UNITED NATIONS OFFICE FOR PROJECT SERVICES YEMEN EMERGENCY ELECTRICITY ACCESS PROJECT (YEEAP) Environmental and Social Management Framework (ESMF) 30 June 2018 Table of contents ABBREVIATIONS ...................................................................................................................... IV LIST OF TABLES .........................................................................................................................V LIST OF FIGURES ..................................................................................................................... VI GLOSSARY OF TERMS USED IN THE ESMF ........................................................................... VII EXECUTIVE SUMMARY ............................................................................................................ IX CHAPTER 1 INTRODUCTION AND BACKGROUND .................................................................. 1 1.1 Introduction ....................................................................................................................... 1 1.2 Background ....................................................................................................................... 1 CHAPTER 2 PROJECT DESCRIPTION ..................................................................................... 2 Component 1. Financing for Off-grid Solar ............................................................................ 2 Providing Basic Electricity Supply to Households ................................................................ 2 Restoring Electricity Supply to Critical Services Facilities ................................................... 4 Component 2. Implementation Support and Market Development ..................................... 5 Project Implementation and Management Support .............................................................. 5 Third-Party Monitoring .......................................................................................................... 5 Market Development............................................................................................................... 5 Component 3. Contingent Emergency Response .................................................................... 6 Range of potential emergencies ............................................................................................. 6 Scope of supported activities .................................................................................................. 7 CHAPTER 3 ELECTRICITY SECTOR BASELINE ..................................................................... 8 3.1 Background ....................................................................................................................... 8 3.2 Solar PV in Yemen ............................................................................................................ 9 CHAPTER 4 INSTITUTIONAL FRAMEWORK AND ARRANGEMENTS .................................... 11 4.1 UNOPS ............................................................................................................................. 11 4.1.1 Project Implementation ........................................................................................ 11 4.1.2 Annual Investment Plans ..................................................................................... 12 4.1.3 ESMF Implementation ........................................................................................ 12 4.2 Local Partners ................................................................................................................. 12 4.2.1 Microfinance Institutions .................................................................................... 12 4.3 The World Bank .............................................................................................................. 13 4.4 TPM.................................................................................................................................. 13 4.5 Other National Organizations........................................................................................ 13 4.5.1 Local Councils...................................................................................................... 13 4.5.2 Civil society organizations ................................................................................... 13 CHAPTER 5 LEGAL AND REGULATORY FRAMEWORK ....................................................... 14 5.1 World Bank Requirements ............................................................................................ 14 5.1.1 Environment, Health and Safety Guidelines ...................................................... 14 5.2 UNOPS Requirements .................................................................................................... 15 5.3 National Policies, Laws and Regulations ...................................................................... 15 5.3.1 National Environmental Action Plan .................................................................. 15 5.3.2 Environmental Protection Law............................................................................ 15 5.3.3 ESIP ...................................................................................................................... 17 5.3.4 International Conventions ................................................................................... 17 5.3.5 Gender .................................................................................................................. 17 5.3.6 Labor..................................................................................................................... 17 5.3.7 Child Labor........................................................................................................... 18 5.4 Comparison between World Bank Requirements and Yemeni Requirements ......... 18 CHAPTER 6 TYPOLOGY OF POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS ........... 22 Draft ESMF for Yemen Emergency Electricity Access Project Page i 6.1 Construction Related Impacts ....................................................................................... 22 6.1.1 Community Health and Safety ............................................................................. 22 6.1.2 General Environmental Impacts ......................................................................... 22 6.1.3 Occupational Health and safety .......................................................................... 22 6.1.4 Social .................................................................................................................... 23 CHAPTER 7 IMPACT MITIGATION MEASURES.................................................................... 24 7.1 Other mitigation measures ............................................................................................. 25 CHAPTER 8 SUBPROJECT SCREENING ................................................................................ 26 8.1 Steps in the Screening Process ....................................................................................... 26 Step 1. Applicability ............................................................................................................. 26 Step 2. Eligibility (Negative List)......................................................................................... 26 Step 3. Use of Installers/Contractors .................................................................................. 27 Step 4. Possible Environmental and Social Impacts .......................................................... 27 Step 5. Subproject Risk Levels ............................................................................................ 28 8.2 Screening form ................................................................................................................ 29 CHAPTER 9 SUBPROJECT ESIAS AND ESMPS ................................................................... 30 9.1 Preparation of the ToRs ................................................................................................. 30 9.2 Preparation of the Safeguard Instruments ................................................................... 30 9.3 Consultation and Disclosure Requirements.................................................................. 30 9.4 Implementation of Subproject Mitigation Measures ................................................... 31 CHAPTER 10 ENVIRONMENTAL AND SOCIAL CLAUSES FOR CONTRACTORS ...................... 32 10.1 Environment, Health and Safety ............................................................................... 32 10.2 Environmental and Social Monitoring by Contractors ........................................... 32 10.3 Environmental and Social Liabilities of Contractors .............................................. 33 10.4 Grievance Mechanism for Workers .......................................................................... 34 CHAPTER 11 MONITORING AND REPORTING ........................................................................ 35 11.1 Subproject Environmental and Social Database ...................................................... 35 11.2 Monitoring of Level 3 and 4 ESMP ........................................................................... 35 11.3 Monitoring of Contractors ......................................................................................... 35 11.4 Completion Reports .................................................................................................... 36 CHAPTER 12 STAKEHOLDER ENGAGEMENT ........................................................................ 37 12.1 Disclosure ..................................................................................................................... 37 12.2 Summary of Consultations ......................................................................................... 37 Participants feedback on ESMF document: ........................................................................ 38 Additional points for minigrid systems impacts, risks and mitigation measures: .............. 42 12.3 Citizen engagement ..................................................................................................... 42 CHAPTER 13 GRIEVANCE REDRESS MECHANISM (GRM) ................................................... 44 13.1 Procedures for Complaints ........................................................................................ 44 13.1.1 Registering Complaints ........................................................................................ 44 13.1.2 Tracking, Investigating and Resolving Complaints ............................................ 44 13.1.3 Gender sensitivity ................................................................................................. 45 13.1.4 Activating the GRM mechanism .......................................................................... 45 13.2 Grievance Redress Service ......................................................................................... 45 13.3 World Bank Inspection Panel .................................................................................... 45 CHAPTER 14 CAPACITY......................................................................................................... 47 14.1 UNOPS ......................................................................................................................... 47 14.2 Capacity Development ................................................................................................ 47 14.3 Indicative Costs ........................................................................................................... 48 ANNEX 1 TEMPLATE FOR SUBPROJECT SCREENING ............................................................. 49 Step 1. Applicability ............................................................................................................. 49 Step 2. Eligibility (Negative List)......................................................................................... 49 Draft ESMF for Yemen Emergency Electricity Access Project Page ii Step 3. Use of Installers/Contractors .................................................................................. 50 Step 4. Environmental or social impacts ............................................................................ 50 Step 5. Subproject Risk Levels ............................................................................................ 52 ANNEX 2 ENVIRONMENT, HEALTH AND SAFETY (EHS) CLAUSES FOR CONTRACTORS ...... 53 Purpose ...................................................................................................................................... 53 Contractor Environmental and Social Management Plan .................................................... 53 Gender based Violence ............................................................................................................. 53 Child Labor ............................................................................................................................... 53 Labor influx............................................................................................................................... 53 Roads.......................................................................................................................................... 53 Movement of Trucks and Construction Machinery .............................................................. 54 Traffic Safety Measures ........................................................................................................... 54 Access across the Construction Site and to Frontages .......................................................... 54 Noise and Dust Control ............................................................................................................ 54 Waste Disposal .......................................................................................................................... 54 Protection of the Existing Installations ................................................................................... 54 Protection of Trees and Other Vegetation .............................................................................. 55 Physical Cultural Resources .................................................................................................... 55 Clearance of Construction Site on Completion ...................................................................... 55 Worker Health and Safety ....................................................................................................... 55 Site Construction Safety and Insurance ................................................................................. 55 ANNEX 3 YEMENI ENVIRONMENTAL QUALITY STANDARDS ................................................. 56 Microbiological pollutants in untreated public water conveyed into the distribution network 58 Biological Pollutants ............................................................................................................ 58 Waste Water .......................................................................................................................... 58 ANNEX 4 SAMPLE TABLE OF CONTENT FOR LEVEL 4 ESIAS AND ESMPS .......................... 61 Environmental and Social Impact Assessment ...................................................................... 61 Environmental and Social Management Plan ........................................................................ 62 ANNEX 5 SAMPLE GRIEVANCE AND RESOLUTION FORM ...................................................... 64 ANNEX 6 POTENTIAL IMPACTS AND MITIGATION MEASURES FOR THE YEMEN INTEGRATED URBAN SERVICES EMERGENCY PROJECT ....................................... 65 Draft ESMF for Yemen Emergency Electricity Access Project Page iii ABBREVIATIONS CERC Contingent Emergency Response Component CSO Civil Society Organization DLAs District Local Authorities DNA Damage and Needs Assessment EA Environmental Assessment (OP 4.01) ECOP Standard Environmental Codes of Conduct EHS Environmental, Health and Safety EPL Environmental Protection Law (26/1995) ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework FMFA Financial Management Framework Agreement FCV Fragility, Conflict and Violence GDP Gross Development Product GBV Gender Based Violence GIIP Good International Industry Practice GRM Grievance Redress Mechanism IDP Internally Displace Person LC Local Councils LED Light-Emitting Diode LFPR Labor Force Participation rate LTI Lost time to injury MFI Microfinance Institution NGO Non-Governmental Organization O&M Operations and Maintenance PHSP Project Health and Safety Plan PMU Project Management Unit PTC Public Telecommunication Corporation PV Photovoltaic RoY Republic of Yemen SAP Safeguard Action Plan SFD Social Fund for Development SME Small and Medium-size Enterprise TPM Third Party Monitoring UNFPA United Nations Population Fund UNOPS United Nations Office for Project Services WFP World Food Programme WHO World Health Organization Draft ESMF for Yemen Emergency Electricity Access Project Page iv LIST OF TABLES Table 1. Comparison of World Bank and Yemeni Environmental and Social Requirements ............. 19 Table 2. Potential impacts and matching mitigation measures. ........................................................... 24 Table 3. List of participants in the institutional and public consultation meetings include 30 males and 21 females............................................................................................................................ 37 Table 4. Stakeholder comments on potential impacts/risks and matching mitigation measures ......... 40 Table 5. Indicative costs of capacity building activities ...................................................................... 48 Table 6. Permissible limits for key air pollutants ................................................................................ 56 Table 7. Maximum noise level allowed in different environments (Decibel Unit dB) ........................ 56 Table 8. Physical Characteristics of drinking water............................................................................. 56 Table 9. Inorganic substances in drinking water .................................................................................. 56 Table 10. Maximum limits for organic pollutants in drinking water ................................................... 57 Table 11. Maximum limits for toxic substances in drinking water...................................................... 57 Table 12. Bacterial Pollutants .............................................................................................................. 58 Table 13. Maximum levels of chemical substances in industrial and commercial waste water discharged in the public sewerage network ......................................................................... 58 Table 14. Potential impacts and matching mitigation for the Yemen Integrated Urban Services Emergency Project............................................................................................................... 65 Draft ESMF for Yemen Emergency Electricity Access Project Page v LIST OF FIGURES Figure 1. Schematic View of Support to Small-scale Household Solar Systems .................................. 3 Figure 2. Restoring Electricity Supply to Critical Services Facilities ................................................... 5 Figure 3. Scope and Design of Implementation Support and Market Development ............................. 6 Figure 4. Project Management Structure ............................................................................................. 11 Draft ESMF for Yemen Emergency Electricity Access Project Page vi GLOSSARY OF TERMS USED IN THE ESMF Chance find procedure. A chance find is archaeological material encountered unexpectedly during project construction or operation. A chance find procedure is a project-specific procedure which will be followed if previously unknown cultural heritage is encountered during project activities. The chance finds procedure will set out how chance finds associated with the project will be managed. The procedure will include a requirement to notify relevant authorities of found objects or sites by cultural heritage experts; to fence off the area of finds or sites to avoid further disturbance; to conduct an assessment of found objects or sites by cultural heritage experts; to identify and implement actions consistent with national law; and to train project personnel and project workers on chance find procedures. Child labor consists of work by children that is economically exploitative or likely to be hazardous or to interfere with the child’s education, or to be harmful to the child’s health or physical, mental, spiritual, moral, or social development. Compliance compares how well a process meet the requirements placed on the process. Disposal. Final placement or destruction of wastes, polluted soils, and toxic or hazardous materials. Disposal may be accomplished through approved secure landfills, surface impoundments, or incineration. Effluent. Wastewater, treated or untreated, that flows out of a treatment plant, sewer, or industrial outfall; it generally refers to wastes discharged into surface waters. Environmental, Health, and Safety Guidelines (EHSGs) are technical reference documents with general and industry-specific statements of Good International Industry Practice. The EHSGs contain the performance levels and measures that are generally considered to be achievable in new facilities by existing technology at reasonable cost. For complete reference, consult the World Bank Group Environmental, Health, and Safety Guidelines, http://www.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/ifc+su stainability/our+approach/risk+management/ehsguidelines. Environment and Social Impact Assessment (ESIA) is a safeguards instrument to identify and assess the potential environmental impacts of a proposed project, evaluate alternatives, and design appropriate mitigation, management, and monitoring measures. Environmental and Social Management Plan (ESMP) is a safeguards instrument that details: (a) the measures to be taken during the implementation and operation of a project to eliminate or offset adverse environmental impacts, or to reduce them to acceptable levels; and (b) the actions needed to implement these measures. Environmental and Social Management Framework (ESMF) is a safeguards instrument that examines the issues and impacts associated when a project consists of a program and/or series of subprojects, and the impacts cannot be determined until the program or subproject details have been identified. It sets out the principles, rules, guidelines, and procedures to assess environmental and social impacts, and contains measures and plans to reduce, mitigate and/or offset adverse impacts and enhance positive impacts, provisions for estimating and budgeting the costs of such measures, and information on the agency or agencies responsible for addressing project impacts. Good International Industry Practice (GIIP) is defined as the exercise of professional skill, diligence, prudence, and foresight that would reasonably be expected from skilled and experienced professionals engaged in the same type of undertaking under the same or similar circumstances globally or regionally. The outcome of such exercise should be that the project employs the most appropriate technologies in the project-specific circumstances. Grievance. An issue, concern, problem, or claim (perceived or actual) that an individual or community group wants a company or contractor to address and resolve. Grievance Redress Mechanism (GRM) is a locally based, formalized way to accept, assess, and resolve community feedback or complaints from individuals or communities who believe they are adversely affected by the Project. Draft ESMF for Yemen Emergency Electricity Access Project Page vii Hazardous wastes. By-products of society that can pose a substantial or potential hazard to human health or the environment when improperly managed. Substances classified as hazardous wastes possess at least one of four characteristics—ignitability, corrosivity, reactivity, or toxicity—or appear on special lists. Landfill. Sanitary landfills are land disposal sites for nonhazardous solid wastes at which wastes are spread in layers and compacted to the smallest practical volume. Mitigation. Measures taken to reduce adverse impacts on the environment. Monitoring. Periodic or continuous surveillance or testing to determine the level of compliance with statutory requirements or pollutant levels in various media or in humans, animals, and other living things. Occupational Health and Safety deals with all aspects of health and safety in the workplace and has a strong focus on primary prevention of hazards (WHO). Solid wastes. Nonliquid, nonsoluble materials, ranging from municipal garbage to industrial wastes, that contain complex, and sometimes hazardous, substances. Solid wastes include sewage sludge, agricultural refuse, demolition wastes, and mining residues. Technically, solid wastes also refer to liquids and gases in containers. Stakeholder. Persons or groups who are directly or indirectly affected by a project as well as those who may have interests in a project and/or the ability to influence its outcome, either positively or negatively. They may include locally affected communities or individuals and their formal or informal representatives, national or local government authorities, politicians, religious leaders, civil society organizations and groups with special interests, the academic community, or other businesses. Stakeholder Engagement is a broad, inclusive, and continuous process between a project proponent and those potentially affected by the project that usually spans the project’s life. It includes consultations, information disclosure and dissemination, and participation. Draft ESMF for Yemen Emergency Electricity Access Project Page viii EXECUTIVE SUMMARY This Environmental and Social Management Framework (ESMF) was prepared for the Yemen Emergency Electricity Access Project (YEEAP). The World Bank is financing the YEEAP to support Yemen’s reconstruction and recovery, under the provisions of World Bank OP 10.00, paragraph 12, Projects in Situations of Urgent Need of Assistance or Capacity Constraints. The project aims to improve access to electricity in rural and peri-urban areas within the Republic of Yemen, with a focus on the financing of off-grid solar. The project design includes financing under three subcomponents (rural and peri-urban households, critical facilities, and commercial solar lending), as well as under a Contingent Emergency Response Component. The United Nations Office for Project Services (UNOPS) is responsible for overall project implementation. UNOPS has recruited an Environmental and Social Safeguards Officer (ESSO), based in Sana’a, to oversee Project safeguards, as well as an international expert to support the ESSO and ensure the overall implementation of the ESMF. The ESMF is guided by the requirements of the World Bank’s Operational Policy on Environmental Assessment (OP 4.01), including the World Bank Group Environment, Health and Safety (EHS) Guidelines. It also meets the UNOPS Environmental, Health and Safety (EHS) procedures and practices and complies with Yemeni environmental and social laws and regulations. The ESMF distinguishes between the impacts associated with generic construction activities that would be the direct responsibility of contractors from sector-specific impacts that would be the responsibility of UNOPS and its local partners. Appropriate mitigation measures are defined for every type of impact. The ESSO will screen all subproject proposals prepared by UNOPS and the local partners to determine the environmental and social issues that subprojects might trigger, and to decide the needed type and level of assessment. The subproject screening process will involve the following steps: 1. Determination of the applicability of environmental and social safeguards. Subprojects unlikely to have direct or indirect environmental or social impacts will not require further work. 2. Eligibility of subprojects for Project financing. The ESSO will identify, analyze, and assess if the subproject is likely to have any of the following attributes on an exclusion list. 3. Determination of the need for works contracts for the subproject to apply environmental and social clauses for contractors 4. Application of a checklist to screen eligible subprojects. 