African Union Commission Africa Think Tank Platform (ATTP) Project (P179804) Simplified Labor Management Procedures (LMP) November 30, 2023 1 Table of Contents Table of Contents ............................................................................................................................ 2 Acronyms and Abbreviations .......................................................................................................... 3 1. Introduction ............................................................................................................................. 4 1.1. Background....................................................................................................................... 4 1.2. Project Development Objective (PDO) ............................................................................. 4 1.3. Project Components ......................................................................................................... 4 1.4. Project Geographical Location ......................................................................................... 6 1.5. Institutional Arrangements .............................................................................................. 6 1.6. Overview of labor use for the Project .............................................................................. 7 1.7. Overview of Labor Risks ................................................................................................... 8 2. Overview of Relevant Legislation ............................................................................................ 8 2.1. Ethiopian Labor Legislation .............................................................................................. 9 2.2. World Bank Environmental and Social Standard 2 ......................................................... 12 3. Responsibilities ...................................................................................................................... 13 4. Policies and Procedures ......................................................................................................... 14 4.1. General Policies and Procedures .................................................................................... 14 4.2. Occupational, Health and Safety Policies and Procedures ............................................. 14 4.3. Incident Investigation and Reporting ............................................................................. 15 4.4. Code of Conduct ............................................................................................................. 15 4.5. Workers’ Grievance Redress Mechanism ....................................................................... 16 4.6. Contractors’ Management ............................................................................................. 18 ANNEX 1: SAMPLE CODE OF CONDUCT ........................................................................................ 19 2 Acronyms and Abbreviations ACBF African Capacity Building Foundation ATTP African Think Tank Platform AU African Union AUC African Union Commission AUDA African Union Development Agency AWP&B Annual Work Plan and Budget EDIT Economic Development, Industry, and Trade ESS Environmental and Social Standards FM Financial Management GRS Grievance Redress Service HHA Health and Humanitarian Affairs IE Infrastructure and Energy IFR Interim Financial Report IPF Investment Project Financing IT Information Technology M&E Monitoring and Evaluation OIO Office of Internal Oversight PAD Project Appraisal Document PDO Project Development Objective PMRM Partnership Management and Resource Mobilization Directorate POM Project Operations Manual PPA Partnership Performance Agreement PPSD Project Procurement Strategy for Development PTSD Procurement, Travel and Store Division REC Regional Economic Community SCMD Supply Chain Management Division SDGs Sustainable Development Goals SEBE Sustainable Environment and Blue Economy STC Specialized Technical Committee TA Technical Assistance ToR Terms of Reference TTI Think Tank Initiative TTPSC Think Tank Platform Steering Committee 3 1. Introduction 1.1. Background The proposed Africa Think Tank Platform (ATTP) Project aims to build policymaking capacity to advance the regional integration agenda, provide a platform for policy harmonization and improve development outcomes. It aims to establish and operationalize a sustainable platform for effective cooperation and harmonization on regional policy issues between country level policymakers, regional associations and economic policy institutes based on existing regional strategies, such as the African Union’s Agenda 2063. It will support the African Union (AU) through the African Union Commission to set up and operate a functional and sustainable platform that: (i) convenes key stakeholders from governments, economic policy institutes and academia to identify and discuss pan-African priority areas for economic policy; (ii) bridges the divide between the policy research community and policymakers to facilitate research uptake and promote linkages between economic policy institutes, Regional Economic Communities (RECs) and national governments; (iii) provides technical assistance and institutional support to selected African Think Tanks and fosters collaboration among them; and (iv) undertakes and supports resource mobilization for the platform and its beneficiaries’ to support long-term financial sustainability, including setting up a facility to crowd-in resources from African governments, foundations, Development Partners and other donors. In supporting the AU to play a central role in cooperation and harmonization on regional economic policy issues between different stakeholders, the project aims to strengthen the overall evidence-to-policy ecosystem. The project will pay attention to the different actors within the system and maintain or even strengthen the relationships between them in order to ensure there is a flow of research and evidence to support better regional policymaking and policy implementation. Environmental and Social Standard 2 (ESS2) of the World Bank’s Environmental and Social Framework (ESF) relates to Labor and Working Conditions and requires the Borrower to develop Labor Management Procedures (LMP) as a key instrument to comply with all labor and working standards. The LMP identifies labor requirements and risks and helps the Borrower to determine the resources necessary to address labor issues. The simplified LMP is a living document, which is prepared during project preparation, and is reviewed and updated when necessary. 1.2. Project Development Objective (PDO) The Project Development Objective (PDO) is to establish a sustainable platform to strengthen the capacity for effective policy research and policy making on cross-boundary priorities in Africa. 