E1566 Public Disclosure Authorized - World Bankdocuments.worldbank.org/curated/en/853431468035676346/... · 2016-07-14 · FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA ADDIS ABABA W ATER

FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA

ADDIS ABABA WATER AND SEWERAGE AUTHORITY

URBAN WATER SUPPLY & SANITATION PROJECT

ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK

DRAFT

08 February 2007

E1566

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Revision 2

AAWSA – Environmental and Social Management Framework

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Contents

EXECUTIVE SUMMARY ............................................................................................................... IV THE SCOPE OF THIS DOCUMENT................................................................................................IV THE PROJECT ..............................................................................................................................IV LEGAL BACKGROUND...................................................................................................................V

THE PROPOSED SCREENING PROCESS .......................................................................................VI IMPACTS, MITIGATIONS, ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN ..................... VII CAPACITY-BUILDING AND TRAINING...........................................................................................X

TOOLKITS FOR PROJECT IMPLEMENTERS ................................................................................. XI

1 SCOPE OF THE ASSIGNMENT.............................................................................................1

2 PROJECT DESCRIPTION.......................................................................................................4 2.1 PROJECT OBJECTIVES AND KEY INDICATORS ...................................................................4 2.2 PROJECT COMPONENTS .....................................................................................................4

2.2.1 Component 1: Addis Ababa Water Supply and Sanitation (USD 82M).................4 2.2.2 Component 2: Secondary City Water Supply and Sanitation (USD 32M) ............5 2.2.3 Key Inputs for Components 1 and 2 ......................................................................5 2.2.4 Key Outputs for components 1 and 2 ....................................................................6 2.2.5 Component 3: Project Management and Monitoring and Evaluation ..................6

2.3 PROJECT BUDGET ..............................................................................................................6

3 LEGAL FRAMEWORK ...........................................................................................................7 3.1 OVERVIEW ..........................................................................................................................7 3.2 RELEVANT PROVISIONS OF THE ETHIOPIAN LEGISLATION..............................................7

3.2.1 The Constitution, 1995 ..........................................................................................7 3.2.2 Environmental Protection Organs Proclamation N° 295/2002.............................7 3.2.3 Environmental Impact Assessment Proclamation N° 299/2002 ............................8 3.2.4 Environmental Pollution Control Proclamation N° 300/2002 ..............................8 3.2.5 Environmental Policy ............................................................................................8 3.2.6 EIA Guideline........................................................................................................8 3.2.7 Institutional arrangements ..................................................................................10

3.3 WORLD BANK SAFEGUARD POLICIES..............................................................................11 3.3.1 Applicable World Bank Safeguard Policies......................................................... 11 3.3.2 World Bank Screening Process............................................................................17

3.4 GAPS BETWEEN ETHIOPIAN LEGISLATION AND BANK POLICIES...................................18 3.4.1 Overview..............................................................................................................18 3.4.2 Consultation and Disclosure Requirements ........................................................18 3.4.3 Social Impacts .....................................................................................................19 3.4.4 Environmental and social screening process for small-scale sub-projects .........19 3.4.5 Standards and Guidelines....................................................................................19

4 POTENTIAL PROJECT IMPACTS .....................................................................................20 4.1 WATER AND SANITATION SYSTEMS CONSIDERED UNDER THE UWSS PROJECT ...........20

4.1.1 Water Supply Systems ..........................................................................................20 4.1.2 Sanitation Systems...............................................................................................20

4.2 POTENTIAL IMPACTS OF URBAN WATER SUPPLY SYSTEMS ............................................20 4.2.1 Beneficial Impacts ...............................................................................................20


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4.2.2 Adverse Impacts ..................................................................................................22 4.3 POTENTIAL IMPACTS OF SANITATION SYSTEMS .............................................................23

4.3.1 Beneficial Impacts ...............................................................................................23 4.3.2 Adverse Impacts ..................................................................................................23

5 PROPOSED SCREENING AND ENVIRONMENTAL MANAGEMENT PROCESS - TYPICAL MITIGATION MEASURES ..........................................................25 5.1 GENERAL..........................................................................................................................25 5.2 SCREENING PROCESS.......................................................................................................26

5.2.1 Overview..............................................................................................................26 5.2.2 Screening Form ...................................................................................................27 5.2.3 Assignment of an Environmental Category to a Sub-Project ..............................27

5.3 CATEGORY “B” SUB-PROJECTS ......................................................................................27 5.3.1 Category B1 Sub-Projects (Not Requiring Further Environmental

Assessment Work) ................................................................................................27 5.3.2 Category B2 Sub-Projects (Requiring Further Environmental Assessment

Work) ...................................................................................................................27 5.3.3 Consultation and Disclosure for All Category “B” Sub-Projects.......................28

5.4 CATEGORY “C” SUB-PROJECTS ......................................................................................29 5.5 REVIEW AND CLEARANCE OF ENVIRONMENTAL SCREENING RESULTS .........................29 5.6 REVIEW AND CLEARANCE OF ESIAS...............................................................................31 5.7 TYPICAL MITIGATIONS AND ESMP .................................................................................31 5.8 GUIDELINES FOR CONSTRUCTION CONTRACTORS ..........................................................31

6 CAPACITY BUILDING AND TRAINING...........................................................................36 6.1 DEVELOPING AWARENESS OF THE ESMF PROCESS ......................................................36 6.2 DEVELOPING CAPACITY IN PUBLIC CONSULTATION AND ENVIRONMENTAL

SCREENING ......................................................................................................................37 6.3 TRAINING AND TECHNICAL ASSISTANCE TO PROJECT IMPLEMENTERS ........................38 6.4 SUMMARY: TOTAL COST OF CAPACITY-BUILDING AND TECHNICAL ASSISTANCE.........38

7 IMPLEMENTATION RESPONSIBILITIES .......................................................................39

8 MONITORING AND REPORTING......................................................................................42 8.1 MONITORING....................................................................................................................42 8.2 REPORTING ......................................................................................................................42

8.2.1 Screening Forms..................................................................................................42 8.2.2 Annual Reports....................................................................................................42

APPENDICES.....................................................................................................................................43

APPENDIX 1: LIST OF ACRONYMS ............................................................................................44

APPENDIX 2: TYPICAL SCOPE OF WORK FOR AN ESIA.....................................................45 Typical ESIA Scope of Work .............................................................................................45 Typical Structure of an EIA Report ..................................................................................46

APPENDIX 3: PROPOSED ENVIRONMENTAL AND SOCIAL SCREENING FORM .........49 PART A: BRIEF DESCRIPTION OF THE SUB - PROJECT ..............................................50


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PART B: BRIEF DESCRIPTION OF THE ENVIRONMENTAL SITUATION AND IDENTIFICATION OF ENVIRONMENTAL AND SOCIAL IMPACTS...................51

PART C: MITIGATION MEASURES.....................................................................................60

APPENDIX 4: PROPOSED EFFLUENT DISCHARGE REQUIREMENTS .............................63

APPENDIX 5: ENVIRONMENTAL GUIDELINES FOR CONSTRUCTION CONTRACTORS.....................................................................................................................64 GENERAL: APPLICABILITY OF THESE ENVIRONMENTAL GUIDELINES AND ESMP.................64 GENERAL ENVIRONMENTAL PROTECTION MEASURES .............................................................64 DRILLING....................................................................................................................................66 PIPELINES ..................................................................................................................................67 WASTE MANAGEMENT ...............................................................................................................67 QUARRIES AND BORROW AREAS ................................................................................................67 REHABILITATION OF WORK AND CAMP SITES...........................................................................68 MANAGEMENT OF WATER NEEDED FOR CONSTRUCTION PURPOSES ......................................69 TRAFFIC MANAGEMENT AND COMMUNITY SAFETY..................................................................69 SALVAGING AND DISPOSAL OF OBSOLETE COMPONENTS FOUND BY REHABILITATION

WORKS..............................................................................................................................70 COMPENSATION OF DAMAGE TO PROPERTY .............................................................................70 CONTRACTOR’S HEALTH, SAFETY AND ENVIRONMENT MANAGEMENT PLAN (HSE-MP) ......70 HSE REPORTING........................................................................................................................71 TRAINING OF CONTRACTOR’S PERSONNEL ...............................................................................71

APPENDIX 6: CONSULTATION MEETING FORM ..................................................................72

Tables

Table 1: World Bank Safeguard Policies and How They Are Addressed by the UWSS Project ..................13 Table 2: Physical Components of Sub-Projects Potentially Considered under the UWSS ...........................20 Table 3: Potential Adverse Environmental (Bio-Physical) Impacts of the Different Components of Urban Water Supply Systems...................................................................................................................................22 Table 4: Potential Adverse Social Impacts of Urban Water Supply Systems ...............................................23 Table 5: Potential Environmental and Social Impacts of Sanitation Systems ...............................................23 Table 6: Categorization of Sub-Projects That May Be Considered under the UWSS Project according to the Ethiopian EIA Classification .........................................................................................................................25 Table 7: Environmental and Social Management Plan..................................................................................32 Table 8: Environmental Management Process – Implementation Responsibilities.......................................39


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EXECUTIVE SUMMARY THE SCOPE OF THIS DOCUMENT

This Environmental and Social Management Framework (ESMF) has been prepared to ensure that the future investments under the Urban Water Supply and Sanitation Project (UWSSP) in Addis Ababa and a number of secondary cities are implemented in an environmentally and socially sustainable manner. The ESMF outlines an environmental and social screening process that will be applied by qualified personnel at the planning stage of future investments. The ESMF has been prepared, because the actual sub-project sites and their potential adverse environmental and social impacts could not be identified prior to appraisal. Instead, the environmental and social screening process outlined in the ESMF will be applied by qualified project personnel to ensure that potential negative environmental and social impacts are identified and mitigated at the planning stage of the planned sub-projects. A Resettlement Policy Framework (RPF) has been prepared separately to enable sub-project implementers to address potential adverse social impacts due to land acquisition. This screening process is consistent with both Ethiopian environmental procedures and the Bank’s OP 4.01 “Environmental Assessment” as regards the preparation of Environmental Impact Assessments (EIAs). However, Ethiopia’s procedures do not make provisions for the screening of smaller scale investments which would not necessarily require an EIA, but would require screening under OP 4.01. Thus, the purpose of this ESMF is, amongst others, to ensure that potential adverse environmental and social impacts as well as potential localized impacts of future investments and related construction and rehabilitation activities are identified and mitigated at the planning stage. This ESMF has been prepared in consultation with AAWSA in Addis Ababa, with the Town Water Boards of Jimma and Awassa, two secondary cities that would potentially benefit from the UWSS, with the Environmental Protection Agency (federal level) and with the World Bank country office. Staff involved in the operation of water systems in Addis, Awassa and Jimma have also been interviewed.

THE PROJECT

The project is designed to (i) produce and distribute more water to reduce the alarming gap between the supply and demand for water in Addis Ababa and four other secondary cities; (ii) improve operational efficiency in all five cities by reducing non-revenue water, and improving financial management, billing and collection, and customer management; and (iii) improve governance by the water boards and to introduce performance incentives for operators. The project has the following components:

- Component 1: Addis Ababa Water Supply and Sanitation o Component 1A: Increased access to water supply and sanitation, with an increase in water

production from 200,000 to 300,000 m3/day to meet basic services. This will be obtained through capacity expansion at the Legedadi reservoir and water treatment plant, and deep boreholes at selected sites within Addis Ababa, as well as a new well field located northwest of the city. Distribution networks will be expanded to serve currently unserved areas. Particular attention will be given to low-income areas by involving communities in the planning process and improving drainage to control septage flows. The sewer system


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in the Kalite catchment will be extended, and public sanitation facilities, managed by local service providers who charge a user fee, will be constructed.

o Component 1B: Improved operational efficiency and demand management: This component will mainly aim at reducing “non-revenue water” and improve operational efficiency; it will furthermore convey the importance of water conservation to the consumers. AAWSA’s financial management, billing/collection, and customer management system will also be improved, and awareness for water conservation will be created.

o Component 1C: Institutional Reform, which will include: � sector policy development and revisions in the legal and institutional framework

for water supply and sanitation, � developing policies and measures for enhanced private sector participation and

financing in this sector, � improving utility governance and efficiency.

- Component 2: Secondary City Water Supply and Sanitation:

o Component 2A: Increased access to water supply and sanitation: This component will finance increased water production as well as the extension of the distribution network, particularly in unserved areas and for new connections. Selected low-income areas will receive special attention by involving communities in the planning process for water distribution and public sanitation facilities. Financing will also be available for the construction/expansion of wastewater treatment ponds and piped sewerage in higher density commercial areas.

o Component 2B: Improved operational efficiency: Operational efficiency will be improved by reducing “non-revenue water” and improving financial management, billing and collection, and customer management. Under this sub-component the materials, equipment and costs associated with establishing pressure zones and leak detection areas will be provided, as will leak repais in the distribution network and at service connections. Financial management, billing/collection, and customer-management can also be improved.

o Component 2C: Institutional Reform: Enabling legislation will be developed to provide more autonomy to the Water Boards and to develop procedures and codes of conduct. Operator contracts with performance targets and performance incentives would also be developed and tested.

- Component 3: Project Management and Monitoring and Evaluation: The project

management will involve sector institutions at federal and regional levels, city administrations and utilities. Funding would be provided for costs associated with project implementation, to synthesize existing water and sanitation access data to determine baseline figures and to monitor progress under this project and in meeting the overall water supply and improved sanitation access goals under the MDGs. This component also includes training, workshops and other capacity building measures and support for environmental and social management.

Chapter 2 of the ESMF provides a more detailed Project Description.

LEGAL BACKGROUND

The Ethiopian legislation pertaining to environmental impact assessment and environmental management mainly includes:

- The Constitution, 1995, which states broad principles, such as : o “Everyone has the right to a clean and healthy environment.” o The responsibility of the State to ensure a clean and healthy environment for all

Ethiopians, o No development activity should be disruptive to the ecological balance, o People concerned should be consulted in matters pertaining to environmental protection;


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- The Environmental Protection Organs Proclamation N° 295/2002, which establishes the Environmental Protection Agency (federal level) and states its responsibilities, and establishes the responsibilities of regional Environmental Protection Agencies;

- The Environmental Impact Assessment Proclamation N° 299/2002, which establishes the requirement of an Environmental Impact Assessment (EIA) procedure for all projects, and provides the processes and procedures to be followed by project proponents with respect to EIAs.

The EPA has issued in July 2000 a “Guideline Document” for Environmental Impact Assessments, which states the objectives of the EIA process and details the process and procedures related with EIAs. These mainly include the screening of all projects against potential environmental impacts, and categorization in three “schedules”:

- Schedule 1 includes “projects which may adverse and significant environmental impacts, and may therefore require a full EIA”, as well as “projects in environmentally sensitive areas irrespective of their nature”;

- Schedule 2 includes “projects whose type, scale or other relevant characteristics have potential to cause some significant environmental impacts, but not likely to warrant an environmental impact study”; and

- Schedule 3 includes “projects which would have no impact and do not require an environmental impact assessment”.

Most of the sub-projects likely to be included in the UWSS are categorized in Schedules 2 or 3. The results of the environmental and social screening process will indicate the required level of environmental work for each sub-project consistent with Ethiopian legal requirements as well as those of the Bank’s safeguard policies. Since the Ethiopian legal requirements do not include provisions for the screening of sub-projects of a smaller scale which may have negative localized impacts requiring mitigation, this ESMF has been prepared to assist sub-project implementers in the identification and mitigation of potential adverse environmental and social impacts at the planning stage of future investments. This screening process is consistent with the Bank’s safeguard policies and will respond to the requirements of Ethiopia’s environmental procedures. The following World Bank safeguard policies pertaining to environmental and social management are triggered by the UWSS Project due to its planned construction and rehabilitation activities:

- OP 4.01 (Environmental Assessment), - OP 4.12 (Involuntary Resettlement), - OP 4.11 (Management of Cultural Property), - OP 4.37 (Safety of Dams), and - OP 7.50 (International Waterways).

Per OP 4.01 definitions, the UWSS project has been categorized as Category B. Chapter 3 of the report presents details related with the Legal Background.

THE PROPOSED SCREENING PROCESS

The screening process aims at categorizing the sub-projects into one of the following environmental and social categories:

- Category A (Schedule 1) due to one or more major adverse impacts, therefore this sub-project cannot be funded under the UWSS Project. It will be either re-designed and re-submitted to the environmental screening process after re-design, or abandoned.


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- Category B (Schedule 2) due to potential environmental issue identified which can be mitigated as follows: o Category B1: No further Environmental Assessment work required; application of

mitigation measures as outlined in the ESMF. o Category B2: Further Environmental Assessment work required: Preparation of a separate

Environmental and Social Impact Assessment to get a better understanding of the potential environmental and social issues that have been identified in the screening process and develop a specific Environmental and Social Management Plan.

- Category C: No significant environmental issue identified, no specific mitigation required; sub-project implementation can proceed. Environmental Guidelines for Construction Contractors shall be appended to construction contract and applied.