5. Assigning each eligible subproject one of the following risk levels: Level 1. Subprojects that are unlikely to have direct or indirect environmental or social impacts (equivalent to Category C in OP 4.01). These subprojects do not require safeguards instruments such as clauses for contractors, ESIAs or ESMPs. Level 2. Subprojects that involve works but do not have impacts beyond generic construction impacts that are managed by contractors. These subprojects will require an ESMP consisting only of a description of the subproject and the Environmental and Social Clauses for contractors (see Chapter 10). Level 3. The subproject involves works but causes none of the impacts listed in Step 4 The subproject requires an ESMP consisting of a description of the subproject and the Environmental and Social Clauses for contractors (see Chapter 10). Level 4. Subprojects that cause no more than three environmental or social impacts (see checklist above and Chapter 6). In addition to the Environmental and Social Clauses for Contractors, these subprojects will require an assessment limited to the triggered impacts and will define proportionate and sufficient mitigation measures specific to these impacts, taking onto account the mitigation measures described in Chapter 7. UNPOS will implement these Draft ESMF for Yemen Emergency Electricity Access Project Page ix measures. Level 5. Subprojects that trigger significant environmental and social impacts. These subprojects will require a full ESIA and ESMP. UNOPS will apply the World Bank’s requirements for consultation and disclosure of safeguards instruments. UNOPS will initiate consultations as soon as subprojects screening has been completed and consultation records will be kept in the Project Office. Consultations will take into consideration the sociocultural context of Yemen. UNOPS and its local partners will incorporate environmental and social clauses for contractors in tender documentation and contract documents, so that potential bidders are aware of environmental and social performance requirements expected from them and are able to reflect that in their bids. UNOPS and its local partners will enforce compliance by contractors with these clauses. The clauses cover four issues: (i) Environment, Health and Safety (EHS); (ii) environmental and social monitoring by contractors; (iii) environmental and social liabilities; and (iv) grievance mechanism for workers. All subproject ESMPs will refer to these clauses. Subproject ESMPs will also include any training required for contractors to understand and satisfactorily meet the Project’s environmental and social requirements. UNOPS will monitor and report on the ESMF implementation with inputs from implementation partners and the TPM agent. The ESSO will ensure the inclusion of safeguards monitoring results in the Project’s quarterly reports to the World Bank. The Project will establish a Grievance Redress Mechanism that will be used for environmental, resettlement and social issues. UNOPS and the local partners will each recruit or designate a GRM focal point to handle Project activity-related complaints. Draft ESMF for Yemen Emergency Electricity Access Project Page x Chapter 1 INTRODUCTION AND BACKGROUND 1.1 Introduction 1. This Environmental and Social Management Framework (ESMF) was prepared by UNOPS to address the environmental and social impacts and risks of the Yemen Emergency Electricity Access Project (YEEAP). 2. The ESMF sets out the principles, rules, guidelines, and procedures to assess the environmental and social impacts of subprojects prepared during Project implementation. It includes guidelines to prepare measures and plans to reduce, mitigate, and/or offset adverse impacts and enhance positive impacts of subprojects, provisions for estimating and budgeting the costs of such measures, and information on the agencies responsible for addressing subproject impacts. It meets the requirements spelled out in the Safeguards Action Plan (SAP) disclosed by the World Bank for the Project1. 1.2 Background 3. Since March 2015, Yemen has descended into a full-fledged military conflict concentrated in its main cities that has caused major loss of life, internal displacement, destruction of infrastructure, and disruptions in service delivery across the country’s main sectors.2 By November 2016, UN agencies noted that health facilities reported nearly 7,070 people killed and more than 36,818 injured. Half of the country’s 26.8 million population resides in areas directly affected by the conflict. More than 3 million Yemenis have been internally displaced. Severe food insecurity affects some 14 million, of which 3.3 million are malnourished, including 1.4 million children—of whom 462,000 are acutely malnourished. Since the start of the conflict, the provision of public services, such as electricity and water, has come to a virtual standstill. Due to the resulting lack of access to reliable water supply and uncollected garbage, Yemen is confronted with a severe outbreak of cholera. WHO has reported over 500,000 cases of cholera and nearly 2,000 deaths across 21 of 23 governorates. 1 The SAP provides a legally binding road map for safeguards compliance during project implementation and providing clear guidance on the types of actions and instruments required to facilitate speedy implementation of emergency services. 2 For further details on the country’s context, refer to the Yemen Country Engagement Note 2017–2018 (Report 106118- YE). Draft ESMF for Yemen Emergency Electricity Access Project Page 1 Chapter 2 PROJECT DESCRIPTION 4. The World Bank is financing the Yemen Emergency Electricity Access Project (YEEAP), under the provisions of World Bank OP 10.00, paragraph 12, Projects in Situations of Urgent Need of Assistance or Capacity Constraints. 5. The overall objective of the Project is to improve access to electricity in rural and peri-urban areas within the Republic of Yemen. The detailed project design is closely aligned with emerging best practice, including: (a) a focus on bringing down upfront cost while improving access to financing; (b) working with private sector supply chains to reach remote areas; (c) working with financial intermediaries, rather than the Government, to channel financing to beneficiaries, including suppliers and consumers; d) a focus on providing long-term sustainable services through high-quality technical standards including strengthened warranties and after-sales services; (e) market development that includes sustainable models for O&M of solar systems; and (f) flexibility in implementation. 6. The Project is implemented by the United Nations Office for Project Services (UNOPS). UNOPS will engage the existing private sector supply chain in three ways: (a) by capitalizing on the geographical reach of the private sector supply chain to reach otherwise hard-to-reach rural and peri- urban areas; (b) by engaging Microfinance Institutions (MFIs) as financial intermediaries, the project will leverage IDA financing to enable private investment by households; and (c) through the market strengthening activities under Component 2, the project will contribute to more sustainable solar market and business development in Yemen. 7. No meaningful alternatives to the current project design have been identified, as the project contents, geographic scope, and activities are predefined by pre-existing infrastructure. Component 1. Financing for Off-grid Solar Providing Basic Electricity Supply to Households 8. Under this subcomponent, UNOPS will engage eligible MFIs3 , help them set up financing windows for high-quality, small-scale solar solutions for rural and peri-urban households, and provide grants to beneficiaries to make the systems affordable (see Error! Reference source not found.). The MFIs will initially serve as both distribution channels and financial intermediaries to reach beneficiaries. During implementation, the MFIs’ role in distribution would be gradually phased out, as described below. Participation in the subcomponent will be open to all MFIs that meet eligibility criteria to broadly build capacity among the MFIs and not distort the competitive landscape. Grants will be allocated to MFIs in phases to allow for learning and adjustments based on the MFIs’ performance. 3 While this document uses the term micro-finance institutions (MFIs) to describe entities eligible to participate in the project under Subcomponent 1.1, UNOPS may engage other entities that extend microcredits and fulfil the eligibility criteria defined in the Operations Manual. Draft ESMF for Yemen Emergency Electricity Access Project Page 2 Figure 1. Schematic View of Support to Small-scale Household Solar Systems World Bank Beneficiary IDA grant Grant contribution (in-kind or cash) UNOPS MFIs Financing (and Rural and peri- equipment in urban households Equipment early stage) (early stage) Solar supply chain Equipment (later stages of project) 9. Access to grants will be limited to residents of rural and peri-urban districts and small solar products that the non-poor are less likely to use. The combination of product selection and geographical targeting of rural and peri-urban areas to reach low-income households reflects lessons learned from the World Bank’s output-based aid and financial intermediary projects in off-grid solar.4 To mitigate the risk that the subsidized products are being systematically resold by beneficiaries, the number of systems available per household will be restricted. Despite these measures, the risk of leakage to nontargeted beneficiaries remains high. The effectiveness of the targeting mechanism will be closely monitored and, if needed, adjusted. 10. The grant component will be explicit and transparent and will be gradually phased out to build to a commercial market segment for small-scale, high-quality household solar products. Initially, beneficiaries will be presented the opportunity to purchase the solar equipment with a one-time offer of a grant equivalent to a predefined percentage of the market price and may pay the remainder of the cost in cash or through financing (or a combination). In doing so, the project will completely separate the subsidy from the nominal interest rate. In practice, this means offering solar products to rural households under purely competitive terms, however offering a rebate voucher to bring down the cost of the product. This voucher would be well-marketed and have clear eligibility periods. The terms of financing will be proposed by the MFIs as part of their proposals to UNOPS. Notwithstanding the above, the Operations Manual will stipulate that any implied interest rate will be within an acceptable range so as not to disrupt the market. The MFIs, UNOPS, and the World Bank will review the market uptake and other defined indicators to inform a revision of the grant proportion at each cycle, with the goal of eventual removal (that is, diminishing the value of the voucher over time). 11. A key goal in collaborating with MFIs is to establish solar microfinance structures in rural and peri-urban areas to make the solar market more inclusive, sustainable, and scalable in the long-term (for example, through the eventual expansion of product offerings). Working with MFIs also allows the project to capitalize on the reach of their agent networks, especially rural and peri-urban areas that are home to two-thirds of Yemenis but cannot be reached through alternative delivery options. 12. UNOPS will finalize the specific choice of supported products after conducting a rapid market assessment and a series of focus groups (see section VI-F). The project is likely to support pico-solar kits, which can power phone chargers and lamps and have seen spectacular growth in off-grid markets worldwide due to their simplicity and modularity. These products are largely unavailable in the Yemeni market and difficult to afford for low-income households without credit financing. Expanding the subcomponent’s scope to support additional solar products or complementary appliances, such as clean cookstoves or solar fans, will be considered at later stages of the project. 4Mumssen, Yogita, Lars Johannes, and Geeta Kumar. 2010. “Output-based Aid: Lessons Learned and Best Practices.” Directions in Development Finance. Washington, DC: World Bank. http://documents.worldbank.org/curated/en/206041468337170198/Output-based-aid-lessons-learned-and-best-practices Draft ESMF for Yemen Emergency Electricity Access Project Page 3 13. The extent of UNOPS’ involvement in procurement and logistics of solar systems will be decided based on conditions on ground, with a view to rely as much as possible on the capacity of the private sector supply chain: a) Initially, given (i) the lack of high-quality products currently available in the local market, (ii) the current difficulties with processing of commercial imports and associated logistics, and (iii) the opacity of the current solar importing channels, the project will keep the flexibility to involve UNOPS in procurement and in-country logistics of the solar equipment in the initial stages of implementation; b) Once UNOPS’ assessment of the market concludes that local importers/wholesalers can supply products that meet the required international standards (for example, Lighting Global- certified products) within a reasonable timeframe, UNOPS will transition to competitive procurement with delivery in-country; and c) Once UNOPS’ assessment of the market concludes that local retailers in rural and peri-urban areas have sufficient capacity to respond to demand for high-quality products, the subcomponent will transition to a model where solar systems can be procured directly by consumers from a list of prequalified suppliers. In this ultimate stage, the MFIs’ role will be to (i) extend financing and (ii) channel grants from UNOPS to eligible beneficiaries, whereas for distribution of systems and logistics the project will rely on local retailers. 14. By gradually phasing out the grant component and relying increasingly on the local supply chain, the project aims to demonstrate the commercial viability of high-quality solar products and build the capacity of the local value chain. If UNOPS’ assessment concludes that grants will continue to be required beyond the closing date of the project, it will engage local entities such as the Social Fund for Development (SFD) to manage the grant administration process and serve as a platform for donor financing. Details of procurement, logistics, and financial flows during the different stages of implementation outlined in the above paragraph, including specific criteria for the transitions between different stages, will be defined in the Operations Manual. 15. The project will draw on the World Bank Group’s positive experiences with relying on certified products and vetted suppliers for solar products under the Lighting Africa and Lighting Global programs. Certification has proven successful as a quality signal in the market and as an incentive for suppliers to accurately report technical specification and provide adequate warranties. The project will aim to replicate this experience in Yemen and rely on Lighting Global-certified products, if a workable model for imports, after-sales service, and warranty claims for these products can be found. Restoring Electricity Supply to Critical Services Facilities 16. Under this subcomponent, UNOPS will engage solar suppliers and installers to provide grant- financed solar systems to critical service facilities in rural and peri-urban areas, starting with health clinics and schools. UNOPS will identify recipient facilities on a need basis in coordination with development partners and local stakeholders5. The selection will focus on critical service facilities in which the lack of electricity is the binding constraint to service delivery. Where possible, UNOPS will seek to create synergies with other donors’ ongoing activities in the respective sectors. Additional solutions, including for water corporations and minigrids operated by rural electricity corporations, will be included at later stages6. 5 These might include humanitarian partners such as WHO, UNDP and UNICEF. 6 This will be subject to available conditions and factors that are acceptable and meet the scope and terms of the Project. Draft ESMF for Yemen Emergency Electricity Access Project Page 4 Figure 2. Restoring Electricity Supply to Critical Services Facilities World Bank Beneficiaries IDA grant Competitive Solar systems procurement and services Solar systems and UNOPS service providers Health clinics, schools, and so on 17. To ensure readiness for implementation, UNOPS will develop a short list of predefined solutions and beneficiaries before effectiveness, including specification of standardized technical specifications and standards. Some customization of systems may be required, particularly in instances in which facilities may be connected to the grid to ensure the utility of these systems even after power is restored on the public grid. Procurement will also include installation and after-sales services, including warranties, bundled with the supply of the solar system. The project will draw on lessons learned from the World Bank Group’s Sustainable Solar Market Packages and bundle supply, installation, maintenance, and local training and user manuals for solar systems to ensure adequate operations and maintenance (O&M) of the systems. UNOPS will coordinate with local authorities to facilitate handover of O&M responsibilities to local entities after the project closing date. Component 2. Implementation Support and Market Development Project Implementation and Management Support 18. This subcomponent will finance (a) general management support (indirect) costs for UNOPS; (b) direct management and supervision costs required to support the implementation of the project (including the use of remote monitoring technology); (c) independent audits of project activities, if required; and (d) the establishment of a Grievance Redress Mechanism (GRM) in the UNOPS Sana’a Office to document complaints and ensure follow-up. Third-Party Monitoring 19. UNOPS will engage a third-party monitoring (TPM) agent to undertake independent performance verification and field monitoring of activities funded under the project. Market Development 20. This subcomponent will finance technical assistance, capacity building, and other market strengthening measures to make the solar market in Yemen more inclusive and sustainable, including but not limited to (a) an awareness campaign and consultations (see section VI-F for further elaboration); (b) technical training and capacity building to firms along the solar supply chain (including financial institutions, retailers, installers, and other service providers) to increase their reach and strengthen the job creation aspect of the program; (c) technical assistance to the financial sector to develop de-risking mechanisms for commercial lending for solar (including supporting the further development of the newly established Loan Guarantee Program of SFD), with the expectation of International Finance Corporation coming in with financing for risk mitigation to complement the IDA intervention; (d) technical standard definition and dissemination, and establishment of testing centers in cooperation with local universities to enhance the technical standards in the industry; and (e) support for recycling of batteries from the project as well as the market, more generally, to minimize the environmental risks from disposing hazardous materials. As with other subcomponents, the activities under this subcomponent will be adjusted based on implementation progress and the needs of the market. Draft ESMF for Yemen Emergency Electricity Access Project Page 5 Figure 3. Scope and Design of Implementation Support and Market Development World Bank Communication, IDA grant Third-party Competitive monitoring, Rural and peri-urban Solar for critical procurement technical services households service facilities Technical Service UNOPS Providers Project implementation Market Development and market support Beneficiaries of general Solar supply chain market strengthening and MFIs Component 3. Contingent Emergency Response 21. The objective of this component is to improve the country’s response capacity in the event of an emergency, following the procedures governed by paragraph 12 of the World Bank Policy on Investment Policy Financing (Rapid Response to Crises and Emergencies). There is a possibility that, during project implementation, a natural disaster, epidemic, or another emergency may occur, which would cause a major adverse economic and/or social impact. In anticipation of such an event, the Contingent Emergency Response Component (CERC) allows UNOPS to receive support by reallocating funds from other project components or serving as a conduit to process additional financing from other funding sources for eligible emergencies to mitigate, respond to, and recover from the potential harmful consequences arising from the emergency. Disbursements under this subcomponent will be subject to the declaration of emergency by the Republic of Yemen, the international community, or the United Nations (UN). Range of potential emergencies • Natural disasters that trigger a collapse of electricity supply or require emergency electricity supply as part of the disaster response. The range of natural disasters can be found in https://www.preventionweb.net/countries/yem/data/. Recent examples include: o Sagar and Mekunu Cyclonic storms. They hit Socotra, Hadramaut and Al Maharah in Yemen in May 2018. o Chapala Cyclone. The Chapala Cyclone was the second strongest tropical cyclone on record in the Arabian Sea. According to the UN Office for Disaster Reduction (UNISDR), Chapala originated in the Indian Ocean on 28 October 2015 and intensified during the following days to category 4. The cyclone dropped three to four times the average yearly rainfall in less than two days on parts of eastern Yemen and south-west Oman. o Flash floods 2016. Flash floods caused by heavy rains on 13 and 14 April inundated several districts in seven governorates (Al Hudaydah, Amran, Hajjah, Sana'a, Al Mahwit, Aden, and Marib), affecting an estimated 4,000 families (24,000 people). At least 24 people were killed. (see https://reliefweb.int/disaster/ff-2016-000034-yem o Earthquakes. Yemen is a largely mountainous country that is susceptible to major earthquakes. (see https://www.earthquaketrack.com/p/yemen/recent) • Man-made disasters (i.e., serious disruptions of the functioning of services or communities involving widespread human, material, economic or environmental losses and impacts, which exceeds the ability of the affected community to cope using its own resources) that trigger a collapse of electricity supply or require emergency electricity supply as part of the disaster response. Draft ESMF for Yemen Emergency Electricity Access Project Page 6 Scope of supported activities • The scope of the CERC under this project is narrowly focused on support emergency electricity supply in the context of rapid responses to disasters or emergencies. • The geographical scope includes all of Yemen (i.e., a broader geographical scope than Component 1, which is limited to rural and peri-urban areas). • The scope of beneficiaries includes all households and all types of facilities that may form part of the rapid responses to crises or emergencies (i.e., a broader scope of beneficiaries than Component 1). • The technical scope includes small-scale solar-based power supply (i.e., the same technical scope as Component 1) as well as the following additional activities: o Supply of small modular generators (based on diesel or other generator fuels) and related electrical equipment o Fuel supply to such generators Draft ESMF for Yemen Emergency Electricity Access Project Page 7 Chapter 3 ELECTRICITY SECTOR BASELINE 3.1 Background 22. In 2014, before the conflict erupted, only about 66 percent of the population in the Republic of Yemen (henceforth referred to as Yemen) had access to public electricity (another 12 percent had access to private electricity solutions), the lowest level in the region. Rural and peri-urban areas, which account for approximately two-thirds of Yemen’s estimated 27 million population,7 suffered disproportionately from a lack of access to modern energy, with rural electricity access rates of only 53 percent. 