Public Disclosure Authorized - All Documentsdocuments.worldbank.org/curated/en/... · P.O.Box. 9834 Addis Ababa, Ethiopia Tel: +251 -1- 440 02 41 ... Gender Mainstreaming Directorate

JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia

Environmental and Social Management Framework (ESMF) i

FEDERAL REPUBLIC OF ETHIOPIAN MINISTRY OF MINES

Volume I: Environment and Social Management Framework (ESMF)

(Final Report)

Support to Improve the Economic, Social and Environmental

Sustainability of Artisanal Miners Project on ESMF

Sponsored By: The World Bank

Prepared By:-

Eng. Assefa Bekele, Consultant

P.O.Box. 9834 Addis Ababa, Ethiopia

Tel: +251 -1- 440 02 41

Mob: +251 -9- 51 32 53

E-mail: [email protected]

October 2012

Addis Ababa, Ethiopia

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Environmental and Social Management Framework (ESMF) ii

Acknowledgment

The Consultant, Eng Assefa Bekele, is highly grateful to the Ethiopian Federal Ministry of Mines,

and (Oromiya Regional State Mines and Energy Bureau Offices without the support and

cooperation of whom this study would have not been possible.

Mr.Andre of the World Bank deserves special thanks for his all round cooperation in the course

of the study. I highly appreciate his commitment to the success of this project which he showed

up by closely following up every activity, strictly reviewing the draft reports of ESMF and RPF

document and forwarding valuable comments that helped me to further enrich the final study

documents.

Many thanks go to Mrs. Sofia Mahamed, Gender Mainstreaming Directorate Director and Project

Coordinator (MoM), for her kind cooperation and facilitating the task of the consultation study.

She greatly helped to fine tune the methodology of the study and meticulously reviewing the

draft reports of ESMF and RPF document and forwarding important comments.

I’m grateful to Mr. Tamirat Mojo, Artisanal Mining and Transaction Coordinating Directorate

Director (MoM), for providing current information and giving a precious feedback on issues

concerning the Ethiopian artisanal mining actively operating in different regions of the country.

I would also like to thank Dr.Asferachew Abate (Environmental Specialist) and Mrs. Desta

Solomon (Resettlement Specialist) of the World Bank who has undertaken a strong review and

forwarded precious comments on the ESMF and RPF studies. They generously shared me their

wealthy experience relevant to the environment and resettlement aspects of the study.


Environmental and Social Management Framework (ESMF) iii

Table of Contents

EXECUTIVE SUMMARY ............................................................................................................. 1

1 INTRODUCTION .................................................................................................................. 4

1.1 Background ................................................................................................................... 4

1.2 1.3 Objective of the ESMF ......................................................................................... 6

1.3 1.4 Scope of the ESMF ............................................................................................. 6

2 DESCRIPTION OF THE SUPPORT PROJECTS ................................................................. 7

2.1 Background ................................................................................................................... 7

2.2 Components of the Support Project ............................................................................... 8

2.3 Rationale for the ESMF ................................................................................................. 9

2.4 Public Disclosure ......................................................................................................... 11

3 ORGANIZATIONS RESPONSIBLE FOR IMPLEMENTATION OF THE SUBPROJECTs ... 12

3.1 Federal Organizational Responsibilities....................................................................... 13

3.2 Regional Organizational Responsibilities ..................................................................... 14

3.3 Local Governments Responsibilities ............................................................................ 14

4 THE ARTISANAL MINING SITUATION AND ENVIRONMENTAL CONTEXT .................... 15

4.1 Population Engaged in the Artisanal Mining Activity .................................................... 15

4.2 Characteristics of the Artisanal Mining Operators ........................................................ 16

4.3 Type of Artisanal Mining Operation ............................................................................. 17

4.4 Mining Techniques and Tools ...................................................................................... 17

4.5 Gender Mainstreaming ................................................................................................ 18

4.6 Environmental Impacts Associated with Artisanal Mining Activities ............................. 20

5 LEGAL, POLICY AND Administrative Framework .............................................................. 22

5.1 Relevant Legislation and Policy ................................................................................... 22

5.2 Administrative Structure for Environmental Management ............................................ 26

5.3 World Bank Safeguard Requirements ......................................................................... 26


Environmental and Social Management Framework (ESMF) iv

6 Description of Significant Adverse Environmental IMPACTS AND Social Risks and

Mitigation Measures ........................................................................................................... 27

6.1 Potential Impacts and Mitigation Measures ................................................................. 27

6.2 Analysis of Alternatives ............................................................................................... 29

7 Environmental and social Management Plan ...................................................................... 31

7.1 Basic Principles ........................................................................................................... 31

7.2 7.2 ESMF Procedures ............................................................................................ 32

7.3 7.2.2 Step2-Screening of the Subprojects ............................................................... 33

7.4 7.3 Guidelines for Subprojects Requiring Special Attention .................................... 37

7.5 7.4 Implementation of Mitigation Measures ............................................................ 38

8. CAPACITY BUILDING ....................................................................................................... 39

7.6 Institutional Capacity for ESMF Implementation .......................................................... 39

7.7 Proposed Training and Technical Assistance Topics................................................... 40

9. MONITORING OF ESMF IMPLMENTATION ..................................................................... 40

7.8 Supervision and Process Monitoring ........................................................................... 40

7.9 Results of Monitoring ................................................................................................... 41

10. PROPOSED IMPLEMENTATION BUDGET ....................................................................... 42

ANNEX 1: SUBPROJECTS SCREENING FORM .................................................................... 44

ANNEX 2: LIST OF CONTACTED PERSONS and Institutions ................................................. 47

ANNEX 3: TERMS OF REFERENCE (TOR) AND SCOPE OF SERVICES ............................... 48

ANNEX 4: REFERENCE .......................................................................................................... 52

v

Environmental and Social Management Framework (ESMF) v

ABBREVIATIONS AND ACRONYMS

AM Artisanal Mining

ASM Artisanal and Small - Scale Mining

EA Environmental Assessment

EIA Environmental Impact Assessment

EPA Environmental Protection Authority

ESIA Environmental and Social Impact Assessment

ESMF Environmental and Social Management Framework

FMoM Federal Ministry of Mines

JSDF Japan Social Development Fund

MoARD Ministry of Agriculture and Rural Development

MoH Ministry of Health

MoM Ministry of Mines

OWMEB Oromia Water, Minerals and Energy Bureau

RPF Resettlement Policy Framework

VIPL Ventilated Improved Pit Latrine


Environmental and Social Management Framework (ESMF) 1

EXECUTIVE SUMMARY

Support to Improve the Economic, Social and Environmental Sustainability of Artisanal

Miners Project in Ethiopia financed by the Japan Social Development Fund (JSDF) will

operate in four to six regional governments (Oromiya, Amhara, Tigray, Afar, Benishangul-

Gumuz and SNNPRS) targeting a total of 15 – 20 Artisanal mining communities in these

regional states. The Support Project has the following subprojects (components)

Component 1- Baseline Assessment, Strategy Design and Environmental Safeguards

Management;

Component 2- Capacity Building, Training and Support to Enhance the Sustainability of ASM

Communities;

Component 3- Improvement of Basic Services and Access to Health Facilities to Improve

the Social Sustainability of ASM Communities; and

Component 4- Grant Supervision and Administration by the Ministry of Mines

Component 3 Subproject shall involve small works (provision of safe drinking water,

upgrading/construction of health and sanitary facilities).While these interventions are

expected to enhance safeguard sustainability of the Artisanal miners, they are also expected

to impact the environment, and could possibly carry social risks.

The environmental category assigned for this Project is Category “B”, i.e. the projects cause

lesser impacts, which are often essentially remediable.

Considering the fact that project specific locations are not yet established, this ESMF is

prepared to facilitate identification of the potential positive impacts and adverse

environmental and social risks that are likely to emanate from implementing the project

activities and also to recommend actions to address and mitigate the safeguard risks. At this

point it is important to point out that the ESMF will be amended once the exact locations are

determined, and will become more specific with regard to recommended actions.

The potential possible adverse impacts of the subprojects identified and the corresponding

mitigation measures proposed include the following:



Subproject Possible adverse impact Proposed mitigation measures

Water supply

subprojects

Construction of new access road;

Disruption on existing water users including

downstream users;

Increased numbers of water users due to

improvements;

Increased social tensions/conflict over water

allocation;

Possible land acquisition and displacement

of private assets

Ensure drainage controls on new roads

and rehabilitate temporary access

following subproject implementation;

Identify and avoid negative impacts on

existing water users in the system

design

Assess water supply and existing

demands, and manage sustainability;

Avoid occupied land. Prepare

procedures to ensure equitable

resolution.

School,

Health and

Sanitation

Subprojects

Alteration of existing drainage conditions;

Vegetation removal;

Construction materials impact on adjacent

forests/lands;

Sanitation development effects on existing

disposal fields;

Medical waste increase effects on existing

disposal system;

In-migration/settlement induced by facilities

development

Drainage control measures to be

included within construction plans;

Avoid taking construction materials in an

unmanaged manner

Prepare a waste management plan for

major facility upgrades; ensure sufficient

facilities and capacity for medical waste;

Identify and avoid negative impacts on

existing water users in the system

design

All environmental and social safeguards to be followed in the management of the Subproject

are covered by this Environmental and Social Management Framework (ESMF).