1.3. Project Components Component 1: Establish capacity to operate a sustainable policymaking platform. This component will develop the capacity of the AUC to create and set up the structures and systems necessary to operate a continent-wide platform that brings together a wide variety of stakeholders to support economic policy making across the region. The component will finance: (a) establishing a secretariat to manage the platform; (b) establishing and maintaining the TTPSC, including its meetings; (c) designing and implementing monitoring and evaluation (M&E) strategies for the platform; (d) establishing mechanisms to draw and learn from lessons during implementation; (e) building and maintaining a network of think 4 tanks, RECs, and policy makers; and (f) organizing meetings of African governments, RECs, and other partners to identify and discuss regional policy challenges. Component 2: Strengthen the quality, relevance and uptake of policy research on priority issues. This component will support activities to improve the quality and relevance of policy research on continental priority issues and facilitate its dissemination and utilization to inform policy making by countries across the continent and beyond. This is expected to be achieved by creating a forum between policy makers and think tanks to develop a shared research and TA agenda, promoting knowledge exchange on regional economic issues, and facilitating greater policy adoption. Activities to be financed will include the following: (a) Creating and maintaining a database of African and global think tanks (including information on number of female professionals at think tanks); (b) Organizing knowledge exchange events (for example, regional conferences, and forums) that convene policy researchers and policy makers to align on policy needs and promote policy uptake and adoption; (c) Facilitating fellowships or secondment programs between governments and think tanks to enhance the research and skill sets of public policy makers and policy researchers, respectively, and narrow the research-policy gap (this will support governments’ own capacity for policy research in addition to strengthening think tanks’ skills in policy implementation); (d) Training and capacity building of policy makers, civil society, and other key stakeholders to develop their research and analytical capabilities; (e) Creating and maintaining a database and online Africa Knowledge Repository of existing policy research conducted across the continent (including collecting and publishing data on a number of research outputs with female authors) to enhance knowledge management; (f) Financing high-quality research on priority issues for the continent and supporting capacity building for think tanks to provide the knowledge and evidence base for regional policy making and policy engagement. Component 3: Support platform sustainability. The objective of this component is to develop the capacity of the AUC to mobilize resources and establish facilities to crowd-in funds from a variety of stakeholders to support the sustainability of the platform and policy research over the long term. It will explore the establishment of both a special fund and an endowment fund to support the sustainability of the platform. These funds aim to provide a facility to pool resources to support the objectives of the platform from diverse donors such as African governments, private sector, foundations, individuals, and institutional donors. Revenues from the endowment fund will eventually flow to the special fund and will be used to finance further research and capacity-building efforts around continental policy making. In addition, the component will support the AUC to identify and undertake innovative resource mobilization activities that can finance research on regional priority issues in a sustainable manner over the long term. The component will finance: (a) recruitment of staff to support regular fundraising for the special fund; (b) design of a resource mobilization strategy to raise funds; (c) studies necessary to establish and operate the endowment fund including feasibility studies; (d) TA to design the special and endowment funds including their statutes, governance, structure and funding strategies and the identification and selection of its fund manager; and (e) seed contribution to the endowment fund in the amount of US$10 million. The special and endowment funds will be effective upon approval by the AU policy organs.1 1 The Assembly of Heads of State and Government and the Executive Council. 5 1.4. Project Geographical Location The African Union Commission is based in Addis Ababa, Ethiopia, from where most activities will be implemented. Think Tanks and other AUC agencies involved in implementation may be located across all member states of the African Union. 1.5. Institutional Arrangements The AU will be the recipient of the IDA financing for the project. Through the AUC, the AU will manage and coordinate all components of the project. Different AUC departments and directorates will be engaged in project implementation according to the project activities and their areas of work. The Partnerships Management and Resource Mobilization (PMRM) Department will host the project’s secretariat, headed by a project coordinator, and will be the central entity tasked with overall project coordination across the participating AUC departments and directorates. It will be responsible for project management and day- to-day project operations, operating the regional platform including organizing the Think Tank Platform Steering Committee (TTPSC) meetings, managing the competitive selection process for think tanks, environmental and social risk management, M&E, and reporting. To support implementation, the PMRM department will establish a technical working group consisting of the portfolio department directorates and specialized agencies involved in the project. The portfolio directorates will align with the priority thematic areas of the project and include those focused on Economic Development, Industry, and Trade (EDIT); Sustainable Environment and Blue Economy (SEBE); Agriculture and Rural Development (ARE); Education, Science, Technology, and Innovation (ESTI); Health and Humanitarian Affairs (HHE); and Infrastructure and Energy (IE). The AUC’s Directorate of Finance will oversee the project’s overall financial management (FM) responsibilities while the Supply Chain Management Division (SCMD) under the Operation Support Service Directorate (OSSD) will be in charge of procurement. The PMRM department will be responsible for mobilizing resources for the proposed special fund and endowment fund upon their establishment. The funds will support and sustain the platform established under the project. It will include support for fundraising efforts for the special fund and endowment fund across diverse donors. In addition, it will recruit a fund manager to invest funds allocated for the endowment. Profits from the investments under the endowment fund will feed into the special fund, which will be used to finance