23. By the end of 2017, access to electricity had dropped to below 10 percent8 due to extensive damage to the national grid and fuel shortages across the country.9 The second phase Yemen Dynamic Damage and Needs Assessment (DNA) found that six out of ten cities assessed had no access to public electricity, including major cities such as Sana’a, Hodeida, and Taiz. Even in cities where critical power infrastructure remains largely intact, such as Aden, these assets often sit idle due to fuel shortages. Pervasive fuel shortages due to the disruption of transport links have only exacerbated the effects of energy poverty on the rural poor. 24. The impacts have been devastating. Electricity has become a binding constraint for critical service facilities that do not have the means to invest in alternative energy sources, including health facilities and vaccine cold chains, water supply and sanitation, food supply, banking services, and more. Even where diesel generators were adopted for emergency power supply, fuel shortages are leading to severe constraints to service delivery, including in the water and health sectors where prolonged power outages are contributing to the spread of the cholera epidemic.10 Continued lack of electricity access is likely to contribute to a decrease in productivity, a deterioration of the business environment, and a reduction in the country’s gross domestic product (GDP). 25. The collapse of electricity and fuel supplies has severely affected employment and household incomes in rural and peri-urban areas, due to the dependence on agriculture and energy-intensive groundwater extraction for irrigation. It has also increased dependency on scarcely available and expensive liquid fuels. Social impacts include limits to children’s ability to study in the evenings and limited functionality of schools. The absence of and nighttime lighting has added to security concerns, especially among women for whom the lack of lighting on the way to shared latrines exacerbates risks to gender-based violence (GBV).11 Due to the lack of electricity for water pumping, many rural households have been forced to travel long distances to fetch water—a task that falls disproportionately on women and girls.12 Health effects on households include indoor air pollution from using liquid fuels to power appliances and kerosene for lighting, and reduced access to health services that depend on electricity. Fuel shortages have also caused prices to spike, with the price of cooking gas rising by 66 percent compared to pre-crisis times,13 and many women have reportedly 7 World Bank population estimates based on extrapolations from 2004 census data. 8 The Yemen Humanitarian Response Situation Report (Save the Children, October 2016) estimated access to grid-based electricity at 10 percent. Phone survey results from November 2017 by the World Food Programme (WFP) indicate that less than 1 percent of households relied on the electricity grid as their main source of electricity. 9 Using fuel sales to electricity plants as an indicator, total power generation in 2015 dropped by 77 percent compared to 2014. Light emissions visible from satellite imagery indicate a decline in electricity consumption by about 75 percent. 10 As electricity is required for pumping clean water, many Yemenis have resorted to drinking surface water, which may be contaminated with cholera bacterium. 11 Oxfam and Care International. 2016. Conflict and Gender Relations in Yemen: A Field Assessment. IASC Gender Standby Capacity Project (GenCap): Sana’a, Yemen. UNFPA Yemen Factsheet: Protecting Women and Girls (October 2017) indicates that a total of 2.6 million women and girls are currently at risk of GBV. 12 Ibid. 13 WFP phone survey results, 2017. Draft ESMF for Yemen Emergency Electricity Access Project Page 8 resorted to cooking with plastic,14 which releases severely harmful chemicals. 3.2 Solar PV in Yemen15 26. The crisis has resulted in boosting the photovoltaic (PV) market in Yemen where PV has penetrated the market with a high growth rate, with access to PV systems reaching around 50% of households in rural areas and 75% in urban areas, translating over one billion USD private sector driven investment in PV systems for residential sector alone over the past five years, with huge untapped potential in many other sectors. This has a positive impact on the Yemeni society, not only by improving energy access during the conflict time but also by enhancing socio-economic conditions in both urban and rural areas. PV technology has reached many houses and farms, as well as some health centers and schools. This situation coupled with the dramatic reduction in PV technology prices have opened the doors for a newly emerging market with unique experiences in how the growth occurred and how the labor skills were gained and developed to serve the market needs. 27. The market penetration of the PV technology in Yemen is dominated by the residential sector accounting for most of the sales volume. Some public and essential services have implemented solar PV systems either as stand-alone or in simple hybrid16 arrangement with diesel or petrol generators. 28. PV systems have been installed for several public essential services. For example: 1. Hospitals. The health facilities and hospitals have suffered from partial or complete blackouts during the recent periods. Several large hospitals have minimized their dependence on the national grid by installing diesel generators where the fuel was supplied by the government or international organizations. Other hospitals have installed solar PV systems for lighting, especially for the emergency departments there are cases where health facilities have installed solar PV systems for their necessary loads such as keeping vaccinations and medicines when low temperature storage is needed. For example, in Dhamar governorate, 13 health facilities have installed solar PV systems. Also, five health facilities in Sanhan directorate have installed solar PV systems. 2. Schools. The total number of schools in Yemen is around 17 thousand schools (16,961 schools in 2011 records. Scattered information has revealed some initiatives to build schools in many areas around Yemen, however data about most of them are neither available nor organized. The number of schools that use solar energy is estimated to be less than 10% of the total schools in Yemen. In the Sana’a city that contains 370 schools, UNICEF has the largest initiatives for the solar electrification of schools. The reported project is to install solar PV in 100 schools; the first phase of the project had accomplished 70 of them (Ministry of Education, 2016). Other PV-implementing schools in Sana’a are either supported by individual initiatives from the school staff or the community served by the school. 3. Prisons. The National Prisoner Foundation in cooperation with some businessmen have implemented four solar PV systems for four prisons in Sana’a city. 4. Drinking Water. Yemen highly depends on ground water in all the areas. Water supply has been affected due to the diesel shortage, and people are forced to buy water from tankers transferring water to remote locations. This type of water supply costs 4 times more than the original water cost due to the long transportation and fuel expenses. It was reported that 300,000 liters of diesel are required monthly for water supply purposes in the capital Sana’a. UNICEF and the Red Cross have implemented initiatives to supply free diesel for the water wells managed by the Yemeni government. Other initiatives were reported to have installed 14 Oxfam and Care International, 2016. 15 This section is adapted from World Bank, May 2017. Assessment of the status of solar PV in Yemen. Prepared by the Regional Center for Renewable Energy and Energy Efficiency 16 These systems are not fully integrated, which means that they are manually switched between solar PV systems and diesel/petrol generators. These types of system are not confined to the essential services but also in the residential sector, where a high percentage of people have diesel/petrol generators as back-up systems, which were installed before the recent conflict given to the usual frequent power outages. Draft ESMF for Yemen Emergency Electricity Access Project Page 9 PV systems in the water field for IDP needs by a few organizations such as CARE international, Oxfam, ADRA and NRC. The use of PV powered pumps for drinking water is an alternative that is not really implemented on a large scale. The reason behind this is the high power required by those pumps, which makes securing the required areas for the PV difficult in main cities like Sana’a. 5. Street lighting. By February 2016, the Ministry of Electricity and Energy in coordination with the General Authority for Maintaining Historic Sites and the Cooperative and Agricultural Credit Bank (CAC Bank) began the pilot stage to light streets and squares of old Sana’a with solar PV. This stage targets to light only 2% of the old Sana’a and it costs 10 million YER (40.000 USD) (Sharha 2016). Individuals have taken initiatives in many places to light their streets by solar PV systems in some major cities. 6. Mosques. Local communities took initiatives to light mosques in their neighborhood. The use of PV in mosques is a phenomenon that can be seen in almost all mosques. Local communities in some cases are supported by donors from other countries. Media news have mentioned that not less than 140 mosques were supported by those donors. 29. Generally, the maintenance of solar PV system for the essential services is conducted during the warranty period by the company that supplied and installed the system. In other cases, the facility owning the system calls any individual engineer or practitioner available in the local market for the repair/maintenance of the system on its own account. Draft ESMF for Yemen Emergency Electricity Access Project Page 10 Chapter 4 INSTITUTIONAL FRAMEWORK AND ARRANGEMENTS 30. The Project is an emergency operation processed under World bank OP 2.30 and OP 10.00 paragraph 12. UNOPS is the recipient of funds and the alternative implementation agency on an exceptional basis under the Financial Management Framework Agreement (FMFA) between the World Bank and UN agencies. 4.1 UNOPS 4.1.1 Project Implementation 31. The Project is directly implemented by UNOPS. UNOPS is responsible for: (i) project implementation; (ii) monitoring of project targets and results in coordination with the local partners; (iii) handling relevant procurement, financial management, and disbursement management including the preparation of withdrawal applications under the project; and (iv) ensuring that all reporting requirements for IDA are met per the Project Financing Agreement. The figure below describes the Project’s governance and management structure. Figure 4. Project Management Structure Oversight UNOPS Regional Office and Headquarters 2.1 2.2 Implementation Third party Implementation support monitoring UNOPS Yemen Country World Bank Task Team Office 1.1 1.2 2.3 1.1, 1.2, 2.3 Monitoring Solar Other local MFIs suppliers/ Service providers stakeholder & installers entities 32. UNOPS will decide on an appropriate contractual arrangement with each entity in accordance with its own operational guidelines. Local partners will play a critical role on technical aspects, such as coordinating with local stakeholders, identifying initial investments, and preparing initial specifications, as well as carrying out the assigned activities in accordance with the procurement plan. UNOPS will retain overall responsibility to the World Bank for the implementation of the Project. During Project implementation, UNOPS may engage additional local partners, if deemed necessary, following the same assessment process it has been following to engage the three initial local partners. 33. UNOPS has a regional office and hub based in Amman, Jordan that provides support and advice as needed. In addition, a Regional Oversight and Management Advisor oversees the operations in the region and provides management advice to the Regional Director. The Regional Office is also supported by UNOPS headquarters, based in Copenhagen, Denmark. 34. UNOPS has already started establishing an office in Sana’a, and Aden will follow soon. UNOPS office in Sana’a houses the project management and implementation support team of international and national staff comprising a program manager, procurement specialists, finance Draft ESMF for Yemen Emergency Electricity Access Project Page 11 specialists, an environmental and social safeguards officer (ESSO), a logistician officer, an IT officer, and an administrative officer. 35. To facilitate the investment planning process and ensure cross-sectoral coordination, UNOPS chairs a TC composed of representatives from the local partners. Other members can be coopted during the project, if needed. The World Bank may join the TC as an observer. The TC plays an advisory role and will meet twice a year and on a needs basis. Its main tasks include: (i) conducting a periodic review of the implementation of the Project and provide recommendations for improvement; (ii) reviewing proposed subprojects for the yearly investment plans and recommending a shortlist; and (iii) strategically communicating the Project and its investments to other donors and stakeholders. 4.1.2 Annual Investment Plans 36. For the first year, a preliminary list of activities has been prepared by UNOPS in collaboration with local partners. For subsequent years, a citizen-informed annual investment plan recommended by the TC and finalized by UNOPS will be submitted to the World Bank for non-objection prior to commencement of implementation. The annual investment plans will be reviewed during implementation to ensure the continued appropriateness of the selected investments. 4.1.3 ESMF Implementation 37. UNOPS is responsible for the overall implementation of the ESMF. More specifically UNOPS: Ensures compliance with national environmental regulations, as well as the World Bank environmental and social safeguards policies. Ensures the timely commencement of site specific ESIAs and ESMPs, as needed. Ensures that required safeguard instruments are in place before contracts for works that have physical impacts are signed, and before the start of proposed activities. Reviews tender documents and construction contracts regarding due consideration of the safeguards instruments, and the inclusion of effective and enforceable contractual clauses. Assumes responsibility for citizen engagement, maintaining adequate stakeholder engagement and grievance redress mechanism and ensuring that local partners maintain the same at their level. 38. The permanent Environmental and Social Safeguards Officer (ESSO) is responsible for on-site compliance with environmental and social mitigation measures and health and safety requirements at subproject level. The ESSO is supported by an international expert, who will oversee the overall implementation of the ESMF, as well as assist in the monitoring and reporting of safeguards aspects throughout project implementation. 4.2 Local Partners 39. UNOPS will implement the Project in collaboration with local entities, including MFIs, solar equipment suppliers and technical service providers. 4.2.1 Microfinance Institutions 40. Commercial retail and consumer banking was limited in Yemen before the crisis, but the microfinance sector was a success story and has emerged as the most robust channel for extending financial services to rural and lower-income households. Before the crisis, microfinance institutions (MFIs) had a portfolio of over 100,000 borrowers with loans of over US$50 million, and 280,000 savers with deposits of over US$130 million. Cumulatively, by 2013, Yemeni MFIs had extended 624,491 loans worth US$257 million. 41. While the crisis severely hit the financial system by damaging the profitability of banks, the MFI sector has shown resilience due to their lower exposure to government bonds, greater reliance on cash, and more diverse portfolio and savings base. The MFIs, especially the larger ones were largely able to retain both capital and profitability, primarily from operational activity such as money transfers. They have been able to sustain their operations and develop new business lines, in particular Draft ESMF for Yemen Emergency Electricity Access Project Page 12 financing for solar, representing 5–20 percent of total lending among assessed MFIs. Most solar lending has so far been to better-off households, farmers, and SMEs, and mostly limited to urban areas. 42. UNOPS is planning to conduct a full assessment of MFIs to verify their capacity before 31 August 2018, including their capacity to manage environmental and social issues associated with the solar PV sector. 43. Based on this assessment, UNOPS, in consultation with the World Bank, will decide on the appropriate selection procedures and contractual arrangements for the different MFIs in accordance with its own operational guidelines. 4.3 The World Bank 44. The World Bank Task Team will review site-specific ESIAs and ESMPs to ensure that their scope and quality are satisfactory to the Bank. 45. The World Bank will also monitor the implementation of the different prepared instruments through regular supervision missions that will include an environmental and/or social specialist) during which document reviews, and site visits and spot-checks by TPM will be conducted as needed. 4.4 TPM 46. UNOPS will engage a Third-Party Monitoring (TPM) agent to undertake independent results verification of subprojects funded under the Project. The TPM agent will report on the activity outputs, the restoration of services for the intended beneficiaries, and the fiduciary and safeguard processes followed by the local partners. The Terms of Reference (TOR) for the TPM agent will be developed by UNOPS and agreed upon with the World Bank. UNOPS will regularly share TPM reports with the Bank and will include in the report the actions taken to address any implementation issues identified by the TPM agent. The TPM agent will monitor environmental and social safeguards compliance. 4.5 Other National Organizations 4.5.1 Local Councils 47. Local councils are the administrative body elected by the local community in each governorate/ directorate. They cooperate with governmental offices in implementing, operating and supervision of projects. They approach donors for financing the demanded projects and facilitate handing over the different important infrastructure services projects to the related ministry office. 48. Local Chambers of Commerce can also play a facilitation role. 4.5.2 Civil society organizations 49. There over 12,000 registered CSOs in Yemen, but only a few hundred CSOs have the capacity and resources to fulfill their mandates. Therefore, UNOPS will be selective in engaging CSOs with the Project activities. 50. Nonetheless, under subcomponent 2.2 of the project and starting with the second year of implementation, the Project will expand to include additional activities that will be based on community priorities identified through citizen engagement mechanisms and the community validation of investment options. UNOPS will implement these activities by engaging Civil Society Organizations or other relevant technical experts, as needed. Draft ESMF for Yemen Emergency Electricity Access Project Page 13 Chapter 5 LEGAL AND REGULATORY FRAMEWORK 51. The ESMF is prepared to: meet the requirements of the World Bank’s Operational Policy on Environmental Assessment Policy (OP 4.01) 17, including the World Bank Group Environment, Health and Safety (EHS) Guidelines, most particularly the General Guidelines meet the UNOPS Environmental, Health and Safety procedures and practices comply with national environmental and social laws and regulations. 5.1 World Bank Requirements 52. Considering the nature and magnitude of potential environmental impacts that might result from Project funded activities, the World Bank assigned EA Category B to the Project, according to OP 4.01. Neither Category A subcomponents nor Project activities are eligible for funding. The Project supports activities to restore access to electricity and electricity-dependent service facilities through distributed solar energy systems and all activities are planned to take place on existing footprints. The proposed activities will involve the installation of solar system on rooftops or on the beneficiaries’ property adjacent to the supplied facilities. Impacts are expected to be limited, local, site-specific, temporary, manageable, and reversible. The Contingency Emergency Response Component (CERC) may include additional activities to restore electricity supply to critical facilities, businesses, or households, but will not include any activities that would trigger additional safeguards policies. 53. The Project does not trigger the World Bank Operational Policy on Involuntary Resettlement (OP 4.12). The Project will exclude any activity that will require involuntary land acquisition or any other form of land take. No physical displacement or potential impact on livelihoods is anticipated. It is unlikely that additional land outside the beneficiary property will be required for the installation of the solar system during the life-span of the Project. 54. The Project does not trigger the World Bank Operational Policy on Physical Cultural Resources (OP 4.11) because the Project it does not entail new construction and focus only on rehabilitation and improvement of existing services and infrastructure. No damage to physical cultural resources is expected. 55. OP 4.01 provides for the use of an Environmental and Social Management Framework (ESMF) when a project consists of a series of subprojects, and the impacts cannot be determined until the subproject details have been identified. The ESMFs examine the issues and associated impacts, sets out the principles, rules, guidelines, and procedures to assess the environmental and social impacts during project implementation. It contains measures and plans to reduce, mitigate, and/or offset adverse impacts and enhance positive impacts of subprojects, provisions for estimating and budgeting the costs of such measures, and information on the agency or agencies responsible for addressing project impacts. 5.1.1 Environment, Health and Safety Guidelines 56. The World Bank Group Environment, Health and Safety (EHS) guidelines18 are referenced in 17OP 4.01 is part of the 10 World Bank’s Safeguard Policies. The Project does not trigger the following Safeguards Policies: OP 4.04, Natural Habitats, OP 4.09, Pest Management, OP 4.10, Indigenous Peoples, OP 4.11, Physical Cultural Resources, OP 4.12, Involuntary Resettlement, OP 4.36, Forests, OP 4.37, Safety of Dams, OP 7.50, Project in Disputed Areas, and OP 7.60, Projects on International Waterways. 18 A complete list of industry-sector guidelines can be found at: www.ifc.org/ifcext/enviro.nsf/Content/EnvironmentalGuidelines. Draft ESMF for Yemen Emergency Electricity Access Project Page 14 footnote 1 of OP 4.01. They are technical reference documents with general and industry-specific examples of Good International Industry Practice (GIIP). They define acceptable pollution prevention and abatement measures and emission levels in World Bank financed projects. 57. The EHS Guidelines contain the performance levels and measures that are generally considered to be achievable in new facilities by existing technology at reasonable costs. Application of the EHS Guidelines to existing facilities may involve the establishment of site-specific targets, with an appropriate timetable for achieving them. 58. The application of the Guidelines to existing facilities may involve the establishment of site- specific targets with an appropriate timetable for achieving them. The environmental assessment process may recommend alternative (higher or lower) levels or measures, which, if acceptable to the World Bank, become project- or site-specific requirements. 59. If less stringent levels or measures than those provided in the EHS Guidelines are appropriate, in view of specific project circumstances, a full and detailed justification for any proposed alternatives is needed as part of the site-specific environmental assessment. This justification should demonstrate that the choice for any alternate performance levels is protective of human health and the environment. When host country regulations differ from the levels and measures presented in the EHS Guidelines, projects are expected to achieve whichever is more stringent. 60. Due to the nature of its activities, the Project will use as appropriate the General Guidelines, including (i) Environmental, (ii) Occupational Health and Safety, (iii) Community Health and Safety, and (iv) Construction and Decommissioning, as well as the Guidelines for Construction and Decommissioning, as well as any other relevant Guidelines. 