The Ministry of Mines (MoM) will have the overall responsibility for implementation of the

Project in close collaboration with regional Bureau of Mines and Energy in the various

selected regions. The regional bureaus will implement the project through the Wereda and

Kebele level offices who will in turn work very closely with the community through ASM

Cooperatives. The JSDF project will ensure that the ASM community is fully consulted

throughout the project life including at the planning, implementation, operation and

maintenance stages.



In addition independent NGO(s) who have expertise in the sector and have the experience

of working together with the poorest populations in Ethiopia will be selected to administer

the activities of Component 2 and 3.These arrangements is expected to ensure closer

proximity, availability and monitoring capabilities of the NGOs vis-à-vis the beneficiaries in

the selected areas.

Details on institutional arrangements, project management and coordination are as provided

in the Project Operation Manual (POM).



1 INTRODUCTION

1.1 Background

This document provides an Environmental and Social Management Framework

(ESMF) for the Support Project to Improve the Economic, Social and Environmental

Sustainability of Artisanal Miners in Ethiopia. Financing for the Support Project is

provided by the Japan Social Development Fund (JSDF). Participating regional

governments will also provide funds to finance the activities of the projects. The

Ministry of Mines (MoM) is the agency responsible for the overall implementation of

the Support Projects including the provisions of this ESMF. The participating

Regional Governments especially Bureaus of Mines and Energy are the main

authorities responsible for identifying and implementing the Support Projects.

This ESMF document is to be used by all implementing agencies of the Support

Projects in order to ensure that all environmental and social safeguards are

adequately addressed and that the relevant capacity and training needs are

established in order for the recommended measures to be implemented effectively.

1.2 Location

Artisanal mining activities are largely practiced all over the country especially where

the workable minerals and rocks potentials are available.

However, for the study under consideration, the proposed environmental and social

management framework (ESMF) and EPF study will cover the Ethiopian Artisanal

miners in six selected regions including Oromiya, Amhara, Tigray, Afar, Benishangul-

Gumuz and SNNPRS ( See the Location Map ).



Figure 1: Location Map Showing the Study of ESMF and RPF on Ethiopian Artisanal Miners

in Six Selected Regional Administrative of Ethiopia



1.3 Objective of the ESMF

The main purpose of the ESMF is to:

Establish clear procedures and methodologies for the environmental and social

assessment, review, approval and implementation of projects to be financed

under the Support Project;

Specify appropriate roles and responsibilities, and outline the necessary reporting

procedures, for managing and monitoring environmental and social concerns

related to the Support Projects;

Determine the training, capacity building and technical assistance needed to

successfully implement the provisions of the ESMF; and

Provide practical information resources for implementing the ESMF.

A Resettlement Policy Framework (RPF) has been developed and is presented in a

separate document (Volume II).

1.4 Scope of the ESMF

The ESMF will ensure compliance with the relevant requirements of the

Environmental Policy of Ethiopia, legislation and guidelines, including

a) The Environmental Policy of Ethiopia (EPE, 1997);

b) Proclamation to Provide for the Conservation, Development and Utilization of

Forests (Proclamation No. 94/1994);

c) Ethiopian Water Resources Management Proclamation (Proclamation No

197/2000);

d) The Environmental Protection Organization Establishment Proclamation No.

295/2002;

e) Environmental Pollution Control Proclamation No. 300/2002

f) EIA Guidelines (2000); and

Besides the national regulatory regime, the World Bank safeguard requirement is

considered.



2 DESCRIPTION OF THE SUPPORT PROJECTS

2.1 Background

The Federal Ministry of Mines through the Grant Support secured from Japan Social

Development Fund (JSDF) designed a program to support improvement of

economic, social and environmental sustainability of Artisanal miners with emphasis

on women employment in selected parts of Ethiopia. The developmental objective of

the program is to significantly reduce the poverty level of Artisanal and small scale

mining communities (ASM) in rural Ethiopia.

The intervention shall involve small works (provision of safe drinking water, health

and sanitary facilities), the adoption of improved mining technologies and

procurement of mining equipment and tools.

Many of these interventions, which constitute community-level activities, are

expected to enhance safeguard sustainability of the Artisanal miners. The

interventions are also expected to impact the environment, and could possibly carry

social risks. Since project specific locations are not yet established, ESMF is deemed

necessary tool identifying the potential positive impacts and adverse environmental

and social risks that are likely to emanate from implementing the project activities

and also to recommend actions to address and mitigate the safeguard risks.

Closely related to ESMF, the project has also triggered the World Bank Operational

Policy for Involuntary Resettlement (OP 4.12), which will require the draft of a

Resettlement Policy Framework (RPF) although the Grant Support doesn’t envisage

supporting any actions that lead to resettlement.

The Ministry of Mines through support from the World Bank, has appointed a

consultant Eng. Assefa Bekele, to carry out an environmental and social

management framework (ESMF) and resettlement policy frame work (RPF) to

provide a framework for taking effective steps and measures to mitigate adverse

environmental and social impacts during project implementation.

The document on Resettlement Policy Framework (RPF) is separately produced.

This ESMF is to be used in conjunction with the Resettlement Policy Framework

(RPF) prepared for this program.



2.2 Components of the Support Project

The envisaged Support Project has the following four components:

Component 1- Baseline Assessment, Strategy Design and Environmental

Safeguards Management;

Component 2- Capacity Building, Training and Support to Enhance the Sustainability

of ASM Communities;

Component 3- Improvement of Basic Services and Access to Health Facilities to

Improve the Social Sustainability of ASM Communities; and

Component 4- Grant Supervision and Administration by the Ministry of Mines

Brief descriptions of activities to be involved under each of the components are as

provided below:

2.2.1 Component 1: Baseline Assessment, Strategy Design and Environmental

Safeguards Management

Component 1 will provide a baseline assessment as well as environmental

safeguard management framework, and follow up with a strategy design for 30

Artisanal and small scale (ASM) communities (a total of 159 ASM cooperatives exist

nationwide) in Ethiopia, with a focus on five different minerals, namely Gold,

Gemstones, Tantalum, Construction Minerals and Salt. The communities which will

be selected (based on the baseline assessment) will be among the poorest based in

Oromia, Tigray, Southern NNP, Benshangul-Gumuz, Amhara and Afar regional

states. The assessment will ensure that the poorest communities are selected as well

as the sustainability of the project activities through the establishment of Monitoring

and Evaluation (M&E) Framework.

2.2.2 Capacity Building, Training and Support to Enhance the Sustainability of ASM

Communities

Component 2 will focus on capacity building of ASM miners in ASM communities,

and will put an emphasis on women in case they are significantly disadvantaged in or

even excluded from formal employment. It will provide the selected communities with

mining specific training, for instance economically and environmentally sustainable

mining techniques and basic geological assessments which are to be carried out by



an NGO specializing in Artisanal mining. For gemstone mining communities (in the

case of Ethiopia this entails primarily opals, but also other colored gemstones),

training will additionally include teaching and training in lapidary and gemstone

cutting activities, which presents a huge potential for income for their members, and

especially for women. Furthermore, this component will provide business support,

managerial training and facilitate access to markets through the provision of

microfinance and better access to gold trading centers (for gold mining communities)

and thus help to mitigate the factors that so far were responsible for the low

economic opportunities faced by ASM communities. Finally, training sessions will

also be held to make ASM communities understanding the legal framework in which

they operate, i.e. their rights and obligations.

2.2.3 Improvement of Basic Services and Access to Health Facilities to Improve the

Social Sustainability of ASM Communities

Component 3 will address the social infrastructure for reducing poverty and

deprivation, specifically the lack of even basic sanitation and health facilities, which

results in extremely low levels of well-being and social development of Artisanal

miners. Access to potable water and sanitation facilities as well as to mobile

community health centers will be the priority goals in this respect. This component is

expected to diminish the incidence of poor sanitation through the building of standard

latrine systems (where the sewage will be collected in sewage tanks and biologically

decomposed) as well as water tanks to improve access to safe drinking water. In

addition, existing health centers and community extensions services will be upgraded

or mobile public health facilities could be established that could roam between ASM

sites in one region.

2.2.4 Grant Supervision and Administration by the Ministry of Mines

Component 4 will support grant implementation and capacity building for NGOs and

the regional mines and energy bureaus and the Ministry of Mines. The project will be

implemented under the auspices of the Ministry of Mines; selected NGOs that work

with Artisanal miners and in mining techniques and community health will then

directly work with the communities.

2.3 Rationale for the ESMF

Component 3 Subproject shall involve small works (provision of safe drinking water,

health and sanitary facilities), the adoption of improved mining technologies and



procurement of mining equipment and tools. The list of eligible investments under

this category of the Subprojects is as provided in Table 2.1 below.

Table 2.1: List of Eligible Investments under Component 3 of the Subproject

No. Type of projects Activities

1 Provision of safe drinking water Construction of water wells

Provision of 60 fresh Water tanks

2 Health facilities Upgrading of community health extension

services

Upgrading of existing health facilities

Construction of mobile health facilities.