An Environmental and Social Screening Form (Appendix 3) has been prepared to formalize field investigations intended at identifying any environmental issue that may require specific attention and supplemental Environmental Assessment work. All sub-projects will undergo the screening process. The field personnel in charge of the screening will propose an environmental category for every sub-project. A sub-project categorized as “B” will either implement mitigation measures as outlined in this ESMF and based on the recommendations of the environmental and social screening process (Category B1), or, a separate ESIA report will be prepared (Category B2). Generic ESIA terms of reference have been developed as an Appendix to this ESMF; they will have to be adapted to the specific requirements of the sub-projects. A sub-project categorized as “C” will not require any further environmental and social assessment work and implementation can proceed immediately. All sub-projects, whether B or C, will be applied the Environmental Guidelines for Construction Contractors prepared in the framework of this ESMF and presented in Appendix 5. The further steps of environmental assessment for Category “B” sub-projects will include public consultation in compliance with OP 4.01. Environmental assessment reports will also be disclosed in concordance with OP 4.01 requirements. In conformance with Ethiopian EIA guidelines, environmental screening results will be reviewed and cleared by the “Competent Agency”, which is in principle the regional EPA, or where this latter does not exist, the federal EPA. ESIAs will similarly be reviewed by the Competent Agency and by the World Bank. Details about the ESMF Process can be found in Chapter 5 of this ESMF.

IMPACTS, MITIGATIONS, ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN

Positive environmental and social impacts of the UWSS Project will include: - Gain of time, especially for women and girls, that may be used for other, productive

activities, and resulting gains in overall economic productivity; - Better comfort and domestic hygiene, - Employment at construction phase, - Employment at operation phase, - Capacity building and training in the town, and resulting enhancement of organizational,

financial and technical capacities of town, particularly for smaller towns.


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- Reduction in water-borne diseases such as dysenteria, - Reduction in the potential for outbreaks of epidemic infectious diseases such as cholera.

The following table presents most likely negative impacts and associated mitigations:


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Component / Sub-Project /

Activity

Potential Issues/Impacts Mitigations

Components 1A (Addis) and 2A (secondary cities): Construction and operation of new drilled wells

- Groundwater contamination by the drilling works

- Groundwater contamination at operation phase by infiltration from the surface

- Application of Environmental Guidelines for Construction Contractors (Appendix 5) - Proper siting of the well to avoid infiltration of waste water, avoidance of low points, avoidance of

sites with poor drainage, or prone to water retention or floods; location of the well at a safe distance from: (i) latrines, cattle pens, refuse pits (50 m); (ii) soak pits, trenches and sub-surface sewage disposal (100 m); and (iii) cesspools; sanitary land fill areas, and graves (150 m);

- Use of biodegradable drilling fluids and mud additives - During the drilling, recycling of drilling muds in a pit near the drilling site as per usual drilling

practice - After completion of drilling, disposal of the drilling fluids in an agreed landfill - Fencing of the surroundings of the well to avoid undesirable activities around the well - Drainage of the immediate surroundings of the water well to avoid infiltration of contaminated water - Construction of properly designed and water tight well head and proper sealing of pump to well head - The pump and other equipment submerged into the well need to be disinfected, initially then at each

extraction - Avoidance of any leak above-ground at the well-head - Initial chlorination of the well, after pumping test and pump installation, then periodic chlorination - Well-head and its surroundings to be cleaned and cleared during operation. Infiltration pits to be

maintained and replaced if needed - Ensure reliable operation and maintenance of the well - Periodic monitoring of human activities near/at the well to ensure they do not contribute to

contamination - Plant shrubs and grasses to prevent contamination of well water - If necessary, coordinate anti-malaria measures with the regional offices of the Ministry of Health

Components 1A (Addis) and 2A (secondary cities): Construction and operation of new drilled wells (continued)

Waste material extracted from the well or waste drilling cuttings and drilling mud (boreholes)

- Waste drilling cuttings (innocuous rock cuttings extracted from drilled wells) to be dried, spread on site, and recontoured if needed

- Drilling mud to be recycled in the hole during drilling from a mud pit per usual drilling practice, - After completion of drilling, drilling mud to be disposed of in authorized landfills, or dried and

properly mixed with earth and spread in the site vicinity if proved to be innocuous (see details on the related procedure in Appendix 5)

- Topsoil to be separately stored and spread on site on top of other materials

Component 1A (Addis) Rehabilitation and increase in storage capacity of Legedadi Dam, implementation of the recommendations of the dam safety assessment, and upgrades at the water treatment plant

- Increased traffic on access roads

- Limited topsoil erosion where earthmoving

- Loss of flora and fauna in the footprint of staging areas

- Temporary increase in Suspended Solids content downstream the dam

- Application of Environmental Guidelines for Construction Contractors (Appendix 5) - Identification at screening stage of any endangered or threatened species, specific ESIA required if

any is identified, and mitigation as per specific ESIA - Storage of stripped topsoil away from drainage paths - No earthmoving works during rains

Components 1A (Addis) and 2A (secondary cities): Operation of raw water treatment plants

Impact of improper disposal of used reagents and treatment sludge

- Prior to disposal, used reagents to be stored safely on site in fenced and covered structures away from third parties’ potential intrusion and away from drainage paths

- Used reagents to be disposed of in an approved elimination site after approval by the Competent Agency (Regional or Federal EPA)

- No discharge of any used reagent in a water body - Raw water treatment sludge to be recycled, disposed of in an approved landfill, or dried and spread at

the vicinity of the site if no alternative exists Components 1A (Addis) and 2A (secondary cities): Construction of latrines

Impact of latrines and other individual sanitation systems on groundwater in situations where water table is shallow

- Avoidance of latrines where highest groundwater level is less than 2 meters under the bottom of latrine pits or infiltration pits

- Siting of latrines at more than 50 meters distance of any groundwater well, public or private - Identification of water usages at screening stage where latrines are considered and application of distance rules mentioned above under drilled wells

Components 1A (Addis) and 2A (secondary cities): Operation of latrines

Poor operation of the emptying services, with associated health hazards

- Use of competing private operators with trained personnel charging an affordable price for adequate quality service

- Control of discharges by emptying operators with fines according to Ethiopian law for any violation


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Component / Sub-Project /

Activity

Potential Issues/Impacts Mitigations

Components 1A (Addis) and 2A (secondary cities): Construction of new sewerage lines and/or expansion of existing ones

- Increased traffic on access roads

- Limited topsoil erosion where earthmoving

- Loss of flora and fauna in the footprint of trenches and staging areas

- Land acquisition

- Application of the general Environmental Guidelines for Construction Contractors - If screening reveals that endangered or threatened flora is present in the sub-project footpring, an

ESIA will be carried out - Land to be compensated according to provisions of the Resettlement Policy Framework

Components 1A (Addis) and 2A (secondary cities): Operation of sewerage lines

- Spillage of waste water into the environment with associated health hazards for workers and third parties

- Use of reliable contractors with trained personnel for any operation on operational sewer lines - Personnel must use PPE - Third parties kept away from work site by proper signposting - Vacuum trucks kept available for any major intervention on operational sewer lines

Components 1A (Addis): Construction of waste water treatment plant

Impact of effluent discharge on water bodies

- Application of the general Environmental Guidelines for Construction Contractors - Sensitivity analysis of the receiving water body, and ESIA if warranted after screening – treatment

level design based on World Bank effluent discharge guidelines and on the ESIA results

Components 1A (Addis): Operation of waste water treatment plant

Impact of effluent discharge on water bodies

- Compliance with maximum effluent discharge values as stated in Appendix 4

Components 1A (Addis) and 2A (secondary cities): Construction of water points in general

Conflicts between users in the case of a reduction of flow related with a water intake or catchment

- Identification of water users ahead of sub-project design - Consultation with groups of water users during sub-project design - In the most difficult situations, involvement of local authorities at an adequate level and mediation

in view of reaching a formal agreement, that may include compensation of the impact at community level (see below)

- Community-level compensation of adverse impacts where these are unavoidable (for instance, if a river that was used by a rural community for water supply is affected by an intake for an urban settlement, the UWSS should consider building an alternative water point for this rural community)

Components 1A (Addis) and 2A (secondary cities): Operation of water systems in general

Water will have to be paid for, which may be detrimental to the poorest in the town or community

- Town water board to decide on water tariffs, including (if needed) specific rules applying to the poorest

- Town water board or community water users committee to be provided guidance on how to determine water tariffs

Components 1A (Addis) and 2A (secondary cities): Construction of water systems in general

Land needs - Avoidance through resiting/rerouting of any impact on inhabited dwellings or structures used for commercial activities or other businesses

- Cash compensation of developments or crops affected by project land requirements - Land replacement if land take by project is significant enough to affected users’ livelihood - Monitoring of how affected people restore their livelihood after being compensated - See Resettlement Framework Policy for further details

Details on impacts and associated mitigations can be found in the ESMF’s chapters 4 (impacts) and 5 (mitigations). Monitoring indicators, implementation responsibilities for mitigations and monitoring, and estimated costs are provided.

CAPACITY-BUILDING AND TRAINING

The ESMF makes provision for capacity building and training: - Two workshops are planned for implementing and planning staff of the various

organizations involved: one on the general framework, including a presentation of the processes outlined in this ESMF, and another, more practical, workshop, intended at training relevant staff in environmental screening as well as in the implementation of public consultation;


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- It is also recommended to hire a capacity-building consultant, who will essentially be available on an “on-call” basis to refresh training of staff involved in environmental screening and environmental monitoring, to review screening forms, to develop terms of reference for EIAs, etc… This capacity-building consultant should be an experienced Ethiopian environmental specialist, accustomed to working within the framework of World Bank policies.

The implementation of these measures entails a total cost of USD 107,000. Details on capacity building and training are provided in chapter 6 of the ESMF.

TOOLKITS FOR PROJECT IMPLEMENTERS

The ESMF includes, as appendices, the following toolkits: - Generic Terms of Reference for an ESIA, established in conformance with the general

Ethiopian framework as well as with OP 4.01 (Appendix 2); - Environmental and Social Screening Form (Appendix 3); - Environmental Guidelines for Construction Contractors (Appendix 5); - Consultation report form (Appendix 6).


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Scope of the assignment This report is the draft Environmental and Social Management Framework (ESMF) for the Urban Water Supply and Sanitation (UWSS) Project. It has been prepared in December 2006 and January 2007 by independent consultants contracted by AAWSA under World Bank financing. The objective of the Environmental and Social Management Framework (ESMF) is, amongst others, to provide an environmental and social screening process for the Urban Water Supply and Sanitation Project. This process will be applied to future rehabilitation and construction activities planned under the proposed project where the exact locations and potential adverse environmental and social impacts could not be identified prior to appraisal, and thus, appropriate mitigation measures could not be determined. Potential adverse environmental and some social impacts will be addressed in the context of this ESMF, while potential social impacts related to land acquisition such as loss of livelihoods or loss of access to economic assets will be addressed in the Resettlement Policy Framework (RPF). The RPF has been prepared as a separate document under separate terms of reference. The document outlines the policies and procedures to be applied in the event of land acquisition under the proposed project. The proposed ESMF is consistent with the Bank’s safeguard policy OP 4.01 Environmental Assessment (January 1999). This policy requires that all Bank-financed operations are screened for potential adverse environmental and social impacts, and that the required environmental and social work be carried out on the basis of the screening results. The UWSS Project has been classified as “B” in terms of its potential environmental impacts (see paragraph 3.3.2 for details on the World Bank’s screening process). Furthermore, the proposed screening process will bridge a gap in Ethiopia’s environmental procedures which do not provide for the environmental screening of projects where the future locations are not known prior to appraisal, and potential adverse environmental and social impacts cannot be identified early on. The Terms of Reference prepared for this assignment included the following tasks:

(i) Review of the biophysical and socio-economic characteristics of the environment in the urban areas to be covered by the project, and highlight the major constraints that need to be taken into account in the course of project implementation;

(ii) Assess the potential environmental and social impacts of planned sector investments and rehabilitation activities in the urban and areas such as water supply and sewer treatment facilities and the expansion of capacity at existing water reservoirs, water and wastewater treatment plants, as well as the extension of piped water and sewer networks in urban areas and the provision of sanitation and recommend mitigation measures as appropriate, including cost estimates;

(iii) Assess the potential impacts of planned sector investments on Ethiopia’s water resources and related infrastructure such as dams and make recommendations as appropriate;

(iv) Assess the potential environmental and social impacts of increased water supply and sanitation coverage, and make recommendations;

(v) Recommend waste water disposal measures under the proposed project;


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(vi) Review Ethiopia’s environmental policies, legislation, regulatory and administrative frameworks in conjunction with the World Bank’s ten safeguard policies. Where there are gaps between these policies, make recommendations as to how to close these gaps in the context of the proposed project as appropriate;

(vii) Assess the current ability at the regional and/or city level to implement the recommendations of the ESMF, and make appropriate recommendations.

(viii) Develop a stakeholder consultation process that ensures that all key stakeholders, including potentially affected persons, are aware of the objectives and potential environmental and social impacts of the proposed project, and that their views are incorporated into the project’s design as appropriate.

(ix) In light of the available information, develop an environmental and social screening process, including monitoring indicators, for the future rehabilitation and construction activities referred to above, capturing the steps below (and others as appropriate): (1) Screening of physical infrastructure investments. (2) Assigning the appropriate environmental categories. (3) Steps for carrying out environmental work, i.e. the preparation of (i) an

environmental and social checklist; and (ii) draft terms of reference to facilitate the preparation of separate EIAs during project implementation.

(4) Outline of a review and approval process for the screening results, and, as necessary, for the separate EIA reports.

(5) Procedures for public consultations and disclosure during project implementation.

(6) Monitoring. (x) In light of the above recommendations, prepare an Environmental and Social

Management Plan (ESMP) for the Urban Water Supply and Sanitation Project. The ESMP should outline the institutional responsibilities as well as cost estimates and time horizons for the (a) identification of environmental and social impacts due to project activities; (b) preparation and implementation of mitigation measures; (c) monitoring of the implementation of the mitigation measures; (d) monitoring indicators; and (e) capacity building needs regarding environmental and social management as well as the implementation of the ESMF; a summary table should be prepared for ease of reference. The ESMP will be included in the Project Implementation Manual.

(xi) As appropriate, identify activities and investments that might require a separate EIA report prior to appraisal, and, if necessary, carry out these separate EIAs.

The assignment included a field assessment from an environmental and social perspective of AAWSA’s and other towns’ water supply and sanitation facilities in Addis Ababa, Jimma and Awassa. The assessment has included visits to the following sites:

- Addis Ababa: o Legedadi dam, Dire and Legedadi storage dams, Legedadi water treatment plant and

pipelines from Dire to Legedadi raw water transmission and Legedadi treatment plant to Addis Ababa reservoir transmission;

o Geferssa dam and the related water treatment plant; - The Jimma Water Supply and Sanitation Project, including:

o The river intake and raw water extraction; o The water treatment plant; o The main transmission pipeline and the reservoirs, as well as the distribution network;

- The Awassa Water Supply and Sanitation Project, including: o The river intake and raw water extraction system, o The water treatment and main transmission pipeline, as well as the storage reservoirs,


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o The boreholes, o The distribution network.

Main environmental issues observed during this field assessment are reflected throughout the ESMF. Appendix 1 presents a list of the acronyms used in this document.


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Project DESCRIPTION PROJECT OBJECTIVES AND KEY INDICATORS

The Development Objective of the Urban Water Supply and Sanitation Project is “increased access to sustainable water supply and sanitation services in Addis Ababa and four secondary cities”. Accordingly, the project is designed to:

- Produce more water for all customers and extend the distribution network to unserved areas.

- Improve the operational efficiency of the participating water utilities by reducing non-revenue water and improving financial management.

- Strengthen the autonomy of existing water boards and introduce performance based contracts with operators.

- Outsource selected activities to private sector providers to increase capacity and attract more investment.

- Construct public sanitation facilities in low income areas, finance priority elements of municipal sanitation plans, and promote improved hygiene and sanitation practices.

In achieving these objectives, labor intensive construction methods for small diameter distribution piping and improved services for low-income areas will be adopted. As a result of the proposed project, up to 4 million urban residents in Addis and four other cities where the project is implemented will have increased access to potable water, and households in low-income areas will have improved sanitation facilities. In Addis Ababa water production is 70 liters per capita per day, of which only 50 lpcd reaches consumers due to water losses. In secondary cities only 20 of 30 lpcd produced reaches consumers. Production in these cities should be at least 110 lpcd in Addis Ababa and 50 lpcd in secondary cities. The project aims to increase water availability through source development, treatment expansion, and network extension, and service connections; and improve efficiency by reducing non-revenue water; improving financial and customer management; catchments protection; and instilling awareness of water conservation in its customers. The project will increase access to improved sanitation facilities, mainly for low income urban residents. In so doing, the project will also provide improved drainage and reduce un-controlled and unhealthy sewage flows.