5.2 UNOPS Requirements 61. UNOPS has Environmental, Health and Safety (EHS) procedures and practices that include: (a) a Project Health and Safety Plan (PHSP), which is a management framework to ensure safer construction practices and to prevent dangerous acts that could lead to accidents on site; (b) standard contracts to which the PHSP is attached as an integral part; and (c) training programs for on-site staff on EHS aspects before Projects begin. 5.3 National Policies, Laws and Regulations 62. The Republic of Yemen (RoY) has drafted policies and established institutions and responsibilities for environmental management, joined international conventions and developed sector legislation and procedures. 5.3.1 National Environmental Action Plan 63. The RoY enacted a National Environmental Action Plan (NEAP) in 1995 that was prepared with the support of the UNDP and the World Bank. The NEAP defines priority actions regarding key environmental issues such as water resources, land resources, natural habitats, and waste management. 5.3.2 Environmental Protection Law 64. The Environmental Protection Law (Law 26/1995; EPL), enacted in 1995 in the wake of the NEAP, constitutes the framework environmental legislation for Yemen. It includes provisions for environmental protection in Yemen, the issuance of permits, and Environmental Impact Assessments (EIAs). The provisions of the law are implemented through By-Law 148/000. 65. The law is also designed to: (i) incorporate environmental considerations in economic development plans at all levels and stages of planning, (ii) protect the national environment from activities practiced beyond national boundaries, and; (iii) implement international commitments ratified by the RoY in relation to environmental protection, pollution control, the conservation of natural resources, and global environmental issues such as the depletion of the ozone layer depletion and climate change. Draft ESMF for Yemen Emergency Electricity Access Project Page 15 5.3.2.1 Environmental Protection Authority 66. The EPL established an Environmental Protection Council (EPC)and granted it power to take all measures necessary to protect and improve the quality of environment and to prevent pollution of the environment. Decree 101/2005 established the Public Environmental Protection Authority (EPA) to replace the EPC and lays down its objectives, tasks, and management. The functions assigned to the EPA include: • preparing and executing appropriate policies/strategies/plans to protect the environment • conducting environmental surveys • assessing areas/resources/species to be protected through necessary measures conserving the ecosystem including flora and fauna, wild and marine life as per existing laws and monitoring their application • developing legislative proposals for environment protection in coordination with other agencies involved • developing a National Emergency Plan to combat natural disaster and environmental pollution in consultation with the agencies concerned implementing environmental protection law and other relevant laws/regulations • reviewing EIA studies for public /private sector projects for giving clearance and monitoring their execution • coordinating relevant programs/activities with national, regional, and international agencies and organizations • recommending necessary laws, regulations and systems to protect the environment, in accordance with regional and international agreements on environmental protection. • collecting data, assessing and evaluating the status of the environment, and setting up suitable monitoring systems • laying down appropriate standards for protecting the environment from pollution and formulating policy guidelines to combat industrial pollution and protect animal, plant and marine ecology 5.3.2.2 Environmental Impact Assessments 67. The EPL requires the preparation of EIAs for projects proposed by the public and private sectors. The proponent is responsible to undertake the EIA, but the report may be prepared by the proponent or the competent authority or both. Line ministries and Government bodies commission EIA studies at the request of funding agencies and seek the advice of the EPA. 68. The EPA is responsible for implementing screening procedures, assisting in scoping, evaluation, and approval of the Environmental Impact Statement (EIS). However, there is still no regulatory framework to support the implementation of the EPL and the provision of undertaking EIAs for projects is not strictly enforced, particularly for project that are not internationally funded. 69. Given the current context, modifications to the EIA procedures are not expected during the project. Current procedures will be taken into account, but there is no expectation at this point that the EPA will review the Project’s safeguard instruments. 5.3.2.3 National Environmental Standards and Specifications 70. The former Environment Protection Council (EPC) issued environmental standards and specifications as annexes to the Executive Regulations, covering potable water quality, wastewater quality for agriculture, and ambient air quality, emissions, noise, biodiversity, and protected areas. These include standard application forms intended for use by all relevant government bodies. 71. The EPC has released draft standards for wastewater quality and air quality but a comprehensive set of standards is not yet available. In their place, EPC uses international standards, primarily those of the World Health Organization (WHO). 72. Decree 148/2000 sets permissible limits for pollutants for use by all government bodies (see Annex 3). Draft ESMF for Yemen Emergency Electricity Access Project Page 16 5.3.3 ESIP 73. In October 2002, the Environmental Protection Authority (EPA) issued the Environment and Sustainable Investment Program 2003-2008” (ESIP). The ESIP outlines a strategy and priority interventions to control and reverse environmental degradation and support sustainable human development in Yemen. The ESIP focuses on six areas of intervention: Habitat and biodiversity conservation; Sustainable land management; Sustainable water management; Sustainable waste management; Sustainable climate change and energy management; Institutional development and capacity building. 5.3.4 International Conventions 74. The RoY is party to several international environmental agreements, the most important of which are: • World Heritage Convention (UNESCO) • International Convention on Civil Liability for Oil Pollution Damage (CLC) • The Convention on Biodiversity (CBD) • The Convention on the Conservation of Migratory Species (CMS) • The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) • The United Nations Framework Convention on Climate Change (UNFCCC) • Kyoto Protocol (Yemen is not yet a party to the Paris Climate Agreement) • The United Nations Convention on Combating Desertification (UNCCD) • The Environmental Modification Convention (ENMOD) • The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal • Convention on Wetlands of International Importance Especially as Waterfowl Habitat • Law of the Sea • The Montreal Protocol on Substances that Deplete the Ozone Layer • Stockholm Convention on Persistent Organic Pollutants 75. In general, national agencies are not currently able to handle the technical complexities and reporting requirements of international agreements. 76. Project activities are not expected to be in breach of any international agreement to which the RoY is a party. 5.3.5 Gender 77. Yemen ratified the Convention on Elimination of all Forms of Discriminations Against Women (CEDAW) in 1984 and prepared a National Strategy for Women Development in 1997 that was updated in 2015. Decree 55/2009 delegates the implementation of CEDAW to relevant ministries and authorities. Based on amendments proposed by the Women National Committee, 24 laws were amended to ensure building gender balance in accordance with the convention. 78. The Labor Law (Law 5/1995) states that women are equal to man in all aspects without any discrimination, and that equality should be maintained between women and men workers in recruitment, promotion, wages, training, social insurance. It also regulates work time for pregnant women. 5.3.6 Labor 79. The Labor Law regulates the rights and wages of workers, their protection, occupational health, and safety. In addition, the Social Insurance Law regulates retirement compensation. Draft ESMF for Yemen Emergency Electricity Access Project Page 17 5.3.7 Child Labor 80. Yemen has ratified ILO Convention Number 138 on Minimum Age for Admission to Employment (Law 7/2001). The Convention establishes a minimum age for admission to employment. 81. Yemen has also ratified the ILO Convention 182 on the Worst Forms of Child Labor. It refers to child labor as work that is mentally, physically, socially, or morally dangerous and harmful to children; and interferes with their schooling by depriving them of the opportunity to attend school, by obliging them to leave school prematurely; or by requiring them to attempt to combine school attendance with excessively long and heavy work. 82. Drawing a line between “acceptable” forms of work by children and child labor can prove difficult, as it depends on the child’s age, the types of work performed, the conditions under which it is performed and national. 5.4 Comparison between World Bank Requirements and Yemeni Requirements 83. The following table compares World Bank environmental and social requirements with Yemeni Requirements, identifies gaps and suggests how UNOPS should address these gaps19. The Table covers OP 4.01 requirements, as well as OP 4.11, Physical Cultural resources, in a subsidiary manner. 19The World Bank requirements are based on Table 1 of OP 4.00, Piloting the Use of Borrower Systems to Address Environmental and Social Safeguard Issues in Bank-Supported Projects Draft ESMF for Yemen Emergency Electricity Access Project Page 18 Table 1. Comparison of World Bank and Yemeni Environmental and Social Requirements World Bank Requirements Yemeni Requirements Gap OP 4.01, Environmental Assessment 1. Use a screening process for each proposed The Environmental Protection Council must inform the proposed projects proponents of the screening results No Gap project, as early as possible, to determine the within three months from submission of the project proposal and determines the appropriate EA instrument OP 4.01 and Yemeni appropriate extent and type of environmental and required studies required to assess potential risks and impacts. The EIA guideline provides the environmental laws and assessment (EA) so that appropriate studies are possibility of using regional and international assessment procedures and norms when applicable. If the regulations complement undertaken proportional to potential risks and to project is rejected, the rejection note should indicate the basis for the rejection, as well as the relevant sections each other. direct, and, as relevant, indirect, cumulative, and of the regulatory framework. The EIA guideline also provides the possibility for project proponents to contest associated impacts. Use sectoral or regional any rejection and to appeal to the special court, within a period of 60 days. The court must make a final environmental assessment when appropriate. judgment within six months (Chapter 1 Article 3, EPL 26/1995 - By-law 148/2000). 2. Assess potential impacts of the proposed All concerned authorities, including those responsible for socioeconomic and development planning, must No Gap project on physical, biological, socioeconomic, and mainstream environmental concerns and pollution control measures and the conservation of natural resources OP 4.01 and Yemeni physical cultural resources, including when planning for development projects and national socioeconomic plans; issue investment permission either environmental laws and transboundary and global concerns, and potential with national or international capital investment should not agree on any investment which could significantly regulations complement impacts on human health and safety. harm the environment and increase pollution; and concerned authorities should include pollution impact each other. mitigation measures and environment management plan in all projects and to be also included in the contracts planned to be signed with national and international investments entities (EPL Chapter 2 Article 4). Includes a requirement to protect local environment from transboundary impacts and vice-versa, according to the international conventions mentioned in national laws which link the regional and international environmental conventions. National contribution arrangement will be indicated in this and other laws in protection of global environmental concerns e.g. ozone layer and climate change (EPL Chapter 2 Article 5 and 7). 3. Assess the adequacy of the applicable legal and National law commits to implement international environmental convention, pollution control and conservation No Gap institutional framework, including applicable of natural resource and biodiversity as approved by the Yemeni Parliament (EPL Chapter 2, Article 3). OP 4.01 and Yemeni international environmental agreements, and environmental laws and confirm that they provide that the cooperating regulations complement government does not finance project activities that each other. would contravene such international obligations. 4. Provide for assessment of feasible investment, The Law requires the preparation of an EIA during the preparation of all projects and the inclusion of mitigation No Gap technical, and siting alternatives, including the "no measures in the project’s capital and recurrent costs (Cabinet Decree Number 89/1993). The EIA should OP 4.01 and Yemeni action" alternative, potential impacts, feasibility of describe: (i) proposed project activities, design of activity, the surrounding environment that may be affected, environmental laws and mitigating these impacts, their capital and including a land use map of the adjacent areas, the requirement and types and source of energy, raw material regulations complement recurrent costs, their suitability under local and infrastructure services and roads emergency plan and safety, waste disposal etc; (ii) and (iii) alternatives each other. conditions, and their institutional, training and using less polluted inputs, as well as consideration of the ‘no -project’ alternative (EPL Article 37 Para (b)). monitoring requirements associated with them. The EIA guidelines require that ESIAs consider the social acceptability or refusal of the local communities to the proposed project, with evidence and record of public consultations, and if the project is accepted, the ESIA should include baseline data, indicators, and monitoring plan. It also includes requirements for monitoring, capacity building, verification of monitoring results and findings (EPL Article 60). Draft ESMF for Yemen Emergency Electricity Access Project Page 19 5. Where applicable to the type of project being Chapter 9 of Labor Law Number 5/1995, Law Number 25/1997 and Law Number 25/2003 address There is a gap between the supported, normally apply the EHS Guidelines. Occupational health and safety and work environment in Articles 113 to 118. World Bank’s EHS Justify deviations when alternatives to measures Employers are required to provide necessary occupational safety and health conditions, including: ventilation Guidelines, UNOPS EHS set forth in the EHS Guidelines are selected. and lighting of workspaces; protection from emissions (gas, dust, etc) hazards; protection from machine procedures and practices accidents and hazards; provision of gender-specific toilet facilities; provision of safe drinking water for workers; and Yemeni laws and basic firefighting equipment and emergency exits; provision of appropriate personal protection equipment; fair regulations. compensation; access to periodic medical examinations; availability of first aid. The competent authority shall Projects should apply ensure the availability of the appropriate work environment and conditions for occupational safety and health. whichever is more The Ministry of Labor advises employers in the field of occupational health and safety; organize and implement stringent. accident prevention training programs; exchange of technical information; identify and evaluate the means of accident prevention measures; etc. The Minister may establish subcommittees for occupational health and safety in the governorates and in the sectors and industries, which include the relevant bodies. The composition decision shall determine the functions of these committees, their terms of reference and the rules governing their work. Where employers fail to implement labor protection and labor safety regulations, they could receive a one week stop order from the Minister, until the reasons for the breach are explained. The Minister must refer the matter to the competent arbitration committee if the partial suspension is extended or if a total suspension is requested. If the employer does not remove the risk, the workers who have stopped working are entitled to full wages. The employer can appeal the decision of partial or total suspension if the decision is found to have been arbitrary. 6. Prevent and, where not possible to prevent, at National law gives priority to the principle of environmental protection and pollution prevention, and not only to No major gap least minimize, or compensate for adverse project the mitigation or compensation of impacts. All new projects must carry out EIAs to prevent adverse impact and impacts and enhance positive impacts through must obtain an environmental permit. No project or new structure that could harm, pollute, or deteriorate the environmental management and planning that environment and natural resources is allowed and all new projects should use best available practices for includes the proposed mitigation measures, clean production and apply environment protection/pollution prevention measures. monitoring, institutional capacity development and Yemeni Law encourages related sectors and projects to provide institutional capacity and training for projects training measures, an implementation schedule, to enhance their capacity and knowledge in handling environmental issues. It also encourages research and and cost estimates. development in all environmental aspects (EPL, Article 90). 7. Involve stakeholders, including project-affected Article 35 of the Yemeni Constitution declares that Environment protection is the responsibility of the state No major gap groups and local nongovernmental organizations, and the community and that it is a duty for every citizen. Community and NGO participation are considered an as early as possible, in the preparation process essential part of consultation while planning proposed projects, and is a continuous process before, during and and ensure that their views and concerns are after project implementation (EPA EIA Guideline). Furthermore, NGOs and individuals can directly sue any made known to decision makers and taken into person or entity who cause harm to the environment and natural resources or participate in its deterioration account. Continue consultations throughout and pollution (EPL Article 4, para 4 and Article 82). project implementation as necessary to address EA-related issues that affect them. Draft ESMF for Yemen Emergency Electricity Access Project Page 20 8. Use independent expertise in the preparation of National law recognizes the importance of accredited independent consultants or Environmental Non- No major gap EA where appropriate. Use independent advisory Governmental Organizations ENGOs and environmentally concerned CBOs (EPA EIA guideline). panels during preparation and implementation of projects that are highly risky or contentious or that involve serious and multi- dimensional environmental and/or social concerns. 9. Provide measures to link the environmental Government planning authority should provide measures to incorporate environmental concerns in No major gap assessment process and findings with studies of socioeconomic plans in all planning cycles and put the environmental concerns as integral part of the economic, financial, institutional, social, and development planning to be sustainable in all sectors to avoid any environmental negative impacts in future technical analyses of a proposed project. (EPL Article 4 Para 6). 11. Disclose draft EA in a timely manner, before ESIAs should include a reference list and a non-technical summary for public use and disclosure in a form and No major gap appraisal formally begins, in an accessible place language understandable to the general public (EPA EIA guideline). and in a form and language understandable to key stakeholders. Draft ESMF for Yemen Emergency Electricity Access Project Page 21 Chapter 6 TYPOLOGY OF POTENTIAL ENVIRONMENTAL AND SOCIAL IMPACTS 84. This chapter identifies negative environmental and social impacts that might result from activities under Components 1, 2 and 3/CERC of the Project. 85. Annex 6 presents a broader array of potential impacts and associated mitigation than those described in this Chapter 6, which UNOPS used for the Yemen Integrated Urban Services Emergency Project. UNOPS will use Annex 6 as guidance if the subproject ESIA identifies impacts that are not described in this Chapter. 86. Although UNOPS is ultimately accountable for the environmental and social performance of all subprojects, the actual mitigation of subproject impacts will be done by the MFIs and the contractors. 87. The main environmental risk is the improper disposal of equipment, including batteries. UNOPS is conducting an assessment on the current battery recycling and disposal options in Yemen to provide mitigation measures for the risk of improper disposal that should be available in October 2018. 88. The climate and disaster risk screening concluded that the exposure of the Project is moderate and can be addressed through the selection and technical design of financed interventions.20 6.1 Construction Related Impacts 89. Contactors manage most impacts that are directly related to construction activities. These also include impacts related to the construction or management of Project related facilities by the contractor, such as offices, storage facilities or guard houses. 90. UNOPS expects local contractors to conduct all works using workers that already reside in the cities where the works are conducted. Thus, subprojects will trigger minimal labor influx and contractors are not expected to build or operate residential labor camps to host such workers. The Project will not support involuntary land acquisition or any other form of land take by the projects. 91. The following is a list of the main impacts: 6.1.1 Community Health and Safety Temporary disruption of economic activities and movement during installation/construction Public safety during and after installation/construction/operation, including from poorly installed panels 6.1.2 General Environmental Impacts Disposal of construction debris and waste materials, most particularly batteries and spent solar panels Damage to significant physical cultural property 6.1.3 Occupational Health and safety Work related accidents and injuries Risk to workers from electric shocks Poor onsite sanitation or water supply, leading to illness and disease 20Identified risks include (a) extreme temperatures which may have a slightly negative impact on the performance of solar systems and (b) droughts which may impact the livelihood of supported households. Draft ESMF for Yemen Emergency Electricity Access Project Page 22 The risk of employing children for construction activities21 6.1.4 Social potential exclusion of poor and vulnerable households, including female-headed households and internally displaced people (IDP) potential exclusion of small retailers from lists of prequalified suppliers gender gap in access to clean and modern energy 21 For the purposes of the ESMF, a child is a person under age 18. Draft ESMF for Yemen Emergency Electricity Access Project Page 23 Chapter 7 IMPACT MITIGATION MEASURES 92. This Chapter defines mitigation measures for the impacts described in Chapter 6. 93. UNOPS will mitigate the environmental and social impacts associated with installation/construction by: including environmental and social clauses in all supply, installation/construction contracts ensuring that contractor personnel are familiar with these clauses requiring contractors to comply with the National Labor Law (Decree 5/1995) and applicable International Labour Organization conventions on workplace conditions preparing safety manuals or handbooks for contractors as required. 