3 Sanitation facilities Construction of 135 latrines

Provision of sewerage collection tanks

4 Improved mining technologies Provision of equipment and tools

While these interventions are expected to enhance safeguard sustainability of the

Artisanal miners, they are also expected to impact the environment, and could

possibly carry social risks. The environmental category assigned for this Project is

Category “B”, i.e. the projects cause lesser impacts, which are often essentially

remediable. Considering the fact that project specific locations are not yet

established, this ESMF is prepared to facilitate identification of the potential positive

impacts and adverse environmental and social risks that are likely to emanate from

implementing the project activities and also to recommend actions to address and

mitigate the safeguard risks.

The respective Local Governments are encouraged to focus on projects that will

contribute directly to improving social sustainability of the Artisanal miners specially

women Artisanal miners.



2.4 Public Disclosure

For the envisaged types of projects the World Bank procedures require that the

ESMF and RPF are prepared and publicly disclosed prior to project appraisal. This

allows the public and other stakeholders to comment on the possible environmental

and social impacts of the project, and for the World Bank’s Appraisal Team to

strengthen the frameworks, particularly measures and plans to prevent or mitigate

any adverse environmental and social impacts.

To this end, this document will, when agreed between the GoE Ministry of Mines and

the World Bank, be publicly released through the World Bank’s Info Shop, and in

public locations in the selected six regional governments prior to project appraisal.



3 ORGANIZATIONS RESPONSIBLE FOR IMPLEMENTATION OF THE

SUBPROJECTS

Immediately after project appraisal, an exercise will be carried out to review existing

capacity of all implementing agencies (procurement, financial management, contract

management, design & supervision, planning, environmental assessment,

resettlement & compensation, etc) to identify:

Any human resource gaps and the means of and deadline for filling gaps;

Any other gaps in office space, equipment, etc; and

Any financial needs/resources that need to be included in the indicated budget

year and subsequent budgets.

A simple guideline will be prepared by the Federal Ministry of Mines to guide the

Regions in carrying out and reporting back on this exercise which will aim to ensure

that all project implementation capacity and resources required are identified and

secured.

Table 3.1: Support Project Management Organizational Arrangements

Federal Ministry of Mines

Regional Bureaus of Mines and Energy

Zonal Offices of Mines and Energy

Woreda Offices of Mines and Energy, Concerned

Sectoral Offices (health, water, Environment) and

Selected NGOs

Kebele Administration and the Mining

Cooperatives



The following section describes the organizational responsibilities for the Support

Project implementation. The two main project management systems required for

Support Project implementation are:

a) For overall project management – led by the Federal Ministry of Mines only those

responsibilities relating to the implementation of the ESMF and RPF are included.

Full details of overall project management responsibilities are to be contained in

the Support Project Operational Manual(POM);

b) For transfer of funds, financial management and reporting – led by JSDF.

Organizational responsibilities relating to transfer of funds, financial management

and reporting are excluded from this ESMF document as they are to be covered

in Support Project Operational Manual(POM).

3.1 Federal Organizational Responsibilities

At the federal level, the Ministry of Mines in general, and the corresponding regional

mines and energy bureaus in particular, will be responsible for the Support Project as

a whole. The Ministry of Mines will have overall responsibility for the oversight,

coordination, and monitoring and evaluation of project activities. It will ensure the

overall quality and timeliness of project implementation, including compliance with all

aspects of the Support Project Operational Manual. It would also be responsible for

determining reallocations between regions based on assessments of performance.

The Ministry will be responsible for:

a) Ensuring that the Support Projects operate according to the operational manual,

b) Preparing annually for the Government and IDA review of the Support Projects

performance,

c) Consolidating annual plans and budgets based on the pipeline of support

activities and proposals received from the Regional Government,

d) Supervising and monitoring the activities of the Support Projects (including

compliance with the operational manual and environmental safeguards

frameworks), and reporting on a quarterly basis to oversight authorities and IDA,

e) Determining re-allocations of the Support Grant for the selected six regional

governments, and

f) Proposing changes to the operational manual in consultation with regions and

Grant Task Team Leader.



The Ministry of Mines will assign specific task team preferably the ASM Desk for day

to day management of the Support Project. The task team will serve as the

coordinating body across federal, regional and local agencies. If needed, additional

staff may be recruited to complement or strengthen existing capacity for supervising

the implementation of the ESMF and RPF.

3.2 Regional Organizational Responsibilities

At the regional level, the Bureau of Mines and Energy will be responsible for

a) coordinating project implementation, and providing technical assistance to zones

and woredas were Artisanal mining communities are found in the preparation of

proposal for fund support ,

b) ensuring the overall quality and timeliness of the Support Project implementation,

c) supporting and motivating mining cooperatives to meet their performance

targets,

d) determining reallocations between zones and woredas with mining cooperatives;

e) reviewing and consolidating annual plans of zones, and

f) Ensuring that the local governments (woreda and kebele were mining

communities are being supported follow the requirements of the operational

manual and ESMF and RPF.

The Regional Bureau of Mines and Energy shall execute the above responsibilities

through its structure found at zonal and woreda levels.

3.3 Local Governments Responsibilities

The operational framework for planning and implementing the Support Projects will

be through a consultative process with the appropriate stakeholders at the local

government level. The woreda office of Mines and Energy will have the overall

responsibility for the Support Project implementation. The major stakeholders include

the office of health, environment and water supply. The woreda office of Mines and

Energy in consultation with the Council of the Woreda Administration has the

responsibility to coordinate implementation of the support project.

The woreda administration council will provide a review role and provide political and

administrative support for the implementation of ARAPs while the regional bureau of

mines/zonal office will ensure that there is compliance with the ESMF and RPF and

national legislation, and that information is gathered in one place for overall Support

Project monitoring and progress reporting.



4 THE ARTISANAL MINING SITUATION AND ENVIRONMENTAL CONTEXT

This part is produced mainly based on the findings of the Artisanal Mining Sector

Study of 2006 conducted by Wardell Armstrong. Additional information is also

included based on the review of other documents and current experience of the

consultant on related studies.

4.1 Population Engaged in the Artisanal Mining Activity

Although it is impossible to determine the actual number of workers in the artisanal

mining sector, data from the Ministry of Mines indicate that more than 1,000,000

people are engaged in Artisanal gold, gemstone and salt and other mining activities.

The number of women Artisanal miners is estimated to be about 10%. Among these

about 200,000 to 250,000 miners are engaged in gold and gemstone Artisanal

mining. However, total direct and indirect beneficiaries from this Artisanal mining

sector could reach up to 7-10 million people. At present a total number of 75,000 -

100,000 Artisanal miners are organized in to 500 cooperatives, the number of

cooperatives is expected to increase in the near future.



4.2 Characteristics of the Artisanal Mining Operators

The following extract from baseline survey conducted in 2006 shows characteristics

of the Artisanal mining operators:

Abject poverty – most are subsistence miners who live in an increasingly vulnerable environment

and are faced with dwindling livelihood choices;

Seasonality - although in some AM areas water availability is year round, many miners (including

gold and salt) work seasonally returning to their subsistence farms when agricultural work is required

in order to supplement their meager incomes. Others (e.g., in Benshagul Gumuz and Tigray regions)

can only mine in the rainy season when there is sufficient water to properly wash and concentrate the

ore.

Labour Intensive – most AM operations are labour intensive and employs semi or un-skilled

workforce with low levels of mechanization, production levels, income, productivity, recovery and

inefficiency.

Rushes/Migratory Miners – Some Ethiopians (and neighboring Somalis) have been suddenly drawn

into mining following the discovery of new mineral reserves especially gold and gemstones.

Illegality – the vast majority of miners, sponsors and mineral traders are operating informally without

a valid license and an increasing number of Artisanal miners have illegally invaded legal concessions.

Lack of Mineable Deposits – there is distinct lack of available land with mineral reserves appropriate

for AM. For instance most near surface shallow placer deposits have now been exhausted.

Remoteness – most AM sites are found scattered throughout the country and except for construction

mineral producers who are mainly located in the vicinity of large towns/cities, the others are located in

remote rural areas.

Technology/Capital Constraints – there is a distinct lack of access to appropriate technology,

equitable credit schemes to finance the mining ventures or fair markets to sell mineral produce

Rural Education – there are declining levels of education in mining regions - poor educational

facilities and low quality of education.

Rural Health – there are deteriorating health conditions in mining areas - (including malaria and the

growing threat of HIV/AIDS that has already ravaged other parts of the continent)

Vulnerable Groups – the sector includes a sizeable proportion of female mine workers and child

labour is prevalent particularly with the migrant gold and gemstone miners.

Environmental Damage – the sector operates in a clandestine manner with little regard or respect for

the local environment or ecosystem.



4.3 Type of Artisanal Mining Operation

Currently, various mineral products including gold, gemstones, industrial minerals,

construction materials and salt are extracted by Artisanal miners within the country

in general and the six selected regions of Ethiopia. Artisanal mining is nearly the

same all over the country except the depth and size of the area under mining which

varies from place to place. Artisanal mining operation involves female, women and

children miners.

