ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF)

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized E2425 MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT FEDERAL REPUBLIC OF ETHIOPIA AGRICULTURAL GROWTH PROJECT ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF) FINAL REPORT March 2010 Addis Ababa Ethiopia

2 Table of Contents Acronyms...IV Executive Summery...Vi 1. Introduction and Objective of the ESMF Project Description Methodology and Consultation Detailed and In-depth Review of Relevant Documents Toolkits Preparation of ESMF Institutional Framework Ethiopian Environmental Regulations World Bank Safeguard Requirements Public Disclosure Comparison of World Bank Safeguard Polices and Environmental Policies of Ethiopia Project Implementation Arrangements Feder al Level Implementation Regi onal Level Implementation Wore da Level Implementation Kebe le Level Implementation Potential Environmental and Social Impacts of and Mitigation Measures for AGP Projects Localized Impacts Cumulative Impacts ESMF Process for Subproject Preparation, Assessment and Reporting...10 i

3 7.1...Roles and Responsibilities in the ESMF Screening and Appraisal Process ESM F Procedures for Subproject Screening and Screening Checklist Step (i): Guideline for DA and the local community for subproject check at Kebele level Step (ii): Guideline for subproject screening at Woreda level Step (iii): Notification guideline for subprojects of environmental concern Step (iv): Guideline for regional EPLAUA for reviewing subprojects of environmental concern Step (v): Guideline to conduct an EIA study by Woreda EPLAUA Step (vi): Guideline for regional EPLAUA to review EIA report Discl osure of Subprojects Information Environmental and Social Management Plan Guidelines for Projects Requiring Special Attentions Integrated Pest Management (OP4.09) Involuntary Resettlement (OP4.12) Physical Cultural Resources (OP4.11) Projects on International Waterways (OP7.50) Safety of Dams (OP4.37) Monitoring Plan Monitoring of Environmental and Social Indicators Evaluation of Results Monitoring of ESMF Implementation...27 ii

4 8.2.4 Monitoring Roles and Responsibilities Supervision EMP and RAP Budget Overall Project Compliance and Reporting Capacity Building and Training Requirements Human Resource Capacity Requirement Focus of the Training Proposed Approaches to Training and Capacity Building Mainstream Cost Training Cost References Technical Annexes...35 Annex 1. Subproject Screening Checklist Annex 2. Annual Report Form to be completed at Woreda Levels Annex 3. Annual Report Form to be Completed at the National Level by AGP-CU Environment and Social Specialists Annex 4. Comparison of World Bank Safeguard Policies and Ethiopian Legislation Annex 5. Integrated Pest Management Guidelines Annex 6. Terms of Reference for EMP Annex 7. Compensation Calculation Annex 8. Ethiopian Environmental and Social Requirements Annex 9. Examples of Environmental Contract Clauses Annex 10. List of Individuals Consulted and Woreda for Field Work iii

5 Acronyms ADLI AGP AGP-CU AGP-FSC AGP-RSC BOARD BOEPLAUA CRC DA EA EIA EMP EPA ESIA ESMF IPM IPMP KAC KDC MOARD PASDEP PIM PMP PVC RAP RPF SKDC WAC WDC WDC WOARD Agricultural development-led industrialization Agricultural Growth Project Agricultural Growth Project - Coordinating Unit Agricultural Growth Project -Federal Steering Committee Agricultural Growth Project - Regional Steering Committee Bureau of Agriculture and Rural Development Bureau of Environmental Protection and Land Use Administration Compensation and Resettlement Committee Development Agent Environmental Assessment Environmental Impact Assessment Environmental Management Plan Environmental Protection Authority Environmental and Social Impact Assessment Environmental and Social Management Framework Integrated Pest Management Integrated Pest Management Plan Kebele Advisory Committee Kebele Development Committee Ministry of Agriculture and Rural Development Plan for Accelerated and Sustainable Development to End Poverty Project Implementation Manual Pest Management Plan Property Valuation Committee Resettlement Action Plan Resettlement Policy Framework Sub-Kebele Development Committee Woreda Advisory Committee Agriculture and Rural Development Committee Woreda Development Committee Woreda Agriculture and Rural Development iv

6 Glossary of Terms Cumulative impacts/effects: The total effects on the same aspect of the environment resulting from a number of activities or projects. Developer/Proponent/Sponsor: the entity person/ company/agency proposing to develop/implement/install a new project/sub- project or expand an existing subproject under the AGP. Direct impacts: An effect on the environment brought about directly by the AGP subprojects. Disclosure: Information availability to all stakeholders at all stages of the development of projects. Environment: physical, biological and social components and processes that define our surroundings. Environmental Impact Assessment (EIA): A comprehensive analysis of the project and its effects (positive and negative) on the environment and a description of the mitigation actions that will be carried out in order to avoid or minimize these effects. Environmental Monitoring: The process of examining a project on a regular basis to ensure that it is in compliance with the Ethiopian Environmental Management Plan (EMP) or the Environmental Impact Assessment (EIA) guideline. Impact: A positive or negative effect that a project has on an aspect of the environment. Indirect impact: A positive or negative effect that a project indirectly has on an aspect of the environment. Involuntary resettlement: The forceful loss of land resources that requires individuals, families and / or groups to move and resettle elsewhere. Mitigation measures: The actions identified in an EIA to negate or minimize the negative environmental impact that a project may have on the environment. Project and sub-project: a set of planned activities designed to achieve specific objectives within a given area and time frame. Scoping: the initial stage in an environmental assessment that determines the likely major environmental parameters that will be affected and the aspects of the project that will bring upon these effects Screening: An initial step when a project is being considered for environmental assessment. The screening is the determination of the level of assessment that will be conducted. Significance: Importance. Significant effect: An important impact on an aspect of the environment. Stakeholder: Any person or group that has an interest in the project, and the environmental effects that the project may bring about. v