94. Finally, UNOPS will directly intervene to ensure that poor and vulnerable households are not excluded, and that small retailers are included in the lists of prequalified suppliers. Table 2. Potential impacts and matching mitigation measures. Potential impact Mitigation measures Community Health and Safety Temporary disruption of economic activities and • Inform and coordinate with the local councils and movement during installation/construction the public on the maintenance schedule • Shorten works period • Provide alternative access to residences and roadside businesses • Avoid work during night hours Public safety during • Erect removable barriers in high risk areas installation/construction/operation • Install warning signs • Protect proper shielding scaffolds General Environmental Impacts Disposal of construction debris and waste • Properly dispose of solid waste at designated sites materials, most particularly batteries and spent through permitted procedures panels • Ensure proper recycling and disposal paths exist for batteries Damage to significant physical cultural property • Contracts to include provisions for chance find • In the event of a potential find, liaise with the Archaeological Department at Ministry of Culture or a local university for quick assessment and action. Occupational Health and Safety Work related accidents and injuries • Provide occupational health and safety training to all employees involved in works • Provide protective masks, helmet, overall and safety shoes, safety goggles, as appropriate • Provide workers in high noise areas with earplugs or earmuffs • Ensure availability of first aid box Risk to workers from electric shocks • Train workers to avoid, protect themselves and respond to electric shocks Poor onsite sanitation or water supply, leading to • Provide employees with access to toilets and illness and disease potable drinking water Draft ESMF for Yemen Emergency Electricity Access Project Page 24 The risk of employing children for construction • verify that workers are older than 18 when hiring activities22 • exclude all persons under the age of 18. • review and retain copies of verifiable documentation concerning the age of workers Social potential exclusion of poor and vulnerable • ensure fairness and transparency by targeting rural households, including female-headed households and peri-urban areas with attention paid to and internally displaced persons (IDP) reaching first-time borrowers and by ensuring that beneficiaries’ eligibility criteria will be transparent and part of the communication campaign potential exclusion of small retailers from lists of • rely as much as possible on the local supply chain prequalified suppliers and by targeting technical service providers • provide technical training to solar system retailers, importers, and technical service providers gender gap in access to clean and modern energy • conducting gender-disaggregated focus group discussions with communities • technical assistance to women community organizations • awareness raising campaigns • short-listing a representative share of women for jobs at the project team 7.1 Other mitigation measures 95. UNOPS expects to engage in small to medium scale solutions for existing water systems (to reduce the costs of diesel) subject to certain conditions at the later stages of implementation of Subcomponent 1.2. UNOPS would then conduct an assessment of water resource management practices and water resource sustainability to ensure that the proposed design and the Environmental and Social Management Framework (ESMF) maintain the sustainability of water resources for all users. 96. To mitigate social tension due to the possible exclusion of poor and vulnerable households and small retailers, the Project is targeting rural and peri-urban areas with particular attention paid to reaching first-time borrowers, and beneficiaries’ eligibility criteria will be transparent and part of the communication campaign. This aspect will be covered as part of the previously mentioned assessment of MFIs. 97. Additional mitigation measures for social risks are to conduct focus groups before launching the program; to conduct an awareness campaign to ensure transparency and community engagement; to promote transparency using a GIS-based portal mapping all Project activities; and to implement the GRM. UNOPS is in the process of recruiting a local firm to conduct two awareness campaigns (2018- 2019 and 2019-2020). 22 For the purpose of this ESMF, a child is a person under age 18. Draft ESMF for Yemen Emergency Electricity Access Project Page 25 Chapter 8 SUBPROJECT SCREENING 98. The ESSO will screen all subproject proposals prepared by UNOPS (Components 1, 2 and 3/CERC) according to the procedures described in this Chapter, to determine the environmental and social issues that subprojects might trigger, and to decide what type and level of assessment is needed. 99. UNOPS will ensure, through preselection screening of MFI capacity to address environmental and social impacts and capacity building, that the MFIs have sufficient capacity to manage safeguards requirements and comply with the World Bank safeguards policies. Generally, UNOPS will, under the selection process, limit participation in the Project to entities that have retained their capacities and functionality despite the current conflict in the country. 8.1 Steps in the Screening Process 100. Project activities include works, as well as the purchase of goods and services. Contractors that are funded by the Project under a works’ contract will install all infrastructure goods, such as streetlights and solar panels, or other large equipment purchased by the Project. Step 1. Applicability 101. The first step of screening is for the ESSO to determine the extent of potential direct and indirect environmental and social impacts for each subproject. No further attention is required if the subproject is unlikely to have direct or indirect environmental or social impacts. Step 2. Eligibility (Negative List) 102. The second step is to determine if the subproject is eligible for financing under the Project. The ESSO will identify, analyze, and assess if the subproject is likely to have any of the following attributes: Category A attributes, such as: • Activities with significant adverse impacts that are sensitive, diverse, or unprecedented, or that affect an area broader than the sites or facilities subject to physical works • Major resettlement • Greenfield subprojects Solid Waste • New disposal site Irrigation • Construction of new or the expansion of existing irrigation and drainage schemes. Income Generating Activities • Activities involving the use of fuelwood, including trees and bush • Activities involving the production or use of hazardous substances or explosives Labor • Activities with potentially significant adverse impacts related to labor influx, child or forced labor Natural Habitats, World Bank OP 4.04 • Activities with impacts to natural habitat should be excluded, particularly impacts to critical natural habitats, sensitive areas, high biodiversity values, and protected areas. Draft ESMF for Yemen Emergency Electricity Access Project Page 26 Pesticides, World Bank OP 4.09 • Activities requiring pesticides that fall in WHO classes IA, IB, or II. Physical Cultural Resources, World Bank OP 4.11 Damage to cultural property, including but not limited to activities that affect: • Archaeological and historical sites • Religious monuments, structures, and cemeteries Involuntary Resettlement, World Bank OP 4.12 • Activities requiring the involuntary land acquisition or the relocation of PAPs (Project Affected Persons) or any other form of land take • Activities that require the relocation of encroachers or squatters Forests, World Bank, World Bank OP 4.36 • Activities that would involve significant conversion or degradation of critical forest areas or related critical natural habitats Safety of Dams, World Bank OP 4.37 • The rehabilitation of any dams, or any activities that may be affected by the operation of an existing dam Projects on International Waterways, World Bank OP 7.50 • Activities that affect non-national riparians Subprojects with any of the above attributes will not be eligible for support under the Project. Step 3. Use of Installers/Contractors The third step is to determine if the subproject includes the provision of works contracts. All subprojects involving works will be subjected to the environmental and social clauses for contractors (Chapter 10). Step 4. Possible Environmental and Social Impacts 103. The ESSO will screen every subproject for environmental and social impacts using the following checklist: A. Zoning and Land Use Planning 1. Will the subproject affect land use zoning and planning or conflict with prevalent land use patterns? 2. Will the subproject involve significant land disturbance or site clearance? 3. Will the subproject land be subject to potential encroachment by urban or industrial use or located in an area intended for urban or industrial development? B. Utilities and Facilities 4. Will the subproject require the setting up of ancillary production facilities? 5. Will the subproject require significant levels of accommodation or service amenities to support the workforce during construction (e.g., contractor will need more than 20 workers)? C Water and Soil Contamination 6. Will the subproject require large amounts of raw materials or construction materials? 7. Will the subproject generate large amounts of residual wastes, construction material waste or cause soil erosion? 8. Will the subproject result in potential soil or water contamination (e.g., from oil, grease and fuel from equipment yards)? 9. Will the subproject lead to contamination of ground and surface waters by herbicides for vegetation control and chemicals (e.g., calcium chloride) for dust control? 10. Will the subproject lead to an increase in suspended sediments in streams affected by road cut erosion, decline in water quality and increased sedimentation downstream? 11. Will the subproject involve the use of chemicals or solvents? 12. Will the subproject lead to the destruction of vegetation and soil in the right-of-way, borrow pits, waste dumps, and equipment yards? Draft ESMF for Yemen Emergency Electricity Access Project Page 27 13. Will the subproject lead to the creation of stagnant water bodies in borrow pits, quarries, etc., encouraging for mosquito breeding and other disease vectors? D. Noise and Air Pollution Hazardous Substances 14. Will the subproject increase the levels of harmful air emissions? 15. Will the subproject increase ambient noise levels? 16. Will the subproject involve the storage, handling or transport of hazardous substances? E. Destruction/Disruption of Land and Vegetation 17. Will the subproject lead to unplanned use of the infrastructure being developed? 18. Will the subproject lead to long-term or semi-permanent destruction of soils in cleared areas not suited for agriculture? 19. Will the subproject lead to the interruption of subsoil and overland drainage patterns (in areas of cuts and fills)? 20. Will the subproject lead to landslides, slumps, slips and other mass movements in road cuts? 21. Will the subproject lead to erosion of lands below the roadbed receiving concentrated outflow carried by covered or open drains? 22. Will the subproject lead to long-term or semi-permanent destruction of soils in cleared areas not suited for agriculture? 23. Will the subproject lead to health hazards and interference of plant growth adjacent to roads by dust raised and blown by vehicles? F. Expropriation and Social Disturbance 24. Will the subproject impact internally displaced persons (IDP) negatively? 25. Will the subproject lead to induced settlements by workers and others causing social and economic disruption? 26. Will the subproject lead to environmental and social disturbance by construction camps? 27. Will the subproject cause economic displacement? 28. Will the subproject temporarily displace squatters, economically or physically, or other informal groups? 29. Will the subproject cause a loss in productive assets or income source? 30. Will the subproject restrict access to resources? 31. Will the subproject affect the livelihoods or vulnerable people, such as persons with disabilities, widows, or the elderly? 32. Will the subproject create social conflict over the distribution of benefits or resources or exacerbate existing social conflicts? 104. The ESSO might need to conduct field visits to determine if any of the above impacts might be triggered. Any subproject triggering any of the above impacts, or any sector specific impacts in Chapter 6 will require an Assessment of the triggered impacts, and a Plan to mitigate the specific impacts. This abbreviated assessment and mitigation plan will take into account the list of issues (Chapter 6) and matching mitigation measures (Chapter 7). Step 5. Subproject Risk Levels 105. Considering the screening checklist and process above, the ESSO will assign each eligible subproject one of the following risk levels. Level 1. Subprojects that are unlikely to have direct or indirect environmental or social impacts (equivalent to Category C in OP 4.01). These subprojects do not require safeguards instruments such as clauses for contractors, ESIAs or ESMPs. Level 2. Subprojects that involve works but do not have impacts beyond generic construction impacts that are managed by installers/contractors. These subprojects will only require the use of the Environmental and Social Clauses for Contractors (see Chapter 10). Level 3. Subprojects that cause no more than three environmental or social impacts (see checklist above and Chapter 6). In addition to the Environmental and Social Clauses for Contractors, these subprojects will require an assessment limited to the triggered impacts and will define Draft ESMF for Yemen Emergency Electricity Access Project Page 28 proportionate and sufficient mitigation measures specific to these impacts, taking onto account the mitigation measures described in Chapter 7. UNOPS and its local partners will implement these measures. Level 4. Subprojects that trigger significant environmental and social impacts. These subprojects will require a full ESIA and ESMP that meet the requirements for Category B projects in OP 4.01. The ESIA and ESMP will take into account the list of issues (Chapter 6) and matching mitigation measures (Chapter 7). 8.2 Screening form 106. Within one week of receiving a draft subproject proposal, the ESSO will prepare and sign a screening form (Template in Annex 1.) indicating if the ESMF is applicable to the subproject and if the subproject triggers any of the attributes in the negative list. 107. The screening form will indicate the subproject risk level, include a section detailing how each of the triggered environmental and social issues will be addressed, and include guidance on the preparation of an ESIA and ESMP when necessary. The ESSO will pass on the signed screening form to the Program Manager and the relevant subproject engineer for further processing. Draft ESMF for Yemen Emergency Electricity Access Project Page 29 Chapter 9 SUBPROJECT ESIAS AND ESMPS 108. Level 3 and Level 4 subprojects, including subprojects under the CERC, will require the preparation of subproject-specific safeguard instruments. This chapter details the procedures and accountability for their preparation. 9.1 Preparation of the ToRs 109. The ESSO will prepare draft ToRs for abbreviated assessment and mitigation plans (Level 3 subprojects). 110. The ESSO will also prepare the ToRs for ESIAs and ESMPs (Level 4 subprojects), and through the Program Manager will submit them to the World Bank for review and clearance. Prior review by the World Bank will be limited to Level 4 subprojects. 111. Annex 3 contain annotated outlines for Level 4 ESIAs and ESMPs. ESMPs should identify and summarize expected subproject environmental and social risks and impacts and present measures to mitigate them, including monitoring and reporting requirements, expected timelines for their implementation, and costs and accountability for the implementation and supervision of the agreed mitigation measures. It should specify the parameters to be monitored, methods to be used, sampling locations, and the frequency of measurements, taking into account the mitigation measures listed in Table 2. 9.2 Preparation of the Safeguard Instruments 112. The ESSO, either directly or through consultants that he recruits, will prepare, and disclose abbreviated assessments and mitigation plans for Level 3 subprojects. 113. UNOPS will competitively select consultants to prepare ESIAs and ESMPs for Level 4 subprojects. The ESSO will supervise the preparation of the instruments and interact with the consultants. The Program Manager will submit draft ESIAs and ESMPs to the World Bank for their review, clearance, and disclosure. 9.3 Consultation and Disclosure Requirements 114. The ESSO will organize consultations with Project affected groups and local NGOs on the environmental and social aspects of subprojects and take into consideration the views of stakeholders. The purpose of the consultations will be to: (i) inform them about the activities to be undertaken, their timetable and possible impacts, and; (ii) document and address their concerns. The ESSO will initiate these consultations as early as possible and will provide relevant material before consultation, in both a form and a language that are understandable and accessible to the groups being consulted. The ESSO will ensure that the safeguard instruments include consultation summaries, indicating who was consulted, where and when, what concerns were expressed, and how these concerns were addressed. The records of consultations will be kept in the Project Office. 115. The consultation process will take in account the sociocultural context of Yemen. Consultations can take the form of focus groups or discussions with elders/community leaders. As necessary, the ESSO will organize separate consultations for women to ensure that any special concerns and needs are taken into account during the preparation of the safeguard instruments. Given the ongoing conflict, the ESSO will also ensure that the individuals consulted are not exposed to risks as part of their participation in subproject consultations, for example by avoiding large meetings, and not disclosing personal information/photos. Consultations might take the form of individual interviews and/or meetings carried out in safe places using limited questionnaires. 116. The ESSO will ensure that provisions and specifics for consultations, including budgets, are Draft ESMF for Yemen Emergency Electricity Access Project Page 30 included in the relevant ToRs and subsequent safeguards documents. 117. For subprojects under the CERC, the ESSO will ensure that a rapid social assessment is done as part of the ESIA if the screening process identifies that vulnerable groups might be affected by the subproject or that the subproject might create or exacerbate social conflicts. 9.4 Implementation of Subproject Mitigation Measures 118. UNOPS is responsible for implementing measures in mitigation plans (Level 3 subprojects) and ESMPs (Level 4 subprojects) that are beyond the control of contractors, in accordance to the mitigation measures defined in Chapter 7. In addition, subprojects should regularly consult with Project affected persons and communities throughout subproject implementation, as necessary, to address safeguards-related issues that affect them. Draft ESMF for Yemen Emergency Electricity Access Project Page 31 Chapter 10 ENVIRONMENTAL AND SOCIAL CLAUSES FOR CONTRACTORS 119. Most environmental and social impacts of subprojects result from activities directly under the control of installers/contractors and will be mitigated directly by the same /installers/contractors. For Level 2 subprojects, which might represent most subprojects, the ESMP will consist solely of measures implemented by contractors. Therefore, ensuring that installers/contractors effectively mitigate construction related impacts is the core of the Project’s mitigation strategy. Therefore, UNOPS will ensure that the environmental and social management of construction activities are mandatory parts of construction works contracts. 120. UNOPS and its local partners will incorporate standardized environmental and social clauses23 in tender documentation and contract documents, so that potential bidders are aware of environmental and social performance requirements expected from them, are able to reflect that in their bids, and required to implement the clauses for the duration of the contract. UNOPS and its local partners will enforce compliance by contractors with these clauses. 121. The clauses cover four issues: Environment, Health and Safety (EHS) Environmental and social monitoring by contractor Environmental and social liabilities Grievance mechanism for workers 122. UNOPS will include these clauses in all subproject ESMPs. Subproject ESMPs will also specify any training required for contractors to understand and satisfactorily meet the Project’s environmental and social requirements. 10.1 Environment, Health and Safety 123. Clauses for contractors which address environment, health and safety concerns are presented in Annex 2. 10.2 Environmental and Social Monitoring by Contractors 124. UNOPS will require that contractors monitor, keep records and report on the following environmental and social issues for their subproject. The application of this requirement will be proportionate to the activities and to the size of the contract, in manner acceptable to the World Bank: Safety: hours worked, recordable incidents and corresponding Root Cause Analysis (lost time incidents, medical treatment cases), first aid cases, high potential near misses, and remedial and preventive activities required (for example, revised job safety analysis, new or different equipment, skills training, and so forth). Environmental incidents and near misses: environmental incidents and high potential near misses and how they have been addressed, what is outstanding, and lessons learned. Major works: those undertaken and completed, progress against project schedule, and key work fronts (work areas). E&S requirements: noncompliance incidents with permits and national law (legal noncompliance), project commitments, or other E&S requirements. E&S inspections and audits: by contractor, engineer, or others, including authorities—to include date, inspector or auditor name, sites visited and records reviewed, major findings, 23 These clauses constitute standard Environmental Codes of Practice (ECOP) as described in the SAP. Draft ESMF for Yemen Emergency Electricity Access Project Page 32 and actions taken. Workers: number of workers, indication of origin (expatriate, local, nonlocal nationals), gender, age with evidence that no child labor is involved, and skill level (unskilled, skilled, supervisory, professional, management). Training on E&S issues: including dates, number of trainees, and topics. Footprint management: details of any work outside boundaries or major off-site impacts caused by ongoing construction—to include date, location, impacts, and actions taken. External stakeholder engagement: highlights, including formal and informal meetings, and information disclosure and dissemination—to include a breakdown of women and men consulted and themes coming from various stakeholder groups, including vulnerable groups (e.g., disabled, elderly, children, etc.). Details of any security risks: details of risks the contractor may be exposed to while performing its work—the threats may come from third parties external to the project. Worker grievances: details including occurrence date, grievance, and date submitted; actions taken and dates; resolution (if any) and date; and follow-up yet to be taken— grievances listed should include those received since the preceding report and those that were unresolved at the time of that report. External stakeholder grievances: grievance and date submitted, action(s) taken and date(s), resolution (if any) and date, and follow-up yet to be taken. Grievances listed should include those received since the preceding report and those that were unresolved at the time of that report. Grievance data should be gender-disaggregated. Major changes to contractor’s environmental and social practices. Deficiency and performance management: actions taken in response to previous notices of deficiency or observations regarding E&S performance and/or plans for actions to be taken. These should continue to be reported until UNOPS determines the issue is resolved satisfactorily. 10.3 Environmental and Social Liabilities of Contractors 125. Contractors will be legally and financially accountable for any environmental or social damage or prejudice caused by their staff, and thus are expected to put in place controls and procedures to manage their environmental and social performance. A breakdown for the cost of noncompliance for each mitigation measure will be enclosed in bidding documents. These will include: • Mitigation measures to be included in the contract will be specified in the subproject ESMP • Deductions for environmental noncompliance will be added as a clause in the Bill of Quantities (BOQ) section • Environmental penalties shall be calculated and deducted in each submitted invoice • Any impact that is not properly mitigated will be the object of an environmental/social notice by UNOPS • For minor infringements and social complaints, an incident which causes temporary but reversible damage, the contractor will be given a notice to remedy the problem and restore the environment. No further actions will be taken if the Project engineer confirms that restoration is done satisfactorily. • For social notices, the Project engineer will alert the contractor to remedy the social impact and to follow the issue until solved. If the contractor does not comply with the remediation request, work will be stopped and considered under no excused delay • If the contractor hasn’t remedied the environmental impact during the allotted time, the Project engineer will stop the work and give the contractor a notification indicating a financial penalty according to the non-complied mitigation measure that was specified in the bidding document. • No further actions will be required if the Project engineer sees that restoration is done satisfactorily. Otherwise, if Contractor hasn’t remedied the situation within one day any additional days of stopping work will be considered no excused delay • Environmental notifications issued by the Project engineer might include one or more environmental penalty Draft ESMF for Yemen Emergency Electricity Access Project Page 33 • In the event of repeated noncompliance totaling 5% of the contract value, the Project Engineer will bring the environmental and social notices and the deduction history to UNOPS procurement in order to take legal action. 