Ethiopia: Pastoral Community Development Program

Phase III

Environmental and Social Management Framework

September, 2013 Addis Ababa

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TABLE OF CONENTS Executive Summary ------------------------------------------------------------------------------5 1. Introduction ----------------------------------------------------------------------------------8 2. Objective of the ESMF ---------------------------------------------------------------------9 3. Methodology used to prepare the ESMF ---------------------------------------------- 10 4. PCDP III Project Description: Components, Implementation, Arrangements and

Environmental and Social Context ----------------------------------------------------- 10 4.1 Project Components --------------------------------------------------------------------- 10

4.2 Institutional and Implementation Arrangements ------------------------------------ 11

4.3 Sub-project identification and community level planning process --------------- 12

4.4 Environmental and Social Context and Baseline ----------------------------------- 13

5. National Environmental and Social Legislation -------------------------------------- 15 6. Potential Environmental and Social Impacts ------------------------------------------ 19

6.1 Positive Impacts ------------------------------------------------------------------------- 19

6.2 Potential Negative Impacts ------------------------------------------------------------ 19

7. Environmental and Social Safeguard Policies to be triggered under PCDP III -- 25 8. PCDP III Environmental and Social Management Framework -------------------- 27

8.1 Steps in the Application of the ESMF ------------------------------------------------ 29

9. Implementation, Supervision and Monitoring ---------------------------------------- 35 9.1 Implementation and process monitoring --------------------------------------------- 35

9.2 Result monitoring ----------------------------------------------------------------------- 36

10. Capacity Building Plan ------------------------------------------------------------------- 36 11. Implementation Cost of the ESMF, RPF and SA -------------------------------------- 41

Table 4: Estimated budget for capacity building for implementation of the ESMF,

RPF, SA and mitigation measures --------------------------------------------------------- 41

Annex I. Community Sub-projects Social Screening Form (SSF)----------------------- 42 Annex II. Community Sub-projects Environmental Screening Form (ESF) ----------- 44 Annex III. Community Sub-projects Environmental and Social Checklist ------------ 53 Annex IV. Environmental and Social Guidelines for newly established Community

Schools ------------------------------------------------------------------------------------- 62 Annex V. Environmental and social Guidelines for Contractors ------------------------ 64

Annex VI. Environmental and Social Guidelines for Rural Water Supply and

Sanitation Sub-Projects --------------------------------------------------------------------- 70

Annex VII. Pest Management Framework for Agriculture Sub-Projects ------------ 74

Annex VIII. Households’ Livelihood Diversification Interventions ---------------- 75

Environmental and Social Screening Form ---------------------------------------------- 75

Annex IX. Environmental and Social Guidelines for Households’ Livelihood

Diversification Interventions --------------------------------------------------------------- 79

Annex X. Summary of the World Bank’s Safeguard Policies ------------------------ 82

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Annex XI: Guidance for malaria prevention and vector management and medical

waste management at public health and veterinary posts during environmental and

social screening of PCDP sub-projects --------------------------------------------------- 86

Annex XII: Summary of community consultation on ESMF ------------------------- 87

Annex XIII: Summary of Small Dam Safety Guideline ------------------------------- 93

Annex XIV: List of Participants at the Public Consultations on ESMF ----------- 100

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Acronyms BoFED Bureau of Finance And Economic Development CAP Community Action Plan CDD Community Demand Driven CDP Community Development Plan CIF Community Investment Fund CLP Community Livelihood Plan CPMC Community Project Management Committee DA Development Agent DPSIP Disaster Preparedness Strategic Investment Program EA Environemental Assessment EIA Environmental Impact Assessment EMP Environnemental Management Plan EPA Environmental Protection Authority ESF Environmental Social Screening Form ESMF Environmental and Social Management Framework ESSF Environmental and Social Screening Form FPCU Federal Project Coordination Unit GoE Government of Ethiopia GTP Growth and Transformation Plan IFAD International Fund For Agricultural Development IGA Income Generating Activities KDC Kebele Development Committee MoFA Ministry Of Federal Affairs M& E Monitoring and Evaluation MST Mobile Support Team NGO Non-Government Organization PAPs Project Affected Peoples PASDEP Plan for Accelerated Sustainable Development & Eradication Of Poverty PCDP Pastoral Community Development Project PDB Pastoral Development Bureau PIM Project Implementation Manual PMP Pest Management Plan RAPs Resettlement Action Plans RLF Rural Livelihood Fund RLP Rural Livelihood Program RPCUs Regional Project Coordination Units RPF Resettlement Policy Framework RSC Regional Steering Committee RUSACCO Rural Saving and Credit Cooperatives SA Social Assessment SACCO Saving and Credit Cooperatives SNNPR Southern Nation, Nationalities and Peoples Region SSF Social Screening Form TBD To Be Determined TC Techincal Committee WoCP Woreda Office of Cooperative Promotion WDC Woreda Development Committee

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WoFED Woreda Office of Finance & Economic Development WoPD Woreda Office Pastoral Development WTC Woreda Technical Committee

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Executive Summary The Pastoral Community Development Project (PCDP) is an integrated and comprehensive development program signed among the Federal Democratic Republic of Ethiopia, International Development Association (IDA) and the International Fund for Agricultural Development (IFAD). PCDP is a fifteen-year period development program. The first phase of the project ended in October 2008 and the second phase is expected to be completed in December 2013 and PCDP III will start on January 2014. PCDP III will contribute directly to the Government’s Growth and Transformation Plan(GTP) by investing in the provision of basic social services such as education, health care and water supply to under-served communities and, through its Community Demand Driven(CDD) approach, supporting the development of grass root institutions and their active engagement in local development as well as promoting participation of pastoral and agro-pastoral communities in local decision making processes and oversight of public services. As far as the implementation of the environmental and social management under PCDP II is concerned, an environmental and social screening process, entitled “Environmental and Social Management Framework (ESMF) for the Pastoral Community sub-projects” (February, 2008), was developed. The ESMF prepared under PCDP II was to provide guidance to PCDP staff, communities, districts (woredas) and others participating in the projects regarding the sustainable environmental and social management of sub-projects where the exact locations and potentially negative localized impacts were not known prior to project appraisal. Accordingly, during the design of PCDP II only the Bank’s safeguard policy on Environmental Assessment (OP 4.01) had been triggered. However, the Bank’s safeguards policy on Involuntary Resettlement (OP 4.12) was not triggered under PCDP II. Rather, it was decided that, as per the Environmental and Social Management Framework (ESMF), and upon screening of any sub-projects that were found to involve involuntary resettlement, acquisition of land and/or reduced access to natural resources would be placed in a negative list, and not funded under the project. The ESMF for PCDP III has been prepared based on the World Bank’s environmental and social safeguard policies, national environmental and social policies and lessons from the implementation of ESMF instrument under the PCDP II. The ESMF for PCDP III is slightly different from that under PDCD II since the PCDP III has been updated to reflect the changes made to components and activities of the program. These changes include addition of new activities and deletion of others characteristic of PCDP II. Under PCDP III, eight (8) of the World Bank’s safeguards policies have been triggered. These are the policies on Environmental Assessment (OP 4.01), Natural Habitats (OP 4.04), Pest Management (OP 4.09), Physical Cultural Resources (OP 4.11), OP 4.10, Involuntary Resettlement (OP 4.12), Safety of Dams (OP 4.37) and Projects on International Waterways (OP 7.50), predicated on the assumption that some civil works would be carried out; there could be land take leading to loss of assets, loss of sources of income and means of livelihoods, restriction to access to natural resources and downstream consequences in riparian countries as a result of extraction of water upstream of international waters. The execution of community

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demand driven sub-projects such as those that may involve civil works (e.g., rural roads, water extraction and small scale irrigation, water supply and health care facilities, construction of rangeland management structures, construction and rehabilitation of primary schools and other social infrastructures, etc.) and introduction of new and high yielding crop and fodder varieties, and the use of veterinary drugs and animal pesticides for control of livestock diseases (e.g. livestock dips)under the Project may result in adverse environmental or social impacts. However, these risks/impacts may be localized, ephemeral and negligible in scope, preventable and cost-effectively easy to mitigate. Additionally, PCDP III will support household livelihood diversification such as on-farm activities such as poultry farming, bee-keeping, livestock rearing/fattening, pasture development, production of cash crops/horticulture and off-farm activities, but sub-project execution would have little adverse environmental or social impacts; impacts may largely be positive. Under PCDP III, social safeguard issues are likely to be associated with land acquisition and/or restriction of access to communal natural resources. However, given the small nature of the CDD sub-project activities, it is expected that land acquisition will be limited, site-specific with no significant adverse social impacts. On the applicability of the Bank’s safeguards policy OP 4.10, the vast majority of the people in the project meet the criteria for OP 4.10. This ESMF is to ensure that the future community sub-projects and household-based interventions to be supported under PCDP III will be carried out in an environmentally and socially sustainable manner. It is designed to ensure the application of appropriate level of environmental and social mitigation measures. The ESMF provides an overview of relevant World Bank and National Environmental and Social policies and describes the planning process concerning environmental and social issues, including for screening, preparation, implementation, and monitoring of sub-projects and household-based interventions. In terms of substance, this ESMF document draws lessons from the implementation of the PCDP II ESMF, and provides a list of the main challenges encountered. It also includes descriptions of the components and proposed major activity areas, the environmental and social screening process, checklist of potential environmental risks and social impacts and guidelines to be considered for mitigating any potential adverse impacts identified under the proposed PCDP III. In addition to the ESMF, a separate Resettlement Policy Framework (RPF) has been prepared, predicated on the assumption that execution of (PCDP III) investment activities may have negative social impacts related to resettlement –acquisition of land, physical displacement of people, loss of assets, loss of income sources and means of livelihood, and restriction of access to natural resources by certain sections of pastoral communities. Thus, the RPF will serve as a guide to project implementers to ensure that, prior to implementation of any investment activity likely to result in resettlement, project-affected people are consulted and appropriate preventive and mitigation measures are exhaustively considered and executed. A third study that was conducted as part of the overall environmental and social assessment under this new project was the Social Assessment document that assessed

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key socio-economic factors that would require full consideration before and during project implementation; identified vulnerable and historically underserved groups in the project regions that could be excluded from the project and therefore adversely affected as a result; determined whether the project is likely to trigger the World Bank social safeguards policies and to what extent; and recommended appropriate preventive and mitigation measures for addressing any potential negative social impacts.

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1. Introduction The fifteen-year Ethiopia Pastoral Community Development Program (PCDP) is targeted at the pressing development needs of pastoralists and agro-pastoralists in Ethiopia. It is composed of three overlapping five-year projects. The three-phase program was approved by the World Bank Executive Board on May 20, 2003 and the first phase was declared effective on September 30, 2003. This phase was completed successfully in February, 2008 and a second phase was approved on May 5, 2008 and declared effective on October 9, 2008. Implementation of PCDP II will be closed in December, 2013. PCDP II has been financing activities through two main support windows – the Community Investment Fund (CIF) and a Rural Livelihoods Fund (RLF). It also includes the preparation and implementation of a Disaster Preparedness Strategy and Investment Program (DPSIP). Sub-project types that are ineligible for PCDP II funding include road construction with a greater specification than what pertains for normal rural road (RR10), activities that involve resettlement and investments that could lead to environmental degradation. As far as the implementation of environmental and social management under PCDP II is concerned, an environmental and social screening instrument, entitled “Environmental and Social Management Framework (ESMF) for the Pastoral Community sub-projects” (February, 2008), was developed. The ESMF described an elaborate screening process that was designed to help with the appraisal of sub-projects that involved civil works such as construction/rehabilitation of facilities for water supply and sanitation, small-scale irrigation, health care, social infrastructure and rangeland management structures. The purpose of the ESMF was to provide guidance to PCDP staff, communities, districts (woredas) and others participating in the implementation of PCDP II regarding the sustainable environmental and social management of sub-projects where the exact locations and potentially negative localized impacts were not known prior to project appraisal. Potential negative environmental and social impacts were thought to include loss of vegetation, soil contamination and water pollution, increase in malaria, and soil erosion. Accordingly, during the second phase of the Program only the Bank’s safeguard policy on Environmental Assessment (OP 4.01) had been triggered. The Bank’s safeguards policy on Involuntary Resettlement (OP 4.12) was not triggered under either PCDPI or PCDP II because it was decided that, upon screening as per the ESMF, any sub-projects that were found to involve involuntary resettlement, i.e. acquisition of land, loss of means of income or loss of sources of livelihood, and/or restriction of access to natural resources, would be placed in a negative list, and therefore not financed under those projects. During PCDP II implementation, environmental and social management has been considered and reflected upon during the preparation of Community Action Plans (CAPs) at community level and at the time of sub-projects approvals at woreda level. Field level observations confirmed that the implemented sub-projects went through initial screening process and were categorized appropriately as per the Bank’s Environmental (and Social) Assessment policy (OP 4.01). It was also evident that sub-projects had been properly identified through community consultations and

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executed with active community participation, particularly in the areas of project identification, site selection and mobilization of resources (in-cash and in-kind) for the projects as part of the community contributions. Thus, implementation of the ESMF was successful. However, there seems to have been some gaps in the implementation of the ESMF because issues related to land acquisition processes were poorly documented. This is because probably there were no major involuntary land take and displacements during implementation of activities under PCDP II. Poor documentation is possibly because project management did not make it a requirement for Mobile Support Team (MSTs) to report on the implementation of ESMF in the quarterly and annual reports. MSTs do not give ESMF related documentation and reporting the same emphasis as reporting on the physical constructional progression (status) of sub-projects. Also, it has been revealed that there has been capacity gap in preparing, reviewing and implementing safeguard instruments. During PCDP II capacity building through training and awareness creation was provided intermittently to Woreda Development Committee (WDC), technical experts from woreda line offices, MST, Kebele Development Committee (KDC) and Community Project Management Committee (CPMC) in project woredas. MSTs were not provided sufficient training at the start of the project. PCDP II acknowledges that training should have been continuous and intensified throughout the project life. Under PCDP III, more resources will be provided for extensive and intensive capacity building through training and awareness creation as well as provision of technical assistance. This is called for because aside the ESMF there are two additional safeguards instruments namely the Resettlement Policy Framework (RPF) and Social Assessment (SA) that need to be implemented under PCDP III. Hence, more capacity will be required to guide project implementers and translate the safeguards reports into concrete actions on the ground, and monitor and report on them. PDCP III will appoint a safeguard specialist (to deal with both social and environmental issues) to each MST. Besides, the Project will recruit a safeguard specialist to be based at the federal PCU in Addis. The Project will also develop a reporting format that includes a safeguards section to be used and filled in by all MSTs when preparing their periodic project reports.

2. Objective of the ESMF The objective of this ESMF prepared for use under PCDP III is to ensure that adverse environmental and social impacts are avoided or appropriately mitigated and compensated for. It is to ensure that the future community sub-projects and household based interventions to be supported by PCDP III will be carried out in an environmentally and socially sustainable manner. The ESMF is designed to ensure the application of appropriate level of environmental and social prevention and mitigation measures. The ESMF provides an overview of relevant World Bank and National Environmental and Social policies and describes the planning process concerning environmental and social issues, including for screening, preparation, implementation, and monitoring of sub-projects and household based interventions. Besides, separate RPF&SA documents have been prepared to deal with specific concerns related to restriction of

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access to natural resources and other social issues such as inclusion or exclusion of vulnerable and historically under-served communities and peoples. These two documents complement the ESMF.

3. Methodology used to prepare the ESMF An ESMF for PCDP III was prepared based on the World Bank’s environmental and social safeguard policies, national environmental and social policies and the applicable ESMF in use under PCDP II. Its preparation also considered recommendations of the review and implementation support mission of PCDP II and related field reports. Moreover, this ESMF takes into account issues agreed and highlighted in cleared Aide Memoires covering missions carried out during the preparation of PCDP III. The preparation of all three documents was carried out under consultations that were considered to be on the basis of prior, free and informed consent of the community members involved.

4. PCDP III Project Description: Components, Implementation, Arrangements and Environmental and Social Context

4.1 Project Components

PCDP III consists of the following four Components: (1) Community Driven Service Provision, (2) Rural Livelihoods Program, (3) Development Learning and Knowledge Management; and (4) Project Management and M&E. The Pastoral Risk Management Component that was implemented under PCDP II and which included Disaster Preparedness Strategy and Investment Program (DPSIP) and Support to Pastoral Early Warning Systems sub-component is no longer included in PCDP III. Components 1 and 2 under PCDP III will be implemented at the community level. Under Component 1 of PCDP III, the Project will continue to extend a community investment fund to targeted pastoral and agro-pastoral kebeles (sub-districts),further strengthen community-driven local development and promote the institutionalization of community demand-driven(CDD) approaches within woreda development plans. Women and men in pastoral and agro-pastoral communities will be supported to develop and implement Community Action Plans (CAPs) that reflect their development priorities. This will be complemented by providing capacity building for community institutions that facilitate the planning process, engage in resource mobilization, manage implementation of small public investment projects, and oversee associated service delivery. The focus of such capacity building will be on strengthening downward accountability of community based institutions, promoting broad participation and inclusiveness in consultation/planning processes, increasing technical competence and accountability in the implementation of sub-projects; and, improving the ability of community based institutions to positively influence service delivery. The Rural Livelihoods Program Component will support a holistic approach to strengthening and diversifying livelihoods of selected pastoral and agro-pastoral households including promoting savings and credit cooperatives (SACCOs) within pastoralist/agro-pastoralist communities to enhance access to finance, and helping

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SACCO members to be more effective in their investments. This Component will have three sub-components: (a) promoting establishment of financial cooperatives in PCDP target kebeles; (b) supporting effective identification, selection and development of opportunities for viable enterprise development and strengthening existing productive activities; and (c) supporting adaptive research and innovative production practices. Components 1 and 2 include community investment funds (that may finance small infrastructural sub-projects) and livelihood support activities that may affect the biophysical and human environment. As per the experience of PCDP I and II, CIF investments are likely to include development/management of natural resources, including water as well as construction of primary school buildings, health posts, veterinary clinics and rural roads. Rural livelihood activities to be funded by the project may include support to strengthening livestock production, which is the target communities’ traditional livelihood, as well as helping them to diversity into new income generating activities such as crop production, processing and marketing depending on their own priorities. The project can have both positive and negative impacts although it’s geographically dispersed investments are expected to create little to no adverse impacts that will anyway be largely avoidable through informed, community consultations and common-sense sub-project planning. Extensive consultations and specific environmental and social mitigation measures in accordance with the project’s safeguard instruments (ESMF, RPF and SA) will be carried out during project implementation so as to maximize the positive impacts and ensure that any negative impacts are avoided and/or mitigated.