7 Executive Summary This Environmental and Social Management Framework (ESMF) is related to the proposed Agricultural Growth Project (AGP) project in Ethiopia. AGP is financed by various funding agencies including the World Bank. This ESMF is to be used by stakeholders implementing AGP at the selected high potential agroecological Woredas in the selected four Regional States (Amhara, Oromia, Tigray and SNNPR) to ensure the fulfillments of the applicable operational policies of the Bank and environmental and social requirements of Ethiopia. Project Description Agriculture is the backbone of Ethiopian Economy. Cognizant to the pivotal roles played by this sector, the Government of Ethiopia designed and established national development strategies centering enhancement of agricultural productivity. The components and subcomponents of AGP project were briefly presented based on the most Aide Memoire of Feb. 1-19, Potential environmental and social impacts and potential mitigation measures Potential environmental and social impacts of and mitigation measures due to the implementation of AGP activities were identified. The potential impacts and mitigation measures are grouped into potential AGP subprojects. Environmental and social requirements The environmental guideline document of Ethiopia requires Environmental and Social Impact Assessment (ESIA) for projects which fall under Schedule 1. ESIA is an instrument to avert adverse environmental and social impacts of development projects. AGP subprojects and their impact areas are not yet identified. It is believed that AGP subprojects fall under project category B of the World Bank. In cases where the nature, scope and locations of AGP activities are not known, ESMF is an instrument to be applied to safeguard potential adverse environmental and social impacts. When subproject activities trigger World Bank operational policies, a preparation of an ESMF is required. In addition, the ESMF sets out screening, mitigation, monitoring and institutional measures to be undertaken during the design, implementation and operation of AGP activities to avoid environmental and social impacts, offsets them or reduce them to acceptable levels. Monitoring and evaluation The performance of environmental and social management plans of AGP subprojects will be monitored and evaluated on a regular basis. Annual report forms will be filled by both at Woreda and Regional levels. The annual report forms address relevant issues related to project management, strategic and policy, institution and training. Capacity building Types of trainings for the effective implementation of AGP activities have been identified. This will enhance the human resources capacity at Woreda and Regional levels. Indicative budget is also included as part of the capacity building for implementation of ESMF. ESMF structure The key components of this ESMF are the following. vi

8 Chapter 1 Introduction and Objective of the ESMP The locations and details of the subprojects of AGP are not known yet. It is, however, anticipated that AGP activities triggers certain Operational Policies of the World Bank and should also conform to the national environmental and social requirements. This situation of the subprojects of AGP necessitates the preparation of Environmental and Social Management Framework (ESMF). The ESMF a precautionary measure and provides a platform for the preparation of subproject specific environmental and social management plans. In view of these, AGP activities trigger the following World Bank Operational Policies: OP4.01 Environmental Assessment OP4.09 Pest Management OP4.11 Physical Cultural Properties OP4.12 Involuntary Resettlement OP 4.37 Safety of Dams OP7.50 Projects on International Waterways Chapter 2 Project Description Agriculture is at the core of all development activities in Ethiopia. Cognizant to this apparent leading role of agriculture, the country has designed Agricultural Development-led Industrialization (ADLI) policy. Agricultural Growth Project (AGP) entirely conforms to this development strategy of Ethiopia. AGP will be implemented in 83 Woredas of the selected four Regional States (Amhara, Oromia, Tigray and SNNPR). These AGP Woredas are high potential agro-ecological zones for production of key crops. AGP has three major components: 1. Agricultural production and commercialization This component of AGP encompasses subcomponents dealing with institutional strengthening, scaling up of best practice among farmers and marketing and agribusiness development. Each of these subcomponents has a list of activities to be undertaken. 2. Rural Infrastructure development Small-scale agricultural water development (e.g. investments in small-scale irrigation infrastructure, water harvesting and micro-irrigation), development of small-scale market infrastructure development (e.g. development of feeder roads) and investments in demanddriven infrastructure are designated subcomponents of the Rural Infrastructure Development. 3. Project management, Monitoring and Coordination This component of AGP establishes structures for project management and coordination structure, communication and dissemination lesson learnt from AGP implementation and building capacity for project management. Chapter 3 Methodology and Consultation Detailed reviews of the following relevant documents were undertaken. These are PBS, SLMP, PSNP II and their respective ESMF. The most recent Aide Memoire of AGP (February 1-19, 2010) was also studied. Following focused group discussion with sector experts of 8 Woredas (Annex 10) selected for field work, subproject screening checklist (Annex 1) was developed. This process also led to the identification of potential adverse environmental and social impacts of AGP activities. Chapter 4 Institutional Framework vii

