SFG1401 The Federal Democratic Republic of Ethiopia MINISTRY OF URBAN DEVELOPMENT, HOUSING AND CONSTRUCTION ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK URBAN PRODUCTIVE SAFETY NET PROJECT Ministry of Urban Development, Housing and Construction Addis Ababa, August 2015 Executive Summary I. Introduction Ethiopia has more urban poor in large urban centers. As more of the urban poor live in large urban centers, expanding development programs to address key challenges to urban poverty reduction is imperative. Therefore, the Government of Ethiopia (GoE), in collaboration with the International Development Association (IDA) of the World Bank, is spearheading the development of an Urban Productive Safety Net project which is implemented with funds contributed by GoE, the IDA and other development partners. The overall objective of the Urban Productive Safety Net Project (UPSNP) is to reduce urban poverty and vulnerability among the urban poor living below the poverty line and unleashing their productive potential. The project aims to provide access to effective safety nets and will provide support to 1.25 million beneficiaries in 11 cities. II. Purpose and objectives of the ESMF The UPSNP Environmental and Social Management Framework (ESMF)_is prepared to serve as a safeguard framework to examine the environmental and social impacts of the Labour Intensive Public Works (LIPWs) to be implemented in the capital cities of the nine regional states including Addis Ababa and Diredawa. The ESMF establishes a unified process for addressing all environmental and social safeguards issues on subprojects from preparation, through review and approval, to implementation. The overall objective and purpose of the UPSNP ESMF can be summarized as follows.  To establish clear procedures and methodologies for the environmental and social assessment, review, approval and implementation of LIPWs to be financed under the UPSNP;  To specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to UPSNP LIPWs; The ESMF is complemented by an RPF that establishes the Project resettlement and compensation principles and implementation arrangements. Page 1 III. Project Description and component a. Environmental Context Ethiopia is located between 3º and 15ºN latitude and 33º and 48ºE longitude and covers a land surface (including water bodies) area of 1,127,127 km². The country is currently divided into nine regional states and two city administrations, whose capital cities are the eleven participating cities in the UPSNP project. It is a country of great geographical and climatic diversity, which has given rise to many and varied ecological systems. b. Project components The UPSNP Project has three components include: (i) Safety Nets (Labour Intensive Public Works); (ii) Livelihoods; and (iii) Program Management and Institutional Strengthening. Out of the three components of the UPSNP project, the main focus of the ESMF is at the Labour Intensive Public Works (Safety nets) Sub-projects. Component I: Safety Net Support This component will support beneficiaries through conditional and unconditional safety net transfers. The conditional transfers will include participation in public works (PW) and/or skills training for those who have able bodied members. Unconditional transfers will be for people who are labour constrained or unable to perform work including the elderly, disabled, chronically ill, children, pregnant, lactating mothers and people with disabilities. Sub-Component 2: Labour Intensive Public Works (LIPWs) and other co- responsibilities: This sub-component, will support conditional transfers that will be for the client households and individuals who have able bodied members to provide labour for PW. The range of public works include: urban greenery development, solid waste management, construction of cobblestone roads, building drainages and community infrastructure and development of shelters and workshops for income generation SME activities etc. LIPWs will also include the provision of home-based care activities for elderly, sick and disabled community members. As the project develops project beneficiaries may be able to fulfil their co-responsibilities by participating in skills training activities aimed at improving their employability or income generating activities. Sub-Component 3: Unconditional Support: This sub-component supports the delivery of transfers to poor households with no able bodied person in the family. This group includes persons that for various reasons are unable to perform work (e.g. chronically ill, elderly Page 2 and people with disabilities, children, pregnant and lactating mothers). The transfers for this group will be provided monthly throughout the year and payments will not be linked to completion of public works. IV. Organizational Responsibilities for UPSNP Implementation The institutional arrangement and implementation of the Urban Productive Safety Net project will be fully streamlined into the existing government structure at the federal, regional, city and local levels. A National Steering Committee to be chaired by the Minister (MUDHCo) and co-chaired by MoLSA will be established. Members will include MUDHCo, MoLSA, MoFED, FEMSEDA, MoWCYA, Regions and Development Partners (WB). The overall regular management and coordination of the project will be supported by a Project Coordination Unit (PCU) reporting to UGGCBB. The PCU will be staffed with appropriate technical and management staff. The PCU will facilitate institutional capacity and system development activities, M&E, regular reporting, Financial Management, Procurement, and Management of Safeguard issues. The PCU will serve as a secretariat to the National Steering Committee. Similar structures will be established at regional and ULG levels. V. Relevant National and Regulatory Environmental Framework The principal relevant laws and policies of the Republic of Ethiopia for the purposes of this ESMF are: a) Proclamation No. 295/2002 Environmental Protection Organs Establishment b) Proclamation No. 299/2002 Environmental Impact Assessment c) Proclamation No. 300/2002 Environmental Pollution Control d) Proclamation No. 513/2007 Solid Waste Management Proclamation e) Proclamation No 209/2000: Research and Conservation of Cultural Heritage f) Proclamation 377/2003: The Labour law g) Proclamation No 455/2005: Expropriation of landholding for Public Purposes and Payment of compensation h) Regulation No 135/2007: Council of Minister Regulation i) Regulation No.159/2008, Prevention of Industrial Pollution Regulation j) EPA Environmental Impact Assessment Guideline Document, May 2000 Page 3 The instrument normally employed in Ethiopia to ensure that projects are designed to avoid or minimise negative environmental impacts is Environmental Impact Assessment (EIA). The EIA requirements of both the Government of Ethiopia and the UPSNP donors are addressed through this ESMF. VI. World Bank Safeguards Policies The UPSNP Project is categorized as “B” implying that the expected environmental impacts are largely site-specific, that few if any of the impacts are reversible, and that mitigation measures can be designed relatively readily. The environmental assessment for a Category B project, a) Examines the project’s potential positive and negative environmental impacts, b) Recommends measures to prevent, minimize, mitigate, or compensate for adverse impacts, c) Recommends measures to improve environmental performance The Bank’s ten safeguard policies are designed to help ensure that programs proposed for financing are environmentally and socially sustainable, and thus improve decision-making. The Bank’s Operational Policies (OP) is meant to ensure that operations of the Bank do not lead to adverse impacts or cause any harm. VII. Consultations during the ESMF process: As part of the ESMF preparation process for the LIPWs of the UPSNP project, a series of consultations were carried out in four different regional cities. The consultations were held between 15 to 30 July 2015 and were led by the ESMF consultant and the environmental specialist from MUDHCo. The consultations were conducted by interviewing key informants of sector bureaus and agencies involved in the implementation of the UPSNP LIPWs project and by conducting small group discussion meetings. The main agenda for the consultation discussions were focused on providing information about the UPSNP project with emphasis on LIPWs and ESMF. Discussions were also conducted to identify institutional capacity gaps and other constraints to implement the ESMF procedures. During the consultation discussions and interviews held in the four cities several general and specific issues, questions, concerns and opinions were raised by the participants. Many of the participants emphasized the need of training to build the capacity of ULGs and Page 4 Regions to implement procedures outlined associated in the ESMF and RPF. Furthermore, It was suggested that the Project Coordinating Unit should have dedicated environmental and social safeguard specialists who are provided with office furniture, transportation and other relevant logistics. VIII. Procedure for screening and development of EMPs This ESMF requires that each UPSNP sub-project proposed by ULGs under the UPSNP Project be screened for environmental and social impacts using the Screening Checklist provided in Annex A. The screening will take place before the start of the construction stage and will determine the sub-projects; categories by both Government of Ethiopia (GoE) and World Bank Safeguard Policies and statutes. EMP/EIA studies will be guided by GoE Environmental Impact Assessment Guideline and Wold Bank Safeguard policies, provided however that in case of material differences between the two the latter will prevail. The Screening and follow-up EIA study will yield an Environmental Management Plan (EMP) which will be reviewed and approved by REPA. Upon approval by REPA, the EMP will guide resolution of all potential environmental and social impacts likely to be identified for each sub-project of public work. A RPF has been developed in parallel of this ESMF, to deal with potential displacement impacts and to guide the preparation of RAPs as needed. Once implementation of the UPSNP LIPW subproject has started, regular supervision missions should be carried out by the ULG’s PFU. An annual environmental report must be submitted to BIUDs by each ULG and consolidated by BIUDs as regional reports for submission to the Regional EPA, UGGCBB/MUDHCo and World Bank for review. IX. Responsibility for Environmental and Social Management The entire environmental and social management will be inbuilt into the sub-project development cycle whereby activities will take place within a holistic work plan. Further, this ESMF has determined the responsibility for environmental and social management to vest with all stakeholders to the UPSNP. But more specifically, the ULGS will be accountable to plan, implement and supervise environmental mitigation at the design, construction and operation phases of public work with oversight supervision from the MUDHCo project coordination team. Page 5 MUDHCo will collaborate with the REPA and ULGs to ensure sound management of the environmental aspects of the projects. They will ensure that all safeguards/environmental requirements of the GoE and the World Bank are adhered to and reported on accordingly by all implementing agencies and all ULGs. Reports submitted by any implementing agency on activities that have safeguards or environmental implications or imperatives must include sections on actions taken. From the ULGs, all reports submitted to the REPA and MUDHCo should include safeguards implementation status for all activities. X. Training and Capacity Building One of the capacity building areas sought for by the ULGs and different stakeholders involved in the implementation of the UPSNP LIPW projects is the provision of training. The training to be offered will address different target groups which will have a role in implementing the ESMF and RPF at various levels. Moreover, owing to the expressed shortages of manpower to staff the UPSNP project implementation organs such as the PCU, PFU, technical committees e.t.c who will run the UPSNP LIPW project on daily basis, a provision of technical assistance by way of providing skilled manpower support for a period of time or devising a financial mechanism to incentivise the relevant staff’s to work on fulltime basis on the project will be necessary. XI. Monitoring of the ESMF Monitoring of the compliance of ULG construction works project implementation with the mitigation measures set out in its EMP, CRMP and/or RAP will be carried out by the ULG officer that are responsible for environmental management. ULG project officers carrying out this monitoring by regularly visiting the projects, and pursuing the following corrective measures as required. Once implementation of the ULG construction works project has started, regular supervision missions should be carried out by ULG officer responsible for the project and an annual environmental report must be submitted to the REPA, MUDHCo and World Bank for review. ESMF implementation will also be supported by conducting annual environmental and social performance audit (including audit of implementation of EMPs, CRMPs, RAPs and ARAPs) that will be carried out by a third party. The third-party annual environmental and social performance audits will be conducted on the ULGs UPSNP project to evaluate the Page 6 overall implementation of the ESMF and the Project. This will be conducted as part of MUDHCo’s annual audit of the UPSNP project. The audit team will report to the MUDHCo and the World Bank. XII. Implementation Budget The breakdown of estimated costs for putting the ESMF into operation is provided in Table 10. This includes the costs of providing the capacity building and training set out in Chapter 7. The total estimated costs for mainstreaming environment into the UPSNP LIPW component is USD 2,315,000. Page 7 CONTENTS Chapter Page Executive Summary.............................................................................................................. 1 1 INTRODUCTION ............................................................................................................................... 13 1.1 PURPOSE AND OBJECTIVES OF THE ESMF ..................................................................................... 14 1.2 METHODOLOGY ............................................................................................................................ 15 1.3 BACKGROUND AND PURPOSE OF THE UPSNP PROJECT ................................................................. 17 1.4 COMPONENTS OF THE UPSNP PROJECT ........................................................................................ 17 1.5 UPSNP PROJECT PARTICIPATING CITIES ....................................................................................... 22 1.6 ENVIRONMENTAL AND SOCIAL CONTEXT AND BASELINE CONDITIONS OF PARTICIPATING CITIES 24 2 ORGANIZATIONAL RESPONSIBILITIES FOR UPSNP IMPLEMENTATION ..................... 27 2.1 FEDERAL GOVERNMENT LEVEL..................................................................................................... 27 2.2 REGIONAL GOVERNMENTS LEVEL ................................................................................................. 29 2.3 URBAN LOCAL GOVERNMENTS LEVEL (CITIES) ............................................................................ 30 3 LEGAL, POLICY AND ADMINISTRATIVE FRAMEWORK ..................................................... 33 3.1 THE CONSTITUTION AND RELEVANT POLICIES.............................................................................. 33 3.1.1 The Constitution of Ethiopia .................................................................................................... 33 3.1.2 Environmental Policy of Ethiopia............................................................................................ 34 3.1.3 Growth and Transformation Plan (GTP) ................................................................................ 34 3.1.4 Ethiopian Cities Sustainable Prosperity Initiative (ECPI) ...................................................... 35 3.2 ENVIRONMENTAL PROCLAMATIONS.............................................................................................. 36 3.2.1 Proclamation 299/2002, Environmental Impact Assessment .................................................. 36 3.2.2 Proclamation 300/2002, Environmental Pollution Control .................................................... 37 3.2.3 Proclamation 513/2007, Solid Waste Management ................................................................. 38 3.2.4 Proclamation No 209/2000: Research and Conservation of Cultural Heritage ..................... 39 3.2.5 Public Health Proclamation .................................................................................................... 39 3.2.6 Proclamation 377/2003: The Labour law ............................................................................... 40 3.2.7 Regulation 159/2008, Prevention of Industrial Pollution Regulation ..................................... 40 3.2.8 Proclamation No 455/2005: Expropriation of landholding for Public Purposes and Payment of compensation ........................................................................................................ 41 3.2.9 Regulation No 135/2007: Council of Minister Regulation ...................................................... 41 3.2.10 Environmental guidelines and standards ............................................................................ 41 3.3 WORLD BANK SAFEGUARD REQUIREMENTS ................................................................................. 45 3.4 INSTITUTIONAL FRAMEWORK FOR NATIONAL ENVIRONMENTAL MANAGEMENT ......................... 50 3.4.1 Proclamation 295/2002, Establishment of Environmental Protection Organs ....................... 50 3.4.2 Ministry of Environment and Forest ........................................................................................ 50 3.4.3 Regional Environment bodies .................................................................................................. 51 3.5 THE ESMF AND RESETTLEMENT POLICY FRAMEWORK ................................................................ 53 4 ESMF PROCESSES AND IMPLEMENTATION............................................................................ 54 4.1 ENVIRONMENTAL AND SOCIAL RISKS ADDRESSED BY THE ESMF ................................................. 54 4.2 RESPONSIBILITIES IN THE ESMF SCREENING AND APPRAISAL PROCESS....................................... 55 4.3 OVERVIEW OF SUBPROJECT CATEGORIZATION AND THE ESMF PROCESSES ................................. 56 4.4 PROCESS AND PROCEDURES OF THE ESMF ................................................................................ 59 4.4.1 Preparation.............................................................................................................................. 59 4.4.2 Step 1: Screening ..................................................................................................................... 60 4.4.3 Step 2A: Category A (schedule 1) Projects, full EIA preparation ........................................... 62 4.4.4 Step 2B: Category B (Schedule 2) Projects, partial EIA preparation ..................................... 67 4.4.5 Step 3A: Review and Decision ................................................................................................. 68 4.4.6 Step 3B: Disclosure ................................................................................................................. 69 4.4.7 Step 4: Implementation & Supervision .................................................................................... 69 4.4.8 Step 5: Annual Environmental Reports ................................................................................... 71 Page 8 4.4.9 Step 6: Annual Reviews ........................................................................................................... 71 4.5 SUB-PROJECTS REQUIRING A SPECIAL PROCEDURE AND GUIDELINES ........................................... 73 4.5.1 Projects involving Asset Acquisition or Loss of Access to Assets ............................................ 73 4.5.2 Projects Involving Physical Cultural Resources Management ................................................ 74 4.5.3 Solid Waste Management Action Plans ................................................................................... 74 4.5.4 Medical Waste Management.................................................................................................... 75 5 GUIDELINES ON IMPACT MITIGATION AND MONITORING .............................................. 75 5.1 OVERALL SOCIAL AND ENVIRONMENTAL BENEFITS AND IMPACTS............................................... 75 5.2 SOCIAL BENEFITS OF UPSNP LIPW SUBPROJECTS ...................................................................... 76 5.3 ADVERSE ENVIRONMENTAL IMPACTS ........................................................................................... 78 5.4 CUMULATIVE IMPACTS OF THE PROJECT ........................................................................................ 81 6 TRAINING AND CAPACITY BUILDING ...................................................................................... 82 6.1 INSTITUTIONAL CAPACITY ASSESSMENT ...................................................................................... 82 6.2 TRAINING REQUIREMENTS ............................................................................................................. 84 6.2.1 Proposed Environmental Management Topics ........................................................................ 86 6.3 TECHNICAL AND FINANCIAL ASSISTANCE ...................................................................................... 88 6.4 APPOINTING UPSNP LIPW ENVIRONMENTAL AND SOCIAL SPECIALIST TO MUDHCO ........................ 89 6.5 TERMS OF REFERENCE FOR UPSNP ENVIRONMENTAL AND SOCIAL SPECIALIST .......................... 90 7 MONITORING OF ESMF IMPLEMENTATION .......................................................................... 91 ANNEX A: ENVIRONMENTAL SCREENING FORM .......................................................................... 96 ANNEX B: TERMS OF REFERENCE FOR EIA ................................................................................... 111 ANNEX C: FORMAT OF AN ANNUAL ENVIRONMENTAL REPORT ........................................... 113 ANNEX D: ENVIRONMENTAL AND SOCIAL IMPACT MITIGATION AND MONITORING CHECKLISTS ............................................................................................................................................. 114 ANNEX E: GUIDELINE FOR ENVIRONMENTAL MANAGEMENT PLAN ................................... 125 ANNEX F: SUMMARIZED REPORT OF CONSULTATIONS ........................................................... 128 Page 9 TABLES Table 1: List of suggested sub-projects for Labour Intensive Public Works under UPSNP Table 2: Cities covered by the UPSNP Table 3: Summary of major environmental characters and sensitivities Table 4. Relevant MoEF Guidelines and Standards Table 5: World Bank – Applicable Operational Policies, Bank Procedures Table 6: Summary of existing institutions and critical legislations for Environmental and Social Management at regional level. Table 7: Outline of Roles and Responsibilities for the ESMF. Table 8: MoEF Schedules 1, 2 and 3 Table 9: Training Requirements for Various Groups of Participants Table 10: Proposed Budget for Implementation of the UPSNP ESMF FIGURES Fig 1: Showing consultations carried in Gambella (left) and Semera (right) Fig 2: Showing consultations carried in Mekelle (left) and Addis Ababa (right) Fig 3: Showing Institutional Responsibilities for Project Management at National Level. Fig 4: Showing Project Management at ULG Level Fig 5: Schedule 1, Full EIA Application Process Fig 6: Diagram showing the ESMF process flow MAPS Map 1: Showing the UPSNP cities versus major water bodies, national parks &World Heritage sites Page 10 ABBREVIATIONS ARAP Abbreviated Resettlement MOLSA Ministry of Labour and Social Action Plan Affair BoLSA Bureau of Labour and Social MOWCYA Ministry of Women, Children Affairs and Youth Affair BP Bank Procedures (World Bank) O&M Operation and Maintenance BIUD/BTUD/BUDC Bureaus of Industry and Urban OM Operational Manual Development/, Trade and Urban Development/Urban Development and Construction CBDSD Capacity Building for OP Operational Policy (World Bank) Decentralised Service Delivery CRMP Cultural Resources PAPs Project Affected Persons Management Plan EIA Environmental Impact PDO Project Development Objective Assessment EMP Environmental Management PIP Project Implementation Plan Plan EPA Environmental Protection PSCAP Public Sector Capacity Program Authority ERA Ethiopian Roads Authority PCU Project Coordination Unite ESIA Environmental and Social RAP Resettlement Action Plan Impact Assessment ESMF Environmental and Social REPA Regional Environmental Management Framework Protection Authority ETB Ethiopian Birr RPF Resettlement Policy Framework GoE Government of Ethiopia RUPI Regional Urban Planning Institute GP Good Practice (World Bank) SDPRP Sustainable Development and Poverty Reduction Programme IDA International Development TOR Terms of Reference Association IO Infrastructure Office TVET Technical and Vocational Education Training Page 11 LIPW Labour Intensive Public Works UGCBB Urban Governance Capacity Building Bureau FEMSEDA Federal Micro and Small UPSBB Urban Planning, Sanitation and Enterprises Development Beautification Bureau Agency MEF Ministry of Environment and ULGs Urban Local Governments Forest MOFED Ministry of Finance and UPSNP Urban Local Government Economic Development Development Project MUDHCo Ministry of Urban USD United States Dollar Development, Housing and Construction NGO Non-Governmental organization VIP Ventilated improved pit latrine Page 12 1 INTRODUCTION Urbanization in Ethiopia is increasing in momentum. It currently stands at 17% (2007 census) and it seems likely that urban population growth rates will increase. Ethiopia will, over the next 20 years, urbanize rapidly as its population grows to over 150 million by 2050. Urbanization is an essential element of Ethiopia’s vision of achieving middle income country status by 2025. As Ethiopia urbanizes, poverty becomes more urban. In 2000, 11 percent of Ethiopia’s poor lived in cities, but this rose to 14 percent in 2011. As more of the urban poor live in large urban centers, expanding development programs to address key challenges to urban poverty reduction is imperative. Many of the urban poor earn their livelihoods in the informal economy, where wages are low and working conditions deplorable. The urban productive safety net project is intended to reduce urban poverty and vulnerability among the urban poor living below the poverty line and unleashing their productive potential with the implementation of labour intensive public work and livelihood program. The objective of the Programme is to increase income and opportunities while improving consumption and it targets people living under the basic need poverty line, currently 22% of the population (CSA 2012). The indirect and direct beneficiaries of the Project are poor and vulnerable households living in Project cities identified as being most affected by poverty. The UPSNP project will be funded by the IDA with amount in the order of 300million USD. Implementation of public works in urban areas in Ethiopia and elsewhere has already shown that a range of these works can be implemented using labor intensive methods e.g. cobblestone roads, environmental management, building drainages and other communal infrastructure. Data on service/infrastructure coverage in the 19 largest Urban Local Governments indicate that while coverage levels for water, sanitation and solid waste collection have reached 50-60% on average the coverage of paved roads, pedestrian walkways and urban greenery is much lower. There is also a need for cost-effective childcare services to increase labor force participation among women. LIPW could contribute to meeting this need. There is a huge unmet need for urban infrastructure projects and the UPSNP LIPWs could make a meaningful contribution in meeting this need. Page 13 This document provides an Environmental and Social Management Framework (ESMF) for the Labour Intensive Public Works sub-component of the Urban Productive Safety Net Project. The document is prepared by taking into consideration its predecessor, the ULGDP-I ESMF which was applied for urban infrastructure development by the ULGs, as benchmark and enriching it through a process of consultation and review with program implementers and stakeholders found in the participating cities. The ESMF document is prepared in line with the environmental and social safeguard policies of the World Bank and the GoE’s environmental policies and legislations. It is prepared with a particular focus on the most relevant safeguard policies triggered by the UPSNP, i.e. OP 4.01 Environmental Assessment, OP 4.11 Physical Cultural Resources, and OP 4.12 Involuntary Resettlement . The ESMF establishes a unified process for addressing environmental and social safeguards issues on subprojects from preparation, through review and approval, to implementation. The specific location/site, size and activities of the LIPW sub-projects are going to be decided at later stages by the program implementers in each participating city. The present ESMF is intended to provide instructions to program implementers found in the participating cites, to screen sub-projects for potential adverse impacts; assess such impacts, and design measures to avoid and mitigate themprior to the commencement of the LIPW sub-projects on the ground. Whereas a brief outline of the UPSNP project with emphasis on the LIPWs sub-component is described in chapter two, organizational responsibilities for implementation of the ESMF are outlined in chapter three. The review of applicable National legislations and World Bank policies to the present ESMF are presented in chapter four. The essential procedures and process of the ESMF implementation are presented in chapter five. The subsequent chapters also outlines the guidance for environmental mitigation and management, capacity building and training, Environmental monitoring as well as budget for ESMF implementation. 