the platform and its activities, including grants to a larger number of think tanks. Through the project, the AUC will strengthen the capacity of other specialized agencies of the AU so that they can contribute to running the platform. In particular, specialized agencies, including the ACBF and the AUDA, have a long history of building the capacity and working with think tanks on policy issues across the continent. These agencies will support the project’s secretariat to (a) contribute to the development of the policy research agenda; (b) implement capacity-building activities for think tanks; (c) facilitate fellowships or secondment programs between governments and think tanks; (d) organize and facilitate knowledge exchange events; (e) create and maintain databases of think tanks and existing policy research; (f) build capacity of policy makers, civil society, and other key stakeholders; and (g) collaborate on selected research activities. A TTPSC will be established to provide strategic direction, guidance, and oversight as well as facilitate continental ownership of the project. The TTPSC will have pan-African representation including representatives from the AUC, RECs, other relevant regional bodies, private sector, development partners that support AUC and academia. The TTPSC will be the highest decision-making body within the 6 institutional structure of the project. It will advise on continental priorities; assess and support the coherence of the project with such priorities; advocate for and facilitate regional collaboration on priority policy issues; endorse the selection of the beneficiary think tank consortia; provide high-level guidance on think tanks’ institutional annual work plans; and review the implementation progress of the project, including the performance of beneficiary institutions, to ensure achievement of the PDO. The TTPSC is expected to meet twice a year. The think tanks selected competitively under the project will organize as consortia and have a lead think tank to coordinate implementation. Each think tank in the selected consortia will receive funding from the AUC for the implementation of the consortia’s proposals via a Partnership Performance Agreement (PPA) based on annual work plans. The PPAs will define the responsibilities and obligations of each think tank and elaborate on reporting requirements and frequencies (a template of the PPA will be included in the POM). The annual work plan and associated budget of each member think tank will be coordinated by the respective lead think tank and aggregated into an annual work plan and budget (AWP&B) for the whole consortium. This aggregated AWP&B will be discussed with the AUC and agreed with the TTPSC each year. Each lead think tank will also be required to provide a short narrative report on progress against the consortium’s annual work plan and results framework at the end of each year of the project. Each think tank will be responsible for institutional-level FM, procurement, environmental and social standards compliance, monitoring, and evaluation. Each think tank will be required to establish an implementation team led by a think tank coordinator and comprises relevant staff to manage institutional-level project implementation. STCs will work closely with the beneficiary think tanks within their thematic area to provide technical expertise on their research agenda and policy development. The STCs provide technical advice to the AUC, Executive Council, and other AU organs on (a) trade, industry, and minerals; (b) agriculture, rural development, water, and environment; (c) finance, monetary affairs, economic planning and integration; and (d) transport, communications, and tourism. The committees are responsible for identifying policy priorities and developing policies and programs and facilitating the exchange of best practices, knowledge, and experiences among the AU member states. Given their technical expertise and important role in policy development and knowledge exchange on the continent, the STCs will work in close collaboration with the selected think tanks, for example, to develop research agenda and facilitate the flow of knowledge between researchers and policy makers. 1.6. Overview of labor use for the Project Direct workers Direct workers include all staff dedicated to the management of the Project, which sum up to about 10 staff in the AUCs Director General’s Office and its thematic departments. It is expected that direct workers will also include independent consultants, who are specialized in certain disciplines. These consultants will be hired under individual contracts, on a part-time basis, with specific definition of the assigned tasks and responsibilities. It is estimated that the total of direct workers will reach 20 workers depending on the project phase. Direct workers will also include staff of the different AUC departments that will be assisting project implementation, e.g., the Office of the Director-General, and the Directorate of Programming, Budget, Finance and Accounting (PBFA). Staff in these departments will amount to approximately 10 direct workers. 7 Contracted workers Contracted workers will be recruited for the implementation of different activities under components 2 and 3. Under component 2, contracted workers will constitute the Think Tanks, which will be selected from various African countries. Under component 3, contracted workers will be from a firm/organization that will be hired to conduct studies for the establishment of the endowment fund and feasibility studies. 1.7. Overview of Labor Risks Key labor risks are associated with health and safety, including risks related to direct and contracted workers' travel for project activities, as well as OHS-related risks in office work. OHS risks linked to the travel of consultants and researchers to and around the region encompass site visits required for assessments, research, and stakeholder consultations. Risks associated with travel include fatigue, working in hot climates, lack of security, conflict and conflict-related violence, potential attacks by wild animals, and traffic accidents. Other labor risks involve non-compliance with Ethiopia's or other national labor standards and laws, as well as ESS2. Examples of non-compliance include failure to adhere to terms and conditions of the contract, workplace discrimination, limited opportunities for women, disregard for the role of workers' organizations, and the absence of a workers' Grievance Redress Mechanism (GRM). Additionally, there are risks related to Sexual Exploitation and Abuse (SEA) and Sexual Harassment (SH) at the workplace or involving beneficiaries or contractors. This LMP provides procedures for addressing these labor-related issues. Furthermore, specific OHS procedures addressing OHS risks will be prepared and integrated into the Project Operation Manual. This encompasses guidelines for the use of electricity and electrical equipment, fire safety protocols, housekeeping procedures, workplace first aid and medical care, workers' orientation and training, access and egress, as well as incident investigation and reporting. 