4.2 Institutional and Implementation Arrangements PCDP III will be implemented through existing GoE structures and by community institutions. Implementation will be decentralized with beneficiary communities assuming primary responsibility for executing most project activities. Thus implementation of the project’s core activities, particularly CIF sub-projects and RLP interventions will be through community based institutions and teams; i.e., community groups, sub-kebele facilitation teams, frontline service providers, community project management and procurement committees, and community audit and supervision committees. The KDCs, as the developmental arm of the GoE’s lowest level administration structure, will provide general implementation oversight and will liaise with and coordinate support from MSTs, the woreda, other implementing agencies and implementers of other complementary interventions (including NGOs). PCDP III will include an intensive program for capacity building of community level institutions in a number of fields including safeguards. At the woreda level, the Woreda Development Committee– comprising the woreda administrator (or his/her deputy), sectoral office heads, the head of Woreda Finance and Economic Development (WoFED), and representatives of NGOs and/or microfinance institutions where they are available - will have oversight of PCDP III activities within each project woreda. It will approve all sub-projects proposed by kebeles, manage fund flows, monitor implementation, and ensure timely reporting on implementation progress. Each institution of the WDC will also assign dedicated focal persons from their respective offices (education, health, water resources development, pastoral development or agriculture, cooperative development, micro-

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enterprise development (if available), rural roads, and women and youth affairs) to provide technical support for the implementation of CIF and RLP. Focal persons will form a technical committee that meets at least on a monthly basis to plan coordinated visits to project kebeles. Woreda level implementation structures will also include a Woreda Project Appraisal Team with membership from the Woreda Offices of Pastoral Development (WoPD), WoFED and sectoral offices but separate from the technical team discussed above (so that its members have no facilitation responsibilities under the project and can maintain a certain measure of independence) to appraise and review sub-projects, particularly from the perspective of social and environmental issues, technical soundness, gender equity, consistency with the Woreda Development Plan, compliance with rules, and any issues raised by the Community Audit and Supervision Committees as well as to check readiness of community institutions for implementation of sub-projects, and as implementation proceeds, the achievement of milestones at different stages of sub-project implementation. In each woreda, WoPDs will coordinate the technical support. For some specialized support such as capacity building of the extension and veterinary services, market and technical analyses of livelihood opportunities, SACCO promotion, and research input for adaptive research within pastoralist-research groups, preparing designs for irrigation and road infrastructure, technical support will be managed by relevant regional bureaus coordinated through Regional Project Coordinating Units (RPCUs). Woreda implementing agencies will be supported by project-funded mobile support teams. At the regional level, Regional Steering Committees (RSCs) composed of heads of all relevant sectors, the head of the Bureau of Finance & Economic Development (BoFED) and led by the Pastoral Development Bureaus/Commissions(PDB/C) will provide overall guidance and leadership for the project. The RSCs will meet quarterly to review performance, endorse the quarterly progress reports and provide guidance on project implementation. At the beginning of the fiscal year, it will endorse the annual work plan, including budgets and procurement plans. If the regional arrangements are such that the PDB does not have sufficient authority to readily call heads of Bureaus for steering committee meetings, it will act as the secretary to the RSC, and the RSC will instead be led by the head of the Bureau of Agriculture (BoA) who also serves as the regional vice president. The RSC will be supported by the RPCU. In addition to its support to the RSC, the RPCU will provide implementation support to woredas, coordinate regional functions and oversee MSTs. At the Federal level, the Ministry of Federal Affairs (MoFA) will assume overall responsibility for project implementation supported by the Federal Project Coordination Unit (FPCU). The FPCU will sign memoranda of understanding with federal and regional implementing agencies to agree on respective roles and responsibilities.

4.3 Sub-project identification and community level planning process Community investment funds will be used to finance sub-projects within community plans the development of which will follow a three step process. Planning for the CIF and RLP (under Component 2) will initially be undertaken jointly to first develop a

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Community Development Plan (CDP) from which sub-projects for CIF funding as well as interventions for the RLP would be identified and agreed upon. The three step process will comprise: (1) an initial sensitization, awareness creation and general consultations that includes prior and informed consultations on the project’s modalities and rules, social mapping and gender awareness campaign and agreement on ethical principles; (2) situation analyses at the sub-kebele level that include identification and prioritization of communities’ primary development problems, development of community vision, and selection of representatives for CDP development; and (3) development of a 3-year rolling CDP at kebele level that translates the development visions from each sub-kebele into a kebele-wide plan. The CDP will serve to update and elaborate the existing kebele development plans. Consideration will be given during its development to ensuring complementarity with wider developments and that envisaged interventions do not create conflict with neighboring communities. Following the development of the CDP and based on its priorities, an annual Community Action Plan (CAP) will be developed for the CIF. The CAP identifies sub-projects, prioritized through a voting process, for financing through the CIF and lays down an annual action plan for implementation (including where they should be physically located). While technical specialists engage in discussions, voting will be limited to community representatives. Also, following the development of the CDP, an annual Community Livelihood Plan (CLP) will be formulated. The CLP will (a) identify households who will be supported to help them develop IGAs - the number of households to be selected will depend on capacity of the extension (or related) service to provide the necessary support1; (b) provide a long list of livelihood activities that communities believe have potential for further development; (c) identify key issues that threaten livelihoods and require external solutions; and (d) select model households who would be willing to devote time and resources to test solutions and innovative approaches to address issues identified and would be potentially organized into pastoralist-research groups. The CLP will be developed by community representatives with support from MSTs, relevant members of the WTC, particularly the WoPD, WoCP and Woreda Micro and Small Enterprise Development Office (if available), and research staff from a close research station or academic institution.

4.4 Environmental and Social Context and Baseline The project will cover all accessible pastoral and agro-pastoral woredas of Ethiopia’s lowlands of the country, with the exception of those covered under PCDP-1 (23 woredas in Afar, 54 woredas in Somali, 26woredas in Oromiya and 10 woredas in SNNP National Regional States). Eligibility criteria for woredas to be included into the Project are that they: (i) must be predominantly pastoral or agro-pastoral; (ii) should not have received similar support under PCDP-1;(iii) must be physically accessible to allow proper supervision particularly on fiduciary performance and safeguards compliance; and (iv) should not exhibit serious social tensions associated with various non-PCDP related developments in pastoral areas.

1Households identified for livelihood development will engage in further consultations with front line service providers such as DAs or woreda agricultural subject matter specialists and cooperative promoters on potential IGAs and receive training on business plan development, entrepreneurship, and technical aspects of their IGAs including demonstration of improved technologies related to their IGAs.

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Generally, the physical environment of the project areas under PCDP III is mostly arid and semi-arid intersected by several large rivers such as the Awash, Wabe-Shebelle, Omo-Gibe and Genale-Dawa. In terms of relief and soil characteristics, these areas are lowland areas less than 1,500m asl with yellow sand, yellow silt or red clay (oxidized) soils. Rainfall is erratic and the mean annual rainfall is less than 900mm and annual mean temperatures are above 18oC (Bereha agro-ecological zone >22oC and Weindega agro-ecological zone 18-20oC).These areas face recurrent drought. The project’s area of intervention may be in woredas where some natural habitats exist and are protected by law. These may include the Awash and Yangudi Rasa National Parks (Afar Region), Yabello Sanctuary in Borena (Oromia Region) and the Babile Wildlife Sanctuary (Somali Region). General vegetation in the selected pastoral regions is natural savanna (bushed grassland with patches of woodland), and the predominant main plant species are Acacia spp., Albizia spp., Erythrina spp., Cordia, Ficus, Belanitesa egyptica, Euclea schimperi, Grewia tembensis, G. bicolor, Indigoferaspicata, Commiphora, Prosopis juliflora and various species of grasses including Chloris pycnothrix, Hyparrhenia anthistiriodes, H. dregeana, Cenchrus ciliaris, Heterpogon spp., Setaria acromelaena, Aristida kenyensis, Cyondon dactylon, Panicum atrosanguineum, Microchloa kunthii, etc. In these areas, pastoralists whose economic mainstay is livestock rearing exploit grazing land extensively, resulting in long term degradation of rangelands and encroachment by invasive weeds such as Prosopis juliflora. Feed and water supply are achieved through either constant or partial herd mobility. Overgrazing coupled with the invasion of noxious weeds may lead to displacement of indigenous plant species and biodiversity loss in pastoral areas. For instance, in the large areas of the Borena zone overexploitation of groundwater has led to dropping groundwater levels and wells running dry. The project target population is comprised of pastoral and agro-pastoral households who depend on livestock as dominant livelihood and agro-pastoral households with small herds and flocks and who, to some extent, depend upon cropping. The population is estimated to be 12 million to 15 million. Pastoralism in Ethiopia relates to both an economic livelihood system that is based primarily on extensive livestock production, and to the characteristics of a community that is mobile and lives close to the country’s borders. Pastoral communities have rich customary laws used for many centuries for political and social administration of the rangelands and their people. Building on such laws, pastoral communities have developed traditional institutions and networks that have been serving their people in solving their various economic, social and political matters. The dominant social capital or customary institutions involve social support mechanisms, natural resources management systems, social security systems, and conflict resolution systems. The project will be implemented in 112 pastoral and agro-pastoral woredas of Somali, Afar, Oromia and SNNPR characterized by water shortage, frequent drought, shortage of grass/fodder, outbreak of human disease (particularly, malaria),livestock disease and gender disparities in access to productive assets are the main sources of vulnerability. Besides, they are characterized by poor infrastructure developments, very limited social services (and therefore low education and literacy levels), susceptibility to natural hazards, poor

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resource endowments, increasing competition for scarce resources and limited livelihood opportunities. The pastoralist and agro-pastoral communities are known to have complex social relations, are prone to conflicts and are located in the arid and semi-arid regions of the country where the environment is fragile. The main factors that induce conflict include competition over resources. Recurring conflicts between ethnic groups over the use of rangelands has been common phenomenon in most pastoral areas of the country. There has also been a loss of productive assets and increasing household food insecurity due to drought. Whereas, high population growth, and climate change are negatively affecting their resilience capacity and stretching the capacity of local institutions and customary practices cope with shocks and deal with resource management/sharing. As a community, pastoralists have been, in the past, economically, socially and politically sideline. Although significant improvements have been achieved over the last ten years, pastoralists remain under-served in terms of basic social services. Development issues faced by pastoralists include: (i) weak government institutions and limited public participation in local decision-making processes, (ii) poor access to social services; (iii) dependence on extensive livestock production with poorly developed support services, and uneven access to markets; (iv) long-term environmental degradation; (v) vulnerability to recurring droughts exacerbated by climate change; and (vi) increasing competition for natural resource use. Hence, PCDP III is designed to improve access to community demand-driven social and economic services for pastoralists and agro-pastoralists of Ethiopia. It contributes to improving livelihoods of pastoralists and agro-pastoralists in terms of growth and stability of incomes, improvements in health, nutrition and education status, as well as greater empowerment and decision-making authority in local development initiatives.

5. National Environmental and Social Legislation This section describes the legal and regulatory requirements for environmental and social impact assessment and management in Ethiopia.

5.1 Environment Adopted in 1995, the Ethiopian Constitution provides the framework for environmental protection and management in Ethiopia. The concept of sustainable development and environmental rights are presented in Articles 43, 44, and 92 of the Constitution: Article 43. The Right to Development identifies citizens’ right to improved living standards and sustainable development and participates in national development and to be consulted with respect to policies and projects affecting their community. Article 44. Environmental Rights stipulations that all citizens have the right to a clean and healthy environment; and those who have been displaced or whose livelihoods have been adversely affected as a result of state programs have a right to

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commensurate monetary or alternative means of compensation, including relocation with adequate state assistance. Article 92. Environmental objectives state that the government shall endeavor to ensure that all Ethiopians live in a clean and healthy environment. The design and implementation of programs shall not damage nor destroy the environment. Citizens also have a right to full consultation and to expression of views in the planning and implementation of environmental policies and projects that directly affect them. Government and citizens shall have the duty to protect the environment. The National Conservation Strategy (1995) takes a holistic view of natural and cultural resources and seeks to present a coherent framework of plans, policies, and investments related to environmental sustainability. The Strategy consists of five volumes: Natural Resource Base, Policy and Strategy, Institutional Framework, Action Plan, and Compilation of Investment Program. The Environmental Policy of Ethiopia was approved by the Council of Ministers in 1997. It is comprised of 10 sector and 10 cross-sector components, one of which addresses Human Settlements, Urban Environment and Environmental Health. The Policy is based on the findings and recommendations of the National Conservation Strategy of Ethiopia. The Policy contains elements that emphasize the importance of mainstreaming socio-ecological dimensions in development programs and projects. 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 sound management of the environment and use of resources so as to meet the needs of the present generation without compromising the ability of future generations to meet their own needs. The Environmental Policy provides a number of guiding principles that require adherence to the general principles of sustainable development. In particular, Environmental Impact screening will take into account the following:

• Considers impacts on human and natural environments, • Provides for early consideration of environmental impacts in project and

program design, • Recognizes public consultation processes as essential to effective

management, • Includes mitigation and contingency plans, • Provides for auditing and monitoring, • Is a legally binding requirement.

Proclamation 513/2007, Solid Waste Management aims to promote community participation to prevent adverse impacts and enhance benefits resulting from solid waste management. It provides for preparation of solid waste management action plans by urban local governments. Proclamation 299/2002, Environmental Impact Assessment makes EIAs mandatory for implementation of major development projects, programs, and plans. The Proclamation is a tool for harmonizing and integrating environmental, economic, cultural, and social considerations into decision making processes in a manner that promotes sustainable development.

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Proclamation 300/2002, Environmental Pollution Control requires developmental activities to consider environmental impacts before their establishment. The proclamation requires ongoing activities to implement measures that reduce the degree of pollution to a set limit or quality standard. Thus, one of the dictates of the proclamation is to ensure, through inspection, the compliance of ongoing activities with the standards and regulations of the country through an environmental audit. EIA Directive 1/ 2008, Directive to Determine Projects Subject to Environmental Impact Assessment was issued to determine the categories of projects subject to the EIA Proclamation 299/ 2002. To this end, the EIA Proclamation is to be applied to the types of projects listed under these directives.

5.2 Social The Ethiopian Constitution recognizes the presence of different socio-cultural groups, including historically disadvantaged and underserved communities, pastoralists, and minorities, as well as their rights to socioeconomic equity and justice. Article 39 of the Ethiopian Constitution recognizes the rights of groups identified as “Nations, Nationalities and Peoples”. They are defined as “a group of people who have or share a large measure of common culture or similar customs, mutual intelligibility of language, belief in a common or related identities, a common psychological make-up, and who inhabit an identifiable, predominantly contiguous territory.” This represents some 75 out of the 80 groups who are members of the House of Federation, which is the second chamber of the Ethiopian legislature. The Constitution recognizes the rights of these Nations, Nationalities and Peoples to: self-determination, including the right to secession; speak, write and develop their own languages; express, develop and promote their cultures; preserve their history; and, self-government, which includes the right to establish institutions of government in the territory that they inhabit and equitable representation in state and Federal governments. Most of the Project target communities belong to this population group. The Ethiopian Constitution also recognizes the rights of pastoral groups inhabiting the lowland of the country. The Constitution under Article 40 (4) stipulates ‘Ethiopian pastoralists have a right to free land for grazing and cultivation as well as a right not to be displaced from their own lands’. The Constitution under Article 41(8) also affirms that “Ethiopian pastoralists have the right to receive fair prices for their products, that would lead to improvement in their conditions of life and to enable them to obtain an equitable share of the national wealth commensurate with their contribution. This objective shall guide the State in the formulation of economic, social and development policies.” Pastoralist regions/areas recognized by the government are: Afar; Somali; Borena Zone and Fentele Woreda (Oromia); South Omo Zone, Bench-Maji Zone, and parts of DechaWereda in Keffa Zone (SNNPR); and, Nuer Zone (Gambella). The pastoralists comprise approximately 12-15 million people that belong to 29 groups of Nations, Nationalities and Peoples2. Whilst government policies have 2Pastoralist Forum Ethiopia, http://www.pfe-ethiopia.org/about.html

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strengthened and resource allocations increased over the last decades3, pastoralist areas are still amongst the least served in terms of basic services. Education indicators for pastoralist areas are among the lowest in the country: lowest literacy rates, highest dropout rates and greatest distance from schools (Jennings et al., 2011). Some pastoral households view formal education as a threat to the contributions that children make to the household and the pastoralist way of life. The Constitution also recognizes another group called “national minorities”. Article 54 (1) states that: “Members of the House [of Peoples Representatives], on the basis of population and special representation of minority Nationalities and Peoples, shall not exceed 550; of these, minority Nationalities and Peoples shall have at least 20 seats.” These groups have less than 100,000 members and most live in the ‘Developing Regional States such as Benshangul Gumuz, Gambella, Afar and Somali regions’. Owing to their limited access to socioeconomic development and underserved status over the decades, the Ethiopian government has designated four of the country’s regions, namely: Afar, Somali, Benshangul Gumz, and Gambella as Developing Regional States (DRS). In this respect, Article 89 (2) of the Ethiopian Constitution stipulates: ‘The Government has the obligation to ensure that all Ethiopians get equal opportunity to improve their economic situations and to promote equitable distribution of wealth among them’. Article 89 (4) in particular states: ‘Nations, Nationalities and Peoples least advantaged in economic and social development shall receive special assistance’. In connection with institutional framework designed to ensure equity between regions, the government has set up the Ministry of Federal Affairs (MoFA). The responsibilities of this Ministry include promoting equitable development, with emphasis on delivering special support to the developing regions. The main purpose of the especial support is to address the inequalities that have existed between the regions over the decades, thereby hastening equitable growth and development. A Federal Special Support Board, which consists of relevant sector ministries including the MoA, was reorganized in March 2011. The MoFA acts as Vice Chair and secretariat of the Board. A Technical Committee (TC) composed of sector ministries constituting the Board were also set up under the MoFA to monitor and report the implementation of special support plans. As its main aim, the Board coordinates the affirmative support provided to the developing regions by the different organs of the federal government, and ensures the effectiveness of the implementation process. In addition, the Equitable Development Directorate General has been set up within the MoFA, with directorates put in place to operate under it for the respective “Developing Regional States”. Among many other activities, the Directorate General coordinates and directs case teams to collect, organize and analyze data in relation to the gaps in capacity building, social and economic development, good governance, gender and environmental development in the regions in need of special support.

3PASDEP (2005 -2010), the previous five year poverty reduction plan to GTP promoted more targeted assistance to marginalized areas – the emerging regions and pastoralist/agro-pastoralist areas (MOFED 2010).

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6. Potential Environmental and Social Impacts

6.1 Positive Impacts During its first & second phase of Pastoral Community Development Program significant experiences have been gained in managing and expanding development activities in the pastoral and agro pastoral areas. There is significant improvement in livelihoods particularly in areas of access to basic services such as water, education, and health and risk management. Institutions have been developed and capacitated to manage development activities. It is expected that PCDP III will be beneficial to communities and to the environment since environmentally and socially sound natural resource (including rangeland) management practices (e.g. provision of water from ephemeral ponds, perennial springs and rivers, seasonal streams and wells; pasture rehabilitation and incorporation of forage crops into pastures; development and compliance with grazing land management rules, etc.) will be introduced.

6.2 Potential Negative Impacts The activities in PCDP III that are expected to have some land acquisition or restriction of access include the following: (a) community sub-projects such as rural feeder roads; (ii) schools; (iii) small-scale irrigation; (iv) water supply (ponds, shallow wells, cisterns, water pipe line extension, spring development): (v) health care (health posts and veterinary posts); and (vi) rangeland management; and (b) household livelihood diversification enterprise such as (i) livestock rearing/fattening; (ii)fish production; (iii) bee-keeping and honey production; and (iv)crop production activities; etc. Potential negative environmental impacts are expected to be related to management of waste water, solid waste, mis-use and abuse of agrochemicals for crops and livestock, disposal of chemicals and containers, loss of vegetation, soil erosion, soil contamination and water pollution, etc. At the social level, the project interventions can potentially generate adverse effects such as outbreak of social conflicts, occupation of private land during works, exclusion of vulnerable and underserved groups or women from participating in and benefiting from project interventions, land acquisition/use resulting in involuntary resettlement or loss of livelihoods or loss in access to economic resources, increase in malaria, and, loss in resource use, deny of opportunities or benefits. In order to cope with these potential adverse impacts, the environmental and social screening process proposed under the ESMF will be applied in such a way as to ensure that potential negative impacts are prevented and/or mitigated appropriately, and positive impacts are enhanced. Besides the ESMF, a RPF has been developed to provide special guidance and attention to the needs of vulnerable and underserved groups among the project-affected peoples (PAPs), especially poorer households, including the landless, elderly and disabled, women and children, vulnerable and underserved groups and ethnic minorities, and other historically disadvantaged peoples. A RPF was selected as the appropriate instrument since the nature and scope of sub-projects and specific sites for these sub-projects are not defined. Thus, during implementation phase of PCDP III

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when sub-projects and specific sites have been identified and, a comprehensive social assessment will be carried out to identify specific issues related to land acquisition, loss of assets, loss of means of income and source of livelihoods or restriction of access to resources, and the project-affected people. At that stage, the Bank’s safeguards policy on Involuntary Resettlement (OP 4.12) calls for the preparation of separate stand-alone Resettlement Action Plans (RAPs) consistent with the guidelines provided in this RPF. In the Ethiopian context, there is likely to be underserved groups in the pastoralists and agro-pastoralists areas, and therefore OP/BP 4.10 is triggered for this project. An enhanced social assessment for PCDP III has been prepared, consulted upon, and disclosed. This report was prepared in a participatory and consultative manner that included as a first step the community consultation process that provided for social mapping (to identify vulnerable and underserved groups), as well as “a process of free, prior, and informed consultation to fully identify target beneficiaries’ views and ascertain their broad community support for the project”.