1.1 Purpose and objectives of the ESMF The overall objective and purpose of the UPSNP ESMF can be summarized as follows. Page 14  To establish clear procedures and methodologies for the environmental and social assessment, review, approval and implementation of LIPWs to be financed under the UPSNP;  To specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to UPSNP LIPWs;  To determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF; and  To provide practical information resources for implementing the ESMF. The ESMF is complemented by an RPF that establishes the Project resettlement and compensation principles and implementation arrangements. 1.2 Methodology The methodology adopted for preparing the UPSNP ESMF includes the conventional methods, which are briefly discussed below. a. Review of relevant legislations, policies and other documents The ESMF preparation process involved conducting review of the existing national legislations, policies, guidelines and institutional arrangements to ensure incorporation of updates, if any. The ESMF toolkit and template of the World Bank (February, 2008) was reviewed and applied for the preparation of the current ESMF. Moreover, various related documents such as the ULGDP I and II, as well as PSNP-IV ESMFs were consulted in the review process. In particular the ULGDP - I ESMF, which addresses subprojects that are similar in type and nature with the LIPW subprojects, was benchmarked as a starting ground on which to build the present ESMF. The Project Appraisal Document (PAD) and other relevant documents were also reviewed and applied in developing the project description and baseline chapters of the ESMF. b. Consultation and field Observations As part of the ESMF preparation process, consultations with program implementers, community representatives, and other stakeholders were conducted in selected four beneficiary cities. The Cities include Gambella & Semera from the emerging regions and Page 15 Mekelle and Addis Ababa representing the others. During the visit to these cities, field observations were also made to characterize the basic features of the participating cities in terms of its baseline environmental and social conditions. The consultations were focused on providing information and receiving the concerns and opinions of the participants regarding the overall UPSNP program objectives, its main and sub-components and in particular the LIPWs subcomponent for which the ESMF was prepared. A presentation of the LIPW subproject types and the associated draft ESMF procedures were made to the consultation participants and discussions were conducted to identify institutional capacity gaps and other constraints to implement the procedures. Interviews were also conducted with sector bureaus and agencies involved in the implementation of the UPSNP LIPWs project. Fig 1: Showing consultations carried in Gambella (left) and Semera (right) Fig 2: Showing consultations carried in Mekelle (left) and Addis Ababa (right) Page 16 1.3 BACKGROUND AND PURPOSE OF THE UPSNP PROJECT Until recently, Ethiopia’s development strategy has been rural-focused. This strategy has been successful in ensuring agricultural growth and rural safety nets have made significant contributions to reducing extreme poverty. However, for Ethiopia to eliminate extreme poverty in the future this strategy needs to be complemented with specific programs designed to address urban poverty. The situation calls for the introduction of systematic and targeted interventions aimed at alleviating poverty among the urban poor. In line with government’s vision and commitment, this project explores options for targeted safety net programs in urban areas that are complementary to other urban development programs. The project aims to provide access to effective safety nets and livelihood services for the poor in selected urban areas. The project will be funded by IDA with amount in the order of 300 million USD and will provide support to 752, 000 beneficiaries in 11 cities including the nine regional capitals, Diredawa and Addis Ababa. To achieve its objectives the UPSNP will adopt a three-phased integrated support pathway designed to help beneficiaries move out of poverty and graduate from the program. In the first phase beneficiaries will receive transfers (conditioned on public works or training as described in each component and guidance on the employment pathway (both self and wage employment). In the second phase conditional transfers will continue and beneficiaries will receive training and further financial support to increase their employability. In the third phase beneficiaries will have the option to continue to engage in public works to supplement their employment income. Support will be provided for a maximum of three years but some beneficiaries may choose to graduate earlier. 1.4 COMPONENTS OF THE UPSNP PROJECT Based on the integrated model, the proposed project will have 3 major components: i. Safety Net Support ii. Livelihood Services, and iii. Institutional Strengthening, Project Management and Coordination. Out of the above three components of the UPSNP project, the main focus of the ESMF is at the Labour Intensive Public Works Sub-projects which are contained under the second Page 17 sub-component of Component I. Thus, for the purpose of the current ESMF, a detailed description of Component I with its three sub-components is presented below. Transfers are an essential element of the proposed UPSNP with critical roles for enabling program clients to meet consumption smoothing and additional basic expenditure needs. In addition, beneficiaries are able to protect household assets and boost confidence to engage in productive livelihood activities. Component I: Safety Net Support This component will support the delivery of a predictable, timely and productive safety net through conditional and unconditional safety net transfers. The conditional transfers will include participation in public works (PW) and/or skills training. The conditional transfers will be for the client households and individuals who have able bodied members to provide labor for PW. The public works could range from small-scale infrastructure projects to provision of beneficial services to communities that are absent in urban areas. Unconditional transfers will be for people who are labor constrained or unable to perform work including the elderly, disabled, chronically ill, children, pregnant, lactating mothers and people with disabilities. Sub- component 1: Transfers Systems (Unconditional): Transfers are an essential element of the proposed UPSNP, with critical roles for enabling program clients to meet consumption smoothing and additional basic expenditure needs. In addition, beneficiaries are able to protect household assets and boost confidence to engage in productive livelihood activities. Unconditional transfers will be for people who are labor constrained or unable to perform work including the elderly, disabled, chronically ill, children, pregnant, lactating mothers and people with disabilities. With their basic needs met, beneficiaries are better able to engage in productive livelihood activities. The project will introduce and support effective safety net transfer mechanisms and systems. The key principles of transfers (including timeliness, predictability and adequacy) will be ensured by developing appropriate delivery mechanisms that will promote transparency and accountability and by determining the size of benefit based on best practices. Page 18 Sub-Component 2: Labor Intensive Public Works (LIPWs) and other co-responsibilities: Eligible households with able-bodied members will participate in LIPWs to be identified through an annual community planning process. The project will support the financing and development of sustainable community assets and public services implemented using labour intensive methods. The range of works being considered include: urban greenery development, solid waste management, construction of cobblestone roads, building drainages and community infrastructure and development of shelters and workshops for income generation SME activities etc. LIPWs will also include the provision of home- based care activities for elderly, sick and disabled community members. As the project develops project beneficiaries may be able to fulfil their co-responsibilities by participating in skills training activities aimed at improving their employability or income generating activities. Guidance will be provided to communities so that, where possible, they select LIPWs that improve the productivity of work in the urban environment. This could be through building assets that improve work infrastructure (such as market sheds) or health (e.g. drainages); or through providing services that make it easier for households to manage formal work commitments (such as child care, meal preparation or home based care for elderly members of the family). Ideally LIPWs will not only provide desired workfare opportunities but also generate anticipated community benefits in each target city. Implementation of the LIPWs will also build basic skills amongst the project beneficiaries. It will help build both technical skills, such as specific skills for construction, catering or home care activities as well as soft skills like timeliness and discipline. It is also important that subprojects should be adapted to local conditions and protect the environment. The subprojects to be selected are also required to meet the following criteria:  Labour intensity: Subprojects activities must be labour-intensive and use simple tools as much as possible.  Communal benefits: The subprojects must benefit the community as whole or groups of households within a given area.  Community acceptance: The subprojects must be accepted and approved by the community. They should have active community support and commitment. Page 19  Feasibility and sustainability: The subprojects must be feasible technically, socially and economically. They should be simple and manageable in implementation and also in on- going maintenance in order to be sustainable.  Productive: The subprojects should create durable community assets which should contribute to the ULG development and to the reduction of poverty.  Gender sensitivity: Priority should be given to subprojects that are assigned to enable women to participate and which contribute to reducing women’s regular work burden and increase access to productive assets. A menu of LIPWs appropriate for the urban areas and customized to the special environments in each of the participating cities will be provided as guidance to the communities in participating areas (Table 1). It will start implementation on a pilot basis in the early stages of the project to determine which of these activities can be effectively provided and scaled up in the Ethiopian context. The project will also investigate the possibility to link the provision of services to more permanent forms of income generation and job creation for the involved project beneficiaries. This includes options to provide home based care and other services on the basis of full cost recovery similar to the way garbage collection services are organized in parts of Addis Ababa. In cities where there is an overlap with ULGDP, the LIPW projects supported by the project will be limited to urban greenery, environmental cleaning, solid waste management and social facilities/services projects. In order to reflect the needs of urban Ethiopia the project will conduct detailed feasibility studies to determine additional services that can be promoted through the project. The design of the LIPWs will take into account the time beneficiaries need to look for wage employment or engage in self-employment activities. Whilst the investment of time by beneficiaries in LIPWs is inevitable, the LIPWs will be designed in such a way that participation in these schemes does not result in unnecessarily high levels of foregone income opportunities. This will be done by ensuring that engagement in LIPWs will not replace self-employment and job search activities but rather complement those efforts. The design and implementation of LIPWs under this component will also draw from lessons learned from implementation of public works projects under the third generation of the Productive Safety Nets program, the Urban Local Government Development Program Page 20 (ULGDP) and other donor and government funded projects as well as from international experience from urban works programs. Planning for the LIPWs projects will be community based with technical assistance provided by city, woreda and ketena administrations. At present the ULG’s capital investment plans are developed following existing participatory planning practices and methodologies that ensure an effective participation of the communities in the planning process. This process ensures that the prior consultations with all subproject-affected persons is followed as required by the World Bank’s social safeguard policies OP 4.10 and OP 4.12 for all subprojects. Sub-Component 3: Unconditional Support: This sub-component supports the delivery of transfers to poor households with no able bodied person in the family. This group includes persons that for various reasons are unable to perform work (e.g. chronically ill, elderly and people with disabilities, children, pregnant and lactating mothers). The transfers for this group will be provided monthly throughout the year and payments will not be linked to completion of public works. This sub-component will be managed by MoLSA and related structures at city level. Table 1: List of suggested sub-projects for Labour Intensive Public Works under UPSNP Sub project category Detailed infrastructure/service sub-project types included under LIPWs menu Roads - Cobblestone roads - gravel roads - red ash roads - pedestrian ways - maintenance and rehabilitation of existing internal roads Urban Sanitation (Liquid Waste) - Community Washing facilities - Community Public toilets/ventilated improved pit latrines - Community Secondary/tertiary level Sewerage facilities and collection - Community Soak away pits and septic tanks - Community Sewage treatment lagoons - Community drainage canals, - Community road drainages, etc Solid Waste Management - primary collection of waste - waste sorting , recovery& recycling (will focus only on waste - waste hauling for disposal at landfills collection) Page 21 Day care centers, - Child care, - home based care for the elderly and people affected with HIV/AIDs and other chronic illnesses, e.t.c Health posts - Construction of health posts - Dispensaries - Emergency rooms - Maternity clinics - HIV/AIDS control centres Public works that increase the - Building production sheds & - Building market sheds for small businesses productivity of urban work - Provision of childcare - Preparing food meals Green Infrastructure - Urban parks and greenery development projects, - Nurseries for beautification. The following subprojects will not be admissible as UPSNP LIPWs:  Subprojects in locations that are ecologically sensitive such as forests, wetlands, and other unique habitats  Subprojects located within a recognized Cultural heritage site, or World heritage sites  Subprojects that involve the significant conversion or degradation of critical natural habitats;  Subprojects that involve construction of dams or reliance on dams;  Subprojects involving water abstraction from rivers tributary to international waterways.  Sub-projects that will have adverse and irreversible impacts (Category A) will not be financed by the project. 1.5 UPSNP PROJECT PARTICIPATING CITIES The UPSNP will cover the nine regional capital cities and two Chartered cities i.e. Diredawa and Addis Ababa. These are listed below in table 2 together with the expected number of beneficiary population in each city. The project will target a total of 1.2 million beneficiaries (see table 2). Page 22 Table 2: Cities covered by the UPSNP City Region Elevation Population Estimated Climate (masl) Total zone project beneficiaries Chartered City 844,217 Dega Addis Ababa 2,326 – 3,300 Oromia 68,398 Weyna Adama 1,712 282,974 Dega Semera/Assaita Afar 300 25,209 2,270 Bereha 1,570 Assosa Benishangul 40,686 5,592 Kolla Gumuz SNNPR 1,708 54,527 Weyna Awassa 225,686 Dega Amhara 1,800 25,739 Weyna Bahirdar 198,909 Dega Chartered city 950 – 2,260 96,376 Kolla Diredawa 269,134 526 Gambella Gambella 64,499 8,735 Bereha Harari 12,570 Weyna Harar 1,800 – 2,200 112,781 Dega Somali 23,407 Weyna Jigjiga 1,620 – 1,720 152,674 Dega Tigray 30,502 Dega Mekelle 2,150 – 2,500 286,624 The cities included in the program are those with the highest rates of urban poverty. All households living below the poverty line in the eleven selected cities are the target group of the program. Households include families as well as those who are living on their own and those who may be living on the street. Page 23 1.6 ENVIRONMENTAL AND SOCIAL CONTEXT AND BASELINE CONDITIONS OF PARTICIPATING CITIES Ethiopia is located between 3º and 15ºN latitude and 33º and 48ºE longitude and covers a land surface (including water bodies) area of 1,127,127 km². The country is currently divided into nine regional states and two city administrations, whose capital cities are the eleven participating cities in the UPSNP project. It is a country of great geographical and climatic diversity, which has given rise to many and varied ecological systems. The rainfall pattern in Ethiopia is influenced by two rain-bearing wind systems, one bringing the monsoonal wind systems from the South Atlantic and the Indian Ocean and the winds from the Arabian Sea. The two wind systems alternate, causing different rainfall regimes in different parts of the country. There are three broad climatic zones in the country that depends on altitudes. These are kola, Weyna Dega and Dega climatic zones. The Kolla (or hot zone) is found below an altitude of 1,500 masl, the Weyna Dega zone is between 1500 -2400 masl and the Dega or highlands is 2500 and above masl. The mean annual temperature ranges from 10-16 ºC in the Dega zone, 16-29ºC in the Weyna Dega and 23-33ºC in the Kolla zone. The mean annual rainfall in the highlands is about 500 -2000 mm and 300 -700mm for the Weyna Dega zone (Berhane, Y., 2006). Based on the broader classification of climatic zones, out of the eleven UPSNP participating cities, two are found in the Dega zone, 5 in the weyna dega, 2 in Kolla and another 2 in Bereha (extreme kola) climatic zones (see Table 2). The eleven UPSNP participating cities are also found distributed within the twelve river basins found in the country, which form four major drainage systems. These are:  The Nile basin (including Abbay or Blue Nile, Baro-Akobo, Setit-Tekeze/Atbara and Mereb) covers 33 percent of the country and drains the northern and central parts westwards;  The Rift Valley (including Awash, Denakil, Omo-Gibe and Central Lakes) covers 28 percent of the country;  The Shebelle-Juba basin (including Wabi-Shebelle and Genale-Dawa) covers 33 percent of the country and drains the south eastern mountains towards Somalia and the Indian Ocean; Page 24  The North-East Coast (including the Ogaden and Gulf of Aden basins) covers 6 percent of the country. Whereas many of the eleven cities are situated on the upstream side and faraway from the main river courses of their respective river basin, others are situated very close. Cities like Addis Ababa and Mekele are found far upstream of the Awash and Tekeze River basins respectively and are drained by small tributaries such as the Akaki Rivers in the case of Addis Ababa. On the other hand, cities like Bahirdar, Gambella and Awassa are found at the river banks of the Blue-Nile, Baro-Akobo and the Rift valley lakes basins respectively. Bahirdar City is situated adjacent to Lake Tana and it is crossed by the river mouth of the main Blue Nile River which starts from Lake Tana itself. Similarly Gambella city is crossed by Baro River which is one of the main rivers of the Baro-Akobo basin. The Hawassa Lake, which is one of the important lakes in the rift valley basin, is situated adjacent to Hawassa city. Deteriorating water quality in some rivers, such as those draining Addis Ababa city, has long been a concern for the resident community and all those involved in its conservation. Cities situated close to main rivers and lakes of the river basins may need to pay particular attention to mitigate the potential incremental impact of sub-projects to water pollution. Page 25 Map 1: Showing the UPSNP cities versus major water bodies, national parks &World Heritage sites Urban environments in Ethiopia are usually dominated by built up areas which naturally covers the largest expanse of its land surface. This is because of the deforestation driven by urban expansion that was carried out for several decades coupled by weak interventions made to develop and conserve city parks and greeneries. As a result the vegetation cover in most of the eleven cities is dominated by eucalyptus mixed with some indigenous species and ornamental trees. An exception to this is the vegetation cover encircling few cities such as Gambella, Assosa and Semera-logiya towns where the natural vegetation representative of their respective ecosystems is still found intact in and immediately outside of the towns. Thus, even though the sub-projects may not be anticipated to affect any natural habitats which do not exist within the urban boundaries of the participating cities, it will be important to pay more attention to the impact of some sub-projects on deforestation particularly in those few ULGs encircled by natural forests such as Gambela and Assosa. The ambient air quality of cities in Ethiopia is not regularly monitored. Thus data on ambient air quality are scares. However, a pilot-scale ambient air quality study was conducted in Addis Ababa between 26 January and 28 February 2004. Though such pilot studies indicate that air pollution related to fossil fuel combustion such as airborne lead and carbon monoxide were better as compared to other African cities such as Cairo, it indicated that the PM10 and PM2.5 concentrations in urban and residential areas of Addis Ababa were close to or exceeding the EPA standards. Dust re-suspension is one of the major causes of air quality problems not only in Addis Ababa but also in the rest of the eleven participating cities. As a matter of fact, dust problem is more pronounced than other sources of air pollution in many of the regional capital cities. Thus the LIPW sub-projects working in the area of cobblestone road construction will positively contribute to the betterment of air quality problems related to dust in the participating cities. Page 26 Table 3: Summary of major environmental characters and sensitivities No. Environmental Character Environmental sensitivity 1 Cities found close to main surface Water pollution as a result of increase in water bodies (e.g. Bahirdar, Hawassa, waste releases from LIPW projects. Gambella e.t.c.) 2 Cities found in all Climatic zones. Reduced air pollution arising from dust re- suspension as a result of LIPW Road projects 3 Cities found in Dega and Woyna Dega Increased storm water formation as a result where rainfall is comparatively high of reduced absorption of ground surface covered by cobblestone & compaction by LIPW projects 4 Cities encircled by natural Deforestation and enhanced vegetation vegetation/forest (e.g: Gambella, clearing Assosa) 5 Cities hosting Historical and World Historical and heritage sites recognized at Heritage sites (e.g: Harar, Bahirdar, various levels may be exposed to Mekelle) construction risks. 2 ORGANIZATIONAL RESPONSIBILITIES FOR UPSNP IMPLEMENTATION The institutional arrangement for Urban Productive Safety Net will be framed within the overall arrangement set in the Urban Productive Safety Net Strategy of the Government. The implementation of the program will be fully streamlined into the existing government structure at the federal, regional, city and local levels. 2.1 FEDERAL GOVERNMENT LEVEL A National Steering Committee to be chaired by the Minister (MUDHCo) and co-chaired by MoLSA will be established. Members will include MUDHCo, MoLSA, MoFED, FEMSEDA, MoWCYA, Regions and Development Partners (WB). The overall regular management and coordination of the project will be supported by a Project Coordination Unit (PCU) reporting to UGGCBB. The PCU will have one environmental and one social safeguard specialists that will coordinate the safeguard work in all the project cities.The PCU will facilitate institutional capacity and system development activities, M&E, regular Page 27 reporting, Financial Management, Procurement, and management of Safeguard issues. The PCU will serve as a secretariat to the National Steering Committee. To ensure regular coordination and management of the program, a Joint Project Management and Coordination Committee (JPMCC) will be established. JPMCC will be responsible for the coordination of Technical Committees and implementing agencies and also follow up on regular project management and coordination issues including, capacity building, M&E, planning, system development, financial management, procurement. The JPMCC will be chaired by the Director of the Urban Good Governance & Capacity Building Bureau (UGGCBB) of MUDHCo and co-chaired by Director of Social Welfare Development Directorate (SWDD) of MoLSA. To ensure regular technical support and guidance for project implementation, a Joint Technical Coordination Committee (TCC) for each component will be established. In this regard, UGGCBB and UPSBB will coordinate Public Work activities. For the livelihoods component, FEMSEDA in close collaboration with MoLSA will play an overall coordination role. MOLSA will be responsible for Direct Support and linking safety net system with social protection policy and strategy, in consultation with MUDHCo. At the federal level, the Ministry of Urban Development Housing and Construction (MUDHCo), in close partnership with the Ministry of Labor and Social Affairs (MoLSA), will be the responsible government body for the management and coordination of the program. Within the ministry, the overall coordination will be vested in the Urban Good Governance & Capacity Building Bureau (UGGCBB) of MUDHCo, which is also responsible for coordination of ULGDP-II. UGGCBB will closely work with Urban Planning, Sanitation and Beautification Bureau (UPSBB) of MUDHCo, Social Welfare Development Directorate (SWDD) of MoLSA, and Regions Capacity Building Directorate (RCBD) of Federal Micro Enterprise Development Agency (FeMSEDA). Page 28 Fig 3: Showing Institutional Responsibilities for Project Management at National Level. UPSNP National Steering Committee Chair: MUDHCo Co Chair: MoLSA Joint Coordination and Management Committee (JCMC) Chair: UGCBB of MUDHCo Co-Chair: SWDD of MoLSA Secretary: PCU Project Coordination Unit (PCU) Safeguard, M&E, Financial Management, Procurement, Capacity building. Technical Committee 1: Technical Committee 2: Technical Committee 3: Safety Net Systems & Public Works Livelihoods Transfers. Chair: MUDHCo Chair: FEMSEDA Chair: MOLSA Co-chair; MUDHCo 2.2 REGIONAL GOVERNMENTS LEVEL Similar to the arrangements at Federal level, the UPSNP will involve the same institutions in the coordination of the project and support the cities involved in the implementation of the project. The Regional Cabinet will approve the UPSNP overall plans and budgets. The Head of the Regional Bureau of Urban Development (BUD) will oversee the implementation of the program in coordination with BoLSA. The Head of Urban Page 29 Infrastructure and Good Governance/ Public Participation Core Process of BUD will be responsible for the management of UPSNP and chairs the Regional Urban Safety Net Coordination and Management Committee (RCMC), to which three Technical Committees report (Safety Net systems and Transfer, Public Works, and Livelihoods). Similar to that of Federal level, members of the Regional Technical Committee and Regional Coordination Committee will be Heads (or their delegates) of relevant Core processes from Bureaus and Agencies involved in the Program (BUD, LSA, ReMSEDA, BWCYA and BoFED). The Urban Infrastructure and Good Governance/ Public Participation Core Process will be responsible for day-to-day coordination of the program and the management of public works component. The key partners at the regional level will appoint UPSNP Focal Points and have to oversee and provide technical support to ULGs together with the respective Federal Government Bodies. As the current plan is to start the project in one ULG per region, there is no need to establish PCU at regional level. The Current ULGDP-II Project Implementation Support Unit can handle the program in the big regions and the other regions can be supported by Federal PCU to be established. 