before a court within the prescribed time and to provide reasons for their arrest. Where the interest of justice requires, the court may order the arrested person to remain in custody or, when requested, remand him for a time strictly required to carry out the necessary investigation. In determining the additional time necessary for investigations, the court shall ensure that the responsible law enforcement authorities carry out the investigation respecting the arrested person's right to a speedy trial. -Persons arrested shall not be compelled to make confessions or admissions which could be used in evidence or against them. Any evidence obtained under coercion shall not be admissible. -Persons arrested have the right to be released on bail. In exceptional circumstances prescribed by law, the court may deny bail or demand adequate guarantee for the conditional release of the arrested person. -Accused persons have the right to a public trial by an ordinary court of law within a reasonable time after having been charged. The court Article 20. Rights of Persons Accused may hear cases in a closed session only with a view to protecting the right to privacy of the parties concerned, public morals and national security. -Accused persons have the right to be informed with sufficient particulars of the charge brought against them and to be given the charge in writing -During proceedings accused persons have the right to be presumed innocent until proved guilty according to law and not to be compelled to testify against themselves. -Accused persons have the right to full access to any evidence presented against them, to examine witnesses testifying against them, to adduce or to have evidence produced in their own defense, and to obtain the attendance of and: examination of witnesses on their behalf before the court. -Accused persons have the right to be represented by legal counsel of their choice, and, if they do not have sufficient means to pay for it and miscarriage of justice would result, to be provided with legal representation at state expense -All persons have the right of appeal to the competent court against an order or a judgement of the court which first heard the case. - They have the right to request for the assistance of an interpreter at state expense where the court proceedings are conducted in a language 10 | P a g e Relevant Articles Description they do not understand. Article 21. The Rights of Persons Held in -All persons held in custody and persons imprisoned upon conviction Custody and Convicted Prisoners and sentencing have the right to treatments respecting their human dignity. -All persons shall have the opportunity to communicate with, and to be visited by, their spouses or partners, close relatives, friends, religious councilors, medical doctors and their legal counsel. -Everyone has the right to respect for his human dignity, reputation Article 24. Right to Honor and Reputation and honor. - Everyone has the right to the free development of his personality in a manner compatible with the rights of other citizens. -Everyone has the right to recognition everywhere as a person. Article 25-Rights to Equality -All persons are equal before the law and are entitled without any discrimination to the equal protection of the law. In this respect, the law shall guarantee to all persons equal and effective protection without discrimination on grounds of race, nation, nationality, or other social origin, color, sex, language, religion, political or other opinion, property, birth or other status. Article 35-Rights to Women -The historical legacy of inequality and discrimination suffered by women in Ethiopia taken into account, women, in order to remedy this legacy, are entitled to affirmative measures. The purpose of such measures shall be to provide special attention to women so as to enable them to compete and participate on the basis of equality with men in political, social and economic life as well as in public and private institutions. - Women shall; in the enjoyment of rights and protections provided for by the Ethiopian Constitution, have equal right with men. - Women have equal rights with men in marriage as prescribed by this Constitution. - Women have the right to full consultation in the formulation of national development policies, the designing and execution of projects, and particularly in the case of projects affecting the interests of women. - Women have the right to acquire, administer, control, use and transfer property. In particular, they have equal rights with men with respect to use, transfer, administration and control of land. They shall also enjoy equal treatment in the inheritance of property. - Women shall have a right to equality in employment, promotion, pay, and the transfer of pension entitlements. - The State shall enforce the right of women to eliminate the influences of harmful customs. Laws, customs and practices that oppress or cause bodily or mental harm to women are prohibited. Article 37-Rights of Access to Justice -Everyone has the right to bring a justifiable matter to, and to obtain a decision or judgment by, a court of law or any other competent body with judicial power. (a) Factory and service workers, farmers, farm labourers, other rural workers and government employees whose work compatibility allows Article 42. Rights of Labor for it and who are below a certain level of responsibility, have the right to form associations to improve their conditions of employment and economic well-being. This right includes the right to form trade 11 | P a g e Relevant Articles Description unions and other associations to bargain collectively with employers or other organizations that affect their interests. (b) Categories of persons referred to in paragraph (a) of this sub- Article have the right to express grievances, including the right to strike. (c) Government employees who enjoy the rights provided under paragraphs (a) and (b) of this sub-Article shall be determined by law. (d) Women workers have the right to equal pay for equal work. - Workers have the right to reasonable limitation of working hours, to rest, to leisure, to periodic leaves with pay, to remuneration for public holidays as well as healthy and safe work environment. -Without prejudice to the rights recognized under sub-Article 1 of this Article, laws enacted for the implementation of such rights shall establish procedures for the formation of trade unions and for the regulation of the collective bargaining process. Article 87. Principles for National Defense -The composition of the national armed forces shall reflect the equitable representation of the Nations, Nationalities and Peoples of Ethiopia. -The Minister of Defense shall be a civilian. -The armed forces shall protect the sovereignty of the country and carry out any responsibilities as may be assigned to them under any state of emergency declared in accordance with the Constitution. -The armed forces shall al all times obey and respect the Constitution. -The armed forces shall carry out their functions free of any partisanship to any political organization(s). Gender Based Violence (GBV): In relation to Gender Based Violence, proclamation No. 1097/2018, article 28 bestows 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 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.” Moreover, program specific GBV Action Plan has been prepared for FSRP (Please refer GBV Action Plan Annex 18 on the ESMF). Ethiopian National Policy on Women The National Policy on women was issued in March 1993 emphasizing that all economic and social programs and activities should ensure equal access for both men and women to the country’s resources and in the decision-making process so that women can benefit equally from all activities carried out by the Federal and Regional Institutions. Among the main policy objectives is that laws, regulations, systems, policies and development plans that are issued by the government should ensure the equality of men and women and that special emphasis should be given to the participation of rural women. In addition, the National Policy on Empowerment of Women adopted in 2001 states that “All forms of violence against women, physical and mental, whether at domestic or societal levels, including those arising from customs, traditions or accepted practices shall be dealt with 12 | P a g e effectively with a view to eliminate its incidence. Institutions and mechanisms/schemes for assistance will be created and strengthened for prevention of such violence, including sexual harassment at work place and customs like dowry; for the rehabilitation of the victims of violence and for taking effective action against the perpetrators of such violence. A special emphasis will also be laid on programs and measures to deal with trafficking in women and girls." Continuing the improvement of policy provisions, in 2005, the Women‘s Affairs Ministry was established to coordinate women’s activities and translate the policy objectives. And, in 2006, the Ministry of Women’s Affairs issued the National Plan of Action for Gender Equality (NAPGE) for the period 2006 – 2010. Its goal is “to contribute to the attainment of equality between men and women in social, political and economic development”. National Social Protection Policy (NSPP, 2012) The expansion of different economic and social development programs helps mainly to reduce the shortage of supply side and increase the benefit to the entire population. On the other hand, several constrains impede the poor and vulnerable segments of the society to access services expanded. Therefore, to reduce the demand side constraints and to benefit segments of the society that require special attention, it is necessary to take social protection measures. Social Protection is part of Ethiopian social policy framework that focuses at reducing poverty, social and economic risk of citizens, vulnerability and exclusion by taking measures through formal and informal mechanisms to ascertain accessible and equitable growth to all. The Policy mainly contains coordinated protective measures to those susceptible to serious vulnerability due to natural and manmade risks, establish multifaceted social insurance mechanisms to prevent exposure to risks, strengthen earnings and improving livelihoods of citizens, improve employment opportunities and living conditions, and provide legal protection and support for vulnerable to abuse and violence. Without being limited to provide basic services and temporary supports, the implementation of social protection includes measures of strengthening public participation and mobilization, based on the economic, social, cultural, and human rights enshrined in the constitution that have transformative nature, establish coordinated system to reduce economic and social differences and imbalances in the society. In this policy, segments of the society vulnerable to different social and economic problems, especially, children, women, persons with disabilities, elderly, labor constrained unable to make earnings, and the unemployed who are living under difficult circumstances are given special attention. The policy serves as a framework for collaboration and coordination system of social protection in order to provide different services, and it also clearly indicates the organizational structures at federal, regional and the respective lower levels of organizational structures with duties and responsibilities. The policy consists of five focal areas. These are: - Promoting productive safety net, promoting and improving employment and livelihood, promoting social insurance, increasing equitable access to basic social services, and providing legal protection and support to those vulnerable to abuse and violence. The main objectives of the National Social Protection Policy of Ethiopia are the following: Protect the poor and vulnerable individuals, households, and communities from different natural and manmade adverse effects of shocks; Establish social insurance system and increase its scope; 13 | P a g e Increase access to equitable and quality health, education and social welfare services to build human capital; Expand and guarantee employment for the vulnerable; Enhance employment guarantee for the segments of society under social problems through promoting employment opportunities; Ensure that the society at all levels play roles for the implementation of the policy. Labor Proclamation (No. 1156/2019) The Labor Proclamation (which was revised in 2019) provides the basic principles which govern labour conditions taking into account the political, economic and social policies of the Government, and in conformity with the international conventions and treaties to which Ethiopia is a party. The proclamation under its Part Seven, Chapter One, and Article 92 of this proclamation deals with occupational safety, health and working environment, prevention measures and obligations of the employers. Accordingly, the Proclamation obliges the employer to take the necessary measure for adequate safeguarding of the workers in terms of their health and safety. In addition, in this proclamation under its Part Six, Chapter1 and 2 described about women and young safety that women are not assigned on the works that may risk to women health and also overnight work including night shift work. Regarding young employees, organizations do not hire young personnel less than 15 years old and if they hire young between age 15 and 18 years, they should not allow to work more than 7 hours per day and also overnight work including night shift work Moreover, the Occupation Health and Safety Directive provides the limits for occupational exposure to working conditions that have adverse impacts on health and safety. Women shall not be discriminated against as regards employment and payment on the basis of their sex. It is prohibited to employ women on type of work that may be listed to be particularly odious or harmful to their health; an employer shall not terminate the contract of employment of women during her pregnancy and until four months of her confinement reformulated by Labour Proclamation No.156/2019 as until four months after her confinement. Grant leave to pregnant women without deducting her wage; adhere to the occupational health and safety requirements provided in the proclamation; take appropriate steps to ensure that workers are properly instructed and notified concerning the hazard of their respective occupation and the precautions necessary to avoid accident and injury to health; provide workers with protective equipment, clothing and other materials and instruct them of its use; and Ensure that the work place and premises do not cause danger to the health and safety of the workers. Furthermore, the Proclamation defines the occupational safety and health, and working environment focusing on (i) preventive measures, (ii) occupational injuries, (iii) defining degree of disablement, (iv)benefits to employment injuries, (v) medical services. The provisions associated to OHS are delineated on part seven of the Labor Proclamation 1156/2019, from Article 92-112. 