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Table 1: Potential Negative Impacts and Possible Mitigation Measures for Sub-project activities

Type of Sub-Project Potential Negative Impacts Example of Possible Mitigation Measures

Construction sub-projects (class rooms, teacher accommodations, school perimeter walls, health care centers, dispensaries, maternity houses)

• Landslides and soil erosion on sloppy hillsides

• Terracing; excavation to level; control of water flows

• Destruction of vegetation during excavation may cause loss of flora and fauna

• Construction contracts to include provisions for limiting vegetative removal, and for re-vegetation of the construction area after completion of works

• Soil erosion, deposition of fine materials (sand, silts, clays) in downstream water courses during construction, particularly in the rainy season

• Construction contracts will require re-vegetation as soon as possible; contractors to be limited regarding activities that can be carried out in the rainy season; contractors will be required to treat excavated areas below flood water levels as required under the design contract (use of stone gabions and mattresses, before the start of each rainy season

• Traffic disruption • Best engineering practices to be employed to ensure traffic disruptions are kept to a minimum

• Dust impacts • In extreme cases, particularly near clinics, contractors will be required to moisten the construction area to minimize dust

• Pit formation from sand mining • Use sand from existing borrow pits; fill back pits • Health posts will generate medical

waste • Refer to Sub-Project Medical Waste Management

Include medical waste management provisions in the design of the health care facility

• Provide relevant training for medical waste management

• Ineffective management of pit latrines and water points at schools will contribute to water and soil pollution and related public health risks

• Choose culturally acceptable sanitation facilities • Ensure regular maintenance of pit latrines and

water points • Include hygiene and sanitation education in the

school curriculum • Cement/dust pollution • Dust control by water or other means • Pressures on existing water sources • Liaise with local utilities to ensure adequate water

supply • Soil and water pollution due to large

number of labourers on the construction site and related wastes

• Build latrines and ensure adequate waste water disposal; ensure safe storage of construction materials such as oils, paints

• Soil and water pollution due to remainder of construction wastes, tools, equipment, and temporary infrastructure, and use of quarries

• Contractors to clear construction site of temporary infrastructures and restore vegetation of the site, and to refurbish quarries

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Type of Sub-Project Potential Negative Impacts Example of Possible Mitigation Measures

Construction of roads sub-projects

• Footpath blocking drainage for runoff water

• Install culverts or bridges across natural and manmade drainage channels and keep cleared of debris

• Ponding on path providing breeding site for vectors of water borne disease

• Construct path so that water drains away by rising above surrounding ground level and by sloping the surface of the path towards the sides; fill depressions with granular material

• Footpath becoming a water course during rains and causing erosion

• Provide drainage ditches on both sides of the path and install small check dams to reduce velocity of water flow; direct water from ditch alongside footpath into natural or manmade drainage channels as frequently as possible to minimize the volume of runoff water carried by the ditch; plant shrubs and trees on the uphill side of the ditch to slow water runoff

• Erosion of lands downhill from road bed or in borrow areas

• Plant grass along the edge of the road; construct during dry season

• Create dust to nearby houses during construction

• Dust control by water or other means

• Increased sediments into streams, ponds and rivers due to erosion from road tops and sides

• Prevention of erosion by re-vegetation, dry construction and physical stabilization

• Possible land acquisition, loss of

livelihoods • Refer to RPF or OP 4.12

• Creation of stagnant pools of water in left b i

• Rehabilitation of borrow pits sites

• Flooding and erosion caused by overflowing and blockage of openings

• Ensure that openings are adequately sized to accommodate flows and organize regular clean out of openings

• Bridge deck failure causing accidents and injuries

• Establish and implement a maintenance program and establish a source of funding to pay for repair works

Construction of small scale irrigation schemes

• Competing claims over water use and

conflicts • Risk of erosion to downstream areas • Reduced water flow and limited access

to water in the downstream areas • Development of salinity due to

mismanagement of water and irrigated land

• Increased use of agro-chemicals and pesticides

• Soil and air pollution from agro-chemicals

• Ground and surface water pollution • Faulty designs causing flooding • Reservoirs (small dams for irrigation)

become breeding place for disease vectors (malaria)

• Involuntary land acquisition • Risk of land clearing and biodiversity

• Carry out assessment study on water demand and availability

• Carful design and installation of canal structures so that excess flows will be directed to natural waterways

• Regulate water flow and maintain the optimum flow to downstream dwellers and ecological requirements

• Adopt IPM for pest and weed control • Use only prescribed and standard agro-

chemicals (avoid unpermitted chemicals that are classified by WHO)

• Conduct social assessment and prepare RAP

• Apply water efficient technologies and techniques

• Provide alternative designs and locations or avoid if sub-projects directly affect physical cultural resources, destruct natural

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Type of Sub-Project Potential Negative Impacts Example of Possible Mitigation Measures

loss • Mismanagement of water may cause

gully erosion • Loss of water due to mismanagement • Reduced flow, erosion and

sedimentation on international waterways

• Impacts on physical cultural resources • Destruction of natural habitats through

land clearing for cultivation

habitats, inflict deforestation, or cause biodiversity loss

Water supply sub-projects

• Overexploitation of aquifers • Consult with regional hydro-geologist or regional EPA

• Spillage of water and creation of stagnant pools of water at well head which will be a breeding ground for vectors of water-borne diseases

• Select well site where water drains away from well; do not construct well in a depression or on low-lying, poorly drained site; construct drainage ditches to divert run-off water around well site; construct concrete pad around the base of the well head (see modular design); and build soak away pit

• Coordinate activities with ongoing Rural Water Supply and Sanitation Project as appropriate

• Contamination of well water by users • Install hand pump on the well and do not allow users to draw water by lowering containers into the well; ensure well head is properly sealed

• Contamination of well water by seepage from pit latrines

• Do not construct latrines within a minimum of 30 m of the hand dug well, 60 m is preferable

• Potential Negative Environmental and Social Impacts

• Possible Mitigation Measures

Soil and water pollution due to seepage from tanks

• Ensure regular emptying; conduct hygiene education campaign to raise awareness of the health risks of exposed sewage; establish and support affordable pump out services

Soil and water pollution • Ensure regular maintenance Possible land acquisition • Refer to RPF Sludge disposed of indiscriminately and causing health risks

• Ensure that sludge is properly dried and disposed of in a manner that poses no risk to human health

Animals accessing sewage ponds and transmitting diseases to people

• Install and maintain proper fencing to prevent animals from entering the area

Incompletely treated waste water contaminating surface water streams

• Operate ponds in a manner that only allows waste water meeting prescribed quality standards leaving the treatment site; ensure that ponds are sized and operated to retain waste water for an adequate period to complete the treatment process

• Possible land acquisition • Refer to RPF or OP 4.12, as appropriate • Erosion along banks of drainage channel

causing siltation of channel and loss of land

• Stabilize sections of bank susceptible to erosion; plant shrubs and trees on uphill side of ditch to slow water runoff

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Type of Sub-Project Potential Negative Impacts Example of Possible Mitigation Measures

• Contamination of water supply sources • Ensure latrines are located at least 30 m from hand dug wells and springs, and 60 m from

• Latrines overflowing and creating health risks through people and animals coming in contact with human wastes

• Conduct hygiene education campaign to raise awareness of the health risks of exposed human waste and promote the support and use of municipal or private sector cleaning services

• Flies and rodents carrying diseases from the latrines

• Block pathways for flies, i.e. by putting a screen over the vent and installing lid on the hole; ensure latrines are constructed with a suitable superstructure to prevent entry of rodents into vault

Open defecation • Conduct hygiene education campaign to raise awareness of the health risks of open defecation, and promote the use of latrines

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7. Environmental and Social Safeguard Policies to be triggered under PCDP III

In relation to community sub-projects and intervention for household-based livelihood diversification, the World Bank safeguard policies to be triggered under PCDP III are namely; • OP 4.01 Environmental and Social Assessment: This policy is triggered if a

project is likely to have potential (adverse) environmental risks and social impacts on its area of influence. OP 4.01 covers impacts on the social and natural environment (air, water and land); human health and safety; physical cultural resources. PCDP III will finance small scale community driven sub-projects some of which will require environmental management. These can include schools, health posts, veterinary posts, small water supply and irrigation infrastructure, small feeder roads, catchment management improvements and construction of market places. Thus, investments under PCDP III will be subject to environmental and social screening during the planning stage, and appropriate steps will be taken based on the results of the environmental and social screening process outlined in this document.

• OP 4.04 Natural Habitats: This policy is triggered by any sub-project and

household based livelihood intervention with the potential to cause significant conversion (loss) or degradation of natural habitats, whether directly (through construction) or indirectly (through human activities induced by the project). Pastoral areas in Ethiopia encompass some natural habitats which are protected by law, such as the Awash and Yangudi Rasa National Parks (Afar), Yabello Sanctuary (Borena) and the Babile Wildlife Sanctuary (Somali). It is conceivable that PCDP III may operate in woredas that border upon areas such as those mentioned above and which may qualify as natural habitats under OP 4.36. Although PCDP III will not finance any activities in natural habitats or those in the periphery likely to negative affect these ecological systems, PCDP III will take appropriate steps, as per this ESMF, to prevent and/or mitigate any potential impacts to these areas.

• OP 4.09 Pest Management: The policy is triggered if project may (i) lead to

substantially increased pesticide use and subsequent increase in health and environmental risk; (ii) maintain or expand present pest management practices that are unsustainable, not based on an IPM approach, and/or pose significant health or environmental risks. PCDP III’s Rural Livelihoods Program will support the diversification and strengthening of pastoralists’ livelihoods and may indirectly involve use of pesticides or other chemicals to improve productivity and animal health. PCDP III will adopt safe practices regarding pest management in its agricultural sub-projects and vector management in its animal health sub-projects to ensure that these investments are environmentally and socially sustainable. An Integrated Pest Management (IPM) Framework is annexed to the ESMF.

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• OP 4.10: The objective of this policy is to (i) ensure that the development process fosters full respect for the dignity, human rights, and cultural uniqueness of vulnerable and historically under-served communities and peoples; (ii) ensure that they do not suffer adverse effects during the development process; and (iii) ensure that such communities and peoples receive culturally compatible social and economic benefits.

The Project triggers OP4.10 because it will operate in areas where the vast majority of people meet the criteria of this policy. Ethiopia has adequate constitutional provision to cover the needs of vulnerable and historically under-served nations, nationalities and peoples. The Project has conducted an enhanced social assessment that was carried out under extensive consultation in the selected geographical areas.

• OP 4.11 Physical Cultural Resources: The objective of this policy is to assist

countries to avoid or mitigate adverse impacts of development 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.

• PCDP III micro-projects would be unlikely to involve excavation or inundation

and are thus not likely to affect physical cultural resources. Furthermore, activities will be carried out only in areas selected by local citizens who would give great importance to safeguarding their cultural property. The policy is, however, triggered in case of chance findings. No sub-project that might have negative impacts on cultural property will be funded without acceptable mitigation measures prepared prior to execution of any such subproject. This policy is triggered because in the course of executing sub-project activities that involve civil works there is a likelihood of “chance find”. There are national procedures and guidelines for reporting chance finds to be followed, and a national entity for coordinating and facilitating the archiving, safekeeping and documentation of physical cultural resources is in place.

• OP 4.12 Involuntary Resettlement: This policy covers not only to physical

relocation, but also 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. Though all PCDP III sub-projects will be planned and implemented based on decisions made by the communities, OP 4.12 has been triggered as a precautionary measure. A separate RPF has been prepared to guide the implementation of preventive and mitigation measures related to land acquisition and restriction of access to natural resources.

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• OP 7.50 Projects on International Waterways: PCDP III would abstract significantly less water from any of the shared rivers or drainage systems. This notwithstanding, the Project has, in accordance with the requirements of the policy, sent renewed notification of intended water use to the Governments of Somalia, Djibouti and Kenya.

• OP 4.37 Safety of Dams: Although there could possibly be construction of small dams under PCDP III, particularly for small scale irrigation, they may not be large (more than 4.5 meters high) and therefore may not require special procedures that are normally applied for large dams to follow. This notwithstanding, the Project will trigger OP 4.37 (Safety of Dams). In cases of small dams construction (less than 4.5 meters), the Project will use the FAO ‘Manual on Small Earth Dams, A Guide to Siting, Design and Construction’ (FAO Irrigation and Drainage Paper # 64, Rome, 2010. Available at FAO website: www.fao.org). In addition, the guideline for small dam construction prepared by the MoA will be used to ensure safety of small dams. The guideline is attached as Annex XIII.

8. PCDP III Environmental and Social Management Framework The updated ESMF for PCDP III builds on lessons from implementation of the PCDP II screening process. It does not take into consideration impacts that might have occurred because of implementation of large infrastructure development activities related to the Disaster Preparedness Strategic Investment Program (DPSIP) under PCDP II. These activities are no more part of PCDP III. However, the ESMF for the PCDP III reflects the inclusion of Component 2 (Rural Livelihood Program). As stated in the introduction section of this ESMF, the purpose of this instrument is to provide guidance to PCDP staff, communities, districts (woredas) and others participating in PCDP III regarding the sustainable environmental and social management of sub-projects and households’ livelihood diversification or income generating activities where the exact locations and potentially negative localized impacts were not known prior to project appraisal. The ESMF screening process is designed as part of the appraisal of community sub-projects and household targeted livelihood diversification interventions. Investments under PCDP III will be subjected to environmental and social screening during the planning stage, and appropriate prevention and mitigation steps will be taken based on the results of the environmental and social screening process outlined in this document. This ESMF will help to ensure that the proposed household-based livelihood diversification activities are considered and executed fairly and equitably by all local groups- vulnerable and underserved nations, nationalities and people. Moreover, it will ensure that women, in particular female headed households do benefit from the proposed interventions. It screens the household based interventions in terms of their contribution to the potential emergence of conflict or exacerbation of conflict within the community. In connection with RLP supported activities, the ESMF also define the type of adverse social and environmental impacts in terms of loss of cultivable

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land, loss of traditional livelihoods, loss of grazing land and other natural resources as a result of the implementation of proposed household based enterprises to mitigate any impacts. Typical community subprojects and interventions for household income generating/livelihood diversification include; CIF RLP • Schools • Health posts • Veterinary Posts • Small-scale water

supply (ponds, shallow wells, cisterns, water pipe line extension, spring development)

• Livestock husbandry/production and livestock product marketing

• Petty trade • Livestock fattening • Grain marketing • Fish production and

marketing • Small-scale irrigation • Small feeder roads • Rangeland

establishment and management

• Market places

• Honey production and marketing

• Making of cultural clothes

• blacksmithing • pottery • cash crop production and

marketing This updated ESMF will be submitted for IDA’s review and publicly disclosed before appraisal of PCDP III. In order to ensure effective coordination and implementation of the ESMF, RPF, SA and any other supplemental safeguard instruments, the Project will recruit a Safeguard Specialist (with expertise in social development and environment) at the Federal Project Coordination Unit (FPCU). Additionally, monitoring of safeguard instruments will be strengthened by including measurable indicators and clear reporting system concerning triggered safeguard policies. The updated ESMF will be part and parcel of the PCDP III Implementation Manual (PIM) for use by PCDP staff and other implementers for vetting and screening sub-project proposals to ensure that the environmental and social assessment and management requirements of sub-projects and household based interventions are met effectively. As far as the community subproject is concerned pastoral communities will identify, prioritize, design, and implement sub-projects that reflect their development priorities identified in a Community Development Plan (CDP) and elaborated in Community Action Plans (CAPs). Using simple sub-project application forms, communities will clearly define their objectives and propose activities and budgets, while taking into consideration the environmental and social implications of their projects. Proposed CAPs will be submitted to Woreda Development Committee (WDC) for approval A WDC, comprising representatives of the woreda administration, woreda sector offices, community representative and civil society will approve CIF requests once a Woreda Appraisal Team has appraised them checking inter alia for any environmental and social impacts. Woreda Appraisal

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Teams with support from an MST member (that has not been engaged in facilitating the community planning process—most probably the accountant cum compliance specialist) will be responsible to fill screening forms. The Woreda Appraisal Team will include qualified staff from both pastoral development office, cooperative promotion office, water resources development office, education office, and trade and industry development office. All members will be separate from the WTC so that they would not have any facilitation responsibilities under the project and can maintain a certain measure of independence. Approval of CIF proposals will be made at the woreda level against transparent criteria known in advance to all stakeholders, and evaluated according to technical standards from line sector Bureaus

The Rural Livelihoods Fund (RLF) under PCDP III will also finance income generating activities by households selected through the community planning process and identified within a Community Livelihood Plan (CLP) that is drawn from the CDP. Therefore, negative environmental and social impact should be identified during the planning stage and as part of appraisal processes. The Woreda Appraisal Team (discussed above) will fill screening forms, check feasibility and submit to WDC for approval of any business plans supported through PCDP III. Moreover, the implementation of the mitigation measures will be reviewed in connection with performance monitoring guidelines. In this regard and as stated above, MSTs and staff from concerned woreda sector offices will work together to review the implementation of mitigation measures. Income generating activities (or strengthening of livestock production) will be supported through the development of business plans, through seed money for RUSACCOs that will on-lend for investment on such activities or through innovative grants to promote innovations. All proposals will go through an environmental and social screening process. The ESMF under PCDP III will consist of: (i) seven steps involved in the screening, review and approval of sub-projects and interventions to be supported under the Rural Livelihood Program;(ii)implementation, supervision and monitoring;(iii) capacity building plan; (iv) implementation cost of ESMF; (v) an environmental and social screening form; (vi) an environmental and social checklist to be completed by qualified personnel; and (vii) guidelines that could be implemented by qualified staff at the community and Woreda levels.

8.1 Steps in the Application of the ESMF

Step 1: Environmental and Social Screening The objective is to assess any potential safeguard issues early in the design and preparation process. The initial environmental and social screening will be carried out through the use of the Environmental and Social Screening Form (Annex I& II for Community Sub-projects and annex VIII for Rural Livelihood Program supported interventions) and the use of the RPF. These forms will be completed by the Woreda Appraisal Team and a qualified member of the MST for the purposes of identifying the potential environmental and social impacts, determining their significance, and making recommendations as to the required environmental and social work that needed to be done. To be qualified for this task, the members of the Woreda Appraisal

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Team and MST will receive relevant training in environmental and social safeguards management. The environmental and social screening will focus on the following issues, among others:

• Would the sub-project lead to significant conversion or degradation of critical natural habitats and forest resources?

• Would the sub-projects adversely affect physical cultural resources? • Would sub-projects involve the use of pesticides or agrochemicals? • Would sub-projects lead to social conflict, loss of livelihoods, restrictions

and access to resource use? • Would sub-projects require land acquisition or relocation of local

communities? • Would sub-projects affect vulnerable or under-served peoples/groups or

women without having obtained their free, prior and informed consent? Step 2: Assigning the Appropriate Environmental Categories Based on the environmental and social screening results, the appropriate environmental category – “C” or “B” – for the proposed sub-project will be determined. This step will be carried out by the Woreda Appraisal Team with support of a qualified member from the MST. Woreda Appraisal Team and MST staff will receive appropriate training to be able to carry out their tasks effectively.

The assignment of the appropriate environmental category will be consistent with the provisions of the World Bank’s OP 4.01 Environmental Assessment. Consistent with this operational policy, some sub-project activities such as construction, rehabilitation, irrigation, or/and livestock activities are likely to have some negative environmental and social impacts that might require mitigation.

Some sub-projects might be categorized as “B” meaning that the potential adverse environmental impacts on human populations or environmentally important areas – including wetlands, forests, grasslands, and other natural habitats – are site-specific, few if any of the impacts are irreversible, and they can easily be mitigated.