2. Overview of Relevant Legislation Since the PMRM Directorate and the other AUC Departments that will contribute to Project implementation are located in Addis Ababa, the most relevant legislation is the Ethiopian labor legislations. However, as other implementing partners (e.g., think tanks, contractors and AU specialized agencies) located in other countries on the continent, may be funded by the project, the respective labor laws in their countries will apply. These cannot all be listed here and think tank countries are also not known at this point. Yet, wherever a country’s labor legislation is not in line with the World Bank’s ESS2, the more stringent standards will apply. 8 2.1. Ethiopian Labor Legislation Labor Law The following terms and conditions apply for workers as per the Government of Ethiopia Labor Laws: ➢ Labor Proclamation No. 377/2003 ➢ Labor Proclamation No.1156/2019 (does not replace, Labor Proclamation No. 377/2003, but complements). ➢ Proclamation No. 632/2009, Employment Exchange Service Proclamation ➢ Proclamation No. 568/2008, Right to Employment of Persons with Disability In case of variations between the national legislation and ESS2, the ESS will prevail. The Labor Proclamation No. 1156/2019 includes the following: ➢ To ensure that worker-employer relations are governed by basic principles of rights and obligations; ➢ To establish a system that guarantees the rights of workers and employers to freely establish associations and to engage, through their duly authorized representatives, in social dialogue and collective bargaining, as well as to draw up procedures for the expeditious settlement of labor disputes; ➢ To create a favorable environment for investment and achievement of national economic goals without challenging fundamental workplace rights by ensuring labor administration; and determine the duties and responsibilities of governmental organs entrusted with the power to monitor labor conditions; occupational health and safety; and environmental protection together with bilateral and tripartite social dialogue mechanisms; political, economic and social policies of the country. Provisions Related to Women The Labor Proclamation 1156/2019 recognizes benefits addressing the special needs of women, including provisions related to maternity leave and sexual harassment and violence. A provision acknowledging affirmative action to women is also included, for example in soil and water conservation activities due to the high burden of works on women, the project should provide a shorter workday for women. Furthermore, women candidates who score equal points with men should have priority in competition for employment, promotion and related opportunities. The Labor Proclamation of Ethiopia, 1156/2019, article 87 and 88 state provisions on the working conditions of women. ➢ Women shall not be discriminated against in all respects on the basis of their sex. Without prejudice to the generality of this provision, priority shall be given to women if they get equal result with men when competing for employment, promotion or any other benefit. ➢ No pregnant woman shall be assigned to night work between 10 p.m. and 6 a.m. or be assigned overtime work. ➢ Women shall be transferred to another place of work if their job is hazardous to her health or to the fetus as ascertained by a physician. ➢ An employer shall not terminate the contract of employment of women during her pregnancy and until four months after her confinement. 9 Rest The working hours are eight hours a day with a maximum of 48 hours a week. The workers have a weekly rest period consisting of not less than twenty-four non-interrupted hours in the course of each period of seven days, mainly on Sunday. The weekly rest period shall be calculated as to include the period from 6 a.m. to the next 6 a.m. Where the nature of the work or the service performed by the employee is such that the weekly rest cannot fall on a Sunday another day may be announced as weekly rest day as a substitute. The workers have also entitled for public holiday with pay. Wages The Labor Proclamation requires the employers to pay wages in cash on a working day at the workplace unless otherwise agreed. In case, date of payment (where already decided) falls on a weekly rest day or public holiday, the wages are paid on the preceding workday. Wages are paid directly to the worker or to the person authorized by the worker. Wages may be paid in kind but may not exceed the local market value, and in no case may exceed 30% of the wages paid in cash. An employer is under the obligation to pay the worker wages and other emoluments in accordance with this law or the collective agreement. Wages are to be paid at such intervals as required under the national law, collective agreement or employment contract. As per Labor Proclamation No. 1156/ 2019, a Regulation of the Council of Ministers shall determine the powers and responsibilities of a Wage Board, which shall comprise representatives of the Government, employees and trade unions together with other stakeholders that will periodically revise minimum wages based on studies, which take into account the country’s economic development, labor market and other considerations. An employer is not allowed to make deductions from wages except where it is provided by the law or collective agreement or work rules or is in accordance with a court order or a written agreement with the worker. The amount of deduction must not exceed one-third of the monthly wages of the worker. Leave Proclamation 1156/2019, Article 76-86 stipulates that every worker is entitled to annual leave after completing one year of continuous service with full pay as follows: Every worker is entitled for sixteen (16) working days of annual leave for the first year of service; where, plus one working day for every additional two years’ service. Article 7 Sub article (5) of the proclamation states that, where the length of service of a worker is below one year, the worker shall be entitled to an annual leave proportional to the length of his service. The Proclamation provides for paid sick leave for up to 6 months on completion of the probation period if sickness is certified by a qualified doctor. A worker is entitled to sick leave if he/she is incapable of working due to sickness other than resulting from occupational injury. A worker must inform the employer about his/her absence due to sickness and provide a medical certificate issued by a medical organization recognized by the Government. The employer will provide paid sick leave as follows: 100% of wages during the first month of sick leave; 50% of wages during the second & third months of sick leave; and unpaid leave from four to sixth months. 