According to the type of deposit under exploitation, there are four types of Artisanal

mining operations activities:

Alluvial precious metal (gold & platinum) mining;

Alluvial metal (tantalum) mining;

Gemstone (opal, olivine, etc) mining;

Hard rock quarrying/ mining (industrial minerals and construction materials).

4.4 Mining Techniques and Tools

The common tools and equipment used for the major mining and processing

operations in each of the above indicated types of artisanal mining are as briefly

described below:

a) Artisanal gold, platinum & tantalum mining tools and activities

For on - the - surface artisanal gold, platinum and tantalum metal bearing ores

mining, the commonly used working equipment and tools at the sites under

consideration include: picks – axe, pan (batea-made of wood, plastic or metal),

spade, chisels, spear headed tools, metallic detector, water pump and generators,

sluice boxes with rubber templates).

Similarly, for the sub-surface or underground artisanal workings the major hand tools

usually utilized include extraction: chisels, spade, spear headed tools, buckets, rope

ladders, plastic bags, pan and torches.

The main activities of an AM operation of alluvial gold and platinum and tantalum

deposits include mining, mineral processing, beneficiation and marketing of the final

product. The ore is treated by gravity concentration method.

Alluvial and delluvial placer gold mining and processing (panning) are often

undertaken by artisanal miners in different parts of the country using much similar

operations consisting of the following:



Clearing of bushes and removing of over burden years, one can perform this task

together with transporting of the fine ore particles for panning);

Digging for gravel/metal bearing soil material/up to 20 m deep. Once the gravel

layer containing gold particles is struck and transported to the surface it is taken

directly for panning if it comes from the alluvial soil.

In case of primary gold and tantalum ore deposits the pieces of metal bearing

rock dug out of pits are crushed using hammers and milled into fine particles

before panning the pulp (pulp is metal bearing soil + water).

Regarding the technology of artisanal methods of digging earth and gold washing

process is gradually being shifted to the use of more capital intensive equipment

such as water pumps, metallic detector, generators, sluice boxes ,etc. by group of

artisanal miners. This trend shows that currently the mineral production of the

country still relies heavily on artisanal mining operation.

b) Industrial minerals and construction materials tools and quarrying activities

Artisanal hard rock quarrying/mining activities include (a) industrial minerals

(dolomite, pumice, diatomite, clay, etc.) and (b) construction materials (limestone,

scoria, basalt, ignimbrite, and silica sand, gypsum).

For quarrying/mining these minerals (gypsum, dolomite, pumice, tantalum, silica

sand, ignimbrite, clay, etc) activities, the Artisanal miners use very simple hand tools

including: shovel/ spade for earth moving, dibble/ wedge iron for splitting the hard

materials, pick with wedge for digging and breaking and lifting the block as fulcrum,

sledge hammer for driving/ breaking the hard rock, mattock for losing the compacted

material.

Most of these hard rock minerals are mined /quarried manually in a small open – pit

like workings. The artisanal quarrying operations involves clearing – digging –

breaking- sorting for quality and cutting / sizing processes using shovel; dibble/wedge

iron; pick with wedge; sledge hammer and mattock. The dimension stone can be

carved/ trimmed into manageable geometric shapes for use in building construction.

4.5 Gender Mainstreaming

“Gender mainstreaming is the multifaceted project of using gender analysis in

addressing the mainstream agenda and of getting gender-related issues on to the

mainstream agenda” (Ackerly, 2004:290)



Gender mainstreaming is not an end in itself; rather it is the means that calls for

incorporating gender perspectives through gender analysis and the promotion of the

goal of gender equality. According to the United Nations definition, “Mainstreaming a

gender perspective is the process of assessing the implicationsfor women and men

of any planned action, including legislation, policies or programmes, in all areas and

at all levels. It is a strategy for making women’s as well as men’s concerns and

experiences an integral dimension of the design, implementation, monitoring and

evaluation of policies and programmes in all political, economic and societal spheres

so that women can benefit equally and inequality is not perpetuated.

The ultimate goal is to achieve gender equality. ’’Macdonald et al. add that gender

mainstreaming requires gender planning to be applied to all development operations

and projects, and allows women to be factored into economic and development

policy. Gender mainstreaming does not imply that women no longer require special

attention in projects since their interests are “mainstreamed” and all project inputs are

equally accessible to men and women. Until women reach a stage when they can

truly become equal partners with men in development, special attention to address

their needs and concerns will be required.

Important progress is being made, as attested to by this Compendium.

In Ethiopia women’s involvement varies from around none in Gambela, 30% in the

Oromiya (Adola), 40% in SNNPRS (Benssa), 70-80% in Tigray, and up to 95% in

some areas in Benshagul-Gumuz (e.g., Kuttaworke or Menge) where women have

traditionally been more exploited. In most instances the women and girls are

compelled to undertake the poorly paid ancillary operations including manual

transport, ore crushing, washing, sorting and mineral dressing. For instance in many

sites, women’s low status means that they are only permitted to treat the tailings

(shofa) from the abandoned operations or from after the primary panning by men. In

other sites they only work for part of the day to enhance the earnings of their

husbands. In general, for those women who are forced to work long and arduous

hours they receive far less pay (e.g., at the Kokobe gold site they received between a

third to a half of the average male) than their male counterparts whilst also being

expected to fulfill all their primary care-giving roles and also undertake the traditional

domestic duties of fetching firewood, water cooking, cleaning, etc. The fact that

women are often limited to engaging in lower status and lower paid activities stems

from cultural perceptions and traditional beliefs of appropriate work for men and

women.



The Ethiopian national policy on women was issued in March 1993 and emphasis

that all economic and social programs and activities should ensure equal access of

men and women to the country’s resources and in the decision making process so

that they can benefit equally from all activities carried out by the central and regional

institutions.

On many AM sites in Ethiopia there are numerous collateral activities that employ

women and young girls. The main activities that attract this vulnerable group include

selling locally produced goods (e.g., women petty traders selling tella/ ferso, injera,

daadhii, kaatikaalaa, firewood, etc) and working/serving in bars and restaurants. In

fact many young girls migrate to AM sites from far (including other countries

especially Somalia and Sudan) in the hope of making some money in the apparently

‘booming’ AM settlements. They usually arrive on site with the expectation of working

in the local market or bars or just petty trading. Unfortunately many young women

find it difficult to sustain and survive through such activities and their hosts or peers

often encourage, or even force them to seek extra cash through prostitution.

Prostitution, abuse, family violence and even rape can be a major social and health

problem that is perpetuated by a lack of morality that infests many migrant AM sites.

The nomadic nature of many miners in Ethiopia also has a direct and damaging

effect on the traditional extended family structure, and women’s role in particular.

Traditionally the extended family is a very important and strong social security

institution, taking care of orphans, the elderly and widows. However, this crucial

structure often disintegrates particularly when the male miners have to travel far from

home and are away for indefinite periods of time. The remaining female- headed

households have to cope without their husbands for long periods and live in hope

that they will send money back or return themselves soon. Often such households’

struggle and the children are forced to work in the fields.

4.6 Environmental Impacts Associated with Artisanal Mining Activities

The major adverse environmental impacts associated with mining/ quarrying

activities of Artisanal and small scale mining operations and the source of the

pollution are as summarized in the Table 4.1 below.

Table 4.1: Summary of environmental and health and safety impacts of Artisanal and

small scale precious metals mining and construction materials quarrying



Activity Environmental/social/health

and safety factors

Environmental/social/health and

safety effects

Excavations, wells and

underground galleries

Landscape, soil and

vegetation

Health and safety

- Land degradation

- Loss of soil

- Loss of vegetation

- Erosion

- Land subsidence, landslide

Open pit development

Forest clearing

Soil, landscape and

vegetation - Landscape degradation

- Loss of soil and vegetation

- Erosion

- Loss of habitat

River diversion to

ponds for panning

Water resources

Health and safety

- Flow alteration

- Sedimentation of rivers

- Potential malaria sources

Surface water removal

for processing

operations

Water resources - Flow alteration of surface water

Surface water removal

for water supply

Community and infrastructure - Drinking water to local community

- Flow alteration of surface water

Permanent

employment and

housing

Community and infrastructure

- Changes in the local socio-economic

conditions

Quarry development Soil, landscape and

vegetation

Animal life

Health and safety

- Landscape degradation

- Loss of soil and vegetation

- Erosion

- Loss of habitat

- Landslides, subsidence

- Block slide

Run-off from

overburden and rock

dumps

Water resources - Sedimentation

River diversion Water resources

Aquatic life - Flow alteration

- Sedimentation of rivers

- Loss of habitat



5 LEGAL, POLICY AND ADMINISTRATIVE FRAMEWORK

5.1 Relevant Legislation and Policy

5.1.1 The Constitution of Ethiopia

The 1994 Constitution of Ethiopia proclaims that all citizens shall have a right to live

in a clean and healthy environment. It states that Government and citizens have a

duty to protect the environment, and the design and implementation of programs and

projects shall not damage or destroy the environment. The Constitution incorporates

a number of other provisions relevant for the protection, sustainable use and

improvement of the environmental resources of the country. It reflects a view of

environmental concerns in terms of fundamental human rights, and provides a basis

for the formulation of national policies and strategies on environmental management

and protection. It assures that no development activity shall be disruptive to the

ecological balance, and that people concerned shall be made to give their opinions in

the preparation and implementation of environmental protection policies and

programs.