2.3 URBAN LOCAL GOVERNMENTS LEVEL (CITIES) At City level, the Mayor of the ULG or his delegate will oversee the implementation of the project and will chair the city level Urban Safety Net Coordination Committee (SNCC), with Co-Chair by BoLSA Head. The City Mayor or his delegate in Coordination with BoLSA will be responsible for the overall management of UPSNP. The members of the SNCC will include the heads of relevant Bureaus/Offices involved in the Program (BoFED, BoLSA, BoMSED, BoWCYA, and Office of the City Manager, and others as appropriate). Under the PCC, three technical committees will be established to lead on the implementation of different components (Safety Net systems and transfers, Public Works, and Livelihoods). A focal unit will be established under City Mayor office to coordinate the implementation of the project. The staff of the unit will be from both regular government staff to be supported by contractual staff to be hired by the project. The Federal Project Coordination Unit will provide the necessary technical and managerial support to the city level project Focal Unit. Page 30 The Project Focal Unit (PFU) will coordinate and provide technical support to Kebeles in the implementation of the program. The City Council/Cabinet will approve the project annual plan and budget. Similar technical committees will also be operational at the district level (Safety Net systems and transfer, Public works, Livelihoods).The three Technical Committees should report to the SNCC. At the Kebele level, the Kebele cabinet will present and the Kebele Council will approve the list of beneficiaries of the UPSNP and related plans for the program. The Kebele Chair will oversee the implementation of the project and a Task Force which will include representatives from the community and development committees will be established to facilitate planning, community participation and targeting process. Technical focal staff will be assigned to provide technical support in the implementation of different components of the project. As Addis Ababa is the largest Urban City Government, and directly reports to the Federal Government, its institutional arrangements have to be seen at three levels: City Government Level, Sub-City Level, and Woreda level. A focal unit will be established under City Manager Office to coordinate the implementation of the project. The staff of the unit will be from both regular government staff to be supported by contractual staff to be hired by the project. The Federal Project Coordination Unit will provide the necessary technical and managerial support to the city level project Focal Unit. Page 31 Fig 4: Showing Project Management at ULG Level Safety Net Coordination Committee (SNCC) Chair: City Mayor Co-Chair: Head, LSA Office Project Focal Unit (PFU) -Day to day project coordination and implementation -Technical Support to kebele & ketena -Safeguard, M&E, Financial Management, Procurement, Technical Committee 1 Technical Committee 2 Technical committee 3 Livelihoods Safety Net Systems & Public Works Chair: MSED Office Transfers. Chair: IO, head Head Chair: LSA Office Head Co-chair: IO, Head Kebele Task Forces Chair: Head of Kebele Admin. Page 32 3 LEGAL, POLICY AND ADMINISTRATIVE FRAMEWORK 3.1 THE CONSTITUTION AND RELEVANT POLICIES 3.1.1 The Constitution of Ethiopia The constitution of the Federal Democratic Republic of Ethiopia provides the overriding principles for all legislative frame-works in the country. The concept of sustainable development and the environmental rights of the people are protected in the constitution by the articles that stipulate the rights of peoples in the country. The concept of sustainable development and environmental rights are enshrined in article 43, 44 and 92 of the Constitution of GOE. Article 43: The Right to Development identifies peoples' right to:  Improved living standards and to sustainable development; and  Participate in national development and, in particular, to be consulted with respect to policies and projects affecting their community. Similarly, in Article 44: Environmental Rights, all persons:  Have the right to a clean and healthy environment; and  Who have been displaced or whose livelihoods have been adversely affected as a result of State programs has the right to commensurate monetary or alternative means of compensation, including relocation with adequate State assistance. Moreover, in Article 92: Environmental objectives are identified as:  Government shall endeavour to ensure that all Ethiopians live in a clean and healthy environment.  The design and implementation of programs shall not damage or destroy the environment.  People have the right to full consultation and to the expression of views in the planning and implementation of environmental policies and projects that affect them directly.  Government and citizens shall have the duty to protect the environment. Page 33  Maintains land under the ownership of the Ethiopian people and the government but protects security of usufruct tenure;  Ensures the equality of women with men;  Maintains an open economic policy;  Recognises the rights of groups identified as “Nations, Nationalities and Peoples” having a common culture or similar customs, mutual intelligibility of language, belief in a common or related identity, a common psychological make-up, and who inhabit an identifiable, predominantly contiguous territory. 3.1.2 Environmental Policy of Ethiopia The goal of the Environmental Policy of Ethiopia is to improve and enhance the health and quality of life of all Ethiopians and to promote sustainable social and economic development through the sound management and use of resources and the environment as a whole so as to meet the needs of the present generation without compromising the ability of future generations to meet their own needs. For the effective implementation of the Environmental Policy of Ethiopia the policy encourages creation of an organizational and institutional framework from Federal to community levels. The Environmental Policy of Ethiopia provides a number of guiding principles that require adherence to principles of sustainable development; in particular the need to ensure that Environmental Impact Assessment: a) Considers impacts on human and natural environments; b) Provides for early consideration of environmental impacts in projects and programs design; c) Recognizes public consultation; d) Includes mitigation and contingency plans; e) Provides for auditing and monitoring; and f) Is a legally binding requirement. 3.1.3 Growth and Transformation Plan (GTP) The GTP-I, which is now ending its period of implementation, had set broad strategic directions for Urban Development. One of the key strategic areas that were identified for urban development in GTP-I were regarding poverty and unemployment reductions in Page 34 urban areas. Poverty and unemployment reductions were set as objectives of the various urban infrastructure and business development initiatives in the GTP-I. It was stated that when infrastructure development activities are carried out, the potential to create a wide range of job opportunities and promote micro and small enterprise development will always be taken into consideration. Currently, the GoE have prepared GTP-II and is being discussed by the wider public. The LIPWs sub-component of the UPSNP project will contribute to the fulfilment of the strategic directions for poverty and unemployment reduction in urban areas that were set out in GTP-I and which will be carried over to the upcoming GTP-II as well. 3.1.4 Ethiopian Cities Sustainable Prosperity Initiative (ECPI) MUDHCo has developed and launched the Ethiopian Cities Sustainable Prosperity Initiative (ECPI). The ECPI will lead to the establishment of Green Growth, Resilient and Well Governed Cities that support Ethiopia’s transformation from a predominantly agricultural nation to a nation with a rapidly growing industrial sector that contributes to the economic growth necessary to achieve middle income country status by 2025. The ECPI comprises nine pillars, two of which are focused on creation of job opportunities, productive safety net and Environmental management in all Ethiopian cities. Pillar 2 on Micro and Small Enterprise Development aims to create a competitive and effective foundation for industrial development through creation of job opportunities, bringing equal opportunities for development and improving incomes and reducing poverty within society. It is emphasised that urban safety net strategies will be focused on productive employment generation targeted at the most disadvantaged individuals, households and communities. Urban food security will compliment agricultural productivity and contribute to urban safety nets. Urban food security may include urban agriculture, urban forestry and urban initiatives such as apiculture (bee-keeping), and urban greenery and beautification. Among the main focuses for Pillar 8 of the ECPI on Environmental Sustainability is on Urban Greenery Development & Management program. The program intends to acheive that all urban centres attract and support investment and eco-tourism by being green and beautiful. Urban greenery covers areas such as public parks and playgrounds, recreational facilities that involve substantial planting, planted (trees and shrubs) roadside verges, Page 35 centre islands and roundabouts, riverine beautification and sanitisation, urban forestry, horticulture and agriculture. The UPSNP project is fully streamlined with the GoE ECPI initiative and its successful implementation will mark a major milestone towards its fulfilment. 3.2 ENVIRONMENTAL PROCLAMATIONS 3.2.1 Proclamation 299/2002, Environmental Impact Assessment This Proclamation (No 299/2002) aims primarily at making the EIA mandatory for categories of projects specified under a directive issued by the MoEF. The Proclamation makes EIA mandatory for specified categories of activities undertaken either by the public or private sectors, and possibly, the extension of EIA to policies, plans and programmes in addition to projects. The proponent of the project (whether it is public or private body) must prepare an EIA following the requirements specified in the legislation (article 8) and associated guidelines. The Ministry of Environment and Forest or the sector Ministries delegated by it and relevant Regional Environmental Agencies will then review the EIA and either approve the project (with or without conditions) or reject it. The Proclamation requires, among other things:  Specified categories of projects to be subjected to an EIA and receive an authorization from the Ministry of Environment and Forest or the relevant regional environmental agency prior to commencing implementation of the project.  Licensing agencies to ensure that the requisite authorization has been duly received prior to issuing an investment permit, a trade or operating license or a work permit to a business organization.  The Ministry of Environment and Forestry or the relevant regional environmental agencies may issue an exemption from carrying out an EIA in projects supposed to have an insignificant environmental impact.  A licensing agency may suspend or cancel a licence that has already been issued where the Ministry of Environment and Forestry or the relevant regional environmental agency suspends or cancels environmental authorization. Page 36 Procedures that need to be followed in the process of conducting an environmental impact assessment are described in the Proclamation and further elaborated in the draft EIA procedural guideline issued in 2003 E.C. Thus a project developer is expected to act as follows:  Undertake a timely environmental impact assessment, identifying the likely adverse impacts, and incorporating the means of their prevention.  Submit an environmental impact study report to the Ministry of Environment and Forest, delegated sector ministry or the relevant regional environmental agency for review and approval. To put this Proclamation into effect the Ministry of Environment and Forest has issued an EIA Directive (Directive no.1/2008) and other draft procedural guideline documents, which provide details of the EIA process and its requirements. Based on the Federal EIA Proclamation No 299/2002, many of the regional states have also prepared and put in force their own EIA regulations (see table.6). Some of these regional EIA regulations put stricter rules on the project proponents and EIA practitioners to facilitate for the preparation of EIA’s with dependable and sufficient information that would enable sound decision making. 3.2.2 Proclamation 300/2002, Environmental Pollution Control Proclamation No. 300/2002 on Environmental Pollution Control primarily aims to ensure the right of citizens to a healthy environment and to impose obligations to protect the environment of the country. The proclamation is based on the principle that each citizen has the right to have a healthy environment, as well as the obligation to protect the environment of the country. The law addresses the management of hazardous waste, municipal waste, the establishment of environmental quality standards for air, water and soil; and monitoring of pollution. The proclamation also addresses noise and vibration as one source of environmental pollution and it seeks for standards and limits for it providing for the maximum allowable noise level taking into account the settlement patterns. In general, the Proclamation provides a basis from which the relevant environmental standards applicable to Ethiopia can be developed, while sanctioning violation of these standards as criminally punishable offences. Page 37 Furthermore, it empowers the MoEF and/or the Regional Environmental Authority to assign environmental inspectors with the duties and responsibilities of controlling environmental pollution. In order to ensure implementation of environmental standards and related requirements, inspectors belonging to the MoEF or the relevant regional environmental agency are empowered by the Proclamation to enter, without prior notice or court order, any land or premises at any time, at their discretion. Such wide powers derive from Ethiopia's serious concern and commitment to protecting the environment from pollution. 3.2.3 Proclamation 513/2007, Solid Waste Management This proclamation came into force with an objective of implementing effective solid waste management in the country. The Proclamation recognized the existing solid waste management problems in the country and emphasizes the need to prevent environmental pollution that may result from the disposal of solid waste. The MoEF is responsible for initiating and overseeing the implementation of overall policies, strategies and guidelines on solid waste management. Regional environmental agencies and ULG are also responsible for drawing out their plans as regards the implementation of the Proclamation and monitoring efficacy. The Proclamation promotes community participation in order to prevent adverse effects and enhance benefits resulting from solid waste. It provides for preparation of solid waste management action plans by urban local governments. Therefore Article 5.1 of the proclamation states that Urban Administrations shall ensure the participation of the lowest administrative levels and their respective local communities in designing and implementing their respective solid waste management plans. In Article 5.1 each Region or urban administration shall set its own schedule and, based on that, prepare its solid waste management plan and report of implementation. In this proclamation the following provisions are provided in relation to the treatment and disposal of solid waste: As regards to the Construction of Waste Disposal Sites -Each urban administration shall in conformity with the relevant environmental standards, ensure that solid waste disposal sites are constructed and properly used and managed. Page 38 -Urban administration shall ensure that any new solid waste disposal site being constructed or an existing solid waste disposal site undergoing any modification has had an environmental impact assessment according to the relevant law. As regards to the Auditing of Solid Waste Disposal Sites -Each urban administration is responsible for ensuring that an environmental audit is carried out on every existing solid waste disposal sites. -the owner of any solid waste disposal site shall make the necessary modification if the environmental audit made under sub-article (1) of this article shows that its continued operation poses a risk to public health or the environment As Regards to Penalty -Without obtaining authorization, a person who implements a solid waste management project that requires special permit before its implementation as determined in a directive issued by the relevant environmental agency commits an offence and shall be liable according to the relevant provision of the criminal code 3.2.4 Proclamation No 209/2000: Research and Conservation of Cultural Heritage The Proclamation outlines the requirements for studying cultural heritage and specifies that a permit is required before any exploration; discovery or study of cultural heritage may be undertaken. Requirements for chance finds are also outlined in the Act. Article 41 which states that: “Any person who discovers any cultural heritage in the course of excavation connected with mining, explorations, building works, road construction or other similar activities shall report to the Authority and protect and keep same intact until the Authority takes delivery thereof”. The Authority shall take all appropriate measures to examine, take delivery and register the Cultural heritage so discovered. Where the Authority fails to take appropriate measures within 6 months, the person that discovered the cultural heritage may be released from the responsibility by submitting a written notification with a full description of the situation to the Regional Government official. 3.2.5 Public Health Proclamation The Public Health Proclamation comprehensively addresses aspects of public health, including food quality control, food standard requirements, water quality control, waste Page 39 handling and disposal, availability of toilet facilities, and the health permit and registration of different operations. 3.2.6 Proclamation 377/2003: The Labour law The Labour Proclamation (which was revised in 2003) provides ‘the basic principles which govern labour conditions taking into account the political, economic and social policies of the Government, and in conformity with the international conventions and other legal commitments to which Ethiopia is a party with a view to translating into practice the objectives referred to above’. In Part Seven, Chapter One, Article 92 of this proclamation (Occupational Safety, Health and Working Environment, Prevention Measures and Obligations of the Employers), the requirements in terms of the protection of workforce health and safety is clearly stipulated. The proclamation requires an employer to take the necessary measures to adequately safeguard the health and safety of the workers. Workforce health and safety is an important aspect considered for identifying the potential environmental, health and safety issues that can arise from the project. 3.2.7 Regulation 159/2008, Prevention of Industrial Pollution Regulation As a follow up to Proclamation 300/2002, a regulation to prevent industrial pollution was developed by the Federal Environmental Protection Authority and endorsed by the Council of Ministers to ensure compatibility of industrial development with environmental conservation. This Regulation confers important obligations to industrial operators. A factory subject to the regulations is obliged to prevent or minimize the generation and release of pollutants to a level not exceeding the environmental standards. The regulation also obliges industrial operators to handle its equipments, inputs and products in a manner that prevents damage to the environment and to human health. Moreover, the regulations urge industrial operators to prepare and implement an emergency response system of their own. On the other hand industrial operators are required to prepare and implement internal environmental monitoring systems and keep written records of the pollutants generated and the disposal mechanisms used to get rid of the pollutants. In relation to it, factories are required by the regulation to submit annual compliance reports with the provision of the regulations. Page 40 3.2.8 Proclamation No 455/2005: Expropriation of landholding for Public Purposes and Payment of compensation The proclamation provides for the expropriation of landholdings for public purposes and payment of compensation and establishes the legal principles and framework for expropriation and compensation. Regarding the determination of compensation, the basis and amount of compensation is clearly explained in Article 7(1) which states that “land holder whose holding has been expropriated shall be entitled to payment of compensation for his property situated on the land and for permanent improvements he made”. Article 7(2) also states that “the amount of compensation for property situated on the expropriated land shall be determined on the basis of replacement cost of the property”. Under article 8(1) of this proclamation a displaced land holder whose land holding has been permanently expropriated shall in addition to the compensation payable under the articles of this proclamation is paid displacement compensation, which shall be equivalent to ten times the average annual income he secured to bring the five years preceding the expropriations of the land. 3.2.9 Regulation No 135/2007: Council of Minister Regulation The regulation is titled “payment of compensation for property situated on land holdings expropriated for public purposes”. It is issued by the council of Ministers for the purpose of not only paying compensation but also to assist displaced persons to restore their livelihood. The regulation provides the procedures for application of proclamation No 455/2005, for compensation payment for property situated on expropriated land for public benefit. The regulation identified the type of properties eligible for payments of compensation which includes buildings, fences, crops, perennial crops, trees, protected grass, improvement made on rural land; relocated property, mining license and burial grounds. 3.2.10 Environmental guidelines and standards The MoEF has issued some guidelines and standards which are endorsed by the National environmental council. The purpose of these guidelines and directives is to ensure that development projects integrate environmental considerations in the planning process as a Page 41 condition for their approval. These include Directive No.1 /2008, which was issued to determine projects subject to environmental impact assessment. According to this directive, the EIA Proclamation is to be applied to the types of projects listed under the directive. The types of projects subject to EIA in the urban sector include roads, solid waste facilities, and any project planned to be implemented in or near areas designated as protected. The UPSNP project also intends to finance the stated types of project. In a similar manner it is indicated that the National environmental council has endorsed certain effluent standards for specified industrial sectors. The endorsed effluent standards for the specified 12 industrial sectors are posted on the official website of the Ministry of Environment and Forest, but are not officially published in the same way as directive no.1/2008. As a result, these are widely considered as draft effluent standards for Ethiopia. Other draft environmental guidelines prepared and posted on the website of the MoEF that are widely used for several years now include the following: EIA Procedural Guideline (draft), November 2003: This guideline outlines the screening, review and approval process for development projects in Ethiopia and defines the criteria for undertaking an EIA. According to this EIA procedural guideline, projects are categorized into three schedules: Schedule 1: Projects which may have adverse and significant environmental impacts thus requiring a full Environmental Impact Assessment Schedule 2: Projects whose type, scale or other relevant characteristics have potential to cause some significant environmental impacts but are not likely to warrant a full EIA study Schedule 3: Projects which would have no impact and do not require an EIA However, projects situated in an environmentally sensitive areas such as land prone to erosion; desertification; areas of historic or archaeological interest; important landscape; religiously important area, etc. will fall under Schedule I irrespective of the nature of the project. Guideline for Environmental and Social Management Plan (draft), May 2004: outlines the fundamental contents that need to be featured while preparing an Environmental and Social Management Plans (EMP) for proposed development projects in Ethiopia and Page 42 provides template forms to be used for such purposes. The guideline also provides guidance on the preparation of institutional arrangements for implementation of EMPs. EIA Guideline, May 2000: The EIA Guideline Document provides essential information covering the following elements:  Environmental Assessment and Management in Ethiopia  Environmental Impact Assessment Process  Standards and Guidelines  Issues for sector environmental impact assessment in Ethiopia covering agriculture, industry, transport, mining, dams and reservoirs, tanneries, textiles, hydropower generation, irrigation projects and resettlement Technical Guidelines on the Environmentally Sound Management of Biomedical and Healthcare Wastes, 2004: The guidelines provide information for the proper treatment of wastes from health-care establishments (public and private). The information provided takes due consideration of the waste management requirements of disposal and recovery measures as well as hygiene requirements. The safe management of biomedical and health-care waste is essential for community and environmental health. Page 43 Table 4. Relevant MoEF Guidelines and Standards GUIDELINE / STANDARD DESCRIPTION Directive No.1/2008 The directive lists about 22 types of development projects that are determined to be subject to EIA in accordance with proclamation 200/2002. The directive is endorsed by the National Environment Council. Draft EIA Guideline, July 2000 The EIA Guideline Document provides essential information covering:  Environmental Assessment and Management in Ethiopia  The Environmental Impact Assessment Process  Issues for sectoral environmental impact assessment in Ethiopia covering: agriculture, industry, transport, mining, dams and reservoirs, tanneries, textiles, hydropower generation, irrigation projects and resettlement projects. Annex 1 identifies the activities for which a full EIA, partial measure or no action is required. Annex 2 provides an example of an application form. Annex 3 provides standards and guidelines for water and air. Draft EIA Procedural Guideline, The guideline outlines the screening, review and approval process for November 2003 development projects in Ethiopia and defines the criteria for undertaking an EIA. Draft Guideline for The guideline outlines the necessary measures for preparation of an Environmental Management Environmental Management Plan (EMP) for proposed developments in Plan , May 2004 Ethiopia and the institutional arrangements for implementation of EMPs. Waste Handling and Disposal The Government has developed Waste Handling and Disposal Guideline Guideline, 1997 which is being used by health facilities since 1997. The Guidelines are meant to help industry and local authority to deal with the waste situation at a local level. Ethiopian Roads Authority ERA prepared this manual for the use and technical guidance for design (ERA) Environmental personnel of the Ethiopian Roads Authority and consultants doing an Procedures Manual, 2001 Environmental Assessment Study during road design. The manual was developed in order to standardize Environmental Procedures for design of new roads and rehabilitation of existing roads. Page 44 3.3 WORLD BANK SAFEGUARD REQUIREMENTS The UPSNP ESMF will serve as an instrument to satisfy the Bank’s Environmental Assessment (EA) requirement and guide the preparation of ESIAs and EMPs. In the present context of the UPSNP, the Environmental Assessment will have to take into account the natural environment (air, water, and land); human health and safety; as well as social aspects (involuntary resettlement and physical cultural resources). The Environmental Assessment will consider natural and social aspects in an integrated way. OP/BP 4.01 Environmental Assessment The UPSNP ESMF will address the requirements of OP 4.01 on Environmental Assessment, in order to ensure that LIPW sub-projects are environmentally sound and sustainable, and that decision-making is improved through appropriate analysis of actions and of their likely environmental impacts. The Bank views as necessary the environmental and social screening of each proposed LIPW sub-project to ensure whether the appropriate extent and type of ESIA is determined for the LIPW subproject. The Bank’s policy distinguishes three (sub) project categories, depending on the type, location, sensitivity, and scale of the (sub) project and the nature and magnitude of its potential environmental impacts, as follows: Category A: Proposed subproject is classified as category A if it is likely to have significant adverse environmental impacts that are sensitive, diverse, or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works. Category-A LIPW