PROJECT COMPONENTS

Component 1: Addis Ababa Water Supply and Sanitation (USD 82M)

Component 1A: Increased access to water supply and sanitation

To address the water supply crisis in Addis Ababa, water production must be increased from 200,000 to 300,000 m3/day to meet basic services. This component will finance capacity expansion at the Legedadi reservoir and water treatment plant, and deep boreholes at selected sites within Addis Ababa and a new well field located northwest of the city. It will also finance the extension of the distribution network to unserved areas and new connections. Special attention will be given to low-income areas by involving communities in the planning process and improving drainage. The sewer system in the Kalite catchment will be extended, and public sanitation facilities, managed by local service providers who charge a user fee, will be constructed.


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Component 1B: Improved operational efficiency and demand management

Given the high marginal cost of water in Addis Ababa and non-revenue water exceeding 35%, operational efficiency must be improved and water conservation must be instilled in consumers. Improved financial management, billing and collection, customer management are also essential in establishing financially viable water companies that can pay the high cost of expansion. Financing under this sub-component will establish pressure zones and leak detection areas within the distribution network; and repairing leaks. AAWSA’s financial management, billing/collection, and customer-management system will also be improved, and awareness for water conservation will be created. Catchment protection measures will be taken at the city reservoirs. Component 1C: Institutional Reform

Funding would be provided for: - sector policy development and revisions in the legal and institutional framework

for water supply and sanitation, - developing policies and measures for enhanced private sector participation and

financing in this sector, - improving utility governance and efficiency. Stakeholder consultation measures are also

included in this component. Component 2: Secondary City Water Supply and Sanitation (USD 32M)

Component 2A: Increased access to water supply and sanitation

Water production in the four secondary cities targeted by UWSS is 35 liters per capita per day (lpcd), of which about 25 lpcd actually reaches consumers. In comparison, water production in cities of this size in other countries in Africa is between 75 and 100 lpcd. On average, water production should be doubled in these cities. This component will finance increased water production as well as the extension of the distribution network, particularly in unserved areas and for new connections. Selected low-income areas will receive special attention by involving communities in the planning process for water distribution and public sanitation facilities. Financing will also be available for the construction/expansion of waste water treatment ponds and piped sewerage in higher density commercial areas. Component 2B: Improved operational efficiency

The water utilities in the four participating cities perform reasonably well, but operational efficiency could be improved by reducing “non-revenue water” and improving financial management, billing and collection, and customer management. Under this sub-component the materials, equipment and costs associated with establishing pressure zones and leak detection areas will be provided, as will leak repairs in the distribution network and at service connections. Financial management, billing/collection, and customer-management can also be improved. Component 2C: Institutional Reform

Funding will be provided to refine enabling legislation to provide more autonomy to the Water Boards and to develop procedures and codes of conduct. Operator contracts with performance targets and performance incentives would also be developed and tested. Key Inputs for Components 1 and 2

- Expand water production/distribution and waste water treatment/collection; - Add new service connections for water and waste water;


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- Create pressure zones within the distribution network; - Repair leaks in distribution piping and at service connections; - Replace old meters; - Improve financial management, billing/collection and customer-management systems; - Create public awareness for water conservation; and implement a catchment

management plan. - Consultant services for design and supervision of the civil works, financial management,

and water conservation will also be provided. Key Outputs for components 1 and 2

- To improve access to water, that is, increase the number of people with improved water supply - water production, distribution, and connections will be increased to 90 percent of households; 24 hour per day service will be provided to all areas within the city; and sanitation plans will be implemented.

- To improve operational efficiency and manage demand, non-revenue water will be reduced by 10 percent, and 80 percent of costs will be recovered through tariff (i.e. recurrent, renewal/replacement of short life assets, and expansion excepting distribution/connections for low-income households).

- To establish better performing utilities, autonomous water boards, with operators working under performance based contracts will be established.

Component 3: Project Management and Monitoring and Evaluation

The project management will involve sector institutions at federal and regional levels, city administrations and utilities. Funding would be provided for costs associated with project implementation, to synthesize existing water and sanitation access data to determine baseline figures and to monitor progress under this project and in meeting the overall water supply and improved sanitation access goals under the Millenium Development Goals (MDG). This component also includes training, workshops and other capacity building measures and support for environmental and social management. Key Inputs: will include technical assistance, goods, operation support, and training for effective project implementation and improved monitoring of performance towards achievement of MDG goals. Key outputs: will include improved system and enhanced capacity for effective monitoring and implementation of the project and its contribution for the broader sector MDG goals.

PROJECT BUDGET

The total project size would be about USD 119 Million, and considering its size versus other cities, Addis Ababa will likely receive about 70 percent of the investment.


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Legal Framework OVERVIEW

The first attempt to develop environmental regulations in Ethiopia dates back from 1989, when the development of the Conservation Strategy of Ethiopia (CSE) was launched. Before this CSE was finalized in 19971 together with the Environmental Policy2, the new Constitution of Ethiopia (1995) affirmed the right of every Ethiopian citizen to a clean and healthy environment and established the responsibility of the State in ensuring this right. In 2002, a more comprehensive legal and regulatory framework was developed in the form of three proclamations: (i) on Environmental Protection Organs, (ii) on Environmental Impact Assessment, and (iii) on Environmental Protection Control. Whereas these three proclamations provide the overall framework, the details of environmental management regulations are however undeveloped yet, and implementation texts, such as guidelines and standards, remain to be enacted.

RELEVANT PROVISIONS OF THE ETHIOPIAN LEGISLATION

The Constitution, 1995

Under Article 44 “Right to the Protection of the Environment”, the Constitution of Ethiopia, 1995, states that “Everyone has the right to a clean and healthy environment.” Under Article 92 “Objectives for Environmental Protection”, the Constitution also states that:

- the State is responsible to ensure a clean and healthy environment for all Ethiopians,

- no development activity shall be disruptive to the ecological balance, - people concerned shall be made to give their opinions in the preparation and

implementation of policies and programs concerning environmental protection. Environmental Protection Organs Proclamation N° 295/2002

This Proclamation, published in the Federal Negarit Gazeta dated October 31st, 2002, contains the following main provisions:

- It re-establishes the Environmental Protection Agency (EPA)3 as a Federal Government Agency, accountable to the Prime Minister,

- It establishes the EPA’s powers and duties, including the following: o Coordinate measures ensuring that environmental objectives provided by the Constitution

are met; o Prepare, review and update environmental policies strategies and laws, and monitor and

enforce their implementation; o Establish a system for Environmental Impact Assessments and review project EIAs where

these projects are submitted to federal licensing, or where they are likely to entail inter-regional or international impacts;

1 Conservation Strategy of Ethiopia, 1997 (5 volumes), Environmental Protection Authority 2 Environmental Policy, April 2, 1997, Environmental Protection Authority 3 Initially established by Proclamation N° 9/1995 in response to the requirements of the then newly

passed Constitution.


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- It also establishes the responsibilities of regional governments in setting up their own Regional Environmental Agencies, these being in charge, amongst others, of implementing federal environmental standards, and environmental monitoring, protection and regulation.

Environmental Impact Assessment Proclamation N° 299/2002

This Proclamation, published in the Federal Negarit Gazeta dated December 3rd, 2002, establishes the requirement of an Environmental Impact Assessment (EIA) procedure for all projects, and provides the processes and procedures to be followed by project proponents with respect to EIAs. The EIA process described in the proclamation includes consultation requirements: reports are to be made public, and the public’s comments are to be solicited and taken into consideration in the review process undertaken by the federal or regional environmental agency in charge of the project. Environmental Pollution Control Proclamation N° 300/2002

This Proclamation, published in the Federal Negarit Gazeta dated December 3rd, 2002, provides the framework for the further development of environmental regulation instruments and standards, and establishes requirements applicable to municipal or hazardous waste. It also creates an environmental police to enforce environmental regulations and standards. Environmental Policy

This document was developed together with the CSE (see § 3.1) with assistance from IUCN4.Its legal standing is not fully clear, as it is not a law but was nevertheless enacted by the Council of Ministers. It includes 9 policy objectives, 19 guiding principles, 10 sectoral policies (one of which on Water Resources) and 10 cross-sectoral policies (one of which on Community Participation and another on EIAs). EIA Guideline

Objectives of the EIA Process

The EPA has issued in July 2000 a “Guideline Document” for Environmental Impact Assessments. This document states the objectives of the EIA process, as follows:

- Integration of environmental considerations in development planning processes, in order to make use of natural resources in a responsible manner; and

- Protection and enhancement of the quality of all life forms. Responsibilities in Dealing with EIAs – Competent Agency

The guidelines define the Competent Agency as the agency that will have to take responsibility for the EIA process, including the review of the initial proposal, of the reports and of the final decision on the acceptability of the submitted EIA. It affirms the role of the EPA as the Competent Agency at the federal level in Ethiopia, and the role, in the long term, of regional environmental agencies when they are established, in dealing with EIAs at the regional level. However, in recognition of the fact that all regional environmental agencies will not be established soon, the document mentions that the Regional Environmental Coordination Committee (RECC) must take the responsibility of EIAs at

4 IUCN: The World Conservation Union


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regional level, with technical support from the federal EPA where needed. The federal EPA should remain the Competent Agency for EIAs:

- where projects may have inter-regional or inter-national impacts, - where they may entail impacts on environments of national or international

significance, - where the proponent is a federal agency, including the Federal Investment

Authority, - or where the federal EPA agrees that an EIA be referred to it by the regional level

due to its complexity or to the lack of capabilities at regional level. EIA Processes and Procedures

The process as described by the guideline is the following: - Application, - Pre-Screening, - Screening, - Scoping, - EIA and Environmental Impact Report, - Review and decision by the Competent Agency.

Pre-Screening

At pre-screening, the project proponent should establish contact with the Competent Agency, establish an official contact person, and provide an initial description of the proposed activity. The Competent Agency will register the application. Screening

From screening into the further stages of the process, the proponent is recommended to appoint an independent consultant to assist in the process. The screening phase should decide the following, amongst others:

- The need for and level of assessment; - The level of Government to be responsible (federal or regional); - The acceptability of the proposed consultant; - The public participation process.

At this phase, the proponent is to submit a screening report to the Competent Agency. The Agency may require the proponent to advertise its application. Scoping

The scoping process is intended at ensuring that the EIA focuses on the right issues. It will be sanctioned by a scoping report, which is basically meant to be the Terms of Reference for carrying out the EIA. Although not clearly a requirement as per the guideline, it is also recommended that public consultation be undertaken at this stage, to make sure that relevant stakeholders have a say in identifying the issues and impacts that will further be assessed during the EIA. EIA and EIS

The guideline provides a template structure for the EIA report (or EIS, Environmental Impact Statement), as follows:

- Executive summary; - List of consultants; - Description of the proposed development project;


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- Outline of the main alternatives; - Description of the baseline environmental, socio-economic and health conditions; - Prediction and assessment of each impact at all stages of the project cycle for each

alternative; - Description of residual impacts that cannot be mitigated; - Monitoring schemes; - Potential uses of the environment that will be affected by potential impacts; - Description of standards and guidelines used; - Statement on the extent of involvement; - Identification of information gaps and uncertainties; - Budgetary implications and measures to be taken to ensure that mitigation can

effectively be carried out. Categorization of Projects

The guideline categorizes projects into three “schedules” according to their potential impacts: - Schedule 1 includes “projects which may adverse and significant environmental

impacts, and may therefore require a full EIA”, as well as “projects in environmentally sensitive areas irrespective of their nature”;

- Schedule 2 includes “projects whose type, scale or other relevant characteristics have potential to cause some significant environmental impacts, but not likely to warrant an environmental impact study”;

- Schedule 3 includes “projects which would have no impact and do not require an environmental impact assessment”.

Projects related with water and sanitation are categorized as follows:

- Categorized in schedule 1:o Construction of dams, impounding reservoirs with a surface area of 100 hectares or more; o Ground water development greater than 4 000 m3/day; o Canalization and flood-relief work (large scale)5 ;o Drainage plans in towns close to water bodies; o Projects that cause the resettlement of more than 100 families.

- Categorized in schedule 2:

o Rural water supply and sanitation; o Sewerage system; o Electricity transmission lines.

The UWSS does not envision the funding of any sub-project that would fall under Schedule 1. Institutional arrangements

At federal level, the Environmental Protection Agency is in charge of policies, directives and standards, and of enforcing the laws and policies, including on EIAs and environmental monitoring, for all projects or activities that fall under the control of the Federal Government. Each of the main federal agencies active in infrastructures or economic development is required by law to have its own environment unit. The Ministry of Water Resources is one of few federal agencies to indeed have an Environment Unit. Most of its activities are focused on irrigation projects and related environmental issues, assessments and monitoring.

5 The document does not provide details on how “large scale” is to be understood.


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According to the Environmental Protection Organs Proclamation, the Regional States are to create their own Regional Environmental Agencies. These are to deal, amongst others, with EIAs for regionally managed infrastructure or development activities (see above).

WORLD BANK SAFEGUARD POLICIES

Applicable World Bank Safeguard Policies

Table 1 below presents the list of all World Bank Safeguard Policies, and their potential applicability to the Project, as well as actions already taken or being taken to comply with them. This table will be included in the Project Implementation Manual. Five of the World Bank policies have been triggered by the UWSS Project: OP 4.01 (Environmental Assessment), OP 4.12 (Involuntary Resettlement), OP 4.11 (Management of Cultural Property), OP 4.37 (Safety of Dams) and OP 7.50 (International Waterways):

- OP 4.01 is designed 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 in its area of influence. OP 4.01 requires an Environmental Assessment (EA) to be carried out for any project proposed for Bank financing; different EA instruments can be used, including amongst others Environmental Impact Assessment (EIA) or Environmental Management Plan (EMP); the selection of EA instruments to be used for a particular project is made through the Environmental Screening process; all projects proposed for World Bank financing are to be screened, and are categorized according to their potential environmental impacts as preliminarily assessed during the screening process (see details in § 3.3.2); Since the potential adverse environmental and potentially localized impacts of the UWSS project could not be identified prior to appraisal, this Environmental and Social Management Framework (ESMF) has been prepared consistent with OP 4.01. It outlines an environmental and social screening process which will enable qualified project personnel to screen sub-projects for potential negative environmental and social impacts and to identify, implement and monitor appropriate mitigation measures.

- OP 4.12 is to be complied with where involuntary resettlement may take place as a

result of the project; involuntary resettlement is understood in a broad sense, including any impacts on livelihoods that may result from land acquisition; OP 4.12 includes requirements that:

a. Involuntary resettlement should be avoided where feasible, or minimized, exploring all

viable alternative project designs. b. Where it is not feasible to avoid resettlement, resettlement activities should be conceived

and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits. Displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs.

c. Regardless of the legality of land tenure, displaced persons should be assisted in their

efforts to improve their livelihoods and standards of living, or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.

- OP 7.50 (Projects on International Waterways) may apply to water or sewerage projects

on those Ethiopian water basins where the river flows downstream to other States. The policy essentially introduces a notification requirement, whereby Ethiopia should notify the


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downstream riparian states (for instance Sudan and Egypt for the Abbay basin) of any projects “that involve the use or potential pollution of international waterways”. This notification process has already been launched for the UWSS Project. Since the UWSS project has carried out the necessary measures of riparian notification, no additional notifications under sub-projects will be necessary.

- OP 4.11 (Physical Cultural Resources) aims at preserving and avoiding elimination of

cultural properties. It requires to identify in advance what is known about the cultural property aspects of the proposed project site, and that if there is any question of cultural property in the area, a brief reconnaissance survey should be undertaken in the field by a specialist.

- OP 4.37 (Safety of Dams) introduces specific safety requirements applicable only to

dams more than 15 meters in height. While the UWSS Project will not construct any such dam, the policy specifies that where the Project may be dependent on such a dam, the policy is applicable. AAWSA has commissioned a safety inspection of the Legedadi, Dire and Garfarsa dams, carried out by consultant Robin Charlwood and Associates in December 2006.

Other World Bank safeguard policies are deemed not to be applicable to the UWSS Project for the following reasons:

- OP 4.04 (Natural Habitats), OP 4.09 (Pest Management), OP 4.36 (Forestry) address environmental aspects that have no relevance to the UWSS Project;

- It is not anticipated that the UWSS Project may have any adverse impact on people identified as indigenous, and therefore OD 4.20 is not applicable.


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Table 1: World Bank Safeguard Policies and How They Are Addressed by the UWSS Project

Policy Objectives Conditions of Applicability and Process Applicability to the UWSS Projectand Actions Taken

OP 4.01EnvironmentalAssessment

The objective of this policy is to ensure that Bank-financed projects are environmentally sound andsustainable, and that decision-making is improvedthrough appropriate analysis of actions and of their likelyenvironmental impacts. This policy is triggered if aproject is likely to have potential (adverse) environmentalrisks and impacts on its area of influence. OP 4.01 coversimpacts on the natural environment (air, water and land);human health and safety; physical cultural resources; andtransboundary and global environment concerns.

Depending on the project, and nature of impacts arange of instruments can be used: EIA,environmental audit, hazard or risk assessment andenvironmental management plan (EMP). When aproject is likely to have sectoral or regional impacts,sectoral or regional EA is required. The Borrower isresponsible for carrying out the EA.

YESDevelopment of an ESMF per OP4.01. The ESMF outlines anenvironmental and social screeningprocess and includes anEnvironmental and SocialManagement Plan for the UWSSproject.. The ESMF will be includedin the Project ImplementationManual.