10 Benefits in the Case of Employment Injuries Proclamation 1156/2019 declares that where a worker sustains an employment injury, the employer shall cover the following expenses: general and specialized medical and surgical care; hospital and pharmaceutical care and any necessary prosthetic or orthopaedic appliances. A worker who has sustained employment injury shall be entitled to: periodical payment while he/she is temporarily disabled; disablement pension or gratuity or compensation where he sustains permanent disablement and survivors' pension or compensation to his dependent when he/she dies. Occupational Health and Safety The Ethiopian Labor Proclamation number 1156/2019 requires the employer to have an obligation to safeguard workers from accidents and injuries. The proclamation also requires that the employer provides regular health services including during worker injury and sickness. The Ethiopia labor proclamation No.1156/2019 safety procedures provide provisions on occupational health and safety and apply to workers. Ethiopia Constitution (1995) under Article 42/2 stated the Rights of Labor as “workers right for healthy and safe work environment�. There are further different frameworks on OHS, which include: the National Occupational Health Policy and Strategy, Occupational Health and Safety Directive (2008), Occupational Health and Safety Policy and Procedures Manual, and On Work Occupational Health and Safety Control Manual for Inspectors (2017/18). OHS promotion is also included as priority in the National Health Policy Statement (1993). The Ministry of Labor and Skills and its regional counterparts are responsible for OHS at Federal and Regional levels. MoLS has an OHS & Working Environment Department responsible for OHS responsibilities. Each administrative region has an OHS department within the Labor and Skills Bureau with the responsibilities of inspection services. Further, proclamation 1156/2019 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 are outlined on Labor Proclamation 1156/2019 Part Seven, from Article 92-112. In the new Proclamation of Ethiopia, Occupational Safety, Health and Working Environment the following are indicated under Obligations of an Employer and an employee respectively. ➢ Comply with the occupational health and safety requirements provided for in this Proclamation; ➢ Take appropriate steps to ensure that workers are properly instructed and notified concerning the hazards of their respective occupations; and assign safety officer; and establish an occupational health and safety committee; ➢ Provide workers with protective equipment, clothing and other materials and instruct them of their use; ➢ Register employment accidents and occupational diseases and report same to the project coordination unit; ➢ Arrange, according to the nature of the work, at his own expense for the medical examination of newly employed workers and for those workers engaged in hazardous work, as may be necessary with the exception of HIV/AIDS unless and otherwise the country has obligation of international treaty to do so; 11 ➢ Ensure that the workplace and premises of the undertaking do not pose threats to the health and safety of workers; ➢ Take appropriate precautions to ensure that all the processes of work in the undertaking shall not be a source or cause of physical, chemical, biological, ergonomic and psychological hazards to the health and safety of the workers. 2.2. World Bank Environmental and Social Standard 2 The World Bank's requirements related to labor are described in ESS2 on Labor and Working Conditions. ESS2 recognizes that by ensuring that Project workers are treated fairly, with safe and healthy working conditions, borrowers can promote strong relationships between workers and employers and leverage the benefits of developing a project. The main objectives of ESS2 are to: ➢ Promote safe and healthy working conditions; ➢ Promote fair treatment, non-discrimination, and equal opportunity for project workers; ➢ Protect project workers, including vulnerable categories of workers such as women, individuals with disabilities, children (of working age in accordance with this ESS) and migrant workers, contract workers, community workers, and primary supply workers; ➢ Avoid the use of all forms of forced and child labor; ➢ Support the principles of freedom of association and collective bargaining of project workers in a manner consistent with national law; and ➢ Provide accessible means for project workers to raise workplace concerns. The scope of application of ESS2 depends on the type of employment relationship between the borrower and project workers. The term "project worker" includes direct workers and contracted workers. Working conditions and labor relations. Terms and conditions of employment, which define hiring requirements, wage payments, termination of contract among others shall be in written and explicit form; non-discrimination and equal opportunities, hiring of project workers will be based on the principle of equal opportunities and fair treatment, and there will be no discrimination with respect to any aspects of the employment relationship; workers' organizations, respecting the role of legally established workers' organizations (associations, unions) and legitimate workers' representatives, who will receive the information necessary to conduct meaningful negotiations in a timely manner. Grievance mechanism. Ensure that a grievance mechanism is provided to all direct or contract workers to address workplace concerns. Occupational Health and Safety (OHS). All parties employing or contracting project workers will develop and implement procedures to establish and maintain a safe work environment, including ensuring that workplaces, machinery, equipment and processes under their control are safe and without risk to health, including through the use of appropriate protective measures with respect to physical, chemical and biological substances and agents. The following is a summary of OHS measures set out in ESS2: ➢ identification of potential hazards to project workers, particularly those that may be life threatening; 12 ➢ provision of preventive and protective measures, including modification, substitution, or elimination of hazardous conditions or substances; ➢ training of project workers and maintenance of training records; ➢ documentation and reporting of occupational accidents, diseases and incidents; ➢ emergency prevention and preparedness and response arrangements to emergency situations; and ➢ remedies for adverse impacts such as occupational injuries, deaths, disability and disease. The PMRM Directorate will include into the bidding documents specific OHS standard requirements that all contractors will meet under this project. The PMRM Directorate and all implementers will establish and maintain a safe working environment, including that workplaces and equipment and processes under their control are safe and without risk to health. Measures to Counter Discrimination: In compliance with the Labor Proclamation and ESS 2, the employment of project