3.2. The World Bank Environmental and Social Framework Requirement The Environmental and Social Framework recognize the need to assess and mitigate security risks and impacts. The need to address the assessment and mitigation of security related risks and 14 | P a g e impacts on project-affected communities and project workers is set out in Environmental and Social Standards (ESS) such as ESS1, ESS2, and ESS4, World Bank Group (WBG) Environment Health and Safety (EHS) Guidelines as well as the Good Practice Note on Assessing and Managing the Risks and Impacts of the Use of Security Personnel and ISO 31000(Risk Management Guidelines). Whenever, there are discrepancies between the national legislation and the relevant WB ESSs , WB ESS prevails. The applicable ESSs are discussed below: ESS1: Assessment and Management of Environmental and Social Risks and Impacts:This standard aims to identify, evaluate and manage the environment and social risks and impacts adopt a mitigation hierarchy approach Including avoidance , minimize or reduce risks and impacts to acceptable levels, utilize national environmental and social institutions, systems, laws, regulations and procedures in the assessment, development and implementation of projects, whenever appropriate and promote improved environmental and social performance, in ways which recognize and enhance Borrower capacity. Relevance: “Annex 1 5(e) Social and conflict analysis is an instrument that assesses the degree to which the project may (a) exacerbate existing tensions and inequality within society (both within the communities affected by the project and between these communities and others); (b) have a negative effect on stability and human security; (c) be negatively affected by existing tensions, conflict and instability, particularly in circumstances of war, insurrection and civil unrest.” ESS2: Labor and Working Conditions: ESS 2 focuses on the importance of employment creation and income generation in the pursuit of poverty reduction and inclusive economic growth. It requires the Borrower to promote sound worker-management relationships and enhance the development benefits of a project by treating workers in the project fairly and providing safe and healthy working conditions. Relevance: The fact that the borrower is responsible to ensure health and safety of project workers. Moreover, to avoid or mitigate the potential security risks that may arise from workers discrimination, abuse, labour influx, unfair treatment, lack of equal opportunity etc. ESS4: Community Health and Safety: ESS4 recognizes that project activities, equipment design and safety, infrastructure, and safety services can increase community exposure to risks and impacts. It also addresses Infrastructure and equipment design and safety and safety of services which involves provision of services to communities and the corresponding responsibility of borrowers to avoid or minimize such risks and impacts. In particular, in conditions where the PMU engage direct or contracted workers to provide security to protect project workers and assets, ESS4 require to assess the risk posed by the security arrangements within and outside the project site. Besides, the standard states the PMU are expected to ensure that government security personnel deployed to give security services act guided by the principles of proportionality and GIIP, the WB Good Practice Note on Assessing and Managing the Risks and Impacts of the Use of Security Personnel; and by applicable laws. Furthermore, the standard requires the PMU to verify and ensure the direct and contracted workers engaged to give security did not induce abuse. Moreover, ESS4 demands the PMU to review and take corrective measures for all accusations inappropriate doings of the security personnel. Relevance: The security Risk Assessment and Management plan is mainly based on the ESS4. It requires borrower retaining direct or contracted workers to provide security to safeguard its personnel and property to assess risks posed by these security arrangements to those within and 15 | P a g e outside the project site. Besides, it seeks the borrower to ensure that government security personnel deployed to provide security services act in a manner consistent with the principles of proportionality and Good International Industrial Practices (GIIP), the WB Good Practice Note on Assessing and Managing the Risks and Impacts of the Use of Security Personnel and by applicable law. The sanctioning of any use of force by direct or contracted workers in providing security is discouraged except when used for preventive and defensive purposes in proportion to the nature and extent of the threat. Relevant provisions of The World Bank Group (WBG) Environment, Health and Safety (EHS) Guidelines WBG EHS Guidelines recognizes project workers and community risk of exposure to physical, chemical and other hazards related to the program activities. These risks may arise from intentional or unintentional trespassing, including potential contact with hazardous material handling and storage. It also suggests the need for prevention and mitigation of the risks through the implementation of project specific plans and relevant applicable management practices. Besides, the relevant Environment and Occupational, Health and Safety (OHS) standards recognize the risks related to construction which include noise and vibration, dust (affecting air quality), wastes, stuck by objects, dusts, work in height, fire and traffic safety risks etc. Moreover, the guideline requires and recognize the program to ensure availability of potable water for drinking, food preparation, for personal hygiene workers in the project site. Good Practice Note: Assessing and Managing the Risks and Impacts of the Use of Security Personnel is provided by World Bank to accompany the ESF and ESSs to support its implementation. Accordingly, the Security Risk Assessment and Management Plan for FSRP is also based on the Good Practice Note. ISO 31000(Risk Management Guidelines) The ISO 31000 risk management is based on five principles include the requirement for the risk management initiatives to be customized, inclusive, structured and comprehensive, integrated and dynamic. It has risk management framework which is meant to assist with integrating risk management into all program management and activities. In addition, the risk management process involves the systematic application of policies, procedures and practices to the activities of communicating and consulting, establishing the context and assessing, treating, monitoring, reviewing, recording and reporting risk. ISO 31000 recognizes the need for selecting the most appropriate risk treatment option(s) and designing risk treatment plan specifying how the options will be implemented. Furthermore, it emphasizes the need for monitoring and review the implementation. Above all, recording and reporting including communicating risk management activities and outcomes, providing information for decision making, improving risk management activities and providing risk information and interacting with stakeholders are the key components of ISO 31000. United Nations Security Management System (UNSMS) covers vast security policy frameworks, applicability, security management (security risk management and security planning etc.), compliance with security policies and procedures, administrative and logistic support for security operations, provisions of safety matters. The approach for rating likelihood, 16 | P a g e rating of the impact, risk level matrix model and other elements for the preparation of FSRP Security Risk Assessment and Management Plan have been adopted from the UNSMS. Hence, the government of Ethiopia and the FSRP -PMU shall be abide by the World Bank Environmental and Social Framework, Environmental and Social Standards, Good Practice Note: Assessing and Managing the Risks and Impacts of the Use of Security Personnel, ISO 31000, and relevant standards. It is understood that, in Tigray region is affected by the ongoing conflict and the security situation is unpredictable it will be difficult for the Ministry of Agriculture to carryout effective implementation of program activities. Due to this fact, the Food and Agriculture Organization of the United Nations (FAO) will be the third-party implementer (TPIA) of the project in the region. Regarding security risk management, FAO will adopt UNSMS and relevant security protocols as TPIA, in Tigray. In addition, FAO will be responsible for implementation of Security Risk Assessment and Management Plan (SRAMP) prepared and approved for FSRP as set out in the Agreement for Delivery of Outputs that will be signed between Government of Ethiopia and FAO. These obligations include among others the development and implementation of site-specific Security Management Plans, and monitoring and reporting as per the agreement. 17 | P a g e 4. Security Context and Threat Assessment 4.1. National Security Context Ethiopia has achieved rapid and inclusive economic growth while undergoing significant sociodemographic change. It is a landlocked country with a population of more than 115 million, second most populous country in Africa. Ethiopia has made important development gains over the past two decades; however, they are getting eroded by the ongoing armed conflict in the north. Continued limited access to external financing sources coupled with lack of profiling of external debt service obligations poses significant risks to macroeconomic stability. Despite government endeavor to contain inflation to single digit Ethiopia`s inflation remained two digits for the last three years. According to Market Watch Ethiopia (2022), the headline inflation slightly reduced from 34.5 percent in January 2022 to 33.6 percent in February 2022; however, food inflation increased primarily driven by surging bread and cereals, and fats and oil indexes, rising food inflation from 39.9 percent in January 2022 to 41.9 percent in February, the second highest rate in a decade. Ethiopia has been affected by wave of conflict which has caused the loss of lives, assets, displacement of people, and humanitarian crises. The conflicts in the Northern part of the country have impacted Tigray region and some part of Amhara and Afar region. In addition, there have been conflicts in some parts of Oromia and Benishangul Gumz. Regarding the key security players, in Ethiopia the key security organizations are National Defence Force, police both at federal and regional level, and intelligence services. The National Defence force is established based on the principles stated in Chapter ten: Article 87(1,2,3,4,5) which states 1)The armed forces shall protect the sovereignty of the country and carry out any responsibilities as may be assigned to them under any state of emergency declared in accordance with the Constitution; 4) The armed forces shall at all times obey and respect the Constitution; and 5) The armed forces shall carry out their functions free of any partisanship to any political organization(s). The Ethiopian Federal police force is the other key security agency to maintain law and order including riot control and crime investigation at the federal level. The Federal Police comes under the Federal Police Commission which is under the Ministry of Peace. The regional police forces are established at the region level to maintain peace and order in the respective region. The region police forces are established based on the Article 52(2) of the Federal Democratic Republic of Ethiopia Constitution. The Ethiopian National Intelligence and Security Service the other key security agencies established to collect information to safeguard the national security. The United Nations International Children's Emergency Fund (UNICEF) report (2021) reveals that humanitarian needs in Ethiopia are steadily increasing as communities face multiple and simultaneous shocks, including protracted and new conflict, food insecurity, floods, drought, desert locusts, and COVID-19. Furthermore, the humanitarian needs overview report of Ethiopia by United Nations Office for the Coordination of Humanitarian Affairs (OCHA) (2021) also shows that armed conflict and community violence remains a critical concern across some parts of Ethiopia. Heightened competition over resources due to pressures from climatic shocks, COVID-19 containment measures, and desert locust infestation in certain areas, create further inter-communal tension, violence, and displacement. The government of Ethiopia have been working with various stakeholders and have put in place interventions to mitigate the impacts. 18 | P a g e 4.2. Security context in regions covered by the FSRP With regard to security in program targeted regions, there have been insecurity incidences in the recent years. Security risks and conflicts have been reported in some parts of the country. As result, the number of internally displaced persons has been increased. According to the International Organization of Migration (IOM) (2021), there were 4.17 million internally displaced persons (IDPs) in Ethiopia, one of largest populations of IDPs in the world. The vast majority (84%) have been displaced by conflict. The conflict in Tigray and its expansion to neighbouring Afar and Amhara regions have caused significant displacement across regional boundaries and internally within the regions. According to OCHA in 2021 there were 2.1 million internally displaced people in Tigray, 250,000 internally displaced people in Amhara region and 112,000 in Afar region. The humanitarian needs overview report of Ethiopia by OCHA (2021) further elaborated that the overall situation in Northern Ethiopia remains unpredictable and volatile. By 2021, the spread of the conflict to Afar and Amhara regions have increased the humanitarian needs, with access to some areas restricted due to conflict. The report further exposed that, the conflict affected civilians in Afar and Amhara regions, leading to displacement, disruption of livelihoods and increased food insecurity. According to United Nations report, Northern Ethiopia continues to experience high levels of internal displacement, with approximately 1.8 million people displaced in Tigray, 462,000 displaced in Amhara, and 175,000 displaced in Afar (USAID, 2022). Currently, due to positive developments IDPs in some parts of the country are returning to their respective areas of origin to restart their destroyed livelihoods. However, the returns are happening in a context whereby basic services are still not restored and the means to resume livelihoods are not yet put in place, exposing returnees to further risks and challenges. Above all, in spite of the positive developments all twelve FSRP target woredas of Tigary remains in volatile security situation. Hence, the implementation will be carried out by qualified third-party implementing agency (TPIA). The Food and Agriculture Organization of the United Nations (FAO) will be the third- party implementer (TPIA) of the project in Tigray region. Regarding security risk management, FAO will adopt UNSMS and relevant security protocols as TPIA, in Tigray. In addition, FAO will be responsible for implementation of SRAMP prepared and approved for FSRP as set out in the Agreement for Delivery of Outputs that will be signed between Government of Ethiopia and FAO. These obligations include among others the development and implementation of site-specific Security Management Plans, and monitoring and reporting the implementation as per the agreement. In Amhara region, FSRP target woredas such as Andabet, Estie, Metema,Antsokia,Gemza, Ephrata, Raya Kobo,Habru, Farta and Andagn Ager Chako were affected by the conflict. However, currently the above mentioned woredas are currently back to their regular activities and governmental institutions are fully functional. Moreover, the staffs are fully engaged. The UNICEF report (2021) revealed that altogether; approximately 3.95 million people are displaced across the country. According to this report, in Oromia’s east and West Wollega Zone, the security situation is volatile due to expanding armed militant group operations and ethnic-based attacks, which have resulted in civilian deaths and population displacements. In Benishangul-Gumuz, people have been displaced due to on-going conflict in the region. The security situation in Metekel and Kamashi zones remains volatile with sporadic conflicts in various Woredas. However, no official military operation is currently taking place. The 2019, inter-communal conflict in Metekel zone, which expanded to Amhara region, resulted in a death 19 | P a g e and displacement of people. This conflict organized by armed groups has attacked civilian life, property, social services and enforced to displace their origin (Ethiopia Red Cross Society, 2020). This could impact to a certain level the movement of technical staff from Federal Management Unit staffs and engagement of contractors, and transportation of equipment and material from other part of the country. The aforementioned issues show the need for security assessment and proposing mitigation management plan to address the potential security risks. 