The Constitution also:

Maintains land under the ownership of the Ethiopian people and the government

but protects security of usufruct tenure;

Reinforces the devolution of power and local participation in planning,

development and decision taking by regions and woredas;

Ensures the equality of women with men; and

Ensures the appropriate management as well as the protection of the well-being

of the environment.

5.1.2 Ethiopian National Policy on Women

Apart from being a signatory of major conventions that protects women from

discrimination and other, the Ethiopian Government has also expressed its

commitment to gender equity and equality by issuing a national Policy on Ethiopian

Women.

The policy, which was issued in 1993, has the following objectives:

Facilitating conditions conductive to the speeding of equality between men and

women so that women can participate in political, social and economic life of

their country on equal terms with men and ensuring that their right to own



property as well as their other human rights are respected and that they are not

excluded from the enjoyment of their fruits of their labor or from performing

public functions and being decision makers;

Facilitating the necessary conditions whereby rural women can have access to

basic social services and to ways and means of lightening their work load; and

Eliminating step by step, prejudices as well as customary and other practices

that are based on the idea of male supremacy and enabling women to hold

public office and to participate in the decision making process at all levels.

5.1.3 The Environmental Policy of Ethiopia (EPE, 1997)

The policy provides a number of guiding principles that indicate and require a

strong adherence to sustainable development, and a high commitment to, among

other things, the need:

to ensure that environmental impact assessments consider not only physical and

biological impacts but also address social, socio-economic, political and cultural

conditions;

to ensure that public and private sector development programs and projects

recognize any environmental impacts early and incorporate their containment

into the development design process;

to recognize that public consultation is an integral part of EIA and ensure that

EIA procedures make provision for both an independent review and public

comment before consideration by decision makers; and

to ensure that an environmental impact statement always includes mitigation

plan for environmental management problems and contingency plans in case of

accidents;

5.1.4 Proclamation to Provide for the Conservation, Development and Utilization of

Forests (Proclamation No. 94/1994)

The proclamation states the conservation, development and sustainable utilization

of forests play a decisive role in combating the grave and alarming situation in soil

erosion and in arresting the expansion of desertification and ecological imbalance.

It also states prior consultation and approval is required from the Ministry of Natural



Resources Development and Environmental Protection or the appropriate regional

body in order to conduct large scale farming, mining operation, construction of

roads, water drilling, irrigation and dam works and other similar activities, or to give

license for such operation within state or regional forests.

5.1.5 Ethiopian Water Resources Management Proclamation (Proclamation No

197/2000)

Article 11 of this proclamation states that without prejudice to the exceptions

specified under Article 12 of this Proclamation, no person shall perform the

following activities without having obtained a permit from the Supervising body

(Ministry of water and Energy or delegated bodies): construct waterworks; supply

water, whether for his own use or for others; transfer water which he/she

abstracted from a water resource or received from another supplier; and release or

discharge waste into water resources unless otherwise provided for in the

regulations to be issued for the implementation of this Proclamation.

Any person shall be required to discuss his/her proposal with the supervising body

prior to applying\ for a permit for the purposes specified in Sub-Article (I) of this

Article. Article 12 states any person shall utilize water resources for the following

purposes without holding a permit issued by the Supervising body: dig water wells

by hand or use water from hand-dug wells; use water for traditional irrigation,

artisanal mining and for traditional animal rearing, as well as for water mills.

5.1.6 The Environmental Protection Organization Establishment Proclamation No.

295/2002

The proclamation establishes a system that enables coordinated but differentiated

responsibilities among environmental protection agencies at Federal and Regional

levels. The proclamation stipulates the need for the establishment of Sectoral and

Regional Environmental Units and Agencies. The principal organization responsible

for environmental protection is the Environmental Protection Authority (EPA), which

operates at both Federal and Regional levels. In addition, the Ministry of Mines has

a Sectoral Unit specializing in the mining sector.



5.1.7 Environmental Pollution Control Proclamation No. 300/2002

This Proclamation states "No Person or establishment shall pollute or cause any

other person to pollute the environment by violating the relevant environmental

standards.” Environmental standards specified in the proclamation include:

Standards for the discharge of effluents into water bodies and sewage systems;

Air quality standards that specify the ambient air quality and give the allowable

amounts of emission for both stationary and mobile air pollution sources;

Standards for the types and amounts of substances that can be applied to the

soil or be disposed of on or in it;

Standards for noise providing for the maximum allowable noise level taking into

account the settlement patterns and the availability of scientific and

technological capacity in the county; and

Waste management standards specifying the levels allowed and the methods

to be used in the generation, handling, storage, treatment, transport and

disposal of the various types of waste.

The ESMF/ESIA includes several management plans to address standards

specified in the Proclamation and to mitigate the impacts of the project on the

environment.

5.1.8 EIA Guidelines (2000)

The purpose of the EIA guidelines is to ensure that development projects integrate

environmental considerations in the planning process as a condition for their

approval. The EIA process includes:

Application

Pre-screening

Screening

Scoping

EIA and submission of EIA report

Review of the EIA and decision by the Competent Authority

The EIA guidelines cover industrial, mining, agriculture and infrastructure

development, all of which are likely to impact the environment in a significant

manner.



5.2 Administrative Structure for Environmental Management

While the overall responsibility for setting environmental policies, regulations and

standards and the administration of EIA requirement at federal level rests on the

Federal EPA, the regional EPA bureaus operate similar activities at regional level

independently. Other institutions that will have stake in the activities of the

envisaged project include the following:

Ministry of Mines and the Regional Bureaus of Mines and energy;

Ministry of Agriculture and Natural Resource Development and the regional

bureaus;

Ministry of Water Resource Development and the regional bureaus;

Ministry of Health and the regional bureaus;

Woreda and Kebele level corresponding structures.

5.3 World Bank Safeguard Requirements

The Grant Support will finance small works that will involve construction of drinking

water supply, education, health and sanitary facilities.

The environmental and social risks associated with these kinds of infrastructure or

services can be, but will in most cases, not be significant. It is therefore possible

that the Subprojects fall into OP 4.01 Category B.

EIAs and Environmental Management Plans (EMP) will be prepared as necessary,

in line with the ESMF, once the exact nature and locations of the Subprojects have

been identified. Subprojects screening checklist, possible adverse environmental

and social impacts of the subprojects and suggested mitigation measures are

included in this ESMF to be used by concerned Regional and Woreda staff. The

ESMF will be submitted for Bank review and publicly disclosed through Info Shop

of the World Bank prior to appraisal.



6 DESCRIPTION OF SIGNIFICANT ADVERSE ENVIRONMENTAL IMPACTS AND

SOCIAL RISKS AND MITIGATION MEASURES

6.1 Potential Impacts and Mitigation Measures

The proposed Sub-projects (construction of water wells, latrines, upgrading of rural

clinics and schools) have remarkable positive social impacts, and will frequently be

designed to, create many beneficial impacts related to environmental and social

sustainability of the artisanal miners. However, they may also have various

potential adverse impacts and social risks, if good practice is not followed in their

planning, design and implementation.

Table 6.1 below outlines possible potential impacts and social risks of the

Subprojects and mitigating measures recommended to offset adverse impacts for

specific types of projects.

Table 6.1: Potential Environmental Impacts of the Subprojects and Proposed

Mitigation Measures

Water Supply Subprojects

Potential Impacts Mitigation Measure

New access (road) construction Ensure drainage controls on new roads and

rehabilitate temporary access following subproject

implementation

Existing water sources supply/yield

depletion

Assess water supply and existing demands, and

manage sustainability

Existing water users disrupted Identify and avoid negative impacts on existing

water users in the system design

Downstream water users disrupted Identify and avoid effects of diversion or extraction

on downstream users in the system design


improvements

Assess water supply and existing demands, and

manage sustainability

Increased social tensions/conflict over

water allocation

Establish a water users committee through the

kebele and equitable rules for water allocation

Sensitive ecosystems downstream Identify and avoid effects of diversion or dams on



disrupted downstream ecosystems

Land Acquisition Avoid occupied land. Prepare procedures to

ensure equitable resolution.

Private assets displaced Avoid occupied land. Prepare procedures to

ensure equitable resolution.

Informal land uses displaced or access

restricted

Avoid interference with informal land users, and

take measures to provide access to alternative

lands or resources

Local incapacity/inexperience to manage

facilities

Establish a local committee, where appropriate,

and/or kebele bylaws and provide appropriate

controls

Other (specify):

School, Health and Sanitation Subprojects

Potential Impacts Mitigation Measure

Alteration of existing drainage

conditions

Drainage control measures to be included within

construction plans

Vegetation removal Minimize temporary or permanent removal of natural

vegetation

Wet season soil disturbance Schedule construction for the dry season

Construction materials impact on

adjacent forests/lands

Avoid taking construction materials in an unmanaged

manner

Quarries and borrow pits created Re-contour and rehabilitate sites/pits and avoid

collection of standing water

Water supply development effects in

available supply

Identify and avoid negative impacts on existing water

users in the system design

Sanitation development effects on

existing disposal fields

Ensure the necessary facilities and capacity for

upgraded facilities, consistent with health department

design standards

Medical waste increase effects on

existing disposal system

Prepare a waste management plan for major facility

upgrades; ensure sufficient facilities and capacity for



medical waste

Land Acquisition Avoid occupied land. Prepare procedures to ensure

equitable resolution.