workers will be based on the principles of non-discrimination and equal opportunity. There will be no discrimination with respect to any aspects of the employment relationship, such as recruitment, compensation, working conditions and terms of employment, access to training, promotion or termination of employment. The following measures will be developed by the contractors and monitored by the project team to ensure fair treatment of all employees: ➢ Recruitment procedures will be transparent, public and non-discriminatory with respect to ethnicity, religion, sexual orientation, disability, gender, and other grounds. ➢ Applications for employment will be considered in accordance with the application procedures established by the Contractor/company. ➢ Clear job descriptions will be provided in advance of recruitment and will explain the skills required for each post. ➢ All workers will have written contracts, in an appropriate language,describing terms and conditions of work and will have the contents explained to them. Workers will sign the employment contract. Terms and conditions of employment will be available. 3. Responsibilities The PMRM Directorate will be responsible for the following tasks: ➢ Ensure that contractors/implementers responsible for research, TA or other activities comply with these LMP; ➢ Monitor that the contractors/implementers meet obligations towards contracted workers as included in the General Conditions of Contract the World Bank Standard Bidding Documents, and in line with ESS2 and the national labor code; ➢ Monitor implementation of LMP by of contractors/implementers; ➢ Ensure that GRM for project workers are established and monitor their implementation; and ➢ Monitor implementation of the workers’ Code of Conduct. The contractors/implementers will be responsible for the following: ➢ Implement project-specific LMP, OHS Plans, SEA/SH actions and mitigation measures; ➢ Maintain records of recruitment and employment process of contracted workers; ➢ Communicate clearly job description and employment conditions to contracted workers; ➢ Implement workers’ GRM; 13 ➢ Have a system for regular review and reporting on labor, SEA/SH prevention and mitigation and OHS performance; ➢ Ensure that all contracted workers understand and sign the Code of Conduct prior to the commencement of works. Note: Once the bidding process is completed and the contractors are known, these labor management procedures can be updated to include additional details about contractors or implementers, as necessary. 4. Policies and Procedures 4.1. General Policies and Procedures All employers with labor assigned must: ➢ Know and comply with the legal provisions regarding employment and labor, and technical and regulatory standards in force; ➢ Know and comply with the laws regarding the health and safety of workers; ➢ Have a department, sector or personnel responsible for human resources management and labor relations; ➢ Document and provide each worker, upon being hired, in a clear and understandable manner, with information regarding their rights under labor legislation, including rights to wages and benefits; ➢ Respect the terms of collective agreements and the right to organize freely; and ➢ Document, disseminate and keep visible to workers: − The Code of Conduct − The channels for filing labor and employment complaints − Internal regulations or similar documents that clarify: hours (in, out and daily breaks); weekly and monthly workload, requirements for overtime benefits, weekly rest and vacation entitlements, sanctions in place (e.g. in case of unjustified absence), etc... ➢ In accordance with the principle of equal opportunity, gender promotion, and fair treatment, do not do and do not tolerate discrimination in any aspect of the employment relationship (recruitment, hiring, compensation, working conditions and terms of employment, training, promotion, contract termination, and discipline). ➢ Provide an easily accessible complaint mechanism for workers, independent of other legal remedies, to express their concerns about working conditions, with a guarantee of feedback to complainants, without any retaliation. 4.2. Occupational, Health and Safety Policies and Procedures All employers with labor assigned must: ➢ Provide workers with a safe and healthy work environment that takes into account the inherent risks of their particular sector and the specific hazard classes of work areas; ➢ Take steps to prevent accidents and illness resulting from, associated with, or occurring during the course of work, for example travel, in accordance with good practices that include: identifying potential hazards to workers, especially those that may be life-threatening; ➢ Make available preventive and protective measures; ➢ Document and publicize accidents, occupational illnesses and incidents; 14 ➢ Have an organization for emergency prevention, preparedness and response; ➢ Promoting awareness/awareness campaigns on HIV/AIDS, and sexually transmitted infections (STIs) and making condoms available free of charge to direct and indirect employees of the works; ➢ Raise awareness of SEA/SH among all workers to disseminate risks and preventive actions, ways to support and ensure a fully operational GRM (see Stakeholder Engagement Plan - SEP) that responds confidentially to incidents and uses a survivor-centered approach with safe and ethical reporting standards 4.3. Incident Investigation and Reporting Accidents can be prevented by following proper accident investigation and reporting procedures. When accidents occur, businesses should follow specific processes to ensure an effective investigation and report. Accident Investigation and Reporting procedures are crucial for implementing appropriate safety measures in the workplace and resolving workplace safety and liability issues. Typically, investigations include incidents involving injuries, fatalities, loss of time, or significant damage to company property or equipment. Procedures for investigating and reporting incidents may include: • Reporting the incident to the officer in charge and relevant regulatory authorities. • Securing the scene of the accident. • Gathering information promptly from witnesses and other sources, such as CCTV footage. • Analyzing the facts and sequence of events to identify actions, inactions, or conditions that contributed to the accident. • Preparing a written report detailing the investigation findings. • Developing and implementing corrective actions to prevent similar accidents in the future. • Reviewing the entire process to identify areas for improvement. The project's ES Focal person will be responsible for reporting incidents and accidents. Any reportable incident should be promptly reported to the World Bank within 24-48 hours. Further investigation and reporting will be conducted by AUC upon request from the World Bank. 4.4. Code of Conduct A code of conduct for workers and employers should be applied for all project workers, emphasizing