20 | P a g e 5. Security Risk Assessment 5.1. Potential risks to the project that may require a security response Security Risks: Identification of security risks and impacts in a project is a critical step towards prevention, management and mitigation against any potential security risks. The Food Systems Resilience Program Management Unit (FSRP-PMU) will ensure identification of specific subproject (site specific)-based security risks and oversee implementation of the identified security management measures and controls in line with the national and World Bank provisions as contained in the World Bank’s Good Practice Note: Assessing and Managing the Risks and Impacts of the Use of Security Personnel. Security threats/risk can either be external or internal. Internal threats are those caused by workers in an organization or those that occur within a workplace and may include theft, sabotage, and destruction of equipment, labor unrest, and conflicts between workers, among others. External threats refer to risks of somebody or a group from the outside of an organization to covertly or overtly force or silently exploit system vulnerabilities by acquiring property illegally or harm persons or equipment in the organization such as common criminal activity; disruption of the project for economic, political, or social objectives; and other deliberate actions that have a negative impact on the effective, efficient, and safe operation of the project. Accordingly, based on the assessment conducted, some of the potential security risks to FSRP may include the following: 1. Theft of equipment and material: employee or visitor/gust stealing equipment or material from project site or individual house. 2. Burglary: Illegal entry of a building with intent to commit a crime, especially theft. It involves breaking and entering the premises. This can be done by staff or outsiders. 3. Banditry/Roadside attacks on workers during transit: The project can be susceptible to attacks while transporting equipment and materials to the targeted regions or to project workers when travelling for field activities. 4. Community unrest: Due to influx of labor, improper behavior towards the community, land and water use conflict, improper site selection and locating project infrastructures and associated facilities, resource abuse by the contractors, improper waste disposal, noise and dust pollution, etc., 5. Risks from Employee industrial action and disruption of services: Likely cause for labor disputes include demand for limited employment opportunities; labor wages/rates and delays of payment; disagreement over working conditions, raising concerns regarding unsafe or unhealthy work situations, or any grievances raised, and such situations could lead to labor unrest and work stoppage. 6. Gender-based violence (GBV)/sexual exploitation and abuse (SEA) and gender-based security incidents: This becomes a security issue when GBV/SEA is inflicted by perpetuators to women and girls of the project workers and community in the project area (For more detail assessment on GBV risks, please refer GBV Action Plan Annex 18 of the Ethiopia ESMF for the program). 7. Risks emanating from the use of security personnel: Use of security personnel may exacerbate tensions. Security personnel can be private or public. Security personnel can be engaged by the project contractor. Their presence can pose risks to, and have unintended impacts on, both project workers and local communities. Examples include committing a 21 | P a g e GBV/SEA act by security personnel within conflict affected work environment. It can also occur during community unrest and actions ethnic conflicts within the work environment. 8. Risks associated with armed conflict and kidnapping: armed conflict between government and non-government forces and between non-government armed forces. In areas in which armed groups are operating, there are risk of staff kidnapping. 9. Environment and OHS risks: Program activities pose potential Environment and Occupational, Health and Safety (OHS) risks which include exposure to hazardous material, noise and vibration, dust (affecting air quality), wastes, stuck by objects, work in height, fire and risks associated with availability of potable etc. 10. Risk of traffic accident: due to erratic driving habits and poorly maintained road infrastructure traffic accidents are potential risks. 11. Medical risk: Access to adequate medical and emergency care in rural areas of the country is limited causing medical risks. 12. Exposure to natural hazard (flooding): the rainy season in Ethiopia runs from June to September, and during this period flooding is common posing flooding. 5.2. Security Risk Analysis and Evaluation Likelihood of these risks will occur Based on current situation and historical context, the likelihood of occurrence of the above- mentioned security risks will be assessed below. Accordingly, for the purpose of this document the Likelihood of occurrence of risk is measured on scale ranging from 1(very unlikely) to 5 (very likely). Table 5: Likelihood of risk occurrence Likelihood Description Rating Very likely Will undoubtedly happen/recur, 5 possibly frequently Likely Will probably happen/recur, 4 but is not a persisting issue/circumstances Moderately likely Might happen or recur 3 occasionally Unlikely Not expected to happen/recur 2 but it is possible it may do so Very unlikely This will probably never 1 happen/recur 22 | P a g e The subsequent impact of the risks is measured on 1 to 5 scale from Negligible, Minor, Moderate, Severe and Critical. Table 6: Risk Severity descriptions and rating Severity Description/ potential Trigger Rating Critical ➢ Critical unrest/conflict in 5 neighboring impacting on project activities ➢ Staff kidnapping due to armed conflict around project operating areas ➢ Ongoing operations are unsustainable, and projects may be suspended for indefinite periods ➢ Death or severe injury of team member; ➢ Withdrawal/lack woreda FSRP woreda Focal persons, DAs, Implementing Agencies and Govt support to ensure security. ➢ Destruction or total loss of assets Sever ➢ Only essential operational 4 travel should be considered for Federal and Regional Management Unit; ➢ Severe costs to the programme major disruption of activities ➢ Conflict is high; ➢ Projects may be suspended at short notice; ➢ Serious injury and possible death to project personnel; ➢ Armed conflict in the project vicinity seriously impacting project activities; ➢ GBV/SEA/SH risks Moderate ➢ Community unrest risks; 3 ➢ Temporary program delays; ➢ Non-life-threatening injury to project personnel; ➢ Loss or damage to assets; ➢ Minor ➢ Limited conflict between 2 local community and labor from other area with minor impact on the project; 23 | P a g e ➢ Labor dispute; ➢ Possible injury and possible equipment loss; ➢ Limited delays in activities; ➢ Incident affecting project personnel(minor injuries when working); ➢ Use of security personnel. Negligible ➢ Agreement by community/ all 1 stakeholders; ➢ conflict between local community and labor from other area very rare; ➢ Minimal loss or damage to assets; ➢ No project delays. In these context, Security Risk Management is the process of identifying future harmful events (“threats”) that may affect the achievement of FSRP objectives. It involves assessing the likelihood and impact of these threats to determine the assessed level of risk to FSRP and identifying an appropriate response. Security risks are controlled through prevention (lowering the likelihood) and mitigation (lowering the impact). Hence, risk is the combination of the likelihood of a threat being carried out and the subsequent impact. And it is calculated as Risk = Likelihood X Impact According to the UN Security Management System (UNSMS) security risk model (SRM) model first separately rate the likelihood and impact on 1-5 scale and combined to indicate the risk level each potential incident carries for the program operation. The risk score range and respective risk level a potential incident are shown in the Risk matrix below: Table 7: Risk Matrix and risk score range Risk score range Risk level Action to be taken 1 to 5 Low Operations continue, security risks monitored regularly 6-10 Medium Operations continue with heightened monitoring of security risks 11-15 High Operations continue with intensive monitoring of security risk and immediate response to the risks 16-20 Very High Operations continue, once control measures to reduce security risk to As low as Reasonably Practicable 24 | P a g e (ALARP) are introduced, etc). 21 to 25 Unacceptable Risk Matrix Impact Negligible=1 Minor=2 Moderate=3 Sever=4 Critical=5 Very Likely=5 5 (Low) 10 (Medium) 15 (High) 20(Very 25 LIKELIHOOD High) (Unacceptable) Likely=4 4 (Low) 8 (Medium) 12 (High) 16 (High) 20(Very High) Moderately Likely=3 6 (Medium) 9 (Medium) 12 (High) 15 (High) 3 (Low) Unlikely=2 4 (Low) 6 (Medium) 8 (Medium) 10 (Medium) 2(Low) Very Unlikely=1 1 (Low) 2 (Low) 3 (Low) 4 (Low) 5 (Low) 25 | P a g e Table 8: Calculated security risk value for FSRP FSRP target regions Security risk Oromia Amhara SNNPR Tigray Sidama South West B/Gumuz Gambella Hareri Dire Dawa Likelihood Identified Region Burglary Impact Impact Impact Impact Impact Impact Impact Impact Impact Impact and 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 1 2 3 4 5 5 theft of equipment 4 and 3 6 materials 2 4 4 4 4 4 4 4 4 4 1 Banditry/Roa 5 15 dside attacks 4 on workers during transit 3 9 9 9 and access blockages 2 6 6 6 6 1 3 3 Community 5 unrest: 4 3 2 6 6 6 6 6 6 6 6 6 6 1 Risks from 5 Employee 4 industrial (Labor 3 dispute) 2 4 4 4 4 4 4 4 4 4 4 1 Gender-based 5 violence/sexua 4 16 l exploitation and abuse 3 12 1 12 12 1 1 1 (SEA): 2 2 2 2 2 8 8 26 | P a g e 1 Risks 5 emanating 4 from the use of security 3 personnel 2 4 4 4 4 4 4 4 4 4 4 1 Risks 5 associated 4 16 with armed conflict and 3 12 1 1 kidnapping 2 2 2 8 8 8 1 4 4 4 1Environment 5 and OHS risks 4 3 2 8 8 8 8 8 8 8 8 8 8 1 Exposure to 5 natural 4 hazard (flooding) 3 2 8 8 8 8 8 8 8 8 8 8 1 Risk of 5 traffic 4 accident 3 2 1 4 4 4 4 4 4 4 4 4 4 Medical risk 5 4 3 2 6 6 6 6 6 6 6 6 6 6 1 27 | P a g e Table 9: Summary of risk level for FSRP from Calculated security risk value for FSRP (see Table 8) Security risk Oromia Amhara SNNPR Tigray Sidama S/West B/Gumuz Gambella Hareri Dire Identified Dawa Burglary and theft 4 4 4 6 4 4 4 4 4 4 of equipment and materials Banditry/Roadside 9 9 6 15 6 6 9 6 3 3 attacks on workers during transit Community unrest 6 6 6 6 6 6 6 6 6 6 Risks from 4 4 4 4 4 4 4 4 4 4 Employee industrial action Gender-based 12 12 12 16 12 12 12 12 8 8 violence/sexual exploitation and abuse (SEA): Risks emanating 4 4 4 4 4 4 4 4 4 4 from the use of security personnel Risks associated 12 12 8 16 4 8 12 8 4 4 with armed conflict and kidnapping Environment and 8 8 8 8 8 8 8 8 8 8 OHS risks Exposure to 8 8 8 8 8 8 8 8 8 8 natural hazard (flooding) Risk of traffic 4 4 4 4 4 4 4 4 4 4 accident Medical risk 6 6 6 6 6 6 6 6 6 6 Based on the above table, FSRP in 10 target regions and one city administration the analysis has identified 2 very high, 10 high risks, 52 medium risks and 44 low security risks. In Oromia, Amhara and Benishangul Gumuz regions the analysis identifies 4 low risks, 5 medium, and 2 high security risks in each. The fact that armed conflict is rated as high risk in the three regions may pose potential threats which require vigilance and the implementation security mitigation measures to address security risks. Due to the Conflict in the Northern part of the country, in Tigray the analysis identified 3 low risks, 5 medium, 1 high and 2 very high security risks. The volatile security situation may pose a threat to program workers, property and temporary suspension of program activities. Whereas, in SNNPR 4 low risks, 6 medium, and 1 high security risks. In Sidama region the analysis identified 5 low risks, 3 medium, and 1 high security risks. South West people 4 low risks, 6 medium, and 1 high security risks. In Gambella region the analysis identifies 4 low risks, 6 medium, and 1 high security risks. In eight of the program target the analysis identified GBV risks high or above. This shows the need for grievances that deal with gender-related allegations must be handled very carefully, with respect for the confidentiality of the complainants, survivors and their families. 28 | P a g e In Hareri region and Dire Dawa Region the analysis identifies 6 low risks, and 5 medium security risks in each. The finding shows in the two program target areas are expected to have negligible security risk characterized by Agreement by community/ all stakeholders; conflict between local community and labor from other area very rare; minimal loss or damage to assets; and no project delays. Accordingly, mitigation measures have been provided below. 