The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) Concept Environmental and Social Review Summary Concept Stage (ESRS Concept Stage) Public Disclosure Date Prepared/Updated: 01/27/2022 | Report No: ESRSC02478 Jan 27, 2022 Page 1 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) BASIC INFORMATION A. Basic Project Data Country Region Project ID Parent Project ID (if any) Ethiopia AFRICA EAST P177655 Project Name Ethiopia Land Management and Urban Upgrading Project Practice Area (Lead) Financing Instrument Estimated Appraisal Date Estimated Board Date Urban, Resilience and Investment Project 12/5/2022 3/17/2023 Land Financing Borrower(s) Implementing Agency(ies) Federal Democratic Ministry of Urban Republic of Ethiopia Development and Infrastructure Proposed Development Objective Public Disclosure To strengthen integrated land management practices and improve access to urban infrastructure and services for targeted urban slums in Ethiopia Financing (in USD Million) Amount Total Project Cost 400.00 B. Is the project being prepared in a Situation of Urgent Need of Assistance or Capacity Constraints, as per Bank IPF Policy, para. 12? No C. Summary Description of Proposed Project [including overview of Country, Sectoral & Institutional Contexts and Relationship to CPF] The project is expected to include four key components, with the key technical components integrated across two key pillars of land management and urban upgrading: Component 1 - Strengthen policy, institutions, systems, and capacity for land management and slum upgrading. The objective of this component would be to provide the foundation for improved land management and slum upgrading through investments in IT and targeted spatial data, policy and institutional reform, and capacity building. Jan 27, 2022 Page 2 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) 1.1. National infrastructure investment, reforms, and capacity building: This sub-component would finance targeted IT and geodetic infrastructure investments (upgrade and integrate IT systems, and improve geodetic networks), technical assistance for national policy and institutional reform and development, and capacity building for improved and integrated land management and slum upgrading. For the mainstreaming of slum upgrading approach, it would also support the institutional strengthening, policy and strategy development for slum upgrading and prevention, and capacity building of federal government agencies. Interagency coordination would be also supported under this sub- component including an institutional analysis to identify the nature of support needed to facilitate interagency coordination vertically and horizontally. 1.2. Local infrastructure investment, reforms, and capacity building: This subcomponent would finance targeted spatial data infrastructure investments (upgrade and integrate existing Land Information Systems (LIS) and establish new geodetic control points and procure ortho-imagery and update base maps) and capacity building to improve land management ICT and geodetic infrastructure and build capacity at the local (regional/city) level. It would also finance goods and technical assistance to support selected local governments for the slum upgrading sub-projects throughout the project cycle, from the planning, design, and community engagement, to operations and maintenance. Technical assistance on municipal financing, territorial development strategy for slum prevention would be supported. Component 2 - Improve resilient infrastructure, services and tenure security for poor communities. The objective of this component would be to support access to infrastructure and services in selected slum settlements and improved tenure security, and all three sub-components would be packaged to support the same cities and slum settlements. Public Disclosure 2.1. Improve physical and social infrastructure: This sub-component would finance construction and rehabilitation of, inter alia, trunk and tertiary infrastructure and social infrastructure, e.g., roads, footpaths, streetlights, drainages, public/green spaces, daycare, health clinics, community facilities. 2.2. Enhance tenure security of urban residents: This sub-component would finance IT infrastructure (digitize and organizing existing land records), hardware and software investments to implement systematic land parcel mapping, rights recognition, and registration, and technical assistance to design and implement innovative pilots to ensure all legitimate land use rights are recognized and recorded. 2.3. Socio-economic inclusion: This sub-component would support socio-economic needs assessments for selected slums and provision of needed support, tailored to the communities, e.g., for crime and violence prevention, gender equality, linking youth to job opportunities, etc. Component 3 – Project management. This component will support the operation of the project implementation units (PIUs), coordination among stakeholders, fiduciary and safeguards management, monitoring and evaluation, training, and studies for the preparation of subsequent phases. Component 4 – Contingent Emergency Response Component (CERC). This component will allow for rapid reallocation of funding between project components in case of an emergency (such as natural and man-made disasters, conflicts, epidemics, and economic shocks). Jan 27, 2022 Page 3 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) Land management approach. Based on the locally agreed practices and the World Bank’s global experience with land tenure and land administration projects, the following approaches will be applied to the project design for land activities: a. Urban land-focused with harmonized urban-rural approach: The project will primarily focus on urban and peri-urban areas for land tenure strengthening (Sub-Component 2.1) while using an integrated approach with rural lands for legal and institutional strengthening and capacity building activities (Sub-Components 1.1 and 