The environmental assessment category of a sub-project will be defined during the screening step. If the screening form has only “No” entries, the sub-project will be a “C” and will not require further environmental work. The chair of the Woreda Appraisal Team will recommend approval of this sub-project to the WDC and implementation can proceed. If there are any “No” entries, the sub-project will be a “B” and will require further preparation work (Step 3 below). As far as the rural livelihood diversification is concerned, the primary reason to promote livelihoods is the belief that all human beings have the basic right to equal opportunity. Thus, it is necessary to ensure that a poor household has a stable livelihood that will substantially increase its income, and over a period of time, asset ownership, and social participation. The focus on identification of investment opportunities, innovation, and prospects for diversification is to enable pastoral and agro-pastoral households to develop more robust livelihoods and to improve the rate of return on economic activities through the use of improved technology and

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innovative methods such as improved seed varieties, improving soil fertility and better animal varieties. The focus of the ESMF in the case of the rural livelihood program will be to screen the proposed intervention in terms of(a) the extent to which returns of investments have been considered, (b) the extent to which consultations have been inclusive, particularly of those who are believed to have been left out mainstream development (e.g., vulnerable and poorest households, the landless, the underserved people, women, minorities and people living in inaccessible areas), and (c) the cumulative effective of investments on the environment. In this regard, the Screening Form and Guideline that will serve as checklist in selection and appraisal of interventions is provided by Annex VIII and Annex IX of this document. Step 3: Carrying Out Environmental and Social Work After reviewing the results of the environmental and social screening process, and having determined the appropriate environmental category, the scope of the required environmental and social work will be determined. Thus, the Woreda Appraisal Team with support from the relevant MST member and concerned stakeholders at the community level, will determine the extent of environmental and social work required, that is, whether the application of mitigation measures outlined in the Environmental and Social Checklist will suffice. Depending on the screening results, the following environmental and social work can be carried out:

Environmental and Social Checklist

This Environmental and Social Checklist (Annex III) includes mitigation measures for the project’s environmental and social impacts, which are minimal to moderate and which do not require EIA. Additional details will be included by the Woreda Appraisal Team, with support from a member of the MST and relevant stakeholders at the community level, once the works and sites have been finalized by the communities. This checklist will be completed in consultation with the relevant local communities as well as potentially affected persons.

For infrastructure development with existing standard designs, the qualified sector staff at the woreda sector office and the MST will assess them for impacts on the selected land site and, if necessary, in consultation with concerned regional Bureaus modify the design or the proposal to include appropriate mitigation measures.

Once the Woreda Appraisal Team and MST are satisfied that the sub-project and household targeted intervention proposals are environmentally and socially compliant, the Woreda Appraisal Team will then submit the sub-project, business plan or innovation grant proposal to the WDC for approval at the woreda level. The sub-project or seed money/innovation grant proposal documentation must be accompanied by the completed environmental and social screening forms. The WDC will review and approve the sub-projects and fund requested for household interventions. However, if WDC is not satisfied with the result of screening process and suggested mitigations then WDC will refer the form for further screening. Accordingly, MST and woreda staff will conduct a rescreening and then resubmit the amended proposal to the Woreda Development Committee for approval.

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Step 4: Review and Approval Upon receipt of all the relevant sub-project and household livelihood diversification intervention proposal, the WDC will review the environmental and social screening results, as well as the environmental checklists that were completed in the course of community sub-project and household based intervention preparation to ensure that all environmental and social impacts have been identified and successfully mitigated and that the process for free, prior and informed consent to both CAP and CLP development has been properly followed. All pastoralists and agro-pastoralists (i.e., PCDP beneficiaries) are considered to be living in ‘underserved areas’, therefore the WDC must be satisfied that sub-projects and household based interventions to be financed by PCDP have been developed in the context of a memorandum of engagement that documents broad community consent for the CAP and CLP development process. The WDC must also ensure that proposals include monitoring and institutional measures to be taken during their implementation and operation. A review of the final proposal will, besides reviewing the general proposal against the PCDP III objectives and procedures, assess the adequacy of the sub-project’s and household based activity preparation process and implementation measures vis-à-vis the safeguard issues, including:

• Compliance with this ESMF, RPF, SA and World Bank environmental and social safeguard policies and supplemental instruments as well as national environmental and social policies

• Potential to cause adverse environmental impacts • Potential to cause adverse social impacts • Adequacy and feasibility of the proposed safeguard mitigation measures

and monitoring plans. Based on the review of the sub-project or household based intervention documents and if the proposals have satisfactorily addressed all environmental and social issues, the WDC, upon advice of the MST will give final approval.

If the WDC finds that the submitted proposal is not consistent with the requirements of the environmental and social screening based on the environmental and social checklist, then the sub-project/household based activity implementer would be requested to re-design (e.g. make additional modifications and/or choose other sites) and re-screen the project until it is consistent with the environmental and social screening requirements.

The WDC will then review again the revised application, if found acceptable, it will give final approval for sub-projects and seed money/innovation fund proposal. If it is not acceptable for the second time, any proposal for funding that do not comply with the requirements of Ethiopian policies and regulations and the World Bank Safeguards policies will not be cleared for approval. A summary of the World Bank’s safeguard policies is attached herewith (Annex X).

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Step 5: Public Consultation and Disclosure Public consultations as part of the environmental screening and identification of mitigations are critical in preparing an effective and sustainable sub-project as well as livelihood intervention that fits the situation of the households. This requirement is complemented by the participatory planning process that is followed by PCDP at the community level when sub projects or viable household based interventions are being identified as part of the development and implementation of local development plans for the area. PCDP III being a participatory project, beneficiaries is expected to be directly involved in the whole project cycle right from the design, to implementation and monitoring.

The first step in this regard is to hold public consultations with the local communities, households and all other stakeholders during the screening process. These consultations should identify key issues and determine how the concerns of all parties will be addressed. Once the sub-projects, business plans and/or innovation grant proposals have been reviewed and approved by the WDC, the WDC will inform the public about the results of the review. For all proposals that will be implemented at the community level, the WDC will be responsible for disclosing the findings and recommendations of the environmental and social screening process to the communities or households, assisted by the Woreda Appraisal Team and qualified member of the MST. The Woreda Appraisal Team or MST will be responsible for taking the minutes of the consultation and disclosure meetings. The office of the WDC will produce and distribute copies of the minutes to offices at the community and Woreda levels. Any affected or interested individual or group has the right of appeal, if dissatisfied with the decision reached at any stage of the appraisal process. Concerning community sub-projects the appeals process will follow the procedures outlined in CIF operation manual.

In the context of the PCDP III Monitoring Program, the communities will undertake both compliance monitoring and effects monitoring throughout the sub-project cycle. As far as household based interventions under RLP is concerned, environmental and social impact screening and selection and appraisal criteria are clearly stated in annex VI and will be part of RLP operation manual. Step 6: Monitoring and Evaluation

Environmental and social monitoring needs to be carried out during the construction as well as operation and maintenance of the sub-projects or identification and implementation of household interventions in order to measure the success of the mitigation measures implemented. The responsibilities for monitoring and evaluation of the mitigation measures adopted would be assigned as follows: MSTs will be responsible for the day to day monitoring and reporting of feedback throughout the whole process. They will supervise and review environmental and social safeguard documents and issues during implementation. If needed, they will

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make changes to safeguard measures and/or implementation of these. Specifically the monitoring of:-

• The environmental and social assessment work to be carried out; • Monitoring of environmental and social issues and the supervision of the

civil works contractor during the construction process; • Monitoring of environmental and social issues during operations and

maintenance of the infrastructure and facilities when handed over to the communities after construction;

• Monitoring the implementation of household based interventions; • Submission of monitoring reports to the WDC and regional project

coordination unit; • The monitoring and reporting will be done by members of the MST and

staff representing the respective sector at the Woreda level who will be adequately trained.

At community level: communities, through their representatives will undertake - after training - both compliance monitoring and effects monitoring. This will be done throughout the sub-project cycle namely:

• During the planning phase, the communities will participate in the identification of indicators for monitoring the mitigating measures;

• During implementation (construction) phase, monitoring the execution of works with respect to environmental and social aspects, e.g. verify the compliances of the contractors with their obligations;

• During operation and maintenance phase, the overall environmental and social impact monitoring and alerting on any emerging environmental and social hazards in conjunction with the ongoing sub-project activities.

FPCU and RPCUs: The monitoring and reporting will be done also by the FPCU and RPCUs. They also monitor and document the implementation of safeguard measures. When peoples and communities are affected, they will be included in participatory monitoring and evaluation exercises. Monitor and document the implementation of Resettlement Action Plan prepared for community sub-projects or household based interventions restricting access to natural to ensure that individual mitigation measures are effective through periodic field visits. Moreover, implement the training program and provide through technical support to the WDC. Performance Reviews: FPCU and RPCU will conduct performance reviews of all safeguard policies, including those were not triggered. The purpose of these reviews is to support compliance with safeguard policies, to identify the emergence of any unforeseen safeguard issues, to determine lessons learnt during project implementation; to provide recommendations for improving future performance; and to provide an early warning about potential cumulative impacts. Besides, the World Bank, as necessary, will periodically conduct reviews of the implementation of the ESMF, RPF, supplemental safeguard instruments and other operational policies under PCDP III.

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Step 7: Monitoring indicators The objectives for monitoring are: (i) to alert project implementers and to provide timely information about the success or otherwise of the changes to be made, if required; (ii) to make a final evaluation in order to determine whether the mitigation measures designed into the sub-projects and household interventions have been successful in such a way that the mitigation measures are properly in placed and environmental and social condition positively maintained. Indicators will be developed for potential unintended environmental and social negative impacts in its Participatory Monitoring and Evaluation System. The Project will also evaluate the implementation and outcomes of safeguard measures. When historically underserved areas are affected, they will be included in the participatory evaluation exercises. The environmental and social impacts will be monitored and mitigated upon design, approval and mitigation measure implementation. Details of this are in the Participatory Monitoring, Evaluation and Learning Manual.

9. Implementation, Supervision and Monitoring

9.1 Implementation and process monitoring Environmental and social monitoring needs to be carried out during the construction as well as operation and maintenance of the sub-projects or identification and implementation of household interventions in order to measure the success of the mitigation measures implemented. Monitoring will be conducted to alert project implementers and to provide timely information about the success or otherwise of the changes to be made, if required. The requirements of this updated ESMF will be implemented through the normal implementation arrangements for PCDP III. As it was during PCDP II, overall project management will be carried out by the FPCU in the Ministry of Federal Affairs (MoFA). Moreover, FPCU will recruit a Safeguard Specialist (with expertise in social development and environment) at FPCU and Somali and Afar regions. In Oromia and SNNPR there are well staffed structures both at woreda and regional level who can give any technical supports in both planning, implementation, monitoring and evaluation related social and environmental safeguards. Thus, the RPCUs and MSTs will be directly responsible for ensuring that woreda staff are trained in the use of this ESMF, and are fully supported in implementing and monitoring it. The FPCU will be responsible for ensuring that annual performance reviews of ESMF implementation are carried out in all PCDP III regions and woredas. MSTs will be responsible for the day to day monitoring and reporting of feedback throughout the whole process. They will supervise and review environmental and social safeguard documents and issues during implementation. At community level: Communities, through their representatives will undertake - after training - both compliance monitoring and effects monitoring. This will be done

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throughout the sub-project cycle namely: during the planning phase, implementation (construction) phase and during operation and maintenance phase.

The monitoring and reporting will be done also by the FPCU and RPCUs. They also monitor and document the implementation of safeguard measures. When peoples and communities are affected, they will be included in participatory monitoring and evaluation exercises. Monitor and document the implementation of Resettlement Action Plan prepared for community sub-projects or household based interventions restricting access to natural to ensure that individual mitigation measures are effective through periodic field visits. Moreover, implement the training program and provide through technical support to the WDC.

9.2 Result monitoring The results monitoring plan has two components: i) monitoring of the compliance and effectiveness of the ESMF and application of the recommended standards; ii) impact monitoring, i.e., measuring the socio-economic impacts of the Project interventions. The M&E system will provide the required information for results monitoring. FPCU and RPCU will conduct result monitoring of all safeguard policies, including those were not triggered. The purpose of these reviews is to support compliance with safeguard policies, to identify the emergence of any unforeseen safeguard issues, to determine lessons learnt during project implementation; to provide recommendations for improving future performance; and to provide an early warning about potential cumulative impacts. Besides, the World Bank, as necessary, will periodically conduct reviews of the implementation of the ESMF, RPF, supplemental safeguard instruments and other operational policies under PCDP III. Moreover, to make a final evaluation in order to determine whether the mitigation measures designed into the sub-projects and household interventions have been successful in such a way that the mitigation measures are properly in placed and environmental and social condition positively maintained. Monitoring indicators are developed for potential unintended environmental and social negative impacts in its Participatory Monitoring and Evaluation System. The Project will also evaluate the implementation and outcomes of safeguard measures. When historically underserved areas are affected, they will be included in the participatory evaluation exercises. The environmental and social impacts will be monitored and mitigated upon design, approval and mitigation measure implementation. The FPCU will as needed, engage third party consultants/organization for external monitoring of the ESMF and RPF. Details of this are in the Participatory Monitoring, Evaluation and Learning Manual.

10. Capacity Building Plan The implementation of project interventions will be undertaken in a decentralized fashion and the ESMF& RPF and requirements for OP/BP 4.10 will be applied at the woreda level. Woreda level government offices do not, however, have the necessary capacity to apply these safeguards instruments effectively. .GoE staff at all levels will

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therefore need further training to strengthen social and environmental impact assessments for sub-projects as well as their implementation; and to ensure adequate monitoring. Capacity building training plan will be developed to (i) enhance the capacity of all implementing entities at the federal and sub-national levels to be able to implement and monitor the execution of safeguard instruments; and (ii) to enhance capacity of community levels public administrative structures and community-based institutions to monitor issues related to triggered safeguards. Given limited capacity within PCDP III implementing agencies, effective implementation of safeguards instruments will require the support from project coordination units and MSTs. PCDP III will appoint Socio-Environmental Officers at FPCU and within the Afar and Somali RPCUs to closely monitor and provide technical support to MSTs, Woreda Administration and other stakeholders that will be involved in the screening of the sub-projects for the effective implementation of ESMF and RPF. In Oromiya and SNNPR, existing institutions responsible for environmental protection and land use management will provide focal persons to follow up on safeguard issues under the project. To mitigate any potential social and environmental impacts of PCDP III activities, the woreda administration will be asked to establish an appraisal team to review sub-projects for inter alia social and environmental issues as per the ESMF and RPF checklists. The appraisal team will be provided with training on social development and environmental assessment and will be supported by MSTs. Additionally, indicators related to social and environmental concerns will be included in the Project’s monitoring framework to allow close follow-up of any emerging issues. Capacity building of Socio-Environmental Officers and other related personnel will be undertaken at the FPCU and RPCU levels. Training will also be provided to other project team to create awareness on issues relevant to the context of the project including conflict, gender, and other social issues to improve the knowledge and skills of project implementers. Additionally, specific training and capacity building of kebele and sub-kebele community structures involved in the identification, selection and approval of infrastructural projects will be provided by MSTs. The FPCU will as needed, engage third party consultants/organization for external monitoring of the ESMF and RPF. The following training program will be carried out in all Woredas of PCDP III. As the need is indicated by the Performance Reviews or M&E activities, refresher courses will also be prepared and delivered during PCDP III. Training will be given for one day at federal level and one day in each four region. The capacity building training will be given on the following areas namely;

Environmental and social impact screening process and using ESMF checklists

o Screening process o Assignment of environmental categories o Rationale for using Environmental and Social Checklists

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o The importance of public consultations and participation of households in the screening and planning process

o How to monitor the implementation of subprojects and the household based interventions

Safeguard policies, procedures and sectoral guidelines

o Review and discussion of Ethiopia’s environmental policies, procedures, and legislation

o Review and discussion of the Bank’s safeguard policies o Review and discussion of Ethiopia’s existing sectoral guidelines o Collaboration with institutions at the local, regional, federal levels

Selected topics on environmental protection and social safeguards

o Soil erosion o Desertification o Deforestation o Water quality control o Waste disposal, including medical waste o HIV/AIDS, Malaria, etc. o Natural resource utilization o Selection of viable household enterprise

The physical plan of the training action plan is depicted below.

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Table 1 .Training at Federal Level organized by Federal Project Coordination Unit

Participants Number Resource Persons Duration

1. Regional Water, Road, health, education Bureaus & PDO concerned experts

20 Resource person(s) experienced consultant

day

2 Project Coordinators 5

3 Community Driven Service Provision and M&E Officers at FPCU and RPCUs

10

4 FPCU, Environmental and Social Development specialist 1

5 Federal Cooperative Agency 1

6 Regional cooperative promotion bureaus 4

Table 2. Training at Regional Level organized by-regional Project coordination Units

* Training modules will be prepared in customized manner by FPCU.

Participants (Resource Persons) Trainer Duration 1 Relevant MST Member(s) Project staff received training at

Federal level One day in each region

2 Woreda coordinator 3 Experts from woreda sector Offices and

WoFED (members of the Woreda Appraisal Team)

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Table 3. Training at Woreda level organized by regional Project Coordination Unit

Participants Total

number (Resource Persons) Trainer Duration

1. WDC Members TBD MST members Selected regional sector

office experts as per the local context

3 days 2. Experts from Woreda sector office

(other than members of the Woreda Appraisal Team)

TBD

3 Community project management committee

TBD

4 Kebele development committee

TBD

3. RUSACCO committee members TBD

NB: The number of participants from woredas, kebeles and communities will be determined later based on in the AWPB of the first year of the project.

11. Implementation Cost of the ESMF, RPF and SA The proposed budget shown below in Table 4 for capacity building, training and implementation of the ESMF and mitigation measures is prepared taking into account expert estimates for proposed activities. The budget stands open for revision and improvement as and when needed by the FPCU.

Table 4: Estimated budget for capacity building for implementation of the ESMF, RPF, SA and mitigation measures

No. List of activities Budget for period 2014-2018 in USD Total A Training & Awareness at start of

project implementation Year 1 Year 2 Year 3 Year 4 Year 5

1 Awareness and ToT at federal level 12,300 12,300 2 Awareness and ToT at regional level 75,200 75,200 3 Awareness and Training at woreda

level 143,250

143,250 Sub-total 230,750 230,750 B Refresher training 1 Federal level 4,920 4,920 2 Regional level 35,040 35,040 3 Training at woreda level 143,250 143,250 Sub-total 183,210 183,210 C Implementation of ESMF, RPF &

SA and mitigation measures

1 Sub-project screening process 6,300 10000 12500 28,800 2 Monitoring and evaluation

25,200 40,000 50,000 115,200 3 Implementation of mitigation

measures

170,000 150,000 150,000

470,000

Sub-total 201,500 200,000 212,500 614,000 Total 230,750 201,500 383,210 212,500 1,027,960

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Annex I. Community Sub-projects Social Screening Form (SSF) The Social Screening Form (SSF) has been designed to assist in the evaluation of sub-projects of PCDP in Ethiopia. The form is designed to place information in the hands of implementers and reviewers so that impacts and their mitigation measures are determined. The Form contains information that will allow reviewers to determine the characterization of the prevailing local bio-physical and social environment with the aim to assess the potential social negative impacts of the sub-project. The social screening form is a generic form and can be used for all subprojects

A. Name of the sub-project………………………………………………

B. Sector……………………………………………………………………

C. Name of the kebele /community---------------------(in which the sub-project is

to be implemented)

D. Name of the Approving Authority …………………………………………

E. Contact details of the person responsible for filling out this SSF:

Name: ……………………………………………………………………….. Job title:……………………………………………………………………… Telephone numbers:……………………………; ……………………….. Fax Number: …………………………………. E-mail address: ……………………………….. Date: ………………………………………….. Signature: ……………………………………..

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PART A: BRIEF DESCRIPTION OF SUB-PROJECT Please provide information on the type and scale of the sub-project (area, required land, approximate size of total building floor area, etc.).

Provide information about actions needed during the construction of facilities including support/ancillary structures and activities required to build it, e.g. need to quarry or excavate borrow materials, laying pipes/lines to connect to energy or water sources, access roads, etc. Describe how the sub-project will operate, including support/activities and resources required operating it, e.g. roads, disposal sites, water supply, energy requirement, human resources, etc. PART B: SOCIAL SAFEGUARDS SCREENING FORM:

Social safeguards screening information Yes No 1 Will the sub project activities reduce other people’s access to their

economic resources, like land, pasture, water, public services or other resources that they depend on?

2 Will the project result in resettlement of individuals or families or require the acquisition of land (public or private, temporarily or permanently) for its development?

3 Will the project result in the temporary or permanent loss of crops, fruit trees and household infra-structure (such as granaries, outside toilets and kitchens, etc.)?

4 Will the project require excavation near any historical, archaeological or cultural heritage site?

5 Might the project adversely affect vulnerable people and underserved groups (e.g., elderly poor pensioners, physically challenged, women, particularly head of households or widows, etc.) living in the area?

For all issues indicated by “Yes”, the applicant is expected to explain how he/she intends to mitigate them. Implementation of the mitigation measures will require using the Rresettlement Policy Framework or Resettlement Action Pan as required in OP4.12

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Annex II. Community Sub-projects Environmental Screening Form (ESF) The Environmental Screening Form (ESF) has been designed to assist in the evaluation of sub-projects of PCDP in Ethiopia. The form is designed to place information in the hands of implementers and reviewers so that impacts and their mitigation measures are determined.