5.3. Risk Prevention and Mitigating Measures Security measures are proposed to protect people and property from prospective risks some of the sub-projects will be located in areas with security risks. The FSRP-PMU will work closely with federal, regional and local security offices to ensure the security of project workers and assets. It is essential to align potential project security incidences to responsive measures with a view to avoid or minimize security risks and impacts. A list of potential security risks and recommended mitigation measures is summarized in in Table 9. Table 10: Summary of potential security risks and mitigation measures No. Potential Security Risk Prevention and mitigation measures ➢Implementing access control system - secure and monitor entrance and outlet points of the workplace, proper badge and visitor card system, etc; ➢Not leaving visitors unattended in the workplace; ➢Ensuring proper security lighting; 1 Theft of equipment ➢Where necessary, recruit and retain trained security guards; and material ➢Maintain a properly executed inventory system; ➢Minimize the amount of valuables and cash carried; ➢Seek advice from local staff as to local areas considered unsafe; ➢Train and aware project workers on security plan and context of the area. ➢ Maintenance and up-grading of access control and surveillance systems; ➢ Install security lights to ensure visibility camps, facilities and material storage areas; ➢ Ensure proper fencing that is responsive to different security Burglary and contexts; 2 vandalism ➢ Have full time security personnel at the facilities and camp site; ➢ Establish formal and consistent reporting and communications mechanisms with public security forces and other stakeholders; ➢ Train and aware project workers on security plan and context of the area ➢ Conduct regular training and security awareness programs for project workers; Clashes and conflicts ➢ Ensure functionality of GRM; 3 within work environment ➢ Adhere to Labor Management Procedure. 29 | P a g e ➢Provide awareness creation on precautionary measures need to be taken during community unrest; ➢Ensure operational GRM that communities can use to raise their dissatisfaction and ensure that community concerns are addressed in a timely manner; ➢Undertake stakeholder engagement and community dialogues to get the views and concerns of communities as per SEP; 4 Community unrest ➢; ➢Increased vigilance should be implemented during periods of community unrest (avoid all large public crowds, including political gatherings and peaceful protests); ➢Any event having a potential to change the security situation within the operational areas must be communicated to management so that appropriate steps can be taken. ➢ Induct security personnel on the project ’Code of Conduct (CoC) and ensure contracted security personnel sign the CoC ➢ Strengthen treatment and referral pathways for GBV/SEA survivors ➢ Raise awareness on GBV/SEA protocols for the Project in line 5 GBV/SEA with LMP ➢ Provide separate ablution facilities for men and women at the workplace ➢ Ensure proper lighting on the compounds ➢ Fully implement sanctions contained in the GBV Action Plan (Please refer GBV Action Plan Annex 18 on the ESMF). The Project will be guided by the National Laws while addressing security concerns. The World Bank’s ESF provides for possible mitigation measures for security personnel engaged in Bank financed projects which include the following: ➢ Monitor risks resulting from acts of security personnel ➢ Make reasonable inquiries to verify that the direct or contracted Risks emanating from workers providing security are not implicated in past abuses 6 use of security ➢ Raise awareness to contracted security personnel or determine personnel that they are properly trained in the use of force and appropriate conduct towards workers and affected communities ➢ Review allegations of unlawful or abusive acts of security personnel ➢ Ensure security personnel contracted under the project are inducted on and sign the CoC ➢ MoU will be signed (where applicable) There is a risk of vehicles being ambushed while transporting staff, equipment and materials to sub project sites. This can be Insecurity during prevented/ mitigated by: 7 transit ➢ Obtaining intelligence information regarding vulnerable routes and avoiding travels during risk periods 30 | P a g e ➢ All project workers and visitors must have the appropriate security clearance and information before undertaking any travel; ➢ Transport goods and workers during the day to reduce the risk of attack; ➢ Ensure travelers have backup food, water, communication apparatuses (e.g. mobile phone), etc. Risks related to armed conflict: ➢ Ensure good contacts with national law enforcement agencies, with a view to obtaining the best possible protection for project workers. ➢ Ensure up-to-date, detailed instructions project workers on security situations and precautions they should take in relation to the implementation of the security plan, including a comprehensive listing of emergency supplies they should have on hand and guidance on their behavior during a variety of emergencies, including armed conflict; ➢ Project workers should familiarize themselves with information provided to them regarding the security management system at their location; ➢ keeping the federal and regional Program Manger informed, on Safety and Security, of all developments in the subproject area which might have a bearing on the security and protection of the staff project workers for decision. ➢ FSRP-PMU at all levels should ensure that staff members are acquainted with existing or potential security problems in the areas which they intend to visit and that they have obtained necessary security clearance before travelling; Risks related to armed ➢ Train and aware project workers on security management plan and security context of the subproject area. 8 conflict and Kidnapping ➢ Report incidents related to armed conflict Kidnapping: ➢ Use of physical security personnel, ➢ Ensure consistent reporting and communications mechanisms with public security forces and other stakeholders. ➢ Staff should avoid travel in darkness; only using trusted drivers / ; not set patterns and routines; keep in pairs or teams at all times. ➢ Local knowledge of the program/subproject area and operational context must be maintained by staff at all times. ➢ Seek information from project security focal person and clearance from PMU coordinator. ➢ Any event having a potential to change the security situation within program areas must always be communicated to PMU Coordinator so that appropriate steps can be taken. ➢ SRAMP should be made available to all staff and appropriate training conducted. ➢ Never fight back when apprehended with armed people ➢ Do not try to argue or make provocative comments. 31 | P a g e ➢ Do not stare or make eye contact with the kidnappers. Environment and OHS ➢ Conduct regular training and awareness program ESMF,LMP, risks ESHS Guidelines, OHS, safety hazards, programs for project workers, community and IAs; ➢ Environmental and Social Clauses for Contractors Consultation ➢ Adhere to Hazardous material and Wastes Management set out in the ESMF ➢ Adhere to Labor Management Procedure. ➢ Adhere to Liquid and Solid Waste Management Guideline prepared for FSRP. 9 ➢ Ensure ESHS/OHS provisions are incorporated in the bidding documents and contract agreement for construction. ➢ Ensure that waste management is operable to reduce the fuel element for fire ➢ Ensure a fire alarm/smoke alarm system is operable within the Agricultural research centres ➢ Conduct regular Environmental and Social Monitoring and audit. ➢ Conduct regular emergency drills at project sites in coordination with relevant local authorities. ➢ Report incidents related to OHS. Exposure to natural ➢ Aware workers on potential flood vulnerable areas and seasons. hazard (flooding) ➢ Get out of low areas subject to flooding during raining. ➢ Evacuate immediately to high ground, if you think you are at risk or are advised to do so 10 ➢ Never try to walk or swim through flowing water. ➢ Be aware of flash flood areas such as canals, streams, drainage channels. ➢ Wait until it is safe to return. ➢ Monitor Weather Radio, local television and radio stations before, during or after flooding. Risk of traffic accident ➢ Properly implement Road Traffic Safety Assessment and Management Plan prepared for FSRP. ➢ Vehicles should be serviced and well maintained. ➢ Staff should be briefed on what to look for when hiring a vehicle in a remote location. 11 ➢ Training of drivers in advanced First Aid should be a priority. ➢ Hire or train drivers on changing of essential parts of vehicles if required. ➢ Train drivers on Road Traffic Safety Assessment and Management Plan 12 Medical risk ➢ Project workers should be trained on basic first aid services. 32 | P a g e ➢ First aid packs must be availed to the site and field visit. ➢ The team has ascertained availability of emergency services in case of medical emergency. ➢ Persons carrying medications have more than enough for the whole trip and appropriate storage means. ➢ The team has self-disclosed to fellow team members relevant medical conditions / history in event unable to recount details themselves. ➢ Records / letters with history / medication in local language are being carried. 33 | P a g e 6. Security Approach To ensure security FSRP PMU will work with all relevant stakeholder within and across institution or organization. In this regard, community engagement is a central aspect of a good security program, and good relations with workers and local communities can substantially contribute to overall security. Dialogue with communities about security issues can help to identify potential risks and local concerns and can serve as an early warning system. Besides, PMU and Contractors shall communicate their security arrangements to workers and communities, subject to overriding safety and security needs. In addition, community members should be aware of their ability to make complaints without fear of intimidation or retaliation. Because security personnel often are the first point of contact with community members at the project gates, they should also be informed about their role in community relations and about the grievance mechanism and key issues of concern to local communities. To guide the community engagement for FSRP stand-alone Stakeholder Engagement Plan has been prepared and disclosed. Given the situation Tigray region, In Tigray, FAO will be the third-party implementer (TPIA) of the project in the region. Accordingly, FAO will be responsible to ensure the regional PMU work with all relevant stakeholders in the target woredas of FSRP in the region. Furthermore, grievance redress mechanism shall be established in the government devolving structure which will include kebele, woreda, regional, and federal. Moreover, the World Bank grievance redressing services are also available. The project-level grievance mechanism shall accept concerns or complaints regarding the conduct of security personnel and that such concerns and complaints, as well as any associated evidence and facts, be promptly documented and assessed and action be taken to prevent recurrence. The responses implemented in response to complaints are monitored and the outcomes communicated to relevant parties, taking into account the need to protect the confidentiality of victims and complainants. Besides, the establishment of functional and accessible Grievance Redress Mechanism (GRMs) would help to reduce the risk of community members resorting for protest and roadblock to draw attention to their grievance in situation where a security response to an incident can in turn create new risks leading to potential escalation. In Tigray, FAO is responsible to ensure the establishment functional and accessible GRM in the government devolving structure which will include kebele, woreda, and regional. Furthermore, the TPIA will be responsible to monitor and report the grievances registered, addressed and pending as per the agreement. Regular follow up and monitoring shall be conducted by Development Agents (DAs), FSRP Woreda focal person, regional PMU, and Federal PMU. Findings of the follow up and monitoring will be filled, analyzed, interpreted and reported. Besides the FSRP PMU will work with all key government security players at regional and federal level. In addition, information from the security institutions shall be proactively communicated to project workers, contractors, consultants etc. Likewise, In Tigray the TPIA is responsible to ensure regular follow up and monitoring are conducted by Development Agents (DAs), FSRP Woreda focal person, regional PMU. Moreover, FAO shall work closely with key security stakeholders in the region, community representatives and adhering to Security Protocols. Above all, the TPIA shall ensure information from the security institutions are proactively communicated to project workers, contractors, consultants etc. 34 | P a g e Above all, project workers, contractors, consultants shall be oriented on the security precautionary measures required, entrance and exist, code of conducted to be followed whenever there are security risks. In this regard, the security personnel have clear rule of engagement set out in the code of conduct for security personnel. Accordingly, they are required to treat all persons humanely and with respect for their dignity and privacy and will be accountable to any breach of Code of conduct for security personnel on the SRAMP (refer Code of Conduct for security personnel annex 9). Regarding rules for the use of force, the security personnel are engaged in a manner consistent with applicable law and the minimum requirements contained in the section on Use of Force in this Code and agree those rules with the Client. The security personnel will only, guard, transport, or question detainees if: (a) the Company has been specifically contracted to do so by a state; and (b) its Personnel are trained in the applicable national and international law. Besides, they are required to treat all detained persons humanely and consistent with their status and protections under applicable human rights law or international humanitarian law, including in particular prohibitions on torture or other cruel, inhuman or degrading treatment or punishment. In addition, security personnel are required to treat all apprehended persons humanely and consistent with their status and protections under applicable human rights law, including in particular prohibitions on torture or other cruel, inhuman or degrading treatment or punishment. Furthermore, security personnel are guided by the GBV Action Plan and are strictly prohibited to engage in or benefit from, sexual exploitation (including, for these purposes, prostitution) and abuse or gender-based violence or crimes, either within the Company or externally, including rape, sexual harassment, or any other form of sexual abuse or violence, forced labour, child labour, discrimination etc. Generally, security personnel are responsible for protection of people, property and environment. For FSRP, the security personnel ensure protection of people (program workers, IAs, contractors and visitors) and asset/property (program, client, workers etc.) through executing roles and responsibilities including but not limited to: ➢ Assess the day to day security situation of the project site and its surrounding. ➢ Controlling access/Conduct body search at camp access points strictly implement check in and out procedure (Control the movement of people, vehicles (Ensure vehicle log is maintained), and materials coming into and out of their site). ➢ Conduct regular security patrol and safety hazard inspection to deter crime and safety related hazards in the site. ➢ Timely communicate/report imminent security threats, safety hazards and incident to contractor, IA or site security Focal person. ➢ Create awareness and implement Security Operating Procedure and Security Code of Conduct (e.g. Rules for the use of force). ➢ Establish and maintain good and healthy relationship with local community and project workers. ➢ Collaborate and work with local government security structure as per the rules of engagement. ➢ Play leadership role during security emergency situations before contractor, security focal person or polices turn to guidance. 