9 The environmental and social legislations of Ethiopia are given in Annex 8. A comparison of the environmental and social legislation of Ethiopia and Operational Policies of the Bank was undertaken to identify gaps (if any). Although no apparent gaps were noted for Operational Policies considered, there are clear gaps between the Ethiopian legislation on resettlement and OP4.12 (Annex 4). The gaps are related to resettlement, eligibility and notification period. Chapter 5 Project Implementation Arrangements Project Implementation Manual (PIM 2009) identifies MOARD as the main Implementer of AGP activities. It also outlines the structure of committee, the need for establishment of AGP- Coordination Unit (AGP-CU) both at Federal and Regional levels. EPLAUA is the main ESMF implementing party. Chapter 6 Potential Environmental and Social Impacts and Mitigation Measures for of AGP Subprojects AGP subprojects potentially lead to adverse environmental and social impacts. Both potential and social impacts along their potential mitigation measures are tabulated. The potential mitigation measures minimize potential adverse environmental impacts if incorporated in the subprojects and implemented proactively. In addition, this chapter also briefly outlines the essence of localized and cumulative impacts of AGP subprojects. Chapter 7 ESMF Processes for Subproject Preparation, Assessment and Reporting This chapter outlines the steps for subproject screening at different level. Step (i) presents illegibility criteria for AGP subprojects in connection to whether or not the subproject falls in disputed area, leads to relocation of people, located in priority areas, affects Physical Cultural properties and vulnerable people. Step(ii) sets criteria for subproject screening. This entails identification of AGP subprojects of environmental concern based on pre-designed criteria such as whether or not the subprojects use pesticides, involve the construction of Dams and leas to land acquisition and loss of assets or access to assets. If a subproject, for example, uses agro-chemicals, Integrated Pest Management plan should be in place following the national guideline. Once subprojects are labeled as subprojects of environmental concern, the next step is to identify the nature of the environmental concern through two approaches. First, the subprojects will be screening based on pre-designed criteria given in Table (ii). Second, the subproject screening checklist (Annex 1) will be filled and checked for the following properties. a) Subprojects scored for low and medium should incorporate mitigation measures. This type of subprojects will be directly submitted to BOARD for funding. Similarly, subprojects scored for one high potential environmental and social impacts will require the incorporation of potential mitigation measures and submitted to BOARD for funding. b) Subprojects scored for more than one high and more Unknown should be labeled as subprojects of environmental concern and submitted to BOEPLAUA for further action. Step (iii) deals with the guideline for notification of subprojects of environmental concern. Step (iv) outlines the guideline to be used by BOEPLAUA for review of subprojects of environmental concern. During the review process, the BOEPLAUA should made note of the following. It should decide whether or not an EIA is required. If, for example, the subproject of environmental concern is labeled so because of the use of pesticide, BOEPLAUA should make sure that IPM plan is incorporated into the subproject design. viii

10 The BOEPLAU should also communicate with Woreda EPLAUA and WOARD whether or not an EIA is required for these subprojects. If an EIA is the ultimate decision, the BOEPLAUA shall provide the Woreda EPLAUA with Terms of Reference for the EIA study. If no EIA is required, BOEPLAUA shall provide technical assistances for the Woreda EPLAUA and WOARD during the implementation of these subprojects. Step (v) and step (vi) outline the guideline for Woreda EPLAUA to conduct an EIA study and BOEPLAUA to review the EIA, respectively. Chapter 8 Environmental and Social Management Plan This chapter outlines the generic contents of an ESMP. It also deals with subprojects requiring special attentions. These are as follows. a) Integrated Pest Management (OP4.09). The government of Ethiopia encourages the use of IPM. The use of IPM should conform to the following fundamental principles. i. Pests should be managed (kept below action threshold) without seeking for their eradication. ii. Use of nonchemical (mainly biological) control of pests instead of chemicals iii. The use of chemical pesticide should not affect non-target, beneficial (e.g. crop pollinators) organisms Annex 5 outlines the guideline for the development of IPM plan. b) Involuntary Resettlement (OP4.12). To conform to the World Bank OP4.12 and national social legislation dealing with resettlement, a Resettlement Policy Framework (RPF) is developed. The RFP provided guidelines has the following parts. Legal framework. This outlines the core principles of selected applicable laws and procedures. It included Resettlement planning legislation, property laws, eligibility or entitlement, land asset classification, valuation and compensation procedure for expropriation and OP4.12 procedure for resettlement. Eligibility categories. This section characterizes affected people and eligibility criteria for compensation. It also outlines methods of determining cut-off dates and guideline for compensation calculation (Annex 7). RAP preparation, review and approval. This section is comprised of public consultation and participation, screening process, socio-economic census and land asset inventory, development of RAP, its implantation procedure and implementing responsibilities. The current study recognized the need for establishment of Compensation and Resettlement Committee at Woreda level. RAP implementation procedure and schedule. These procedure and schedule shall involve consultation, notification, documentation and preparation of contract. In addition, this section deals with compensation payments and development initiatives, RAP implementation schedule and mechanisms of public consultation and participation. Grievance Redress Mechanism. Disputes shall be solved in an amicable way. Any dispute should be filled by village elders and leader and shall be solved in a traditional way. If the effort to solve the dispute by using tradition mechanism fails, such disputes should be solved by established national legal procedures. ix