subprojects will not be eligible for financing under the project. Category B: Proposed subproject is classified as category B if it’s potential adverse environmental impacts on human population or environmentally important areas-including wetlands, forests grasslands and other natural habitats –are less adverse than those of Category A projects. These impacts are site specific; few if any of them are irreversible; and in most cases mitigation measures can be designed more readily than for Category A Projects. Page 45 Category C: a proposed Project is classified as category C if it is likely to have minimal or no adverse environmental impacts. Beyond screening, and application of Environmental Guideline for construction contractors, no further ESIA action is required for a category C Projects. In addition, OP/BP 4.01 requires that during the ESIA process, for all Category B projects, the ULGs consult project-affected groups and local nongovernmental organizations (NGOs) about the project's environmental aspects and takes their views into account. The ULGs will initiate such consultations as early as possible. In addition, the ULGs will consult with such groups throughout project implementation as necessary to address EA- related issues that affect them. OP/BP 4.11 Physical Cultural Resources (PCR) The objective of this policy is to assist ULGs to avoid or mitigate adverse impacts of LIPW sub- projects on physical cultural resources. For purposes of this policy, “physical cultural resources” are defined as movable or immovable objects, sites, structures, groups of structures, natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. Physical cultural resources may be located in urban or rural settings, and may be above ground, underground, or underwater. Their cultural interest may be at the local, provincial or national level, or within the international community. The impacts on physical cultural resources resulting from project activities, including mitigating measures, may not contravene either the Country’s national legislation, and OP/BP 4.11, or its obligations under relevant international environmental treaties and agreements. The following projects will be identified during environmental screening process and are subject to the provisions of this policy: (a) any project involving significant excavations, demolition, movement of earth, flooding, or other environmental changes; and (b) any project located in, or in the vicinity of, a physical cultural resources site recognized by the Country. This ESMF provides a clear procedure for identification, protection and treatment of PCR discovered. These procedures will be included in the TOR to carry out an environmental and social management plan (ESMP). When the ESMP is prepared for a specific subproject, the city cultural and tourism office should be consulted depending at what level the subproject is implemented. Page 46 The ULGs would develop a physical cultural resources management plan that includes measures for avoiding or mitigating any adverse impacts on physical cultural resources. These include:  Provisions for managing chance finds, Any necessary measures for strengthening institutional capacity, and a monitoring system to track the progress of these activities. OP/BP 4.12 Involuntary Resettlement World Bank OP 4.12 on Involuntary Resettlement is triggered in situations involving involuntary taking of land and involuntary restrictions of access to legally designated parks and protected areas. The policy aims to avoid involuntary resettlement to the extent feasible, or to minimize and mitigate its adverse social and economic impacts. It promotes participation of displaced people in resettlement planning and implementation, and its key economic objective is to assist displaced persons in their efforts to improve or at least restore their incomes and standards of living after displacement. The policy prescribes compensation and other resettlement measures to achieve its objectives and requires that borrowers prepare adequate resettlement planning instruments prior to Bank appraisal of proposed projects. This policy covers not only physical relocation but any loss of land or other assets resulting in: (i) relocation or loss of shelter: (ii) loss of assets or access to assets; (iii) loss of income sources or means of livelihood, whether or not the affected people must move to another location. This policy also applies to the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. In the event that there are differences between national legislation and OP 4.12, the provision of the later will prevail during project implementation. An RPF has been prepared in parallel to this ESMF to address the requirements of OP 4.12. The World Bank safeguard policies which apply to the UPSNP project are summarized in table 5. Page 47 Table 5: World Bank – Applicable Operational Policies, Bank Procedures Safeguard Policies Trigger Explanation (Optional) ed? The UPSNP will finance a variety of LIPWs sub-projects that will Environmental Yes consist of infrastructure and services, including, Road construction Assessment OP/ and maintenance, Various sanitation structures, Solid waste BP 4.01 management activities, Day care centers, Health posts, Community markets and production centers, Green infrastructure (parks, greenery, nurseries) and Urban agricultural activities that can have adverse environmental impacts. The environmental and social risks associated with these kinds of infrastructure or services can be, but will in most cases, not be significant. It is therefore possible that UPSNP LIPW sub-projects may fall into OP 4.01 Category B or C. The ESMF checklist is designed to identify these potential impacts, and direct the ULG/PFU teams to practical ways of avoiding or mitigating them. Note: Generally the World Bank OP 4.01 categories A, B and C correspond to the categories described in the Ethiopian MoEF’s EIA Guidelines Document in as Schedule 1, 2 and 3 activities. The screening process that will determine whether LIPWs projects identified in UPSNP Plans will require an EIA will only be carried out after project approval. EIAs and Environmental Management Plans (EMP) will be prepared as necessary, in line with the ESMF, once the exact nature and locations of LIPWs sub-projects have been identified and environmental and social screening is conducted. UPSNP/LIPWs safeguard guideline and environmental and social screening checklists are included in this ESMF to be used by ULG/PFU staff and staff of other involved implementing agencies in addressing these issues. The ESMF will be submitted for Bank review and publicly disclosed in-country and in the Info Shop prior to appraisal. Cultural Property (OP Ethiopia is an extremely rich and diverse country culturally and is 4.11) home to ancient civilizations. The Country has 7 sites that are Page 48 classified as UNESCO World Cultural Heritage sites. Some of the Ethiopian cities participating in the UPSNP project has historical, religious, and cultural properties that are of significance at National and/or International levels in them (e.g: Harar, Addis Ababa, Bahirdar, and Mekelle). LIPW subprojects will be classified during the environmental screening process as Category B or C, and are then subject to the provisions of OP 4.11. If there is a possibility that LIPW subproject construction may result in damage to cultural property, the ESMF specifies procedures for avoiding such damage. Chance find procedures will be incorporated into civil works supervision plan, and buffer zones will be created to avoid damage to cultural resources. Involuntary A Resettlement Policy Framework (RPF) has been prepared for Resettlement OP /BP the UPSNP/LIPW. Resettlement Action Plans (RAPs) will be 4.12 prepared as necessary, in line with the RPF, once the exact nature and locations of LIPW subprojects have been identified. Natural Habitats OP/BP No The Project is not being implemented in or near natural habitats. 4.04 Forests OP/BP 4.36 No The Project does not involve forest activities Pest Management OP /BP No The Project does not involve pest management activities. 4.09 Indigenous Peoples No The initial screening indicates that there are no groups in the OP/BP 4.10 Project area that meet the criteria of the policy. Safety of Dams No OP/BP4.37 Projects on International No Waterways OP/BP 7.50 Projects in Disputed No Areas OP/BP 7.60 Page 49 3.4 INSTITUTIONAL FRAMEWORK FOR NATIONAL ENVIRONMENTAL MANAGEMENT 3.4.1 Proclamation 295/2002, Establishment of Environmental Protection Organs The Environnemental Protection Proclamation (Proc. 295/2002) assigns responsibilities for environmental management to various entities in order to ensure sustainable use of environmental resources, thereby avoiding possible conflicts of interest and duplication of efforts. It is also intended to establish a system that fosters coordinated but differentiated responsibilities among environmental protection offices at a Federal and Regional State level. Each of the main Federal institutions active in the construction of infrastructure, or economic development is required by law to have its own environmental unit. 3.4.2 Ministry of Environment and Forest At the National level, the MoEF is mandated with responsibilities for management of environmental issues. A recent amendment to the definition of powers and duties of the executive organs of the FDRE (proclamation no. 803/2013) gives the MoEF powers to fulfill its role in ensuring the realization of the environmental objectives provided under the constitution. The MoEF is involved in the development of environmental policy and legislation; setting environmental quality standards for air, water and soils; monitoring pollution; establishing systems and procedures for EIA; and in establishing a national environmental information system. Enforcing the laws and policies including EIA, environmental monitoring and auditing, for all projects or activities that falls under the control of the Federal Government also falls within the responsibilities of the MoEF and its delegated sector ministries. The delegated sector Ministries have been assigned the dual role of reviewing ESIA reports as well as ensuring timely and effective implementation supervision of sector specific EIAs. The Regional States are also required to establish their own regional environmental agencies, which are responsible for EIAs for regionally managed infrastructures or development activities (refer table 6). The Ministry of Environment and Forestry (MoEF) is required to provide regional authorities with guidance, technical support, and capacity building; support the development of various guidelines, including procedures appropriate to sector projects; undertake awareness creation in other federal agencies; and provide technical support to those agencies. Page 50 Following the screening, review and comment of environmental impact statements both the MoEF and REPAs approve project EIAs and issue an environmental clearance/ permit where applicable. MoEF and Regional Environmental Protection Authorities (REPAs) also undertake environmental audits where required to ensure that projects are complying with their Environmental Management Plans (EMPs) and their commitments to environmental mitigation and monitoring. 3.4.3 Regional Environment bodies Proclamation 295/2002 requires regional states to establish or designate their own regional environmental agencies. Regional Environment Protection Bureau/offices have been established in almost all of the regions (refer table 6). The regional environmental agencies are responsible for coordination the formulation, implementation, review and revision of regional conservation strategies as well as environmental monitoring, protection and regulation (Article 15). Relating to ESIA specifically, Proclamation 299/2002 gives regional environmental agencies the responsibility to evaluate ESIA reports of projects that are licensed, executed or supervised by regional states and that are not likely to generate inter-regional impacts. Regional environmental agencies are also responsible for monitoring, auditing and regulating implementation of such projects. The institutional standing of regional environmental agencies varies among regions. In some regions, they are established as separate institutions, while in others they are within Regional Sector Bureaus (e.g., Bureau of Land Use Administration). Role in the Implementation of the ESMF: Following screening by the responsible ULG/PFUs, the REPAs will review and approve project EIAs and will issue an environmental permit/ license where applicable. The REPAs will undertake environmental audits where required to ensure that the ULGs are complying with their Environmental Management Plans (EMPs) and their commitments to environmental management, mitigation and monitoring. Table 6 shows the existing competent environment authorities at regional level and the status of regional environmental regulations applicable for environmental and social management. Page 51 Table 6: Summary of existing institutions and critical legislations for Environmental and Social Management at regional level. Region Cities Responsible Availability of City EIA Regional Regional level or regional proclamation regulation/guideline Environment Environment Office adopted at for land acquisition & Agency regional level compensation in place Yes/No Oromia Adama Oromia Yes Yes Yes LEPB (City branch office: LEPO) Amhara Bahirdar BoEPLAU Yes Yes Yes Regional Head Office Tigray Mekelle Tigray Yes Yes Yes EPLAUA Regional & Zonal Head Office Benishangul Assosa Benishangul Yes No Yes Gumuz Gumuz (Regional Head (Draft level) LAUEPB Office) Gambella Gambella Gambella Yes No No LUAEPA (Regional Head Office) Afar Semera Afar EPLAUA Yes Yes Yes (Regional Head Office) Harari Harar Harari EPA Yes No No (Regional Head (Draft) Office) Somali JigJiga EPMEDA Yes Yes No (Regional Head Page 52 Office) Diredawa DDEPA Yes No Yes (City Level Office) (Draft) Addis AAEPA Yes Yes Yes Ababa (City Level Office) 3.5 THE ESMF AND RESETTLEMENT POLICY FRAMEWORK The Resettlement Policy Framework is prepared in a separate document but forms an integral part of the overall Environmental and Social Management Framework for the UPSNP. Urban and Rural Aspects of Resettlement: Although the majority of ULG investment projects are expected to impact mainly on urban areas and urban residents, urban infrastructure works frequently have direct and indirect impacts on rural areas. For this reason, the RPF provides for cases of compensation and resettlement in both urban and rural situations. For example:  Direct impact: Urban investment projects frequently have direct impact on rural residents and holdings where urban expansion involves development of peri-urban areas for residential or industrial or other types of development. Development of solid waste landfill sites, waste water treatment works and sludge ponds for disposing of septic tank waste, often take place on the urban fringe or wholly within surrounding rural areas.  Indirect impact: Development of urban roads drains and other works frequently involves establishment of borrow pits in surrounding rural areas for production of aggregates for road base courses or removal of sand or clay deposits. ULG/PFU officials and experts involved in the implementation of the ESMF should read carefully the Resettlement Policy Framework and the national/regional legislation related to Expropriation of land for public purposes and compensation. The RPF will contain details of the RAP preparation process, Proclamation 455/2005: Expropriation of Land Holdings for Public Purposes and Payment of Compensation and the full Regulations No. Page 53 135/2007 on the Payment of Compensation for Property Situated on Landholdings Expropriated for Public Purposes. 4 ESMF PROCESSES AND IMPLEMENTATION This section outlines the steps that the UPSNP project will undertake to facilitate, coordinate and oversee subproject identification, preparation, approval and implementation. The ESMF requires that all LIPW sub-projects be screened for social and environmental impacts. Screening will help to determine if a sub-project belongs to category A, B or C and thence whether an ESIA or ESMP is required for a specific sub- project. The ESMF outlines the steps to be taken to realize the outcomes of the screening and categorization and describes the various elements of the process including:  Steps to be taken for a full EIA if required, including an application for environmental authorization;  Terms of reference for an annual environmental and social audit of the UPSNP;  Guidelines on the environmental and social impact of LIPWs subprojects and  Compliance mechanisms. 4.1 ENVIRONMENTAL AND SOCIAL RISKS ADDRESSED BY THE ESMF The UPSNP has the potential to provide significant social benefits, and to deliver environmental benefits, depending on the kind of LIPW sub-projects that are put forward by ULGs. However there are risks of adverse environmental and social impacts, owing to:  Inherent environmental risks involved in infrastructure projects, including dust and noise, safety and accidents, soil erosion, depletion, pollution or contamination of waterways and groundwater sources, and secondary impacts owing to the sourcing of construction materials;  Social risks during construction of projects such as road, impacts on people, buildings (houses, shops, kiosks, etc) economic and social activities in the vicinity of the project, an influx of people to certain areas due to better facilities provision and improved access, risks of disruption to livelihoods and potential for economic resettlement and displacement of people associated with Page 54 land take, and indirect social impacts from the downstream effects of project such as water diversions;  Limited implementation at a ULG level to integrate measures to prevent or mitigate environmental impacts into the design of projects, and during construction, and operation of the projects. These risks are taken seriously by the GoE and MUDHCo owing to the importance of the environmental impacts involved and the need to ensure improvements in people’s well- being. People’s livelihoods are often dependent on a sustainable environment, and adverse environmental or social impacts of infrastructure projects will be carefully avoided. The GoE has developed its environment institutions at Federal and Regional levels and corresponding legal framework for environmental management over the past twenty years. The activities set out in this ESMF therefore build on the GoE’s laws, policies and procedures in environmental management and associated institutional arrangements. The UPSNP ESMF will offer additional opportunities to enhance and strengthen environmental management practices by the GoE. 4.2 RESPONSIBILITIES IN THE ESMF SCREENING AND APPRAISAL PROCESS The primary responsibility to conduct the screening of sub-projects rests on the ULGs responsible for implementing the LIPW sub-projects. The ULGs will establish a Project Focal Unit (PFU) under the Mayor office which will constitute, among others, a focal person for environment. The PFU environment focal person will be in charge of conducting the environmental and social screening of each subproject. The environment focal person will be supported by other members of the PFU, members of the technical committee on LIPWs, and the Federal CPU as necessary in conducting the screening. Before submitting the environmental and social screening of subprojects with application for approval by the relevant REPA, it will be checked and approved internally by the SNCC whose chair is the City Mayor. Table 7 below outlines the proposed roles and responsibilities for the different steps in screening and appraisal. Page 55 Table 7: Outline of Roles and Responsibilities for the ESMF. Activity Lead Role for preparation Lead role for review, and/or implementation approval &monitoring Completion of screening using Urban Local Government, Safety REPAs and the World the form in Annex A: Screening Net Coordination Committee Bank, for review and Form. /Project Focal Unit/ Technical clearance of ESIA, EMPs Committee on LIPW and RAP documents ESIA, EMP and RAP preparation Urban Local Government, Safety Net Coordination Committee /Project Focal Unit + Independent consultants Implementation of ESIA, EMP and RAP Urban Local Government, Safety Net Coordination Committee Monitoring of EMP and RAP /Project Focal Unit/ Technical implementation. Committee on LIPW Annual Audit 4.3 OVERVIEW OF SUBPROJECT CATEGORIZATION AND THE ESMF PROCESSES The ESMF has been designed to support the application of World Bank Safeguard policies in combination with Ethiopian legislation on environmental impact assessment to UPSNP. The principles of OP/BP 4.01 on Environmental Assessment in relation to Categorization of subprojects were briefly outlined in section 4.3 as follows. Category A: Proposed (sub) project is classified as category A if it is likely to have significant adverse environmental impacts that are sensitive, diverse, or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works. Category B: Proposed (sub) project is classified as category B if it’s potential adverse environmental impacts on human population or environmentally important areas-including wetlands, forests grasslands and other natural habitats –are less adverse than those of Category A projects. These impacts are site specific; few if any of them are irreversible; and in most cases mitigation measures can be designed more readily than for Category A Projects. Page 56 Category C: a proposed (sub) project is classified as category C if it is likely to have minimal or no adverse environmental impacts. Beyond screening, no further EA action is required for a category C Projects. Furthermore the important national requirements that define the categorization of subprojects into various schedules are summarized in the following directives and guidelines: a) Directive no.1/2008 b) Draft EIA Guideline, July 2000 c) Draft EIA Procedural Guideline, November 2003 d) Draft Guideline for Environmental Management Plan, May 2004 The Draft EIA Procedural Guideline, November 2003 describes Schedule 1, 2 and 3 activities or projects. A summary of key UPSNP/LIPWs related activities is presented in table 8 below. Page 57 Table 8: MoEF Schedules 1, 2 and 3. Schedule 1: Projects which may have adverse and significant environmental and social impacts, and may, therefore, require full EIA; 1. Waste treatment and disposal (a) Municipal Solid Waste - Construction of composting plant, recovery/re-cycling plant, Municipal Solid Waste landfill facility, waste depots as well as collection and transportation (b) Municipal Sewage - Construction of waste water treatment plant, sewage system, night soil collection transport and treatment. 2. Multi-sectoral Projects - Nurseries, enclosed latrines, small enterprises, manufacturing furniture carpentry shop, e.t.c. 3. Building and Civil Engineering Industries. -River drainage and flood control works, construction and expansion/upgrading of roads, major urban projects (multi-storey building, motor terminals, markets etc) 4. Livestock and Range Management - Large scale livestock production in Urban area, intensive livestock rearing units, large scale slaughter house construction, e.t.c. 5. Food and beverage industries - Manufacture of dairy products, canned fruits and sources, e.t.c Schedule 2: List of projects that require a preliminary environmental impact study Small - Scale activities and enterprises  Sewerage system  Bio-gas plants  Brick making  Urban Livestock Keeping  Urban agriculture  Market places (livestock and commodities).  Small animal husbandry and urban livestock keeping  Horticulture and floriculture Schedule 3: Projects which would have no impact and do not require EIA. Social infrastructure and services: Educational facilities (small scale), Audio visual production, Teaching facilities and equipment, Training, Medical centre (small scale), Medical supplies and equipment, Nutrition, Family planning ECONOMIC INFRASTRUCTURE AND SERVICES: Telecommunication, Research Under the UPSNP, it is anticipated that the majority of LIPWs subproject will be Category B and may require partial EIAs. However, it is also possible that some of the LIPWs that Page 58 will be selected for implementation by the ULGs and beneficiary communities may fall in the Category A. However, Category A subprojects will not be eligible for financing under the project and Under such circumstances, re-sitting, redesigning or rerouting of subproject will have to be considered. 4.4 PROCESS AND PROCEDURES OF THE ESMF The proposed UPSNP ESMF process and the procedural steps to be applied for identifying and managing environmental and social issues during subproject Screening and Approval are set out below. The complete Screening form is set out in Annex A. Under the UPSNP LIPWs, it is anticipated that the majority of city public works will be Category B and may require partial EIAs. The proposed UPSNP ESMF process for identifying and managing environmental and social issues is also presented in the figure 6. 4.4.1 Preparation During the early stages of UPSNP LIPWs annual plan preparation process including during subproject selection and prioritization phases, the SNCC, PFU and LIPW technical committee will have to prepare and familiarize themselves with the fundamentals of the ESMF process by: a) Reviewing ESMF and RPF requirements. The ULGs and relevant REPAs in the region will have to obtain copies of the ESMF, RPF as well as all relevant federal and regional laws, guidelines and procedures relating to environmental protection, cultural heritage and resettlement issues. Members of the SNCC, PFU, LIPW technical committees and REPAs will have to complete training requirements for implementation of UPSNP ESMF and RPF. This will help to ensure that there is good knowledge of UPSNP ESMF and RPF requirements at different levels in the ULG – Council, Mayor, SNCC, PFU and other professional and technical staffs. b) Contacting the Regional Environmental Protection Authority:  Provide them with a copy of this ESMF and the RPF document;  Provide them with details of the contact at the ULG/PFU and Page 59  Inform the Regional EPA that subprojects are being planned that may be classified as being Category B or C activities in terms of federal and regional environmental legislation. c) Identifying interested and affected communities, NGOs, businesses, etc., and informing them of the proposed activities and its potential impacts. This first step is an important exercise in creating a common understanding and awareness of the procedures involved among the key actors in the implementation of the ESMF. It creates a level ground on which effective working relationships could be built in the implementation process. However, it is a one-off exercise which could be repeated only when the need emerges. 