35 | P a g e ➢ Properly use surveillance system and turn lights timely. ➢ Mange crowd with extreme care in cases of site dispute occurrence. ➢ Treat other people with respect, and not discriminate against specific groups such as women, people with disabilities, migrant workers or children. ➢ Not engage in any form of sexual abuse and harassment including unwelcome sexual advances, requests for sexual favors, and other unwanted verbal or physical conduct of a sexual nature with other Contractor’s or Employer’s Personnel and members of the community. 36 | P a g e 7. Security management arrangements The security management arrangements for the FSRP lies in the devolving government structure of the Project Management Unit (PMU), that is, federal, regional, woreda and .Accordingly, the FSRP-PMU and MoA will strictly relay on and work with the key security players federal, regional, woreda, kebele level as required based on the scope and magnitude of the security risks. From FSRP side security Focal person will be assigned at federal, regional, woreda and kebele level. This will help to have smooth communication of security alerts, incident reporting, and incident response in collaboration with relevant stakeholders, community relationships, etc. The chain of command and communication structure of the National Police Service will be used. For the specific subprojects kebele militia with no prior history of abuse will be assigned by the Kebele administration where the project is located. The regional polices are used when the scope of the security risk perceived to be beyond the militia who provides security for the stores and project sites of subproject. All the security personnel be guided good practice principles such as proportional response, human right consideration, interconnection, community engagement, gender consideration. 8. Physical security FSRP will support the development of subproject such as market centers, warehouses, milk collection and processing centers, stores, pump houses, camps, research centers, ponds, etc. To safeguard the subprojects physical security barriers such as fences, gates, locks shall be used. Accordingly, the above-mentioned subprojects shall be well fenced and shall have gate through which project staffs and visitors have access to it. The fence gate shall have lock system and the key shall be given to the guard/s. The market centers, warehouses, milk collection and processing centers, stores, pump houses, camps etc. shall have guard post. The Security Operating Procedure is provided in the annexed section of this document (please see annex 2). 9. Oversight and control of security operations The line of supervision of security issues lies on the FSRP-PMU established in the devolving government structures namely federal, regional, woreda PMUs and kebele level. The PMU Coordinator is responsible for the overall security risk management related to the FSRP. Whereas, security focal persons at federal, regional, and woreda level are responsible and accountable for supervision and control of security issues through working different relevant stakeholders. The daily supervision of performance of security force for the subproject shall be done by the contractor and security focal person at operational level. Whereas, the Environment and Social specialists at federal and regional level, and Environment and Social Focal persons at woreda level are responsible to supervise EHSH aspects. Specifically, the PMU will be responsible for: a) Undertaking site and activity specific security risk assessment and implementation of this Security Risk Management Plan; b) As part of sub-project screening, undertake security risk assessment and recommend mitigation measures; c) Ensure that security mitigation measures are included in sub-project Environment Social Management Plan (ESMPs); d) Monitor potential security risks on sub-project sites together with the local government e) Provide training for concerned stakeholders to mitigate social risks of project workers and equipment including security risks; f) Ensure that project Grievance Redress Mechanism (GRM) established for the project 37 | P a g e and implemented and that project workers are informed about the GRM procedure; h) Report periodically to the World Bank on the implementation of the SRMP. In the case of security personnel are contracted by implementing agencies and contractors/sub- contractors and have control over the personnel contracted for the project, the PMU have responsibility of monitoring security issues. In this regard, implementing agencies and contractors/sub-contractors, TPIA shall be abide by national law, ESS4, Environment and Social Framework Good Practice Note on Security Personnel and International Code of Conduct for Private Security Service Providers. In this regard, the contractor are ensure that contracts should include clear commitments regarding a Code of Conduct; training of proposed private security personnel and vetting of their record, as well as security procedures in case of alleged contract or Code of Conduct violations, including for cases where security personnel use excessive force, intimidation, or retaliation; and a summary of sanctions applicable. So as ensure the safety and security of their employees. Although security is often sub-contracted, ultimately, the FSRP- PMU is responsible for the commitments made on the project. 10. Community Engagement Community engagement is a central aspect of a good security program, and good relations with workers and local communities can substantially contribute to overall security. Dialogue with communities about security issues can help to identify potential risks and local concerns, and can serve as an early warning system. Community members should be aware of their ability to make complaints without fear of intimidation or retaliation. Because guards often are the first point of contact with community members at the project gates, they should also be informed about their role in community relations and about the grievance mechanism and key issues of concern to local communities. This should be implemented as per the SEP. 11. Security management and monitoring plan The Security assessment, follow up and monitoring shall be conducted by Development Agents (DAs), FSRP Woreda focal person, regional PMU, and Federal PMU on a weekly basis. Findings of the follow up and monitoring will be filled, analyzed, interpreted and reported. Besides the FSRP PMU will work with all key government security players at regional and federal level. In addition, information from the security institutions shall be proactively communicated to project workers, contractors, consultants etc.(Weekly monitoring would be conducted as set out in section 12.1. of the ESMF). In Tigray, the TPIA shall be responsible to ensure a weekly follow up and monitoring that will be conducted by Development Agents (DAs), FSRP Woreda focal person, regional PMU. 38 | P a g e Table 11: Security Management Plan Indicative Potential Security No. Prevention and mitigation measures Responsible body Implementation period resource/Budget (in Risk birr) ➢ Implementing access control system - secure and monitor ➢ Federal, regional, woreda ➢ Throughout the program ➢ 2 million entrance and outlet points of the workplace, proper PMU implementation badge and visitor card system, etc; ➢ Contractors and sub- ➢ Not leaving visitors unattended in the workplace; contractors ➢ Implementing Agencies ( ➢ Ensuring proper security lighting; ➢ Security players in the ➢ Where necessary, recruit and retain security guards who devolving government Theft of equipment have experience; structures 1 ➢ Regional and Woreda and material ➢ Conduct regular inventory of program assets; Administration ➢ Minimize the amount of valuables and cash carried; ➢ Seek advice from local staff as to local areas considered unsafe; ➢ Train and aware project workers on security plan and context of the area. ➢ Maintenance and up-grading of access control and ➢ Federal, regional, woreda ➢ Throughout the program ➢ 2 million surveillance systems; PMU implementation ➢ Install security lights to ensure visibility camps, facilities ➢ Contractors and sub- and material storage areas; contractors Burglary and ➢ Ensure proper fencing that is responsive to different ➢ Implementing Agencies 2 vandalism ➢ Security players in the security contexts; devolving government ➢ Have full time security personnel at the facilities and structures camp site; ➢ Regional and Woreda Administration ➢ Establish formal and consistent reporting and communications mechanisms with public security forces 39 | P a g e and government officials in the project area; ➢ Train and aware project workers on security plan and context of the area ➢ Federal, regional, woreda ➢ Throughout the program ➢ 500,000 PMU implementation ➢ Contractors and sub- contractors Conflicts within ➢ Implementing Agencies 3 work environment ➢ Conduct regular training and security awareness ➢ Security players in the programs for project workers; devolving government ➢ Ensure functionality of workers GRM; structures ➢ Adhere to Labor Management Procedure. Regional and Woreda Administration ➢ Provide training and awareness creation on ➢ Federal, regional, woreda ➢ Throughout the program ➢ 500,000 precautionary measures need to be taken during PMU implementation community unrest; ➢ Contractors and sub- ➢ Ensure program related operational GRM that contractors communities including disadvantaged groups, minorities can use to raise their dissatisfaction and ➢ Implementing Agencies ensure that community program related concerns are ➢ Security players in the addressed in a timely manner devolving government 4 Community unrest ➢ Undertake stakeholder engagement and community structures dialogues to get the views and concerns of communities ➢ Regional and Woreda as per SEP; Administration ➢ Increased vigilance should be implemented during periods of community unrest; ➢ Any event having a potential to change the security situation within the operational areas must be communicated to management so that appropriate steps can be taken. ➢ Induct security personnel on the project’s CoC and ensure ➢ Federal, regional, woreda ➢ Throughout the program ➢ 1 million contracted security personnel sign the CoC PMU implementation 5 GBV/SEA ➢ Strengthen treatment and referral pathways for GBV/SEA ➢ Contractors and sub- survivors contractors ➢ Implementing Agencies 40 | P a g e ➢ Raise awareness on GBV/SEA protocols for the Project ➢ Security players in the in line with LMP devolving government ➢ Provide separate ablution facilities for men and women at structures the workplace ➢ Regional and Woreda ➢ Ensure proper lighting on the compounds Administration ➢ Fully implement sanctions contained in the GBV Action Plan (Please refer GBV Action Plan Annex 18 on the ESMF). The Project will be guided by the National Laws while ➢ Federal, regional, woreda ➢ Throughout the program ➢ 500,000 addressing security concerns. The World Bank’s ESF PMU implementation provides for possible mitigation measures for security ➢ Contractors and sub- personnel engaged in Bank financed projects which include contractors the following: ➢ Implementing Agencies ➢ Monitor risks resulting from acts of security personnel; ➢ Security players in the ➢ Manning sub-project sites; devolving government ➢ Make reasonable inquiries to verify that the direct or structures Risks emanating contracted workers providing security are not implicated Regional and Woreda in past abuses; Administration 6 from use of security personnel ➢ Raise awareness to contracted security personnel or determine that they are properly trained in the use of force and appropriate conduct towards workers and affected communities; ➢ Review allegations of unlawful or abusive acts of security personnel; ➢ Ensure security personnel contracted under the project are inducted on and sign the CoC. ➢ Report incidents related to use of security personnel. ➢ MoU will be signed (where applicable). There is a risk of vehicles being ambushed while ➢ Federal, regional, woreda ➢ Throughout the program ➢ 500,000 transporting staff, equipment and materials to sub PMU implementation Insecurity during project sites. This can be prevented/ mitigated by: ➢ Contractors and sub- 7 transit contractors ➢ Obtaining intelligence information regarding vulnerable routes and avoiding travels during risk ➢ Implementing Agencies Security players in the 41 | P a g e periods devolving government ➢ All project workers and visitors must have the structures appropriate information and security clearance before ➢ Regional and Woreda undertaking any travel; Administration ➢ Transport goods and workers during the day to reduce the risk of attack; ➢ Ensure travelers have backup food, water, communication apparatuses (e.g. mobile phone), etc. ➢ Report incidents. ➢ Assign security focal person who will closely follow ➢ Federal, regional, woreda ➢ Throughout the program ➢ 2 million and closely communicate; PMU implementation ➢ Ensure good contacts with national law enforcement ➢ Contractors and sub- agencies, with a view to obtaining the best possible contractors protection for project workers. ➢ Implementing Agencies ➢ Security players in the ➢ Ensure up-to-date, detailed instructions project devolving government workers on security situations and precautions they structures should take in relation to the implementation of the security plan, including a comprehensive listing of ➢ Regional and Woreda emergency supplies they should have on hand and Administration Risk related to guidance on their behavior during a variety of 8 armed conflict and emergencies, including armed conflict; kidnapping ➢ Project workers should familiarize themselves with information provided to them regarding the security management system at their location; ➢ keeping the federal and regional Program Manger informed, on Safety and Security, of all developments in the subproject area which might have a bearing on the security and protection of the staff project workers for decision. ➢ FSRP-PMU at all levels should ensure that staff members are acquainted with existing or potential security problems in the areas which they intend to visit and that they have obtained necessary security 42 | P a g e clearance before travelling; ➢ Train and aware project workers on security management plan and security context of the subproject area. ➢ Report incidents related to armed conflict and OHS templates using the annexed Kidnapping: ➢ Use of physical security personnel, ➢ Ensure consistent reporting and communications mechanisms with public security forces and other stakeholders. ➢ Staff should avoid travel in darkness; only using trusted drivers / ; not set patterns and routines; keep in pairs or teams at all times. ➢ Local knowledge of the program/subproject area and operational context must be maintained by staff at all times. ➢ Seek information from project security focal person and clearance from PMU coordinator. ➢ Any event having a potential to change the security situation within program areas must always be communicated to PMU Coordinator so that appropriate steps can be taken. ➢ SRAMP should be made available to all staff and appropriate training conducted. ➢ Never fight back when apprehended with armed people ➢ Do not try to argue or make provocative comments. ➢ Do not stare or make eye contact with the kidnappers. 