10.4 Grievance Mechanism for Workers 126. Contractors will put in place a Grievance Mechanism for their workers that is proportionate to their workforce, according to the following principles24: • Provision of information. All workers should be informed about the grievance mechanism at the time they are hired, and details about how it operates should be easily available, for example, included in worker documentation or on notice boards. • Transparency of the process. Workers must know to whom they can turn in the event of a grievance and the support and sources of advice that are available to them. All line and senior managers must be familiar with their organization's grievance procedure. • Keeping it up to date. The process should be regularly reviewed and kept up to date, for example, by referencing any new statutory guidelines, changes in contracts or representation. • Confidentiality. The process should ensure that a complaint is dealt with confidentially. While procedures may specify that complaints should first be made to the workers’ line manager, there should also be the option of raising a grievance first with an alternative manager, for example, a human resource (personnel) manager. • Non-retribution. Procedures should guarantee that any worker raising a complaint will not be subject to any reprisal. • Reasonable timescales. Procedures should allow for time to investigate grievances fully but should aim for swift resolutions. The longer a grievance is allowed to continue, the harder it can be for both sides to get back to normal afterwards. Time limits should be set for each stage of the process, for example, a maximum time between a grievance being raised and the setting up of a meeting to investigate it. • Right of appeal. A worker should have the right to appeal to UNOPS or national courts if he or she is not happy with the initial finding. • Right to be accompanied. In any meetings or hearings, the worker should have the right to be accompanied by a colleague, friend, or union representative. • Keeping records. Written records should be kept at all stages. The initial complaint should be in writing if possible, along with the response, notes of any meetings and the findings and the reasons for the findings. • Relationship with collective agreements. Grievance procedures should be consistent with any collective agreements. • Relationship with regulation. Grievance processes should be compliant with the national employment code. 24 Based on Annex D of the Guidance Note for IFC’s Performance Standard 2. Draft ESMF for Yemen Emergency Electricity Access Project Page 34 Chapter 11 MONITORING AND REPORTING 127. The ESSO will monitor the overall implementation of the ESMF by UNOPS and its local partners, most particularly the: timely preparation of environmental and social screening forms for all subprojects (list of subprojects by risk category by date) timely preparation and clearance of subproject ESIAs and ESMPs, as needed (list of instruments with dates) management of prior review requirements of the World Bank (non-objection requests with dates) monitoring of ESMP implementation, including monitoring of the implementation of the mitigation measures in Table 2, and monitoring of contractors environmental and social performance training of Project staff, local partners, and contractors (list of persons, dates and places) 128. The ESSO will prepare: quarterly reports summarizing monitoring results, to be included in the Project’s Quarterly Reports to the World Bank reports that aggregate and analyse monitoring results ahead of regular “reverse” World Bank implementation support missions with UNOPS an annual evaluation of all environmental and social monitoring results that UNOPS will submit to the World Bank as part of overall Project implementation reporting 129. Safeguards aspects are also part of the scope of the Third-Party Monitoring (TPM) services TPM contracted by UNOPS. More specifically, TPM will report on the compliance with safeguards requirements and on the implementation of environmental and social mitigation measures. 11.1 Subproject Environmental and Social Database 130. The ESSO will establish, maintain, and update a database of subprojects that will be shared with the local partners. The database will include for each subproject: type of subproject, name of subproject, local partner safeguards risk level timeline (clearance of screening form, clearance of ToRs, clearance of safeguard instruments) supervision reports by ESSO and focal points during implementation contractor reports noncompliance by contractors cross references to the Grievance Redress Mechanism’s log of complaints. 11.2 Monitoring of Level 3 and 4 ESMP 131. The ESSO will conduct onsite visits of level 3 and 4 subprojects at least once a month to monitor the implementation of their ESMPs. 11.3 Monitoring of Contractors 132. As part of their regular activities, the ESSO and the local partners will monitor and document (including pictures) contractor environmental and social performance for each subproject throughout construction. This will involve both spot check visits to work locations, and reviews of records kept by the contractor and of reports submitted by the contractor. The frequency of site visits should be commensurate with the magnitude of activities and their associated environmental and social impacts. Draft ESMF for Yemen Emergency Electricity Access Project Page 35 Sites where serious accidents are recorded should be visited within one working day of the accident. Overall, each construction site should be visited at least once during subproject implementation. 133. The ESSO should document every visit or interaction with a contractor in the database, including identification of contractor noncompliance, the significance of the non-compliance, and guidance provided on actions to be taken. The ESSO or the focal points will follow up as needed to ensure timely resolution of issues of noncompliance with environmental and social clauses. This may include additional visits to the contractor’s site or offices, further communications with contractor personnel, issuance of notices of deficiency or warnings to the contractor, and other actions as needed (see Chapter 10). 134. At any stage of construction or other work, if the contractor has not taken appropriate action to achieve compliance with the environmental and social clauses after repeated notices of violation and warnings of noncompliance, and significant environmental or social impacts are occurring or imminent, UNOPS or the concerned local partner should order the contractor to stop work until environmental and social performance is brought under control and up to acceptable standards. 11.4 Completion Reports 135. Upon completion of subprojects, the ESSO or the concerned focal point will prepare a subproject completion report, to identify any unresolved environmental or social, with recommended remedial action. The ESSO will share this report with the Program Manager who will decide the way forward. 136. For subprojects with significant environmental or social impacts, the completion report might recommend periodic routine inspections/monitoring during operation of the facility by dedicated environmental and social specialists. Draft ESMF for Yemen Emergency Electricity Access Project Page 36 Chapter 12 STAKEHOLDER ENGAGEMENT 12.1 Disclosure 137. The ESMF (including the translated summary of the ESMF into Arabic) will be available at the UNOPS Project office in Sana’a, on the UNOPS Project web site, in hard copy in a location and format easily accessible to Project-affected peoples, at concerned sector ministries, and other public places of Project intervention areas), as well as on the World Bank’s external website after the World Bank review. 12.2 Summary of Consultations 138. UNOPS ESSO conducted an institutional and public consultation on Wednesday, 18 April 2018, at the premises of the Motherhood and Childhood Center at the Health Care Office in Dhamar Governorate, in collaboration with the Social Fund for Development (SFD), to discuss the ESMF of the Project, most particularly potential environmental and social impacts/risks and matching mitigation measures. 51 representatives of local communities, health, education, electricity, rural water supply, micro-finance institutions, solar service providers and retailers participated in the consultation, as shown in the Table below: Table 3. List of participants in the institutional and public consultation meetings include 30 males and 21 females Name Organization and Position Gender 1 Fadhl Mohammed Al Ashwal Community member M 2 Khaled Zaid Amran SFD M 3 Ahmed Ali al Washali Education Office M 4 Samer Mohammed Al Madhaji MOPIC Office M 5 Fadel Al Juneed MFI Al Watania, Dhamar M 6 Amad Al Saqaf Solar retailer M 7 Saleh Al Falhy Rural Water supply M 8 Mohammed Alkuhlany Environment Office M 9 Mohammed Malek Al Azani Electricity Corporation M 10 Afrah Al Zabedi Female Facilitator F 11 Khereah Ahmed Huseen Facilitator Community member F 12 Shadia Moqbel Social researcher F 13 Marem ali Al Sanbani Health Office F 14 Shaima Mohammed Al Ansi Social consultant SFD F 15 Huseen Mohamed Al Hamly Community member M 16 Nada Ahmed Al Ashwel MFI, Al Watania Dhamar F 17 Nabeel Mohammed al Smhary MFI Al Kuraimi Dhamar M 18 Nadia Abdullah Al Dabai Community member F 19 Ahlam Yehea Katran Community member F 20 Mohammed Al kads Solar retailer M 21 Sadaam Al Ahadl Solar service provider M 22 Hesham Morjan Solar service provider M 23 Kamal Yehea Al katen Community member M 24 Mohammed Omar Solar service provider M 25 Ahmed Addulaziz alfaqeh Community member M Draft ESMF for Yemen Emergency Electricity Access Project Page 37 Name Organization and Position Gender 26 Abdulallah mohammed ahmed Social consultant SFD M 27 Fawzia Mohammed al dabai Community member F 28 Warda ahmed al absory Community member F 29 Noria ali al yafai Community member F 30 AShjan mohammed al arami Social consultant F 31 Sawsn Adel Social consultant F 32 Mohammed faied ameen MFI M 33 Sarah Al jerfi Community member F 34 Somaia Ahmed Al Arashi Women Union F 35 Zinab Ali Ateq Social consultant F 36 Fatima ali al kusi Community member F 37 Somaia Ali Deghbs Community member F 38 Mohammed Saad Farmer using solar pump F 39 Khalid Saleh Ahmed Community member F 40 HamoUd Mohammed Alzurki Farmer using solar pump M 41 Saad saleh Abdullah Community member M 42 Mohammed Ali Al lmaay Farmer using solar pump M 43 Abdullah Ahmed Al Shawesh Electricity Corporation M 44 Mohammed Ahmed Almongthy Public Work Office M 45 Abdulsalam Al Nuaab IDPs Office M 46 Mohammed Ahmed Community member M 47 Ismaeel Ahmed Zabarah Solar retailer M 48 Rabea Ahmed Zabarah Solar retailer F 49 Ali Abdul Gani SFD M 50 Adnan alwai MFI M 51 Zyad Hamoud Zyad MFI Al Amal M 139. The ESSO presented the ESMF, including the Project description, potential environmental and social impacts and risks, and matching mitigation measures. Following a detailed discussion, the participants were divided into four working groups. 140. and have positively responded and gave good comments and feedback including indication of additional potential impacts and risk with their proposed mitigation measures as follow: Participants feedback on ESMF document: 141. The participants from diversity of solar energy disciplines and activities and stakeholders from institutional, communal, private service providers, IMFs, installers, and retailers expressed their concerns and views as explained in the below table including additional points to potential environmental and social impacts/risks and matching mitigation measures mentioned in the table included in the ESMF, which were incorporated in Table 5: Draft ESMF for Yemen Emergency Electricity Access Project Page 38 Draft ESMF for Yemen Emergency Electricity Access Project Page 39 Table 4. Stakeholder comments on potential impacts/risks and matching mitigation measures Potential impact Mitigation measures Community Health and Safety Temporary disruption of economic • Inform and coordinate with the local councils and the public on activities and movement during the maintenance schedule installation/construction • Shorten works period • Provide alternative access to residences and roadside businesses • Avoid work during night hours Public safety during • Erect removable barriers in high risk areas installation/construction/operation • Install warning signs • Protect proper shielding scaffolds PV Panels could fall from the top roof • PV Panels base should have good fixation on the roof top or solid foundation in the ground on well-established mounting structures, to tolerate wind high speed Electrical hazard • Cables and wiring should be outdoor and indoor specified accordingly for all solar system components with all safety equipment to avoid danger of burning and electrical hazards with warning signs in right places • Taking in consideration the diversity of weather conditions and micro-climate in the extended rural areas in Yemen, e.g. (Solar irradiant wind, humidity, precipitation, temperatures (high and low), frost, hail and all severe weather conditions should be studied and taken into consideration when preparing technical specifications, and designing solar systems Lightening Hazard Cables hazards • Lightning protection system including Surge Protection Devices and batteries hazard SPD and earthling should well applied • Batteries should have specifications suitable to the local environmental conditions and proper using applications and kept in a safe place in suitable racks and to be not accessible to public, with proper ventilation, cooling, and early warning, monitoring and fire control systems and a plan for safe handling and disposal to be ready for implementation when batteries expired. General Environmental Impacts Disposal of construction debris • Properly dispose of solid waste at designated sites through and waste materials, most permitted procedures. particularly batteries and spent • Ensure proper recycling and disposal paths exist for batteries panels The lifespan of PV panels extends over a longer period except if they are damaged physically or electrically before that and proper disposal should be followed at the end of lifetime of panels when it comes to be waste as well as for other devices e.g. inverters and charger controllers. However, the batteries life span and expiration period is much shorter, currently no recycling is taking place in Yemen but reconditioning and reactivation process by using de-sulfation machines or chemical materials to extend the batteries life time started in 2016 by some specialized private companies with (15,000 batteries annually) to (40,000 batteries annually in 2017) and when the batteries finally came to complete expiry they are collected, stored and then re-exported by some other specialized companies in re-exporting, where in 2016 and 2017 the amount of waste expired batteries re-exported from Hodeidah Port to other countries through permits from the Environmental Protection Authority EPA is around 2920 tons. There is a need for environmental, health and safety measures to be taking properly in handling, storing, reconditioning, and pre-processing for re-exporting used batteries. To reduce the use of batteries and/or extending their life time by introducing on/off grid solar systems for specific day hour use facilities e.g. schools where solar system can work without batteries during day sunny hours and to ensure sustainability of solar system. Damage to significant physical • Contracts to include provisions for chance find cultural property • In the event of a potential find, liaise with the Archaeological Department at Ministry of Culture or a local university for quick Draft ESMF for Yemen Emergency Electricity Access Project Page 40 assessment and action. Occupational Health and Safety Work related accidents and • Provide occupational health and safety training to all employees injuries involved in works • Provide protective masks, helmets, safety gloves, safety shoes, and safety goggles, as appropriate • Provide workers in high noise areas with earplugs or earmuffs. • Ensure availability of first aid box. • Include environmental and social clauses in all supply, installation/construction contracts To ensure the application of all occupational health and safety measures, it should be clearly mentioned in any contract and included in the bill of quantities as non-priced items with all safety tools and materials with a safety plan to be submitted with the tender documents responding to safety manual and/or handbook, and to be monitored during installation and operation inspection that they were applied properly. Risk to workers from electric • Train workers to avoid, protect themselves, and respond to shocks electric shocks. Training should be given to workers before installation and they have to be certified, have on hand experience in working in this field and are aware about prevention of electricity shocks, and they should follow installation guide provided by manufacturer including safety tools and procedures for workers, in their turn they should be asked to provide training on safe use and operation to the users and beneficiaries and submitting in the contract documents a user manual including all safe operation and cautions to be applied. Poor onsite sanitation or water • Provide employees with access to toilets and potable drinking supply, leading to illness and water disease The risk of employing children • verify that workers are older than 18 when hiring for construction activities • exclude all persons under the age of 18. • review and retain copies of verifiable documentation concerning the age of workers Social potential exclusion of poor and • target rural and peri-urban areas with attention paid to reaching vulnerable households, including first-time borrowers and by ensuring that beneficiaries’ eligibility female-headed households and criteria will be transparent and part of the communication internally displaced persons campaign. (IDPs) To prepare the following mechanisms to ensure inclusion of targeted beneficiaries including poor and vulnerable households, and female- headed households and Internally Displaced Persons (IDPs): • to prepare transparent selection criteria and mechanism • to adopt direct contact instruments e.g. Focus Group and participatory approaches with rural communities for direct contact with all members of family (male, female, and children) and not only with representatives or community leaders • to conduct a needs assessment study for all requirements of potential beneficiaries, and members of family/household. • Prepare designs and solutions to fulfill the identified different needs to be categorize and design solutions accordingly • Expand the geographical coverage of Micro Finance Institutions to cover the rural remoted areas • The concern raised by MFIs is the additional cost of expanding and providing services to more coverage areas should be calculated. • Loan Guarantee Program of SFD should work together with MFIs to support loans provided by micro finance to vulnerable groups of potential beneficiaries to be discussed in detail in another session • IDs services should reach the remoted rural areas where some population do not have valid IDs in order for potential beneficiaries to have IDs and to ensure not excluding them from Draft ESMF for Yemen Emergency Electricity Access Project Page 41 beneficiaries lists for that reason. potential exclusion of small • rely as much as possible on the local supply chain and by retailers from lists of prequalified targeting small and medium-size enterprises suppliers • conduct market assessment including rural and semi-urban areas • MFIs and LGP/SFD should work together to support retailers to be qualified Additional points for minigrid systems impacts, risks and mitigation measures: 142. For minigrid proposed interventions the potential impacts/risks could be land acquisition for large area required for PV panels arrays, unpredictable risk of damage to some large arrays of panels by fire shoots coming back from sky, possible risk of lightening spark in some areas which can be mitigated by using Lightening Protection System in addition to potential risk of panels to be stolen, which can be mitigated by using anti-theft mounting structures locked with panels, and for other devices to be stored in a locked room and guarded and by using of remote monitoring system. The last impact or risk indicated is the un-balanced and un-fair consumption and use of generated energy and electricity power by beneficiaries, which can be mitigated by smart meters with control system to set for limited consumption for all. 143. In most of the rural areas there are no electricity grid network (Public Grid) except in some peri- urban areas which needs also maintenance. Therefore, it might be necessary to establish new networks in the targeted rural areas, which could involve land acquisition, and for the existing peri- urban areas networks to be maintained. 144. Finally, conflict scanning should be conducted to study the attitudes of different private service providers that already exists in some rural and peri- urban areas and to come up with an institutional, administrative and regulatory set up of users/ beneficiaries, including financial plan for maintenance to ensure sustainability of the minigrid systems. 12.3 Citizen engagement 145. To ensure two-way communication with beneficiaries during Project implementation, the Project will: a) hold interviews and focus group discussion before the rollout of Subcomponent 1.1 a) finance an outreach campaign to raise awareness b) maintain a GIS-based portal mapping all activities supported under Subcomponent 1.2 to promote transparency, c) explore using UNOPS’ remote monitoring tools for engaging citizens in monitoring and quality assurance d) include a TPM component e) allocate dedicated staff to the GRM established in Sana’a in accordance with World Bank Group safeguard policies f) consider during the selection of MFIs their portfolio of financing services and ability to partner with community-based organizations for outreach to vulnerable population groups, including women and the youth 146. UNOPS will employ a local firm to develop and conduct qualitative work including interviews with key stakeholders (such as tribal/community leaders) in the target areas and focus group discussions with the communities during the early stages of implementation. The qualitative work will aim to: a) identify unmet household energy needs in rural and peri-urban areas (including IDP) (for example, for lighting, cooking, charging phones, cooling, and so on) b) define technical specifications for solar solutions c) assess affordability thresholds; and (d) identify financial solutions to overcome Draft ESMF for Yemen Emergency Electricity Access Project Page 42 affordability barriers.25 147. The Project will also implement two awareness-raising campaigns to inform communities about supported solar products and their benefits, availability of grants, and financing schemes and eligibility criteria. The campaigns will also include sensitization among men and tribal/community leaders about the role of women in applying for the loan and communicating about the GRM (complaints if there are challenges getting access or systems do not work). Community sensitization will follow an approach tailored to the targeted geographic locations, as well as to the specific needs of various groups including women, men (tribal leaders and respected men), youth, displaced populations, and marginalized groups, to enhance their voice in the participatory process.26 25 Additional issues can be to assess different constraints that men and women face in accessing credit to purchase renewable energy devices and technologies, and to gauge the potential for solar cookstoves among displaced populations and explore alternative payment methods. 26 The Yemen Country Engagement Note (Report 106118-YE) has identified the lack of women’s voices in decision making as an important obstacle to gender equality in Yemen. To ensure the participation of women in activities, information should be communicated taking into account the restrictive norms and legal barriers that women may face, be held at times appropriate for women, be easily accessible, and explore provision of child care for female participants, if needed. Draft ESMF for Yemen Emergency Electricity Access Project Page 43 Chapter 13 GRIEVANCE REDRESS MECHANISM (GRM) 148. This chapter describes the Grievance Redress Mechanism that UNOPS will establish and manage to enable beneficiaries to communicate their concerns regarding the Project. More specifically, the GRM details the procedures that communities and individuals, who believe they are adversely affected by the Project or a specific subproject, can use to submit their complaints, as well as the procedures used by UNOPS and its local partners to systematically register, track, investigate and promptly resolve complaints. 149. The UNOPS Program Manager based in the Sana’a Office has the overall responsibility to address Project activity-related complaints from Project affected communities or individuals regarding any environmental or social impacts due to subproject activities. UNOPS will recruit a dedicated focal point in its Sana’a Office to handle Project activity-related complaints. Each local partner will designate a GRM focal point. 13.1 Procedures for Complaints 13.1.1 Registering Complaints 150. UNOPS is providing multiple access points to the UNOPS GRM focal point for beneficiaries to voice their concerns. These access points will be advertised at subproject level, and include: complaint box at the UNOPS Office in Sana’a, mail, telephone, email and website: Address Haddah Street, former European Union Office Building, Sana’a Telephone +967 1 504914 and +967 1 504915 Email grm-yemen@unops.org Website www.unops.org 151. UNOPS also plans to develop social media pages using widespread social media applications. 152. The GRM contact information will be posted in Arabic and be communicated through multiple channels to ensure all groups can easily access contact information and relevant mechanisms to provide feedback. 153. Grievances can be brought up by affected people in case of: (i) non-fulfillment of contracts or agreements; (ii) disputes related to destruction of assets or livelihoods; (iii) disturbances caused by construction activities, such as noise, vibration, dust or smell. Anonymous complaints will be admissible. 