4.4.2 Step 1: Screening Sub-project screening is the first important step in the ESMF processes that should be undertaken for determining whether or not a project requires EIA and the level at which the assessment should occur. Environmental Screening will be conducted for each subproject contained in the endorsed annual plan for LIPWs having specified site location. The environment focal person in the PFU initiates the process by completing the form contained in Annex a: ENVIRONMENTAL Screening Form. The aim of the screening form is to assist in identifying potential impacts based on field investigations in the area of the subproject site. The screening exercise should also involve the cultural heritages and resettlement aspects of the subproject. Based on the nature and size of the subproject, the environment focal person can seek assistance from other members of the PFU and the technical committees while carrying the environmental screening. This Screening Report will describe, a) The proposed subproject and its potential impacts, b) Categorization of the subproject c) Characteristics of the location (sensitivity of the area), d) Size (small, medium and large scale), e) Degree of public interest, f) Institutional requirement, environmental enhancement and monitoring considerations, Page 60 The outcome of environmental screening will be classifying the proposed LIPWs subproject into one of Category A, B or C Categories (or Schedule 1, 2 or 3). The completed screening form will be submitted first to the SNCC which is chaired by the Mayor for internal checking and approval. It will then be submitted to the relevant REPA with an official application for review and approval and copies to the head of Urban Infrastructure and Good Governance/ Public Participation Core Process of BIUD and MUDHCo/UGGCBB. In the case of Addis Ababa City Government and Diredawa City Administration submission will be made to their own City level EPAs. The Regional Environmental Protection Authority will review the Screening Report and will: (a) Accept the document - with conditions relating to implementation; (b) Accept the documents with required and/or recommended amendments; or (c) Reject the document with comments as to what is required to submit an acceptable Screening Report. Following the approval of the subproject environmental screening report by REPA, the subproject will be fed into one of the following processes based on its approved Categorization. i. Category – A (Schedule 1) subprojects are fed into the standard EIA process determined by MoEF and will need to prepare full EIA study report. ii. Category - B (Schedule 2) subprojects will require a partial or preliminary EIA, and will necessitate the inclusion of environmental and social mitigation and enhancement measures in the design and implementation of subprojects. iii. Category - C (Schedule 3) projects are not subject to environmental assessment as no potential impacts are anticipated. Thus no further action is required. However, the environmental guideline for construction contractors will be applicable. The results of the Screening Report – whether a full EIA, Partial EIA, RAP, ARAP or CRMP are required - will be included by the ULG in the UPSNP Project Application Form. The next step in the ESMF process is to proceed to the next actions to fulfil the requirements based on the screening categorization, which is outlined in step 2 below. Page 61 4.4.3 Step 2A: Sub-projects that need an ESIA. Schedule-I LIPW subprojects that are predicted to result in significant environmental and social impacts are required to prepare a full ESIA report. The purpose of the full ESIA is to generate sufficient information on significant impacts, which will be used to determine whether or under what conditions the subproject should proceed. The responsibility of preparing the full ESIA is that of the project proponent, which in this case is the ULG’s SNCC chaired by the Mayor. The cost of conducting the ESIA will be covered by the ULG, from the UPSNP LIPWs budget allocated for the city. ULG’s will need to procure the services of an independent environmental consultancy service to prepare the ESIAs. Hence, there will be a need to develop a comprehensive ToR to develop a comprehensive scope of work for a consultant who will carry out the Environmental Impact Assessment for the UPSNP LIPWs project. As a starting procedure to develop the ESIA ToR, scoping of the LIPWs subproject will be needed. Based on the nature and type of the LIPWs subproject, the scoping can be carried either by a team of experts or by the environment and social focal persons of the PFU. The city can establish a scoping team drawing upon relevant sector experts, environmental and social focal persons from the PFU and others as appropriate. The main purpose of the scoping exercise is to: a) establish boundaries of the EIA study b) identify the main issues or concerns to be assessed c) identify significant effects and factors to be considered d) involve and consult potentially affected groups e) evaluate concerns expressed f) consider reasonable alternatives The outcome of scoping is a Terms of Reference that will guide the undertaking of full EIA study for the proposed subproject under consideration. Before applying the EIA TOR for selection of consultancy, it requires to be reviewed and agreed upon by the relevant Regional EPA. It will be submitted to the relevant REPA with a request for review and approval. REPA will review EIA TOR and accept the document (with conditions relating to implementation), accept the documents with required and/or recommended amendments or reject the document with comments explaining the improvements required to submit an Page 62 acceptable EIA TOR. The resulting agreed EIA ToR is expected to consist of the following contents which are also required by the national EIA laws: (a) Executive summary (b) Policy, legal, and administrative framework. (c) Project description. (d) Baseline data. (e) Environmental and social impacts. (f) Analysis of alternatives. (g) Proposed Mitigation Measures (h) Environmental and Social Management Plan (EMP). (i) Appendixes:  List of EIA report preparers.  References.  Record of interagency and consultation meetings.  Tables presenting the relevant data.  List of associated reports. An outline for the full Terms of Reference for a UPSNP/ LIPWs EIA is contained in Annex B: Terms of Reference for EIA. Following the approval of the EIA ToR and hiring of a competent consultancy, undertaking the EIA study based on the ToR will continue. The EIA study involves: a) Impact prediction, b) Public consultations c) Impact analysis, d) Consideration of alternatives, e) recommending mitigation measures f) Preparation of environmental management plan (mitigation, monitoring activities), e.t.c Page 63 The design of mitigation measures in the EIA should seek to: a) Minimize or eliminate negative impacts, b) Enhance benefits, and c) Protect public and individual rights to compensation, As part of the EIA process, Environmental Management Plans (EMPs) will be prepared and implemented. Effective implementation of the EMP will ensure that the appropriate mitigation measures have been employed to avoid and/or minimize any potential impacts resulting from the proposed activity. The contents of an EMP should include:  A description of the possible adverse effects that the EMP is intended to address;  A description of planned mitigation measures, and how and when they will be implemented;  A description of who will be responsible for implementing the proposed mitigation and enhancement measures  A description of who will be responsible for monitoring the implementation of the mitigation and enhancement measures  A program for monitoring the environmental and social impacts of the project, both positive and negative;  A cost estimate and source of funds. A monitoring and supervision plan for the EMP that summarizes key areas on which internal and external monitoring and supervision will focus should be prepared. The Monitoring and Supervision plan should identify the critical risks to implementation of the EMP and how such risks will be monitored during implementation. REPAs would advise ULGs on its role for carrying out external environmental monitoring and supervision of the EMP for Category A projects within the overall plan for the project. Finally the EMP for the LIPW subproject will outline the appropriate budget required to implement measures for mitigation and monitoring. It will also indicate the costs of training and capacity building required. Costs should be calculated based on estimates provided by contractors for any mitigation measures required during the civil works. For example: Page 64  Costs of ensuring the appropriate dust suppression mechanisms are in place during excavation works  Costs of installing erosion control measures should be estimated as part of the engineering costs; and  Costs of monitoring noise during construction should be calculated based on the frequency of monitoring and cost of equipment. During the study of the full Environmental Impact Assessment and Environmental Management Plan the environment focal person together with other members of the PFU and LIPW technical committees will have to ensure the quality of the assessment by conducting interim review of draft EIA report submissions. The full Environmental Impact Assessment and Environmental Management Plan will then be presented by the PFU environment focal person to the SNCC for further internal review and approval. The Partial EIA will be submitted to the relevant REPA with an official application for review and approval and copies to the head of Urban Infrastructure and Good Governance/ Public Participation Core Process of BIUD and MUDHCo/UGGCBB. In the case of Addis Ababa City Government and Diredawa City Administration submission will be made to their own City level EPAs. Finally the ESIA will be send to the World Bank for no- objection and further disclosures. Page 65 Figure 5: Schedule 1, Full EIA Application Process Screening & Screening Report Amend Schedule 1, 2, 3 Decisions Review Screening Report Accept Scoping Environmental Impact Assessment + Environmental Management Plans Amend Review Environmental Impact Assessment Accept Decision Appeal Not Approved Approved Record of Decision Conditions of Approval LEGEND Activities Implementation Reviews Decisions Audit Page 66 4.4.4 Step 2B: Category B (Schedule 2) Projects, partial EIA preparation Category B projects will be subject to a limited Environmental and Social Review that could be carried out by the ULG’s PFU or with the help of an independent consultant. Category B subprojects are required to prepare “Preliminary” or also otherwise called “Partial” EIAs in which the depth of its information requirement can be defined in consultation with the relevant REPA. Generally, the scope of EIA for Category B project may vary from project to project, but it is narrower than that of Category-A EIA. Like Category-A EIA, it examines the project's potential negative and positive environmental impacts and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environmental performance which will be summarised in the EMP. The findings and results of the Partial EIA will be described in the project documentation. Undertaking the preparation of the Partial EIA involves:  A field assessment of the subproject area to identify likely environmental and social impacts;  Consultation with beneficiaries and affected communities;  Use of the ESMF impact mitigation checklists attached in Page 67  Annex D: Environmental and Social Impact Mitigation and Monitoring Checklists;  Preparation of an EMP and/or, if necessary, a full or abbreviated RAP During the study of the partial Environmental and social impact assessment and Environmental Management Plan the environment focal person together with other members of the PFU and LIPW technical committees will have to ensure the quality of the assessment by conducting interim review of draft EIA report submissions. The partial Environmental Impact Assessment and Environmental Management Plan will then be presented by the PFU environment focal person to the SNCC for further internal review and approval. The Partial EIA will be submitted to the relevant REPA with an official application for review and approval and copies to the head of Urban Infrastructure and Good Governance/ Public Participation Core Process of BIUD and MUDHCo/UGGCBB. In the case of Addis Ababa City Government and Diredawa City Administration submission will be made to their own City level EPAs. 4.4.5 Step 3A: Review and Decision The relevant Regional Environmental Protection Authority will review the full/partial EIAs and EMPs submitted to it by the ULGs PFU. The purpose of review is to examine and determine whether the full/partial EIA and EMP are an adequate assessment of the environmental effects of the LIPW subproject under consideration and of sufficient relevance and quality for decision-making. Reviewing by the REPA may include considerations of the adequacy of:  Compliance with the "approved TOR";  Required information;  The examination of alternatives, assessment of impacts, appropriateness of mitigation measures and monitoring schemes as well as implementation arrangements;  The use of scientific and analytical techniques;  The extent of public involvement and reflection of PAPs concerns; and Page 68  Presentation of the information to decision makers at Regional, Sectoral, and Local levels. The Regional Environmental Protection Authority will review the EIA and EMP and will: (a) Accept the document - with conditions relating to implementation; (b) Accept the documents with required and/or recommended amendments; or (c) Reject the document with comments as to what is required to submit an acceptable EIA and EMP. 4.4.6 Step 3B: Disclosure In compliance with World Bank guidelines and in the EIA proclamation, before a ULG LIPW subproject is approved, the applicable documents (EIA, EMP, CRMP and/or RAP) must be made available for public review at a place accessible to local people (e.g. at a local government office (i.e. kebele council, ULG and regional bureaus, at the EPA), and in a form, manner, and language they can understand. Disclosure of the ESIA and RAP in both the World Bank’s infoshop and website is also a requirement for the UPSNP. 4.4.7 Step 4: Implementation & Supervision When approval has been given to the full/partial EIA/EMP, CRMP, ARAP or RAP implementation of mitigation measures and systemic follow-up is needed for the sub- project. Since the LIPWs are going to be offered directly to the project beneficiary groups of the urban poor, direct responsibility should be attached to them to implement the proposed mitigation measures on the ground. Monitoring the compliance of UPSNP LIPW subproject implementation with the mitigation measures set out in its EMP, CRMP and/or RAP will be carried out by the environment focal person of the ULG PFU who is responsible for environmental management. The work on the ground of the LIPW subprojects is planned to be done by directly offering it to the project beneficiary urban poor. Contractors and contract agreements may not be used to implement the LIPW subprojects and hence the introduction of environmental clauses into the agreement not possible. As a result the supervision of subprojects for compliance with the EMP is going to be the responsibility of the ULG/SNCC, PFU and the technical committees involved in Page 69 supervising the subproject implementation. The PFU and in particular the environment focal person will have the primary responsibility for carrying out this monitoring by regularly visiting the subprojects, and pursuing the corrective measures as required. If required the PFU can obtain assistance from the PCU at Federal level to ensure that the specified mitigating measures are implemented. The implementation of the recommended mitigating measures will also be monitored by the Regional Environmental Protection Authority and UPSNP M&E system. The PFU Environment focal person will have to collaborate in the planning for external compliance monitoring inspections that will be conducted by the relevant Regional Environmental Protection Office. The planning for external compliance monitoring/inspection could be initiated by REPA itself or (if that is not coming forward from REPA side) by the ULG PFU in line with the M&E system. Compliance monitoring comprises on site-inspection of construction activities to verify that measures identified in the EMP, CRMP and/or RAP and included in the clauses for contractors are being implemented. Compliance monitoring and supervision of the EMP covers:  determining whether the project is being carried out in conformity with environmental safeguards and legal agreements;  ensuring that the anticipated impacts are maintained within the levels predicted,  identifying problems as they arise during implementation and recommend means to resolve them;  seeing that the un-anticipated impacts are managed and or mitigated before they become problems,  recommending changes in project concept/design, as appropriate, as the project evolves or circumstances change; and  realizing and optimizing the benefits expected, and  providing information for a periodic review and alteration of the environmental management plan and enhance environmental protection through good practice at all stages of the project. Page 70 It is therefore necessary that Environmental Management Plan, Cultural Resources Management Plan or Resettlement Action Plan is supervised, monitored and reported on together with other progresses of the subprojects. 4.4.8 Step 5: Annual Environmental Reports Once implementation of the UPSNP LIPW subproject has started, regular supervision missions should be carried out by the ULG’s PFU. An annual environmental report must be submitted to BIUDs by each ULG and consolidated by BIUDs as regional reports for submission to the Regional EPA, UGGCBB/MUDHCo and World Bank for review. The purpose of these reports is to provide:  A record of UPSNP project activities, experience and issues running from year-to- year throughout the UPSNP that can be used for identifying difficulties and improving performance; and  Practical information for undertaking an annual review. 4.4.9 Step 6: Annual Reviews ESMF implementation will also be supported by conducting annual environmental and social performance audit (including audit of implementation of EMPs, CRMPs, RAPs and ARAPs) that will be carried out by a third party. The third-party annual environmental and social performance audits will be conducted on the ULGs UPSNP project to evaluate the overall implementation of the ESMF and the Project. The annual environmental and social performance audits will be considered to be the principal source of information to Project management for improving performance, and to Bank supervision missions. It is expected that these reviews will be carried out by an independent local consultant or other service provider that is not otherwise involved in the Project. The purpose of the reviews is two- fold:  to assess compliance with ESMF procedures, learn lessons, and improve future ESMF performance; and  to assess the occurrence of, and potential for, cumulative impacts due to Project- funded and other development activities. Page 71 Format for Annual Environmental Report is appended in Annex C. Fig 6: Diagram showing the ESMF process flow Screening Full/Partial Environmental and social impact assessment Objective: ULG’s UPSNP/PFU carryout initial screening process using Screening Form. Objective: Ensure that environmental and Identify appropriate mitigation measures and social impacts have been analyzed and include in project design. Categorize the appropriate mitigation measures designed. subprojects on the bases of magnitude of Actions: Carry out a full or partial ESIA anticipated impacts. for ULG LIPW considered Category A or B Actions: Ensure that environmental and social (as per Schedule 1 or 2 of the relevant issues are considered during preparation and Ethiopian law), the ESIA will identify prioritization of LIPW plans by using UPSNP impacts and design appropriate mitigation screening form (see to Annex A) measures Note: The results of the Screening Report – whether full/partial ESIA, CRMP or RAP are required. Implementation and Supervision Review and Approval - Undertake site visits to ensure that Objective: Review the EIAs and ensure that environmental criteria and mitigation appropriate mitigation measures have been measures, as required by EMP, have been incorporated incorporated into ULG LIPWs projects. Actions: Once an ULG LIPWs subproject has - Require changes to ULG LIPWs project been screened and any necessary design and/or implementation if environmental assessment has been unforeseen impacts occur. completed, the ULG LIPW subproject can be approved if it meets environmental viability criteria. Approval may be also be denied if the environmental assessment recommendations are not satisfactorily incorporated into project design. Page 72 Annual Environmental Report - Site visits during ULG construction works Annual Review project execution and operation to assess how environmental screening and Third-party annual environmental and social mitigation measures are succeeding or audits to evaluate the overall implementation have succeeded in minimizing impacts. of the ESMF and the Project. - Determine if changes are needed to improve environmental assessment process - Meet with community representatives to gather feedback - Submit an annual environmental report to BIUDs by each ULG and consolidated by BIUDs as regional reports for submission to the Regional EPA and the World Bank. - 4.5 SUB-PROJECTS REQUIRING A SPECIAL PROCEDURE AND GUIDELINES 4.5.1 Projects involving Asset Acquisition or Loss of Access to Assets It may appear that a subproject might involve involuntary loss of assets or access to assets. The World Bank’s policy on involuntary resettlement (OP 4.12) applies to all land acquisition and any changes in access to resources due to a subproject. The policy aims to avoid involuntary resettlement to the extent feasible, or to minimize and mitigate its adverse social and economic impacts. This policy covers not only physical relocation but any loss of land or other assets resulting in: (i) relocation or loss of shelter: (ii) loss of assets or access to assets; (iii) loss of income sources or means of livelihood, whether or not the affected people must move to another location. This policy also applies to the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. The policy prescribes compensation and other resettlement measures to Page 73 achieve its objectives and requires that borrowers prepare adequate resettlement planning instruments prior to Bank appraisal of proposed projects. In the event that there are differences between national legislation and OP 4.12, the provision of the later will prevail during project implementation. 4.5.2 Projects Involving Physical Cultural Resources Management If there is a possibility that subproject construction or other activities may result in damage to cultural property, procedures for avoiding such damages should be followed. It is important that the EIA identify the specific procedures for addressing impacts on cultural property of a given subproject. The measures will need to be integrated into the EMP to address the issues of avoiding damage to cultural properties. The plan in the EMP should be consistent with Proclamation No 209/2000 on Research and Conservation of Cultural Heritage, the World Bank OP 4.11 for Cultural Property, and should take into account institutional capabilities relating to the management and preservation of physical cultural resources. The procedures to avoid damage to cultural property would include:  Consultations with the appropriate authorities and local inhabitants to identify known or possible sites during subproject planning;  Relocating of subprojects to avoid identified sites; and  Construction procedure for dealing with “chance finds”. This procedure includes cessation of work until the significance of a “find” has been determined by the appropriate authorities and local inhabitants, and until fitting treatment of the site has been determined and carried out. 4.5.3 Solid Waste Management Action Plans Solid Waste Management Proclamation No. 513/2007 states (Article 5.1) that Urban Administrations shall ensure the participation of the lowest administrative levels and their respective local communities in designing and implementing their respective solid waste management plans. In Article 5.1 each Region or urban administration shall set its own schedule and, based on that, prepare its solid waste management plan and report of implementation. Further information on preparation and implementation of solid waste management plans may be obtained from the Regional Environmental Protection Authorities and MoEF. Page 74 4.5.4 Medical Waste Management It is critical that a medical waste management plan is prepared for each sub-projects financed under the UPNSP which include the construction or rehabilitation of health facilities (irrespective of their size). Therefore project proposals involving the building of health posts should include provisions for the safe management of medical wastes. The following guidance is provided to address medical waste issues during implementation of the UPSNP. A Waste Management Guide for Health Clinics and market places has been prepared by Government and disclosed. To assist subproject design and operations; a preliminary environmental audit of clinic rehabilitation proposals will be undertaken by a qualified professional. All proposals will be required to prepare a Waste Management Plan following approval of the project by City Council and before implementation. This plan will be based on the Waste Management Guide. The Medical Waste Management Plan shall address: the quantity and quality of wastes generated, the available disposal and treatment options at the site, methods to segregate medical waste from general waste, internal rules for waste handling, collection and storage. The health facilities are responsible for its waste management. 5 GUIDELINES ON IMPACT MITIGATION AND MONITORING This chapter describes the potential environmental and social benefits and impacts of the UPSNP LIPW subprojects and outlines the measures that will be implemented as part of the UPSNP ESMF to address adverse potential impacts. 5.1 OVERALL SOCIAL AND ENVIRONMENTAL BENEFITS AND IMPACTS The infrastructure and service projects to be implemented by urban local governments are likely to deliver significant social benefits, provided that they are planned in an inclusive manner, and they are designed to ensure a distribution of benefits to vulnerable groups including the old, youth, women, and the urban poor. There is a need to ensure that projects are planned, constructed and operated in a manner which maximizes benefits. In particular, this should take cognizance of the urban poor and vulnerable groups as mentioned above, and ensure their participation in ongoing consultation and targeting throughout the design and implementation of ULG LIPW projects. In some cases, there may be risks of the permanent or economic displacement of people, requiring preparation and implementation of RAP. Page 75 The potential environmental benefits of the LIPW subprojects may depend on the type, nature and location of the subproject. 5.2 SOCIAL BENEFITS OF UPSNP LIPW SUBPROJECTS A. Employment The very nature and design of the UPSNP LIPWs subprojects is that it provides transitional employment to the urban poor. LIPW subproject such as road construction and maintenance, construction of community markets and production sheds, green infrastructure e.t.c. will have short term positive impacts on the socio-economic environment as they provide transitional employment for labourers and provide increased income. In the long term, the improved road conditions, newly developed market and production sheds, green infrastructures, health posts e.t.c will provide increased access to social services, markets and production platforms which can improve the overall employment situation. Specific socio-economic benefits include:  Demand for skilled and unskilled labour;  Increase in income for local communities; and  Indirect employment opportunities from provision of services to construction workers, such as sale of food and beverages. NOTE: The UPSNP LIPWs subprojects will include a substantial component, in each implementing ULG, of labour intensive construction works such as cobblestone roads, open drains, urban greening and beautification as well as urban agriculture, etc which has similar potential for creating employment in the short term and creating access to social services and markets in the long term. B. Improvement of environmental health A wide range of diseases can be caused by poor environmental sanitation caused by inadequate collection and disposal of solid and liquid wastes within an urban setting. Children may in particular suffer from serious health problems as a result of diseases caused by poor sanitary practices. Therefore, any improvements in the collection and Page 76 disposal of solid and liquid wastes will positively contribute towards improving environmental health of the communities in the cities. C. Improved access to basic health services Construction of health posts can significantly improve peoples’ lives by expanding the access to basic health services. It will help reduce child mortality and improve general community health levels of the community by increasing awareness of the community on hygiene, sanitation and other basic maternity issues. This in turn increases productivity and opportunities for social development and overall community health improvement. D. Enhancing the productive potential of mothers and welfare of the vulnerable The expansion of day care centres in the ULGs will provide opportunities for nursing mothers to go back and engage on their work by providing assistance in sharing their child care responsibilities at home. As a result the implementation of the day care centres will have a positive impact in realizing and enhancing the productive potential of mothers and the welfare of the vulnerable group such as the elderly. E. Improving the aesthetic appeal of cities Implementation of urban greening infrastructure subprojects coupled with improvements on solid and liquid waste collection and disposal will improve the attraction and beauty of the urban places. Thus it is anticipated that the urban greening infrastructure subprojects will positively contribute to the aesthetic beauty of the towns in aggregate. F. Improvement in food security of the urban poor The implementation of urban agriculture subprojects will have the effect of expanding the base sources of food items such as vegetables, chickens, and mushrooms e.t.c. This in turn will have the effect of providing alternative food source for the producing urban poor and may supply to the town markets to some extent. The aggregate impact of expanding urban agriculture subprojects is that it will immensely contribute to the food security of the urban poor. Page 77 G. Improved transportation, resulting in improved access to markets and social support networks Socio-economic benefits provided by road rehabilitation and construction subprojects of the LIPWs include all-weather road reliability, reduced transportation costs, increased access to markets for local produce and products, increased investment in real estate development, industry and commerce, better access to health care and other social services. In the long term, this will have a positive benefit to local economic development. H. Avoidance of damaging floods in urban areas Urban sanitation and drainage subprojects have the potential of minimizing flooding impacts in towns. Floods can have devastating social and economic consequences, limiting communities in terms of access, sustainable production and income streams. Addressing the problem of floods through drainage and sanitation infrastructure improvements can have a significant impact on livelihoods, sustainability and productivity. I. Multiplier effects of providing integrated infrastructure and services Provision of integrated urban infrastructure services make available serviced land for construction of residential, commercial and industrial – including MSE – facilities by governmental authorities as well as communities, NGOs, real estate developers, private individuals, cooperatives, etc. The potential multiplier economic effects are considerable in a broad range of examples from employment generation, productive investment in MSEs, industry and services, to the generation of increased ULG revenues. 