9 Environment and ➢ Conduct regular training and awareness program ➢ Federal, regional, woreda ➢ Throughout the program ➢ 2 million ESMF,LMP, ESHS Guidelines, OHS, safety hazards, 43 | P a g e OHS risks programs for project workers, community and IAs; PMU implementation ➢ Contractors and sub- ➢ Environmental and Social Clauses for Contractors Consultation contractors ➢ Implementing Agencies ➢ Adhere to Hazardous material and Wastes ➢ EPA in the devolving Management set out in the ESMF government structures ➢ Adhere to Labor Management Procedure. ➢ Regional and Woreda Administration ➢ Adhere to Liquid and Solid Waste Management ➢ Labor offices Guideline prepared for FSRP. ➢ E and S specialist and Focal ➢ Ensure ESHS/OHS provisions are incorporated in the persons bidding documents and contract agreement for construction. ➢ Ensure that waste management is operable to reduce the fuel element for fire ➢ Ensure a fire alarm/smoke alarm system is operable within the Agricultural research centres ➢ Conduct regular Environmental and Social Monitoring and audit. ➢ Conduct regular emergency drills at project sites in coordination with relevant local authorities. ➢ Report incidents related to OHS. ➢ Aware workers on potential flood vulnerable ➢ Federal, regional, woreda ➢ Throughout the program ➢ 1 million areas and seasons. PMU implementation ➢ Get out of low areas subject to flooding during ➢ Contractors and sub- raining. contractors Exposure to natural ➢ Implementing Agencies 10 hazard (flooding) ➢ Evacuate immediately to high ground, if you ➢ Disaster and Risk prevention think you are at risk or are advised to do so offices in the devolving ➢ Never try to walk or swim through flowing water.government structures ➢ Regional and Woreda ➢ Be aware of flash flood areas such as canals, Administration 44 | P a g e streams, drainage channels. ➢ Wait until it is safe to return. ➢ Monitor Weather Radio, local television and radio stations before, during or after flooding. ➢ Properly implement Road Traffic Safety ➢ Federal, regional, woreda ➢ Throughout the program ➢ 1million Assessment and Management Plan prepared for PMU implementation FSRP. ➢ Contractors and sub- ➢ Vehicles should be serviced and well maintained. contractors ➢ Implementing Agencies ➢ Staff should be briefed on what to look for when ➢ Traffic offices in the Risk of traffic hiring a vehicle in a remote location. devolving government 11 accident ➢ Training of drivers in advanced First Aid should structures be a priority. ➢ Regional and Woreda Administration ➢ Hire or train drivers on changing of essential parts ➢ FSRP and IA Drivers and of vehicles if required. logistic officers ➢ Train drivers on Road Traffic Safety Assessment and Management Plan ➢ Project workers should be trained on basic first aid ➢ Federal, regional, woreda ➢ Throughout the program ➢ 1 million services. PMU implementation ➢ First aid packs must be availed to the site and field ➢ Contractors and sub- visit. contractors ➢ Implementing Agencies ➢ The team has ascertained availability of ➢ Health institutions and emergency services in case of medical emergency. reference centers in the 12 Medical risk devolving government ➢ Persons carrying medications have more than enough for the whole trip and appropriate storage structures means. ➢ Regional and Woreda Administration ➢ The team has self-disclosed to fellow team members relevant medical conditions / history in event unable to recount details themselves. ➢ Records / letters with history / medication in local 45 | P a g e language are being carried. Annexes Annex 1: Escalation Matrix FSRP State Alert Alert State Green Alert State Yellow Alert State Orange Alert State Red Alert State Black Level FSRP Precautionary Restriction of movement Stabilization Concentration Relocation/Evacuation Descriptor Potential -Agreement by project Community -All yellow Status All orange Status -All red Status riggers, and Triggers coordination units at all unrest/conflict; Triggers, and Triggers, and additionally: level and with -Limitation of additionally: additionally: - Death or severe injury of stakeholders; transportation - Specific threats against team member; - Agreement between access to project site FSRP workers; - Armed conflict in the project implementers -Limitation of access to ➢ Community unrest project vicinity seriously -Withdrawal of WB and project workers; target risks; impacting project Supported projects from the Sites due to insecurity; ➢ Temporary program activities; area (or nearby) location; - Government offices delays; -Only essential -Withdrawal/lack of affected in ➢ Non-life-threatening operational travel should government support to ensure undertaking their day to injury to project be considered for Federal security; day personnel; and Regional -Critical unrest/conflict in activities ➢ Loss or damage to Management Unit; neighboring impacting on assets; ➢ Severe costs to the project activities programme major -Ongoing operations are disruption of activities unsustainable and projects ➢ Projects may be may be suspended for suspended at short indefinite periods notice; ➢ Serious injury and possible death to project personnel; 46 | P a g e FSRP Response Normal day to day -undertake site specific -Project workers pause -Project workers to move -The public security officials government operations security risk assessment field visit to move to safe to concentration points to notify project coordinators ongoing - The public security location; and prepare to relocate to who ill in turn notify project officials to notify project -Project coordinators and safe location; workers -Project activity coordinators who will in security focal personnel within 24 hours ongoing turn notify project to account for workers - Project coordinators and - FSRP to review viability of workers within 24 hours. and project resources security focal personnel continuing with project -Project coordinators regularly. to account for workers activities in a particular and security focal - Government security - The public security and project resources location/region personnel monitor the officers accompany officials to notify project regularly - FSRP to advise and agree security situation. project workers, coordinators who will in -The public security with WBG on proposed way contractors and suppliers turn notify project officials to notify project forward during movement to workers immediately, coordinators who will in (pause/continue/otherwise) project site turn notify project - Suspension of project - Public security officials workers within 24 hours. activities . -Temporary suspension in liaison with the PMU of activities; assess potential for de- -Update WBG on escalation. proposed options for de- - Update WBG on escalation for agreement proposed options for de- escalation for agreement -Implement agreed de- - Implement agreed de- escalation actions escalation actions -Suspension of project -Temporary suspension of activities; activities 47 | P a g e Annex 2- Security Operating Procedures (SOP) Security Operating Procedures describes key procedures and how these fit together. These are common procedures including boundary security (perimeter and access control), access-point operations (screening of people and vehicles), incident response (who will respond, and how), security patrols, travel security, materials storage and control, information and communication. The following major operating security procedures should be implemented and put in place to ensure security within the proposed FSRP subproject sites: Boundary Security: The boundary security in project camps and associated facilities shall be marked by security fences. Access-Point Operations: project staff and visitors will access camps through designated gates. Searches will only be conducted by security personnel who have received instruction and information regarding the procedure and the legal aspects of search and seizure. Body searches will only be conducted by security personnel of the same gender. Above all, implementing agencies, contractors and sub-contractors shall have booking in and out procedure for all regular program workers and visitors. Vehicle Access Control Procedures: All Vehicles accessing project facilities will be accessed through the approaching ways suggested in consultation with community and at the gate with the driver only after going through a security check/search for prohibited items i.e., Alcohol Beverages, Firearms, Knives and dangerous drugs. The driver must declare his entire luggage at the main gate (Personal luggage) for checking. Besides, a vehicle access log will be maintained. Vehicles: All FSRP cars in use for operations to be parked within secured compound. Besides, all vehicles must be licensed and checked periodically, and each vehicle must be equipped with a spare tire, a toolbox, first aid Kit and vehicle logbook. Above all, drivers must abide by the traffic laws and not exceed the speed limit, they must immediately report any traffic accident. Prohibited Items: bringing items such as knives, guns, alcohol beverages, dangerous drugs, explosives of any type to project sites by workers and visitors are strictly prohibited. The security personnel shall carry out body check and report to the contractor and to the FSRP- PMU. Incident Response: Any security incidence related to the subprojects directly affecting project staff, equipment and communities should be reported by either the project manager or security personnel in charge to the nearest police post. In the event of a serious insecurity occurrence, the project manager shall report to the FSRP-PMU. The FSRP-PMU will notify the WB Bank within 24 hours. Security Patrols: Security patrols shall be carried out by the security personnel. Where subprojects are located in areas with high potential insecurity incidence, public security services should be used. Travel Security: Travel security will be required where subproject staff and equipment are transiting through areas with security risks. In this case, the arrangement for travel security 48 | P a g e shall be coordinated by FSRP-PMU or regional implementing agencies in coordination with national information network security agency or regional/local security offices. Travel to high risk areas is subject to a security risk assessment and that the authority be sought from the PMU Coordinator. Where GSM coverage is not guaranteed, staff should be issued with a satellite phone. Staff should also carry a grab bag, containing food, water, first aid kit, medicines, etc. Hierarchy of hazard management a. Eliminate the Hazard: Determine if the process, plant, equipment, testing methods, materials or substances are necessary. b. Substitute the Hazard: Reduce the risk by substituting a less hazardous process, plant, equipment, testing method, material or substance (e.g. Replace ladder with scissor lift, Substitute solvent based paint with water based paint ,Redesign plant to reduce noise levels, Replace frequent telephone use with headsets). c. Isolate the Hazard: Isolate the hazard by using containment, shielding or distance (Put protection around noisy equipment and Guards over moving parts). d. Engineering Controls: Install barriers, guards, ventilation or alarms to reduce the exposure to the hazard, minimize the size or volume of the hazard. Rearrange the work area and workflow (e.g. Use mechanical aids to reduce manual handling). e. Administrative Controls: Reduce the duration of exposure to the hazard Intersperse high demand or intense activity with lighter, less intense tasks. Establish safe work practices, provide training and supervision appropriate to the level of expertise of the personnel involved. Introduce procedures, signs, permits to increase awareness of the hazard or limit exposure to the hazard. Administrative controls may be used as a secondary measure to supplement the other agreed risk controls (e.g. Job rotation, work instructions, restricting access to the area, keeping the area free of disorder, being prepared for emergencies, and Training and induction programs). f. Personal Protective Equipment: Provide personal protection. This is the last resort because it is the least reliable and requires high levels of supervision, skills and attention. Personal protection may be used as a secondary measure to supplement the other agreed risk controls (e.g. Hearing protective devices, respirators, hard hats etc.) Fire: Flammable and explosive materials should also be managed to avoid uncontrolled reactions or conditions resulting in fire or explosion. Hence, Store incompatible materials in separate areas, and with containment facilities separating material storage areas· Besides, material-specific storage for extremely hazardous or reactive materials should be provide· In addition, select materials of construction compatible with products stored for all parts of storage and delivery systems, and avoid reuse of tanks for different products without checking material compatibility· Furthermore, store hazardous materials in an area of the facility separated from the main production works. In cases, proximity is unavoidable, physical separation should be provided using structures designed to prevent fire, explosion, spill, and other emergency situations from affecting facility operations · Prohibition of all sources of ignition from areas near flammable storage tanks. OHS: FSRP PMU, IA, Contractors will ensure a safe and healthy working environment recognizing the potential OHS risks related to the program. Accordingly, they will ensure that reasonable precautions are taken to protect workers potentially exposed to program related occupation risks. Hence, IAs, contractors and subcontractors shall assess the risks of injury to 49 | P a g e workers and local community generated by the activities of FSRP; providing hostile environment training; provide adequate protective equipment(PPE), Preparedness to flooding: ➢ Monitor your surroundings and monitor Weather Radio, local television and radio stations. ➢ If a flash flood warning is issued for your area evacuate to high ground/place immediately. ➢ Flash floods develop quickly. Do not wait until you see rising water. ➢ Get out of low areas subject to flooding. ➢ If driving, do not drive through flooded roadways! ➢ Assemble disaster supplies: such as drinking water, food, cash, medication and first aid supplies. Battery-powered radio, flashlights, extra batteries. ➢ Important documents: medical records, bank account numbers. ➢ Be prepared to evacuate: identify places to go, identify alternative travel routes that are not prone to flooding, fill your car’s gas tank and if told to leave, do so quickly. ➢ Protect your property: Move hazardous, disconnect electrical appliances and do not touch them if you are wet or standing in water. Security Supervision and Control: Security supervision and control may be undertaken at various levels which may include at the national, regional, subproject sites and at the contractor levels. The FSRP_PMU and regional implementing agencies will also work closely with national and regional security offices and other relevant stakeholders to ensure proper management of project security issues which will include: ➢ Undertaking security risk assessments and recommend mitigation measures at subproject level; ➢ Ensure that security mitigation measures are included in sub-project ESMPs; ➢ Monitor potential security risks on subproject sites together with project beneficiaries; ➢ With social safeguard specialists, provide training to mitigate social risks of project workers and equipment including security risks; ➢ Ensure that the GRM for the project workers is established and implemented and that project workers are informed about it; ➢ Monitor the implementation of the workers’ CoC for contracted security personnel. Security Training To fulfill security related responsibilities project workers, security personnel, community, contractors and other stakeholders at all levels need proper training. This is due to the fact that providing security training and awareness creation is one of the most cost-effective ways of to reduce security threats. The security trainings provided include FSRP security Risk Assessment and Management plan, health and safety, Security Operating Procedure, incident reporting and response, human rights, GBV/SEA (Please refer GBV Action Plan Annex 18 on the ESMF), Environmental, Social, Health and Safety (ESHS) provisions, EHS risks on safety hazards at the project sites, Stakeholder Engagement Plan, Grievance Redressing Mechanisms, use of force, etc. Moreover, for staff who will be deployed to high risk areas will receive Hostile Environment Awareness Training (HEAT).The Training will be provided by the PMU, contractors and relevant security structures of the government. 