1.2). b. Fit-for-purpose approach to land administration: Activities will be designed for the purpose of managing current land issues in an affordable, flexible and reliable way using a participatory and inclusive approach (e.g., use of the general boundary concept, high-resolution imageries, para-surveyors). c. Systematic coverage of all urban parcels: The project would include both public and private land use rights using a systematic approach to reduce time and costs. d. Locally appropriate and innovative approaches: The project aims to enhance tenure security along a continuum of rights by piloting improvements to the existing rights creation and registration procedures. e. Consistent and scalable approach: The technical approaches should build on existing pilots/experiences and be compatible with the existing technology infrastructure to maximize synergies and scaling up. f. Financially/technically sustainable development approach: All systems/processes to be implemented should be designed with long-term sustainability in mind, including the financial and human resources needed to maintain the intervention/infrastructure. Slum upgrading approach. Considering the local context and the World Bank’s global experience with slum upgrading projects, key principles of slum upgrading are agreed: (i) A nationwide program approach, tailored to the local Public Disclosure context, (ii)Scaling up using a phased approach, starting with pilots, (iii) A participatory approach, (iv) Climate, disaster-resilient investment, and (v) Minimizing resettlements. Proposed Geographic Scope/Selection Criteria. For the Component 2 and 3 engagements, a preliminary list of selection criteria was discussed with the GoE and will be further prioritized based on the available data during the Project preparation. The preliminary list is the following: a. Selection criteria for Cities: regional equity, city size, city population, slum population, slum location (within the city administrative boundary), size of slums and density, poverty level, level of access to basic services, environmental hazards (hazard map in place), proximity to spatial data infrastructure, readiness for land registration, commitment of local government and community (need to be elaborated further by government team), potential economic impacts, and demonstration effects. b. Selection criteria for slum settlements: settlement density, size of slums (area and number of parcels), poverty level, hazards, tenure status, demand and readiness for land registration, proximity to trunk infrastructure, leadership and community commitments. D. Environmental and Social Overview D.1. Detailed project location(s) and salient physical characteristics relevant to the E&S assessment [geographic, environmental, social] Ethiopia is characterized by a complex and varied topography with large spatial variations in terrain, rainfall, and climate. Ethiopia is highly vulnerable to environmental degradation mainly due to unwise use of natural resources and poorly planned development projects, prompted by rapid population growth. The major environmental issues affecting Ethiopia are soil erosion and land degradation, deforestation and forest degradation, water scarcity, Jan 27, 2022 Page 4 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) biodiversity loss, and various types of pollution (Daley, 2015). Literature and experience witness that poorly planned development endeavors and unwise use of natural resources have threatened and deepened Ethiopia’s past economic, environmental, and social status. Although the cause for Ethiopia’s environmental degradation is, in general, diverse, and interlinked; poverty, population growth, coupled with the lack of relevant scientific knowledge, inconsistency on institutional level, non-existence of complementarities between institutions, are among the major drivers of environmental degradation of the country (Adugna, 2016). The project will be implemented in selected urban centers as well as peri-urban and an integrated approach with rural areas of Ethiopia. Urbanization is on the rise in Ethiopia. So is its related pollution. On the contrary, the waste management system is either very old or does not properly function. The major problems in solid waste managements in urban centers encompass the poor infrastructure, lack of properly designed collection route system and time schedule; lack of proper collection and emptying containers, insufficient truck and poor maintenance, unacceptable condition of the final dumpsite, and the absence of waste reduction, recycling and composting (Safege- Ethiopia National Environment Pollution Report, 2016). The Project activities (especially those to be financed under component 2) could worsen these environmental and social challenges unless an appropriate arrangement is put in place to manage the risks such as wastes that could be generated during construction/operation phase of the activities to be financed by the project. D. 2. Borrower’s Institutional Capacity Ethiopia has gained considerable experience in the implementation of World Bank financed Projects in various sectors which played an important role in improving its environmental and social risk management capacity. In the urban Public Disclosure sector, the project implementing entity has implemented (is implementing) operations similar to the proposed project namely Ethiopia Urban Local Government Development Program (P133592) and Urban Institutional and Infrastructure Development Program (P163452) both of which have incentivized the establishment of a system for identification and management environmental and social risks of infrastructure projects that have been implemented in the urban centers (through disbursement linked indicators focused on E&S risk management capacity support as they were PforR operations). Ministry of Urban Development and Infrastructure will be the key government implementing agency. The Ministry has extensive experience in implementing World