154. The local partners and Project contractors will also keep a log of issues brought directly to their attention verbally or in writing by Project affected communities or individuals, and will relay these concerns in writing to UNOPS on a next day basis. UNOPS will determine if these concerns rise to the level of a complaint. 155. UNOPS will register the complaint in a dedicated log by gender, age, and location, and including a copy of the complaint and supporting documents. A draft template for registering grievances is found in Annex 4. 156. UNOPS will record and document complaints received in the subproject file and the subproject progress reports, including the number and type of complaints and the results of their resolution. 13.1.2 Tracking, Investigating and Resolving Complaints 157. The GRM log maintained by UNOPS will track the date the complaint was received, date responded to, the type of response, and if the complaint was resolved to the satisfaction of the plaintiff. 158. The ESSO will coordinate with local partners, local field staff and local government officials to Draft ESMF for Yemen Emergency Electricity Access Project Page 44 ensure prompt follow up action in response to each complaint. More specifically, the GRM focal point will for named complaints: inform the plaintiff if the complaint is accepted or rejected within one week of receiving the complaint; any technical input from Project engineers; if necessary the response will require input from Project engineers if the complaint is accepted, send the plaintiff an officially stamped review card indicating: • plaintiff name or legal representative • plaintiff address • complaint title • review date • list of annexes submitted with the complaint work with engineers, local partners, and contractors to resolve the complaint within 28 days of its submission 159. UNOPS will include the log of complaints to the World Bank as part of UNOPS quarterly reporting to the World Bank. 13.1.3 Gender sensitivity 160. UNOPS will make the GRM gender sensitive by recruiting female staff to: • inform women about the Project and its possible benefits to women, in a culturally sensitive manner • inform women of the Project’s GRM and its procedures • receive any Project-related complaints from women 13.1.4 Activating the GRM mechanism 161. UNOPS will conduct a kick off workshop involving the local partners and beneficiary representatives to inform them on GRM procedures. 13.2 Grievance Redress Service http://pubdocs.worldbank.org/en/440501429013195875/GRS-2015-BrochureDec.pdf 162. The World Bank’s Grievance Redress Service (GRS) provides an additional, accessible way for individuals and communities to complain directly to the World Bank if they believe that a World Bank-financed project had or is likely to have adverse effects on them or their community. The GRS enhances the World Bank’s responsiveness and accountability by ensuring that grievances are promptly reviewed and responded to, and problems and solutions are identified by working together. 163. The GRS accepts complaints in English or the official language of the country of the person submitting the complaint. Submissions to the GRS may be sent by: • Email: grievances@worldbank.org • Fax: +1-202-614-7313 • Letter: The World Bank Grievance Redress Service (GRS) MSN MC 10-1018 1818 H St NW Washington, DC 20433, USA 13.3 World Bank Inspection Panel http://ewebapps.worldbank.org/apps/ip/Documents/Guidelines_How%20to%20File_for_web.pdf 164. The Inspection Panel is an independent complaints mechanism for people and communities who believe that they have been, or are likely to be, adversely affected by a World Bank-funded project. The Board of Executive Directors created the Inspection Panel in 1993 to ensure that people have Draft ESMF for Yemen Emergency Electricity Access Project Page 45 access to an independent body to express their concerns and seek recourse. The Panel assesses allegations of harm to people or the environment and reviews whether the Bank followed its operational policies and procedures. 165. The Panel has authority to receive Requests for Inspection, which raise issues of harm as a result of a violation of the Bank’s policies and procedures from: • Any group of two or more people in the country where the Bank financed project is located who believe that, as a result of the Bank’s violation of its policies and procedures, their rights or interests have been, or are likely to be adversely affected in a direct and material way. They may be an organization, association, society, or other group of individuals; • A duly appointed local representative acting on explicit instructions as the agent of adversely affected people; • In exceptional cases, a foreign representative acting as the agent of adversely affected people; • An Executive Director of the Bank in special cases of serious alleged violations of the Bank’s policies and procedures. 166. The Panel may be contacted by: email at ipanel@worldbank.org phone at +1-202-458-5200 fax at +1 202-522-0916 (Washington, D.C.) mail at: Inspection Panel, Mail Stop MC 10-1007, 1818 H Street, N.W., Washington, D.C. 20433, U.S.A. Draft ESMF for Yemen Emergency Electricity Access Project Page 46 Chapter 14 CAPACITY 167. This chapter reviews the capacity and skills available within UNOPS and its local partners to implement and monitor the ESMF, and to proposes measures to enhance this capacity. 14.1 UNOPS 168. UNOPS will: Deploy a permanent environmental and social safeguards officer (ESSO) based in UNOPS’ Sana’a office from Year one to oversee the management of environmental and social safeguards for the Project. The ESSO will: • Review and clear environmental and social screening forms for all subprojects that are prepared by the local partners • Prepare ToRs for ESIAs and ESMPs required as part of subproject preparation • Provide draft ToRs for ESIAs and ESMPs Category 4 subprojects to the World Bank for their prior review • Supervise the preparation of ESIAs and ESMPs. ESIAs and ESMPs for Category 3 and Category 4 projects will be prepared by consultants selected by UNOPS • Provide draft ESIAs and ESMPs for Category 4 subprojects to the World Bank for review and clearance • Monitor subproject compliance with their ESMP, including field visits and spot checks • Work closely with UNOPS engineers and procurement officers to incorporate safeguard issues into subproject design, appraisal and resource mobilization • Oversee and coordinate the environmental and social performance of the local partners. • Compile quarterly, biannual and annual reports on safeguards performance of the Project that will be incorporated into the Project’s M&E report • Provide assistance and deliver capacity building trainings to UNOPS staff and local partners • Organize and oversee the preparation, production and distribution of training manuals and awareness materials Deploy a second ESSO in UNOPS’ future Aden office from Year 2. The Aden ESSO will fulfill the same role as the Sana’a ESSO for the Aden based portfolio. Recruit an international expert to be available -on a needs basis- to oversee the overall implementation, monitoring, and reporting of safeguards aspects 169. In addition, each MFI or contractor will have a safeguards focal point for ensuring on-site compliance with environmental and social mitigation measures and health and safety requirements at the subproject level. 14.2 Capacity Development 170. UNOPS will fund safeguards training and capacity enhancement for the UNOPS Project team, local partners, participating contractors, and Local Councils. UNOPS will also finance the production of training manuals and awareness materials as needed. 171. More specifically, the ESSO will: organize a launch workshop with the local partners to operationalize the ESMF and agree on roles and responsibilities moving forward jointly with the safeguard focal points, organize a workshop with UNOPS engineers and Draft ESMF for Yemen Emergency Electricity Access Project Page 47 technical staff to explain the ESMF and its implementation organize specialized and on-the-job training and technical assistance for the local partners jointly with the safeguards focal points, organize one-day workshops with contractors to explain the ESMF and the environmental and social clauses for contractors jointly with the safeguards focal points, organize sessions to sensitize the local councils to the ESMF and its implementation 14.3 Indicative Costs 172. The implementation of ESMPs is expected to cost only a small fraction of design and construction, because most mitigation measures will be very generic, off-the-shelf, and implementable without specialized skills, experience, or equipment. Table 5. Indicative costs of capacity building activities Capacity Building Measures Cost (USD) 2-day training on ESMF for local partners and their 2000/session consultants 1-day consultation with local councils and key 1000/session stakeholders 1-day training on ESMP and contractual clauses for 1000/session contractors Production of environmental and social awareness 5000 materials (brochures, posters, fliers) 173. Subproject costs shall include the cost of environmental and social mitigation and monitoring measures. Draft ESMF for Yemen Emergency Electricity Access Project Page 48 ANNEX 1 TEMPLATE FOR SUBPROJECT SCREENING Subproject name Subproject location Implementing Partner Is OP 4.01 applicable? Is the subproject eligible (yes/no)? Risk level (1 to 4) Field Visit (yes/no; include date) Observations/comments Signature of ESSO Signature of Program Manager FOLLOW THE STEPS BELOW Step 1. Applicability Is the subproject likely to have direct or indirect environmental or social impacts? Yes Continue to Step 2 No Go to bottom of page and sign the screening form Step 2. Eligibility (Negative List) The subproject is ineligible if it has any of the following attributes. If this is the case, complete the form and sign it. Yes No Category A attributes, such as: • Activities with significant adverse impacts that are sensitive, diverse, or unprecedented, or that affect an area broader than the sites or facilities subject to physical works • Major resettlement • Greenfield projects Solid Waste • New disposal site Irrigation • Construction of new or the expansion of existing irrigation and drainage schemes. Income Generating Activities • Activities involving the use of fuelwood, including trees and bush. • Activities involving the production or use of hazardous substances or explosives Draft ESMF for Yemen Emergency Electricity Access Project Page 49 Labor • Activities a high risk of significant adverse impacts related to labor influx, child or forced labor. Natural Habitats, World Bank OP 4.04 • Activities a high risk of significant adverse impacts related to labor influx, child or forced labor Pesticides, World Bank OP 4.09 • Activities requiring pesticides that fall in WHO classes IA, IB, or II. Physical Cultural Resources, World Bank OP 4.11 Damage to cultural property, including but not limited to activities that affect: • Archaeological and historical sites • Religious monuments, structures, and cemeteries Involuntary Resettlement, World Bank OP 4.12 • Activities requiring the involuntary taking of private land and relocation of PAPs • Activities that require the relocation of encroachers or squatters Forests, World Bank OP 4.36 • Activities that would involve significant conversion or degradation of critical forest areas or related critical natural habitats Safety of Dams, World Bank OP 4.37 • The rehabilitation of any dams, or any activities that may be affected by the operation of an existing dam Construction of dams more than 5 meters high Projects on International Waterways, Bank OP 7.50 • Activities that affect non-national riparians Step 3. Use of Installers/Contractors Does the subproject include the provision of works contracts? Yes The subproject is subjected to the environmental and social clauses for contractors (Chapter 10). Continue to Step 4 No The subproject is not subjected to environmental and social clauses for contractors. Continue to Step 4 Step 4. Environmental or social impacts Is the subproject likely to cause any of the following environmental or social impacts? YES NO A. Zoning and Land Use Planning 1. Will the subproject affect land use zoning and planning or conflict with prevalent land use patterns? 2. Will the subproject involve significant land disturbance or site clearance? 3. Will the subproject land be subject to potential encroachment by urban or industrial use or located in an area intended for urban or industrial development? B. Utilities and Facilities Draft ESMF for Yemen Emergency Electricity Access Project Page 50 4. Will the subproject require the setting up of ancillary production facilities? 5. Will the subproject require significant levels of accommodation or service amenities to support the workforce during construction (e.g., contractor will need more than 20 workers)? C Water and Soil Contamination 6. Will the subproject require large amounts of raw materials or construction materials? 7. Will the subproject generate large amounts of residual wastes, construction material waste or cause soil erosion? 8. Will the subproject result in potential soil or water contamination (e.g., from oil, grease, and fuel from equipment yards)? 9. Will the subproject lead to contamination of ground and surface waters by herbicides for vegetation control and chemicals (e.g., calcium chloride) for dust control? 10. Will the subproject lead to an increase in suspended sediments in streams affected by road cut erosion, decline in water quality and increased sedimentation downstream? 11. Will the subproject involve the use of chemicals or solvents? 12. Will the subproject lead to the destruction of vegetation and soil in the right-of-way, borrow pits, waste dumps, and equipment yards? 13. Will the subproject lead to the creation of stagnant water bodies in borrow pits, quarries, etc., encouraging for mosquito breeding and other disease vectors? D. Noise and Air Pollution Hazardous Substances 14. Will the subproject increase the levels of harmful air emissions? 15. Will the subproject increase ambient noise levels? 16. Will the subproject involve the storage, handling, or transport of hazardous substances? E. Destruction/Disruption of Land and Vegetation 17. Will the subproject lead to unplanned use of the proposed infrastructure? 18. Will the subproject lead to long-term or semi-permanent destruction of soils in cleared areas not suited for agriculture? 19. Will the subproject lead to the interruption of subsoil and overland drainage patterns (in areas of cuts and fills)? 20. Will the subproject lead to landslides, slumps, slips and other mass movements in road cuts? 21. Will the subproject lead to erosion of lands below the roadbed receiving concentrated outflow carried by covered or open drains? 22. Will the subproject lead to long-term or semi-permanent destruction of soils in cleared areas not suited for agriculture? 23. Will the subproject lead to health hazards and interference of plant growth adjacent to roads by dust raised and blown by vehicles? F. Expropriation and Social Disturbance 24. Will the subproject impact internally displaced persons (IDP) negatively? 25. Will the subproject lead to induced settlements by workers and others causing social and economic disruption? 26. Will the subproject lead to environmental and social disturbance by construction camps? 27. Will the subproject cause economic displacement? 28. Will the subproject temporarily displace squatters, economically or physically, or other informal groups? 29. Will the subproject cause a loss in productive assets or income source? Draft ESMF for Yemen Emergency Electricity Access Project Page 51 30. Will the subproject restrict access to resources? 31. Will the subproject affect the livelihoods or vulnerable people, such as persons with disabilities, widows, or the elderly? 32. Will the subproject create social conflict over the distribution of benefits or resources? Step 5. Subproject Risk Levels In light of the above, assign risk levels Level 1. The subproject is unlikely to have direct or indirect environmental or social impacts (equivalent to Category C in OP 4.01). These subprojects do not require safeguards instruments such as clauses for contractors, ESIAs or ESMPs. Level 2. The subproject involves works but causes none of the impacts listed in Step 4 Level 3. The subproject requires an ESMP consisting of a description of the subproject and the Environmental and Social Clauses for contractors (see Chapter 10). Level 4. The subproject causes no more than three environmental or social impacts listed in Step 4 In addition to the Environmental and Social Clauses for Contractors, the subproject requires an assessment limited to the impacts identified in Step 4 and the definition of proportionate and sufficient mitigation measures specific to these impacts, taking onto account the mitigation measures described in Chapter 7. UNOPS and its local partners will implement these mitigation measures. Level 5. The subproject causes more than three environmental or social impacts listed in Step 4 The subproject requires a full ESIA and ESMP Draft ESMF for Yemen Emergency Electricity Access Project Page 52 ANNEX 2 ENVIRONMENT, HEALTH AND SAFETY (EHS) CLAUSES FOR CONTRACTORS Purpose The purpose of the environment, health, and safety (EHS) clauses for contractors is to define minimum standards of construction practice acceptable to UNOPS. The clauses will be concluded in the bidding documents and contracts. Contractor Environmental and Social Management Plan Prior to starting construction, each contractor must prepare and submit a Contractor Environmental and Social Management Plan (CESMP) to the UNOPS supervision engineer for acceptance. The CESMP will provide a detailed explanation of how the contractor will comply with the Project’s EHS clauses for contractors and demonstrate that sufficient funds are budgeted for that purpose and sufficient capacity is in place to oversee, monitor and report on CESMP performance. The CESMP must include specific mitigation measures based on the subproject ESMP, the final design, the proposed work method statements, and the nature of the subproject site. The CESMP should include management plans that cover the following issues: Gender based Violence Contractors must address the risk of gender-based violence, through: mandatory and repeated training and awareness raising for the workforce about refraining from unacceptable conduct toward local community members, specifically women; informing workers about national laws that make sexual harassment and gender-based violence a punishable offence which is prosecuted; introducing a Worker Code of Conduct as part of the employment contract, and including sanctions for non-compliance (e.g., termination) adopting a policy to cooperate with law enforcement agencies in investigating complaints about gender-based violence. Child Labor Contractors must not employ workers below the age of 18. Labor influx Where contractors and labor come from outside the local area, contractors will need to maintain labor relation relations with local communities through labor codes of conduct. Roads In order to carry out the construction works, it may be necessary to close or divert certain specified roads, either permanently or temporarily during the construction period. The contractor should arrange diversions for providing alternative route for transport and/or pedestrians. After breaking up, closing, or otherwise interfering with any street or footpath to which the public has access, the Contractor shall make such arrangements as may be reasonably necessary to cause as little interference with the traffic in that street or footpath during construction works as shall be reasonably practicable. Wherever the construction works interfere with existing public or private roads or other ways over Draft ESMF for Yemen Emergency Electricity Access Project Page 53 which there is a public or private right of way for any traffic, the Contractor shall construct diversion ways wherever possible. Movement of Trucks and Construction Machinery The Contractor moving solid or liquid construction materials and waste shall take strict measures to minimize littering of roads by ensuring that vehicles are licensed and loaded in such a manner as to prevent falling off or spilling of construction materials and by sheeting the sides and tops of all vehicles carrying mud, sand, other materials, and debris. Construction materials should be brought from registered sources in the area and debris should be transferred to assigned places in a landfill with documented confirmation. Traffic Safety Measures The Contractor shall provide, erect, and maintain such traffic signs, road markings, barriers and traffic control signals and such other measures as may be necessary for ensuring traffic safety around the construction site. The Contractor shall not commence any work that affects the public motor roads and highways until all traffic safety measures necessitated by the work are fully operational. Access across the Construction Site and to Frontages In carrying out the construction works, the Contractor shall take all reasonable precautions to prevent or reduce any disturbance or inconvenience to the owners, tenants, or occupiers of the adjacent properties, and to the public generally. The Contractor shall maintain any existing right of way across the whole or part of the construction site and public and private access to adjoining frontages in a safe condition and to a standard not less than that pertaining at the commencement of the contract. If required, the Contractor shall provide acceptable alternative means of passage or access to the satisfaction of the persons affected. Noise and Dust Control The Contractor shall take all practicable measures to minimize nuisance from noise, vibration and dust caused by heavy vehicles and construction machinery. This includes: • respecting normal working hours in or close to residential areas • maintaining equipment in a good working order to minimize extraneous noise from mechanical vibration, creaking and squeaking, as well as emissions or fumes from the machinery • shutting down equipment when it is not directly in use • using operational noise mufflers • Provide a water tanker, and spray water when required to minimize the impact of dust • limiting the speed of vehicles used for construction Waste Disposal The Contractor must agree with the municipality about arrangements for construction waste disposal. The municipality shall designate a dumping site or landfill for the disposal of solid waste. The contractor will take measures to avoid soil and groundwater contamination by liquid waste. Protection of the Existing Installations The Contractor shall properly safeguard all buildings, structures, works, services or installations from harm, disturbance, or deterioration during the concession period. The Contractor shall take all necessary measures required for the support and protection of all buildings, structures, pipes, cables, sewers, and other apparatus during the concession period, and to repair any damage occurs in coordination with Municipality and concerned authorities. Draft ESMF for Yemen Emergency Electricity Access Project Page 54 Protection of Trees and Other Vegetation The Contractor shall avoid loss of trees and damage to other vegetation wherever possible, and minimize adverse effects on green cover within or near the construction site. The contractor will restore vegetative cover, where feasible. Physical Cultural Resources The contractor will train construction crews and supervisors to spot potential archaeological finds. In the event of a potential find, the contractor will inform the local partner who will in turn liaise with the archaeological department at the Ministry of Culture, or a local university for quick assessment and action. Clearance of Construction Site on Completion The Contractor shall clear up all working areas both within and outside the construction site and accesses as work proceeds and when no longer required for the carrying out of the construction works. All surplus soil and materials, sheds, offices, and temporary fencing shall be removed, post holes filled and the surface of the ground restored as near as practicable to its original condition. Worker Health and Safety To avoid work related accidents and injuries, the contractor will: • Provide occupational health and safety training to all employees involved in works • Provide protective masks, helmet, overall and safety shoes, safety goggles, as appropriate • Provide workers in high noise areas with earplugs or earmuffs • Ensure availability of first aid box • Provide employees with access to toilets and potable drinking water • Train workers regarding the handling of hazardous materials • Store hazardous materials as per the statutory provisions of Manufactures, Storage and Import of Hazardous Chemicals Rules (1989), under the Environment (Protection) Act, 1986 Site Construction Safety and Insurance Further to enforcing the compliance of environmental management, contractors are responsible on providing insurance for construction labors, staff attending to the construction site, citizens for each subproject, the insurance requirements and clauses are stated in the bidding documents complying to the labor law. Draft ESMF for Yemen Emergency Electricity Access Project Page 55 ANNEX 3 YEMENI ENVIRONMENTAL QUALITY STANDARDS Table 6. Permissible limits for key air pollutants Pollutant Time Period Value Carbon Monoxide and Dioxide gas (CO/CO2) 8 hours 10 micrograms\m3 Nitrogen oxide (NOx) 24 hours 150 micrograms\m3 Sulphur oxide (SOX) 24 hours 250 micrograms\m3 Ozone (O3) 8 hours 120 micrograms\m3 Particulate Matter (PM) 24 hours 70 micrograms\m3 Lead (Pb) Annually 1 micrograms\m3 The Yemeni standards for air quality do not specify sources of industrial emissions; they are also less strict than those in the World Bank Group EHS Guidelines. Table 7. Maximum noise level allowed in different environments (Decibel Unit dB) Time Environment 7h00-18h00 18h00-23h00 23h00-07h00 Rural housing and entertainment places 45 40 25 Suburban housing areas 50 45 40 Urban housing areas 55 50 45 Housing areas in city centers 60 55 50 Industrial and commercial areas 70 70 70 Table 8. Physical Characteristics of drinking water Characteristic Unit Optimal limit Maximum limit Taste Acceptable to consumers Odor Acceptable to consumers Color Platinum Cobalt 5 25 Turbidity (NTU) Turbidity Unit 1 5 Temperature Degree Celsius - 25 pH (Potential of hydrogen) 6.5-8.5 5.5- 9 Electrical Conductivity EC Micro mohs/cm 450-1000 2500 Table 9. Inorganic substances in drinking water Optimal limit Maximum limit Substance Symbol (mg/L) (mg/L) Total Dissolved Salts TDS 650 1500 Bicarbonate HCO3 150 500 Chloride Cl- 200 600 Sulphate SO4 200 600 Fluoride F- 0.5 1.5 Calcium Ca 75 200 Magnesium Mg 30 30-150 Draft ESMF for Yemen Emergency Electricity Access Project Page 56 Barium Ba 0.1 0.15 Sodium Na 200 400 Potassium K 0-12 12 Nitrate NO3 10 50 Iron Fe 0.3 1 Manganese Mn 0.1 0.5 Copper Cu 01 1.5 Zinc Zn 5 15 Total Hardness (as Calcium Carbonate) TH 100 500 Aluminum Al 0.2 0.3 Nickle Ni 0.05 0.1 Boron B 0.50 1 Silica SiO2 40 Total residual chlorine concentration in treated water reaching the consumers should be between 0.2 to 0.5 ppm. It might be increased in the event of an epidemic to the level determined by the related authorities and international organizations. Table 10. Maximum limits for organic pollutants in drinking water Maximum limit Substance (mg/L) Aldrin 0.0002 Lindane 0.004 Methoxine 0.01 Toxaphene. 