50 | P a g e Information sharing and communication Regarding the responsibility related to security information sharing and communication focal person assigned at federal, regional and woreda level are responsible. In this regard, communication or information sharing could be Federal, regional and then to woreda or the other way round. For instance, in circumstances where the FSRP-FMU agree with higher level the information sharing and communication will be done by the federal to the regional PMU and the Regional PMU will share to woreda. In cases, where the incident or information are happened at the sub-project level it is starts at the contractor to woreda PMU, the woreda to region, the regional PMU to federal PMU, and the federal PMU shares or communicates to the World Bank. The communication approach would be as set out on the Stakeholder Engagement Plan (SEP) and could be mobile phone, lined phone, email, official letter, fax etc. 51 | P a g e Annex 3: FSRP related incident and accident reporting procedure A. Purpose The purpose of this procedure is to outline the requirements, methods and outcomes of reporting all incidents and accidents. B. Scope The following incidents and accidents will be reported, irrespective of the nature and level of severity: ➢ Fatality and critical injury/illness, illness or injury for which an employee receives/seeks medical attention ➢ First aid treatment, occupational disease, ➢ Property damage and fire ➢ Environmental release (chemical spillages) ➢ Explosions ➢ Exposures to biological, chemical or physical agents and other related. 3. Roles and Responsibilities i) Regional Environmental and Social Safeguard Specialists and Project Coordinators ➢ Environmental and Social Safeguard Specialists shall continue and regular monitoring and follow up project related incidents and accidents. ➢ Report any project related incidents and accidents within 48 hours to Federal Implementing Unit (FPMU). ➢ Ensure all woredas are provided with incident and accident reporting Template, and the templates completed. ➢ Ensure injured or ill employees have received the required medical treatment and regularly update their health status to the FPMU. ii) Woreda Environmental and Social Safeguard Focal Persons ➢ Shall conduct continuous and regular monitoring and follow up project related incidents and accidents. ➢ Report the case to the appropriate local administration entities and other relevant bodies. ➢ Ensure the injured persons have received the required medical treatment. ➢ Ensure Incident/accident Templates are completed. ➢ Report the incident/accident within 24 hours to Regional Project Implementing Unit. 4. Communication This procedure shall be communicated to all project PMUs, contractors and sub-contractors and all relevant bodies. 5. Evaluation Compliance with the accident /incident reporting procedures are monitored regularly as part of Environmental and Social Safeguard Specialists, Environmental and Social Safeguard Focal persons. 52 | P a g e Annex 4: Security incident registration form for sub projects of FSRP Region-----------------------Woreda---------------------- Project name --------------------- Date Section 1: recorder /investigator Name Position Section 2: Incident description Date and time of incident: Location of incident: Detail description of the incident: Detail description of the incident from eye wittiness: Section C: identify the root cause: what caused the incident to happen? Section D: Action taken to mitigate or incidents: Section E: Recommended corrective action to prevent future: 53 | P a g e Annex 5: Occupational Health and Safety incident registration form for sub projects of FSRP Region-----------------------Woreda---------------------- Project name --------------------- Date Section 1: recorder /investigator Name Position Section 2: Incident description /injury information Name of injured employee Age Sex Employee`s job title Date and time of incident: Location of incident: Detail description of the incident: Detail description of the incident from eye wittiness: Section C: identify the root cause: what caused the incident to happen? Safety procedures were not followed--------------------- Machine failed or safety equipment failed ---------------- Lack of proper training (use of the PPE or the machine or other equipment for work)----------- Other, specify………………………… Recommended corrective action to prevent future incidents Corrective Action Taken/Root cause addressed 54 | P a g e Annex 6: Steps to conduct Root Cause Analyses (RCA)for a Workplace Accident ➢ Conduct root-cause analysis of the incident and identify the sequence of events and factual circumstances. The analysis should identify • what failing(s) led to the accident/incident • what safety measures were in place, and • the risk information/training provided to workers on site/communities. • The level of monitoring /supervision of unskilled labor should also be assessed. ➢ Recommend actions to be taken to rectify the failure(s) that led to the incident. ➢ Review the safety procedures at different sites and identify the health and safety measures to be taken to minimize the risks of future accidents both to workers and to local residents. Site visits should be carried out to a representative sample of construction sites, activities, regions and Contractors as applicable. Health and safety representatives of the Contractors and implementing agencies, as well as other technical counterparts as necessary should be interviewed to gain a comprehensive understanding about health and safety management. ➢ Review the OHS measures in Safeguards instruments and plans in construction contracts and recommend enhancements as needed. The assessment should identify what the existing procedures for safe performance of construction activities (excavation, scaffolding, working at heights, welding, etc.) are and should recommend appropriate procedures should the existing ones have gaps. ➢ Review the capacity of Contractors and supervision consultants to implement OHS standards. The assessment should review the training plans for skilled and unskilled labor for effectiveness and propose improvements to the training and communication program so that workers are adequately guided to safely perform their work. ➢ Review the existing arrangements for recruiting labor and what type of insurance (life or injuries and occupational health risks) and compensations are provided. ➢ Review compliance to the Labor Law and other international treaties by Contractors or Subcontractors. ➢ Assess the sufficiency of the measures that the Contractors take to minimize risk on the local communities and communicate with them. Recommend improvements as necessary. 55 | P a g e Annex 7: Content of a Safeguards/Standards Corrective Action Plan (SCAP) Outline The contents of the SCAP are driven by the findings of the RCA, and are specific to the type of incident, its location, severity, and project implementing capacity to implement corrective and preventative measures. The SCAP will be implemented by the FSRP project implementing unit in the developing government structure for serious and severe incidents, with Bank supervision and support. As a general guide, the SCAP could contain the sections set out in the table below: SCAP Possible Actions Timefram Monitoring indicators Responsible Sections e for body action closures Immediate Stop works, Within 3 -No of sites/ subprojects - Woreda, to near term secure the site, months stop work regional and actions provide medical -No of workers received Federal PMU care and medical care and counseling, pay counseling, received compensation, compensation remediate -No contractors who have contamination, agreed anti- enforce anti- poaching(where poaching, notify applicable) relevant -No of cases notified to authorities, design relevant authorities etc. and implement response mechanism, etc. Medium Documentatio Stream-line, 3-6 months - ESHS/OHS monitoring - Woreda, term/ongoin n, monitoring consolidate and and reporting tools regional and g actions and reporting review existing stream-lined, Federal PMU ESHS/OHS consolidated and monitoring and reviewed reporting tools, with a focus on increased monitoring of leading indicators to increase effectiveness. Contractual Review 3-6 months -No of bidding / - Woreda, agreements bidding/contractu contractual documents regional and /enforcement al arrangements to reviewed Federal PMU determine if existing language is adequate to ensure sufficient onsite presence of qualified and independent safeguards professionals for adequate implementation of the heath safety plan and identify if any adjustments may be necessary 56 | P a g e SCAP Possible Actions Timefram Monitoring indicators Responsible Sections e for body action closures for future agreements. Risk example: update 3-6 months -Updated Risk assessment -FSRP assessment, risk assessment and management plan Woreda, processes, and management regional and procedures and plans to address: Federal PMU training plans • the chance find, for managing clarifying (i) risk risks factors such as the geophysical characteristics of excavation areas and depth of excavation, the civil war history, (ii) the detailed written information and maps to be obtained from implementer(s) about past surveys and clearance operations before construction can begin, (iii) situations where mechanical excavation should be chosen over manual excavation, (iv) how to safely conduct manual excavation where mechanical excavation is not possible (with input from the implementer(s) and/or other demining experts), (v) develop an adequate training program for workers. • Fire risk and adequate fire extinguishers placement • Electric risk should also be reviewed, and safe work 57 | P a g e SCAP Possible Actions Timefram Monitoring indicators Responsible Sections e for body action closures procedures developed for handling, maintaining and checking electric equipment and extension cords. • Permit to work 3-6 months - No of high risk activities - Woreda, procedures should for which work permit regional and be developed for procedure developed Federal PMU high-risk activities with daily verification and sign-off of competent health and safety officers or supervisors. Delayed 3-6 months - Updated - Woreda, Resettlement Resettlement/compensati regional and Compensation on plan Federal PMU example: update - Resettlement audit -Woreda risk assessment conducted administration and management - No of PAPs for which plans to address: delayed compensation • Based on the addressed RCA determination of the reasons for the continued delays in payment of compensation, put in place an effective strategy for addressing them as necessary • Ensure that all outstanding and new claims are appropriately addressed • Determine whether there were impacts that have not previously been considered (livelihoods/loss of business income, vulnerable groups) for which compensation or assistance may be required • Ensure 58 | P a g e SCAP Possible Actions Timefram Monitoring indicators Responsible Sections e for body action closures continuing consultation with Project-affected people and a well- functioning grievance mechanism (GRM) • Monitor implementation and provide fortnightly progress reports • Recruit a separate expert to conduct an audit Competencies, Onsite staffing 3-6 months -No of subproject for - Woreda, roles and resources and which onsite/subproject regional and responsibilities organizational dedicated ESHS specialist Federal PMU : arrangements by contractor -Contractor dedicated to and environment, subcontarctore social safeguards, s health and safety by the implementer(s) (e.g., construction company and the supervision consultant) should be reviewed considering the updated risk assessment and findings. This may include adjustments in terms of number, competence, onsite presence, organization, communication and reporting, so that project activities may comply with the EHSH/OHS plan requirements. High level Once the 3-6 months -Heavy load that falls -Woreda, monitoring monitoring and near a worker) observed regional and and reporting system or registered during Federal PMU evaluation: is consolidated, monitoring, the supervision -Deviations with high- consultant and risk potential (e.g., PMU should be absence of protective 59 | P a g e SCAP Possible Actions Timefram Monitoring indicators Responsible Sections e for body action closures able to monitor barriers, uninsured leading indicators workers) observed, such as near- registered or reported misses (e.g., a during monitoring etc. heavy load that falls near a worker), and deviations with high-risk potential (e.g., absence of protective barriers, uninsured workers) based on daily observations by the Contractor and the supervision consultant. 