11 Monitoring and Evaluation. Monitoring is a tool used to evaluate the performance of the resettlement and compensation plans. Objectively verifiable indicators shall be used to monitor the impacts of resettlement and compensation activities. The indicators shall target physical and socio-economic status of PAPS (Project Affected Peoples). This section also gives a general guide for the types of verifiable indicators. c) Physical Cultural Resources (OP4.11). AGP projects should not adversely impact on the cultural resources such as sacred trees, scared water points and religious sites of the local community. The social team reported the occurrence of sacred trees such as Odda (Ficus species) and Wanza (Cordia africana) in Diga during the field work. Any AGP subproject activity shall incorporate appropriate management plan into its design to avoid falling or cutting these sacred trees. Kebele Physical Cultural Resources Committee shall be established and closely work with WDC to ensure the conformity of AGP subprojects to OP4.11. d) Projects on International Waterways (OP7.50). AGP subprojects trigger OP7.50. In view of this the World Bank notified all the riparian countries (Annex 12). Abstraction of water for AGP watershed as a mean annual is billion cubic meter (which is 0.106%) of the total mean annual discharge (124.3 billion cubic meter). Therefore, water abstraction of AGP subprojects will have insignificant impacts on the current flow of the rivers. Chapter 9 Capacity Building and Training Requirements This section outlines the capacity needs for the implementation of AGP ESMF at various levels. The focus of the training such as capacity building in connection to the principles and applications of ESMF, basic understandings of the Ethiopian environmental legislation and World Bank Safeguard operational Policies and exchanges and visits to acquire best practice among farmers. Chapter 10 References This chapter gives the list of main reference documents referred to in the course of the preparation of AGP ESMF. Chapter 11 Technical Annexes This chapter lists technical annexed cited in the main text. x

12 1. Introduction and Objective of the ESMF This document presents an Environmental and Social Management Framework (ESMF) for the proposed Agricultural Growth Project (AGP). This project is financed by several donor organizations including the World Bank. This report should be used by AGP to ensure that all significant adverse environmental and social risks associated with the projects are adequately addressed and that all relevant institutional capacity building and trainings needs are established for effective implementation of recommendations outlined in the ESMF. The environmental and social management framework (ESMF) details agreed policies, guidelines and procedures to be integrated into the implementation of AGP in the selected respective Woredas and Kebeles of Amhara, Oromiya, SNNP and Tigray Regional States of Ethiopia. Generally, the AGP of Ethiopia is designed in a way that can bring about rural transformation and improved rural livelihoods. Implementation of ESMF in Ethiopia in connection to AGP supports and assists the achievement of the compliance with applicable laws and regulations and relevant World Bank policies environment and social development issues. The objective of the ESMF is to ensure that AGP is implemented according to the environmental and social requirements of Ethiopia and the relevant Work Bank safeguard policies and triggers. At present, the details of the subprojects of the components of AGP are not in place. Therefore, ESMF is the appropriate safeguard instrument to be prepared prior to project appraisal. The guidelines of ESMF can be used as a vital springboard to prepare Environmental management plans for AGP subprojects. 2. Project Description Cognizant to the paramount importance of agriculture, Ethiopia has established a national strategy where agriculture is the leading sector to enhance and ensure food security. This national strategy, Agricultural development-led industrialization (ADLI) is also reflected in the Plan for Accelerated and Sustainable Development to End Poverty (PASDEP). Market-based agricultural development is the central theme of PASDEP. Now the Government of Ethiopia embarked on a multi-donor funded AGP to transform rural livelihoods. The Project Development Objective (PDO) is to increase agricultural productivity and market access for key crop and livestock products in targeted woredas with focused attention on woman and youth. The core strategy of AGP is the promotion of agricultural growth in Ethiopia to help the farmers take the opportunities for expanding demand for food and agricultural commodities at national and global markets. In view of this, AGP is broad-based and attempts to improve the whole range of value chain addition such as input supply, production, marketing, processing and export of selected agricultural commodities of important values to selected AGP Woredas. It is to be noted, however, AGP focuses on critical agricultural commodities of selected Woredas owing to limitations of a fund. Generally, the development objective of AGP is increasing agricultural productivity and market access in the selected Woredas with a special emphasis on Women and youth. The AGP focuses on small holder farmers which contribute to about 90% of agricultural input in Ethiopia. It also adopts an approach to scale up best practice among those farmers in connection 1