OP 4.04 NaturalHabitats

This policy recognizes that the conservation of naturalhabitats is essential to safeguard their unique biodiversityand to maintain environmental services and products forhuman society and for long-term sustainabledevelopment. The Bank therefore supports the protection,management, and restoration of natural habitats in itsproject financing, as well as policy dialogue andeconomic and sector work. The Bank supports, andexpects borrowers to apply, a precautionary approach tonatural resource management to ensure opportunities forenvironmentally sustainable development. Naturalhabitats are land and water areas where most of theoriginal native plant and animal species are still present.Natural habitats comprise many types of terrestrial,freshwater, coastal, and marine ecosystems. They includeareas lightly modified by human activities, but retainingtheir ecological functions and most native species.

This policy is triggered by any project (including anysub-project under a sector investment or financialintermediary) with the potential to cause significantconversion (loss) or degradation of natural habitats,whether directly (through construction) or indirectly(through human activities induced by the project).

NOSub-Projects that may havesignificant adverse impacts onnatural habitats will not be fundedunder UWSS.

If necessary, the project will carryout separate EIAs to determinepotential adverse environmentalimpacts on natural habitats. Anymitigation measures will beconsistent with the requirements ofOP 4.04.


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OP 4.36 Forests The objective of this policy is to assist borrowers toharness the potential of forests to reduce poverty in asustainable manner, integrate forests effectively intosustainable economic development and protect the vitallocal and global environmental services and values offorests. Where forest restoration and plantationdevelopment are necessary to meet these objectives, theBank assists borrowers with forest restoration activitiesthat maintain or enhance biodiversity and ecosystemfunctionality. The Bank assists borrowers with theestablishment of environmentally appropriate, sociallybeneficial and economically viable forest plantations tohelp meet growing demands for forest goods andservices.

This policy is triggered whenever any Bank-financedinvestment project (i) has the potential to haveimpacts on the health and quality of forests or therights and welfare of people and their level ofdependence upon or interaction with forests; or (ii)aims to bring about changes in the management,protection or utilization of natural forests orplantations.

NOSub-Projects that may havesignificant adverse impacts on forestin the sense of OP 4.36 will not befinanced by UWSS

OP 4.09 PestManagement

The objective of this policy is to (i) promote the use ofbiological or environmental control and reduce relianceon synthetic chemical pesticides; and (ii) strengthen thecapacity of the country’s regulatory framework andinstitutions to promote and support safe, effective andenvironmentally sound pest management. Morespecifically, the policy aims to (a) Ascertain that pestmanagement activities in Bank-financed operations arebased on integrated approaches and seek to reducereliance on synthetic chemical pesticides (Integrated PestManagement (IPM) in agricultural projects and IntegratedVector Management (IVM) in public health projects. (b)Ensure that health and environmental hazards associatedwith pest management, especially the use of pesticidesare minimized and can be properly managed by the user.(c) As necessary, support policy reform and institutionalcapacity development to (i) enhance implementation ofIPM-based pest management and (ii) regulate andmonitor the distribution and use of pesticides.

The policy is triggered if : (i) procurement ofpesticides or pesticide application equipment isenvisaged (either directly through the project, orindirectly through on-lending, co-financing, orgovernment counterpart funding); (ii) the projectmay affect pest management in a way that harmcould be done, even though the project is notenvisaged to procure pesticides. This includesprojects that may (i) lead to substantially increasedpesticide use and subsequent increase in health andenvironmental risk; (ii) maintain or expand presentpest management practices that are unsustainable,not based on an IPM approach, and/or posesignificant health or environmental risks.

NOUWSS does not include any pestmanagement activities


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OP 4.11 PhysicalCulturalResources

The objective of this policy is to assist countries to avoidor mitigate adverse impacts of development projects onphysical cultural resources. For purposes of this policy,“physical cultural resources” are defined as movable orimmovable objects, sites, structures, groups of structures,natural features and landscapes that have archaeological,paleontological, historical, architectural, religious,aesthetic, or other cultural significance. Physical culturalresources may be located in urban or rural settings, andmay be above ground, underground, or underwater.

This policy applies to all projects requiring aCategory A or B Environmental Assessment underOP 4.01, projects located in, or in the vicinity of,recognized cultural heritage sites, and projectsdesigned to support the management or conservationof physical cultural resources..

YESPhysical cultural resources will beaddressed through the environmentaland social screening process outlinedin this ESMF. In addition, theEnvironmental Guidelines forContractors include a provision forhandling chance finds. Any sub-project which the screening processdemonstrates may entail negativeimpacts on cultural property will notbe financed by the UWSS Project

OP 4.10IndigenousPeoples

The objective of this policy is to (i) ensure that thedevelopment process fully respects the dignity, humanrights, economies and cultures of indigenous peoples; (ii)ensure that adverse effects during the developmentprocess are avoided, or if not feasible ensure that these aminimized, mitigated or compensated; and (iii) ensurethat indigenous peoples receive culturally appropriate andgender and intergenerationally inclusive social andeconomic benefits.

The policy is triggered when the project affects theindigenous peoples (with characteristics described inOP 4.10 para 4) in the project area.

NONo Sub-Project entailing adverseimpacts on Indigenous People will befinanced by UWSS

OP 4.12InvoluntaryResettlement

The objective of this policy is to (i) avoid or minimizeinvoluntary resettlement where feasible, exploring allviable alternative project designs; (ii) assist displacedpersons in improving their former living standards,income earning capacity, and production levels, or atleast in restoring them; (iii) encourage communityparticipation in planning and implementing resettlement;and (iv) provide assistance to affected people regardlessof the legality of land tenure.

This policy covers not only physical relocation, butany loss of land or other assets resulting in: (i)relocation or loss of shelter; (ii) loss of assets oraccess to assets; (iii) loss of income sources or meansof livelihood, whether or not the affected peoplemust move to another location.

This policy also applies to the involuntary restrictionof access to legally designated parks and protectedareas resulting in adverse impacts on the livelihoodsof the displaced persons.

YESDevelopment of a ResettlementPolicy Framework as prescribed byOP 4.12


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OP 4.37 Safety ofDams

The objectives of this policy are as follows: For newdams, to ensure that experienced and competentprofessionals design and supervise construction; theborrower adopts and implements dam safety measures forthe dam and associated works. For existing dams, toensure that any dam that can influence the performanceof the project is identified, a dam safety assessment iscarried out, and necessary additional dam safety measuresand remedial work are implemented.

This policy is triggered when the Bank finances: (i) aproject involving construction of a large dam (15 mor higher) or a high hazard dam; and (ii) a projectwhich is dependent on an existing dam. For smalldams, generic dam safety measures designed byqualified engineers are usually adequate.

YESAAWSA has commissioned a DamSafety Assessment and PotentialFailure Modes Analysis (PFMA) forthe three dams of Legedadi, Dire andGafarso (Robin Charlwood andAssociates, December 2006); therecommendations of this analysiswill be implemented under theUWSS project. No new dams will bebuilt under the UWSS project.

OP 7.50 Projectson InternationalWaterways

The objective of this policy is to ensure that Bank-financed projects affecting international waterwayswould not affect: (i) relations between the Bank and itsborrowers and between states (whether members of theBank or not); and (ii) the efficient utilization andprotection of international waterways.

The policy applies to the following types of projects: (a)Hydroelectric, irrigation, flood control, navigation,drainage, water and sewerage, industrial and similarprojects that involve the use or potential pollution ofinternational waterways; and (b) Detailed design andengineering studies of projects under (a) above, includethose carried out by the Bank as executing agency or inany other capacity.

This policy is triggered if (a) any river, canal, lake orsimilar body of water that forms a boundarybetween, or any river or body of surface water thatflows through two or more states, whether Bankmembers or not; (b) any tributary or other body ofsurface water that is a component of any waterwaydescribed under (a); and (c) any bay, gulf strait, orchannel bounded by two or more states, or if withinone state recognized as a necessary channel ofcommunication between the open sea and otherstates, and any river flowing into such waters.

YESNotification letters have been sent bythe World Bank to the riparian statesin November 2006. The notificationprocess will be completed prior toappraisal. Since the UWSS projecthas carried out the necessarynotifications, no additionalnotifications under sub-projects willbe necessary.

OP 7.60 Projectsin Disputed Areas

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

This policy will be triggered if the proposed projectwill be in a “disputed area”. Questions to beanswered include: Is the borrower involved in anydisputes over an area with any of its neighbors. Is theproject situated in a disputed area? Could anycomponent financed or likely to be financed as partof the project situated in a disputed area?.

NONo sub-project in disputed areas willbe financed under UWSS


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World Bank Screening Process

Project Categorization per World Bank’s OP 4.01

All projects proposed for World Bank financing are to be screened. The screening process used by the World Bank classifies proposed projects into one of four categories, depending on the type, location, sensitivity, and scale of the project and the nature and magnitude of its potential environmental impacts.

- Category A: A proposed project is classified as Category A if it is likely to have significant adverse environmental impacts that are sensitive, diverse, or unprecedented. These impacts may affect an area broader than the sites or facilities subject to physical works.

- Category B: A proposed project is classified as Category B if its potential adverse environmental impacts on human populations or environmentally important areas—including wetlands, forests, grasslands, and other natural habitats—are less adverse than those of Category A projects. These impacts are site-specific; few if any of them are irreversible; and in most cases mitigatory measures can be designed more readily than for Category A projects.

- Category C: A proposed project is classified as Category C if it is likely to have minimal or no adverse environmental impacts. Beyond screening, no further EA action is required for a Category C project.

- Category FI: A proposed project is classified as Category FI if it involves investment of Bank funds through a financial intermediary, in subprojects that may result in adverse environmental impacts.

The UWSS Project has been classified by the World Bank as environmental category B. As requested, accordingly, by the Bank, the Government of Ethiopia is preparing an Environmental and Social Management Framework (ESMF) to address the environmental and social concerns related to the subprojects, and a Resettlement Policy Framework (RPF) to address potential issues of displacement and resettlement. Both the ESMF and RPF have been prepared because the actual sub-project sites and their potential adverse environmental and social impacts could not be identified prior to appraisal. Instead, the environmental and social screening process outlined in the ESMF will be applied by qualified project personnel to ensure that potential negative environmental and social impacts are identified and mitigated at the planning stage of the planned sub-projects. The UWSS Project is a combination of sub-projects. As the “parent project” in general has been classified as “Category B”, no sub-project within the UWSS can be funded if it would fall under “Category A”. Comparison of World Bank and Ethiopian Project Environmental Categorization

It is interesting to observe that environmental screening is the cornerstone of both Ethiopian legislation and World Bank policies pertaining to environmental assessment. Both screening processes address the need for further environmental assessment and its level and scope. The categorizations that result from the screening processes are slightly different in their definition, but still are roughly equivalent. It is understood that, in general:

- “Schedule 1” and “Category A” are roughly equivalent (refer to the respective definitions in paragraphs 3.2.6.8. and 3.3.2.1); they both include projects with potential for significant adverse impacts that warrant a full Environmental Impact Assessment;

- Similarly, “Schedule 2” and “Category B” are more or less similar in their definitions; both categories include projects with more benign impacts than those of Category A or Schedule 1 projects. Under OP 4.01, category B projects require environmental work at the appropriate level – be it an EMP, an EA or the implementation of mitigation measures in the context of an environmental and social screening process as outlined in this ESMF. This


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approach is not in contradiction with the Ethiopian guidelines. However, the Ethiopian guidelines do not make provisions for the screening of sub-projects of a smaller scale than those listed in Schedules 1 and 2, and which may have negative localized impacts which will require mitigation. Therefore, this ESMF has been prepared to bridge this gap to ensure that the UWSS sub-projects are implemented in an environmentally and socially sustainable manner..

- “Schedule 3” and “Category C” are also equivalent (no further environmental assessment).

GAPS BETWEEN ETHIOPIAN LEGISLATION AND BANK POLICIES

Overview

Ethiopia has now a comprehensive framework for assessing and managing environmental impacts of development projects. However, the Ethiopian framework does not provide clear requirements or guidance on the following main aspects:

- Public consultation and disclosure, - Social impacts, - Environmental and social screening process for small-scale sub-projects that could have

negative localized impacts; and - Standards applying to water quality for natural water courses, or effluent discharges.

Another issue is that while most of the responsibility for assessing, mitigating and monitoring environmental impacts falls under regional environmental agencies, these either do not exist or lack the capability to carry out the tasks assigned to them by Law. Otherwise, Ethiopian requirements are generally consistent with World Bank policies. Consultation and Disclosure Requirements

OP 4.01 requires that for “all Category A and B projects, the borrower consults project-affected groups and local nongovernmental organizations (NGOs) about the project's environmental and social aspects and takes their views into account. The borrower initiates such consultations as early as possible. For Category A projects, the borrower consults these groups at least twice: (a) shortly after environmental screening and before the terms of reference for the EA are finalized; and (b) once a draft EA report is prepared.” OP 4.01 further requires that “For meaningful consultations between the borrower and project-affected groups and local NGOs on all Category A and B projects proposed for IBRD or IDA financing, the borrower provides relevant material in a timely manner prior to consultation and in a form and language that are understandable and accessible to the groups being consulted”. Category B reports for a project proposed for IDA financing are to be made available to project-affected groups and local NGOs, and public availability in the borrowing country of any Category B EA report for projects proposed for IDA funding are prerequisites to Bank appraisal. While public consultation and disclosure are indeed addressed by various pieces of Ethiopian legislation and guidelines, including the Constitution itself6, they include no clear requirements nor arrangements, but rather recommendations. The EPA confirms that it is indeed including public consultation as a good practice recommendation in the environmental

6 Article 92: “The people concerned shall be made to give their opinions in the preparation and implementation of policies and programs concerning environmental protection.”


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screening and EIA process. However, as the federal EPA does not have the resource to involve itself strongly in all projects in the regions that would require public consultation as part of the environmental assessment process, it has to rely on regional EPAs where these exist or on local authorities in general to organize and document public consultation. There is little experience and capacity in Ethiopia in this respect, and this is undoubtedly an area where the UWSS will have to strengthen capacity (see Section 6 – Capacity building and Training). While Ethiopian legislation is to-date less stringent than Bank policies in this respect, there is, however, no limitation in the Ethiopian legislation as to the extent and scope of consultation and disclosure, nor as to who should be consulted. Therefore, there is no real contradiction between Ethiopian legislation and Bank policies, which can be applied in their public consultation and disclosure aspects without violating Ethiopian law. Social Impacts

The Constitution takes a human rights approach to the environment (“a clean and healthy environment is a right of every Ethiopian”), which may be understood as encompassing both biophysical and human/social aspects in the “environment”. However, beyond these general principles, the application laws (Proclamations) and the technical guidelines available provide little guidance on the measure of social impacts and their assessment within the EIA process. The following Bank policies will therefore guide the assessment and mitigation of social impacts in the UWSS Project:

- OP 4.12 for social impacts related with land acquisition and involuntary resettlement (see RPF for details on the process associated with situations where OP 4.12 is triggered),

- OP 4.01 for the general methodology of social impact assessment and mitigation. Environmental and social screening process for small-scale sub-projects

As mentioned earlier, Ethiopian guidelines do not make provisions for the screening of small-scale sub-projects which could nevertheless have negative localized environmental and social impacts requiring mitigation. Therefore, the provisions of OP 4.01 for screening, assignment of environmental category, application of appropriate environmental mitigation measures and/or preparation of separate EIA reports, review and clearance of screening results and/or separate EIA reports, consultations, and monitoring are applied to the UWSS project. Standards and Guidelines

In spite of a thorough research, the consultant for this assignment could not find any Ethiopian standards or guidelines applicable to matters such as the following7:

- Quality standards and classification of inland waters, - Standards for effluent discharge into inland waters.

The EIA guideline reviewed in this chapter states that in the absence of applicable Ethiopian standards, the EIA proponent or consultant has to propose their own standards and justify them.

7 Ethiopia has drinking water standards (September 1990). However, these appear to apply only to piped supplies. They are currently being revised, but the revised version was circulated in draft but not enacted yet.


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Potential Project Impacts WATER AND SANITATION SYSTEMS CONSIDERED UNDER THE UWSS PROJECT

Water Supply Systems

The following table shows, in summary, the physical components of the water supply systems likely to be considered under the UWSS Project:

Table 2: Physical Components of Sub-Projects Potentially Considered under the UWSS

Water production Water treatment and storage

Water distribution

1 Spring catchment Raw water treatment system and storage

Gravity distribution system

2 River intake (run of river) Raw water treatment plant and treated water storage

Pressure transmission and distribution system with public and private taps

3 River intake with existing, rehabilitated dam8

Raw water treatment plant and treated water storage


4 Drilled well(s) with submersible pump(s)

Raw water treatment plant and treated water storage


Sanitation Systems

As mentioned in the Project Description above, the UWSS Project will focus on on-site sanitation systems. Individual disposal systems such as latrines and septic tanks may be applicable in fringe areas of towns, and in general where low density of dwellings allow. However, urban system for higher-income areas may likely include, in association with the latter individual disposal systems, a piped sewerage collection system in the core areas, with a decentralized waste water treatment plant, which may include treatment ponds where land is available or more compact plants otherwise. Large waste water treatment plants are not likely to be considered under the UWSS.