Bank-financed Programs for the last decade. It has developed an environmental and social management guideline which has been used a basis for identification and management of E&S risks; recruited/assigned E&S experts from federal to city level Program implementation units; E&S screening has been undertaken for various investments at city level. The Program beneficiary cities have also gained some experience in preparation and implementation of project specific environmental and social risk management tools. They have also been working closely with E&S regulatory agency during implementation of the World Bank financed Program. However, Ministry has no experience of preparing projects under the new Bank’s Environmental and Social Framework (ESF). The project implementation units to be established for the purpose of this project will have qualified environmental and social specialists from federal to city level so that they could oversee compliance with the requirements of the Environmental and Social Framework. They will be trained on the ESF and other environmental and social risk management instruments to be prepared for the project including an Environmental and Social Management Framework prior to commencement of implementation of the project activities. Furthermore, capacity assessments and capacity building action plans will be prepared as part of the Environmental and Social Management Framework Jan 27, 2022 Page 5 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) during the preparation phase. Capacity building activities will be implemented in compliance with the Bank’s guidance on technical assistance. The PIUs shall monitor compliance with environmental and social standards of the ESF in different ways. It will prepare quarterly and annual environmental and social monitoring reports and share them with the World Bank. The project implementation units ( PIUs) which will be established at each regional state by Ministry of Urban Development and Infrastructure will also conduct independent annual environmental and social audits to verify compliance with the requirements of the ESF. Each PIU will maintain ( recruit) environmental and social risk management experts. The experts will be trained on the key E&S requirements of the project prior to commencement of the implementation of the project activities. Environment, Climate Change Commission (the regulatory agency) will review and endorse site specific environmental and social risk management instruments and will also monitor compliance with the regulatory requirements. The E&S staffing, compliance monitoring and reporting, and capacity development requirements will be included in the Environmental and Social Commitment Plan (ESCP). The Client plans to prepare a PPA which could help the client in financing the preparation relevant environmental and social risk management instruments. II. SCREENING OF POTENTIAL ENVIRONMENTAL AND SOCIAL (ES) RISKS AND IMPACTS A. Environmental and Social Risk Classification (ESRC) High Environmental Risk Rating Substantial Public Disclosure The project is anticipated to have a range of environmental benefits including reduced local flooding, improvement in hygiene and sanitation conditions (through improvements in urban drainage systems) and green space. However, some of the activities to be financed under Component 2 (construction and rehabilitation of, inter alia, trunk and tertiary infrastructure and social infrastructure, e.g., roads, footpaths, streetlights, drainages, public/green spaces, daycare, health clinics, community facilities) can also have adverse environmental and social risks if not properly managed during construction and operation phases. One of the construction phase environment, health and safety (EHS) risks is localized air pollution (dust, gases) which could result from earthwork, transportation, material handling, operation of construction machinery, etc. (ESS3) . Construction activities can also cause an increase in noise level due to earth moving and excavation equipment and the transportation of equipment, materials, and people. Operation of heavy construction equipment and machines can cause nuisance to the surrounding people. Extraction of materials for construction activities can disrupt also natural land contours, resulting in accelerated erosion, disturbance in natural drainage patterns, ponding and waterlogging, and water pollution. Construction/rehabilitation activities can generate construction wastes from excavation works, cleaning of drainages and trenching. Possible land and soil degradation in the construction sites include lands used for temporary easements and quarries due to compaction, litters, improper disposal of construction wastes. Potential operation phase risks from social infrastructure such as health clinics include: i) chemical wastes (which may be in solid, liquid, or gaseous form and is generated through use of chemicals during diagnostic, cleaning, housekeeping, and disinfection); ii) infectious wastes (waste suspected to contain pathogens); and iii) pharmaceutical wastes (expired, unused, spoiled, and contaminated pharmaceutical products, drugs) (details in ESS3). There are potential occupational health and safety risks that can arise during construction (e.g., trenching, falling objects, etc.) (ESS2). Similarly, community health risks can arise during construction (e.g., open trenches, air quality, noise traffic accidents and vehicle collision with pedestrians, etc.). There are also potential post-construction /operation phase Jan 27, 2022 Page 6 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) EHS risks. Poor drainage management practices and unhygienic conditions during operation phase can be a source of concern for community health. For example, standing water due to inadequate storm water drainage systems and inadequate waste management practices (congestion caused by rubbish littering) can cause community health concern as it could serve as breeding site for disease