Private assets displaced Avoid occupied land. Prepare procedures to ensure

equitable resolution.

Cultural or religious sites disturbed Identify and avoid cultural or religious sites. If

disturbance unavoidable, agreement on mitigating

measures must first be reached with stakeholders

concerned (e.g. Community, mosque, and church). If

excavation encounters archaeological artifacts, halt

construction and notify relevant authorities.

Informal land uses displaced or

access restricted

Avoid interference with informal land users, and take

measures to provide access to alternative lands or

resources

In-migration/settlement induced by

facilities development

Control unplanned settlement near the facilities

Local incapacity/inexperience to

manage facilities

Establish/strengthen local committees, where

appropriate, through the kebele and provide

appropriate procedures and training to maintain the

facilities

Other (specify):

6.2 Analysis of Alternatives

Two alternatives could be considered:

Alternative 1 (No option). This means that no implementation of these potential

Sub-projects as because Japan Social Development Fund (JSDF) will be

financed only upon the acceptance and approval of the ESMF study document by

the World Bank. As the result the potential regional governments to be selected

could not be funded means no implementation of the sub - projects.

Alternative 2 (“Immediate implementation”). This option is necessarily to be

carried out as because the this ESMF document is to be used by all implementing

agencies of the Sub-Projects in order to ensure that all environmental and social



safeguards are adequately addressed and that the relevant capacity and training

needs are established in order for the recommended measures to be

implemented effectively. Funds will be released consequently; the implementation

of the potential sub-projects will be realized.



7 ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN

7.1 Basic Principles

The Environmental and Social Management Plan for the Subprojects is designed

based on the following principles:

a) The Subprojects involve small works( construction of latrines, water wells,

upgrading of health and education service facilities) that can be designed,

implemented and managed at Artisanal mining community level using

standardised published guidance, and with the assistance of woreda staff as

required;

b) Environmental management will be integrated into project planning and

implementation.

c) Subprojects will be adopted in the woreda plan for the mining sector on the basis

of selection criteria and screening designed to eliminate projects with major, or

irreversible environmental or social impacts. Subprojects that may require

physical relocation of residents or the involuntary loss of assets or access to

assets are not admissible as eligible Subproject;

d) The design of the Subprojects will be guided by technical design standards that

incorporate recommended measures designed to minimise adverse impacts and

encourage positive environmental effects.

e) Capacity building in environmental and social management will be provided by

the Subproject as and when required.

f) Approval of Subprojects with environmental concerns will involve the Regional

Environmental Protection Agency (REPA), or its equivalent, which will have the

right to reject a project on environmental or social grounds, or to conduct an

assessment of likely impacts prior to approval.

g) Special attention will be given to the impacts of water supply,

rehabilitation/construction of clinics and schools and Subprojects involving

possible voluntary loss of assets or access to assets. The Woreda Office of

Mines and Energy will notify these to the Regional Bureau of Environment who

will decide whether an EIA is required. Following such EIA, the Regional Bureau

may modify the Support project, call for a management plan, or reject the

Subproject.



7.2 ESMF Procedures

Steps in ESMF implementation within the Subprojects planning process are as

depicted in Figure 7.1 below:

Fig 7.2: Steps in ESMF Implementation within the Subprojects Planning

Process

Regional Bureau of Mines & Energy consolidates Woreda plans and Informs Regional Environment Authority (REPA) on Support projects of environmental concern

Regional Environmental

Protection Authority (REPA

decides if EIA is required or

the Support Project

modified/rejected

Woreda Council/Cabinet

Approves plans

Woreda Office of Mines and

Energy compiles plan from

kebele/ Artisanal mining

communities

Artisanal Mining Community/ Kebele

Identification and Design of Support Projects

Woreda Office

of Health

Woreda office

of Education



7.2.1 Step 1-Subproject Eligibility Check

Following the selection of the Subproject by the Artisanal mining communities,

check the eligibility of the identified project in the manner indicated in the Table 7.1

below:

Table 7.1: Subprojects Ineligible

Feature of Concern Yes No

The Subproject may involve the physical relocation of residents, or

involuntary loss to any household of assets, or access to assets

The Subproject is located in a Priority Forest Area, or involves major

land-use change such as draining of a wetland

If any project has an answer, ‘Yes’, try to modify the design of the project to avoid

the feature of concern. If you are unable to do so, you must reject the project.

7.2.2 Step2-Screening of the Subprojects

After identifying the eligible Subprojects, carry out a screening of each one, in order

to identify any that are of environmental concern.

Table 7.2: Subprojects Requiring Special Attention

Description Yes No

Subproject likely to involve disposal of medical waste

Subproject might involve voluntary loss of assets, or access to

assets

Bring any Subproject with ‘Yes’ to the attention of the Woreda office of Environment

and Natural Resource who will ensure that the necessary procedures are followed.

Subject to this notification, the subproject may proceed.

Secondly, fill in the screening checklist provided in Table 7.3 below. The checklist

identifies potential impacts which may require the design to be modified.



Table 7.3: Subproject Screening

School , Health & Sanitation Facilities

Potential for Adverse Impacts

None Low Med High Unknown

New access (road) construction

Alteration of existing drainage conditions

Vegetation removal

Wet season soil disturbance

Construction materials impact on adjacent

forests/lands

Quarries and borrow pits created

Cultural or religious sites disturbed

Water supply development effects in available

supply

Effect of sanitation development on existing

disposal sites

Effects of medical waste on existing disposal

system

In-migration/settlement induced by facilities

development

Local incapacity/inexperience to manage facilities

Other (specify):

Water Supply Potential for Adverse Impacts



Existing water sources supply/yield depletion

Existing water users disrupted

Downstream water users disrupted


improvements


allocation

Sensitive ecosystems downstream disrupted

Local incapacity/inexperience to manage facilities

Other (specify):



If your assessment shows that a Subproject is likely to have impacts ranging from

low to moderate, or has only one high potential impact, try to determine if it is

possible to incorporate suitable mitigating measures into the design to overcome the

problem. Suggested mitigation measures are provided in Table 6.1 above.

The following Subprojects should be earmarked as a Subproject of Environmental

Concern:

Any Subproject to cause more than one high potential impact that cannot be

easily corrected by a simple change in the design;

Any Subproject with impacts that is difficult to predict, i.e. several ticks under

“unknown”.

In addition, check whether the Subproject falls into any of the following categories:

Table 7.4: Features of Environmental Concern

Feature of Concern - For All Types of Subprojects Yes No

Subproject located within National Park or other designated

wildlife area or buffer zone

Subproject located within a recognised Cultural Heritage site,

or World Heritage site

If there is an answer, ‘Yes’, try to modify the design of the Subproject to avoid the

aspect of concern. If you are unable to do so, the Subproject file should be marked

‘Subproject of Environmental Concern’.

Make sure that a list of any Subprojects in a given Artisanal mining community that

you have earmarked as being of environmental concern accompanies the Subproject

files forwarded to the Woreda Office of Environment and Natural Resource.

7.2.3 Step 3-Taking Action on Subprojects Requiring Special Attention

For any project with a feature checked in Table 7.2 above, refer to the relevant

procedure in Section 7.3 of this ESMF, and take the necessary action.

7.2.4 Step 4- Notification of Subprojects of Environmental Concern

The Woreda Council should ensure that the plans forwarded to the regional Bureau

of Mines, are accompanied by each Artisanal mining community list of Projects of

Environmental Concern, if any. The Regional Environment Protection Authority will

decide if the Subproject will require EIA or to be rejected.



7.2.5 Step 5- Reviewing Notified Subprojects

When reviewing a planned Subproject that has been listed by the woreda Office of

Mines and Energy of as being of environmental concern, the Regional Environment

Protection should note that:

The Subprojects involve small works and most of them do not necessarily need

an EIA;

Those Subprojects that involve land acquisition, or voluntary loss of land-based

assets or access to assets are subject to special procedures or a management

plan. These Subprojects will have been earmarked for special attention by the

Woreda Office of Environment and Natural Resource;

For each listed Subproject, the Regional Environment Protection Authority should

prepare the following;

Decisions passed concerning environmental eligibility of the Subproject;

Guidance regarding any special needs such as technical guidelines or an

environmental management plan, including mitigating measures.

7.2.6 Step 6-Conducting an EIS

In cases of Subprojects that require EIS, the Woreda Office of Environment and

Natural Resource is responsible for ensuring that the required EIA is conducted, in

liaison with the Woreda Office of Mines and Energy. Normally the Office of Mines and

Energy will establish a team drawing upon woreda sector experts. The woreda

experts concerned will have received basic training in EIA in the Subprojects training

course.