The Form contains information that will allow reviewers to determine the characterization of the prevailing local bio-physical and social environment with the aim to assess the potential sub-project impacts on these environments.

A. Name of the sub-project………………………………………………

B. Sector……………………………………………………………………

C. Name of the kebele/community---------------------(in which the sub-project is

to be implemented)

D. Name of the Approving Authority …………………………………………

E. Contact details of the person responsible for filling out this ESF:

Name: ……………………………………………………………………….. Job title:……………………………………………………………………… Telephone numbers:……………………………; ……………………….. Fax Number: ……………..…………………….. E-mail address: ………….…………………….. Date: …………………………………………… Signature: ………………………………………

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PART A: BRIEF DESCRIPTION OF SUB - PROJECT Please provide information on the type and scale of the sub-project (area, required land, approximate size of total building floor area, etc.).

Provide information about actions needed during the construction of facilities including support/ancillary structures and activities required to build it, e.g. need to quarry or excavate borrow materials, laying pipes/lines to connect to energy or water sources, access roads, etc. Describe how the sub-project will operate, including support/activities and resources required operating it e.g. roads, disposal sites, water supply, energy requirement, human resources, etc. PART B: BRIEF DESCRIPTION OF THE ENVIRONMENTALAND

SOCIAL SITUATION AND IDENTIFICATION OF ENVIRONMENTAL AND SOCIAL IMPACTS

1. Brief description of the proposed sub-project Describe the sub-project location, sitting; surroundings (include a map, even a sketch map) __________________________________________________________________________________________________________________________________________ 2. Natural Environment (a) Describe the land formation, topography, vegetation in/adjacent to the project area _______________________________________________________________________________________________________________________________________________________________________________________________________________ (b) Estimate and indicate where vegetation might need to be cleared. _______________________________________________________________________________________________________________________________________________________________________________________________________________ (c) Are there any environmentally sensitive areas or threatened species (specify below) that could be adversely affected by the sub-project?

(i) Intact natural forests: Yes __________No ___________ (ii) Riverine forests: Yes ______________ No ___________ (iii) Surface water courses, natural springs: Yes ______________ No ___________

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(iv) Wetlands (lakes, rivers, swamps, seasonally inundated areas): Yes ____No _____ (v) How far is the nearest wetland (lakes, rivers, seasonally inundated areas)? __ km. (vi) Area of high biodiversity: Yes ___________ No ___________ (vii) Habitats of endangered/threatened or rare species for which protection is required

under Ethiopian national law/local law and/or international agreements: Yes ___________ No __________

(viii) Others (describe): Yes ____________ No ______________ 3. Rivers and Lakes Ecology (a) Is there a possibility that, due to construction and operation of the sub-project, the river and lake ecology will be adversely affected? Attention should be paid to water quality and quantity; the nature, productivity and use of aquatic habitats, and variations of these over time. Yes ______________ No ______________ (b) Is there a woreda office responsible for water management in the sub-project area? Yes______________ No _______________ If so, what is its name, and what are its specific responsibilities and how would it interact with PCDP sub-projects? Please describe. (c) Are there small dams and other water management structures, and, if so, are they functioning properly? Yes_________________ No __________________ If yes, please describe the current state of these water management structures, the institutional responsibilities for their maintenance, and potential need for repairs. _____________________________________________

4. Protected areas Does the sub-project area (or components of the sub-project) occur within/adjacent to any protected areas designated by government (national park, national reserve, world heritage site etc.)? Yes _________ No ____________

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If the sub-project is outside of, but close to, any protected area, is it likely to adversely affect the ecology within the protected area areas (e.g. interference with the migration routes of mammals or birds). Yes __________ No ____________ 5. Geology and Soils Based upon visual inspection or available literature, are there areas of possible geologic or soil instability (prone to: soil erosion, landslide, subsidence, earthquake etc.)? Yes ____________ No ____________ Based upon visual inspection or available literature, are there areas that have risks of large scale increase in soil salinity? Yes _____________ No _____________ Based upon visual inspection or available literature, are there areas prone to floods, poorly drained, low-lying, or in a depression or block run-off water? Yes _____________ No _____________ 6. Contamination and Pollution Hazards Is there a possibility that the sub-project will be at risk of contamination and pollution hazards (from latrines, dumpsites, industrial discharges, etc.)? Yes _____________ No _____________ 7. Landscape/Aesthetics Is there a possibility that the sub-project will adversely affect the aesthetic attractiveness of the local landscape? Yes __________ No ____________ 8. Historical, Archaeological or Cultural Heritage Site. Based on available sources, consultation with local authorities, local knowledge and/or observations, could the sub-project alter any historical, archaeological, cultural heritage, traditional (sacred, ritual area) site or require excavation near same? Yes ___________ No ____________

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9. Resettlement and/or Land Acquisition (a) Based on the results screening will involuntary resettlement, land acquisition, relocation of property, or loss, denial or restriction of access to land and other economic resources be caused by sub-project implementation? Yes ___________ No _________________ (b) If yes, have consultations been carried out with potentially affected persons and relevant stakeholders? Yes__________ No ___________________ What was the outcome of these consultations? Was the decision made to (i) change the design/location of the sub-project and therefore not requiring compensation; or (ii) retain the original sub-project design/location, thus requiring compensation of potentially affected persons? Please describe. _________________________________________________ (c) If the decision was made to retain the original sub-project design/location, OP 4.12 Involuntary Resettlement is triggered and appropriate mitigation measures consistent with this operational policy would have to be taken. 10. Blocking of Access and Routes or Disruption of normal Operations in the General Area Will the sub-project interfere or block access, routes, etc. (for people, livestock and wildlife) or traffic routing and flows? Yes ____________ No ______________ 11. Noise and Dust Pollution during Construction and Operations. Will the operating noise level exceed the allowable noise limits? Yes ___________ No _______________ Will the operation result in emission of copious amounts of dust, hazardous fumes? Yes ___________ No _______________

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12. Degradation and/or Depletion of Resources during Construction and Operation Will the operation involve the use of considerable amounts of natural resources such as sand, wood, stones (construction materials, water spillage, land, energy from biomass, etc.) or may lead to their depletion or degradation at points of source? Yes ___________ No _______________ 13. Solid and Liquid Wastes Will the sub-project generate solid and/or liquid wastes (including human excreta/sewage, and hospital/medical waste)? Yes _______________ No ______________ If “Yes”, does the sub-project include a plan for their adequate collection and disposal? Yes ________________ No ______________ As regards safe medical waste management, does the sub-project have a medical waste management plan to guide it in the selection and implementation of appropriate disposal methods? Yes _______________ No____________________ If yes, who will be responsible for integrating its provisions for medical waste management into the sub-project? Please describe. ________________________________________

14. Occupational Health Hazards Will the sub-project require large number of staff and laborers; large/long-term construction camps? Yes ________________ No ______________ Are the sub-project activities prone to hazards, risks and could result in accidents and injuries to workers during construction or operation? Yes ________________ No ______________

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15. Public Health (a) Is there any concern about HIV/AIDS in the area of the planned sub-project? Yes ______________ No _____________ If yes, please indicate current efforts to address HIV/AIDS issues in the proposed sub-project area, or, make recommendations how such concerns should be addressed. Could the sub-project benefit from support through the ongoing HIV/AIDS Project? Are there any training needs in this regard? Please describe. __________________________________________________ (b) Is there any concern about malaria in the area of the planned sub-project? Yes _____________ No ______________ If yes, please indicate current efforts to address malaria issues the proposed sub-project area, or, make recommendations how such concerns should be addressed. Is there a Vector Management Plan or equivalent that could be implemented under the proposed sub-project? Yes_______________ No ________________ If yes, please describe who will be responsible for implementing this plan under the proposed sub-project, and whether any training in this regard should be provided. _____________________________________________________ (c) Is there any concern about ineffective pest management in the area of the planned sub-project? Yes ______________ No ____________- If yes, please indicate current efforts to address impacts due to unsafe pest management in the proposed sub-project area, or, make recommendations how such concerns should be addressed. Is there a Pest Management Plan (PMP) which could be implemented under the planned sub-project?

Yes _________________ No _________________ If yes, please describe who will be responsible for implementing this plan under the proposed sub-project, and whether any training in this regard should be provided.

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16. Operation and Maintenance Will the sub-project require regular maintenance and/or repair Yes ________________ No ______________ If yes, is there sufficient capacity at the community/Woreda levels to carry out effective operations and maintenance activities? Indicate types and extent of capacity building needs. Yes ________________ No ________________ 17. Public Consultation Has public consultation, participation and prior and informed consent been sought? Yes ______________ No _______________ Describe the consultation process that has taken place and list the outcomes and recommendations made by the participants. PART C: MITIGATION MEASURES For all “Yes” responses, describe briefly the measures taken/proposed to this effect with the necessary budget-cost estimates. Recommendations: _______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

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This form has been signed after project approval: Qualified Member of the Woreda Development Committee __________________ Qualified member of the Mobile Support Team: ______________________

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Annex III. Community Sub-projects Environmental and Social Checklist

The Environmental and Social Checklists below, serve as sample checklists, which will be adapted to the particular type and circumstance of sub-projects. The checklists will be completed by a qualified member of the Mobile Extension Team who has received environmental training. Table 1: Environmental and Social Checklist for Construction Sub-Projects (class rooms, teacher accommodations, school perimeter walls, health care centers, dispensaries, maternity houses)

Stage Potential Negative

Environmental and Social Impacts

Tick if relevant Mitigation Measure Tick if

relevant Responsible

Person

Before construction 1.0 Landslides and soil

erosion on sloppy hillsides

Terracing; excavation to level; control of water flows

2.0 Destruction of vegetation during excavation may cause loss of flora and fauna

Construction contracts to include provisions for limiting vegetative removal, and for re-vegetation of the construction area after completion of works

3.0 Soil erosion, deposition of fine materials (sand, silts, clays) in downstream water courses during construction, particularly in the rainy season

Construction contracts will require re-vegetation as soon as possible; contractors to be limited regarding activities that can be carried out in the rainy season; contractors will be required to treat excavated areas below flood water levels as required under the design contract (use of stone gabions and mattresses, before the start of each rainy season

4.0 Traffic disruption Best engineering practices to be employed to ensure traffic disruptions are kept to a minimum; appropriate signage and policing to divert traffic

5.0 Noise disturbance Not likely to be a problem 6.0 Dust impacts In extreme cases, particularly near

clinics, contractors will be required to moisten the construction area to minimize dust

7.0 Pit formation from sand mining

Use sand from existing borrow pits; fill back pits

8.0 Health centers will generate medical waste

Refer to Sub-Project Medical Waste Management Include medical waste

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Stage Potential Negative

Environmental and Social Impacts

Tick if relevant Mitigation Measure Tick if

relevant Responsible

Person

management provisions in the design of the health care facility Provide relevant training for medical waste management

9.0 Ineffective management of pit latrines and water points at schools will contribute to water and soil pollution and related public health risks

Choose culturally acceptable sanitation facilities Ensure regular maintenance of pit latrines and water points Include hygiene and sanitation education in the school curriculum

During construction 1.0 Noise Use of ear protectors 2.0 Cement/dust pollution Dust control by water or other

means

3.0 Pressures on existing water sources

Liaise with local utilities to ensure adequate water supply

4.0 Soil and water pollution due to large number of labourers on the construction site and related wastes

Build latrines and ensure adequate waste water disposal; ensure safe storage of construction materials such as oils, paints

After construction 1.0 Soil and water pollution

due to remainder of construction wastes, tools, equipment, and temporary infrastructure, and use of quarries

Contractors to clear construction site of temporary infrastructures and restore vegetation of the site, and to refurbish quarries

2.0 Health and safety issues Ensure project complies with Bank EHS Guidelines, where applicable, including use of proper equipment to protect workers, proper signage and detours, proper handling of equipment and materials, and adequate training to use equipment and follow safety procedures

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Table 2: Environmental Checklist for Water Supply Sub-Projects

S/No. Potential Negative Environmental Impact

Tick if relevant Possible Mitigation Measures Tick if

relevant Responsible

Person 1.0: Hand dug wells, protected springs 1.1 Overexploitation of aquifers Consult with regional hydro-

geologist or regional EPA

1.2 Spillage of water and creation of stagnant pools of water at well head which will be a breeding ground for vectors of water-borne diseases

Select well site where water drains away from well; do not construct well in a depression or on low-lying, poorly drained site; construct drainage ditches to divert run-off water around well site; construct concrete pad around the base of the well head (see modular design); and build soak away pit Coordinate activities with ongoing Rural Water Supply and Sanitation Project as appropriate

1.3 Contamination of well water by users

Install hand pump on the well and do not allow users to draw water by lowering containers into the well; ensure well head is properly sealed

1.4 Contamination of well water by seepage from pit latrines

Do not construct latrines within a minimum of 30 m of the hand dug well, 60 m is preferable

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Table 3: Environmental and Social Checklist for Sanitation Sub-Projects

S/No Potential Negative

Environmental and Social Impacts

Tick if relevant Possible Mitigation Measures Tick if

relevant Responsible

Person

1.0: Septic tanks 1.1 Soil and water pollution due

to seepage from tanks Ensure regular emptying;

conduct hygiene education campaign to raise awareness of the health risks of exposed sewage; establish and support affordable pump out services

2.0: Sewers 2.1 Soil and water pollution Ensure regular maintenance 2.2 Construction impacts Refer to Table 1 3.0: Sewerage maturation ponds 3.1 Construction impacts Refer to Table 1 3.2 Possible land acquisition Refer to Resettlement Policy

Framework and OP 4.12

3.3 Sludge disposed of indiscriminately and causing health risks

Ensure that sludge is properly dried and disposed of in a manner that poses no risk to human health

3.4 Animals accessing sewage ponds and transmitting diseases to people

Install and maintain proper fencing to prevent animals from entering the area

3.5 Incompletely treated waste water contaminating surface water streams

Operate ponds in a manner that only allows waste water meeting prescribed quality standards leaving the treatment site; ensure that ponds are sized and operated to retain waste water for an adequate period to complete the treatment process

4.0: Storm water drainage 4.1 Construction impacts Refer to Table 1 4.2 Possible land acquisition Refer to RPF or OP 4.12, as

appropriate

4.3 Erosion along banks of drainage channel causing siltation of channel and loss of land

Stabilize sections of bank susceptible to erosion; plant shrubs and trees on uphill side of ditch to slow water runoff

5.0 Public toilets 5.1 Contamination of water

supply sources Ensure latrines are located at

least 30 m from hand dug wells and springs, and 60 m from boreholes

5.2 Latrines overflowing and creating health risks through

Conduct hygiene education campaign to raise awareness of

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S/No Potential Negative

Environmental and Social Impacts

Tick if relevant Possible Mitigation Measures Tick if

relevant Responsible

Person

people and animals coming in contact with human wastes

the health risks of exposed human waste and promote the support and use of municipal or private sector cleaning services

5.3 Flies and rodents carrying diseases from the latrines

Block pathways for flies, i.e. by putting a screen over the vent and installing lid on the hole; ensure latrines are constructed with a suitable superstructure to prevent entry of rodents into vault

5.4 Open defecation Conduct hygiene education campaign to raise awareness of the health risks of open defecation, and promote the use of latrines

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Table 4: Environmental and Social Checklist for Roads Sub-Projects

S/No.

Potential Negative Environmental and Social Impacts

Tick if Relevant

Possible Mitigation Measures Tick if Relevant

Responsible Person

1.0: Footpaths 1.1 Footpath blocking

drainage for runoff water Install culverts or bridges across natural

and manmade drainage channels and keep cleared of debris

1.2 Ponding on path providing breeding site for vectors of water borne disease

Construct path so that water drains away by rising above surrounding ground level and by sloping the surface of the path towards the sides; fill depressions with granular material

1.3 Footpath becoming a water course during rains and causing erosion

Provide drainage ditches on both sides of the path and install small check dams to reduce velocity of water flow; direct water from ditch alongside footpath into natural or manmade drainage channels as frequently as possible to minimize the volume of runoff water carried by the ditch; plant shrubs and trees on the uphill side of the ditch to slow water runoff

2.0: Earth roads 2.1 Erosion of lands downhill

from road bed or in borrow areas

Plant grass along the edge of the road; construct during dry season

2.2 Create dust to nearby houses during construction

Dust control by water or other means

2.3 Increased sediments into streams, ponds and rivers due to erosion from road tops and sides

Prevention of erosion by re-vegetation, dry construction and physical stabilization

2.4 Possible land acquisition, loss of livelihoods

Refer to RPF or OP 4.12

2.5

Creation of stagnant pools of water in left borrow pits

Rehabilitation of borrow pits sites

3.0: Bridges and culverts 3.1 Flooding and erosion

caused by overflowing and blockage of openings

Ensure that openings are adequately sized to accommodate flows and organize regular clean out of openings

3.2 Bridge deck failure causing accidents and injuries

Establish and implement a maintenance program and establish a source of funding to pay for repair works

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Table 5: Environmental and Social Checklist for Small-Scale Irrigation Sub-Projects

S/No Potential Negative

Environmental and Social Impacts

Tick if Relevant Possible Mitigation Measures Tick if

Relevant Responsible

Person

1.0: Human Environment 1.1 1.2

Upsetting existing social and economic community management relationships, land tenure system, security of livelihoods, and gender division of labor Conflicting demands on surface or groundwater supplies

Avoid sites that require: -Resettlement -Displacement of other important land uses, or -Encroachment on historical, cultural, or traditional use areas Use RPF Tool to determine potential need for land acquisition Locate and size irrigation schemes: -Where water supplies are adequate and the scheme will not conflict with existing human, livestock, wildlife or aquatic water uses, especially during the dry seasons -So that withdrawals do not exceed “safe yield” from groundwater resources Encourage crops with lower water demands Ensure effective community organization for equitable distribution of water

2.0: Human Health 2.1 2.2 2.3

Creating habitats in canals and ditches for disease carriers (mosquitoes/malaria; snails/schistosomiasis, bilharzias) Spreading infection and disease through the inappropriate use of irrigation canals for water supply, bathing or human waste disposal Health effects from improper storage, handling, use or disposal of agro-chemicals (pesticides, herbicides)

Assess ecology of disease carriers in the project area, and employ suitable prevention and mitigation measures, e.g.: -Site and orient water works, fields and furrows to ensure adequate natural drainage of surface water -Use lined canals and pipes to discourage vectors -Avoid unsuitable gradients, and creating stagnant or slowly moving water -Construct straight or only slightly curved canals -Install gates at canal ends to allow

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S/No Potential Negative

Environmental and Social Impacts

Tick if Relevant Possible Mitigation Measures Tick if

Relevant Responsible

Person

complete flushing -Ensure adequate sub-surface drainage of fields -Avoid over-irrigation -Maintain water works and clear sediment and weeds, regularly Provide/ensure alternate facilities for domestic water supply, bathing and human waste disposal Provide education and training for farmers and other community members on: -Irrigation health risks -Efficient use of irrigation water -Maintenance of irrigation and drainage works -Proper storage, handling, use and disposal of agro-chemicals -Integrated pest management Monitor disease/infection occurrence and public health indicators, and take corrective measures (e.g. physical changes to irrigation scheme, education, medical) as needed.

3.0: Soils 3.1 3.2

Water logging Salinization

Thoroughly assess project soils and their management needs under irrigated agriculture Apply water efficiently. Consider drip or dawn/ evening sprinkler irrigation. Install and maintain adequate surface and sub-surface drainage Use lined canals or pipes to prevent seepage Avoid water logging (above) Mulch exposed soil surfaces to reduce evaporation Flush irrigated land regularly

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S/No Potential Negative

Environmental and Social Impacts

Tick if Relevant Possible Mitigation Measures Tick if

Relevant Responsible

Person

3,3

Erosion

Cultivate crops having high tolerance to salinity Design and layout of furrows appropriately Avoid unsuitable gradients Avoid over-irrigation Install sediment traps in fields and canals to capture sediment for return to fields Minimum tillage, contour cropping, terracing and other Methods of conserving soil moisture

4.0: Water bodies and Aquatic Ecosystems 4.1 4.2

Loss or damage to wetlands, and their environmental services, biodiversity, and ecological productivity Reduced quality of surface and ground waters receiving excess irrigation water or drainage (nutrients, agro-chemicals, salts, minerals)

Avoid: -Locating irrigation schemes on or near important wetlands -Developing irrigation water sources that may reduce wetland water supply - Draining irrigated fields into wetlands Follow Soils mitigation measures (above) to minimize risks of water logging and Salinization Use agro-chemicals appropriately (see human health above) Prevent surface drainage of fields into nearby water bodies (streams, ponds etc.)