vectors such as mosquitoes, flies, and rats (ESS4). As the project activities will be implemented in urban and peri-urban centers, no adverse risks to biodiversity or habitats of significant conservation value are anticipated. Nonetheless, appropriate care should be taken in not to introduce exotic plant species that may have adverse impacts on the local biodiversity for the greenery activities (ESS6) . Although no direct impacts on cultural heritage is anticipated because of the project activities, there may be possible chance finds of archaeological sites, artefacts during construction activities that deserve precautionary mechanism to address potential risks to cultural heritage that may be discovered by chance (ESS8). Though specific details are not clear at this stage, technical assistance activities such as strengthen policy, institutions and reforms may have downstream EHS risks. Hence, technical assistance and capacity building will be undertaken in compliance with the Bank’s Advisory Note on Technical Assistance and the ESF to analyze the types of TA activities. Social Risk Rating High The project will improve the living conditions of slum dwellers and will contribute to the betterment of cities environmental and social conditions as their slum areas will benefit from improved access to basic infrastructure and services including roads, footpaths, streetlights, drainages, public/green spaces, daycare, health clinics, community facilities. However, some of the activities to be finance under Component 2 (construction and rehabilitation of, inter alia, trunk and tertiary infrastructure and social infrastructure, e.g., roads, footpaths, streetlights, drainages, public/green spaces, daycare, health clinics, community facilities) may have adverse social risks during construction and operation phases. Social impacts will be mostly related to involuntary land acquisition and resettlement. The Public Disclosure extent of these works and the likely split between new construction and rehabilitation of existing infrastructure are unknown at this stage and hence, the extent of involuntary resettlement and construction-related social impacts (including those linked to worker influx, SEAH & GBV, community health and safety and labor management) cannot be accurately scoped.. While the project promises to deliver significant long-term benefits on normalizing land-use arrangements, untangling the complex web of land-use in urban settings could lead to significant tensions and conflicts (including those affecting women and potentially posing risks of exclusion to the most vulnerable informal users (e.g., in protected areas, ROWs and their buffer zones, etc.)Besides, land-related conflicts may arise during the process of land rights recognition, adjudication, and registration. The unstable political situation and the prevalent conflict in various parts of the country, such as Benishangul Gumuz, Oromia, Amhara, Afar and Tigray is another social risk that requires appropriate mitigation measures. Other potential social risks could be related to:(i) insufficient community and other stakeholder engagement due to capacity limitation specifically at city level and COVID restrictions; (ii) labor influx and associated risks including risks on community health and safety, gender- based violence, sexual exploitation and abuse and sexual harassment. Therefore, the social risk of the project is rated high. However, the project during preparation will conduct a comprehensive social risk assessment including GBV risks assessment that will identify the risks associated with the unknowns and the rating will be adjusted. B. Environment and Social Standards (ESSs) that Apply to the Activities Being Considered B.1. General Assessment ESS1 Assessment and Management of Environmental and Social Risks and Impacts Overview of the relevance of the Standard for the Project: Jan 27, 2022 Page 7 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) As noted in section II, potential construction and operation phase E&S risks of activities to be financed under Component 2 include: (i) pollution risks such as air emissions, dust, noise, vibration, medical wastes, ; (ii) extraction of materials for construction; (iii) land and soil degradation at the construction sites; (iv) possible chance finds of archaeological sites, artefacts during construction activities; (v) health and safety risks to the public and the workers at construction sites; (vi) social impacts associated with land acquisition and construction disrupting businesses; insufficient stakeholder engagement, SEA /SH and impacts on informal land users and vulnerable groups that may need support to 1) benefit fully from secure tenure opportunities; 2) need assistance if tenure regularization renders them landless, restricts their access to resources and/or adversely affects their livelihoods (vi) insufficient community and other stakeholder engagement due to capacity limitation specifically at city level and COVID restrictions; (vi) labor influx and associated risks including risks on community health and safety, gender-based violence, sexual exploitation and abuse and sexual harassment and (vii) potential risks to cultural heritage To manage the anticipated risks and impacts, the Ministry will need to prepare and implement appropriate environmental and social assessment instruments during project preparation. One of E&S instruments to be prepared is an Environmental and Social Management Framework (ESMF).The ESMF will include an environmental and social baseline of the project implementation areas; review of relevant national policy, institutional and regulatory frameworks; anticipated environmental and social risks/impacts and mitigation measures; project coordination and implementation arrangements; capacity building and training; environmental and social screening processes; generic environmental and social management plan (ESMP) for activities in the project, terms of reference for the preparation of