5.3 ADVERSE ENVIRONMENTAL IMPACTS The following are the potential adverse environmental impacts that can be envisaged of UPSNP-financed subprojects. Further details are provided in the guidelines in Annex D: Environmental and Social Impact Mitigation and Monitoring Checklist. A. Land take for infrastructure sites and gathering of construction materials The construction of urban infrastructures such as roads, market and production sheds, sanitation facilities, health posts, e.t.c necessarily require land and may displace people from their work places. It is unlikely, but nonetheless possible, that the small-scale construction projects (labour intensive cobble streets, for instance) will result in any Page 78 displacement. In addition, the sourcing of construction materials (gravel, sand etc) from borrow pits and quarry sites in the rural areas adjoining the towns can also result in the complete removal of vegetation. Therefore, in addition to the displacement of people, urban infrastructure projects may result in the loss of vegetation. The exact location of the subproject and the management of the sourcing of construction materials are the key issues here. B. Impacts of waste collection and disposal (Liquid and Solid wastes) Waste collection and disposal activities can create adverse impacts if the whole chain of operations are not interlinked and connected. MSEs engaged in primary (door to door) solid waste collection may be able to collect and haul the waste up to the transfer stations (if it exists) or the waste skips found nearby. If the operation of hauling the waste stream from the transfer stations or from the waste skips is not well coordinated, it will become a source of adverse environmental and public health impacts. In a similar way if the disposal of liquid wastes is not coordinated with the town waste disposal and treatment facilities, it may cause adverse impacts to the environment and public health. C. Impacts on Public Health (water-borne, communicable and vector-borne diseases) Urban sanitation subprojects such as construction and operation of drainage lines can become an issue of public health concern when it is not functioning properly. The excavation of trenches for drainage and sewerage lines (i.e. secondary or tertiary level) may form stagnant water ponds and these ponds can be the source of health risks to the local people by serving as a favorable breeding site for mosquito and other communicable waterborne disease causing parasites. Many of the participating cities found in Kola and Woina Dega climatic zone are susceptible to malaria and hence it is important that these subprojects are accompanied by education for improved sanitation and hygiene. If drainages and sewer lines are not properly covered by concrete slabs or other materials, it can also be a cause for physical damage for both humans and domestic animals. A well designed and maintained drainage line has the capacity of removing runoff waters from the residential areas before it stagnates. Under such circumstances the sanitation and drainage lines subproject will have a significant positive potential impact on public health by minimizing the spread of malaria in the localities. Page 79 D. Damage to cultural heritage during construction operations Cultural or archaeological heritage may be damaged or lost during excavations and ensuing construction. In addition, findings of archaeological heritage during excavations will be at risk of loss, unless due measures are taken to protect and save this heritage. E. Depletion and pollution of surface-and ground-water resources Drainage systems in urban areas to divert flood water could have a significant adverse environmental impact on water courses, resulting in pollution with solid waste debris, wastewater, and silt, and thereby a significant reduction in the human and ecological value of the water course. Water will be required for construction purposes, placing greater demand on both surface and groundwater resources. Over-extraction of groundwater is a concern. F. Disposal of solid wastes from LIPW subproject operations During operational phases of LIPW subprojects such as day care centres, community markets, production sheds e.t.c it is likely that a stream of solid waste will be generated. A proper solid waste management practices should be put in place to avoid the associated adverse environmental and public health impacts that may arise from the operation of such community facilities. Such waste management practices will involve integrating the community facilities with the waste collection services and schemes available in the cities or devising for sound waste collection and disposal mechanisms in its absence. G. Disposal of medical waste from health posts If medical wastes from health posts are not disposed of properly, it can cause health problems for the surrounding communities in terms of contamination of soil and surface waters. In addition, if the health post facility is not properly fenced, there is a risk of children accessing the area and having access to the medical waste. H. Deforestation and over-exploitation of natural resources Timber and poles will be used in construction, placing greater pressure on forest resources, unless they are procured from sustainable sources. Page 80 I. Safety of road travel During UPSNP LIPW works, increased construction activity along the access roads coupled with vehicular movement can be dangerous and cause accidents. In addition to this, roads that are not designed or constructed to strict engineering standards can be very difficult and problematic, particularly when there are heavy rains and in dense settlements. 5.4 CUMULATIVE IMPACTS OF THE PROJECT UPSNP LIPW projects may individually have insignificant adverse environmental impacts. However, several projects in combination, or in combination with other government or private sector activities, could have a larger, more significant cumulative impact. This is particularly likely to be the case for:  Deforestation due to the exploitation of forest resources, owing to the use of timber and poles for construction, combined with greater access to forests;  Groundwater depletion owing to the demand for water for construction;  Surface water depletion, owing to the generation and disposal of solid and liquid waste streams. In addition, resettlement due to the acquisition of land for urban infrastructure projects may combine with induced migration of people (for labour, services etc) to place greater pressure on natural resources in particular areas. The avoidance and mitigation of cumulative impacts requires: avoidance and mitigation of the impacts of individual projects; careful planning, based on sound technical knowledge of the location, size, and material requirements of infrastructural projects, within the ULG and regional planning cycles. Page 81 6 TRAINING AND CAPACITY BUILDING 6.1 INSTITUTIONAL CAPACITY ASSESSMENT The institutions responsible for implementing the various components and subcomponents of the UPSNP project are outlined in chapter 3. Clearly the implementation arrangement of the UPSNP depends on all the sector offices found at the various levels (Federal, Regional and ULG levels) for they are involved directly as implementers of the LIPWs subcomponent (e.g. SNCC, Mayor office, PFU, technical committees) and indirectly as members of the project management committees (e.g. as steering committee, Joint Project Coordination and management committee, PCU). On the other side, the role of the environmental regulatory agencies in implementing the UPSNP ESMF and RPF is unavoidably important. Therefore, it is necessary that a sound understanding and dependable level of capacity exists in these institutions that would enable the implementation of the present ESMF and RPF. From this perspective, the following observations were made regarding the existing capacities in the institutions during the consultations carried out with the ULGs found in different regions: a. MUDHCo, BIUD’s and the ULGs that were taking part in ULGDP I and/or II program appears to have an experience and basic capacity on handling and implementing the National and World bank requirements and associated procedures outlined in the ESMF and RPF. The ULGs in the emerging regions that were not taking part in ULGDP I need to be enlightened with the principles, procedures, and requirements of the ESMF and RPF including the different roles and responsibilities of the various institutions involved in its implementation. b. The UPSNP implementing agencies such as BoLSA, BoMSED, BoWCYA and others found at regional and ULG level appears to be new for the ESMF/RPF process and have neither the experience nor the capacity to become conversant and to facilitate implementation of the associated procedures outlined in the ESMF and RPF. The option of advancing the scope of the Labour and Occupational Health Safety Core process of BoLSA to look at environmental aspects of the LIPW subprojects where appropriate by introducing additional capacity building was also raised. Page 82 c. The Regional Environmental Protection Authorities (REPA) appears to have the institutional standing necessary to play their role as regulatory bodies. This means that the regional governments have already established their EPAs with departments responsible for environmental impact assessment reviews instituted. Most of them have also ratified the regional versions of the basic environmental laws such as the Environmental Impact Assessment, Pollution Control and other laws (see table 6 under section 4.4.3). Those regions where the World Bank funded projects such as ULGDP I has been implemented (e.g. Tigray, Amhara, Oromia, SNNPR e.t.c) have acquired a certain level of experiences in reviewing the required environmental and social management reports such as screening, ESIA, RAP e.t.c. However, those Regional EPAs in the emerging regions such as Gambella, Afar, and Benishangul Gumuz are only learning to be acquainted with the ESMF/RPF procedures. Moreover, there is also inadequate capacity in the area of conducting rigorous reviews of the screening, EIA and RAP reports, conducting environmental monitoring and inspection on subproject EMP implementations, and in obtaining transport and related logistical resources to discharge their regulatory responsibilities in full in most of the REPAs. d. Concerns were expressed during the consultations that the level and continuity of community participation and consultations on development project planning and implementation will need to be enhanced and the participation of women members should be encouraged. Capacity building to enhance community participation were sought for in the areas of project prioritization, environmental issues, and roles of public participation in project life cycle, e.t.c. e. Many of the sector offices in the ULGs emphasized on the need of additional manpower to staff the project implementation activities expected of them. The ULGs reiterate that the option of assigning experts to work on the project in addition to their regular duties may not leave them with sufficient time for the project. This involves the situation of staffing PFU with environment and social focal person. Moreover, there is also inadequate capacity in the area of providing office furniture, stationeries, IT facilities such as computers and laptops, MIS Page 83 (Information management systems) and in obtaining transport and related logistical resources to discharge their responsibilities in the UPSNP project in full. Therefore, there is going to be a need to fill in the capacity gaps identified to exist in the above stated areas for all the institution involved in the UPSNP LIPWs ESMF and RPF implementation. 6.2 TRAINING REQUIREMENTS One of the capacity building areas sought for by the ULGs and different stakeholders involved in the implementation of the UPSNP LIPW projects is the provision of training. The training to be offered will address different target groups which will have a role in implementing the ESMF and RPF at various levels. These include the high level project coordination and management groups, (such as members of steering committees, SNCC, Mayors and other decision makers), sector offices and the technical committees for each sub component (e.g. BOLSA, BIUD, BWYC, BMSED, PFU), the beneficiary community, and the REPAs. As a result, the type of trainings necessary to these various target groups will vary and is briefly outlined as the followings: a. Sensitization The beneficiary communities at the grass root level will need to be sensitized about the overall objectives of the UPSNP project including the LIPWs subcomponent, environmental sustainability and the need to consider environmental concerns in sub- project selection and prioritization, as well as the role of public participation in the implementation of the UPSNP program. b. Awareness raising General training and awareness/sensitization for MUDHCo/UGCBB, Regional BIUD, BOLSA, BMSEDA, REPA and ULG executives and staff on. Awareness raising workshops are necessary to conduct immediately after launching the project and as the need arise at later stages. The awareness raising workshops and trainings should target the higher officials, UPSNP program management and coordination organs including the technical committees to be established from Federal to Region and ULG Page 84 levels. The awareness raising should focus on clarifying UPSNP LIPW program objectives, its institutional arrangements for implementation, coordination, its work flow to the lower level of the administrative strata at the ULGs and so on. This is important to clarify the roles and responsibilities of each stakeholder based on established guidelines such as the ESMF and RPF. The awareness raising workshop will also be an important venue to introduce the contents of ESMF and RPF procedures and associated implementation requirements of the World Bank and the GoE. c. Technical training on ESMF and RPF This detailed training will mainly focus on the technical staffs that will be involved in directly applying the ESMF and RPF procedures. It includes the experts in PCU, PFU, member of technical committees, professionals of sector bureaus involved, the REPAs and e.t.c. The training will focus in explaining the details of the national and World Bank environmental requirements and the procedures that need to be fulfilled to comply with it. Implementation of the ESMF and RPF including all aspects of environmental management, EIA, public consultation, and integration of environmental management into development planning will be the centre topics for the training. The training would also cover skills upgrading refreshment topics such as, environmental and social screening and categorization processes, EIA review and quality assurance, environmental audits, environmental guidelines, targeting of urban poor and others as necessary. The training can be offered to the target groups at regional, city, zonal or woreda level as it applies with the expansion of the UPSNP project coverage areas. Page 85 Community Leaders/ Table 9 : Training Requirements for Various Groups of High Level Project Participants Management and Technical Team coordination Environment beneficiaries CPU, PFU, Authorities Members Regional Linkages between environmental, social and natural A T T S resource management and sustainable rural livelihoods National/Regional EIA legislation and relevant World Bank A T T S Safeguard environmental policies Potential localized impacts of subprojects and suitable A T T S mitigation measures Addressing land acquisition and access to resources A T T S through resettlement planning and compensation Use of the ESMF, its procedures, resources and forms A T T A Methods of community involvement A T T A Cumulative impacts assessment A T T A Potential environmental and social subprojects A S T A Legend: T = Detailed training, S = Sensitisation to the issues, A = Awareness-raising 6.2.1 Proposed Environmental Management Topics The ESMF, RPF and Operational manuals of the UPSNP are important tools that provide guidance on how to incorporate mitigation measures and to minimize adverse effects of sub-projects. The capacity building efforts for the ULGs PFU, Technical Committees to be involved in undertaking and in-house reviewing of EIA/PEIA of LIPWs projects should take place in conjunction with dissemination of these materials. These documents will serve to guide the selection of sub-projects, and will be essential in managing potential environmental effects at early stages of the project life-cycle. The ULG staff involved and the regional monitoring and evaluation coordinators will receive training based on these materials. Training materials will be kept under constant review and revision by the MUDHCo PCU and the LIPW PFUs, including enhancing of the communication aspects. The training includes: Page 86  Introduction to Environmental and Social Management Framework. This section will introduce participants to the theory and application of ESMF as a decision making tool. It will outline the principles of ESMF and provide clear definitions on EMP practice terminology (e.g. screening and scoping, impacts [negative, positive, cumulative] natural resource base (water, soil, land, biodiversity, air, etc.), social baseline (employment, social, health, literacy etc.) and mitigation and monitoring. It will also provide guidance on the criteria required for the development of an effective ESMP in practice.  Ethiopian Environmental Legislation. This section will discuss the application of Ethiopian legislation in terms of the relevant environmental and social laws and policies which apply to activities under the program.  Screening of ULG LIPWs subprojects. A list of potential activities to be financed under the projects will be discussed. Application of the screening checklist will be explained using case studies.  Impact Identification. Potential impacts related to various types of activities will be discussed, in terms of their significance (adverse or minimal, positive or negative), magnitude (long term versus short term), and impact category (localized or cumulative).  Mitigation measures and Implementation Monitoring as they apply to various types of LIPWs activities will be discussed, in terms of their application, cost and feasibility. The importance of Monitoring measures will also be discussed to measure the effectiveness of mitigation plans and to monitor performance.  Responsibilities for Planning and Reporting For each target audience, responsibilities for environmental and social management will be discussed as they relate to UPSNP LIPWs implementation. This will include responsibilities for planning, management of impacts and mitigation measures, monitoring, partnerships with NGOs and technical service providers, and the reporting of outcomes achieved in implementing the mitigations as well as monitoring plans.  World Bank Safeguards Policies. Detailed application of the safeguard policies on Environmental Assessment OP/BP 4.01, Involuntary Resettlement OP 4.12, and Cultural Property (OP 4.11). Page 87 Integrating environmental and social considerations into development planning will encompass defining processes, procedures and responsibilities for environment related activities and actions into the preparation of the ULG UPSNP annual development plans and budgets. Thus there will be a need to carry out Environmental awareness and outreach programs for ULG officials and local communities on sustainable development and environmental management principles and ESMF procedures. In order to facilitate the environmental management of medical wastes associated with rehabilitation of health posts, a Medical Waste Management Guide for Health Centres was produced by Government and disclosed. Training on this guideline could be important. Training to ULG PFU, technical committees, environmental officers, and line agency staff at the ULG level (i.e. Small and Micro Enterprise Agency officers, Labour and social affairs officers, Women, youth and children affair office representatives, e.t.c) on issues of environmental and social considerations, is required in the form of a phased training. This general training program will be developed as a training module based on UPSNP ESMF and RPF, safeguard guideline and checklists. 6.3 TECHNICAL AND FINANCIAL ASSISTANCE Owing to the expressed shortages of manpower to staff the UPSNP project implementation organs such as the PCU, PFU, technical committees e.t.c who will run the UPSNP LIPW project on daily basis, a provision of technical assistance by way of providing skilled manpower support for a period of time or devising a financial mechanism to incentivise the relevant staff’s to work on fulltime basis on the project will be necessary. Moreover, the provision of the following assistance will be important for the ULGs: a) Technical and financial assistance to each participating Urban Local Government to secure local consultancy services to carry out, where the ULG does not have internal capacity or this cannot be provided by the Regional BIUD, to:  Produce a Screening Report, an EIA TOR, an Environmental Impact Assessment, Environmental Management Plan, Cultural Resources Management Plan or full/abbreviated Resettlement Action Plan; and  Establish and support operation of systems for monitoring and reporting on EIA, EMP, CRMP and RAP implementation. Page 88 b) Appointment of UPSNP Environmental and Social Specialists in MUDHCo/UGCBB responsible for overall ESMF & RPF implementation at Federal level and an environmental and social focal person in the PFU at ULG level. MUDHCo will not need to carry out a consultative assessment exercise to determine the existing capacity/capability and the support requirements for each of the participating ULGs in terms of their ability to successfully accomplish environmental requirement because MUDHCO has the good experience in the application of the requirement of the Environmental and Social Management Frame work in exercising ULGDP I and II. 6.4 APPOINTING UPSNP LIPW ENVIRONMENTAL AND SOCIAL SPECIALIST TO MUDHCO It is important that an Environmental and Social Specialist be part of the UGGCBB/MUDHCo PCU to provide overall support to the ULGs in supervising the implementation of the ESMF and RPF guidelines and coordinating with the relevant stakeholders involved in the Project. In a similar manner an environmental and social safeguard experts need to be recruited and deployed in the PFUs of each city. The Environmental and Social Specialists at Federal and City levels will contribute to the objectives of the Project which include:  The preparation, together with the implementing entities, of annual work programs and budgets to fulfil ESMF requirements of subprojects;  Monitoring project progress as it relates to compliance with the ESMF guidelines, resolving implementation bottlenecks, and ensuring overall that project implementation proceeds smoothly;  Collecting and managing information relevant to the subproject environmental management works (i.e. environmental monitoring and audit reports – of EMPs, CRMPs, RAPs and ARAPs); and  Ensuring that the implementing bodies are supported adequately and that they adhere to the principles of the project, specific to compliance with ESMF guidelines. Page 89 The Environmental and social Specialists should be hired on a fulltime basis and will be member of the PCU and PFU at Federal and City levels respectively that report to the UGGCBB and SNEEC which are responsible for execution of the Project on a daily basis. 6.5 TERMS OF REFERENCE FOR UPSNP ENVIRONMENTAL AND SOCIAL SPECIALIST OBJECTIVE: To provide technical advice on environmental management and mitigation, and ensure that the UPSNP ESMF is fully implemented. TASKS  Establish the system of screening forms and EIA set out in this ESMF, and oversee their smooth operation including advice to ULGs on the procurement of consultants for any required EIA or RAP studies;  Liaise with the Ethiopian EPA on a regular basis;  Commission an independent consulting firm to carry out an environmental performance audit of UPSNP, on an annual basis;  Provide specific technical advice on mitigation measures for labour intensive projects;  Provide technical advice to ULGs on all technical issues related to natural resources and environmental management. These issues will relate to impacts on surface water, groundwater, agricultural resources and vegetation, sourcing of materials used in construction, human health, ecology and protected areas, land and soil degradation;  Raise awareness and proactively create demand for this technical advice among ULG officers;  Liaise with the BUDCs and ULGs to ensure the project’s compliance with the RPF and all resettlement aspects of the project;  Be responsible for collating information related to the RPF and resettlement;  Be involved in preparing a country specific entitlement matrix under the UPSNP;  Undertake review of RAPs to ensure compliance with the RPF; and  Lead the delivery of capacity building programs on Environmental management for ULG officers. Page 90 7 MONITORING OF ESMF IMPLEMENTATION Annual audit on ESMF and RPF implementation will be prepared by the MUDHCo/UGGCBB Environmental and Social Specialist and delivered to MoEF and the World Bank. In addition, any Category A project financed by UPSNP LIPWs that has been subject to an EIA study (or RAP etc) will also be required to produce an annual audit report, for delivery to REPA and the World Bank. An independently-commissioned environmental and social audit will be carried out on an annual basis. This will be conducted as part of MUDHCo’s annual audit of the UPSNP project. The audit team will report to the MUDHCo and the World Bank. An audit is necessary to indicate: a) To what extent environmental and social considerations are being incorporated into the local government planning process; b) That mitigation measures are being identified and implemented by ULGs, and c) To check that ULG investment projects are being correctly screened. The audit will be able to identify any amendments in the ESMF approach that are required to improve its effectiveness. The annual audit also provides a strong incentive for MUDHCo to ensure that the ESMF will be implemented, and individual EMPs, CRMPs and RAPs are developed and implemented for category B or Schedule 1 and 2 subprojects. The Report will include:  A summary of the environmental and social performance of the UPSNP LIPWs, based on a sample of LIPW subprojects;  A presentation of compliance and progress in the implementation of the project EMPs, CRMPs and RAPs;  A synopsis of the environmental monitoring results from individual project monitoring measures (as set out in the project EMPs, CRMPs and RAPs). The main tasks of the audit study will be:  Consideration of the description of the project;  Indicate the objective, scope and criteria of the audit; Page 91  Study all relevant environmental law and regulatory frameworks on health and safety, sustainable use of natural resources and on acceptable national and international standards;  Verify the level of compliance by the proponent with the conditions of the environmental management plan;  Evaluate the implementing agencies’ knowledge and awareness of and responsibility for the application of relevant legislation;  Review existing project documentation related to all infrastructure facilities and designs;  Examine monitoring programs, parameters and procedures in place for control and corrective actions in case of emergencies;  Examine records of incidents and accidents and the likelihood of future occurrence of the incidents and accidents;  Inspect all buildings, premises and yards in which manufacturing, testing and transportation takes place within and without the project area, as well as areas where goods are stored and disposed of and give a record of all significant environmental risks associated with such activities;  Examine and seek views on health and safety issues from the project employees, the local and other potentially affected communities; and  Prepare a list of health and environmental concerns of past and ongoing activities. Page 92 PROPOSED IMPLEMENTATION BUDGET The breakdown of estimated costs for putting the ESMF into operation is provided in Table 10. This includes the costs of providing the capacity building and training set out in Chapter 7. The total estimated costs for mainstreaming environment into the UPSNP LIPW component is USD 2,315,000, consisting of: a) USD 1,125,000 which will be included in the consultants procured to provide ESIA and RAP for UPSNP public work projects. These consultants will be responsible for the work on preparation and implementation of EIA, EMP, CRMP, RAP and ARAP objectives and activities. b) USD 15,000 for the preparation of ESMF and RPF training materials; c) USD 380,000 for delivery of ESMF and RPF training as described in Section 7.2 d) USD 270,000 for provision of an Environmental and Social expert in UGGCBB for the five years duration of the UPSNP project; e) USD 275,000 incentives for REPA to provide technical support and enhance its capacity for reviewing environmental screening, EIA, RAP, ARAP report and other similar activities. f) USD 250,000 UGGCBB/MUDHCO to undertake Environmental and Social Performance Audit The above costs will be funded from UPSNP Component 2 and 3. The UPSNP Environmental and Social Specialist will report on UPSNP ESMF expenditure. This will provide for another one way of monitoring on the extent that environmental and social issues are being addressed by the ULGs. Costs related to the required mitigation measures for UPSNP public work projects are not set out in the budgets presented here. These will be assessed and internalized by ULGs as part of the overall ULG labour intensive public work project cost. It is extremely difficult to estimate the proportion of project costs that can be expected to be devoted to mitigation measures. However, a rough rule of thumb is that they should be expected to cost between Page 93 2% and 5% of the total project cost. Compensation and resettlement costs will be borne by ULGs and Regions. Page 94 Table 10: Proposed Budget for Implementation of the UPSNP ESMF Activity YR1 YR2 YR3 YR4 YR5 TOTAL Notes Technical Assistance support for Assume lump sum USD 225,000 for preparation of ESMF & RPF preparation of 15 EIA, 15 RAP year per 225,000 225,000 225,000 225,000 225,000 1,125,000 Screening Reports, EIAs, EMPs, ( assuming that one document prepared CRMPs, RAPs, ARAPs by 7,500USD) Training supplier develops ESMF Assume lump sum USD 10,000 for 15,000 15,000 & RPF training modules development of training modules Assume 200 participants x USD 25 pd Training supplier delivers ULGDP 100,000 70,000 70,000 70,000 70,000 380,000 awareness raising courses + 100 ESMF & RPF training participants x USD 35 pd in-dept courses Assume USD 2250 (Birr 45,000 per UGCBB Envi & Social 54,000 54,000 54,000 54,000 54,000 270,000 month total including monthly wage, Management expert travel, DSA, computer, etc.) Incentives for REPA to approve environmental screening, EIA, Assume lump sum USD 5,000 allocate 55,000 55,000 55,000 55,000 55,000 275,000 RAP, ARAP report and other for one national regional state of EPA similar activities. UGCBB/MUDHCO to undertake To undertake Environmental and social Environmental and Social 50,000 50,000 50,000 50,000 50,000 250,000 performance Audit Performance Audit Total ESMF & RPF costs 499,000 454,000 454,000 454,000 454,000 2,315,000 Page 95 ANNEX A: ENVIRONMENTAL SCREENING FORM UPSNP LIPW subproject name: Location (include map/sketch): (e.g. region, district, etc) Type of activity : (e.g. new construction, rehabilitation, periodic maintenance) Estimated Cost: (Birr) Proposed Date of Works Commencement Technical Drawing and Specifications (circle Yes No Reviewed : answer): This report is to be kept short and concise. 