POTENTIAL IMPACTS OF URBAN WATER SUPPLY SYSTEMS

Beneficial Impacts

Potential beneficial impacts of urban water supply systems are the following: - Gain of time, especially for women and girls, that may be used for other, productive

activities, and resulting gains in overall economic productivity; - Better comfort and domestic hygiene, - Reduction in water-borne diseases such as dysenteria, cholera and others,

8 No dams will be constructed and only minor upgrade works are anticipated at the Legedadi dam.


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- Employment at construction phase, - Employment at operation phase, - Capacity building and training in the town, and resulting enhancement of organizational,

financial and technical capacities of town.


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Adverse Impacts

Table 3 hereunder shows potential adverse impacts that urban water systems may cause to the biophysical environment. Table 4 presents potential impacts on the social environment. Table 3: Potential Adverse Environmental (Bio-Physical) Impacts of the Different Components of Urban Water Supply Systems

Component Potential Adverse Environmental Impacts (Bio-Physical)

Spring catchment

- Disturbance to topsoil created by earthmoving works and heavy vehicle traffic at construction phase

- Reduced water flow downstream due to water abstraction, potential for conflict between upstream and downstream users related with this reduction of flow

- For springs in mountainous areas, potential for impacts to fragile ecosystems and wetlands related with the catchment (where the natural flow downstream feeds a marsh or wetland)

- Limited loss of flora and fauna

Well and well fields


- Noise, dust and vibration - Impact of ground water abstraction on ground water table level

and its availability to other users - Impact of ground water abstraction on potential changes in water

salinity where there is a complex balance within the aquifer between fresh water and salty water

- Impact of the chemicals contained in the drilling fluids on groundwater quality

- Limited loss of flora and fauna

Dam rehabilitation and operation9


- Noise, dust and vibration

Raw Water Treatment Plants


- Potential impacts associated with reagent management and disposal

- Potential impacts associated with treatment sludge management and disposal

- Noise, dust and vibration at construction phase, noise and vibration at operation phase

- Loss of flora and fauna

Transmission Pipelines


- Potential leaks at operation phase with health risks associated with standing water

- Dust at construction phase - Loss of flora and fauna

Distribution Pipelines


- Potential leaks at operation phase with health risks associated with standing water

- Dust at construction phase - Loss of flora and fauna

9 It is anticipated that the UWSS will only fund limited works at the AAWSA dam of Legedadi, to bring it in compliance with safety requirements while ensuring a limited increase of its storage capacity.


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Component Potential Adverse Environmental Impacts (Bio-Physical)

Public Taps - Potential leaks at operation phase with health risks associated with standing water, particularly malaria

Table 4: Potential Adverse Social Impacts of Urban Water Supply Systems

Component Potential Adverse Social Impacts

All systems - Land requirements at construction phase (staging areas, access roads, storage areas)

- Long-term land requirements at operation phase and associated potential for physical displacement and impacts on livelihoods

- In areas where the distribution network is expanded, water that was previously free of charge will have to be paid for, which may be detrimental to the poorest in the community

- The town water supply is made dependent on a more sophisticated system that will require enhanced organization for maintenance, revenue collection and generally management

- Increase in malaria due to risks of development of standing water

- Impacts on public health due to increased dust, noise, traffic accidents, and increased wastes, particularly asbestos/cement pipes

POTENTIAL IMPACTS OF SANITATION SYSTEMS

Beneficial Impacts

Potential beneficial impacts of sanitation systems are the following: - Reduction in water-borne diseases such as dysenteria, - Reduction in the potential for outbreaks of epidemic infectious diseases such as cholera, - Capacity building and training in the town, and resulting enhancement of organizational,

financial and technical capacities of town, - Provision of employment for construction and operation.

Adverse Impacts

Table 5 hereunder shows potential adverse impacts of sanitation systems:

Table 5: Potential Environmental and Social Impacts of Sanitation Systems

System Potential Adverse Impacts

Latrines and other individual sanitation systems

- Impact on groundwater in situations where water table is shallow

- Impact of potential improper sludge disposal - Health hazards associated with inappropriate siting of sanitation

systems in relation to water supply systems - Health hazards associated with unreliable emptying services


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System Potential Adverse Impacts

Piped sewerage system and waste water treatment works

- Potential impact of effluent discharge on water bodies - Potential impact of effluent infiltration on soils and groundwater

where infiltration is used as a disposal method - Potential impact of the handling of sludge and other sanitation-

related solid waste - Increase in the number of mosquito larvae and related increase

in mosquito-borne diseases, primarily malaria - Land acquisition requirements for pipelines, treatment works

and other structures - The cost of the sanitation service will have to be recovered,

which may be detrimental to the poorest in the community - The town is made dependent on a more sophisticated system that

will require maintenance, organization, and finance


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PROPOSED SCREENING AND Environmental Management PROCESS - TYPICAL MITIGATION MEASURES GENERAL

As mentioned above (see Chapter 2), the Ethiopian EIA guideline categorizes projects into three “schedules” according to their potential impacts: Schedule 1 (projects with adverse and significant environmental impacts, requiring a full EIA), Schedule 2 (projects which may cause some significant environmental impacts, not likely to warrant an environmental impact study), and Schedule 3 (projects with no impact). In contrast with the provisions of Ethiopian regulations under Schedule 2, OP 4.01 requires an appropriate level of environmental work for category B projects – whether an EMP, a separate EA, an environmental audit or an environmental and social screening process for future investments where the locations and potential adverse impacts could not be identified prior to appraisal. In this case, the results of the environmental and social screening process outlined in this ESMF will determine the requisite level of environmental work under the UWSS project. The Urban Water Supply and Sanitation Project is likely to include several types of sub-projects. It is important to categorize these projects based on the results of the environmental and social screening process taking into account the Ethiopian EIA guideline so that AAWSA and the Ministry of Water Resources be prepared to develop and submit the associated Environmental Impact Assessment documentation for each of them as appropriate. At the same time, the screening process takes into account the requirements of OP 4.01 Environmental Assessment. The categorization of some sub-projects that may be considered is shown in Table 6. The need for additional separate EA reports will be determined in the course of the environmental and social screening process outlined below in the ESMF. Table 6: Categorization of Sub-Projects That May Be Considered under the UWSS Project according to the Ethiopian EIA Classification

System Schedule

(Ethiopian Regulations)

Category (World Bank)

Spring catchment, treatment and gravity transmission and distribution system

2 B

Legedadi dam upgrade to ensure compliance with safety requirements

2 B

Raw water treatment plant 2 B

Transmission pipelines 2 B or C depending on the location

Distribution pipelines and distribution network 2 B or C depending on the location


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System Schedule

(Ethiopian Regulations)

Category (World Bank)

Well or well fields with pumping station(s), treatment and pressure distribution system

2, as no sub-project under UWSS will entail groundwater withdrawal of more than 4,000 m3/day

B

Rehabilitation or expansion of existing transmission or distribution systems

2 B or C depending on the location

New distribution systems 2 B or C depending on the location

Latrines and other individual sanitation systems 2 B or C depending on the location

Piped sewerage system and waste water treatment works 2 B

Leak detection - C

Institutional and capacity-building components - C

No Schedule 1 sub-projects shall be considered under the UWSS Project.

SCREENING PROCESS

Overview

The screening aims at categorizing the sub-projects into one of the following environmental and social categories:

- Category A (Schedule 1) due to one or more major adverse impacts, therefore this sub-project cannot be funded under the UWSS Project. It will be either re-designed and re-submitted to the environmental screening process after re-design, or abandoned.

- Category B (Schedule 2) due to potential environmental issue identified which can be

mitigated as follows:

o Category B1: No further Environmental Assessment work required; application of mitigation measures as outlined in the ESMF.

o Category B2: Further Environmental Assessment work required: Preparation of a separate

Environmental and Social Impact Assessment to get a better understanding of the potential environmental and social issues that have been identified in the screening process and develop a specific Environmental and Social Management Plan.

- Category C: No significant environmental issue identified, no specific mitigation

required; sub-project implementation can proceed. Environmental Guidelines for Construction Contractors shall be appended to construction contract and applied.


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Screening Form

The Screening Form (Appendix 3) formalizes a rapid field investigation to screen on-site whether any environmental issue may require specific attention and supplemental Environmental Assessment work. All sub-projects (including the simplest ones) will undergo the screening process in order to avoid any miss in screening potential environmental issues. Assignment of an Environmental Category to a Sub-Project

The field personnel in charge of the screening will propose the environmental category. As discussed earlier, since the UWSS project is a category “B” project, sub-projects assigned the World Bank category “A” cannot be funded under this project. A sub-project categorized as “B” will either implement mitigation measures as outlined in this ESMF and based on the recommendations of the environmental and social screening process (category B1), or, a separate ESIA report will be prepared (Category B2). Generic ESIA terms of reference are attached in Appendix 2; they will be adapted to the specific requirements of the sub-projects. A sub-project categorized as “C” will not require any further environmental and social assessment work and implementation can proceed immediately.

CATEGORY “B” SUB-PROJECTS

Category B1 Sub-Projects (Not Requiring Further Environmental Assessment Work)

As mentioned above, sub-projects categorized as B1 will not require any further environmental assessment work. They will, however, be applied the general Environmental and Social Management Plan (ESMP) presented further in this ESMF. Category B2 Sub-Projects (Requiring Further Environmental Assessment Work)

Examples of issues requiring the implementation of specific mitigations in cases where specific environmental or social issues are identified and where a change in the design or siting of the sub-project is not possible include:

- Potential conflicts between upstream and downstream users, - Impacts on a fragile ecosystem, - Impacts on land without physical displacement or significant impacts on livelihoods, - Potential for heavy traffic at construction phase through inhabited areas, - Construction in water bodies (pipeline river crossings, water works in river beds –

intakes), - Construction through areas with contaminated soil.

Depending on situations, further environmental assessment work may include:

- The development of an ESIA (Environmental and Social Impact Assessment), based on the scope of work and report structure presented in Appendix 2, including a specific Environmental and Social Management Plan,

- The development of a RAP (Resettlement Action Plan) or of an ARP (Abbreviated Resettlement Plan), per procedures outlined in the Resettlement Policy Framework (see RPF in a separate document).

Mitigations will be detailed in an ESMP appended to the ESIA, to be prepared prior to start of construction. They may include, for example:


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- Extensive consultation with upstream and downstream users to avoid conflict with the objective of reaching an agreement on water use that can be implemented and monitored by local authorities,

- Specific construction arrangements to minimize physical footprint and negative impacts on fragile ecosystems, topsoil and flora,

- Compensation per Resettlement Policy Framework, - By-passes of heavy traffic out of inhabited areas, speed limits, speed bumps, safety

awareness with children and adults, - Coffer dams, no use of chemicals in water bodies, use of geosynthetics, - Excavation and disposal of contaminated soil prior to construction.

Consultation and Disclosure for All Category “B” Sub-Projects

Public Consultation

For all Category “B1” sub-projects, public consultation will include the following steps: - Identification of interested parties (beneficiary neighboring communities, communities

potentially affected by the sub-project, downstream water users, local authorities, regional authorities);

- Information on the proposed sub-project and its likely impacts, seeking feedback on impact identification and general mitigation measures as they are described in this ESMF.


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For all Category “B2” sub-projects, public consultation will include the following steps: - Identification of interested parties (beneficiary neighboring communities, communities

potentially affected by the sub-project, downstream water users, local authorities, regional authorities);

- Initial step of consultation, before further environmental assessment work is undertaken: one initial meeting with each of the identified parties, presenting the sub-project and seeking input on the scope of work for further environmental assessment work;

- Second step of consultation, after further environmental assessment work is complete: presentation of the results of the environmental assessment, including presentation of identified impacts and proposed mitigations, seeking input on these proposed environmental management measures; this second step will include dissemination to identified interested parties of a brief summary of the environmental assessment in local language (generally Amharic and/or Oromigna).

In average, it is estimated that 2 to 5 meetings will be required for each of the above two steps of consultation for Category “B2” sub-projects. The consultation will be undertaken by consultants in charge of further environmental work (ESIA) – see Section 7 for details on implementation. Any consultation meeting will be documented. A format for documenting consultation meetings is proposed in Appendix 6. Disclosure

In conformance with OP 4.01, environmental assessment reports related with Category “B2” sub-projects will be made available to the public as follows:

- Disclosure (one copy of the full ESIA report, plus copies of the brief summary in local language mentioned in the previous section) at the Implementation Agency’s office (AAWSA for Addis, Town Water Boards for secondary cities);

- Disclosure (at least one copy of the full report and copies of the summary in local language) at the World Bank country office in Addis Ababa;

- Disclosure through the World Bank Infoshop. Reports will be officially sent by the borrower to the World Bank for further disclosure according to Bank’s procedures.

CATEGORY “C” SUB-PROJECTS

Sub-projects for which the screening process does not identify any specific environmental or social issues are categorized as “C”. Notwithstanding their categorization as “C”, such sub-projects will be applied the “Environmental Guidelines for Construction Contractors” presented in Appendix 5. These guidelines are to be appended to any request for proposals and construction contract related with the UWSS.

REVIEW AND CLEARANCE OF ENVIRONMENTAL SCREENING RESULTS

In conformance with Ethiopian EIA guidelines, environmental screening results are to be reviewed and cleared by the “Competent Agency” (see section 3.2.6.2 above). For such projects as those considered under the UWSS, the Competent Agency is in principle the regional EPA. Where the Regional EPA does not exist, the environmental screening forms will be reviewed and cleared by the federal EPA.


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All screening forms will be sent to the World Bank country office for potential comments after review and clearance by the Competent Agency.


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REVIEW AND CLEARANCE OF ESIAS

For Category B2 sub-projects, ESIAs will be reviewed by the Competent Agency as follows: - Review of the scope of work (Terms of Reference), - Review of the draft ESIA, - Clearance of the final ESIA.

For these sub-projects, ESIAs will be reviewed by the World Bank as follows:

- No-objection on the scope of work and consultant contract, - Review of the final ESIA after it has been reviewed and cleared by the Competent

Agency.

TYPICAL MITIGATIONS AND ESMP

Table 7 below provides typical environmental management and monitoring measures associated with impacts identified above. It forms the basis for the ESMP applicable to construction and operation phases of all Category “B” sub-projects.

GUIDELINES FOR CONSTRUCTION CONTRACTORS

Environmental guidelines for construction contractors are presented in Appendix 5. They apply to all sub-projects under the UWSS Project, including Category “C” sub-projects. These guidelines will be appended to all Requests for Proposals for construction works and resulting contracts passed under the UWSS Project.