0.002 2,4 Dichlorophenoxy acetic acid 0.1 Propionic acid 0.01 Malathion 0.19 Parathion 0.035 Permethrin 0.01 Dimethoate 0.002 Diazinon 0.002 Table 11. Maximum limits for toxic substances in drinking water Substance Unit Maximum limit Lead (Pb) mg/L 0.05 Selenium (Se) // 0.01 Arsenic (As) // 0.01 Chromium (Cr) // 0.05 Cyanide (CN) // 0.01 Cadmium (Cd) // 0.005 Mercury (Hg) // 0.001 Antimony (Sb) // 0.005 Barium (Ba) // 0.5-1.0 Silver (Ag) // 0.01-0.1 Halogenated methane group (TTHM) µg/L 150 includes: Chloroform, Bromoform, Bromodichloromethane and Dibromochloromethane Draft ESMF for Yemen Emergency Electricity Access Project Page 57 The amount of radioactive materials in water should not exceed the limits mentioned below: The microbiological pollutants in treated public water supplied through the distribution network or any other distribution means must be free of Total Coliform and Colon Bacillus form as mentioned below: Table 12. Bacterial Pollutants Bacteria Unit Maximum limit Total coliforms CFU/100 ml Zero Fecal coliform CFU/100 ml Zero Microbiological pollutants in untreated public water conveyed into the distribution network • 98% of the annually tested samples must be free of total coliforms. • The fecal coliform must not exceed three in any one isolated sample and not successive samples. • Water not supplied through the distribution network such as: wells, springs, rain water reservoirs the Fecal coliform that found in a 100 ml water sample must not exceed 10-15 coliform. Biological Pollutants The drinking water must be free from the following: • Protozoa harmful to health. • Parasitic worms (Helminths) that can involve human as a host during its life cycle and transfer infection to human. • Parasites including fungi that affect health or produces toxic materials that affect human health. Waste Water Physical Standard physical requirements: • Maximum temperature should not exceed 45 Co • Should not contain substances susceptible to freezing, settling or become viscous in temperature ranging from 0-40 Co • Should not contain solid or liquid hazardous and explosive materials Table 13. Maximum levels of chemical substances in industrial and commercial waste water discharged in the public sewerage network Compound/Substance Symbol Unit Maximum limit Chemical Oxygen Demand COD mg/L 2100 Biochemical Oxygen Demand BOD mg/L 800 Power of Hydrogen pH --- 5.5-9.5 Maximum Temperature Degree Co C 45 Total Suspended Solids TSS mg/L 1100 Total Dissolved Solids TDS 2000 Oil and Grease --- 100 Phenolic Compounds --- 10 Sulphate S04 1000 Phosphorus P 50 Cyanide CN 5 Sulphur S 1 Hydrogen Sophie H2 S 10 Iron Fe 50 Draft ESMF for Yemen Emergency Electricity Access Project Page 58 Chloride Cl 600 Fluoride F 8 Arsenic As 5 Tin Sn 10 Barium Ba 5 Boron B 5 Cadmium Cd 1 Chromium (VI) Cr 5 Copper Cu 5 Lead Pb 0.6 Mercury Hg 0.01 Nickel Ni 5 Selenium Se 0.1 Silver Ag 1 Manganese Mn 10 Beryllium Be 5 Zinc Zn 15 Cobalt Co 0.05 Lithium Li 5 Vanadium V 0.1 Aluminum Al 5 Wastes that must be handled with control set up by the administration under the competent authority of which wastes lie: 1. Clinical wastes generated from medical care in hospitals, clinics and medical centers. 2. Wastes generated from pharmaceutical preparations and products. 3. Wastes generated from medicaments and drugs. 4. Wastes generated from production of biological insecticides, preparation of medicaments from plants and shrubs and its usage. 5. Wastes generated from wood chemical protective materials and their preparation and utilization. 6. Wastes generated from organic solvent materials and their preparation and usage. 7. Wastes generated from thermal processing and printing processes which contains cyanide. 8. Wastes from unusable mineral oil. 9. Wastes from oil/water and mixes of hydrocarbons etc. 10. Wastes from substances and compounds containing alkaline phenol with multitude bonds (PCBs) and/or phenyls of multiple chlorine bonds. 11. Wastes from tar sediments resulting from refining and distillation and any thermal processing analysis. 12. Wastes from production of links, paints, coloring materials, lacquers, varnishes and their preparation and usage. 13. Wastes left from the production of resins, gingival, plastics, furs, sticking materials and their preparation and usage. 14. Wastes from chemical materials generated from research and development activities or from any uncategorized/ or new educational activities the effects of which on human beings and the environment are not known. 15. Wastes of explosive nature not subjected to any other legislation. 16. Wastes left from production of chemical, processing and photographic materials and their usage and preparation and usage. 17. Wastes from surface treatment of plastics and metals. 18. Residues resulting out of disposing of industrial wastes. Draft ESMF for Yemen Emergency Electricity Access Project Page 59 Hazardous wastes for which transportation and handling is prohibited except with a permission from the Competent Authority include: d) Wastes that include the following materials in their composition: 1. Carbonic metal. 2. Barium and barium compounds. 3. Chrome hexa equivalence compounds. 4. Copper compounds. 5. Zinc compounds. 6. Arsenate, arsenic compounds. 7. Selenium, selenium compounds. 8. Cadmium, cadmium compounds. 9. Antimony, antimony compounds. 10. Tellurium, tellurium compounds. 11. Mercury, mercury compound. 12. Thallium, thallium compounds. 13. Lead, lead compounds. 14. Fluorine inorganic compounds except calcium fluoride. 15. Cyanide inorganic compounds. 16. Acid solutions or acids in solid state. 17. Alkaline solutions or alkalines in solid state. 18. Rock silk(Asbestos) (fiber dust) 19. Phosphorous organic compounds. 20. Cyanide organic compounds. 21. Phenol, phenol organic compounds including chlorophenol. 22. Organic compounds of Ether/air. 23. Halogenic organic solvents. 24. organic solvents expect halogenic solvents. 25. Any similar substance to bi-benzene of multiple chlorine bonds. 26. Any substance similar to dioxin-pho-bi-benzene of chloride bonds. 27. Most organic halogen compounds e) Pesticides and home insecticides. f) Petroleum substances. g) Substances from which ionic radiations are emitted. h) Inflammable and explosive substances. Draft ESMF for Yemen Emergency Electricity Access Project Page 60 ANNEX 4 SAMPLE TABLE OF CONTENT FOR LEVEL 4 ESIAS AND ESMPS Environmental and Social Impact Assessment The consultant will prepare the ESIA according to the following table of content: i) Executive summary. Concisely discusses key findings and recommended actions. j) Project description. Concisely describes the proposed facility and its associated facilities, its geographic location, including detailed maps, and its layout. Indicates for reference the need for any resettlement plan or indigenous peoples’ development plan. k) Policy, legal, and administrative framework Discusses the policy, legal, and administrative frameworks within which the EA is carried out. Describes ROY requirements and procedures, including reporting requirements of the National Environmental Authority Describes the relevant World Bank Safeguards Policies triggered under this Project, including the World Bank Group General Environmental, Health and Safety (EHS) Guidelines and the appropriate Industry Sector Guidelines Explains the environmental requirements of any cofinanciers. Identifies relevant international environmental agreements to which the country is a party. l) Baseline data Presents data directly relevant to decisions about project location, design, operation, or mitigatory measures, including physical aspects (such as topography, landforms, geology, soils, climate, air quality, and hydrology), and socioeconomic conditions (such as demography, settlements, community structures, vulnerable and marginal groups, sources and distribution of income, employment and labour markets, land use, and cultural heritage). Identifies any changes anticipated before the project commences. Takes into account current and proposed development activities within the project area but not directly connected to the project. Collates data from existing sources, and if necessary collects original data Identifies and estimates the extent, quality, accuracy and reliability of available data, key data gaps, and uncertainties associated with predictions, and specifies topics that do not require further attention. Organizes and presents data according to three levels of detail: (a) footprint, (b) a buffer area of 1 km around the facility and its associated facilities, and (c) area of influence. Presents summary data in geographic format. m) Environmental impacts Predicts and assesses the project's potential positive and negative environmental and social impacts that might change the baseline conditions, in quantitative terms to the extent possible, during the construction, operation and decommissioning phases. Differentiates between short, medium and long-term impacts, and estimates the magnitude of impacts, and identifies generic both generic environmental and social impacts and site-specific impacts. Identifies mitigation measures and any residual negative impacts that cannot be mitigated. Explores opportunities for environmental enhancement. n) Analysis of alternatives Systematically compares feasible alternatives to the proposed facility associated Draft ESMF for Yemen Emergency Electricity Access Project Page 61 ancillary facilities, such as technology, design, and operation--including the "without project" situation--in terms of their potential environmental impacts; the feasibility of mitigating these impacts; their capital and recurrent costs; their suitability under local conditions; and their institutional, training, and monitoring requirements. For each of the alternatives, quantifies the environmental impacts to the extent possible, and attaches economic values where feasible. States the basis for selecting the particular project design proposed and justifies recommended emission levels and approaches to pollution prevention and abatement. o) Public consultations and disclosures i. The consultant is expected undertake minimum of two public consultations for each transmission line, during the preparation and finalization of the ToRs and when the draft ESIA reports is ready ii. The public consultations should be documented, including both the positive and negative concerns of the Project Affected Persons (PAPs) and how their views are incorporated into the design of the project iii. Disclosure of the report shall be done in a manner, form and language that are understandable, accessible which enable the public full participation. p) Appendixes List of EA report preparers--individuals and organizations. iv. References. Documents all sources of written information, both published and unpublished, used in the ESIA. v. Records of public participation and consultations for obtaining the informed views of the affected and interested parties, as well as local nongovernmental organizations (NGOs), on the positive and negative impacts of the proposed project. The records will summarize concerns and opinions presented during the consultations. The record will also specify any means other than consultations (e.g., surveys) used to obtain the views of affected groups and local NGOs. vi. Records of consultation meetings with institutional stakeholders vii. Tables presenting the relevant data referred to or summarized in the main text. viii. List of associated reports (e.g., resettlement plan). Environmental and Social Management Plan The ESMP will specifically describe individual mitigation and monitoring measures during both construction, operation and decommissioning, assign institutional responsibilities, and estimate the resources required for its implementation. The ESMP will include: a) Mitigation Plan. Identifies feasible and cost-effective measures that may avoid potentially significant adverse environmental impacts or reduce them to acceptable levels. The plan includes compensatory measures if mitigation measures are not feasible, cost-effective, or sufficient. The plan distinguishes between the construction and operations phases. The plan is organized specifically, the plan: identifies and summarizes all anticipated significant adverse environmental impacts (including those involving indigenous people or involuntary resettlement), and identifies both generic and site specific environmental and social mitigation measures during construction and maintenance phases; describes with technical details--each mitigation measure, including the type of impact to which it relates and the conditions under which it is required (e.g., continuously or in the event of contingencies), together with designs, equipment descriptions, and operating procedures, as appropriate; includes measures to minimize migratory bird collisions with transmission lines; include emergency/disaster preparedness plans; describes with details other plans that will be required during the construction and operation phases (e.g. Contractor ESMP, Occupational Health and Safety plans and labour influx plan). estimates any potential environmental impacts of these measures; Draft ESMF for Yemen Emergency Electricity Access Project Page 62 provides linkage with any other mitigation plans (e.g., for involuntary resettlement, indigenous peoples, or cultural property) required for the project. includes additional data collection to fill identified data gaps b) Contractor clauses Defines environmental and social clauses that UNOPS will include in supply and installation bidding documents and contracts for the construction and supervision consultants, to ensure satisfactory environmental, social, health and safety performance of contractors The clauses will cover occupational health and safety in communities affected by the construction activities and its associated ancillary facilities, worksite health and safety; environmental management of construction sites; labor camps/labor influx; labor rights and the employment of community members; and land, property and livelihood compensation c) Monitoring Plan Defines monitoring objectives and indicators, and specifies the type of monitoring, with linkages to the impacts assessed in the EA report and the mitigation measures described in the ESMP. Provides: (a) a specific description, and technical details, of monitoring measures, including the parameters to be measured, methods to be used, sampling locations, frequency of measurements, detection limits (where appropriate), and definition of thresholds that will signal the need for corrective actions; and (b) monitoring and reporting procedures to (i) ensure early detection of conditions that necessitate particular mitigation measures, and (ii) furnish information on the progress and results of mitigation. d) Institutional Arrangements Describes institutional arrangements, responsibilities and procedures within UNOPS, the local partner, and the asset owner and its contractors to carry out each of the mitigatory and monitoring measures (e.g., for operation, supervision, enforcement, monitoring of implementation, remedial action, financing, reporting, and staff training). Includes training of contractors regarding the environmental and social clauses that apply to them. Estimates the resources required by the asset owner to implement and monitor the ESMP, such as level of effort (LOE), and equipment. As necessary, proposes capacity building, additional technical support or organizational changes, to ensure the timely and effective implementation of the ESMP. e) Grievance Redress Mechanism i. Describes the GRM procedures for receiving, handling and resolving complaints for each transmission line f) Implementation Schedule and Cost Estimates: implementation schedule for mitigation measures that must be carried out as part of the project, showing phasing and coordination with overall project implementation plans; the capital and recurrent cost estimates and sources of funds for implementing the EMP. g) Chance Find Procedures i. Describe the ‘Chance Find’ procedures to ensure preventive and mitigation measures are formulated and implemented in the event physical cultural resources are encountered during project implementation h) Implementation Schedule and Cost Estimates: implementation schedule for mitigation measures that must be carried out as part of the project, showing phasing and coordination with overall project implementation plans; the capital and recurrent cost estimates and sources of funds for implementing the EMP. Draft ESMF for Yemen Emergency Electricity Access Project Page 63 ANNEX 5 SAMPLE GRIEVANCE AND RESOLUTION FORM Name (Filer of Complaint): __________________________________ ID Number: __________________________________ (PAPs ID number) Contact Information: _____________________________District/Community mobile phone) Nature of Grievance or Complaint: __________________________________________________________________________________ ____________________________________________________________ Date Individuals Contacted Summary of Discussion ____________ __________________ ___________________________ Signature_______________________ Date: ____________ Signed (Filer of Complaint): ______________________________________ Name of Person Filing Complaint: __________________________ (if different from Filer) Position or Relationship to Filer: __________________________________ Review/Resolution Date of Conciliation Session: ______________________________________ Was Filer Present? Yes No Was field verification of complaint conducted? Yes No Findings of field investigation: __________________________________________________________________________________ ____________________________________________________________________ Summary of Conciliation Session Discussion: __________________________________________________________________________________ ____________________________________________________________________ Issues: ___________________________________________________________________________ Was agreement reached on the issues? Yes No If agreement was reached, detail the agreement below: If agreement was not reached, specify the points of disagreement below: Signed (Conciliator): ___________________________ Signed (Filer): ________________ Signed: ___________________________ Independent Observer Date: ___________________________ Draft ESMF for Yemen Emergency Electricity Access Project Page 64 ANNEX 6 POTENTIAL IMPACTS AND MITIGATION MEASURES FOR THE YEMEN INTEGRATED URBAN SERVICES EMERGENCY PROJECT This Annex presents a broader array of potential impacts and associated mitigation than those described in Chapter 6, which UNOPS used for the Yemen Integrated Urban Services Emergency Project. UNOPS will use it as guidance if the subproject ESIA identifies impacts that are not described in Chapter 6. Table 14. Potential impacts and matching mitigation for the Yemen Integrated Urban Services Emergency Project. Potential impact Mitigation measures Community Health and Safety Increased road traffic flows due to construction • Inform the public about the schedule of transport maintenance activities • Control and manage traffic, by using traffic cones, barriers, fences, or lights as appropriate • Limit speed in inhabited areas Temporary disruption of economic activities, • Inform and coordinate with the local councils and including disruption of traffic and congestion the public on the maintenance schedule • Shorten works period • Provide alternative access to residences and roadside businesses Inform and coordinate with the local councils and the public on the maintenance schedule • Avoid work during night hours Public safety during construction • Erect removable barriers in high risk areas • Install warning signs • Protect proper shielding scaffolds General Environmental Impacts Dust generation during excavation, backfilling, • Use well-maintained equipment compaction, or transportation of construction • Spay water for dust control materials Increased levels of noise and vibration due to • Use quiet/well-maintained equipment heavy vehicles and construction equipment, which • Use operational noise mufflers are a nuisance to the community around the site • Limit noisy activities to normal daylight hours • Limit vehicle speed at critical locations Air pollution due to emissions from construction • Properly maintain construction machinery to vehicles and equipment minimize exhaust emissions of CO, suspended particulates, and fumes Production of liquid wastes, leading to soil or • Remove and recycle liquid waste groundwater pollution Production of hazardous, or potentially hazardous, • Treat hazardous waste separately from other wastes from construction debris or the use of waste chemicals during construction Disposal of construction debris and waste • Properly dispose of solid waste at designated materials permitted sites Draft ESMF for Yemen Emergency Electricity Access Project Page 65 Changes in runoff water patterns and effluent • Side slope roads to prevent the accumulation of water on the road surface • Revegetate disturbed soils • Ensure that ditches and culverts are not blocked by the construction activities Bad odors • Inform nearby houses Landslides and soil erosion • Where feasible, provide an open area ~1 m wide, behind cut side channels, to accommodate fallen debris which must be cleaned • Where feasible, increase the mass thickness of the rock fill to provide additional stability • Provide adequate drainage systems Poor coordination, planning and sequencing of • Coordinate with local councils and other construction could lead the breakage of implementing partners underground pipes (electric power cables, • Postpone asphalt pavement until the water telephone lines, water distribution) or paved roads distribution and sanitation networks are completed • Protect underground pipes during construction • Repair damaged infrastructure on the completion of the works Destruction of vegetation • Restore vegetative cover, where feasible • Wherever feasible, plant endemic trees with minimal water demand at ~4 meters from the edge of the road shoulders and as much as possible within the road right of way (ROW). • Minimize impact animal and amphibian road crossings by reducing speed limits in critical areas and planting trees or other vegetation. • Maintain clean culverts and rehabilitate them to provide safe crossing for amphibians. Destruction of significant physical cultural property • Contracts to include provisions for chance find • Train crew/supervisors to spot potential archaeological finds. • In the event of a potential find, liaise with the Archaeological Department at Ministry of Culture or a local university for quick assessment and action. Occupational Health and Safety Work related accidents and injuries • Provide occupational health and safety training to all employees involved in works • Provide protective masks, helmet, overall and safety shoes, safety goggles, as appropriate • Provide workers in high noise areas with earplugs or earmuffs • Ensure availability of first aid box Risk to workers from hazardous material used for • Train workers regarding the handling of hazardous construction, such as acetylene cylinders, materials petroleum, spirits, lubricating oils, paints and • Store hazardous materials as per the national and chemicals. international laws and guidelines including the World Bank Environmental, Health, and Safety (EHS) Guidelines27 Poor onsite sanitation or water supply, leading to • Provide employees with access to toilets and illness and disease potable drinking water 27 World Bank General EHS Guidelines are available at the following website: http://www.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/sustainability-at-ifc/policies- standards/ehs-guidelines Draft ESMF for Yemen Emergency Electricity Access Project Page 66 The risk of employing children for construction • verify that workers are older than 18 when hiring activities28 • exclude all persons under the age of 18. • review and retain copies of verifiable documentation concerning the age of workers 28 For the purpose of this ESMF, a child is a person under age 18. Draft ESMF for Yemen Emergency Electricity Access Project Page 67