1. Site Selection: Yes/No answers and bullet lists preferred except Physical data: where descriptive detail is essential. Site area in ha Extension of or changes to existing alignment Any existing property to transfer to project Any plans for new construction Refer to project application for this information. 2. Impact identification and classification: 2.1 Site selection When considering the location of a City administration labour intensive public work subproject, rate the sensitivity of the proposed site in the following table according to the given criteria. Higher ratings do not necessarily mean that a site is unsuitable. They do Page 96 indicate a real risk of causing undesirable adverse environmental and social effects, and that more substantial environmental and/or social planning may be required to adequately avoid, mitigate or manage potential effects. The following table should be used as a reference. Site Sensitivity Issues Low Medium High Rating Natural habitats No natural habitats present No critical natural habitats; Critical natural habitats of any kind other natural habitats occur present Water quality Water flows exceed any Medium intensity of water Intensive water use; multiple and water existing demand; low intensity use; multiple water users; water users; potential for resource of water use; potential water water quality issues are conflicts is high; water availability and use conflicts expected to be important quality issues are important use low; no potential water quality issues Natural hazards Flat terrain; no potential Medium slopes; some Mountainous terrain; steep vulnerability, stability/erosion problems; no erosion potential; medium slopes; unstable soils; high floods, soil known volcanic/seismic/ flood risks from volcanic/ erosion potential; volcanic, stability/ erosion risks seismic/ flood/ hurricanes seismic or flood risks Cultural No known or suspected Suspected cultural heritage Known heritage sites in property cultural heritage sites sites; known heritage sites project area in broader area of influence Involuntary Low population density; Medium population High population density; resettlement dispersed population; legal density; mixed ownership major towns and villages; tenure is well-defined; well- and land tenure; well- low-income families and/or defined water rights defined water rights. illegal ownership of land; communal properties; unclear water rights. Page 97 3. Checklist of impacts identification and classification Roads (Construction and Maintenance) Impacts during construction, operation and Potential for Adverse Impacts decommissioning phases None Low Med High Unknown Soil erosion or flooding concerns (e.g., due to highly erodable soils or steep gradients) Number of stream crossings or disturbances Wet season excavation? Creation of quarry sites or borrow pits? Significant vegetation removal? Be located within or nearby environmentally sensitive areas (e.g. intact natural forests, wetlands, e.t.c)? Wildlife habitats or populations disturbed? Environmentally sensitive areas disturbed Require that land (public or private) be acquired (temporarily or permanently) for its development? Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing locations, forest)? Displace individuals, families or businesses? Result in temporary or permanent loss of crops, fruit trees or household infrastructure such as granaries, outside toilets and kitchens? Result in involuntary restriction of access by people to legally designate parks and protected areas? Disturbance of economic activities leading to loss of property or income? New settlement pressures created? Cultural or religious sites disturbed? Cause poor water drainage and increase the risk of water-related diseases such as malaria or bilharzias? Page 98 Cause air pollution? (Dust, e.t.c) Aesthetic disruption to the surrounding areas? Other (specify): Page 99 Urban Sanitation (Liquid Waste) Impacts during construction, operation and Potential for Adverse Impacts decommissioning phases. None Low Med High Unknown Wet season excavation? Significant vegetation removal? Be located within or nearby environmentally sensitive areas (e.g. intact natural forests, wetlands, e.t.c)? Wildlife habitats or populations disturbed? Environmentally sensitive areas disturbed? Require that land (public or private) be acquired (temporarily or permanently) for its development? Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing locations, forest)? Displace individuals, families or businesses? Result in temporary or permanent loss of crops, fruit trees or household infrastructure such as granaries, outside toilets and kitchens? Result in involuntary restriction of access by people to legally designate parks and protected areas? Disturbance of economic activities leading to loss of property or income? New settlement pressures created? Cultural or religious sites disturbed? Risk of causing the contamination of drinking water? Cause poor water drainage and increase the risk of water-related diseases such as malaria or bilharzias? Produce, or increase the production of liquid wastes (e.g. sewage wastewater, and domestic or construction wastes)? Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), or groundwater (e.g. wells)? Page 100 Result in the production of solid or liquid waste, or result in an increase in waste production, during construction or operation? Cause air pollution? (Dust, e.t.c) Aesthetic disruption to the surrounding areas? Create a risk of increasing soil salinity? Increased number of toilet users due to improvement? Increased social tension/conflict over toilet allocation Other (specify): Page 101 Health posts Impacts during construction, operation and Potential for Adverse Impacts decommissioning phases. None Low Med High Unknown Wet season excavation? Significant vegetation removal? Be located within or nearby environmentally sensitive areas (e.g. intact natural forests, wetlands, e.t.c)? Wildlife habitats or populations disturbed? Environmentally sensitive areas disturbed? Require that land (public or private) be acquired (temporarily or permanently) for its development? Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing locations, forest)? Displace individuals, families or businesses? Result in temporary or permanent loss of crops, fruit trees or household infrastructure such as granaries, outside toilets and kitchens? Result in involuntary restriction of access by people to legally designate parks and protected areas? Disturbance of economic activities leading to loss of property or income? New settlement pressures created? Cultural or religious sites disturbed? Risk of causing the contamination of drinking water? Produce, or increase the production of, solid or liquid wastes (e.g. sewage wastewater, medical, and domestic or construction wastes)? Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), or groundwater (e.g. wells)? Result in the production of solid or liquid waste, or result in an increase in waste production, during construction or operation? Page 102 Cause air pollution? (Dust, e.t.c) Aesthetic disruption to the surrounding areas? Other (specify): Page 103 Solid Waste Management Potential for Adverse Impacts (Only collection of solid wastes). No Low Med High Unknown ne Number of stream crossings or disturbances Wet season excavation? Significant vegetation removal? Be located within or nearby environmentally sensitive areas (e.g. residential & work areas , intact natural forests, wetlands, e.t.c)? Wildlife habitats or populations disturbed? Environmentally sensitive areas disturbed? Require that land (public or private) be acquired (temporarily or permanently) for its development? Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing locations, forest)? Displace individuals, families or businesses? Result in temporary or permanent loss of crops, fruit trees or household infrastructure such as granaries, outside toilets and kitchens? Result in involuntary restriction of access by people to legally designate parks and protected areas? Disturbance of economic activities leading to loss of property or income? Cultural or religious sites disturbed? Risk of causing the contamination of drinking water? Cause poor water drainage and increase the risk of water-related diseases such as malaria or bilharzias? Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), or groundwater (e.g. wells)? Cause air pollution? (Dust, e.t.c) Aesthetic disruption to the surrounding areas? Create a risk of increasing soil salinity? Other (specify): Page 104 Public works that increase the productivity of urban work (Markets & Sheds) Potential for Adverse Impacts Impacts during construction, operation and decommissioning phases. None Low Med High Unknown Soil erosion or flooding concerns (e.g., due to highly erodable soils or steep gradients) Wet season excavation? Creation of quarry sites or borrow pits? Significant vegetation removal? Harvest or exploit a significant amount of natural resources such as trees, fuel wood or water? Be located within or nearby environmentally sensitive areas (e.g. residential & work areas, intact natural forests, wetlands, e.t.c)? Wildlife habitats or populations disturbed? Environmentally sensitive areas disturbed? Require that land (public or private) be acquired (temporarily or permanently) for its development? Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing locations, forest)? Displace individuals, families or businesses? Result in temporary or permanent loss of crops, fruit trees or household infrastructure such as granaries, outside toilets and kitchens? Result in involuntary restriction of access by people to legally designate parks and protected areas? Disturbance of economic activities leading to loss of property or income? Cultural or religious sites disturbed? Risk of causing the contamination of drinking water? Cause poor water drainage and increase the risk of water-related diseases such as malaria or Page 105 bilharzias? Produce, or increase the production of, solid or liquid wastes (e.g. sewage wastewater, medical, and domestic or construction wastes)? Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), or groundwater (e.g. wells)? Result in the production of solid or liquid waste, or result in an increase in waste production, during construction or operation? Cause air pollution? (Dust, e.t.c) Aesthetic disruption to the surrounding areas? Create a risk of increasing soil salinity? Increased number of toilet users due to improvement? Increased social tension/conflict over toilet allocation Other (specify): Page 106 Day care centers Impacts during construction, operation and Potential for Adverse Impacts decommissioning phases. None Low Med High Unknown Harvest or exploit a significant amount of natural resources such as trees, fuel wood or water? Be located within or nearby environmentally sensitive areas (e.g. intact natural forests, wetlands, e.t.c)? Environmentally sensitive areas disturbed? Require that land (public or private) be acquired (temporarily or permanently) for its development? Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing locations, forest)? Displace individuals, families or businesses? Result in temporary or permanent loss of crops, fruit trees or household infrastructure such as granaries, outside toilets and kitchens? Result in involuntary restriction of access by people to legally designate parks and protected areas? Disturbance of economic activities leading to loss of property or income? Cultural or religious sites disturbed? Cause poor water drainage and increase the risk of water-related diseases such as malaria or bilharzias? Produce, or increase the production of, solid or liquid wastes (e.g. sewage wastewater, medical, and domestic or construction wastes)? Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), or groundwater (e.g. wells)? Result in the production of solid or liquid waste, or result in an increase in waste production, during construction or operation? Cause air pollution? (Dust, e.t.c) Other (specify): Page 107 Green Infrastructure Impacts during construction, operation and Potential for Adverse Impacts decommissioning phases. None Low Med High Unknown Soil erosion or flooding concerns (e.g., due to highly erodable soils or steep gradients) Environmentally sensitive areas disturbed? Require that land (public or private) be acquired (temporarily or permanently) for its development? Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing locations, forest)? Displace individuals, families or businesses? Result in temporary or permanent loss of crops, fruit trees or household infrastructure such as granaries, outside toilets and kitchens? Result in involuntary restriction of access by people to legally designate parks and protected areas? Disturbance of economic activities leading to loss of property or income? Cultural or religious sites disturbed? Cause poor water drainage and increase the risk of water-related diseases such as malaria or bilharzias? Produce, or increase the production of, solid or liquid wastes (e.g. sewage wastewater, medical, and domestic or construction wastes)? Affect the quantity or quality of surface waters (e.g. rivers, streams, wetlands), or groundwater (e.g. wells)? Result in the production of solid or liquid waste, or result in an increase in waste production, during construction or operation? Other (specify): Page 108 4. Detailed questions: i. Preliminary Environmental Information: Yes/No answers and bullet lists preferred except where descriptive detail is essential State the source of information available at this stage (ULG report, EIA or other environmental study). Refer to application and/or relevant environmental authority for this information. ii. Identify type of activities and likely environmental impacts: Yes/No answers and bullet lists preferred except where descriptive detail is essential What are the likely environmental impacts, opportunities, risks and liabilities associated with the project Refer to ESMF– Impact, Mitigation and Monitoring Guidelines iii. Mitigation of Potential Pollution: Yes/No answers and bullet lists preferred except where descriptive detail is essential Does the ULG investment project have the potential to pollute the environment, or contravene any environmental laws and regulations? Will the ULG LIPW project require pesticide use? If so, then the proposal must detail the methodology and equipment incorporated in the design to constrain pollution within the laws and regulations and to address pesticide use, storage and handling. Does the design adequately detail mitigating measures? Refer to ESMF– Impact, Mitigation and Monitoring Guidelines iii. Determine environmental screening category: Yes/No answers and bullet lists preferred except where descriptive detail is essential. After compiling the above, determine which category the ULG investment project falls under based on the environmental categories A, B and C. Refer to ESMF – Screening and Review Process Page 109 Categorization & Recommendations* Category Category A No Cat A project (rated as per OP 4.01) will be financed. Project will not require an EIA, but will necessitate the inclusion of environmental and social mitigation and enhancement measures in the Category B design and implementation of the project through the use of standard construction contract clauses and an environmental management plan Project is not subject to environmental assessment as no potential Category C impacts are anticipated. *Place tick in applicable box Reviewer: Name: Signature: Date: Page 110 ANNEX B: TERMS OF REFERENCE FOR EIA An environmental and social impact assessment (EIA) report for an infrastructure project should focus on the significant environmental and social issues of the proposed project, whether it is/or includes new construction or rehabilitation. The report’s scope and level of detail should be commensurate with the project’s potential impacts. The EIA report should include the following items (not necessarily in the order shown): a. Executive summary. Concisely discusses significant findings and recommended actions. b. Policy, legal, and administrative framework. Discusses the policy, legal, and administrative framework within which the EIA is carried out. Identifies relevant international environmental agreements to which the country is a party. c. Project description. Concisely describes the proposed project and its geographic, ecological, social, and temporal context, including any offsite investments that may be required. Indicates the need for any resettlement plan. Normally includes a map showing the project site and the project’s area of influence. d. Baseline data. Assesses the dimensions of the study area and describes relevant physical, biological, and socioeconomic conditions, including any changes anticipated before the project commences. Also takes into account current and proposed development activities within the project area but not directly connected to the project. Data should be relevant to decisions about project location, design, operation, or mitigation measures. The section indicates the accuracy, reliability, and sources of the data. e. Environmental and social impacts. Predicts and assesses the project’s likely positive and negative impacts, in quantitative terms to the extent possible. Identifies mitigation measures and any residual negative impacts that cannot be mitigated. Explores opportunities for environmental enhancement. Identifies and estimates the extent and quality of available data, key data gaps, and uncertainties associated with predictions, and specifies topics that do not require further attention. f. Analysis of alternatives. Systematically compares feasible alternatives to the proposed project site, technology, design, and operation—including the “without project” situation—in terms of their potential environmental impacts; the feasibility of mitigating Page 111 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. g. Environmental management plan (EMP). Covers mitigation measures, monitoring, budget requirements and funding sources for implementation, as well as institutional strengthening and capacity buildings requirements. h. Appendixes i. List of EIA report preparers – individuals and organizations. ii. References - written materials both published and unpublished, used in study preparation. iii. Record of interagency and consultation meetings, including consultations for obtaining the informed views of the affected people and local nongovernmental organizations (NGOs). The record specifies any means other than consultations (e.g., surveys) that were used to obtain the views of affected groups and local NGOs. iv. Tables presenting the relevant data referred to or summarized in the main text. v. List of associated reports (e.g., socio-economic baseline survey, resettlement plan) Page 112 Environmental and Social Management Framework MWUD ANNEX C: FORMAT OF AN ANNUAL ENVIRONMENTAL REPORT Relevant environmental authority: Reporting dates: Name of City Administration: Subprojects approved: Subproject title Activities Project phase1 Environmental. EIA / EMP Environmental Effectiveness of Issues2 Category completed? license granted? EMP (name, location, (new construction, See note below (A, B or C) or (1, Yes, No or N/A Yes, No or N/A Good, poor, or See note below title or reference) rehabilitation, 2, and 3) needs improvement maintenance) 1 2 3 etc 1 Subproject phase will be one of the following: (a) under project preparation or appraisal, (b) appraised, or (c) implementation 2 Issues: accidents, litigation, complaints or fines are to be listed Page 113 Environmental and Social Management Framework MWUD ANNEX D: ENVIRONMENTAL AND SOCIAL IMPACT MITIGATION AND MONITORING CHECKLISTS Table 11: Urban Roads & Drainage: Mitigation & Monitoring Checklist Type Potential Impacts Generic Mitigation Measures Monitoring Indicators Responsibility of Activity Construction Negative social and economic effects on local  Work with affected communities to anticipate and Participation of communities ULG people and communities, such as: plan for enhanced access to and demand on local in local planning public infrastructure and services  Unplanned commercial development  Provide project funds to strengthen local public  Demand for local public infrastructure and infrastructure and services (e.g. health clinics, services increases beyond existing capacities markets, schools)  Disruption of traditional lifestyles  Avoid creating congested and unsafe road conditions  Induced population movements and natural at intersections, and in villages and towns resource exploitation activities, due to improved access (e.g. conversion of forest to pasture, or of sustainable land use to unsustainable, short-cycle cropping; illegal or unsustainable hunting) Displacement of housing or farms  Purchase of replacement land and resettlement Number of project affected ULG/ Land Use or involuntary resettlement of affected people people adequately Administration compensated and resettled  Monetary compensation Loss of natural areas, important habitats, Avoid infringing on:  Degree of biodiversity ULG / Bureau of biodiversity (number of species) in Agriculture and Rural Page 114 Environmental and Social Management Framework MWUD  Critical habitats or areas with significant biodiversity road vicinities Development (e.g. wetlands)  Extent of critical habitats  Protected natural sites and wilderness areas Damage valuable historic, religious, cultural, Avoid areas of cultural, historical, or religious Participation of communities ULG/ Land Use and archaeological resources significance Apply chance find procedures in in local planning Administration construction clauses Social disruption during construction (e.g.  Comprehensive community participation in Occurrence of illness ULG / Bureau enhanced transmission of STDs and TB) construction planning and management or disease of Health  Education on avoiding communicable diseases/hygiene  Use regional labour where possible Creation of stagnant water in construction Assess ecology of disease carriers in road corridor, and  Occurrence of illness ULG borrow pits and quarries, and on road sides, that employ suitable mitigation measures (e.g. or disease breed disease carriers proper drainage of construction areas and road sides,  Drive roads effective road maintenance) after moderate rains to identify areas that collect or gully water Impact of road noise on surrounding habitation Plant 30 meter tree buffer strips between road and Number of community ULG surrounding habitation complaints to local authorities about noise Dust  Stabilize the road surface with gravel and other rocky Number of community ULG surfacing materials complaints to local authorities about dust Page 115 Environmental and Social Management Framework MWUD Contaminate surface water and generate trash  Provide temporary sanitation (e.g. latrine), where this Local complaints of ULG due to lack of solid waste management is not possible, instruct crews to employ soil mining excessive waste and odours (digging a pit for human waste and covering with soil immediately after use)  Collect all solid waste from all site areas and dispose of either in local landfill or well-screened waste pits Increased soil erosion leading to sediment in Design:  Quality ULG runoff and, possibly, gully formation from:  Use surface drainage controls and mulch on of soil/productivity  Construction activities such as grading, vulnerable surfaces and slopes  Integrity of road excavations, and borrowing/quarrying  Line receiving surfaces with stones or concrete structures  Inadequate design of culverts and drainage  Locate and design borrow/quarry sites for erosion  Accidents due to erosion controls control during road construction and future of road maintenance operations  Identify the most environmentally sound source of materials within budget Construction:  Limit earth movement and soil exposure to the dry season  Balance cut and fill for minimum deposition of earth  Provide sedimentation basins  Resurface and re-vegetate exposed surfaces Post- Landslides, slumps and slips  Avoid areas of soil, slope or geological instability  Quality of road ULG Construction and unstable river crossing sites  Degree of erosion Page 116 Environmental and Social Management Framework MWUD and  Stabilize slopes by planting vegetation Operation  Minimize vertical road cuts  Install drainage ditches to divert water away from road Accidents and safety risks Construct basic speed bumps and employ traffic signs  Number of accidents ULG where possible reported per month to local government Increased soil erosion leading to sediment in  Ensure proper and timely maintenance of erosion  Quality ULG runoff and, possibly, gully formation from control and drainage measures along the road and at of soil/productivity inadequate maintenance of road surface, borrow/quarry sites  Integrity of road ditches, borrow/quarry sites, and drainage and  Clean out culverts and side channels/runout when structures erosion control measures they begin to fill with sediment  Accidents due to erosion  Fill mud holes and pot holes with quality gravel of road  Use water from settling basins and retention ponds  Collection of water in for road maintenance drainage system Quarry used for construction may become a  Discuss with local community the usefulness of using Occurrence of disease ULG health hazard pits as water collection pits for cattle, irrigation or illness  High light issues of disease transmission and the need to prohibit its use for drinking, bathing, and clothes washing Impact of road noise on village Plant 30 meter tree buffer strips between road and village Number of community ULG complaints to local authorities about noise Page 117 Environmental and Social Management Framework MWUD Dust due to traffic  Implement agreed dust control measures such as Number of community ULG wetting dirt roads, truck washing for trucks exiting complaints to local site, and monitoring dust emissions authorities about dust Page 118 Environmental and Social Management Framework MWUD Table 12: Sanitation: Mitigation & Monitoring Checklist Potential Impacts Generic Mitigation Measures Monitoring Indicators Responsibility Illness or disease from contaminants  Ensure planning, design, and maintenance of supply, sanitation, and  Occurrence of illness Local government/ entering water supply system wastewater works is appropriate to local needs, and to soil and water table or disease Community conditions)  Regular testing (if possible)  Ensure that water is fit for drinking (make regular testing a part of the project  Involve community in local if possible planning process Contaminated soils from disposal of Ensure planning, design, and maintenance of supply, sanitation, and Involve community in local Local government/ inadequately decomposed wastewaters wastewater works is appropriate to local needs, and to soil and water table planning process Community conditions Contamination of water source supply  Protect groundwater sources from surface runoff (e.g. rainwater, spillage  Occurrence of illness Local government/ around wells, wastewater from latrines or homes) that may enter as drainage or disease