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Table 7: Environmental and Social Management Plan

Component / Sub-Project / Activity

Potential Issues/Impacts Mitigations Monitoring Toolsand/or Indicators

Responsibility forMitigation

Responsibilityfor Monitoring

Cost Estimate(USD)

TimeHorizon

Components 1A(Addis) and 2A(secondary cities):Construction andoperation of newdrilled wells

- Groundwater contaminationby the drilling works

- Groundwater contaminationat operation phase byinfiltration from the surface

- Application of Environmental Guidelines forConstruction Contractors (Appendix 5)

- Proper siting of the well to avoid infiltration of wastewater, avoidance of low points, avoidance of sites withpoor drainage, or prone to water retention or floods;location of the well at a safe distance from: (i) latrines,cattle pens, refuse pits (50 m); (ii) soak pits, trenches andsub-surface sewage disposal (100 m); and (iii) cesspools;sanitary land fill areas, and graves (150 m);

- Use of biodegradable drilling fluids and mud additives- During the drilling, recycling of drilling muds in a pit

near the drilling site as per usual drilling practice- After completion of drilling, disposal of the drilling fluids

in an agreed landfill- Fencing of the surroundings of the well to avoid

undesirable activities around the well- Drainage of the immediate surroundings of the water well

to avoid infiltration of contaminated water- Construction of properly designed and water tight well

head and proper sealing of pump to well head- The pump and other equipment submerged into the well

need to be disinfected, initially then at each extraction- Avoidance of any leak above-ground at the well-head- Initial chlorination of the well, after pumping test and

pump installation, then periodic chlorination- Well-head and its surroundings to be cleaned and cleared

during operation. Infiltration pits to be maintained andreplaced if needed

- Ensure reliable operation and maintenance of the well- Periodic monitoring of human activities near/at the well

to ensure they do not contribute to contamination- Plant shrubs and grasses to prevent contamination of well

water- If necessary, coordinate anti-malaria measures with the

regional offices of the Ministry of Health

- Distance betweenwells and closestlatrine

- Contractorcompliance withguidelines ondrilling fluids andmud – see App. 5

- Absence ofstagnant water

- E. Coli lower thanWHO guideline

- Absence of leaks atwell head

- Report ofchlorination

- Site inspectionchecking absenceof stagnant waterand generalhousekeeping atwell site

Implementingagencies for eachsub-project(AAWSA forAddis, Town WaterBoards forsecondary cities)

Implementingagencies foreach sub-project

Water testingby the FederalMinistry ofWaterResources

Cost ofmitigations:Included inconstructioncontract(s)Cost ofmonitoring(water testing):USD 5,000 peryear duringoperations

ConstructionandOperationsphases


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Cost Estimate(USD)

TimeHorizon

Components 1A(Addis) and 2A(secondary cities):Construction andoperation of newdrilled wells(continued)

Waste material extracted from thewell or waste drilling cuttings anddrilling mud (boreholes)

- Waste drilling cuttings (innocuous rock cuttings extractedfrom drilled wells) to be dried, spread on site, andrecontoured if needed

- Drilling mud to be recycled in the hole during drillingfrom a mud pit per usual drilling practice,

- After completion of drilling, drilling mud to be disposedof in authorized landfills, or dried and properly mixedwith earth and spread in the site vicinity if proved to beinnocuous (see details on the related procedure inAppendix 5)

- Topsoil to be separately stored and spread on site on topof other materials

- Visual inspectionof well site

- Drilling workssupervision

- Visual inspectionof well site

Contractors undersupervision byimplementingagency


Cost ofmitigationsincluded inconstructioncontract(s)

Constructionphase

Component 1A(Addis)Rehabilitation andincrease in storagecapacity of LegedadiDam, implementationof therecommendations ofthe dam safetyassessment, andupgrades at the watertreatment plant

- Increased traffic on accessroads

- Limited topsoil erosionwhere earthmoving

- Loss of flora and fauna in thefootprint of staging areas

- Temporary increase inSuspended Solids contentdownstream the dam

- Application of Environmental Guidelines forConstruction Contractors (Appendix 5)

- Identification at screening stage of any endangered orthreatened species, specific ESIA required if any isidentified, and mitigation as per specific ESIA

- Storage of stripped topsoil away from drainage paths- No earthmoving works during rains

- Compliance withspeed limits –chance checks

- Numbers of trafficincidents involvingthird parties or not– reported monthly

- Measurement ofTSS content 200 mand 1kmdownstream theworks on amonthly basis

Implementingagency (AAWSA)and constructioncontractor

Implementingagency(AAWSA)

Cost ofmitigations:Included inconstructioncontract(s)Cost ofmonitoring:USD 10,000

Constructionphase

Components 1A(Addis) and 2A(secondary cities):Operation of rawwater treatment plants

Impact of improper disposal ofused reagents and treatmentsludge

- Prior to disposal, used reagents to be stored safely on sitein fenced and covered structures away from third parties’potential intrusion and away from drainage paths

- Used reagents to be disposed of in an approvedelimination site after approval by the Competent Agency(Regional or Federal EPA)

- No discharge of any used reagent in a water body- Raw water treatment sludge to be recycled, disposed of in

an approved landfill, or dried and spread at the vicinity ofthe site if no alternative exists

- Compliance checkthrough periodicsite inspection

- Implementingagency(AAWSA forAddis, TownWater Boardsfor secondarycities)

- Water systemoperator ifoperation isprivatized

Federal Ministryof WaterResources,Regional EPAand Federal EPA

USD 20,000 peryear for disposalof used reagentsand treatmentsludge

Operationphase

Components 1A(Addis) and 2A(secondary cities):Construction oflatrines

Impact of latrines and otherindividual sanitation systems ongroundwater in situations wherewater table is shallow

- Avoidance of latrines where highest groundwater level isless than 2 meters under the bottom of latrine pits orinfiltration pits

- Siting of latrines at more than 50 meters distance of anygroundwater well, public or private - Identification ofwater usages at screening stage where latrines areconsidered and application of distance rules mentionedabove under drilled wells

- Compliance withdistances

Implementingagencies for eachsub-project


Included innormal projectsupervision

Constructionphase


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Cost Estimate(USD)

TimeHorizon

Components 1A(Addis) and 2A(secondary cities):Operation of latrines

Poor operation of the emptyingservices, with associated healthhazards

- Use of competing private operators with trained personnelcharging an affordable price for adequate quality service

- Control of discharges by emptying operators with finesaccording to Ethiopian law for any violation

- Monitoring oflatrines constructedby UWSS on ayearly basis andcheck thatemptying servicesare adequatelyoperating

AAWSA for Addis,Town Water Boardsfor secondary cities

EPA andMinistry ofWater Resources

Recurrent costnot to becovered byproject

Operationphase

Components 1A(Addis) and 2A(secondary cities):Construction of newsewerage lines and/orexpansion of existingones

- Increased traffic on accessroads

- Limited topsoil erosionwhere earthmoving

- Loss of flora and fauna in thefootprint of trenches andstaging areas

- Land acquisition

- Application of the general Environmental Guidelines forConstruction Contractors

- If screening reveals that endangered or threatened flora ispresent in the sub-project footpring, an ESIA will becarried out

- Land to be compensated according to provisions of theResettlement Policy Framework

- Contractorcompliance

- Monitoringindicators as perRPF for landacquisition

AAWSA for Addis,Town Water Boardsfor secondary cities

EPA andMinistry ofWater Resources

To bedetermined afterscreening

Constructionphase

Components 1A(Addis) and 2A(secondary cities):Operation ofsewerage lines

- Spillage of waste water intothe environment withassociated health hazards forworkers and third parties

- Use of reliable contractors with trained personnel for anyoperation on operational sewer lines

- Personnel must use PPE- Third parties kept away from work site by proper

signposting- Vacuum trucks kept available for any major intervention

on operational sewer lines

- Absence of spillageof waste water intothe environment

Sewerage systemoperator

Regional orFederal EPAImplementingagencies foreach sub-project

Included in costof intervention

Operationphase

Components 1A(Addis): Constructionof waste watertreatment plant

Impact of effluent discharge onwater bodies

- Application of the general Environmental Guidelines forConstruction Contractors

- Sensitivity analysis of the receiving water body, andESIA if warranted after screening – treatment leveldesign based on World Bank effluent dischargeguidelines and on the ESIA results

- Measures of waterquality parametersin the dischargedeffluent as perAppendix 4 on asix-monthly basis

- Ecologicalmonitoring of thereceiving waterbody



USD 4,000 peryear

Constructionphase

Components 1A(Addis): Operation ofwaste water treatmentplant

Impact of effluent discharge onwater bodies

- Compliance with maximum effluent discharge values asstated in Appendix 4

- Effluent analysison a six-monthlybasis with analysisof those parametersaddressed inAppendix 4



USD 4,000 peryear

Operationphase


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Cost Estimate(USD)

TimeHorizon

Components 1A(Addis) and 2A(secondary cities):Construction of waterpoints in general

Conflicts between users in thecase of a reduction of flow relatedwith a water intake or catchment

- Identification of water users ahead of sub-projectdesign

- Consultation with groups of water users during sub-project design

- In the most difficult situations, involvement of localauthorities at an adequate level and mediation in viewof reaching a formal agreement, that may includecompensation of the impact at community level (seebelow)

- Community-level compensation of adverse impactswhere these are unavoidable (for instance, if a river thatwas used by a rural community for water supply isaffected by an intake for an urban settlement, theUWSS should consider building an alternative waterpoint for this rural community)

- List ofcommunities usingwater downstream

- Records ofconsultation withneighbouring users

- Records ofconsultation withlocal authorities

- Records ofcompensationpayment or ofcommunitycompensationeffected



To bedetermined atscreening stage

Constructionand operationphases

Components 1A(Addis) and 2A(secondary cities):Operation of watersystems in general

Water will have to be paid for,which may be detrimental to thepoorest in the town or community

- Town water board to decide on water tariffs, including(if needed) specific rules applying to the poorest

- Town water board or community water userscommittee to be provided guidance on how todetermine water tariffs

- Access ofvulnerable peopleto water (survey ofwater users)

- Records ofawareness and/ortraining sessions

Water boards World Bank Included inoperation cost

Operationphase

Components 1A(Addis) and 2A(secondary cities):Construction of watersystems in general

Land needs - Avoidance through resiting/rerouting of any impact oninhabited dwellings or structures used for commercialactivities or other businesses

- Cash compensation of developments or crops affectedby project land requirements

- Land replacement if land take by project is significantenough to affected users’ livelihood

- Monitoring of how affected people restore theirlivelihood after being compensated

- See Resettlement Framework Policy for further details

- Number ofdwellings affected,number ofdwellings avoided

- Cash compensationactually paid

- Land replacementactually effected

- Livelihoodmonitoring throughincome survey



To bedetermined atscreening stage

Constructionphase


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Capacity Building and Training DEVELOPING AWARENESS OF THE ESMF PROCESS

The following institutions will need environmental training to ensure effective implementation of the ESMF:

- The main implementing agency AAWSA (about 5 staff members directly involved in the implementation of the UWSS),

- Professionals involved in the UWSS at the Federal Ministry of Water Resources, (about 3 staff members directly involved in the implementation of the UWSS),

- The Ethiopian Environmental Protection Agency (about 3 individuals), - Regional Environmental Protection Agencies where these exist (about 3 individuals for

each of the two existing regional EPAs), - Representatives of town water boards (about 3 for each of the 4 secondary city water

boards), and professionals involved with water supply and sanitation at the municipal levels (about 3 technical staff members for each water system),

- Environmental Focal Points at the woreda level/municipalities (about two for each of the interested municipalities),

- Consultants (about 5 individuals). It is recommended to organize, prior to UWSS kick-off, a three-day workshop where the ESMF will be presented and discussed, particularly the following aspects:

- Review of the Ethiopian environmental policies, laws, regulatory and administrative frameworks,

- Review of the World Bank’s safeguard policies, - Screening process (with one practical exercise on a real site), - ESMP and environmental guidelines applicable to construction contractors, - Environmental and social screening process (with one practical exercise on a real site), - Assignment of environmental categories, - Carrying out of the environmental work as discussed in the ESMF, - Review and clearance of the screening results and separate EIA reports, - Public consultation, - Environmental monitoring and evaluation in the context of the UWSS project, - Environmental guidelines applicable to construction contractors, - Environmental issues in Ethiopia such as soil erosion, wind erosion etc. - Waste management issues (safe disposal of asbestos, waste water disposal, construction

waste disposal etc.) - Malaria measures with support from the Ministry of Health - Social impacts as per RPF.

This workshop should also aim at reviewing and refining some aspects of the process, particularly the forms, toolkits and guidelines proposed in this ESMF, in view of their smooth implementation by the different parties involved in the process of implementing the UWSS. This workshop would be facilitated by one specialized Ethiopian environmental consultant and one specialized Ethiopian social consultant, with participation in the training from:

- The Federal EPA, for aspects pertaining to environmental regulations and environmental management in Ethiopia,

- The World Bank, for aspects related with WB safeguard policies, - The Ministry of Water Resources, - The Ministry of Health, for aspects related with health hazards, including HIV/AIDS

and malaria control, - The Ministry in charge of culture for aspects related with management of cultural

resources.


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The workshop will be organized in Addis Ababa. Its cost is estimated as follows: - Participants’ per-diem, including accommodation and meals: - USD 80 per day x 3 days x 50 participants - Sub-total: USD 12,000 - Consultants’ fees: - 10 days (including preparation) x 2 consultants x USD 200 per day - Sub-total: USD 4,000 - Logistics of the workshop, including participants’ transport from secondary cities,

meeting room and transport to site for practical exercise: USD 8,000 - Contingencies: USD 3,000 - Total: USD 27,000

DEVELOPING CAPACITY IN PUBLIC CONSULTATION AND ENVIRONMENTAL SCREENING

As mentioned above in this document, public consultation is an area where capacity needs to be enhanced. Environmental screening is clearly a domain where capacity of future project implementers remains low and also needs to be built. Thus, environmental training to ensure effective implementation of the ESMF will be addressed in a proposed 4-day workshop targeting the following public:

- Technical staff (engineers and technicians) and environmental specialists from implementing agencies,

- Town water boards, - Engineers and technicians and environmental specialists in municipal authorities with

potential involvement in water and sanitation issues, - Engineers and technicians, including a forester, at the Federal Ministry of Water

Resources, - Federal EPA and regional EPAs technical staff, - Staff from selected construction contractors.

This workshop, to be facilitated by three Ethiopian consultants (one public involvement / communication specialist, one social specialist, and one environmentalist), will address the following topics:

- Public consultation (1.5 day): - The benefits of public consultation, - World Bank requirements related with public consultation, - Methods for public involvement, - Areas of the UWSS where public consultation is required, - UWSS public consultation process in view of the ESMF and RPF requirements, - Case studies, - Public consultations during sub-project design - Environmental screening process (2.5 days): - Refreshment session on the ESMF process, with focus on the screening process, - Case studies based on a categorization of common cases (wells and groups of wells,

pipelines, waste water treatment ponds, rehabilitation works), - At least two practical exercises on real project sites, - Discussion of, and amendments to, the environmental screening form.

The workshop will be organized in Addis Ababa. Its cost is estimated as follows:

- Participants’ per-diem, including accommodation and meals: - USD 80 per day x 4 days x 25 participants - Sub-total: USD 8,000 - Consultants’ fees: - 10 days x 3 consultants x USD 200 per day - Sub-total: USD 6,000


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- Logistics of the workshop, including participants’ transport from secondary cities, meeting room and transport to sites for practical exercise: USD 12,000

- Contingencies: USD 4,000 - Total: USD 30,000

TRAINING AND TECHNICAL ASSISTANCE TO PROJECT IMPLEMENTERS

It is recommended to hire a specialized environmental consultant for the duration of the Project implementation, with the following scope of work:

- Continuation and refreshment of training of local project implementers in environmental screening,

- Initial review and check of screening forms before they are reviewed by the Competent Agency,

- Review and update of the provisions in this ESMF (particularly the Environmental and Social Management Plan outlined above in Section 5 and the Environmental Guidelines for Construction Contractors), in light of the actual development of the sub-projects,

- Fine-tuning of ToRs for ESIAs, if any, - Initial review of draft ESIAs.

Applicants for this position should have at least 10 years of experience in environmental work in Ethiopia with a proven track record of cooperation with the EPAs, be fluent in English and Amharic, and be conversant with World Bank policies. The services of this consultant are estimated as follows:

- 6 months of part-time services at project inception (about 2 weeks a month), - On-call basis for the rest of the Project duration (estimated on the basis of 5 days a

month for 18 months). The cost of these services is estimated as follows:

- Fees: - 6 months x USD 3,000 per month x ½ = USD 9,000 - 18 months x 5 days/month x USD 200 per day = USD 18,000 - Transport and logistics: - 6 months x USD 100 per day x 15 days per month = USD 9,000 - 18 months x USD 100 per day x 5 days per month = USD 9,000 - Contingencies: USD 5,000 - Total cost: USD 50,000

SUMMARY: TOTAL COST OF CAPACITY-BUILDING AND TECHNICAL ASSISTANCE

The total cost of capacity-building and technical assistance is the following: - ESMF awareness workshop: USD 27,000 - ESMF training workshop: USD 30,000 - Capacity-building and technical assistance consultant: USD 50,000 - Total: USD 107,000


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IMPLEMENTATION RESPONSIBILITIES The following table shows the proposed share of responsibilities between the different organizations involved in the implementation of the UWSS in the implementation of the Environmental Management Process. Table 8: Environmental Management Process – Implementation Responsibilities

Level Responsibilities

Implementing Agencies: Town Water Boards (or AAWSA in the case of Addis)

- Hire (under AAWSA on behalf of other implementing agencies) the Capacity-Building Consultant

- Contract consultants for EIAs of Category B2 Projects based on ToRs prepared by the Capacity-Building Consultant and reviewed by Competent Agency (Federal or Regional EPA)

- Designate focal staff (at least 2) that will take responsibility for environmental screening and generally for environmental management and get trained accordingly by the Capacity-Building Consultant – this staff will ultimately prepare Environmental and Social Screening Forms and supervise the implementation by contractors of the Environmental Guidelines for Construction Contractors

- Designate technical supervisor of works, who, in the absence of the environmental focal staff mentioned above, will supervise the implementation by contractors of the Environmental Guidelines for Construction Contractors

- Prepare (see above) environmental screening forms for all sub-projects and submit them to the Competent Agency and to the World Bank

- Take responsibility for and supervise the implementation of environmental mitigation measures at construction phase as per Table 7 above, including those related to land occupation and compensation

- Take responsibility for and supervise the implementation of environmental mitigation measures during operation phase as per Table 7 above

- Take responsibility for and supervise the implementation of monitoring measures as per Table 7 above

- Provide an annual environmental monitoring report to the review of the Ministry of Water Resources and the Competent Agency (Federal or Regional Agency)

Construction contractors - Implement Environmental Guidelines for Construction Contractors


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Operation contractors - Under the general responsibility of Implementing agencies, implement environmental mitigation measures related with operation (for example waste/reagents management) and report on implementation of the mitigation measures and monitoring

Capacity Building Consultant

- Continuation and refreshment of training of local project implementers in environmental screening

- Initially, preparation with Implementing Agencies’ focal staff of Environmental and Social Screening Forms

- Ultimately, review and check of screening forms prepared by focal staff before they are reviewed by the Competent Agency

- Review and update of the provisions in this ESMF (particularly the Environmental and Social Management Plan outlined above in Section 5 and the Environmental Guidelines for Construction Contractors presented in Appendix 5), in light of the actual development of the sub-projects

- Fine-tuning of ToRs for ESIAs, if any

- Initial review of draft ESIAs

EIA Consultants - Develop EIAs where required (Category B2 sub-projects)

Region: Regional EPA (where they exist – if not, their roles as the “Competent Agency” to be assumed by the Federal EIA)

- Participate in the finalization of the screening forms based on the framework proposed in this ESMF

- Review and clear screening forms submitted by implementing agencies or consultants

- Supervise the development by consultants of EIAs where required (Category B2 sub-projects), review Terms of Reference, review draft EIAs, participate in public consultation

- Supervise the monitoring of construction environmental mitigations implemented by construction contractors

- Supervise the monitoring of operation environmental mitigations implemented by towns and/or operation contractors

- Supervise the implementation of this ESMF in the region

Federal: Ministry of Water Resources

- Supervise the overall implementation of this ESMF

- Provide an overall annual environmental monitoring report to the review of the Federal EPA and the World Bank


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Federal: EPA - Review the draft ESMF - Review EIAs for Schedule 2 sub-projects per process

outlined in section 5.6

- Monitor the overall implementation of this ESMF

- Assume roles presented in this table as belonging in regional EPAs where these regional EPAs do not exist

World Bank - Review the draft ESMF - Review EIAs for Schedule 2 sub-projects per process

outlined in section 5.6

- Monitor the overall implementation of this ESMF, including the review of annual environmental reports provided by the Ministry of Water Resources


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Monitoring and REporting MONITORING

Table 7 above presents monitoring indicators that will be used throughout construction and operation phases, together with an estimate of the cost and the proposed allocation of responsibilities for monitoring.