site-specific ESIA/ESMP; chance find procedures for cultural heritage, and relevant guidelines. Public Disclosure The ESMF will also serve as a basis for identification and management of potential environmental and social risks of the CERC activities i.e. Component 4 ( if the CERC component will be activated).The project will follow the General WBG Environmental Health and Safety Guidelines (EHSG), as well as relevant GIIP to address environmental, social, health, and safety risks. The ESMF will establish exclusion criteria for activities that the project will not fund. To address potential land acquisition risks, a RPF will be prepared and implemented. Furthermore, Labor Management Procedure (LMP), social assessment will be conducted to: (i) identify potential risks and impacts and appropriate design measures to minimize and mitigate adverse economic and social impacts, especially those that affect vulnerable groups, including avoiding elite capture and community tension from project selection; (ii) to make sure that if persons are required to vacate land as a direct result of a project-supported determination that the land in question is state land, they will be compensated in accordance with ESS5 (and a RAP or RPF covering the respective activities may be needed; (iii) in order to identify the potential economic and social risks and impacts of the planning or regularization and appropriate measures to minimize and mitigate them, particularly if they affect poor and vulnerable groups; and (iv) better understand community needs,. GBV risk assessment and GBV action plan and Stakeholder Engagement Plan (SEP) will be prepared prior to project appraisal. Project activities under component 2.2(Enhance tenure security of urban residents ) requires special attention to the risks that may occur if the process is not properly designed or based on a suitable legal and policy framework. Hence, the project will be designed in a way that addresses the risks associated with this subcomponent. The Client will also prepare and implement an Environmental and Social Commitment Plan (ESCP), which should set out the necessary actions, with timeframes and responsibilities, to ensure that the project is compliant with the Banks Environmental and Social Framework (ESF). The ESCP, which will part of the legal agreement, will outline the key elements contained in those E&S instruments agreed upon with the Borrowers. The ESCP should set dates and Jan 27, 2022 Page 8 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) responsibilities for preparing each site-specific E&S instruments. Furthermore, in the ESCP the borrower shall commit to conduct regular environmental and social monitoring and reporting throughout the project lifecycle, to identify potential risks or existing adverse impacts and address them in a proper and timely manner. Technical assistance and capacity building support activities where applicable will be undertaken in compliance with Bank Advisory Note on Technical Assistance and the ESF. If any technical activity would involve detail design and feasibility, environmental and social assessment will be conducted proportionate to the anticipated risks of the technical assistance. If the project will support preparation of any strategies or plans, a ToR for E&S assessment for such strategic documents will be prepared prior to appraisal. The requirements set out in paragraphs 14-18 of ESS1 will be applied to technical assistance activities as relevant and appropriate to the nature of the risks and impacts. The terms of reference, work plans or other documents defining the scope and outputs of technical assistance activities will be drafted so that the advice and other support provided is consistent with ESSs 1-10. Activities implemented by the Borrower following the completion of the project that are not financed by the Bank, or activities that are not directly related to the technical assistance, are not subject to the World Bank Environmental and Social Policy for Investment Project Financing. Areas where “Use of Borrower Framework” is being considered: None ESS10 Stakeholder Engagement and Information Disclosure Stakeholder engagement and information disclosure shall be at the heart of the project and are envisaged as a Public Disclosure continuous, ongoing process throughout its life. Though details of the stakeholder engagement will be outlined in a Stakeholder Engagement Plan (SEP) to be developed prior to project appraisal, the main stakeholders of the project will include those (i) positively affected project beneficiaries, rural urban communities in the project participating towns and woredas;(ii) vulnerable groups, women; (iii) participating ULGs;(iii) participating regions. Therefore, application of ESS 10 Stakeholder engagement and disclosure of information is required. The project will develop a Stakeholder Engagement Plan (SEP) in accordance with the requirements of ESS10 and taking into account the COVID-19 related restrictions during community and stakeholders’ consultations. An effective project level GRM structure will be established at the kebele ( lowest administrative unit in Ethiopia), city and regional levels to address any issues related to project activities, including risks or incidents related to GBV. All E&S documents/reports will be made accessible to project stakeholders and will be publicly disclosed prior to the project appraisal. The SEP will outline the characteristics and interests of the relevant stakeholder groups and timing and methods of engagement throughout the life of the project. Details will be outlined in an SEP. The World Bank’s Technical Note on Public Consultations and Stakeholder Engagement in World Bank WB-supported operations when there are constraints on conducting public meetings will be followed to avoid potential COVID-19 exposure risks during public consultations. The project will ensure the establishment of functional Grievance Redress Mechanism tailored to address GBV related