labor, health and safety, environmental and social issues, including SEA/SH. The obligations of the code should apply to all Project workers. The Code of Conduct should be a summary document, written in simple language. It should be available in English. The individual code should be signed by each direct and contracted worker, preferably at the signing of the contract, and a copy kept by both parties. By signing the Code of Conduct, the worker confirm that he/she: ➢ Received a copy of the Code; ➢ Have had an explanation of the Code; 15 ➢ Recognize that adherence to this Code of Conduct is a condition of working on the project; ➢ Recognize that violations of the Code may result in serious consequences, up to and including ➢ dismissal or referral to legal authorities 4.5. Workers’ Grievance Redress Mechanism Potential workers’ grievances include demand for employment opportunities; labor wages rates and delays of payment; disagreement over working conditions; and health and safety concerns in work environment. Handling of grievances should be objective, prompt and responsive to the needs and concerns of the aggrieved workers. Different ways in which workers can submit their grievances to their employer should be allowed, such as submissions in person, by phone, text message, mail and email. The grievance raised should be recorded and acknowledged within one day by the employer/contractor. While the timeframe for redress will depend on the nature of the grievance, health and safety concerns in work environment or any other urgent issues should be addressed immediately. Where the grievance cannot be addressed within a reasonable timeframe, the aggrieved worker should be informed in writing, so that the worker can consider proceeding to the national appeal process. The mechanism will also allow for anonymous complaints to be raised and addressed. Individuals who submit their comments or grievances may request that their name be kept confidential. Direct workers The PMRM Directorate and AUC Departments, where all the direct workers are concentrated will adopt and operate the existing AUC workers grievance mechanism. Workplace concerns will be addressed in line with the provisions of the AUC Staff Rules and Regulations, and relevant state labor laws, and in a manner consistent with ESS2 for Project workers. Grievances raised by workers will be recorded, along with the actions taken by the PMRM Directorate. A summary of grievance cases will be reported to the World Bank as part of the regular report. If the aggrieved direct worker wishes to escalate their issue or raise their concerns anonymously and/or to a person other than their immediate supervisor/hiring unit, the worker may raise the issue with responsible authorities, where relevant. Contracted workers All entities contracted under the project will be required to have a formal grievance procedure that is known to and explained to their employees. The recommended elements of such a procedure are: a) Specify to whom the employee should lodge the grievance. b) Refer to time frames to ensure the grievance is dealt with expeditiously. c) Allow the person to refer the grievance to a more senior level within the organization if it is not resolved at the initial level. d) If a grievance is not resolved, the employee has the right to lodge a dispute with the PMRM Directorate. All contractors engaged for the program will be required to present their grievance procedure as a requirement for tender, which should comply with these minimum requirements. Additionally, good international practice recommends that the procedures be transparent, confidential, adhere to non- retribution practices, and include the right to representation. After contractors are engaged, they will be required to provide proof that each employee has been inducted and has signed to confirm that they have been briefed on the procedure. 16 Grievances related to SEA/SH To avoid the risk of stigmatization, exacerbation of the mental/psychological harm and potential reprisal, the grievance mechanism shall have a different and sensitive approach to SEA/SH related cases. Where such a case is reported, the grievance recipient will be responsible for the recording and registration of the complaint. A GRM operator cannot reject a SEA/SH complaint. All potential first recipients of SEA/SH cases will be trained in the guidelines for empathetic, non-judgmental listening to a survivor when recording a complaint. Confidentiality: All grievance recipients and anyone handling the GBV/SEA/SH related grievances must maintain absolute confidentiality in regard to the case. Maintaining confidentiality means not disclosing any information at any time to any party without the informed consent of the person concerned. There are exceptions under distinct circumstances, for example a) if the survivor is an adult who threatens his or her own life or who is directly threatening the safety of others, in which case referrals to lifesaving services should be sought; b) if the survivor is a child and there are concerns for the child’s health and safety. The survivors needs to be informed about these exceptions. Informed Consent: The survivor can only give approval to the processing of a case when he or she has been fully informed about all relevant facts. The survivor must fully understand the consequences of actions when providing informed consent for a case to be taken up. Asking for Consent means asking the permission of the survivor to share information about him/her with others, and/or to undertake any action (for instance investigation of the case). Under no circumstances should the survivor be pressured to consent to any conversation, assessment, investigation or other intervention with which she does not feel comfortable. A survivor can also at any time decide to stop consent. Where possible, the consent form can be used (in cases of direct person-to-person reporting). By signing this form survivor can formally agree (or disagree) with the further processing of the case. The form will clearly state how information will be used, stored and disseminated. If a survivor does not consent to sharing information, then only non-identifying information can be released or reported on. All reporting will limit information in accordance with the survivor’s wishes regarding confidentiality and in case the survivor agrees on further reporting, information will be shared only on a need-to-know-base, avoiding all information which may lead to the identification of the survivor and any potential risk of retribution. Data on SEA/SH cases recorded will only include the nature of the complaint (what the complainant says in her/his own words), whether the complainant believes the perpetrator was related to the project and additional demographic data, such as age and gender, will be collected and reported, with informed consent from the survivor. If the survivor does not wish to file a formal complaint, referral to available services will