13 to agricultural production and post harvest value addition. In doing so, AGP focuses on the promotion of natural resource conservation and rehabilitation. It also strengthens private that capacity of private and public sectors institutions to respond to smallholder farmers demand for new technologies, advice on improved practices and invest in infrastructure.agp further focuses on improving knowledge and access to the existing technologies that have proved effective among some farmers. Although AGP does not work on large scale commercial farmers, it seeks linkages between smallholder and large scale farmers or agro-processing firms. AGP will also promote scaling up of innovation and investments such as small-scale irrigation, watershed management (e.g., water harvesting and micro-irrigation), rural (rural roads) and market infrastructure and possibly development of alternative energy source. AGP has three major components: Component 1: Agricultural Production and Commercialization with the following Sub-components: 1.1 Institutional Strengthening and Development, 1.2 Scaling up of Best Practices, and 1.3 Marketing and Agribusiness Development; Component 2. Small Scale Rural Infrastructure Development. with the following Sub-components: 2.1 Small-scale Agricultural Water Development and Management and Smallscale Market Infrastructure Development and Management; and AGP Management and Monitoring and Evaluation. More details are described elsewhere in the AGP PIM. The AGP will be implemented in a decentralized manner following a demand-driven and incentives-(performance-) based approach to achieve its development objectives. Individual activities would be largely chosen by farmers and their communities and organizations. Specific effort will be made to ensure the inclusion of woman and youth in the development process. The AGP would also identify and put in place incentives (policy measures and institutional set up, including public, private and cooperative sectors) that would promote agricultural growth in the selected Woredas of Ethiopia. The AGP covers 83 Woreda in four Regional State, i.e., Amhara, Oromia, SNNPR and Tigray of the Federal Democratic Republic of Ethiopia. The list of AGP woredas is provided in elsewhere in the AGP Project Implementation Manual (PIM). 3. Methodology and Consultation 3.1. Detailed and In-depth Review of Relevant Documents Detailed reviews of the existing baseline information was conducted, including relevant documents such as (i) PSNP III and its Environmental and Social Management Framework (ESMF); (ii) PBS and its ESMF; (iii) SLMP and its ESMF; and AGP Aide Memoires (October 20 to November 6, 2009 and February 1-19, 2010) for description of the project and extraction of information on subprojects 3.2. Toolkits The consultants have developed a checklist (Annex 1) of potential environmental and social impacts for the planned AGP of Ethiopia in line with five core safeguard policies of World Bank. These are Environment Assessment, Integrated Pest Management, Involuntary Resettlement, Physical Cultural Properties and International Waterways. The checklist annexed to the main report will be useful during implementation of AGP subprojects. Annual Report forms were also developed to be used for the environmental and social performance review of the subprojects. These toolkits were further tailored to AGP activities after extensive focused group discussion 2

14 with sector experts of the eight AGP Woredas (Annex 10) visited during the current study. These selected Woredas overlap with those selected by the Social Assessment team Preparation of ESMF The preparation of the Environmental and Social Management Framework will involve the following. Identification of positive and negative environmental and social impacts Identification of environmental and social mitigation measures Preparation of screening procedures to be used while screening subproject proposals Formulation of environmental and social monitoring plans 4. Institutional Framework 4.1. Ethiopian Environmental Regulations Relevant national administrative, policy and regulatory framework are annexed to this report (Annex 8). In an Ethiopian context, this ESMF ensures compliance with the relevant requirements of national policies, regulations, legislation and strategies such as Proclamation No. 299/2002 for Environmental Impact Assessment and the Ethiopian Environmental Impact Assessment Procedural Guidelines of Ethiopian Environment Protection Authority World Bank Safeguard Requirements The AGP has been assigned to an EA Category B project given that significant adverse environmental and social impacts are not expected due to the nature of the proposed activities (e.g., institutional development, Agri-business development, small-scale water management and small-scale rural infrastructure development). Project activities funded under AGP have triggered the following World Bank Safeguard Operational Policies. Yes If applicable, how might it apply [x] Environmental Assessment (OP/BP/GP 4.01 Environmental Assessment should be conducted for projects which fall under World Bank Category A and B. These are also Schedule 1 and 2 according to EIA guideline of Ethiopia. [ ] Natural Habitats (OP/BP 4.04) AGP activities mainly focus on altered ecosystem. [x] Pest Management (OP 4.09) OP 4.09 requires that pest populations should be controlled by Integrated Pest Management (IPM) [x] Physical Cultural Property (OP 4.11) This policy supports the preservation of cultural properties such as sites with archeological, paleontological, historical, religious and natural values. It seeks to avoid impacts on these sites. 3