grievances, including the establishment of a hotline. Grievances will be handled at grass root level by the Kebele/woreda grievance Officers(committees) in charge of grievances and at region by Bureau Urban Development and Construction and federal level by MoUDC, including via a free dedicated hotline service. The GRM will address each area of the feedback cycle: (i) uptake, (ii) sort and process, (iii) acknowledge and follow up, (iv) verify, Jan 27, 2022 Page 9 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) investigate, and act, (v) monitor and evaluate, and (vi) provide feedback to the complainant as well as to project management and WB. Further, the project will establish a monitoring and evaluation procedure for the overall grievance handling process. B.2. Specific Risks and Impacts A brief description of the potential environmental and social risks and impacts relevant to the Project. ESS2 Labor and Working Conditions ESS2 is relevant due to potential risks to labor and working conditions especially because of activities to be financed under Component 2. Occupational Health and Safety (OHS) measures will be applicable to all project workers. Construction and maintenance cab expose workers to a variety of physical hazards, from operating machinery and moving vehicles. Other hazards include noise, work in confined spaces, trenching, falls from machinery or structures, and risk of falling objects. Hence, workers health and safety risks should be properly managed. Laborers for conducting TA activities will be engaged in compliance with ESS2. To this end, attention will be given to training of workers on OHS risks and awareness to minimize the risks. Labor Management Procedures (LMP) which identify,(i) the types of workers that will be engaged under each project component;(ii) the main labor requirements and labor risks associated with the Project will be prepared based on the requirements of ESS2 and national labor laws, prior to project appraisal. The LMP will provide procedures to address labor issues including, but not limited to: (i) child and forced labor; (ii) Contracts of employment and terms and conditions of employment, (iii) protection of wages including fair treatment, non-discrimination and equal Public Disclosure opportunity of project workers, (iv) occupation, health and safety issues, (v) labor influx and associated risks including GBV; (vi) security provisions for workers involved in the distribution of innovative technologies and different agricultural inputs; and (vii) grievance mechanism for workers with accessible means to raise workplace concerns. The OHS measures will be designed and implemented to address: (a) identification of potential hazards to project workers; (b) provision of preventive and protective measures, including elimination of hazardous conditions or substances; (c) training of project workers and maintenance of training records; (d) documentation and reporting of occupational accidents, diseases and incidents; (e) emergency prevention and preparedness and response arrangements to emergency situations; and (f) remedies for adverse impacts such as occupational injuries, disability and disease. Contractors will be required to prepare and implement Occupational Health & Safety Plans (OHSP) following the World Bank Group Environment, Health and Safety (EHS) Guidelines, adopt a code of conduct for all workers and establish a worker-specific GRM (accessible for direct and contracted workers) before commencement of the civil works. The client may engage direct workers and consultants for the TA activities. Potential labor issues in the TA activities will be managed in compliance with the requirements of ESS2 and LMP. Bidding documents for works shall include budget provisions for all OHS provisions as well as other costs associated with labor management (e.g., the operation of a grievance redress mechanism). The Client will regularly monitor the contractor’s performance in implementing OHS measures. The client’s quarterly report should include a section on performance on the OHS implementation. ESS3 Resource Efficiency and Pollution Prevention and Management Jan 27, 2022 Page 10 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) ESS3 is relevant the project activities ( especially Component 2) can lead to release of different pollutants and an increased use of resources. Construction activities may entail an increased demand for resources including raw materials and energy which should be properly managed. Resource efficiency concerns may arise from sources and volume of construction materials, use of machinery for excavation, dredging, etc. Construction activities consume energy and water which also entail efficient use. Water use for the construction activities may be significant unless efficient mechanism is put in place to abate potential adverse impacts. Resource efficiency and pollution prevention measures will be implemented by contractors and sub-contractors. Extraction of materials for construction activities can disrupt also natural land contours, resulting in accelerated erosion, disturbance in natural drainage patterns, ponding and waterlogging, and water pollution. Hence, resource efficiency measures including efficient use of energy, water and raw materials should be investigated as part of the ESMF. Pollutants which could be generated from the project activities include fugitive dust and other emissions (e.g., from vehicle traffic, nd materials stockpiles); noise from construction equipment; and soil pollution by hazardous materials and oil spills associated with heavy equipment operation and fueling activities. Rock and soil materials may be generated from earth moving during construction activities. Construction/rehabilitation activities can generate construction wastes from excavation works, cleaning of drainages and trenching. Possible land and soil degradation in the construction sites include lands used for temporary easements and quarries due to