still be offered even if the complaint is not related to the project, that referrals will be made, the preference of the survivor will be recorded and the case will be considered closed. Referrals are a process through which the survivor gets in touch with professionals and institutions regarding the case. Services can include health, psycho-social, security and protection, legal/justice, and economic reintegration support. The grievance recipient will instantly provide the survivor with contacts of the available referral services in the respective area. If the survivor wishes for any assistance with transport or payment for services, the grievance recipient will provide allowances. Referral services are 17 provided even in cases, where the survivor opts to not pursue the case through the GRM or through legal channels. Where the SEA/SH grievance was allegedly committed by a project worker, the grievance will be reported to the employing agency. The Project’s Social Specialist will follow up and ensure that the violation of the Code of Conduct is handled appropriately, e.g. the worker is removed from his or her position and employment is ended. The responsibility to implement any disciplinary action lies with the employer of the perpetrator, in accordance with local labor legislation, the employment contract, and the code of conduct. 4.6. Contractors’ Management The Project will use the Bank’s 2020 Standard Procurement Documents (SPD) for solicitations and contracts, and these include labor and occupational, health and safety requirements. As part of the process to select contractors/implementers who will engage in research, TA and assessments, the PMRM Directorate will review the following information: ➢ Information in public records (examples: violation of applicable labor laws, public inspection from the enforcement agencies; ➢ Business licenses, registrations, permits, and approvals; ➢ Documents relating to a labor management system; ➢ Records of legally required workers benefits and proof of workers’ enrolment in related programs; Workers payroll records, including hours worked and pay received; and ➢ Copies of previous contracts with contractors and suppliers, showing inclusion of provisions and terms reflecting requirements of ESS2. The contracts will include provisions related to labor and occupational health and safety, as provided in the World Bank SPD and Ethiopian law. The PMRM directorate will manage and monitor the performance of contractors/implementers in relation to contracted workers, focusing on compliance by contractors with their contractual agreements (obligations, representations, and warranties). This may include periodic audits of labor management records and reports compiled by contractors/companies. Contractor’s labor management records and reports may include: (a) a representative sample of employment contracts or arrangements between third parties and contracted workers; (b) records relating to grievances received and their resolution; and (c) records relating to incidents of non-compliance with the respective national laws. 18 ANNEX 1: SAMPLE CODE OF CONDUCT The Code of Conduct should be written in plain language and signed by each worker to indicate that they have: ▪ received a copy of the code; ▪ had the code explained to them; ▪ acknowledged that adherence to this Code of Conduct is a condition of employment; and ▪ understood that violations of the Code can result in serious consequences, up to and including dismissal, or referral to legal authorities. To Be Signed by All Employees and Any Personnel thereof. I, _________________________ agree that in the course of my association with the Employer, I must: • treat children and women with respect regardless of race, color, gender, language, religion, political or other opinion, national, ethnic or social origin, property, disability, birth or other status; • not use language or behavior towards children and women that is inappropriate, harassing, abusive, sexually provocative, demeaning or culturally inappropriate; • not engage children under the age of 18 in any form of sexual intercourse or sexual activity (other than in the context of legal unions that took place between parties under the laws of the country), including paying for sexual services or acts; • Not engage sexually with any woman, in a situation, without mutual consent • Wherever possible, ensure that another adult is present when working in the proximity of children; • Not invite unaccompanied children into my place of residence, unless they are at immediate risk of injury or in physical danger; • Not invite women into my place of residence if this is not acceptable by the code of ethics of the company; • Not sleep close to unsupervised children unless absolutely necessary, in which case I must obtain my supervisor’s permission, and ensure that another adult is present if possible; • Use any computers, mobile phones, video cameras, cameras or social media appropriately, and never to exploit or harass children or access child exploitation material through any media; • Not use physical punishment on children and women; • Not hire children for domestic or other labor, which is inappropriate given their age or developmental stage, which interferes with their time available for education and recreational activities, or which places them at significant risk of injury; • Comply with code of ethics of the company and all relevant local legislation, including labor laws in relation to child labor and behavior; • Immediately report concerns or allegations of child and women exploitation and abuse and policy non-compliance in accordance with appropriate procedures; • Immediately disclose all charges, convictions and other outcomes of an offence, which occurred before or occurs during my association with the Employer that relate to child exploitation and abuse. When photographing or filming a child or using children’s images for work-related purposes, I must: • Assess and endeavor to comply with local traditions or restrictions for reproducing personal images before photographing or filming a child; 19 • Obtain informed consent from the child and parent or guardian of the child before photographing or filming a child. As part of this I must explain how the photograph or film will be used; • Ensure photographs, films, videos and DVDs present children in a dignified and respectful manner and not in a vulnerable or submissive manner. Children should be adequately clothed and not in poses that could be seen as sexually suggestive; • Ensure images are honest representations of the context and the facts; • Ensure file labels, meta data or text descriptions do not reveal identifying information about a child when sending images electronically or publishing images in any form; I understand that the onus is on me, as a person associated with the Employer, to use common sense and avoid actions or behaviors that could be construed as child exploitation and abuse. Signed: Date: 20