15 [x] Involuntary Resettlement (OP/BP 4.12) The policy requires that resettlement should be avoided as much as possible. If not, RAP should be in place well ahead of project activities. [ ] Indigenous Peoples (OP 4.10) Project activities should not negatively affect Indigenous Peoples (or marginalized people in the society). [ ] Forests (OP/BP 4.36) AGP activities do mainly focus on the cultivated landscape and does not bring about significant forest clearing and destruction. [x] Safety of Dams (OP/BP 4.37) AGP would not finance any new establishment or rehabilitation of large-scale irrigation facilities and dams above 15 meters. However, AGP might finance check dams or small dams for water storage and will finance activities that may rely on the performance of an existing dam. [ ] Projects in disputed areas (OP/BP/GP 7.60) AGP activities do not trigger this OP because there are no disputed areas. [x] Project on International Waterways (OP/BP/GP 7.50) The policy seeks that if a project activity adversely impact on the quality and quantity of water of international waterway shared with one or more countries, a negotiated agreement should be established. Some of the AGP activities such as development new and rehabilitation of existing small-scale irrigation triggers OP7.50. In view of this, the ESMF will address requirements of OP 4.01, OP 4.09, OP 4.11, OP/BP/GP 7.50 and OP Public Disclosure The World Bank procedure requires a public disclosure of the ESMF prior to project appraisal for a project like AGP. This process: Ensures that the public and other stakeholders to comment on the potential environmental and social impacts of the project, Enables the Appraisal Team to enhance the ESMF, i.e., its measures and plans to prevent or mitigate any adverse environmental and social impacts As a result of this procedure, the ESMF will be disclosed at the Bank s InfoShop and public locations at a national level prior to project appraisal. In an Ethiopian context, this information should be made available to the public through keeping it in Kebele Offices and with community elders Comparison of World Bank Safeguard Polices and Environmental Policies of Ethiopia OP 4.01 and Ethiopian legislation, primarily the guidelines on EIA, are compatible as both essentially require the preparation of environmental assessments based on the nature and 4

16 significance of impacts associated with a proposed development. In terms of the additional safeguard policies, there are some gaps in the Ethiopian legislation, in which case the World Bank safeguard policies remain more stringent and must be followed. Annex 4 provides a general comparison between the applicable safeguard policies of the World Bank and the relevant Ethiopian legislation. 5. Project Implementation Arrangements This section outlines the implementation arrangements of AGP as per the latest version of Program Implementation Manual (PIM) (December 2009). PIM provides guiding principles for implementers and partners. It is also designed to render assistance to all stakeholders at Federal, Regional/Zonal, Woreda, Kebele and community levels. The planning and implementation of AGP is in a decentralized manner following demand-driven and incentive-(performance) based approach along the value chains Federal Level Implementation The main agency responsible for implementation of ESMF will be the Ministry of Agriculture and Rural Development (MOARD). PIM outlines the need for the establishment of AGP Coordination Unit (AGP-CU) at Federal level. Members of the AGP-CU include MOARD, Ministry of Finance & Economic Development (MOFED), Ministry of Water Resources (MOWR), Women Affairs and Federal Environmental Protection Authority (EPA), other relevant line ministries, private sector associations and relevant NGOs. AGP-CU will be also responsible for the implementation of the ESMF. For the overall supervision of the implementation of ESMF, Environmental and Social specialists will be employed. MOARD through AGP-CU will play required role in the implementation of ESMF. It will ensure that the applicable World Bank Safeguard Policies and Ethiopian Environmental legislation are enforced Regional Level Implementation At a Regional level, Bureau of Agriculture and Rural Development (BOARD) is the implementer of ESMF. Regional AGP-CU will also be established with the overall responsibility of executing ESMF. The members of Regional AGP-CU are Regional Administration, BOARD, Bureau of Environmental Protection and Land Use Administration (BOEPLAUA), Bureau of Health, Bureau of Water Resources, Rural Road Authority, Bureau of Women Affairs, private sectors and relevant NGOs. BOEPLAUA will be responsible for ensuring the implementation of ESMF and required capacity buildings. This Bureau reports to the Regional AGP-CU Woreda Level Implementation At Woreda level, Woreda Development Committee (WDC) comprising of relevant Offices such as that of Agriculture and Rural Development, EPLAUA, Cooperative Promotion, Trade and Industry, Rural Road, Women Affairs, Youth Association and NGOs will be established to follow up the implementation of the ESMF. Woreda Advisory Committee (WAC) will also be formed. 5

17 The consulting team also recommends the establishment of a Property Valuation Committee at Woreda level according to Proclamation No.455/2005 Article 10(1). Some members of this Committee should be represented in WDC. However, the overall responsibility for supervision of the implementation of ESMF will be that of Office of EPLAUA Kebele Level Implementation Kebele Development Committee (KDC), Kebele Advisory Committee (KAC) and Sub-Kebele Development Committee (SKDC) will be established at Kebele level to follow up and supervise implementation of the ESMF. Members of the Committee will be comprised of Kebele Administrator, representatives of Kebele Administration (KA) executive committee members, Compensation and Resettlement Committee and Development Agents. The ESMF team also recommends the establishment of Kebele Physical Cultural Resources (KPCR) committee and KPCR should be the member of SKDC. 6. Potential Environmental and Social Impacts of and Mitigation Measures for AGP Projects Table 1 outlines positive and adverse environmental impacts associated with AGP subprojects. The following mitigation measures may be required to help avoid or reduce the potential adverse impacts. These measures may sometimes be necessary in addition to the measures built into the project design in the MoARD Community Based Participatory Watershed Development Guideline. Table 1: Potential environmental and social impacts of and mitigation measures for AGP subprojects Potential Impacts Roads and Footpaths Soil erosion/flooding concerns Number of stream crossing/disturbances Wet season excavation Quarry sites/borrow pits created Vegetation removal Wildlife habitats or populations disturbed Environmentally sensitive areas disturbed Land Acquisition Private assets displaced Potential Mitigation Measure Drainage control measures to be included within construction plans Minimize water crossings in road location and alignment Schedule construction for the dry season Re-contour and rehabilitate sites/pits and avoid collection of standing water Minimize temporary or permanent removal of natural vegetation Identify and avoid effects on habitats and migration routes of key species Identify and avoid forest, riparian and wetland habitats with particular biodiversity Avoid occupied land. Prepare procedures to ensure equitable resolution. Avoid occupied land. Prepare procedures to ensure equitable resolution. 6