The cost of conducting the EIA should be covered from the Support Project Grant for

that woreda. The cost will normally be modest, covering expenses above normal

daily work, such as travel and field expenses.

The TOR for the EIA will be based on the recommendations of the Regional EPA.

The EIA report should consist of a brief environmental baseline, impact assessment,

mitigating measures, and recommendations for implementation and monitoring of the

mitigating measures.

7.2.7 Reviewing EIA Report

The Regional EPA will review the EIA report, and either approve the Subproject

recommended re-design, or reject. Reviews should be conducted as quickly as

possible, to avoid delay in the Subproject implementation. Every effort should be



made to provide advice to modify a project to enable it to become environmentally

sustainable if at all possible, rather than reject it.

7.3 Guidelines for Subprojects Requiring Special Attention

7.3.1 Medical Waste Management

Subprojects involving the rebuilding of rural health clinics should include provisions

for the safe management of medical wastes. The following strategy addresses

medical waste issues in the Subprojects:

A Waste Management Guide for Rural Health Clinics prepared by the Ministry of

Health should be used to assist the Subproject design and operation

A preliminary environmental audit of clinic rehabilitation proposals will be

undertaken by a qualified professional;

All proposals will undergo environmental screening to identify environmental

concerns and environmental assessment and mitigation requirements associated

with waste;

All proposals will be required to prepare a Waste Management Plan following

approval of the project by Woreda Council and before implementation. This plan

will be based on the Waste Management Guide. The Medical Waste

Management Plan addresses:

The quantity and quality of wastes generated

The available disposal and treatment options at the site

Methods to segregate medical waste from general waste

Internal rules for waste handling, collection and storage

Clinic responsibilities for waste management

Proposed landfill development and operations

7.3.2 Projects Involving Asset Acquisition or Loss of Access to Assets

While noting that, there will be no projects potentially requiring involving relocation,

or involuntary loss of assets or access to assets. It may nonetheless occur that a

Subproject may involve, for example, voluntary loss of use of a piece of a farmer’s

plot, or voluntary loss of access to a limited area of grazing land. In such cases,

compensation is normally received in the form of benefits and services from the

Subproject. Alternatively, if appropriate, the member may receive in-kind

compensation such as a piece of replacement land. In all cases of voluntary asset

(or access to assets) loss, a Voluntary Loss of Assets procedure will be followed, as



set out in the Resettlement Policy Framework document separately produced for

this project.

7.4 Implementation of Mitigation Measures

The mitigating measures presented in the Technical Materials to be prepared by the

Federal Ministry of Mines, supported by the general guidance provided in this ESMF

provide the primary means of implementing environmental management of the

Subprojects. Three aspects will be important in applying and monitoring the

effectiveness of these measures during the implementation phase:

The Kebele or the artisanal mining community will designate a person who will be

responsible for ensuring the mitigation measures are effectively implemented as

specified before, during and after construction. The relevant DA in the kebele can

be nominated for this task.

The Woreda Office of Environment and Natural Resource will designate a staff

member who will be responsible for inspection and oversight of the

implementation of the mitigation measures as required.

The ASM Desk of the Federal Ministry of Mines in collaboration with the Regional

Environment Protection Authority will assess the application of the prescribed

mitigation measures in monitoring and evaluating environmental performance of

the Subprojects.



8. CAPACITY BUILDING

8.1 Institutional Capacity for ESMF Implementation

The institutional structure for managing the environmental aspects of the Subprojects

involves four levels:

8.1.1 Federal Level

The Federal Ministry Mines, ASM Desk will ensure that the technical specifications

and work norms and information related to implementation of the Subprojects cover

the range of potential activities, summarize the latest knowledge on the various types

of interventions, and present this information in a user-friendly manner that is

understandable by woreda staff and Artisanal Miners Community. The mandate of

the Desk includes further development and field testing of these specifications and

kits, as required, including those relating to the design and implementation of the

ESMF.

The ASM Desk will also organize the delivery of training and/or refresher course for

the concerned staffs of regional bureau and woreda offices of Mines and Energy and

other concerned sectors.

8.1.2 Regional Level

The focal unit in charge of ASM within the Regional Bureaus of Mines and Energy is

responsible for ensuring ESMF implementation. Staff of this Unit receives orientation

and training in the ESMF process, and the use of the technical specifications, works

norms and information kits. The unit delivers ESMF training to the concerned woreda

staff as part of the overall annual Subproject training programme. This includes TOT

for woreda staff who will in turn train the local Artisanal mining communities.

The Regional Bureau of Mines and Energy also conduct capacity needs

assessments and provide support at woreda level to ensure that all functions relating

to the Subprojects, including ESMF and RPF implementation, are carried out to the

required standard.

8.1.3 Woreda Level

The capacity of woreda staff to provide timely technical support and guidance to the

Artisanal mining community is critical. Woreda capacity development supports the

design, operation and environmental management of the proposed Subprojects. The

woreda staff conducts training to selected members of Artisanal miners and



Development Agents who will have stake on the issues of natural environment

conservation and implementation of the Subprojects.

8.1.4 Mining Community Level

Selected members of the Artisanal mining communities are expected to involve in

orientation and capacity-building. The training may include organizational

management of the Subprojects and the like.

8.1.5 Proposed Training and Technical Assistance Topics

Concerned regional and woreda staff receives training in the ESMF procedures,

including:

EIA and mitigation case studies;

Assessment of impacts and design of site-specific monitoring measures which

also takes into account social issues and impacts;

Incorporation of mitigation measures in Subproject designs and construction

documents;

Review and approval of Subproject proposals;

Public consultations in the EIA process which includes women and other

vulnerable groups

Training on waste management; and

Environmental Audit/ monitoring training

Training in ESMF implementation will not be conducted in isolation. It will be based

on the ongoing Subproject capacity needs assessment, and will be included as an

integral part of the capacity-building programme currently being designed and

budgeted for the Subprojects, and budgeted for and delivered within the Subproject

awareness-creation and training programme.

9. MONITORING OF ESMF IMPLMENTATION

9.1 Supervision and Process Monitoring

Supervision of project implementation will be at the Artisanal mining community,

woreda and regional levels:

The woreda office of Mines and Energy in consultation with line office concerned,

will ensure that the specified mitigating measures for the Subprojects are

implemented;



The Woreda Environment and Natural Resource Office (through the coordinating

role of office of mines and energy) will verify that the proper procedures are being

followed for all the Subprojects in the woreda, and that no significant negative

environmental impacts are taking place. Where such impacts may occur, the

Woreda Office of Environment and Natural Resource will provide advice on

actions to be taken.

The Regional Bureau of Mines and Energy will monitor, in conjunction with the

Regional Environment Protection Authority:

Implementations of the procedures set out in ESMF and RPF of the Subprojects;

Eeffectiveness of the mitigation measures in avoiding or minimizing adverse

impacts, and the nature and extent of any such impacts.

9.2 Results of Monitoring

Monitoring of the implementation of the Subprojects is an important aspect of

ensuring that the commitment to environmental and social sustainability of the

Projects is being met. The regular monitoring of the implementation of the ESMF and

RPF will be managed at regional level and reported to the Federal Ministry of Mines

on regular basis.

It will be the responsibility of the Regional Bureau of Mines and Energy to receive the

relevant information from each woreda mining community through its woreda

counterpart.

The monitoring plan has two components:

Monitoring of the compliance and effectiveness of the ESMF and application of

the recommended Subprojects standards; and

Impact monitoring: measuring the contribution of the Subprojects in terms of

ensuring social, economic and environmental sustainability of the Artisanal

mining community.

This monitoring will be coordinated and overseen by the ASM Desk of the Federal

Ministry of Mines who will also be responsible for ensuring that adequate training of

woreda staff is conducted each year at regional level, and that the training materials

and modules are kept up-to-date.

Additional monitoring will be conducted annually by the ASM Desk of the Federal

Ministry of Mines in which sample woredas in each region will be visited and spot-

checks made on the implementation of the ESMF and RPF.



10. PROPOSED IMPLEMENTATION BUDGET

The proper implementation of the ESMF requires training and capacity building. The

costs for putting the ESMF into operation include the costs of providing the capacity

building and training set out in section 7 above. The total cost for mainstreaming

environment into the Subprojects is estimated at about USD 105,000, consisting of:

USD 25,000 for the preparation of ESMF and RPF training materials;

USD 60,000 for delivery of ESMF and RPF training as described in Section 7

USD 20,000 for printing and distribution of the ESMF and RPF documents plus

training materials.

The above costs will be covered from Component 2 of the Subproject Grant Fund.

Costs related to the required mitigation measures for the Subprojects are not set out

in the budgets presented here. These will be assessed by Regional Bureaus of

Mines and Energy as part of the proposal for accessing grant support.

At this stage it is extremely difficult to estimate the proportion of project costs that can

be expected to be devoted to mitigation measures. However, a rough rule of thumb is

that they should be expected to cost between 2% to 5% of the total Subproject

implementation cost.

Compensation and resettlement costs, if any, will be borne by the respective regional

governments.



ANNEXES



ANNEX 1: SUBPROJECTS SCREENING FORM

Region: ……………… Zone -------------------- Woreda: ………………………………….