REPORTING

Screening Forms

Screening forms will be submitted by implementing agencies (AAWSA or cities) consistent with the draft form proposed in Appendix 3. Annual Reports

Each of the implementing agencies (AAWSA for Addis and Town Water Boards for other cities) will develop a brief annual environmental monitoring report to the review of the Ministry of Water Resources and EPA. The report contents will be the following:

- A summary of Environmental Screening forms, with a table summarizing which sub-projects have been assigned each of the screening categories,

- A summary of EIAs developed during the year; - A summary of environmental monitoring carried out on systems at both construction

and operation phases. These regional reports will be consolidated and summarized into a federal level annual report to be prepared by the Ministry of Water Resources and the World Bank.


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APPENDICES


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Appendix 1: LIST OF ACRONYMS

BOD Biochemical Oxygen Demand

BOD5 Biochemical Oxygen Demand in 5 days

COD Chemical Oxygen Demand

EA Environmental Assessment

EBA Environmental Baseline Assessment

EIA Environmental Impact Assessment

ESMP Environmental and Social Management Plan

EPA Ethiopian Environmental Protection Agency

ESIA Environmental and Social Impact Assessment

ESMF Environmental and Social Management Framework

IEE Initial Environmental Examination

MDG Millennium Development Goals

M&E Monitoring and Evaluation

MWR Ministry of Water Resources

NGO Non Governmental Organization

OD Operational Directive

OP Operational Policy

OPN Operational Policy Note

RAP Resettlement Action Plan

RECC Regional Environmental Coordination Committee

RPF Resettlement Policy Framework

TSS Total Suspended Solids

WB World Bank

UWSS Urban Water Supply and Sanitation


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Appendix 2: TYPICAL SCOPE OF WORK FOR AN ESIA Typical ESIA Scope of Work

1. The Consultant will develop an ESIA for the following sub-project within the Urban Water Supply and Sanitation (include description of the sub-project). 2. In preparing the ESIA, the Consultant will conform with the following set of regulations and policies:

- Ethiopian environmental regulations, - The World Bank’s OP 4.01 and other applicable safeguard policies, - The UWSS Environmental and Social Management Framework (ESMF).

3. The Consultant’s scope of work will include:

- Initial consultation: o with the implementing agency (identify the implementing agency), o with the EPA at federal level, o with the regional EPA, o with the World Bank’s country office,

- Review of the regulatory and policy background: o Based on Ethiopian pieces of legislation and regulation identified in the ESMF, the

Consultant will identify any relevant changes occurred since the time the ESMF was prepared, and identify the practical implications thereof in preparing the ESIA,

o Based on World Bank policies identified as applicable in the ESMF, the Consultant will review any relevant changes and identify practical implications thereof,

o The Consultant will summarize in the ESIA report the applicable regulatory and policy background with a focus on practical implications in terms of:

� ESIA process, including public consultation and disclosure, � ESIA scope of work, � Contents of the ESIA report

- Sub-project description: o Based on documentation prepared by the implementing agency, the Consultant will

prepare a brief sub-project description, with a focus on those physical components of thte sub-project that may entail environmental and/or social impacts,

o The Consultant will prepare a brief summary of the project description for purpose of presenting the sub-project to identified interested parties;

- Public consultation: o The Consultant will implement the following phases of public consultation, in

coordination with the implementing agency, which may be willing to participate in this public consultation process:

o Identification of interested parties (beneficiary neighboring communities, communities potentially affected by the sub-project, downstream water users, local authorities, regional authorities);

o Initial step of consultation, before further environmental assessment work is undertaken: one initial meeting with each of the identified parties, presenting the sub-project and seeking input on the scope of work for further environmental assessment work;

o Second step of consultation, after further environmental assessment work is complete: presentation of the results of the environmental assessment, including presentation of identified impacts and proposed mitigations, seeking input on these proposed environmental management measures; this second step will include dissemination to identified interested parties of a brief summary of the environmental assessment in local language (generally Amharic and/or Oromigna);

o Any public consultation meeting undertaken by the Consultant will be documented using the form appended to these Terms of Reference (see Appendix 6);


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o Main issues raised during consultation meetings will be summarized in the ESIA report, with a description of the manner in which these issues were addressed in the ESIA process;

- Baseline assessment: o The baseline assessment will address:

� Physical and bio-physical environment (climate, topography at the sub-project site(s), geology, hydrogeology, surface water, soils, erosion sensitivity, flora, fauna, including the identification of any protected or endangered species),

� Land use at the sub-project site(s) and in its (their) vicinity, � Human environment: description of neighboring communities (population size,

population structure and demography, socio-political organization, livelihoods, access to public services),

o The baseline assessment will be summarized using the format presented in the “typical ESIA report structure” hereunder;

� Reports of field observations and bibliography used will be presented as appendices;

- Impact assessment: o The methodology for impact assessment shall be briefly presented; o Typically, impacts will be assessed along the following lines:

� Extension in space, � Duration in time, � Probability of occurrence, � Magnitude

o The combination of these parameters will be summarized in an all-encompassing measure of “significance”, which will be the basis for impact assessment and prioritization of mitigations;

o Where changes in the project design (such as the re-siting or re-routing of a sub-project facility) may allow to eliminate one or several identified impacts, these changes (and generally any project alternative) will be discussed;

- Mitigations and ESMP: o Based on the typical Environmental and Social Management Plan (ESMP) presented in

the UWSS Environmental and Social Management Framework, the Consultant will develop a sub-project ESMP, which will include as a minimum for each identified impact:

o A description of the mitigation measures, o A description of monitoring measures, o Implementation responsibilities, o Cost, o Assessment of residual impact after implementation of the mitigation; o If any changes to the Environmental Guidelines for Construction Contractors presented as

an appendix to the ESMF are warranted, the Consultant will propose such changes. - Deliverables:

o The Consultant will produce: o A summary project description in local language for purposes of public consultation (see

above), o A draft 1 ESIA report for submission to the Client, o After initial Client’s comments have been included in a revised version, a draft 2 ESIA

report, including a brief summary in local language for purposes of public consultation, o After public consultation results have been included, a final ESIA report for public

disclosure according to arrangements presented in the ESMF.

Typical Structure of an EIA Report

1. Executive summary 2. Introduction


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- Scope of the EIA - Team in charge of the EIA, with list of consultants involved and task of each - Summary of requirements applying to the EIA: - General Ethiopian legal requirements - ESMF requirements - RPF requirements - Other World Bank requirements if applicable - Time frame for implementation of the EIA

3. Description of the Proposed Development Sub-Project

- Technical components, including description of the methods used for construction and operation

- Outline of the main alternatives - Sub-Project decommissioning at the end of the operation period - Implementation arrangements - Implementation schedule and cost

4. EIA Methods

- Terms of Reference of the EIA, and process through which they were arrived at - Description of the methods used for the EIA, including description of field

investigations, mathematical models, social investigations, available literature - Description of standards and guidelines used - Statement on the extent of involvement - Identification of information gaps and uncertainties

5. Consultation

- Identification of interested parties - Description of consultation with affected parties (timeframe, methods) - Main issues arising from consultation and how they were addressed in the ESIA process

6. Description of the baseline environmental, socio-economic and health conditions

- Focus of the baseline assessment depending on the nature of the sub-project and on its likely impacts

- Description of the physical environment (climate, topography, geology, hydrogeology, surface water, soils in the sub-project area)

- Flora and fauna – brief description of the baseline situation at the project site, with a specific focus on endangered species if any, and assessment of the general biodiversity situation in the project area

- Description of the human environment: o Identification of neighbouring communities, description thereof – demography, socio-

political organization), o Land use pattern, land tenure, and related social organization, o Livelihoods o Water usages o Noise

- Health situation 7. Project Impacts

- Generally, prediction and assessment of each impact at all stages of the project cycle for each alternative, including, but not limited to;


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- Construction phase o Employment o Impact on land use o Impact on flora and fauna, with a specific focus on endangered species if any o Noise and Vibration o Dust o Impact on ground water quality o Impact on surface water quality (related with erosion at the vicinity of the work site for

example) o Impact on surface water usage o Impact on ground water usage o Impact on soils (compaction by drilling equipment, removal of top soil) o Potential uses of the environment that will be affected

- Operation phase o Impact on ground water levels, flow and quality o Impact on surface water (quantity - flow, quality) o Impact on surface water usage with a focus on potential conflicts between upstream and

downstream users if relevant o Impact on ground water usage o Impact of changes in water regimes on flora and fauna, and bio-diversity in general, with a

specific focus on wet zones if any o Potential uses of the environment that will be affected

- Decommissioning phase - Summary table assessing the significance of each identified impact in terms of

magnitude, extension, duration or frequency of occurrence and probability of occurrence 8. Consultation Process

- Description of the consultation process (who was consulted, how, when) - Results: main issues raised and how they are addressed in the project design and in the

EIA in general 9. Mitigation Measures

- Table showing for each identified impact at each of the main three phases of the project the proposed mitigation measures, with narrative justifying them

- Table showing the residual impacts once the mitigation measures are implemented 10. Monitoring & Evaluation

- Table showing for each identified impact the monitoring measures that will be taken, with indication of indicators used, frequency of measurement, frequency of reporting and any relevant details on the methods to be used for collecting and treating monitoring data

11. Environmental and Social Management Plan (ESMP)

- Table showing for each identified impact both the mitigation and the monitoring measures proposed in the EIA, with for each the implementation arrangements, including responsibilities for implementation, the timeframe, and the budgetary implications


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Appendix 3: PROPOSED ENVIRONMENTAL AND SOCIAL SCREENING FORM The Environmental and Social Screening Form (ESSF) has been designed to assist in the evaluation of sub-projects of the Urban Water Supply and Sanitation Project in Ethiopia. The form is designed to place information in the hands of implementers and reviewers so that impacts and their mitigation measures, if any, can be identified and/or that requirements for further environmental analysis be determined. The ESSF 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 it. The ESSF will also identify potential socio-economic impacts that will require mitigation measures and/or resettlement and compensation. Name of sub-project……………………………………………………. Sector…………………………………………………………………… Name of the Woreda/Town/Municipality in which the sub-project is to be implemented……………………………………………… Name of Implementing Agency…………………………………………… Name of the Approving Authority ………………………………………… Name, job title, and contact details of the person responsible for filling out this ESSF:

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


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PART A: BRIEF DESCRIPTION OF THE SUB - PROJECT

Please provide information on the type and scale of the sub-project (area, required land, approximate size of total building floor area). Provide information about actions needed during the construction/rehabilitation 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 source, access road etc. Describe how the sub-project will operate including support/activities and resources required to operate it e.g. roads, disposal site, water supply, energy requirement, human resource etc.


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PART B: BRIEF DESCRIPTION OF THE ENVIRONMENTAL SITUATION AND IDENTIFICATION OF ENVIRONMENTAL AND SOCIAL IMPACTS

Describe the sub- project location, siting, surroundings (include a map, even a sketch map) ________________________________________________________________________

Describe the land formation, topography, vegetation in/adjacent to the project area ________________________________________________________________________________________________________________________________________________

Estimate and indicate where vegetation might need to be cleared. ________________________________________________________________________________________________________________________________________________

Environmentally sensitive areas or threatened species Are there any environmentally sensitive areas or threatened species (specify below) that could be adversely affected by the project? (i) Intact natural forests: Yes __________No ___________ (ii) Riverine forest: Yes ______________ No ___________ (iii) Surface water courses, natural springs Yes ______________ No ___________ (iv) Wetlands (lakes, rivers, swamp, 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 ______________

Rivers and Lakes Ecology 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.


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Yes ______________ No ______________ Comments:


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Site Hydrogeology (according to available information): Type of aquifer (continuous, fracture) Depth of aquifer Seasonal fluctuations Known quality problems

Surface Water

What is the water course in the surroundings of the site:

Nature (river, stream, spring, lake)

Distance to site

Downstream/upstream the site

Give an assessment of potential water course sensitivity to water point construction and operation

Drainage conditions on-site

Description of present drainage conditions on site (site topography, infiltration capacity of soil): Risks of water retention (site in a low point): Feasibility of simple drainage improvements to eliminate water retention problems:

Water Use and Water Users

Describe the water use in the vicinity of the site Nature of water point

Distance

Downstream/upstream

Type of usage

Give an assessment of potential water use sensitivity to water point construction and operation

Is there potential for conflict between users; if so, how should this conflict be solved?


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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 ____________ If the 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 ____________

Geology and Soils

Describe the Site Geology (according to available geological map): Describe the soil as follows:

Type of soil

Sensitivity to erosion

Extent of erosion already taking place on site

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 _____________

Contamination and Pollution Hazards


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Is there a possibility that the sub-project will be at risks of contamination and pollution hazards (from latrines, dumpsite, industrial discharges, drilling oils etc) Yes _____________ No _____________

Landscape/aesthetics

Is there a possibility that the project will adversely affect the aesthetic attractiveness of the local landscape? Yes __________ No ____________


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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, cemetery, graves, or require excavation? Yes ___________ No ____________ In the event of a chance find, please contact the appropriate authorities: ____________________???.

Resettlement and/or Land Acquisition

Will involuntary resettlement, land acquisition, relocation of property, or loss, denial or restriction of access to land and other economic resources be caused by project implementation? Yes ___________ No _________________ If “Yes” Involuntary Resettlement OP 4.12 is triggered. Please refer to the Resettlement Policy Framework (RPF) for appropriate mitigation measures to be taken.

Loss of Crops, Fruit Trees and Household Infrastructure

Will the project result in the permanent or temporary loss of crops, fruit trees and household infra-structure (such as granaries, outside toilets and kitchens, livestock shed etc)? Yes ____________ No ______________

Block of access and routes or disrupt normal operations in the general area

Will the project interfere or block access, routes etc (for people, livestock and wildlife) or traffic routing and flows? Yes ____________ No ______________

Noise and Dust Pollution during Construction and Operations

Will the operating noise level exceed the allowable noise limits? Yes ___________ No _______________ Will the construction result in emission of significant amounts of dust or hazardous fumes? Yes ___________ No _______________ Will the operation result in emission of significant amounts of dust or hazardous fumes?


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Yes ___________ No _______________


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Degradation and/or depletion of resources during construction and operation

Will the operation involve use of considerable amounts of natural resources (construction materials, water spillage, land, energy from biomass etc.) or may lead to their depletion or degradation at points of source? Yes ___________ No _______________

Will the quarries have to be rehabilitated? Yes ____________________ No________________________

Solid or Liquid Wastes

Will the project generate solid or liquid wastes? (including human excreta/sewage, hospital waste, asbestos) Yes _______________ No ______________ If “Yes”, does the sub-project include a plan for their adequate collection and disposal? Yes _______________No._____________________ Are there guidelines for the safe disposal of asbestos? Yes ________________ No ______________

Public Health

Will the sub-project contribute to an increase in malaria due to an increase in water supply? Yes: ____________________No._______________ Describe the current situation regarding malaria, assess potential impacts due to the sub-project, and recommend an appropriate mitigation measure _______________________________________________________

Occupational health hazards

Will the project require large number of staff and laborers; Yes ________________ No ______________ Will the project require a large/long-term construction camp?


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Yes ________________ No ______________ Are the 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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Could project activities result in accidents and injuries to third parties during construction or operation? Yes ________________ No ______________

Will the sub-project require frequent maintenance and or repair

Yes ________________ No ______________

Public Consultation

Has public consultation and participation been sought? Yes ______________ No _______________ Document meetings in the Meeting Form and attach to this ESSF

PART C: MITIGATION MEASURES

For all “Yes” responses above, describe briefly the measures taken to this effect.