18 Potential Impacts Informal land uses displaced or access restricted Cultural or religious sites disturbed New settlement pressures created Other (specify): Potential Mitigation Measure Avoid interference with informal land users, and take measures to provide access to alternative lands or resources Identify and avoid cultural or religious sites. If disturbance unavoidable, agreement on mitigating measures must first be reached with stake holders (e.g., mosque, church). If excavation encounters archaeological artifacts, halt construction and notify relevant authorities. Ensure road development is coordinated with local land use plans and discuss with the Kebele Potential Impacts Irrigation Projects Existing water sources supply/yield depletion Existing water users disrupted Downstream water users disrupted Water storage requirement and viability (soil permeability) Vulnerability to water logging (poor drainage) Vulnerability to soil and water salinization Sensitive downstream habitats and waterbodies Environmentally sensitive areas disturbed Cultural or religious sites disturbed Increased agricultural chemicals (pesticides, etc) loading 7 Potential Mitigation Measure Assess water supply and existing demands, and manage sustainability Identify and avoid negative impacts on existing water users in the system design Identify and avoid effects of diversion or extraction on downstream users in the system design Test the soil percolation and ensure and impermeable layer in the structure design Assess soil characteristics and either avoid or provide drainage for areas prone to water logging Irrigation expert to assess the potential for high salinity and ensure appropriate irrigation practices to minimize impacts Identify and avoid effects of diversion or extraction on downstream ecosystems that depend on the surface or groundwater supply Identify and avoid forest, riparian and wetland habitats with particular biodiversity. Identify and avoid cultural or religious sites. If disturbance unavoidable, agreement on mitigating measures must first be reached with stake holders (e.g., mosque, church). If excavation encounters archaeological artifacts, halt construction and notify relevant authorities. Develop an integrated pest management strategy and provide training to farmers

19 Potential Impacts Irrigation Projects loading Land Acquisition Private assets displaced Informal land uses displaced or access restricted Increased social tensions/conflict over water allocation Local incapacity/inexperience to manage facilities Local incapacity/inexperience with irrigated agriculture Other (specify): Potential Mitigation Measure Avoid occupied land. Prepare procedures to ensure equitable resolution. Avoid occupied land. Prepare procedures to ensure equitable resolution. Avoid interference with informal land users, and take measures to provide access to alternative lands or resources Establish a water users committee through the Kebele and equitable rules for water allocation Establish an operations and maintenance manual, authority and provide training to persons responsible for operating the system Provide training to farmers on sustainable irrigated agriculture Potential Impacts Area Closure & SWC subprojects New access (road) construction Wet season soil disturbance Potential for debris flows or landslides Sensitive downstream ecosystems Removal of native plant/tree species Introduced plant/tree species invasion of native species Wildlife habitats or populations disturbed Environmentally sensitive areas disturbed Potential Mitigation Measure Ensure drainage controls on new roads and rehabilitate temporary access following subproject implementation Schedule activities for the dry season Prepare a watershed plan that identifies and address drainage/slope instability Identify and avoid effects of diversion or dams on downstream ecosystems Protect and encourage regeneration of endemic species Ensure non-native species are compatible with native species Identify and avoid effects on habitats and migration routes of key species Identify and avoid activity in forest, riparian and wetland habitats with particular biodiversity 8

20 Potential Impacts Land Acquisition Private assets displaced Informal land uses displaced or access restricted Insufficient capacity to manage catchment ponds Insufficient capacity to prohibit or control open grazing Insufficient capacity to manage new plantations/pastures Other (specify): Potential Mitigation Measure Avoid occupied land. Prepare procedures to ensure equitable resolution. Avoid occupied land. Prepare procedures to ensure equitable resolution. Avoid interference with informal land users, and take measures to provide access to alternative lands or resources Establish a water users committee, where appropriate, and/or Kebele bylaws and provide training to water users Establish a watershed committee, where appropriate, and/or Kebele bylaws and provide alternative sources of fodder Establish a local committee, where appropriate, and/or Kebele bylaws and provide appropriate controls Potential Impacts Drinking Water Projects New access (road) construction Existing water sources supply/yield depletion Existing water users disrupted Downstream water users disrupted Increased numbers of water users due to improvements Increased social tensions/conflict over water allocation Sensitive ecosystems downstream disrupted Land Acquisition Private assets displaced Potential Mitigation Measure Ensure drainage controls on new roads and rehabilitate temporary access following subproject implementation Assess water supply and existing demands, and manage sustainability Identify and avoid negative impacts on existing water users in the system design Identify and avoid effects of diversion or extraction on downstream users in the system design Assess water supply and existing demands, and manage sustainability Establish a water users committee through the Kebele and equitable rules for water allocation Identify and avoid effects of diversion or dams on downstream ecosystems Avoid occupied land. Prepare procedures to ensure equitable resolution. Avoid occupied land. Prepare procedures to ensure equitable resolution. 9