compaction, litters, improper disposal of construction wastes. Public Disclosure At operation phase, social infrastructure such as health clinics could generate various wastes including chemical wastes (which may be in solid, liquid, or gaseous form and is generated through use of chemicals during diagnostic, cleaning, housekeeping, and disinfection); infectious wastes (waste suspected to contain pathogens); and pharmaceutical wastes (expired, unused, spoiled, and contaminated pharmaceutical products, drugs). The project will not finance any major transport infrastructure , waste treatment facility, or activities that adversely affect carbons sinks (forests), etc. As a result, no large scale emission of GHGs is anticipated because of the construction/rehabilitation activities to be supported under Component 2. The ESMF will include indicative mitigation measures for different pollutants and resource efficiency concerns which will be further developed during preparation of site specific E&S tools. Potential risks should also be managed in compliance with the requirements relevant WB EHS guidelines. Technical assistance (TA) activities which may have downstream risks related to resource efficiency and pollution will be implemented following the requirements of the Bank’s guidance on TA. ESS4 Community Health and Safety ESS4 is relevant as the activities to be financed under Component 2 can have various community health and safety risks at construction and operation phases. Community health risks such as open trenches, air quality, noise traffic accidents and vehicle collision with pedestrians, etc. can arise during construction phase. Community health and safety issues during the construction/rehabilitation may also include communicable disease associated with the influx Jan 27, 2022 Page 11 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) of temporary construction labor. Furthermore, there is also potential COVID-19 outbreak unless relevant WHO guidelines and recommendations are followed at the project sites. Technical assistance activities will be implemented in compliance with the Bank’s guidance on TA so that potential downstream risks to community health and safety could properly addressed. To this end, ToRs or environmental and social assessments need be prepared (depending on the nature of the TA) for the TAs as that can have downstream community health and safety risks and mitigation measures should also be designed accordingly. At operation phase, poor drainage management practices and unhygienic conditions can be a source of concern for community health. For example, standing water due to inadequate storm water drainage systems and inadequate waste management practices (congestion caused by rubbish littering) can cause community health concern as it could serve as breeding site for disease vectors such as mosquitoes, flies, and rats. Potential emergency response needs will be assessed as part of ESMF and emergency response plans will be prepared as deemed appropriate. Traffic and road safety risk management measures will be included as part of the ESMF. Given the security situation in the country, the project will conduct Security Risk Assessment and develop security management measures and site specific SMPs where needed as part of ESMF Based on the Security Risk Assessment, different security measures shall be implemented to reduce the level of risk to acceptable levels which shall be synthesized in the security management plan. The measures shall be proportional to the potential risks. The client will further assess other potential community health and safety risks, provided mitigation measures as part of the preparation of the ESMF. Further, the project as part of the ESMF will conduct a GBV risk assessment from which, a SEA/SH Action Plan will be developed. Public Disclosure ESS5 Land Acquisition, Restrictions on Land Use and Involuntary Resettlement The project under component 2 will finance construction and rehabilitation of, inter alia, trunk and tertiary infrastructure and social infrastructure, e.g., roads, footpaths, streetlights, drainages, public/green spaces, daycare, health clinics, community facilities) may result in private and communal land acquisition. However, as the specific footprint of the sub projects is not known at this time, the scope and magnitude of the required land acquisition will be determined during project implementation. Hence, the Borrower will prepare a RPF in line with the proposed project activities and will provide guidance on the appropriate safeguard instruments such as ARAPs and where necessary full Resettlement Action Plans(RAPs). The RPF will provide the overall principles and objectives of ESS5. It will provide resettlement principles and procedures including for setting eligibility criteria for resettlement entitlements, organizational arrangements, and the establishment of project-level Grievance Mechanism (GM) to be used during the preparation of site-specific instruments to address potential land acquisition issues. Hence, for any land acquisition, the project will prepare RAPs or ARAPs, and all compensation arrangement will be made prior to any land-disturbance. Further, the RPF will provide a complete Voluntary Land Donation (VLD) protocol in accordance with ESS5, including key principles such as informed decision making, the right to reject, the strict avoidance of significant impacts on livelihoods, and clear documentation. Further, because the project will be involved in land titling under component 2.2, it will need to conduct social, institutional and legal assessment as per ESS1par 28(b). Besides, any future investment using the output of this TA should be implemented in compliance with ESS5. The RPF /ToR will provide information accordingly. Jan 27, 2022 Page 12 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) ESS6 Biodiversity Conservation and Sustainable Management of Living Natural Resources This standard is considered as relevant for the project