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Annex IV. Environmental and Social Guidelines for newly established Community Schools

The following environmental and social guidelines will be incorporated into the Project Implementation Manual. They are intended to guide the rehabilitation of existing classrooms, and the construction of latrines, thereby drawing attention to the environmental and social aspects of such activities. But also gives an indicative guideline for environmental and social consideration around public service center.

Rehabilitation of classrooms: Consideration of impacts such as noise, dust, and safety concerns on the

surrounding population and schedule rehabilitation activities accordingly; Protection of soil surfaces during rehabilitation; Ensuring proper drainage of gutters and wastewater collection points; Prevention of standing water in open pits or filling areas to prevent the

development of a habitat for disease-carrying insects; Controlling and cleaning of the site daily; Controlling dust by water or other means during rehabilitation activities; Provision of adequate waste disposal services and ensuring that solid wastes are

disposed of appropriately. Latrines: In addition to following the technical specifications, the following environmental aspects need to be considered: Availability of open space at the end of the latrines’ design life; Long-term capacity of latrines to dispose of wastes; Safe ground infiltration rates; Reliability of emptying service; Potential wastewater issues; Appropriate wastewater collection/removal methods; Identification of waste disposal sites (existing or new ones). Water Points: To ensure safe long-term water supplies at the schools, the following environmental aspects need to be considered: Locate the water points at a minimum distance of 50 m from pit latrines, septic

tanks, and sewers; Ensure that no standing water develops around the water points; Ensure that water points are maintained regularly; Periodic testing of water quality is recommended. Hygiene Education: To further contribute to improved health among students, the School Health Component of the proposed Project will include the following environmental aspects in its training program: Health and hygiene measures necessary for the protection of water points; Site selection and design of sanitation facilities; Proper sitting of facilities with respect to water points; Design of facilities with respect to operation and maintenance; and

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Operation and maintenance plans for regular maintenance of water points and sanitation facilities.

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Annex V. Environmental and social Guidelines for Contractors

General Environmental and Social Management Conditions General

1. In addition to these general conditions, the Contractor shall comply with any specific Environmental Management Plan (EMP) for the works he is responsible for. The Contractor shall inform himself about such an EMP, and prepare his work strategy and plan to fully take into account relevant provisions of that EMP. If the Contractor fails to implement the approved EMP after written instruction by the Supervising expert to fulfill his obligation within the requested time, the Owner reserves the Right to arrange through the Supervising expert for execution of the missing action by a third party on account of the Contractor.

2. Notwithstanding the Contractor’s obligation under the above clause, the Contractor

shall implement all measures necessary to avoid undesirable adverse environmental and social impacts wherever possible, restore work sites to acceptable standards, and abide by any environmental performance requirements specified in an EMP. In general these measures shall include but not be limited to:

(a) Minimize the effect of dust on the surrounding environment resulting from earth mixing sites, vibrating equipment, temporary access roads, etc. to ensure safety, health and the protection of workers and communities living in the vicinity dust producing activities. (b) Ensure that noise levels emanating from machinery, vehicles and noisy construction activities (e.g. excavation, blasting) are kept at a minimum for the safety, health and protection of workers within the vicinity of high noise levels and nearby communities. (c) Ensure that existing water flow regimes in rivers, streams and other natural or irrigation channels is maintained and/or re-established where they are disrupted due to works being carried out. (d) Prevent bitumen, oils, lubricants and waste water used or produced during the execution of works from entering into rivers, streams, irrigation channels and other natural water bodies/reservoirs, and also ensure that stagnant water in uncovered borrow pits is treated in the best way to avoid creating possible breeding grounds for mosquitoes. (e) Prevent and minimize the impacts of quarrying, earth borrowing, piling and building of temporary construction camps and access roads on the biophysical environment including protected areas and arable lands; local communities and their settlements. In as much as possible restore/rehabilitate all sites to acceptable standards.

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(f) Upon discovery of ancient heritage, relics or anything that might or believed to be of archeological or historical importance during the execution of works, immediately report such findings to the Supervising Energy expert so that the appropriate authorities may be expeditiously contacted for fulfillment of the measures aimed at protecting such historical or archaeological resources. (g) Discourage construction workers from engaging in the exploitation of natural resources such as hunting, fishing, and collection of forest products or any other activity that might have a negative impact on the social and economic welfare of the local communities. (h) Implement soil erosion control measures in order to avoid surface run off and prevents siltation, etc. (i) Ensure that garbage, sanitation and drinking water facilities are provided in construction workers camps. (j) Ensure that, in as much as possible, local materials are used to avoid importation of foreign material and long distance transportation. (k) Ensure public safety, and meet traffic safety requirements for the operation of work to avoid accidents.

3. The Contractor shall indicate the period within which he/she shall maintain status on site after completions of civil works to ensure that significant adverse impacts arising from such works have been appropriately addressed.

4. The Contractor shall adhere to the proposed activity implementation schedule and the

monitoring plan / Strategy to ensure effective feedback of monitoring information to project management so that Impact management can be implemented properly, and if necessary, adapt to changing and unforeseen conditions.

5. Besides the regular inspection of the sites by the Supervising Energy expert for adherence to the Contract conditions and specifications, the owner may appoint an Inspector to oversee the compliance with these environmental conditions and any proposed mitigation measures. State environmental authorities may carry out similar inspection duties. In all cases, as directed by the Supervising Energy Expert, the Contractor shall comply with directives from such inspectors to implement measures Required to ensure the adequacy rehabilitation measures carried out on the bio-physical environment And compensation for socio-economic disruption resulting from implementation of any works.

Work site/Campsite Waste Management 6. All vessels (drums, containers, bags, etc.) containing oil/fuel/surfacing materials and

other hazardous Chemicals shall be bonded in order to contain spillage. All waste containers, litter and any other waste Generated during the construction shall be

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collected and disposed of at designated disposal sites in line with applicable government waste management regulations.

7. All drainage and effluent from storage areas, workshops and camp sites shall be

captured and treated before being discharged into the drainage system in line with applicable government water pollution control regulations.

8. Used oil from maintenance shall be collected and disposed of appropriately at

designated sites or be re-used or sold for re-use locally.

9. Entry of runoff to the site shall be restricted by constructing diversion channels or holding structures: Such as banks, drains, dams, etc. to reduce the potential of soil erosion and water pollution.

10. Construction waste shall not be left in stockpiles along the road, but removed and

reused or disposed of on a daily basis. 11. If disposal sites for clean spoil are necessary, they shall be located in areas, approved

by the Supervising Energy Expert, of low land use value and where they will not result in material being easily washed into drainage channels. Whenever possible, spoil materials should be placed in low-lying areas and should be compacted and planted with species indigenous to the locality.

Material Excavation and Deposit 12. The Contractor shall obtain appropriate licenses/permits from relevant authorities to

operate quarries or borrow areas.

13. The location of quarries and borrow areas shall be subject to approval by relevant local and national authorities, including traditional authorities if the land on which the quarry or borrow areas fall in traditional land.

14. New extraction sites:

a) Shall not be located in the vicinity of settlement areas, cultural sites, wetlands or any other valued ecosystem component, or on high or steep ground or in areas of high scenic value, and shall not be located less than 1km from such areas.

b) Shall not be located adjacent to stream channels wherever possible to avoid

siltation of river channels. Where they are located near water sources, borrow pits and perimeter drains shall surround quarry sites

c) Shall not be located in archaeological areas. Excavations in the vicinity of such

areas shall proceed with great care and shall be done in the presence of government authorities having a mandate for their protection.

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d) Shall not be located in forest reserves. However, where there are no other alternatives, permission shall be obtained from the appropriate authorities and an environmental impact study shall be conducted.

e) Shall be easily rehabilitated. Areas with minimal vegetation cover such as flat and

bare ground, or areas covered with grass only or covered with shrubs less than 1.5m in height, are preferred.

f) Shall have clearly demarcated and marked boundaries to minimize vegetation clearing.

15. Vegetation clearing shall be restricted to the area required for safe operation of construction work. Vegetation clearing shall not be done more than two months in advance of operations.

16. Stockpile areas shall be located in areas where trees can act as buffers to prevent dust

pollution. Perimeter drains shall be built around stockpile areas. Sediment and other pollutant traps shall be located at drainage exits from workings.

17. The Contractor shall deposit any excess material in accordance with the principles of these general conditions, and any applicable EMP, in areas approved by local authorities and/or the Supervising Energy expert.

18. Areas for depositing hazardous materials such as contaminated liquid and solid

materials shall be approved by the Supervising Energy expert and appropriate local and/or national authorities before the commencement of work. Use of existing, approved sites shall be preferred over the establishment of new sites.

Rehabilitation and Soil Erosion Prevention 19. To the extent practicable, the Contractor shall rehabilitate the site progressively so

that the rate of rehabilitation is similar to the rate of construction. 20. Always remove and retain topsoil for subsequent rehabilitation. Soils shall not be

stripped when they are wet as this can lead to soil compaction and loss of structure. 21. Topsoil shall not be stored in large heaps. Low mounds of no more than 1 to 2m high

are recommended. 22. Re-vegetate stockpiles to protect the soil from erosion, discourage weeds and

maintain an active population of beneficial soil microbes. 23. Locate stockpiles where they will not be disturbed by future construction activities. 24. To the extent practicable, reinstate natural drainage patterns where they have been

altered or impaired.

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25. Remove toxic materials and dispose of them in designated sites. Backfill excavated

areas with soils or overburden that is free of foreign material that could pollute groundwater and soil.

26. Identify potentially toxic overburden and screen with suitable material to prevent

mobilization of toxins. 27. Ensure reshaped land is formed so as to be inherently stable, adequately drained and

suitable for the desired long-term land use, and allow natural regeneration of vegetation.

28. Minimize the long-term visual impact by creating landforms that are compatible with

the adjacent landscape. 29. Minimize erosion by wind and water both during and after the process of

reinstatement. 30. Compacted surfaces shall be deep ripped to relieve compaction unless subsurface

conditions dictate otherwise. 31. Re-vegetate with plant species that will control erosion, provide vegetative diversity

and, through succession, contributes to a resilient ecosystem. The choice of plant species for rehabilitation shall be done in consultation with local research institutions, forest department and the local people.

Water Resources Management 32. The Contractor shall at all costs avoid conflicting with water demands of local

communities. 33. Abstraction of both surface and underground water shall only be done with the

consultation of the local community and after obtaining a permit from the relevant Water Authority.

34. Abstraction of water from wetlands shall be avoided. Where necessary, authority has

to be obtained from relevant authorities. 35. Temporary damming of streams and rivers shall be done in such a way avoids

disrupting water supplies to communities downstream, and maintains the ecological balance of the river system.

36. No construction water containing spoils or site effluent, especially cement and oil,

shall be allowed to flow into natural water drainage courses. 37. Wash water from washing out of equipment shall not be discharged into watercourses

or roads drain.

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38. Site spoils and temporary stockpiles shall be located away from the drainage system

and surface run off shall be directed away from stockpiles to prevent erosion. Cost of Compliance 39. It is expected that compliance with these conditions is already part of standard good

workmanship and state of art as generally required under this Contract. The item “Compliance with Environmental Management Conditions” in the Bill of Quantities covers these costs. No other payments will be made to the Contractor for compliance with any request to avoid and/or mitigate an avoidable EHS impact.

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Annex VI. Environmental and Social Guidelines for Rural Water Supply and Sanitation Sub-Projects

Checklist To facilitate the screening process for environmental and social impacts as required by OP 4.01, as well as good environmental project design, the following points should be considered by the teams: Water allocation: It is important that the community or the water utility has the right to abstract the

required amount of water, which should be recognized in the overall planning and management of water resources. The amount may be small, but it is a priority and must be protected4.

Water quantity: To prevent water-washed diseases (scabies, body lice, tropical ulcers) and several

eye infections (trachoma, conjunctivitis) which tend to spread due to poor hygiene, water supply systems for a minimum level of service should be designed to deliver at least 20 liters per person per day (plus wastage) without excessive queuing5.

Water quality: Protection of ground water and surface water; Determine applicability of water quality standards: if national drinking water

quality policy is not available, use WHO drinking water quality standards; Ensure testing and treatment for parasites, hazardous chemicals, bacteria, viruses; Frequency and responsibility for water quality testing; Frequency and responsibility for treatment of water sources; Responsibility for monitoring and water quality control at the household level

(beneficiaries, water user associations) Responsibility for monitoring and water quality control at the district level/project

level (official authorities); Technical adequacy, quality and safety of bulk storage facilities; Technical adequacy, safety and protection of pumping facilities. Source protection: Look at the natural and human activities that take place around the well or spring

box; If a surface water source is used, there needs to be an understanding how these

activities affect the water quality at the point of withdrawal;

4 Department for International Development, Guidance Manual on Water Supply and Sanitation Programmes, 1998 5 Department for International Development, Guidance Manual on Water Supply and Sanitation Programmes, 1998

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Take steps to minimize the negative impacts of these activities, i.e. standing water that could become a breeding site for vector (malaria);

Consider Methods such as pollution prevention or conservation and land use management to prevent source contamination;

Consider source protection activities such as waste reduction and recycling; Distance of a water supply system intake from potential sources of contamination

should be: (i) 50 m from latrines, cattle pens, refuse pits; (ii) 100 m from soak pits, trenches and sub-surface sewage disposal; (iii) 150 from cesspools, sanitary land fill areas, and graves6;

Use of water has to take place downstream and at a distance from the water source;

Effective design and construction of abstraction facilities. Sanitation: Choice of appropriate facilities (latrines, septic tanks, pour-flush toilets) in

cooperation with communities; Ensure good design and construction of facilities; Consider availability of open space at the end of the latrines’ design life7; Consider long-term capacity of latrines to dispose of all household liquid wastes; Consider safe ground infiltration rates8; Consider reliability of latrine emptying service; Consider the availability of fresh water and toilets in schools; Consider the availability of fresh water and toilets at public facilities such as

markets, community centers, centers of worship; Consider potential wastewater issues and incorporate appropriate wastewater

disposal systems to prevent mosquito breeding and bad odors; Consider appropriate waste water collection/removal methods(i.e. the use of

trucks, carts); Identification of waste disposal sites (existing or new ones); Appropriate waste water management Method (i.e. use of wetlands, ponds,

treatment facilities, out falls); Monitoring responsibility and control over waste water quality disposal standards; Keeping drainage channels free of weeds to avoid cracking of the channel walls; Keeping drainage channels free of debris and wastewater from households,

particularly detergents, and local industries. Hygiene education programs to address: Health and hygiene measures for the protection of water supplies; Selection and design of sanitation facilities; Proper sitting of facilities with respect to water supplies;

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Design of sanitation facilities with respect to operation and maintenance; Operation and maintenance of the water supply systems; Awareness raising concerning the connection between standing water pools and

health impacts due to associated mosquito breeding. Water reuse: As appropriate, consider technologies and management strategies designed to

reuse waste water in rural agriculture which in turn can reduce environmental pollution;

Adopt standards for waste water reuse; As appropriate, consult EPA guidelines for reclaimed water treatment processes

and water quality limits for both, non-potable water and indirect potable reuse applications9.

Environmental and social monitoring indicators: Microbiological indicators such as E. coli, the single most important indicator of

fecal contamination of water by humans or animals. It can be tested in the field (using field test kits with portable incubators) or in the laboratory10;

Physical-chemical indicators such as fluoride, nitrate/nitrite, pH, turbidity, chlorine residual;

If necessary, identify sources of secondary information that allows for the monitoring of health impacts (i.e. decline in the number of cases of diarrhea; increase in the number of latrines used);

Consult the publication “Environmental Performance Indicators” for guidance in the development of environmental monitoring indicators.

Community participation: Factors that seem to favor community management across organizational types include11: Timely educational and training inputs; Building on the country’s social and cultural traditions; Continuity of staffing; Giving more attention to training in administration for projects that depend upon

community management; Systematic encouragement of inter-visitation between villages; The use of project champions; Providing organizations with computers; Associate local ownership of infrastructure with the stronger local organizations. Safeguard policies: To identify the applicable safeguard policies, the following environmental and social aspects need to be considered: Magnitude of construction; 10 U.S. Agency for International Development, “Water and Food Aid in Environmentally Sustainable Development”, An Environmental Study of Potable Water and Sanitation Activities within the Title II Program in Ethiopia, March 14, 2000

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Location of the project: i.e. near protected areas, sensitive areas, etc.; Effects of water withdrawals on water availability (i.e. ground water); Effects on downstream activities; Effects on quality of water sources Need for land acquisition.

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Annex VII. Pest Management Framework for Agriculture Sub-Projects Small-scale agricultural sub-projects may involve strengthening existing practices, introducing, diversifying or the intensification of crop production. Support for the development of small-scale agriculture and certain livestock activities (i.e. tick dips) may lead to the introduction or increased use of pesticides and other agricultural chemicals such as herbicides and fertilizers. Pests are organisms that compete with humans, domestic animals, or crops for nutritional resources. They include species of insects, mites, nematodes, mollusks, plant pathogens, vertebrates and weeds. Fertilizers are used to promote crop growth. It is critical that appropriate planning, design and management be adopted for the handling, use, and management of all agricultural chemicals to avoid potential negative environmental impacts. If appropriate for small-scale agriculture projects funded under PCDP, abbreviated pest management plan for agriculture sub-projects should address the following issues: 1. Proper use of agricultural chemicals such as fertilizers to avoid reduction in soil and groundwater quality. 2. Prevent fertilizer run-off into surface water sources to avoid negative impacts on aquatic environments. 3. Proper use of pesticides and herbicides to avoid contamination of crops, soils and water. 4. Proper use, handling and storage of all agricultural chemicals to avoid adverse health impacts on the rural population. 5. Ensure that banned or unauthorized agricultural chemicals are not used. 6. Proper handling and disposal of unused agricultural chemicals and packaging materials (i.e. sacks, plastic containers, etc.). For further reading and application, please contact the Ministry of Agriculture and the respective Bureaus/Woreda Offices of Agriculture in your regions and Woredas.

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Annex VIII. Households’ Livelihood Diversification Interventions

Environmental and Social Screening Form The Environmental and Social Screening Form (ESSF) has been designed to assist in the screening of RLP financed livelihood interventions of PCDP in Ethiopia. These interventions either those implemented by seed money provided to be injected by PCDP for eligible RUSACCOs and financed using innovation grants to innovative household or group of the households. These interventions could be related to on- farm activities such as poultry farming, bee-keeping, livestock rearing /fattening, pasture development, production of cash crops/horticulture and off-farm activities. Especially, interventions related to agricultural sector may have environmental & social adverse effects. Therefore, before approval of seed money or loan from own saving the proposed intervention as per business plan will be screening using this Form. Similarly, any intervention proposed to be funded by innovative will be screened to identify any negative impacts. Thus, this screening form is designed to guide the planning process and identify the potential negative impacts and recommend mitigation measures if any.

A. Name of the proposed intervention …………………………………………………….

B. Sector…………………………………………………………………… C. Name of the woreda-------------------------- D. Name of the kebele/communities ---------------------in which the intervention

is to be implemented E. Name of household-------------------------------sex--------------------- F. Name of the Approving Authority ………………………………………… G. Contact details of the person responsible for filling out this ESSF:

Name: ……………………………………………………………………….. Job title:……………………………………………………………………… Telephone numbers:……………………………; ……………………….. Fax Number: E-mail address Date: Signature:

PART A: Brief description of household livelihood diversification interventions Please provide brief description of the proposed households’ livelihoods diversification activities or enterprise. Describe the location, site and surroundings. Describe how it will be implemented including technical supports and training and resources required. ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

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------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- Part B. IDENTIFICATION OF ENVIRONMENTAL AND SOCIAL

NEGATIVE IMPACTS

Investments under Rural Livelihood Program such as livestock rearing, livestock fattening, marketing livestock and livestock products, cash crop production etc. and off-farm business such as petty trade, waving, metal works, wood work, etc. may cause some negative impacts. Thus, these sub-projects will be subjected to environmental and social screening during the planning stage, and appropriate steps will be taken based on the results of the environmental and social screening process outlined as follows.