21 Potential Impacts Informal land uses displaced or access restricted Local incapacity/inexperience to manage facilities Other (specify): resolution. Potential Mitigation Measure Avoid interference with informal land users, and take measures to provide access to alternative lands or resources Establish a local committee, where appropriate, and/or Kebele bylaws and provide appropriate controls Potential Impacts School and Health Projects Alteration of existing drainage conditions Vegetation removal Wet season soil disturbance Construction materials impact on adjacent forests/lands Quarries and borrow pits created Water supply development effects in available supply Sanitation development effects on existing disposal fields Medical waste increase effects on existing disposal system Land Acquisition Private assets displaced Cultural or religious sites disturbed Informal land uses displaced or access restricted In-migration/settlement induced by facilities 10 Potential Mitigation Measure Drainage control measures to be included within construction plans Minimize temporary or permanent removal of natural vegetation Schedule construction for the dry season Avoid taking construction materials in an unmanaged manner Re-contour and rehabilitate sites/pits and avoid collection of standing water Identify and avoid negative impacts on existing water users in the system design Ensure the necessary facilities and capacity for upgraded facilities, consistent with health department design standards Prepare a waste management plan for major facility upgrades; ensure sufficient facilities and capacity for medical waste Avoid occupied land. Prepare procedures to ensure equitable resolution. Avoid occupied land. Prepare procedures to ensure equitable resolution. Identify and avoid cultural or religious sites. If disturbance unavoidable, agreement on mitigating measures must first be reached with stake holders concerned (e.g., mosque, church). If excavation encounters archaeological artifacts, halt construction and notify relevant authorities. Avoid interference with informal land users, and take measures to provide access to alternative lands or resources Control unplanned settlement near the facilities

22 Potential Impacts induced by facilities development Local incapacity/inexperience to manage facilities Other (specify): Potential Mitigation Measure Establish/strengthen local committees, where appropriate, through the Kebele and provide appropriate procedures and training to maintain the facilities 6.1. Localized Impacts Most of the activities planned under the AGP Project will vary in a scale. Consequently, the significance of the direct negative environmental and social impacts is likely to be moderately significant except where they accumulate in a single area Cumulative Impacts Many of the subprojects may result in cumulative impacts on natural resources. Cumulative impacts are those that may result from individually small-scale activities with minimal impacts but which over time can combine to have a significant impact. Cumulative impacts can also be defined as impacts that potentially develop from the combined impacts of more than one subproject. Examples include: Increased use of chemical fertilizer which may have downstream impacts Attraction of immigrant populations to communities that have improved production systems and social infrastructure. Reduced water to downstream users due to the development of small-scale irrigation schemes Increased sedimentation of the natural water bodies and valley The stakeholders will be provided with an opportunity to learn about how to avoid or mitigate localized impacts from initial subprojects so that measures can be integrated in subsequent activities. 7. ESMF Process for Subproject Preparation, Assessment and Reporting This chapter outlines the environmental and social screening procedures, reporting systems and responsibilities of AGP implementing Authorities. Key environmental and social issues to be addressed are presented accordingly. The ESMF procedures are briefly described in this chapter and annexed to this report as required Roles and Responsibilities in the ESMF Screening and Appraisal Process Table 2 outlines the proposed roles and responsibilities at different steps of the screening and appraisal of AGP subprojects. Table 2: Outlines of Roles and Responsibilities in ESMF of AGP project Activity Lead Role Others providing support Completion of subproject Screening checklist (Annex 1) SKDC, DA, Farmers groups WDC,WAC 11 Agriculture and Rural

23 Subprojects appraisal and approval Identification of Subprojects requiring Full EIA and RAP Implementation of Environmental Management Plan (EMP) and RAP Monitoring & Evaluation of the implementation of EMP and RAP Annual Environmental and social Audit (Annexes 2 and 3) Development (ARD) Environmental Protection and Land Use Administration (EPLAUA) WDC WAC, Woreda Office of EPLAUA Woreda Office of EPLAUA EPLAUA (Woreda & Regional) EPLAUA (Woreda Federal levels) EPLAUA (Woreda & Regional) BOEPLAUA, WAC AGP-CU (Regional) Full EIA and RAP will be outsourced to be done by National Consultants WDC, WAC Environmental and Social specialists from Regional AGP-CU WDC, WAC AGP-CU (Regional & Federal) Independent national consultants WDC, WAC Independent National Consultant 7.2. ESMF Procedures for Subproject Screening and Screening Checklist The screening of AGP subprojects will be conducted by completing the designated subproject screening checklist (Annex 1). It is also pertinent to develop a clear procedure to be used at different levels of AGP subprojects Step (i): Guideline for DA and the local community for subproject check at Kebele level Once the local communities identified demand-driven AGP subprojects, DAs and Kebele Council check these subprojects against the following points. Table (i): Subprojects illegible as AGP activities Features of concern Yes No Subproject is in, or adjacent to, an internationally disputed area Subproject may involve the physical relocation of residents, involuntary loss to any household of assets or access to assets Subprojects incorporates a Dam of more than 15 meters in 12