activities may have direct and indirect impacts on biodiversity. The project will primarily focus on urban and peri-urban areas for land tenure strengthening (Sub-Component 2.1) while using an integrated approach with rural lands for legal and institutional strengthening and capacity building activities (Sub-Components 1.1 and 1.2). As the project activities will mainly be implemented in urban centers and peri-urban, no major risks to biodiversity or habitats of significant conservation value are anticipated. However, sourcing of construction materials for infrastructure development can have potential risks to biodiversity that should be carefully assessed and managed. Furthermore, care should be taken not to introduce exotic plant species that may have adverse impacts on the local biodiversity for the greenery activities that will be supported under Component 2. The ESMF will include precautionary measures that need to be taken in selection of plants for greenery activities. Technical assistance activities will be designed and implemented in such a way that potential downstream risks to biodiversity could be could properly addressed. For TA’s with potential downstream risks, ToRs/ environmental assessments for the TA will adequately cover biodiversity related risks and mitigation measures ESS7 Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities The project will be implemented in urban areas, and there are no identified vulnerable or marginalized groups with identities and aspirations that are distinct from mainstream groups as defined under the ESF’s Indigenous Peoples/Sub-Saharan Historically Under-served Traditional Local Communities standard in the project area of influence. Therefore, this Standard is not currently relevant to the project. However, the team will do further assessment during preparation and ensure that the A-ESRS identifies any settlements that are culturally distinct or Public Disclosure result from forced displacement or presence of any project affected groups ,who may be vulnerable to project impacts and for whom specific consultation, impact assessment and compensation or benefits enhancement measures is required. However, technical assistance activities will be implemented in compliance with the Bank’s guidance on TA. ToRs or social assessments need be prepared (depending on the nature of the TA) for the TA’s that can have potential risks/ impacts on underserved communities and mitigation measures should also be designed accordingly. ESS8 Cultural Heritage As the project activities will be implemented in urban or peri urban centers , they have direct or indirect risks to cultural heritage if not carefully designed and implemented. Furthermore, there may be possible chance finds of archaeological sites, artefacts during construction activities that deserve precautionary mechanism to address potential risks to the cultural heritage that may be discovered by chance. The ESMF shall cover potential risks to cultural heritage and include a clear chance find procedure so that potential risks could be mitigated. ESS9 Financial Intermediaries Not relevant for this project Jan 27, 2022 Page 13 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) C. Legal Operational Policies that Apply OP 7.50 Projects on International Waterways No OP 7.60 Projects in Disputed Areas No III. WORLD BANK ENVIRONMENTAL AND SOCIAL DUE DILIGENCE A. Is a common approach being considered? No Financing Partners None B. Proposed Measures, Actions and Timing (Borrower’s commitments) Actions to be completed prior to Bank Board Approval: Actions to be completed prior appraisal include preparation of: i) Environmental and Social Commitment Plan ii) Environmental and Social Management Framework iii) Resettlement Policy Framework Public Disclosure iv) Stakeholder Engagement Plan (SEP) v) Labor Management Procedure vi. Social risk assessment including GBV/SEA risk assessment and develop GBV Action Plan vii). If the project will finance technical assistance would involve detail design and feasibility, environmental and social assessment will be conducted proportionate to the anticipated risks of the technical assistance . If the project will support preparation of any strategies or plans, a ToR for E&S assessment for such strategic documents will be prepared prior to appraisal. Possible issues to be addressed in the Borrower Environmental and Social Commitment Plan (ESCP): Establishing a functioning E&S risk management implementation arrangement including deployment of qualified staff; implementation of the Project activities in compliance with the applicable Environmental and Social Standards; Preparation of site specific environmental and social risk management tools following the requirements of the ESMF and ESIA; allocating budget for environmental and social risk management activities; Compliance monitoring and reporting. C. Timing Tentative target date for preparing the Appraisal Stage ESRS 28-Jan-2022 IV. CONTACT POINTS World Bank Jan 27, 2022 Page 14 of 15 The World Bank Ethiopia Land Management and Urban Upgrading Project (P177655) Contact: Gyongshim An Title: Senior Urban Development Specialist Telephone No: 5736+7059 / 82-032-7137059 Email: gan@worldbank.org Contact: Meredith Mercedes Stickler Title: Senior Land Administration Specialist Telephone No: +1-202-473-4490 Email: mstickler@worldbank.org Borrower/Client/Recipient Borrower: Federal Democratic Republic of Ethiopia Implementing Agency(ies) Implementing Agency: Ministry of Urban Development and Infrastructure V. FOR MORE INFORMATION CONTACT The World Bank 1818 H Street, NW Washington, D.C. 20433 Telephone: (202) 473-1000 Web: http://www.worldbank.org/projects Public Disclosure VI. APPROVAL Task Team Leader(s): Gyongshim An, Meredith Mercedes Stickler Practice Manager (ENR/Social) Helene Monika Carlsson Rex Recommended on 01-Dec-2021 at 06:11:38 GMT-05:00 Safeguards Advisor ESSA Peter Leonard (SAESSA) Cleared on 27-Jan-2022 at 18:24:29 GMT-05:00 Jan 27, 2022 Page 15 of 15