Community from above or as seepage from below  Decrease in production due to  Locate source well away from latrines, septic systems, traditional defecating water contamination (e.g. areas, and animal pens stunted growth, no growth)  Protect surface water sources from contamination from:  Complaints/problems documented form local  Runoff from nearby agricultural areas (e.g. silt, agrochemicals, animal community waste)  Other uses such as bathing, laundering, and animal watering  Garbage and vegetative debris Page 119 Environmental and Social Management Framework MWUD Groundwater contamination  Ensure adequate design, installation, and maintenance of latrines, holding  Occurrence of illness Local government/ tanks, septic systems and wastewater soak-aways or disease Community  Ensure adequate spacing between latrines and soak-aways  Decrease in production due to water contamination (e.g. stunted growth, no growth) Surface water contamination  Ensure proper maintenance of latrines, holding tanks, septic systems and  Occurrence of illness Local government/ wastewater soak-aways or disease Community  Locate latrines, septic systems and soak-aways at least 30 meters from any  Decrease in production due to waterbody (e.g. stream, lake, river) water contamination (e.g. stunted growth, no growth) Table 13: Waste Management: Mitigation & Monitoring Checklist Potential Impacts Generic Mitigation Measures Monitoring Indicators Responsibility Displaced land uses Involve community in locating project sites and access routes as well as Survey of local population Local government/ developing practices & responsibilities for managing project activities and sites regarding land uses Community Disruption or destruction of sites Involve community in locating appropriate project sites and access routes that Survey of local population Local government/ of cultural, religious or historical avoid such resources regarding problems with culturally Community importance sensitive areas Human settlements and land uses Involve community in locating project sites and access routes Survey of local population Local government near landfill and composting sites regarding siting of facility Windblown garbage, dust and smoke Spread and compact incoming refuse, and cover with soil, daily Complaints from community Local government Increased traffic to/from the sites Pave access roads, or use water spraying to reduce dust Complaints from community Local government Page 120 Environmental and Social Management Framework MWUD Odours  Provide for safe ventilation of decomposition gases Complaints from community Local government  Spread and compact refuse, and cover with soil daily Containment of water sources  Ensure site layout and management practices, including working training,  Incidences of illness or disease Local government are adequate  Decrease in agricultural  Install adequate surface drainage control measures production  Maintain erosion and surface drainage control measures during operations Creation of stagnant water sources  Ensure site layout is adequate for drainage Periodic check for pooling Local government water due to inadequate drainage  Install adequate surface drainage control measures  Maintain erosion and surface drainage control measures during operations Creation of stagnant water in project Assess ecology of disease carriers in project area and employ suitable  Increase in disease carriers Local government / sites that breed disease carriers mitigation measures (e.g. proper drainage) Community  Occurrence of illness or disease Loss of natural area, important habitats, Avoid infringing on: Survey land area and community Local government / biodiversity  Protected natural areas and wilderness areas for environmentally sensitive Community areas/habitats  Critical habitats or areas with significant biodiversity (e.g. wetlands) Soil erosion  Minimize time of exposure of areas cleared, graded or excavated  Degree of erosion Local government / Community  Stabilize and revegetate disturbed areas  Install adequate surface drainage control measures  Maintain erosion and surface drainage control measures during operations Potential Impacts Generic Mitigation Measures Monitoring Indicators Responsibility Contamination of surface and  Protect water resources by locating landfills:  Complaints from community Local government / Page 121 Environmental and Social Management Framework MWUD groundwater with landfill runoff and  Where the underlying soils are relatively impermeable, and have a high  Lower agricultural Community leachate capability for containing chemical contaminants (e.g. clays) productivity  So that the bottom of the landfill is above the water table  Increased instances of illness or disease  Away and down gradient from surface waters, and groundwater recharge areas sources, whose use could be affected by contamination unless the distance to the receiving water is adequate to dilute and disperse potential contamination  Use a landfill liner (e.g. clay, synthetic)  Collect surface runoff and discharge to safe area  Install test wells at landfill perimeter, and monitor water quality during operations, for early identification and mitigation of emerging adverse effects Page 122 Environmental and Social Management Framework MWUD Table 14: Health and Sanitation: Mitigation & Monitoring Checklist Types of Activities Potential Impacts Generic Mitigation Measures Monitoring Indicators Responsibilities Management of health  Disease transmission  Community waste management plan Schedule for periodic Ministry of Health/ care wastes at facilities through infectious waste, review of compliance to NGO/ Community  Clearly assigned staff responsibilities (health centres, sharps, and contaminated and effectiveness of plan laboratories, maternity water  Community guidelines for generation, handling, storage, clinics) treatment and disposal  Chemical and toxic threats through chemical and  Staff trained in handling, storage, treatment, and disposal pharmaceutical exposure  Protective clothing available (provide thick gloves and aprons for staff handling healthcare waste)  Good hygiene practices (soap and water readily available)  Vaccinated workers  Temporary storage containers in designated locations  Minimization, reuse, and recycling procedures • Segregate waste  Treatment methods for hazardous or highly hazardous waste (open-air burning or incineration of healthcare waste on site)  Designate a final disposal site (bury waste on site in clay-lined pit Types of Activities Potential Impacts Generic Mitigation Measures Monitoring Indicators Responsibilities Planning a new facility  Spread of disease  Select a location with easy access to safe drinking water (source Involve community in Ministry of Health/ should be dedicated exclusively to the facility, if possible, to siting facility and NGO/ Community  Environmental impact reduce spreading disease) other planning measures Page 123 Environmental and Social Management Framework MWUD  Install adequate sanitation facilities to prevent the spread of disease from infected patients.  Avoid locations adjacent to schools to minimize children’s risk of exposure  Pick a location where waste can be safety buried (e.g. above the water table and protected from scavenging) or easily shipped off site for safe disposal in a sanitary landfill Page 124 Environmental and Social Management Framework ANNEX E: GUIDELINE FOR ENVIRONMENTAL MANAGEMENT PLAN When a subproject includes distinct mitigation measures (physical works or management activities), an Environmental Management Plan (EMP) needs to be included with the subproject application. An EMP usually includes the following components:  Description of adverse effects: The anticipated effects are identified and summarized.  Description of mitigation measures: Each measure is described with reference to the effect(s) it is intended to deal with. As needed, detailed plans, designs, equipment descriptions, and operating procedures are described.  Description of monitoring program: Monitoring provides information on the occurrence of environmental effects. It helps identify how well mitigation measures are working, and where better mitigation may be needed. The monitoring program should identify what information will be collected, how, where and how often. It should also indicate at what level of effect there will be a need for further mitigation. How environmental effects are monitored is discussed below.  Responsibilities: The people, groups, or organizations that will carry out the mitigation and monitoring activities are defined, as well as to whom they report and are responsible. There may be a need to train people to carry out these responsibilities, and to provide them with equipment and supplies.  Implementation schedule: The timing, frequency and duration of mitigation measures and monitoring are specified in an implementation schedule, and linked to the overall subproject schedule.  Cost estimates and sources of funds: These are specified for the initial subproject investment and for the mitigation and monitoring activities as a subproject is implemented. Funds to implement the EMP may come from the subproject grant, from the community, or both. Government agencies and NGOs may be able to assist with monitoring.  Monitoring Methods: Methods for monitoring the implementation of mitigation measures or environmental effects should be as simple as possible, consistent with collecting useful information, so that community members can apply them themselves (see example below). For example, they could just be regular observations of subproject activities or sites during construction and then use. Are fences and gates being maintained and properly used around a new water point; does a stream look muddier than it should and, if so, where is the mud coming from and why; are pesticides being properly stored and used? Most observations of inappropriate Page 125 Environmental and Social Management Framework behavior or adverse effects should lead to commonsense solutions. In some cases (e.g. unexplainable increases in illness or declines in fish numbers), there may be a need to require investigation by a technically qualified person. Page 126 Environmental and Social Management Framework MWUD Table 15: ESMP preparation template form Potential Responsible for Responsible for Time Horizon Cost Estimate environmental & implementing the monitoring the social impacts mitigation implementation measures of mitigation Proposed mitigation measures measures Mitigation Monitori Mitigation Monitoring ng Page 127 Environmental and Social Management Framework ANNEX F: SUMMARIZED REPORT OF CONSULTATIONS Urban Productive Safety Net Project Labour Intensive Public Works Sub-Component Consultation Report for ESMF Preparation 1. Introduction As part of the ESMF preparation process for the LIPWs of the UPSNP project, a series of consultations were carried out in four different regional cities. The regional cities which include Addis Ababa, Mekelle, Gambella and Semera were selected to represent the emerging and developing regions of the country as well as representing spatial distributions to reflect major geographical characteristics of the country. The consultations were held between 15 to 30 July 2015 and were led by the ESMF consultant and the environmental specialist from MUDHCo. The consultations were conducted by interviewing key informants of sector bureaus and agencies involved in the implementation of the UPSNP LIPWs project and by conducting small group discussion meetings. In order to initiate the participation of the stakeholders and community members a presentation was made that cover the project objectives, components and the main elements of the draft LIPWs ESMF procedures. The main agenda for the consultation discussions were focused on providing information about the UPSNP project with emphasis on LIPWs and receiving the concerns and opinions of the participants regarding the overall UPSNP program objectives, its main and sub-components and in particular the LIPWs subcomponent for which the ESMF was prepared. Discussions were also conducted to identify institutional capacity gaps and other constraints to implement the procedures. The consultation meetings were attended by the city mayors, officials and several other stakeholders found in the participating cities. 2. Key findings of the consultation meetings 2.1 GENERAL ISSUES During the consultation discussions and interviews held in the four cities several general and specific issues, questions, concerns and opinions were aired by the participants. The general issues raised include a range of planned activities that are being conducted in the regions which complement with the UPSNP project components such as the plans for implementing the National Social Protection Policy, the experiences of the ULGDP project, the Community Care Coalition pilot project in Tigray, Livelihood support programs for the vulnerable women & children funded by the UNICEF/UNFP in Addis Ababa Page 128 Environmental and Social Management Framework city and e.t.c that are assumed to create conducive grounds and useful experiences for the implementation of the UPSNP project in the participating cities. On the other hand participants also aired their concern on the possible roles of the UPSNP project in working towards bringing about change of attitude and improvement in the work culture of the youth and in engaging them in productive activities by keeping them to stay away from unwanted addiction in the cities. In this regard the participants suggested that the project menu for the LIPWs may need to expand by adding subproject types such as constructing youth centers and recreational places as well as sport and cultural centres which can be developed by labour intensive means. Other participants also expressed some of their concerns in the area of health and safety and urban agriculture activities. They stressed that LIPWs should give attention to the health and safety aspect of the participating beneficiary workers. Moreover, it was stated that the issue of site selection for some of urban agriculture activities such as cattle fattens or dairy rearing is crucial to prevent any likely adverse impacts to city residents. Based on the existing opportunities and infrastructure shortage of their respective cities, the participants suggested for the inclusion of certain project types in the LIPWs menu. Though some of the suggested sub project types may be difficult to deliver through labour intensive means (e.g. hospitals, ambulances e.t.c) the others appear to be sensible. The later type of suggestions includes adding development of Kindergartens, primary schools, waste recycling and reuses projects in the LIPWs menu. Concerns were also expressed during the consultations that the level and continuity of community participation and consultations on development project planning and implementation will need to be enhanced and the participation of women members should be encouraged. Capacity building to enhance community participation was sought for in the areas of project prioritization, environmental issues, and roles of public participation in project life cycle, etc. 2.2 SPECIFIC ISSUES The interviews and consultations carried in the cities have also revealed the following specific issues in the regions. 2.2.1 Existing capacities of the cities to implement ESMF The following observations were made regarding the existing capacities in the institutions during the consultations carried out with the ULGs found in different regions: Page 129 Environmental and Social Management Framework a. MUDHCo, BIUD’s and the ULGs that were taking part in ULGDP I and/or II program appears to have an experience and basic capacity on handling and implementing the National and World bank requirements and associated procedures outlined in the ESMF and RPF. The ULGs in the emerging regions that were not taking part in ULGDP I need to be enlightened with the principles, procedures, and requirements of the ESMF and RPF including the different roles and responsibilities of the various institutions involved in its implementation. A serious concern was raised in Gambela and Semera cities on the need to properly introduce the UPSNP project guidelines, operational manuals and other related guidance documents including clarifying the roles and responsibilities of the different stakeholders to avoid flow of inconsistent and variable directives and guidance’s which will smooth future implementation of project. b. The UPSNP implementing agencies such as BoLSA, BoMSED, BoWCYA and others found at regional and ULG level appears to be new for the ESMF/RPF process and have neither the experience nor the capacity to become conversant and to facilitate implementation of the associated procedures outlined in the ESMF and RPF. The option of advancing the scope of the Labour and Occupational Health Safety Core process of BoLSA to look at environmental aspects of the LIPW subprojects where appropriate by introducing additional capacity building was also raised. c. The Regional Environmental Protection Authorities (REPA) appears to have the institutional standing necessary to play their role as regulatory bodies. This means that the regional governments have already established their EPAs with departments responsible for environmental impact assessment reviews instituted. Most of them have also ratified the regional versions of the basic environmental laws such as the Environmental Impact Assessment, Pollution Control and other laws. Those regions where the World Bank funded projects such as ULGDP I has been implemented (e.g. Tigray, Amhara, Oromia, SNNPR e.t.c) have acquired a certain level of experiences in reviewing the required environmental and social management reports such as screening, ESIA, RAP e.t.c. However, those Regional EPAs in the emerging regions such as Gambella, Afar, and Benishangul Gumuz are only learning to be acquainted with the ESMF/RPF procedures. Moreover, there is also inadequate capacity in the area of conducting rigorous reviews of the screening, EIA and RAP reports, conducting environmental monitoring and inspection on subproject EMP implementations, and in obtaining transport and related logistical resources to discharge their regulatory responsibilities in full in most of the REPAs. Page 130 Environmental and Social Management Framework d. Many of the sector offices in the ULGs emphasized on the need of additional manpower to staff the project implementation activities expected of them. The ULGs reiterate that the option of assigning experts to work on the project in addition to their regular duties may not leave them with sufficient time for the project. This includes the situation of staffing PFU with environment and social focal person. Moreover, there is also inadequate capacity in the area of providing office furniture, stationeries, IT facilities such as computers and laptops, MIS (Information Management Systems) and in obtaining transport and related logistical resources to discharge their responsibilities in the UPSNP project in full. 2.2.2 Capacity building needs and gaps The consultations carried with the cities also identified the following capacity building needs. a. Material and logistic support - Transport vehicles, motorcycles to reach out the urban poor in different localities of the cities - Office furniture, computers, stationeries to conduct the day to day works of the project - Database management systems or MIS systems to facilitate the implementation of the project and project beneficiaries b. Training and awareness raising - Training and awareness raising on UPSNP ESMF and RPF - Trainings at zonal and woreda levels on ESMF and RPF - Detail training on EIA and Environmental Audit for experts and professionals. - Training on environmental guidelines - Training on program objectives and refresher courses on environmental sustainability - Training on targeting project beneficiaries - Training on improving attitudes on work culture of youths in Gambella - Training for community representatives on public participation, project prioritization, e.t.c. - Creating awareness about UPSNP from top to bottom of the ULG administrative hierarchy - Awareness rising for stakeholders - Training to create clarity and awareness on UPSNP institutional arrangements, coordination, its flow to the lower level of the administrative strata in the ULGs Page 131 Environmental and Social Management Framework - Clarifying the roles and responsibilities of each stakeholder based on established guidelines. c. Human Resources The following ideas and opinions were reflected during the consultation meetings carried in the cities: - Shortage of manpower for UPSNP project work if considered as additional work to regular duties. - It is possible to start with ULGDP staff but needs its own man power as the project progresses and expands - The need for institutional strengthening with additional man-power to facilitate project implementation. - There is a need to assign fulltime staff for UPSNP than staff working on top of their daily responsibilities and allocation of budget for it. - The need to consider top up incentive for professionals if it become necessary to assign experts on top of their regular duty. Therefore, there is going to be a need to fill in the capacity gaps and needs identified in the above section for all the institution involved in the UPSNP LIPWs ESMF and RPF implementation. Based on the needs the following are suggested as capacity building areas within the context of the ESMF. 2.2.4 Training requirements One of the capacity building areas sought for by the ULGs and different stakeholders involved in the implementation of the UPSNP LIPW projects is the provision of training. The training to be offered will address different target groups which will have a role in implementing the ESMF and RPF at various levels. These include the high level project coordination and management groups, (such as members of steering committees, SNCC, Mayors and other decision makers), sector offices and the technical committees for each sub component (e.g. BOLSA, BIUD, BWYC, BMSED, PFU), the beneficiary community, and the REPAs. As a result, the type of trainings necessary to these various target groups will vary and is briefly outlined as the followings: a. Sensitization The beneficiary communities at the grass root level will need to be sensitized about the overall objectives of the UPSNP project including the LIPWs subcomponent, environmental sustainability and the need to consider environmental concerns in sub-project selection and prioritization, as well as the role of public participation in the implementation of the UPSNP program. Page 132 Environmental and Social Management Framework b. Awareness raising General training and awareness/sensitization for MUDHCo/UGCBB, Regional BIUD, BOLSA, BMSEDA, REPA and ULG executives and staff on UPSNP program objectives, ESMF and RPF procedures and project operational manuals. Awareness raising workshops are necessary to conduct immediately after launching the project and as the need arise at later stages. The awareness raising workshops and trainings should target the higher officials, UPSNP program management and coordination organs including the technical committees to be established from Federal to Region and ULG levels. The awareness raising should focus on clarifying UPSNP LIPW program objectives, its institutional arrangements for implementation, coordination, its work flow to the lower level of the administrative strata at the ULGs and so on. This is important to clarify the roles and responsibilities of each stakeholder based on established guidelines such as the ESMF and RPF. The awareness raising workshop will also be an important venue to introduce the contents of ESMF and RPF procedures and associated implementation requirements of the World Bank and the GoE. c. Technical training on ESMF and RPF This detailed training will mainly focus on the technical staffs that will be involved in directly applying the ESMF and RPF procedures. It includes the experts in PCU, PFU, member of technical committees, professionals of sector bureaus involved, the REPAs and e.t.c. The training will focus in explaining the details of the national and World Bank environmental requirements and the procedures that need to be fulfilled to comply with it. Implementation of the ESMF and RPF including all aspects of environmental management, EIA, public consultation, and integration of environmental management into development planning will be the centre topics for the training. The training would also cover skills upgrading refreshment topics such as EIA review and quality assurance, environmental audits, environmental guidelines, targeting of urban poor and others as necessary. The training can be offered to the target groups at regional, city, zonal or woreda level as it applies with the expansion of the UPSNP project coverage areas. d. Technical and financial assistance Owing to the expressed shortages of manpower to staff the UPSNP project implementation organs such as the PCU, PFU, technical committees e.t.c who will run the UPSNP LIPW project on daily basis, a provision of technical assistance by way of providing skilled manpower support for a period of time or devising a financial mechanism to incentivise the relevant staff’s to work on fulltime basis on the project will be necessary. Moreover, the provision of the following assistance will be important for the ULGs: Page 133 Environmental and Social Management Framework i. Technical and financial assistance to each participating Urban Local Government to secure local consultancy services to carry out, where the ULG does not have internal capacity or this cannot be provided by the Regional BIUD, to:  Produce a Screening Report, an EIA TOR, an Environmental Impact Assessment, Environmental Management Plan, Cultural Resources Management Plan or full/abbreviated Resettlement Action Plan; and  Establish and support operation of systems for monitoring and reporting on EIA, EMP, CRMP and RAP implementation. ii. Appointment of UPSNP Environmental and Social Specialist in MUDHCo/UGCBB responsible for overall ESMF & RPF implementation at Federal level and an environmental and social focal person in the PFU at ULG level. MUDHCo will not need to carry out a consultative assessment exercise to determine the existing capacity/capability and the support requirements for each of the participating ULGs in terms of their ability to successfully accomplish environmental requirement because MUDHCO has the good experience in the application of the requirement of the Environmental and Social Management Frame work in exercising ULGDP I and II. Page 134 Environmental and Social Management Framework 8 LIST OF CONTACTED PEOPLE No. Name Institution Responsibility Telephone 1 Ato Chibichibi Agwa Gambela City Mayor Administration 2 Ato Jems Keach Gambela City Deputy Mayor Administration 3 Ato Thinyang Gatluak Lee Gambela Land Use Director General 0911 042415 Administration Environment Protection Agency 4 Ato Ojulu Ouchala Ogud Gambela City Head of Employment 0911 034329 Administration and labour administration core process 5 Ato Tigistu Gambela City ULGDP Coordinator Administration 6 Ato Temesgen Maekele Gambela BOLSA Head of Social 0911 804616 Protection Core Process 7 Ato Omod Oboya Okori Gambela City Deputy City Manager 0934 263278 Administration 8 Ato Yasin Mohamed Semera-Logiya City Mayor Administration 9 Ato Husien Yimer Semera-Logiya City ULGDP coordinator Administration 10 Ato Hailay Abraha Afar BOLSA Social Protection and 0913 701735 Development Core Process head 11 Ato Habib Aydahis Afar BOLSA Social Protection and 0923 435233 Development Core Process Expert 12 Ato Eshetu Adem Afar EPA EIA team expert 0911 992862 13 Ato Mahmud Ahmed Afar EPA EIA team expert 0921 549193 14 Ato Tewoldebirhan Mekelle City Mayor 0914 756149 Tesfalem Administration 15 Ato Zemenfeskidus Mekelle City Head of Mayor 0914 757839 Administration Office 16 Ato Senay Ebsa Mekelle City ULGDP Coordinator 0912 42 2580 Administration Page 135 Environmental and Social Management Framework 17 Ato Atakilt G/hiwot Tigray BUID Core Process Head 0920 864141 18 W/ro Yalem Tsegay Asfaw Tigray BoLSA Bureau Head 0914 382537 19 Ato Atsbaha Tigray BoLSA Head of Social 0921 774087 Protection Core Process 20 Ato Berhe Fiseha Tigray EPLUA Head of the Agency 0914 720454 21 Ato Haileslassie Fiseha Tigray EPLUA Environment 0914 734454 Protection Core process head 22 Ato Asegid Getachew Addis Ababa City Head of the Mayor 011 1578967 Administration office 23 Ato Wondimagegn Tesema Addis Ababa City Deputy Head of the Administration City Mayor Office 24 Ato Eyasu Meresa Addis Ababa City Former ULGDP Administration coordinator 25 Ato Mebratu Gebre Addis Ababa City Former ULGDP 0911 892996 Administration Team member The over 75 Participants of the meetings held in the four regions are listed in the attendance lists attached with the minutes of consultation for each city. Page 136 Environmental and Social Management Framework Photo Log Plate 1: Showing Consultation meeting with stakeholders in Gambella City Mayor Office. Page 137 Environmental and Social Management Framework Plate 2: Showing consultation meeting in Semera-Logiya with stakeholders and community representatives. Page 138 Environmental and Social Management Framework Plate 3: Showing consultation meeting in Mekelle City Administration Mayor’s cabinet hall with stakeholders and community representatives. Page 139 Environmental and Social Management Framework Plate 4: Showing consultation meeting in Addis Ababa City Administration Mayor’s cabinet hall with stakeholders. 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