1. Will the interventions lead to loss of cultivable land, loss of grazing land, loss of resources like water and loss of traditional livelihoods? Yes ___________ No _______________ if yes what mechanisms devised ---------------------------------- ---------------------------------------------------------------------------------------------------------------------------------------------------------------

2. May the proposed intervention drive the conflict or exacerbating conflict within the community? Yes ___________ No _______________ if yes what mechanisms devised -------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

3. Will the operation of household livelihood interventions involve the considerable clearing of natural vegetation that may lead to degradation of forest /bushes? Yes ___________ No _______________ if yes what mechanisms devised--------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------

4. Does proposed household livelihood diversification activity or modern technology prone to drought risks that damages the livelihood of the household? Yes-----------

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---------------------------,No--------------------------------------------- if yes describe mitigation mechanism------------------------------------------------------------

5. Does proposed household livelihood diversification activity or modern technology can create vector for malaria infestation in the area? Yes _____________ No ______________ If yes, please indicate current efforts to address malaria issues in the area, or, make recommendations how such concerns should be addressed.

6. Will the proposed household livelihood diversification activity (like livestock fattening and livestock rearing), modern technology or business enterprise generate solid and/or liquid wastes that possible affect heath of household or neighboring households? Yes _______________ No ______________.

If yes, describe measures for waste management ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

7. Will the livelihood diversification/enterprise requires skill for implementation,

regular maintenance and/or repair? Yes--------------------No----------- If yes, are there sufficient capacity at household levels to carry out effective operations and maintenance activities? Indicate types and extent of capacity building needs.----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

8. Key concepts emphasized as sustainable livelihoods principles such as the idea that “poor people themselves should be key actors in identifying and addressing livelihood priorities .Hence, Has household consultation and participation been sought for selection of livelihood diversification interventions? Yes _____ No ________ Describe the consultation process that has taken place and list the recommendations made by the household head and members ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

9. May proposed livelihood intervention decrease women’s decision making power and participation in the implementation?

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Yes------------------------------- no ------------------------------------------------ if yes describe measures to be taken avert the negative impact--------------------------------------------------------

10. Poor household may not practice improved technologies because they perceive them as more management intensive; require more inputs such as labor and finance. May the proposed technologies/ enterprise require more intensive management or household labor? Yes------------------------ No.------------ if yes describe how the household will come up to solve the problem-------------------------------------------------------------------------------------------------------------------------------------------------------------------------

11. Does proposed household enterprise fit in with existing household’s livelihood strategies? Yes------------------,No---------------------------------------- If yes what aspect of the household fit with the proposed interventions?--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

12. Household interventions that reduce labor requirements, especially for women, may allow households to diversify into other income-earning activities or devote more time to childcare, or be more suitable for families with one or more members who are sick—an especially important consideration with the rise of HIV/AIDS. Hence, will technologies/ household interventions require many purchased inputs/ or more women labor? Yes--------------- No------------------------- if yes describe recommendable solutions -------------------------------------------------------------------------------------------------------------------------------------------

13. May enterprise adversely affect vulnerable people (e.g., elderly poor, physically challenged, women, particularly head of households or widows, etc.) living in the area? Yes-------------------------No-----------------------------If yes describe measures to be taken----------------------------------------------------------------------------------------------------------------------------------------------------

This form has been signed after Project approval:

• Qualified Member of the Woreda Development Committee

(Concerned sector office)

Name __________________ Signature-------------------------Date-------------------

• Qualified member of the Mobile Support Team: ______________________

Name __________________ Signature-------------------------Date-------------------

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Annex IX. Environmental and Social Guidelines for Households’ Livelihood Diversification Interventions

Checklist The following environmental and social guidelines will be incorporated into the RLP Implementation Manual. They are intended to guide the appraisal of interventions thereby drawing attention to the environmental and social aspects of such activities. Therefore, based on the result of the screening process for environmental and social impacts as required by OP 4.01 Environmental Assessment, OP 4.04 Natural Habitats, OP 4.09 Pest Management, OP 4.10, OP 4.11 Physical Cultural Resources and OP 4.12 Involuntary Resettlement, the following points should be considered during planning and appraisal to mitigate any adverse effect. Before selection of interventions properly understand the nature of

households’ livelihoods • The proposed technologies/household enterprise should fit in with existing

household livelihood strategies, • Understand people’s vulnerabilities, or susceptibilities to stresses and shocks

describing or understanding the issues affecting livelihoods in a household, • A better understanding of the roles, need and responsibilities of both men and

women and of the issues surrounding their access to and control over resources, • It is vital to understand how the livelihoods of various disadvantaged and

underserved groups differ – in terms of strengths, vulnerabilities and voice – and what effect this has. This allows for targeted actions should recognize micro realities and support people to build upon their own strengths.

• Recognize the importance of human capabilities as central to household livelihood diversification. Thus we need to understand the different types of capital (or assets) that people have. We need to understand their vulnerabilities,

• Respect of poor people, recognizing that they are juggling very limited resources, and do have skills – this is empowering in itself. This is very important if interventions are likely to succeed. Starting from where people are strong is much more likely to be successful than starting where they have no resources or capacity,

• Understand people’s vulnerabilities, or susceptibilities to stresses and shocks describing or understanding the issues affecting livelihoods in a household.

Participatory identification and selection of the interventions • Participatory identification of the needs and priorities of women, men and

different socio-economic groups. Identifying promising livelihood opportunities,

• People must be key actors in identifying and addressing their livelihood priorities, including the poor. Outsiders and organizations need processes that enable them to listen and respond to people’s views; we need to understand

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people’s livelihoods and how these can be enhanced in a holistic way, which recognizes the interrelationships between the different aspects of their lives,

• Check whether the interventions or enterprise adversely affect or not vulnerable people (e.g., elderly poor, physically challenged, women, particularly head of households or widows, etc.) living in the area,

• Conduct consultation and ensure participation of household for selection of technologies/ enterprises,

• A technology or livelihood intervention should not decrease women’s decision making power and participation in the implementation or not,

• Micro-credit program should be appropriate to culture of the people and respond to specific need of the vulnerable nations, nationalities and people,

• Specific groups minorities women, youth and female household are not likely to lose out from the proposed interventions,

• The proposed intervention should not drive the conflict or exacerbating conflict or creating cohesion within the community,

• The interventions that will not lead to loss of cultivable land, loss of grazing land, loss of resources like water and loss of traditional livelihoods,

• In case of non–farm activities, consider improved tools and equipment and increasing the skills of to enhance production and productivity.

Factors that reinforce diversification decisions • One of the most critical considerations in taking up a diversification

decision was availability of additional hands at the household level, • Motivating, training and organizing the poor to participate in these

opportunities, • Arranging for credit and infrastructure, establishing the supply chain

and the production processes, developing market linkages, • Diversification decisions are often due to unforeseen circumstances,

therefore, need to consider agro-climatic conditions, especially drought, often influence the diversification decisions in dry land areas,

• The role of markets and infrastructure development could reinforce, especially in taking up new activities. Diversification can be highly influenced by the general economic growth in the area, and growth of any specific sub-sector in the area,

• Input supply, training, technical assistance, market linkages) are needed,

• Human capital, in the form of knowledge and skills, is often required to properly make use of technologies and implementation of household enterprise,

• Poor household may not practice improved technologies because they perceive them as more management intensive; require more inputs such as labor and finance,

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• Technologies/household interventions that do not require many purchased inputs may be more accessible to households with low income or access to transportation and market infrastructure. Those that reduce labor requirements, especially for women, may allow households to diversify into other income-earning activities or devote more time to childcare, or be more suitable for families with one or more members who are sick—an especially important consideration with the rise of HIV/AIDS.

Viability of loans and risk mitigation

• Loan size should vary according to the experience and the capacity of the household and must base on business plan,

• Viability of loans and integration of credit with services necessary for supporting livelihoods of the households,

• Providing seed money should not ultimately affect the viability of loans that may led to a large number of defaulters, which ultimately created a perception that the poor were not bankable,

• The Credit has to be based on an integrated approach, where the intervention would include all services necessary for supporting livelihoods of the households,

• Reducing risks in various economic activities is another way of improving incomes. There are two broad methods of risk mitigation – the physical methods and the financial methods. For example, in crop cultivation, deep ploughing in summer, timely sowing, protective irrigation during gaps in the monsoon rains, pest control measures, etc. are all physical methods used to minimize or eliminate the risk of losing either part, or all of the crop. In animal husbandry, vaccinating animals is a form of risk mitigation,

• Financial risk mitigation through livestock insurance is form risk mitigation against the death or loss of animals, or loss of productive assets. In contrast, crop insurance protects a farmer against reduction in yield of crops due to weather changes, pest attacks, or any other reasons.

Discourage clearing of natural vegetation/avoid disease carries

• Discourage engaging in considerable clearing vegetation bushes or deforestation or any other activity that might have a negative impact on the social and economic welfare of the local communities,

• Adopt safe practices regarding pest management in its agricultural sub-projects, and vector management in its health sub-projects to ensure that these investments are environmentally and socially sustainable,

• Consider management of solid and/or liquid wastes generated as result of the proposed household livelihood diversification activity such as livestock rearing and fattening,

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Annex X. Summary of the World Bank’s Safeguard Policies

OP 4.01 Environmental Assessment

The objective of this policy is to ensure that Bank-financed projects are environmentally sound and sustainable, and that decision-making is improved through appropriate analysis of actions and of their likely environmental impacts. This policy is triggered if a project is likely to have potential (adverse) environmental risks and impacts on its area of influence. OP 4.01 covers impacts on the natural environment (air, water and land); human health and safety; physical cultural resources; and trans-boundary and global environment concerns.

Depending on the project and nature of impacts, a range of instruments can be used: EA, environmental audit, hazard or risk assessment and environmental management plan (EMP). When a project is likely to have sectoral or regional impacts, sectoral or regional EA is required. The Borrower is responsible for carrying out the EA. Investments under PCDP III will be subject to environmental and social screening during the planning stage, and appropriate steps will be taken based on the results of the environmental and social screening process outlined in this document.

OP 4.04 Natural Habitats

This policy recognizes that the conservation of natural habitats is essential to safeguard their unique biodiversity and to maintain environmental services and products for human society and for long-term sustainable development. The Bank therefore supports the protection, management, and restoration of natural habitats in its project financing, as well as policy dialogue and economic and sector work. The Bank supports, and expects borrowers to apply, a precautionary approach to natural resource management to ensure opportunities for environmentally sustainable development. Natural habitats are land and water areas where most of the original native plant and animal species are still present. Natural habitats comprise many types of terrestrial, freshwater, coastal, and marine ecosystems. They include areas lightly modified by human activities, but retaining their ecological functions and most native species.

This policy is triggered by any project (including any sub-project under a sector investment or financial intermediary) with the potential to cause significant conversion (loss) or degradation of natural habitats, whether directly (through construction) or indirectly (through human activities induced by the project). PCDP III will not fund any sub-projects that will have negative effects on natural habitats and/or critical natural habitats.

OP 4.36 Forests The objective of this policy is to assist borrowers to harness the potential of forests to reduce poverty in a sustainable manner, integrate forests effectively into sustainable economic development and protect the vital local and global environmental services and values of forests. Where forest restoration and plantation development are necessary to meet these objectives, the Bank assists borrowers with forest restoration activities that maintain

This policy is triggered whenever any Bank-financed investment project (i) has the potential to have impacts on the health and quality of forests or the rights and welfare of people and their level of dependence upon or interaction with forests; or (ii) aims to bring about changes in the management, protection or utilization of natural forests or plantations.

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or enhance biodiversity and ecosystem functionality. The Bank assists borrowers with the establishment of environmentally appropriate, socially beneficial and economically viable forest plantations to help meet growing demands for forest goods and services.

PCDP III will not fund any sub-projects that might negatively affect the health and quality of forests or will bring about changes in their management.

OP 4.09 Pest Management

The objective of this policy is to (i) promote the use of biological or environmental control and reduce reliance on synthetic chemical pesticides; and (ii) strengthen the capacity of the country’s regulatory framework and institutions to promote and support safe, effective and environmentally sound pest management. More specifically, the policy aims to (a) Ascertain that pest management activities in Bank-financed operations are based on integrated approaches and seek to reduce reliance on synthetic chemical pesticides (Integrated Pest Management (IPM) in agricultural projects and Integrated Vector Management (IVM) in public health projects. (b) Ensure that health and environmental hazards associated with pest management, especially the use of pesticides are minimized and can be properly managed by the user. (c) As necessary, support policy reform and institutional capacity development to (i) enhance implementation of IPM-based pest management and (ii) regulate and monitor the distribution and use of pesticides.

The policy is triggered if : (i) procurement of pesticides or pesticide application equipment is envisaged (either directly through the project, or indirectly through on-lending, co-financing, or government counterpart funding); (ii) the project may affect pest management in a way that harm could be done, even though the project is not envisaged to procure pesticides. This includes projects that may (i) lead to substantially increased pesticide use and subsequent increase in health and environmental risk; (ii) maintain or expand present pest management practices that are unsustainable, not based on an IPM approach, and/or pose significant health or environmental risks. PCDP III will adopt safe practices regarding pest management in its agricultural sub-projects, and vector management in its health sub-projects to ensure that these investments are environmentally and socially sustainable.

OP 4.11 Physical Cultural Resources

The objective of this policy is to assist countries to avoid or mitigate adverse impacts of development 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.

This policy applies to all projects requiring a Category A or B Environmental Assessment under OP 4.01. PCDP III will apply proper mitigation to mitigate negative impacts on cultural resources.

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OP 4.10 Indigenous Peoples

The objective of this policy is to (i) ensure that the development process fosters full respect for the dignity, human rights, and cultural uniqueness of indigenous peoples; (ii) ensure that they do not suffer adverse effects during the development process; and (iii) ensure that indigenous peoples receive culturally compatible social and economic benefits.

The policy is triggered when the project affects the indigenous peoples (with characteristics described in ODP 4.10 para 4) in the project area. The project triggers OP4.10. Ethiopia has adequate constitutional provision to cover the needs of underserved nations, nationalities and peoples. The project has conducted extensive consultation and enhanced social assessment.

OP 4.12 Involuntary Resettlement

The objective of this policy is to (i) avoid or minimize involuntary resettlement where feasible, exploring all viable alternative project designs; (ii) assist displaced persons in improving their former living standards, income earning capacity, and production levels, or at least in restoring them; (iii) encourage community participation in planning and implementing resettlement; and (iv) provide assistance to affected people regardless of the legality of land tenure.

This policy covers not only physical relocation, but also 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. PCDP III The proposed project triggers OP/BP 4.12 Involuntary Resettlement because it is possible that the project may encounter some minor land acquisition and resettlement impacts. In order to mitigate the potential minor land take acquisition related impacts, a Resettlement Policy Framework (RPF) was prepared by the Government which covers the process of identifying the anticipated impacts, process of consultations during design and Implementation stages, grievance mechanisms, implementation arrangements, monitoring mechanism, coordination with civil works, etc. World Bank’s approval will be sought if project financing is proposed for land acquisition; and the Government will be responsible for implementing the required RAPs prior to commencement of civil works.

OP 4.37 Safety of Dams

The objectives of this policy are as follows: For new dams, to ensure that experienced and competent professionals design and supervise construction; the borrower adopts and implements dam safety measures for the dam and associated works. For existing dams, to ensure that any dam that can influence the performance of the project is identified, a dam

This policy is triggered when the Bank finances: (i) a project involving construction of a large dam (15 m or higher) or a high hazard dam; and (ii) a project which is dependent on an existing dam. For small dams, generic dam safety measures designed by qualified engineers are usually adequate.

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safety assessment is carried out, and necessary additional dam safety measures and remedial work are implemented.

PCDP III will not finance any large dams as described in this policy. In case of small dam construction, the Project will use the FAO “Manual on Small Earth Dams, a Guide to Siting, Design and Construction”. In addition, the guideline for small dam construction prepared by the MoA will be used to ensure safety of small dams. The guideline is attached in Annex IX of the ESMF.

OP 7.50 Projects in International Waters

The objective of this policy is to ensure that Bank-financed projects affecting international waterways would not affect: (i) relations between the Bank and its borrowers and between states (whether members of the Bank or not); and (ii) the efficient utilization and protection of international waterways. The policy applies to the following types of projects: (a) Hydroelectric, irrigation, flood control, navigation, drainage, water and sewerage, industrial and similar projects that involve the use or potential pollution of international waterways; and (b) Detailed design and engineering studies of projects under (a) above, include those carried out by the Bank as executing agency or in any other capacity.

This policy is triggered if (a) any river, canal, lake or similar body of water that forms a boundary between, or any river or body of surface water that flows through two or more states, whether Bank members or not; (b) any tributary or other body of surface water that is a component of any waterway described under (a); and (c) any bay, gulf strait, or channel bounded by two or more states, or if within one state recognized as a necessary channel of communication between the open sea and other states, and any river flowing into such waters.

OP 7.60 Projects in Disputed Areas

The objective of this policy is to ensure that projects in disputed areas are dealt with at the earliest possible stage: (a) so as not to affect relations between the Bank and its member countries; (b) so as not to affect relations between the borrower and neighboring countries; and (c) so as not to prejudice the position of either the Bank or the countries concerned.

This policy will be triggered if the proposed project will be in a “disputed area”. Questions to be answered include: Is the borrower involved in any disputes over an area with any of its neighbors? Is the project situated in a disputed area? Could any component financed or likely to be financed as part of the project situated in a disputed area? PCDP III will not fund any sub-projects in disputed areas.

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Annex XI: Guidance for malaria prevention and vector management and medical waste management at public health and veterinary posts during

environmental and social screening of PCDP sub-projects As per the recommendation, PCDP contacted the respective ministries and collected the necessary documents. Since the documents are bulky and need the work of shortening and adapting to the PCDP situations, they are not attached in this list. However, they will be used in the training program and distributed to the trainees and PCDP/sector staffs, accordingly for application.

For further reading and application, please contact the Bureau of Agriculture, Health and respective Bureaus and Woreda Offices of Agriculture and Health in your regions and Woredas.

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Annex XII: Summary of community consultation on ESMF

1. Introduction

A community consultation was held concerning PCDP III ESMF in order to ensure the acceptance of ESMF by communities and woreda local government; public consultations were conducted in four kebeles and four woredas selected from Somali region, Afar, Oromia & Southern Nation, Nationality and Peoples region. Accordingly, four consultation meetings were conducted in four kebeles and four woredas namely; Kalami kebele in Erer Woreda of Somali region, Tirtira kebele in Dulsa woreda of Afar, Fayo kebele in Mieso woreda of Oromia and Kelewe kebele in Dasnech woreda of Southern Nation, Nationality and Peoples. The details of the consultation process, participants and views acknowledged in the discussion are presented as follows. 2. Consultation strategy and participation The following strategies were applied to pursue the meetings.

• The consultation meetings were facilitated by the Mobile Support Teams (MSTs) of respective regions.

• The sub kebele or villages were informed about the meeting by kebele chief administrator to call the communities to attend the meeting to be held at kebele administration. . The administrator further informed the public call message to the representatives of sub-kebeles or villages so that they invited the public to attend the consultative meeting.

• In order to carry out the consultation, a particular place central to all villages was selected and communities were notified by public notices. They then gathered to that specific site.

• As the role of community, cultural leader, including the community elders and landholder participation in the ESMF implementation process is an essential element, the team paid much more effort to inform and invite them to participate in the community consultation. All community social classes such as religious and clan leaders, women, minorities, disabled societies and youth participated in the community consultation meetings. The MST & woreda focal persons have facilitated the community discussion.

• Elaboration of the consultation issues and encouraging the community members through questioning to express their views and opinions, and the like has been employed as the methods to undertake the consultation.