Identified Impact Mitigation


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Sub-Project Categorization (tick applicable box)

CATEGORY A: This sub-project has been categorized as A (Schedule 1) due to one or more major adverse impacts, and therefore cannot be funded under the UWSS Project. It will be either re-designed and re-submitted to the environmental screening process after re-design, or abandoned.

CATEGORY B: This sub-project has been categorized as B (Schedule 2) due to potential environmental issue identified which can be mitigated as follows:

CATEGORY B1: No further Environmental Assessment work required; application of mitigation measures as outlined in the ESMF

CATEGORY B2: Further Environmental Assessment work required: Preparation of a separate ESIA to get a better understanding of the potential environmental and social issues that have been identified in the screening process and develop a specific Environmental and Social Management Plan

CATEGORY C: No significant environmental issue identified, no specific mitigation required; sub-project implementation can proceed. Environmental Guidelines for Construction Contractors shall be appended to construction contract and applied.

Prepared by (name, position, signature): Date:

Reviewed by (name, position, signature): Date:

Cleared by (name, position, signature): Date:

A

C

B

B1

B2


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Appendix 4: PROPOSED Effluent Discharge Requirements Source: World Bank

Parameter Maximum Value Unit

pH 6-9 pH

BOD 50 mg/l

COD 250 mg/l

Oil and Grease 10 mg/l

Total Suspended Solids 50 mg/l

Ammonium 10 mg/l

Phosphorus 2 mg/l

Sulfate 1 mg/l

Coliforms 400 Most probable number per 100 ml

Temperature increase 3 ° C


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Appendix 5: Environmental Guidelines for construction contractors GENERAL: APPLICABILITY OF THESE ENVIRONMENTAL GUIDELINES AND ESMP

1. These general environmental guidelines apply to any work to be undertaken under the UWSS Project. For certain work sites entailing specific environmental and/or social issues, a specific Environmental and Social Impact Assessment, including an Environmental and Social Management Plan (ESMP), has been prepared to address the above-mentioned specific issues in addition to these general environmental guidelines. In addition to these general Environmental Guidelines, the Contractor shall therefore comply with any specific ESMP for the works he is responsible for. The Contractor shall be informed by the Client about such an ESMP for certain work sites, and prepare his work strategy and plan to fully take into account relevant provisions of that ESMP. If the Contractor fails to implement the approved ESMP after written instruction by the works supervisor to fulfill his obligation within the requested time, the Client reserves the right to arrange 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 ESMP where such an ESMP applies. 3. These Environmental Guidelines, as well as any specific ESMP, apply to the Contractor. They also apply to any sub-contractors present on Project work sites at the request of the Contractor with permission from the Client.

GENERAL ENVIRONMENTAL PROTECTION MEASURES

4. In general, environmental protection measures to be taken at any work site shall include but not be limited to: (a) Minimize the effect of dust on the environment resulting from earth mixing sites, vibrating equipment, construction related traffic on temporary or existing access roads, etc. to ensure safety, health and the protection of workers and communities living in the vicinity of work sites and access roads. (b) Ensure that noise levels emanating from machinery, vehicles and noisy construction activities (e.g. excavation, blasting) comply with Ethiopian standards and are generally 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 are maintained and/or re-established where they are disrupted due to works being carried out. (d) Prevent any construction-generated substance, including 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.


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(e) Avoid or minimize the occurrence of standing water in holes, trenches, borrow areas, etc… (f) 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. Restore/rehabilitate all sites to acceptable standards. (g) Upon discovery of graves, cemeteries, cultural sites of any kind, including 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 Client so that the Ministry in charge of Culture may be expeditiously contacted for fulfillment of the measures aimed at protecting such historical or archaeological resources. (h) Prohibit 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. Prohibit explicitly the transport of any bushmeat in Contractor’s vehicles. (i) Prohibit the transport of firearms in Project-related vehicles. (j) Prohibit the transport of third parties in Project-related vehicles. (k) Implement soil erosion control measures in order to avoid surface run off and prevent siltation, etc. (l) Ensure that garbage, sanitation and drinking water facilities are provided in construction workers camps. (m) Ensure that, in as much as possible, local materials are used to avoid importation of foreign material and long distance transportation. (n) Ensure public safety, and meet Ethiopian traffic safety requirements for the operation of work to avoid accidents. (o) Ensure that any trench, pit, excavation, hole or other hazardous feature is appropriately demarcated and signposted to prevent third-party intrusion and any safety hazard to third parties. (p) Comply with Ethiopian speed limits, and for any traffic related with construction at UWSS Project sites, comply with the following speed limits unless Ethiopian speed limits are lower:

- Inhabited areas: 50 km/h - Open road: 90 km/h.

(q) Ensure that, where unskilled daily-hired workforce is necessary, such workers are hired from neighbouring communities. (r) Generally comply with any requirements of Ethiopian law and regulations.


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5. Besides the regular inspection of the sites by the supervisor appointed by the Client for adherence to the Contract conditions and specifications, the Client may appoint an environmental inspector to oversee the compliance with these environmental conditions and any proposed mitigation measures. State or Regional Environmental Authorities may carry out similar inspection duties. In all cases, as directed by the Client’s supervisor, the Contractor shall comply with directives from such inspectors.

DRILLING

6. The Contractor will make sure that any drilling fluid, drilling mud, mud additives, and any other chemicals used for drilling at any UWSS Project construction site complies with Ethiopian health and safety requirements. In general, only bio-degradable materials will be used. The Contractor may be required to provide the detailed description of the materials he intends to use for review and approval by the Client. Where chemicals are used, general prescriptions of the World Bank’s safeguard policy OP 4.09 “Pest Management” shall be complied with. 7. Drilling fluids will be recycled or disposed of in compliance with Ethiopian regulations in an authorized disposal site. If drilling fluids cannot be disposed of in a practical manner, and if land is available near the drilling site that is free of any usage rights, the Contractor may be authorized to dispose of drilling fluids near the drilling site. In this occurrence, the Contractor will be required to provide to the Client due evidence of their total absence of potential environmental impacts, such as leachate tests certified by an agreed laboratory. In this case, drilling fluids will be dried at site, mixed with earth and spread at site. 8. Any site affected by drilling work will be restored to its initial condition. This applies to drilling pads, access roads, staging areas, etc… Topsoil will be stripped ahead of any earthmoving, stored near the construction site, and replaced in its original location after the recontouring of the area affected by the works. 9. Where successive aquifers are intersected by the drilling works, and upon order by the work supervisor, the Contractor may be required to take measures to isolate aquifers from contamination by each other. 10. The Contractor will take all measures to avoid bacteriological or chemical contamination of the intersected aquifers by the drilling equipment. Similarly, the Contractor will take all measures to avoid bacteriological or chemical contamination of the intersected aquifers from the surface by providing an adequately sealed well-head. 11. When greasing drilling equipment, the Contractor will avoid any soil contamination. In the event of a limited hydrocarbon spill, the Contractor will recover spilled hydrocarbons and contaminated soils in sealed drums and dispose of them in an authorized waste management facility. 12. Unless duly requested by the Contractor and authorized by the supervisor, no servicing of drilling equipment or vehicles is permitted at the drilling site.


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PIPELINES

13. No trench shall be left open for more than 7 days, unless duly authorized by the supervisor upon Contractor’s request. Trenches and other excavation works shall be demarcated and/or signposted to avoid third party intrusion. 14. General conditions related with topsoil stripping, storage and restoration apply. 15. The Contractor will take measures to dispose of water used for pressure tests in a manner that does not affect neighbouring settlements.

WASTE MANAGEMENT

16. All drums, containers, bags, etc. containing oil/fuel/surfacing materials and other hazardous chemicals shall be stored at construction sites on a sealed and/or bonded area in order to contain potential spillage. All waste containers, litter and any other waste generated during the construction shall be collected and disposed off at designated disposal sites in line with applicable Ethiopian government waste management regulations. 17. All drainage and effluent from storage areas, workshops, housing quarters and generally from camp sites shall be captured and treated before being discharged into the drainage system in line with applicable government water pollution control regulations. 18. Used oil from maintenance shall be collected, properly stored in sealed containers, and either disposed of appropriately at designated sites or be re-cycled. 19. Entry of runoff into construction sites, staging areas, camp sites, shall be restricted by constructing diversion channels or holding structures such as berms, drains, dams, etc. to reduce the potential of soil erosion and water pollution. 20. Construction waste shall not be left in stockpiles along the road, but removed and reused or disposed of on a daily basis. 21. Where temporary dump sites for clean excavated material are necessary, they shall be located in areas, approved by the Client’s supervisor, where they will not result in supplemental erosion. Any compensation related with the use of such sites shall be settled prior to their use. 22. Areas for temporary storage of hazardous materials such as contaminated liquid and solid materials shall be approved by the supervisor and appropriate local and/or relevant national or local authorities before the commencement of work. Disposal of such waste shall be in existing, approved sites.

QUARRIES AND BORROW AREAS

23. The Contractor shall obtain appropriate licenses/permits from relevant authorities to operate quarries or borrow areas. The location of quarries and borrow areas shall be subject to review and approval by relevant local and national authorities.


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24. New extraction sites: a) Shall not be located less than 1km from settlement areas, archaeological areas, cultural sites – including churches and cemeteries, wetlands or any other valued ecosystem component, or on high or steep ground. b) Shall not be located in water bodies, or adjacent to them, as well as to springs, wells, well fields. c) Shall not be located in or near forest reserves, natural habitats or national parks. d) Shall be designed and operated in the perspective of an easy and effective rehabilitation. 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. e) Shall have clearly demarcated and marked boundaries to minimize vegetation clearing and safety hazards for third parties. 25. 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. 26. Stockpile areas shall be located in areas where trees or other natural obstacles can act as buffers to prevent dust pollution, and generally at a distance from human settlements. Wind shall be taken into consideration when siting stockpile areas. Perimeter drains shall be built around stockpile areas. 27. The Contractor shall deposit any excess material in accordance with the principles of these guidelines, and any applicable ESMP, in areas approved by local authorities and/or the supervisor.

REHABILITATION OF WORK AND CAMP SITES

28. Topsoil shall be stripped, removed and stored for subsequent rehabilitation. Soils shall not be stripped when they are wet. Topsoil shall not be stored in large or high heaps. Low mounds of no more than 1 to 2m high are recommended. 29. Generally, rehabilitation of work and camp sites shall follow the following principles:

- To the extent practicable, reinstate natural drainage patterns where they have been altered or impaired.

- 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.

- Ensure reshaped land is formed so as to be stable, adequately drained and suitable for the desired long-term land use, and allow natural regeneration of vegetation.

- Minimize erosion by wind and water both during and after the process of reinstatement. - Compacted surfaces shall be deep ripped to relieve compaction unless subsurface

conditions dictate otherwise.


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MANAGEMENT OF WATER NEEDED FOR CONSTRUCTION PURPOSES

30. The Contractor shall at all costs avoid conflicting with water needs of local communities. To this effect, any temporary water abstraction for construction needs from either ground or surface water shall be submitted to the following community consultation process:

- Identification of water uses that may be affected by the planned water abstraction, - Consultation with all identified groups of users about the planned water abstraction, - In the event that a potential conflict is identified, report to the supervising authority.

This consultation process shall be documented by the Contractor (minutes of meeting) for review and eventual authorization of the water withdrawal by the Client’s supervisor. 31. Abstraction of both surface and underground water shall only be done with the consultation of the local community as mentioned and after obtaining a permit from the relevant authority. 32. Abstraction of water from wetlands is prohibited. 33. Temporary damming of streams and rivers is submitted to approval by the supervisor. It shall be done in such a way as to avoid disrupting water supplies to communities downstream, and to maintain the ecological balance of the river system. 34. No construction water containing spoils or site effluent, especially cement and oil, shall be allowed to flow into natural water drainage courses. Similarly, wash water from washing out of equipment shall not be discharged into water courses or road drains. Washing bays shall be sited accordingly. Unless site conditions are not favorable, it will generally be infiltrated through soak pits or similar. 35. 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.

TRAFFIC MANAGEMENT AND COMMUNITY SAFETY

36. Location of temporary access roads shall be done in consultation with the local community and based on the screening results, especially in important or sensitive environments. Temporary access roads shall not traverse wetland areas or other ecologically sensitive areas. The construction of any access roads shall be submitted to a prior consultation process with potentially affected communities that will have to be documented (minutes of meetings) for supervisor’s review and approval. 37. Upon the completion of civil works, all temporary access roads shall be ripped and rehabilitated. 38. Measures shall be taken to suppress dust emissions generated by Project traffic. 39. Maximum speed limits for any traffic related with construction at UWSS Project sites shall be the following, unless Ethiopian speed limits are locally lower:

- Inhabited areas: 50 km/h - Open road: 90 km/h.


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SALVAGING AND DISPOSAL OF OBSOLETE COMPONENTS FOUND BY REHABILITATION WORKS

40. Obsolete materials and construction elements such as electro-mechanical equipment, pipes, accessories and demolished structures shall be salvaged and disposed of in a manner approved by the supervisor. The Contractor has to agree with the supervisor which elements are to be surrendered to the Client’s premises, which will be recycled or reused, and which will be disposed of at approved landfill sites. 41. Any asbestos cement material that might be uncovered when performing rehabilitation works will be considered as as hazardous material and disposed of in an designated facility.

COMPENSATION OF DAMAGE TO PROPERTY

42. Compensation of land acquired permanently for Project purposes will be handled under Client responsibility based on the provisions of the RPF. However, in the event that the Contractor, deliberately or accidentally, damages property, he shall repair the property to the owner’s satisfaction and at his own cost. For each repair, the Contractor shall obtain from the owner/user a certificate that the damage has been made good satisfactorily in order to indemnify the Client from subsequent claims. 43. In any case where compensation for inconveniences, damage of crops etc. are claimed by the owner, the Client has to be informed by the Contractor through the supervisor.

CONTRACTOR’S HEALTH, SAFETY AND ENVIRONMENT MANAGEMENT PLAN (HSE-MP)

44. Within 6 weeks of signing the Contract, the Contractor shall prepare an HSE-MP to ensure the adequate management of the health, safety, environmental and social aspects of the works, including implementation of the requirements of these general conditions and any specific requirements of an ESMP for the works. The Contractor’s EHS-MP will serve two main purposes: 45. The Contractor’s HSE-MP shall provide at least:

- a description of procedures and methods for complying with these general environmental management conditions, and any specific conditions specified in an ESMP;

- a description of specific mitigation measures that will be implemented in order to minimize adverse impacts;

- a description of all planned monitoring activities and the reporting thereof; and - the internal organizational, management and reporting mechanisms put in place for

such. 46. The Contractor’s HSE-MP will be reviewed and approved by the Client before start of the works. This review should demonstrate if the Contractor’s HSE-MP covers all of the identified impacts, and has defined appropriate measures to counteract any potential impacts.


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HSE REPORTING

47. The Contractor shall prepare bi-monthly progress reports to the Client on compliance with these general conditions, the sub-project ESMP if any, and his own HSE-MP. The Contractor’s reports will include information on:

- HSE management actions/measures taken, including approvals sought from local or national authorities;

- Problems encountered in relation to HSE aspects (incidents, including delays, cost consequences, etc. as a result thereof);

- Non-compliance with contract requirements on the part of the Contractor; - Changes of assumptions, conditions, measures, designs and actual works in relation to

HSE aspects; and - Observations, concerns raised and/or decisions taken with regard to HSE management

during site meetings. 48. The reporting of any significant HSE incidents shall be done as soon as practicable. Such incident reporting shall therefore be done individually. The Contractor should keep his own records on health, safety and welfare of persons, and damage to property. It is advisable to include such records, as well as copies of incident reports, as appendixes to the bi-monthly reports. Details of HSE performance will be reported to the Client.

TRAINING OF CONTRACTOR’S PERSONNEL

49. The Contractor shall provide sufficient training to his own personnel to ensure that they are all aware of the relevant aspects of these general conditions, any project ESMP, and his own HSE-MP, and are able to fulfill their expected roles and functions. Specific training will be provided to those employees that have particular responsibilities associated with the implementation of the HSE-MP. Training activities will be documented for potential review by the Client. 50. Amongst other issues, training will include an awareness session for all employees on HIV-AIDS addressing the following topics:

- What is HIV/AIDS? - How is HIV/AIDS contracted? - HIV/AIDS prevention.


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Appendix 6: Consultation Meeting Form Consultation meeting form (page 1of 2)

Date: Sub-Project: Location: Kebelle: Woreda: Region: Attendees (full name and position if relevant): UWSS Project: -

---

Other stakeholders: --------

Meeting Agenda and Purpose:

Brief Summary of the Meeting:


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Consultation meeting form (page 2 of 2)

Main Issues for Follow-Up:

Description of the Issue Raised by Proposed follow-up action To be doneby

Comments


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Prepared by:


Documents

E1566 Public Disclosure Authorized - World Bankdocuments.worldbank.org/curated/en/853431468035676346/... · 2016-07-14 · FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA ADDIS ABABA W ATER