60 | P a g e Annex 8: Code of Conduct for Contractors’ Code of Conduct (CoC) defines the mandatory Dos and Don’ts expected from each staff member, workers and contractors associated with the project .To build a system for SEA/SH risk prevention and mitigation, the project must: 1. Have all employees of contractors (including sub-contractors) in the project area sign CoCs; 2. Have an effective SEA/SH Prevention and Response Action Plan so that workers understand behaviour expectations and policies, as well as an effective GM. This Action Plan should include training and communication. It should also include plans to make the project-affected community aware of the CoC the project staff have just signed; and 3. As part of the SEA/SH Prevention and Response Action Plan, define accountability and response protocols, which set out the procedures followed for holding individuals accountable and penalizing staff that have violated SEA/SH policies. Codes of Conduct from Standard Procurement Document Code of Conduct for Contractor’s Personnel (ES) Form Note to the Employer: The following minimum requirements shall not be modified. The Employer may add additional requirements to address identified issues, informed by relevant environmental and social assessment. The types of issues identified could include risks associated with: labor influx, spread of communicable diseases, Sexual Exploitation and Sexual Abuse (SEA) etc. Delete this Box prior to issuance of the bidding documents Note to the Bidder: The minimum content of the Code of Conduct form as set out by the Employer shall not be substantially modified. However, the Bidder may add requirements as appropriate, including to take into account Contract-specific issues/risks. Code of Conduct for Contractor’s Personnel We are the Contractor, [enter name of Contractor]. We have signed a contract with [enter name of Employer] for [enter description of the Works].These Works will be carried out at [enter the Site and other locations where the Works will be carried out].Our contract requires us to implement measures to address environmental and social risks related to the Works, including the risks of sexual exploitation and abuse and gender-based violence. This Code of Coduct is part of our measures to deal with environmental and social risks related to the works. It applies to all our staff, labourers and other employees at the works site or other places where the works are being carried out. It also applies to the personnel of each subcontractor and any other personnel assisting us in the execution of the works. All such persons are referred to as “Contracture’s Personnel” and are subject to this Code of Conduct. This Code of Conduct identifies the behavior that we require from all Contractors’ Personnel. Our workplace is an environment where unsafe, offensive, abusive or violent behavior will not be tolerated and where all persons should feel comfortable raising issues or concerns without fear of retaliation. REQUIRED CONDUCT Contractor’s Personnel shall: 1. Carry out his/her duties competently and diligently; 2. Comply with this Code of Conduct and all applicable laws, regulations and other requirements, including requirements to protect the health, safety and well-being of other Contractor’s Personnel and any other person; 3. Maintain a safe working environment including by: 61 | P a g e a) Ensuring that workplaces, machinery, equipment and processes under each person’s control are safe and without risk to health; b) Wearing required personal protective equipment; c) Using appropriate measures relating to chemical, physical and biological substances and agents; and following applicable emergency operating procedures. 4. Report work situations that he/she believes are not safe or healthy and remove himself/herself from a work situation which he/she reasonably believes presents an imminent and serious danger to his/her life or health; 5. Treat other people with respect, and not discriminate against specific groups such as women, people with disabilities, migrant workers or children; 6. Not engage in any form of sexual harassment including unwelcome sexual advances, requests for sexual favors, and other unwanted verbal or physical conduct of a sexual nature with other Contractor’s or Employer’s Personnel; 7. Not engage in Sexual Exploitation, which means any actual or attempted abuse of position of vulnerability, differential power or trust, for sexual purposes, including, but not limited to, profiting monetarily, socially or politically from the sexual exploitation of another. In Bank- financed projects/operations, sexual exploitation occurs when access to or benefit from Bank- financed Goods, Works, Consulting or Non-consulting services is used to extract sexual gain; 8. Not engage in Rape, which means physically forced or otherwise coerced penetration— even if slight—of the vagina, anus or mouth with a penis or other body part. It also includes penetration of the vagina or anus with an object. Rape includes marital rape and anal rape/sodomy. The attempt to do so is known as attempted rape. Rape of a person by two or more perpetrators is known as gang rape; 9. Not engage in Sexual Assault, which means any form of non-consensual sexual contact that does not result in or include penetration. Examples include: attempted rape, as well as unwanted kissing, fondling, or touching of genitalia and buttocks not engage in any form of sexual activity with individuals under the age of 18, except in case of pre-existing marriage; 10. Complete relevant training courses that will be provided related to the environmental and social aspects of the Contract, including on health and safety matters, and Sexual Exploitation, and Sexual Abuse(SEA); 11. Report violations of this Code of Conduct; and 12. Not retaliate against any person who reports violations of this Code of Conduct, whether to us or the Employer, or who makes use of the [Project Grievance [Redress Mechanism]. RAISING CONCERNS If any person observes behavior that he/she believes may represent a violation of this Code of Conduct, or that otherwise concerns him/her,he/sheshouldraisetheissuepromptly.Thiscanbedoneineitherof the following ways: 1. Contact [enter name of the Contractor’s Social Expert with relevant experience in handling gender- basedviolence,orifsuchpersonisnotrequiredundertheContract,anotherindividualdesignatedb y the Contractor to handle these matters] in writing at this address [ ] or by telephone at [ ] or in person at [ ];or 2. Call [ ] to reach the Contractor’s hotline (if any) and leave a message. The person’s identity will be kept confidential; unless reporting of all allegations is mandated by the country law. Anonymous complaints or allegations may also be submitted and will be given all due and appropriate consideration. We take seriously all reports of possible misconduct and will investigate and take appropriate action. We will provide warm referrals 62 | P a g e to service providers that may help support the person who experienced the alleged incident, as appropriate. There will be no retaliation against any person who raises a concern in good faith about any behavior prohibited by this Code of Conduct. Such retaliation would be a violation of this Code of Conduct. CONSEQUENCES OF VIOLATING THE CODE OF CONDUCT Any violation of this Code of Conduct by Contractor’s Personnel may result in serious consequences, up to and including termination and possible referral to legal authorities. FOR CONTRACTOR’S PERSONNEL: I have received a copy of this Code of Conduct written in a language that I comprehend. I understand that if I have any questions about this Code of Conduct, I can contact [enter name of Contractor’s contact person with relevant experience in handling gender-based violence] requesting an explanation. Name of Contractor’s Personnel: [insert name] Signature: Date: (day month year): Counter signature of authorized representative of the Contractor: Signature: __________________Date: (day month year): __________________ 63 | P a g e Annex 9: Code of conduct of security personnel General Conduct ➢ The PMU, IA or contractor will require their security personnel to, treat all persons humanely and with respect for their dignity and privacy and will report any breach of this Code. Rules for the Use of Force ➢ The PMU, IA or contractor will adopt Rules for the Use of Force consistent with applicable law and the minimum requirements contained in the section on Use of Force in this Code and agree those rules with the Client. Use of Force ➢ The PMU, IA or contractor will require their security personnel to take all reasonable steps to avoid the use of force. If force is used, it shall be in a manner consistent with applicable law. In no case shall the use of force exceed what is strictly necessary, and should be proportionate to the threat and appropriate to the situation. ➢ The PMU, IA or contractor will require that their security personnel not use firearms against persons except in self-defence or defence of others against the imminent threat of death or serious injury, or to prevent the perpetration of a particularly serious crime involving grave threat to life. ➢ To the extent that security personnel are formally authorized to assist in the exercise of a state's law enforcement authority, The PMU, IA or contractor will require that their use of force or weapons will comply with all national and international obligations applicable to regular law enforcement officials of that state and, as a minimum, with the standards expressed in the United Nations Basic Principles on the Use of Force and Firearms by Law Enforcement Officials (1990). Detention ➢ The PMU, IA or contractor will only, and will require their security personnel will only, guard, transport, or question detainees if: (a) the Company has been specifically contracted to do so by a state; and (b) its Personnel are trained in the applicable national and international law. Member and Affiliate Companies will, and will require that their Personnel, treat all detained persons humanely and consistent with their status and protections under applicable human rights law or international humanitarian law, including in particular prohibitions on torture or other cruel, inhuman or degrading treatment or punishment. Apprehending Persons ➢ The PMU, IA or contractor will, and will require their security personnel to, not take or hold any persons except when apprehending persons to defend themselves or others against an imminent threat of violence, or following an attack or crime committed by such persons against Company Personnel, or against clients or property under their protection, pending the handover of such detained persons to the Competent Authority at the earliest opportunity. Any such apprehension must be consistent with applicable national or international law and be reported to the Client without delay. The PMU, IA or contractor will, and will require that their Personnel 64 | P a g e to, treat all apprehended persons humanely and consistent with their status and protections under applicable human rights law, including in particular prohibitions on torture or other cruel, inhuman or degrading treatment or punishment. Prohibition of Torture or Other Cruel, Inhuman or Degrading Treatment or Punishment ➢ The PMU, IA or contractor will not, and will require that their security personnel not, engage in torture or other cruel, inhuman or degrading treatment or punishment. For the avoidance of doubt, torture and other cruel, inhuman or degrading treatment or punishment, as referred to here, includes conduct by a private entity which would constitute torture or other cruel, inhuman or degrading treatment or punishment if committed by a public official. ➢ Contractual obligations, superior orders or exceptional circumstances such as an armed conflict or an imminent armed conflict, a threat to national or international security, internal political instability, or any other public emergency, can never be a justification for engaging in torture or other cruel, inhuman or degrading treatment or punishment. ➢ The PMU, IA or contractor will, and will require that their Personnel, report any acts of torture or other cruel, inhuman or degrading treatment or punishment, known to them, or of which they have reasonable suspicion. Such reports will be made to the Client and one or more of the following: the competent authorities in the country where the acts took place, the country of nationality of the victim, or the country of nationality of the perpetrator. Sexual Exploitation and Abuse or Gender-Based Violence ➢ The PMU, IA or contractor will not benefit from, nor allow their security personnel to engage in or benefit from, sexual exploitation (including, for these purposes, prostitution) and abuse or gender-based violence or crimes, either within the Company or externally, including rape, sexual harassment, or any other form of sexual abuse or violence. The PMU, IA or contractor will, and will require their security personnel to, remain vigilant for all instances of sexual or gender-based violence and, where discovered, report such instances to competent authorities. Human Trafficking ➢ The PMU, IA or contractor will not, and will require their security personnel not to, engage in trafficking in persons. The PMU, IA or contractor will, and will require their personnel to, remain vigilant for all instances of trafficking in persons and, where discovered, report such instances to Competent Authorities. For the purposes of this Code, human trafficking is the recruitment, harbouring, transportation, provision, or obtaining of a person for (1) a commercial sex act induced by force, fraud, or coercion, or in which the person induced to perform such an act has not attained 18 years of age; or (2) labour or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, debt bondage, or slavery. Prohibition of Slavery and Forced Labour ➢ The PMU, IA or contractor will not use slavery, forced or compulsory labour, or be complicit in any other entity’s use of such labour. 65 | P a g e Prohibition on the Worst Forms of Child Labour ➢ The PMU, IA or contractor will respect the rights of children (anyone under the age of 18) to be protected from the worst forms of child labour, including: a) all forms of slavery or practices similar to slavery, such as the sale and trafficking of children, debt bondage and serfdom and forced or compulsory labour, including forced or compulsory recruitment of children for use in provision of armed services; b) the use, procuring or offering of a child for prostitution, for the production of pornography or for pornographic performances; c) the use, procuring or offering of a child for illicit activities, in particular for the production and trafficking of drugs; d) work which, by its nature or the circumstances in which it is carried out, is likely to harm the health, safety or morals of children. Member and Affiliate Companies will, and will require their Personnel to, report any instances of the activities referenced above that they know of, or have reasonable suspicion of, to Competent Authorities. Discrimination ➢ The PMU, IA or contractor will not, and will require that their Personnel do not, discriminate on grounds of race, colour, sex, religion, social origin, social status, indigenous status, disability, or sexual orientation when hiring Personnel and will select Personnel on the basis of the inherent requirements of the contract. Identification and Registering ➢ The PMU, IA or contractor , to the extent consistent with reasonable security requirements and the safety of civilians, their Personnel and Clients, will: a) require all Personnel to be individually identifiable whenever they are carrying out activities in discharge of their contractual responsibilities; b) ensure that their vehicles are registered and licensed with the relevant national authorities whenever they are carrying out activities in discharge of their contractual responsibilities; and c) will ensure that all hazardous materials are registered and licensed with the relevant national authorities. 66 | P a g e