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3. Consultation meetings participants

The invitation of public consultation meeting was announced for entire members of respective kebeles. Accordingly, a total of 562 people (345 men, 167 women and 103 youths) participated in the community consultation meetings in four kebeles of four selected woredas of four regions. . Table1. Community consultation meetings participants No. Kebele woreda region Male female youth total 1 Kalami Erer Ethiopian Somali

region 101 34 26 135

2 Fayo Mieso Oromia region 135 67 32 252 3 Tirtira Dulsa Afar region 29 21 15 50 4 Kelewe Dasench SNNPR 80 45 30 125 Total 345 167 103 562

4. Major issues discussed

Discussion started by brief introduction of respective MSTs. A brief elaboration was made by the MST leaders to the community members about the various types of PCDP III CIF sub-projects and RLP activities that will have social and environmental impacts. On the basis of the explanation, the participants were asked to list out examples of social and environmental implications that the development interventions could pose. Thus, issues related to land acquisition and reduced access to natural resources uses and environmental protections as well as involuntary resettlement were discussed during community consultations. Accordingly, the findings of the consultations are presented as follows. Land acquisition &Compensation:-The consultations have focused on issues of land acquisition and compensation and reduce access to natural resource uses that might be resulted because of involved involuntary resettlement by PCDP III. The participants of the meeting explained that they knew the implementation of community subprojects and other household based interventions obviously need a piece of land and people may be affected because they using the land which will not be possible during and after the PCDP III investment project is implemented. Moreover, they expressed as the project engage on Rangeland management that requires enclosing from any use traditional intermittent grazing lands so that the environment may be rehabilitated. The people who participated on consultation meetings were asked if they knew what process will be followed if PCDP III investment project or Rural Livelihood Program intervention needs to acquire land and people or property is disturbed or when there is a possibility that it would affect access to natural resources by pastoral and agro-pastoral communities. .Accordingly, the meeting participants expressed that as the adverse impact of community subproject and RLP interventions would be limited because land in pastoral is communal and plentiful; access to natural resources (including land) was

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mostly communally managed according to intricate traditional systems, and with the CDD modality, identification of sub-projects would be in line with traditional resource management systems. However, explained as the issues of land acquisition and access to natural resources need closer attention in pastoral areas. The Ethiopian constitution gives the right of ownership of land to the public /state. Individual citizens are given the right to use the fruit of labor expended on the land. It is possible take individual holding land or communal land for public development. They explained that so far no compensation made for communal lands taken for investment activity. If individual lands given voluntarily the compensation are not needed but if the individual land taken involuntarily for public investment the affected peoples should be compensated. Thus, the community emphasized that the land is scarce resource that every members of community should give due attention. They also appreciated the purpose of RPF regarding land acquisition and compensation. Moreover, explained that donation of land freely for project activities unthinkable special where the land hold individual.

• The Community reached consent that donation of land for pastoral community development project might be treated in a very caution way on communal land with a little pressure or without deviating the right to use the natural resources such as grass, trees and other for their livelihoods. In case of using the private owned land for the development purposes, the loser is expected to be compensated based on available proclamation following the framework indicated in the RPF.

• .In Afar region, the community revealed that most of land is communal and managed by clan. No one can exploit Communal land without primate of Clan. In the case land used by individuals want for project activities the community has culture to compensate the affected people. As per exist culture does not allow compensation in money for the potential project affected people. Rather in Afa Ada (which is the lowest social institution to guide the overall life of the residence at community and kebele level) it’s common to support the affected peoples in providing goat camels, and sheep etc.

• Almost all of them agree that land supply for such small development investment hasn’t been an issue of concern until recently. They have confirmed that the preparation of RPF under PCDP III allows for due care to ensure that there is no unlawful pressure/coercion exerted upon voluntary land donors in the process of obtaining community land agreement or ensure that involuntary resettlement and land acquisition is avoided or where it is necessary, is minimized.

• They believe that since the project (PCDP) participates the community in all stages of involuntary land acquisitions will not happen. Holders donate their land voluntarily it is not because they have plenty of land it’s due to the fact that they think for the bright future of their children and the benefit of the society at large. The land taken for the construction of that project by convincing the individual land holder or from communal land. That means they are consulted or informed prior to beginning of the project. Compensation

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would not an issue in the case where land taken voluntarily. The compensation should be given to affected people if the land taken / loss asset without full agreement of the affected people.

• The other major view raised in the consultation was that, the fear of involuntary displacement of individuals from private property like land is very unlikely for there is relatively ample communal land in the area.

• Regarding the environment protection and management frame work, they understand that it is not easy to get shade for their camel, goats, sheep sick/weak and lactate cows and for themselves. In dry area no plantation, no substitution of the cut plant, Therefore keeping the indigenous plant is must for the community people.

In addition, the need to combat these adverse impacts was also raised for the discussants. For example; one of the participants expressed his opinion by saying, ‘’you have forwarded the issue clearly…a pond for instance should not be constructed close to the village, rather it should be far, for it is dangerous for kids and also suitable for mosquito reproduction.’’ Remembering PCDP II participation experience, another participant stated, ‘’as earlier, if we will participate in the projects site selection, we will take care of such problems, and therefore the occurrence of social and environmental impacts will be minimal.’’ Another person continued speaking about the possible exclusion of disabled, elders, women and other minorities from the project benefits by saying ‘’ our clan is the same, so we care for one another, therefore they will not be excluded from the benefit of the project.’’ Furthermore, it was explained that the purpose of ESMF is to ensure that potential negative impacts are prevented and/or mitigated appropriately. The framework implementation arrangements, application strategies and capacity enhancing procedures are also briefly elaborated for the community members. The discussion was summarized with a community speaker who has forwarded appreciation about the issue points addressed in the framework. With regard to the PAPs affected HHs and other properties, the discussants mentioned about the land issue and pointed out that in their situation there is relatively sufficient communal land on which sub-projects can be implemented. Nevertheless, they specify that if cautious measures are not taken prior to project implementation some areas that are privately owned such as riverside farmlands, home and cattle compounds, and communal properties such as animal routes for cattle to water resources, sites of cultural rituals, and pasture lands could be harmed. In this regard, the private and communities that own the stated properties will be affected. One major view raised in the consultation was that, the fear of involuntary displacement of individuals from private property like land is very unlikely for there is relatively ample communal land in the areas.

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Vulnerable and underserved groups participation:-With regard to the exclusion of vulnerable and underserved community members, it was expressed that in pastoral areas the kebeles are formed from same clan, therefore due to this high social ties, the occurrence of the exclusion of such individuals from the benefits of the project is very unlikely. Besides, they appreciated the procedures indicated in ESMF to avoid, mitigate or compensate any potential involuntary resettlement. Here it is important to note that, in spite of the expressed community opinions with regard to land availability and cultural ties, the ESMF needs to be considerate in matters related to private and communal properties stated above. It seems that the local culture is highly characterized by power imbalance among the sexes whereby the women are seen as inferior which in turn adversely influence her decision making capacity and the youth is also seen as immature to participate in decision making. Thus the consideration of these cases in the preparation of the framework is of high importance. The implementation arrangement articulated in the ESMF concerning the displaced people has been expressed as sufficient. Participatory monitoring & Evaluation:-The findings of community consultations indicated that as the project follows CDD approach the communities have been directly participated in every stages of project including planning, implementation and procurement of skilled labor and industrial materials and oversight the delivery of services. The monitoring & evaluation is done at all levels. Informants stressed that communities are regularly hold discussion, follow up day to day and evaluate the implementation of project. Besides, the communities contribute both, cash and labor /local materials for the implementation of subprojects. Furthermore, they stressed as three step planning process should be inclusive and allow vulnerable people to communicate their concerns throughout planning and implementation, and recommend measures to ensure that such vulnerable groups or underserved areas and women are adequately represented. The participants of the consultations have mentioned all views expressed during public consultations have been properly addressed in the preparation of RPF and design of the project.

5. Procedures agreed on as next steps

In the consultative meeting, the discussants have agreed on the following procedures concerning the implementation of ESMF. • Train community committees and create awareness to capacitate community

members concerning the social and environmental impacts of project activities, mitigation measures, as well as compensation procedures for the unsolved adverse impacts,

• The need to properly identify all potential social and environmental adverse impacts before start of the implementation of project interventions.

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• Identify individuals belonging to the vulnerable groups such as elders, and disabled and undertake special attention or action to ensure their involvement and benefits.

• Ensure the realistic participation of women and youth in decision making for these are highly vulnerable and could be sidelined from participating in development activities and securing benefit from it.

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Annex XIII: Summary of Small Dam Safety Guideline 1. Introduction The overarching dam safety objective is to protect people, property and the environment from the harmful effects of mis-operation or failure of dams and reservoirs. To ensure that dams and reservoirs are operated and that activities are conducted so as to achieve the highest standards of safety that can reasonably be achieved, measures have to be taken to achieve the following three fundamental safety objectives:

• To control the release of damaging discharges downstream of the dam, • To restrict the likelihood of events that might lead to a loss of control over the

stored volume and the spillway and other discharges, • To mitigate through onsite accident management and/or emergency planning the

consequences of such events if they were to occur.

These fundamental safety objectives apply to dam and activities in all stages over the lifetime of a dam, including planning, design, manufacturing, construction, commissioning and operation, as well as decommissioning and closure. 2. Planning of small Dams There are some fundamental principles which should be applied through the investigation, design, construction and commissioning stages to achieve an adequate level of safety. The principles are:

i. the competence and experience of the owner’s agents relative to the nature and dam hazard category of the dam, must be appropriate in all areas;

ii. there must be a cooperative and trusting relationship between the owner and technical advisers, and the designers must be given full control over decision making in critical areas;

iii. the owner must agree to apply the appropriate level of funding for investigations, design and construction to reduce the chances of critically important issues (particularly related to foundations) being not sufficiently well assessed or under protected;

iv. the designer/technical adviser has a duty not to compromise unduly due to financial pressures from the owner, developer or contractor;

v. continuity of key technical advice should be maintained throughout all stages of the dam from development, through design, construction and commissioning, to reduce chances of critical points of design philosophy and intent being misinterpreted during construction or commissioning.

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Dam site investigation Selecting the Dam Site When choosing the location and size, the dam owner should also take into account what would happen if the dam failed suddenly and whether it would result in loss of life, injury to persons or livestock, damage to houses, buildings, roads, highways or railroads. The owner of the dam should ensure to avoid locating the dam where run-off from houses, dairies or septic systems can pollute the water. Considerations at Investigation Stage Technical Consideration Site selection and site investigations are critical components to the success or failure of a dam. Regarding the technical consideration the following important aspects should be considered:

a. The catchment is the area of land from which run-off is to be collected. If it is the main source of water supply, make sure that it is capable of yielding enough water to maintain both, the supply in the dam and the required releases over all periods of intended use. The catchment area however should not be too large, as it will then require a big and expensive overflow system (or spillway) to safely pass excess run-off from heavy rainfall without overtopping the dam.

b. Topographical features such as slope, width and height of dam, as well as reservoir capacity will influence construction costs.

c. Conducting site tests to establish the material properties for the embankment and foundation.

d. A good location for a spillway that will effectively handle runoff and minimize erosion.

e. Watershed activities that can affect the water quality or quantity of runoff. Environmental Considerations Dams with their associated reservoirs can have substantial environmental effects and any existing dam or new project must comply with the Ethiopian environmental and environmental legislations and associated licensing or permit requirements. It also complies with World Bank Safety of Dam Operational Policy (OP/BP. 4.37). It should be recognized at the outset that dam developments have effects extending beyond the immediate confines of the dam and inundated areas. For example;

a. Reservoir slope stability may become a dam safety issue due to the risk of overtopping caused by large volumes of reservoir water being displaced by slope failures.

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b. Sitting of the dam/reservoir must take into consideration the local earthquake and faulting activity which may cause breaching of the dam

c. Groundwater level changes may affect stability and land use around the reservoir margins and possibly adjacent to the downstream river, as a result of changed water levels.

d. Trapping of sediments in the reservoir can result in upstream shoaling and loss of reservoir storage.

e. Flora/fauna effects may occur in storage basin, downstream, and in passage around and through the dam.

f. Minimum flow maintenance downstream of the dam to ensure the survival of flora and fauna, and to reduce causes of stream bed deterioration.

g. Social development/changes to downstream use given the changed flood situation.

Dam Design Embankment dams Design The single most common cause of earthen dam failures is overtopping of the embankment. An undersized spillway will lead to overtopping; therefore spillway design is critical to reservoirs. The spillway must be located such that discharge will not erode or undermine the toe of the dam. If the banks of the spillway are made of erosive material, provision must be made for their protection. Consideration must be given to the hazard to human life and potential property damage that may result from the failure of the dam or excessive flow rates through the spillway. Further consideration must be given to the likelihood of downstream development that may result in an elevation of the hazard classification. Extreme Events Large earthquakes, storm/flood activity and failure of upstream dams can be considered extreme events. The risk of failure from these events is minimized by using engineering design standards and relevant guidelines incorporating adequate margins of safety. Emergency preparedness set up well in advance is the only available measure of reducing the impact when a dam failure is about to happen. Sedimentation The effective life of many of small dams is reduced by excessive siltation – some small dams silt up after only a few years. This issue is poorly covered in the many small dam design manuals that are available, as they mostly focus on the civil engineering design and construction aspects. Appropriate methods/tools have to be chosen to predict, and where possible reduce, siltation rates in small dams.

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3. Construction of a Dam

The quality of construction is all-important to dam safety. As far as construction is concerned, the following requirements are necessary from the dam safety viewpoint:

• the contractors must be suitably experienced and committed to achieving the standards of work specified;

• the level of supervision of the works, quality assurance procedures and designer continuity, must be appropriate to the scale and complexity of the dam;

• the owner must recognize that inherent uncertainties may remain after design investigations and only be revealed during construction, and have funding in place to deal with costs arising from additional requirements identified during construction;

• any area identified in the design process as requiring confirmation by the designer during construction, must be totally under the designer’s control, and no design change, however small, shall be made without the designer’s review and formal approval;

• a suitably detailed design report and drawings showing the as-built structure of all components of the dam and foundation shall be developed as an on-going and integral part of the construction supervision process, and be prepared after completion of each component so that there is a reliable record to refer to at all times in the future.

Therefore, the dam owner should ensure all the above mentioned requirements are fulfilled and complied.

Selecting the contractor The use of inexperienced contractors and/or inadequate supervision can develop into an expensive liability. Nothing can take the place of a reputable contractor, using appropriate equipment and experienced machine operators and working under supervision of an experienced engineer. Construction Supervision Construction supervision is an important phase of dam construction. Supervision is meant to ensure that the design factors and specification requirements have actually been included in the final product. If foundation preparation, material selection, outlet/spillway installation and embankment compaction are not properly carried out then the safety of the dam will

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be compromised. So, for all small dam types (both earthen and rock fill) expected to be constructed, all the dam safety requirements applicable should be considered accordingly. 4. Safety Surveillance Purpose of Regular Inspection The purpose of a dam safety surveillance program is to avoid failure of the dam, by giving early warning of any kind of symptom of trouble as early as possible. It is the most economical and effective means an owner has of maximizing the long-term safety and survival of the dam. Its primary purpose is to monitor the condition and performance of the dam and its surroundings. Frequency of Inspections The frequency of inspection required for an effective program of surveillance depends on a variety of factors including:

• Size or capacity of the dam; • Condition of the dam; and • Potential for damage resulting from failure of the dam (represented by the

hazard category). Adoption of the inspection frequency for a particular dam is the responsibility of the owner, though professional advice should be sought for large dams or those categorized under significant and high hazard dams. According to the dam safety guidelines prepared for AGP, the suggested inspection frequencies for small dams of less than 15 m height for the two levels surveillance (quick visual inspection and comprehensive examination) is presented in the table below and should be followed critically. Quick Visual Inspection Dam Hazard Potential classification High twice weekly Significant weekly Low fortnightly Comprehensive Examination Dam Hazard Potential classification High monthly Significant 3-monthly Low twice-yearly

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Special Inspections Special inspections will be required after unusual events such as earthquakes, major floods, rapid drawdown or volcanic activity. Special inspections should enable the dam owner to become aware of faults before partial or total failure occurs. Times when inspections additional to those above are recommended are:

• before a predicted major rainstorm (check embankment, spillway and outlet pipe);

• during and after severe rainstorms (check embankment, spillway and outlet pipe);

• after any earthquake, whether directly felt on the owner's property or reported by local news media (check all aspects of the dam).

Inspections should be made during and after construction and also during and immediately after the first filling of the storage. Dealing with Problems A systematic program of safety surveillance should maximize the likelihood that any developing conditions likely to cause failure would be found before it is too late. Surveillance will also help early detection of problems before they become major repair bills. As identified earlier typical problems (many of which are treatable if found early enough) are most likely to fall into one of the following categories: seepage/leakage; erosion; cracking; deformation/movement; concrete structure defects; and spillway blockage. Instrumentation and Monitoring Instrumentation at a dam furnishes data to determine if the completed structure is functioning as intended, provides a continuing surveillance of the structure, and is an indicator of developments which may endanger its safety. Typical items instrumented or monitored include;

• profiles and condition, deformations, seepages or damp areas (visual) • reservoir water levels which relate to dam loads and flood behavior • local rainfall which relates to background seepages • drainage and distinguishable seepages which relate to control of leakage water

flow • Clarity of seepage flow which relates to potential erosion of embankment or

foundation material. • water pressures within the dam and foundations which relate to structural

behavior

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• movement or deformation of the dam surface and internal structure which relates to structural behavior

• stresses within the dam which relate to structural behavior • seismic acceleration which relates to structural behavior

5. Operation and Maintenance of Dams Effective and ongoing operation, maintenance and surveillance procedures are essential to ensure the continued viability and safety of a dam and its appurtenant structures. Poor operation, maintenance and surveillance will invariably result in abnormal deterioration, reduced life expectancy and possibility of failure. The proper operation, maintenance and surveillance of a dam provide protection for the owner and the general public. Furthermore, the cost of good operation, maintenance and surveillance procedures is small compared with the cost and consequences of a dam failure which could include major repairs, loss of life, property damage and litigation. Because many small dams fail through lack of maintenance, it is prudent to have a definite and systematic maintenance plan. The maintenance plan should be decided upon when the construction work on the dam is completed. It will affect the life of the storage if you do not maintain it properly. A good plan should include the practices to be used, as well as the approximate time of the year when they are applicable.

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Annex XIV: List of Participants at the Public Consultations on ESMF

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Participants at Tirtira kebele of Dulsa woreda of Afar region

S.No Participants Name Sex Woreda Kebele Signature 1 Ali Mohammed M Dulecha Tirtira 2 MulaHumed M Dulecha Tirtira 3 EmberaDuna M Dulecha Tirtira 4 GodaBosa M Dulecha Tirtira 5 BidaroAkule M Dulecha Tirtira 6 SeleEgisa M Dulecha Tirtira 7 Duguno Lea M Dulecha Tirtira 8 GelmeAskir M Dulecha Tirtira 9 AbayeHussen M Dulecha Tirtira 10 Ebade Ali M Dulecha Tirtira 11 Bore umer M Dulecha Tirtira 12 Eleteali M Dulecha Tirtira 13 SehinTesmite M Dulecha Tirtira 14 Are Galeba M Dulecha Tirtira 15 Ali Nuren M Dulecha Tirtira 16 UndegoAski M Dulecha Tirtira 17 Ali Uto M Dulecha Tirtira 18 Mohammed Dige M Dulecha Tirtira 19 Haro Duna M Dulecha Tirtira 20 Umer Edris M Dulecha Tirtira 21 Ares umer M Dulecha Tirtira 22 Ali Akawke M Dulecha Tirtira 23 Edris Elma M Dulecha Tirtira 24 Mohammed Mase M Dulecha Tirtira 25 UmedaMula M Dulecha Tirtira 26 BukulaKambela M Dulecha Tirtira 27 UroUto M Dulecha Tirtira 28 Ambeli Ali M Dulecha Tirtira 29 Muna Askir F Dulecha Tirtira 30 Dahar Umer F Dulecha Tirtira 31 Abahina Enahaba F Dulecha Tirtira 32 Abaho Husen F Dulecha Tirtira 33 Kediga Ali F Dulecha Tirtira 34 Sankora Askir F Dulecha Tirtira 35 Abaye Ababa F Dulecha Tirtira 36 Fatuma Abasiya F Dulecha Tirtira 37 Ayantu Mukola F Dulecha Tirtira 38 Amuto Enehaba F Dulecha Tirtira 39 Hadi Hadawa F Dulecha Tirtira 40 Sikaloli Ali F Dulecha Tirtira 41 Husina Askila F Dulecha Tirtira

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42 Hadi Mamula F Dulecha Tirtira 43 Abaseant MullA F Dulecha Tirtira 44 Hariri Dris F Dulecha Tirtira 45 Anita Mehaysa F Dulecha Tirtira 46 Gude Egisa F Dulecha Tirtira 47 Ares Umer F Dulecha Tirtira 48 DetnaUmer F Dulecha Tirtira 49 FatumaDawd F Dulecha Tirtira 50 Asia Haro F Dulecha Tirtira