Kebele: ………………… Artisanal Mining Community: ……………………………..

Subproject Name: ………………

Subprojects that are not Eligible Yes No

Subproject may involve the physical relocation of residents, or

involuntary loss to any household of assets, or access to assets

Subproject is located in a Priority Forest Area, or involves land-use

change such as draining of a wetland

.

Subprojects Requiring Special Attention

Yes No

Subproject t likely to involve disposal of medical waste

Subproject might involve voluntary loss of assets, or access to assets

Subproject Screening

Water Supply




Existing water sources supply/yield depletion

Existing water users disrupted

Downstream water users disrupted




Feature of Concern - For All Types of Subproject Yes No

Subproject located within National Park or other designated wildlife area or

buffer zone

Subproject located within a recognised Cultural Heritage site, or World

Heritage site

improvements


allocation

Sensitive ecosystems downstream disrupted

Local incapacity/inexperience to manage

facilities

Other (specify):

Infrastructure such as School and Health

Facilities



Wet season soil disturbance

Sensitive downstream ecosystems

Introduced plant/tree species invasion of native

species

Wildlife habitats or populations disturbed

Environmentally sensitive areas disturbed

Insufficient capacity to manage Area Closure

Insufficient capacity to prohibit or control open

grazing

Insufficient capacity to manage new

plantations/pastures

Other (specify):



Approved Unconditionally: Approved subject to Special Attention:

Notify to REPA for Review: Rejected:

Screening conducted by:

Name……………..………. Position: ………………..Signature:………... Date:……

Screening supervised by:

Name………………..……. Position: ………………..Signature:………... Date:……



ANNEX 2: LIST OF CONTACTED PERSONS AND INSTITUTIONS

No Consulted Personnel Position Address

1 Mrs. Sofia Mahamed Head, Gender Mainstreaming Directorate Director

and Project Coordinator, MoM

0911 683363

2 Mr. Tamirat Mojo Artisanal Mining and Transaction Coordinating

Directorate Director, MoM

0913 371497

3 Mr. Melkamu Kifetew Environment and Communities Directorate Director,

MoM

0912 619447

4 Mr. Mekonen Asrat Process Owner, Mining Operation Support and

Inspection Process, OWMEB

0911 388549

5 Mrs. Shitaye Lemma Process Owner, Gender Mainstreaming Performer 0911 417292

6 Dr.Asferachew Abate Environmental Specialist, WB 0911 243043

7 Mrs. Desta Solomon Resettlement Specialist, WB 0911 748023



ANNEX 3: TERMS OF REFERENCE (TOR) AND SCOPE OF SERVICES

Support to Improve the Economic, Social and Environmental Sustainability of

Artisanal Miners Project in Ethiopia

The TOR for the Preparation of an Environmental & Social Management

Framework (ESMF)

1. Introduction

The Ministry of Mines of the Government of Ethiopia has received a Grant of under

the Japan Social Development Fund (JSDF) to support improvement of economic,

social and environmental sustainability of Artisanal miners with emphasis on women

employment in selected parts of Ethiopia. Grant funds will be used: (i) to provide a

baseline assessment as well as an environmental safeguard management

framework; (ii) to provide capacity building to ASM miners, particularly women in

ASM communities, in economically and environmentally sustainable mining

techniques and basic geological assessments; (iii) to address the social infrastructure

needs, specifically the lack of even basic sanitation and health facilities, by providing

better access to potable water and sanitation facilities and to mobile community

health centers as well as the provision of a Small-Grants Program; and (iv) to provide

grant support and capacity building for NGOs, the Federal Ministry of Mines and its

regional Mines and Energy Bureaus. The project will be implemented under the

auspices of the federal Ministry of Mines and through selected NGOs and the

regional bureaus for mines and energy to better ensure sustainability of the projects.

2. Objective of the Assessment

While this project is expected to enhance safeguard sustainability, the need to

develop an environmental and social management framework (ESMF) at this stage

of the project is predicated on the fact that grant funds will be used in supporting

activities which might impact the environment, and could possibly carry social risks.

These activities with potential risks include small civil works (provision of safe

drinking water, health and sanitary facilities), the adoption of improved mining

technologies and procurement of mining equipment and tools. Possible social

conflicts could include disagreements over land access and / or land use, as well as



influx of people to communities that are being supported. ESMF is the appropriate

instrument because project-specific locations are currently unknown and the nature

and type of site-specific activities remain undetermined. The environmental category

assigned for this Project is Category B. The objective of the assignment is to identify

the potential positive impacts and adverse environmental and social risks that are

likely to emanate from implementing the project activities and also to recommend

actions to address and mitigate the safeguard risks. Thus, the study will also

consider time-bound and costed preventive and remedial measures, institutional

arrangements and capacity improvements needed to enhance implementation of the

mitigation actions.

3. Scope of Assignment/Work

The consultant’s work would entail, but not exclusively, a review of the potential

environmental impacts and social risks likely to be associated with the project

activities. Specifically, for those interventions areas outlined in the project, he/she

would assess the level of procedural due diligence that need to be upheld during

execution of outstanding sub-projects to ensure optimal utility benefits. Working

directly with the World Bank and the Client staff as well as with the project

implementing agencies, the consultant is expected to cover the following:

Identify any aspects of the proposed components and interventions that may

pose any potential environmental impact and/or social risks;

Identify any sub-projects that may pose environmental impacts and/or social

risks;

List those significant environmental and social impacts that are likely to manifest

because of the project. Quantify the magnitude and severity of these impacts;

Determine what remediation measures would be appropriate to be applied and

what success levels are likely to be obtained;

Clarify what roles should be taken by the various actors and players within and

outside the sector to ensure effective implementation of the project and

mitigations measures;

Assess the mechanisms to ensure effective and sufficient levels of participation

and consultations during project implementation, including sufficient disclosure

and information dissemination.



4. The ESMF Report

The consultant will provide an ESMF report that is concise, identifies potential

significant adverse safeguard risks and makes recommendation on how effectively to

execute remedial actions. It should be structured as follows:

- Executive Summary

- Policy, Legal and Administrative Framework

- Description of the Proposed Project

- Description of Significant Adverse Environmental Impacts and Social Risks

- Analysis of Alternatives

- Environmental & Social Management Plan, incl. mitigation, monitoring, capacity

development and training and implementation schedule and costs

- List of References

- Appendices (to include (i) Terms of Reference; (ii) List of people/institutions met;

(iii) References, etc)

5. Consultant Qualification

The consultant should have at least a Masters degree in Natural Resource

Management, Environmental Studies, Mining Engineering, Community/ Rural

Development, Anthropology/Sociology and other related disciplines. The consultant

will have significant experience in the field of environmental and social assessment of

Artisanalal mining related type operations in Africa. He/ She is expected to be

familiar with the safeguard policies/guidelines and regulations of the Government of

Ethiopia and the World Bank. It is expected that an individual consultant will be hired

to undertake this work and he/she will be an environmental and/or social safeguards

specialist and have extensive local knowledge of customs and practices in those

regions to be supported by the project. The World Bank will hire the consultant to

conduct the study. The consultant will be selected under Individual consultant

selection method.



6. Schedule

The duration of the consultancy will be 20 man-days. The work is expected to

commence on or before May 15. An interim report on preliminary findings will be

prepared for discussion with the Ministry of Mines and the World Bank task team

within 2 weeks of the start of the consultancy. The consultant will plan to submit a

draft final report by July 20. A revised final report will be submitted no later than one

week after receipt of all final comments.



ANNEX 4: REFERENCE

Annual Reports 2004 Budget Year MoM, and results obtained by ASM in the last five

consecutive years.

Energy Access Project (Mineral Component) Artisanal Mining Sector, –

Characterization Baseline Survey, June 2006.

EPA Environmental Impact Assessment Guidelines for Mineral and Petroleum

Operation Projects, December 2003.

Hentschel, Thomas, Felix Hruschka and Michael Priester (2002) Global report on

Artisanalal and small-scale mining, IIED and WBCSD.

Hollaway, J. 1997. Policies for Artisanalal and small scale mining in the developing

world – a review of the last thirty years, pp. 35-42, in Mining on a Small and Medium

Scale (ed. A.K. Ghose), Intermediate Technology Publications, UK.

ILO (1999) Social and labour issues in small-scale mines: Report for discussion at

the Tripartite Meeting on Social and Labour Issues in Small-scale Mines, Sectoral

Activities Programme, TMSSM/1999, ILO: Geneva.

International Labour Office Sub Regional Office: "Child Labour in Mining Areas of

Benishangul Gumuz, SNNP and Oromia Regional States, May 2008";

Ministry of Water Resources, Ethiopia SANITATION AND HYGIENE, Issues Paper,

Volume I (Main Report and Volume II (Annexes): Final, June 2003

Proclamation No. 147/1998: A Proclamation to Provide for the Establishment of

Cooperative Societies as mining cooperatives

United Nation Development Programme (UNDP) and United Nations Department of

Economic and Social Affairs (UNDESA) " Poverty Eradication and Sustainable

Livelihoods: Focusing on the Artisanalal Mining Communities in Ethiopia, October

2002"