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ESMF for the Sustainable Land Management Project II
1
The Federal Democratic Republic of Ethiopia
Sustainable Land Management Project II
Revised Final Draft Document
On
Environmental and Social Management
Framework (ESMF)
September, 2013
Addis Ababa
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ESMF for the Sustainable Land Management Project II
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List of Acronyms
ANR Assisted Natural Regeneration
BoA Bureau of Agriculture
CBPWDG Community Based Participatory Watershed Development Guideline
CRGE Climate Resilient Green Economy
DA Development Agent
EA Environmental Assessment
MoEFA Ministry of Environmental and Forestry
ESIAR Ethiopia Institute for Agricultural Research
EPLAU Environmental Protection and Land Administration Unit
ESMF Environmental and Social Management Framework
FDRE Federal Democratic Republic of Ethiopia
FEPA Federal Environmental Protection Authority
GHG Green House Gas
GTP Growth and Transformation Plan
KWDC Kebele Watershed Development Committee
MERET Managing Environmental Resources to Enable Transition to more sustainable
livelihoods
MoA Ministry of Agriculture
MoFED Ministry of Finance and Economic Development
MoWE Ministry of Water and Energy
NSC National Steering Committee
NTC National SLM Technical Committee
OP/BP Operational Policy/Bank Procedure
PAD Project Appraisal Document
PIM Project Implementation Manual
REPLA/B Regional Environmental Protection and Land Administration Agency/ Bureau
RSC Regional Steering Committee
SLM Sustainable Land Management Project
SLMPSU Sustainable Land Management Support Unit
WB World Bank
WWDC Woreda Watershed Development Committee
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Table of Contents
Executive Summary .......................................................................................................................................... 5
1. Introduction ................................................................................................................................................... 8
1.1 Overview of the SLMP II ................................................................................................................. 8
1.2 Purpose and Objectives of the ESMF ........................................................................................... 9
1.3 Methods of the ESMF Preparation ............................................................................................. 10
1.3.1 Review of Project Related Documents ............................................................................... 10 1.3.2 Review of Relevant Policies, Laws and Proclamations, Environmental and Social
Assessment Guidelines ............................................................................................................ 10
1.3.3 Consultations with Selected Key Stakeholders ................................................................ 10
1.4 Public Consultation in a Validation Workshop ....................................................................... 11
1.5 Organization of the Report ............................................................................................................ 13
2. Project Description ................................................................................................................................... 13
2.1 Project Components ........................................................................................................................ 13
2.2 Component 1: Integrated Watershed and Landscape Management ................................. 14 2.3 Sub-Component 1.1: Sustainable Natural Resource Management in Public and
Communal Lands ............................................................................................................................. 14 2.4 Sub-Component 1.2: Homestead and Farmland Development, Livelihoods
Improvements and Climate Smart Agriculture........................................................................ 14
2.5 Component 3: Rural Land Administration, Certification and Land Use ........................ 14
2.6 Sub-Component 3.1: Rural Land Administration and Certification ................................. 14
2.7 Sub-Component 3.2: Local Level Participatory Land Use Planning ................................ 15
2.8 Institutional and Implementation Arrangements .................................................................... 15
2.9 Sub-project Identification and Watershed Planning Process............................................... 16
2.10 Environmental Context and Baseline Conditions ................................................................... 16
3. Administrative, Policy and Regulatory Framework for Environmental Management ......... 18
3.1 The FDRE Constitution .................................................................................................................. 18
3.2 Environmental Policy of Ethiopia ............................................................................................... 19
3.3 Biodiversity Conservation and Research Policy ..................................................................... 19
3.4 Proclamations and Environmental Guidelines ........................................................................ 19
4.4.1 Proclamations ............................................................................................................................. 19
4.4.2 Environmental and social impact assessment guidelines and directives .................. 22
3.5 Relevant and applicable international conventions ratified by Ethiopia .......................... 23
3.6 Applicable World Bank Safeguard Policies Triggered by the SLMP II .......................... 23
4. Potential Environmental and Social Impacts and Mitigation Measures ................................... 26
4.1 Positive Impacts ............................................................................................................................... 27
4.2 Potential Negative Impacts and Mitigation Measures ........................................................... 27
5. Environmental and Social management plan (ESMP) ................................................................... 28
5.1 Guiding principles............................................................................................................................ 28
5.2 Procedures .......................................................................................................................................... 28
Step (i): Eligibility check (Guidance for the DAs) .......................................................................... 29 Step (ii): Screening of sub-projects that require special attention and environmental and
social concerns (Guidance for Woreda EPLAU) .................................................................... 29 Step (iii): Notification of sub-projects of Environmental and Social Concern: Guidance for
the Woreda Council and BoA ...................................................................................................... 32
Step (iv): Review of notified sub-projects: Guidance for the REPLA/B .................................. 32
Step (v): Conducting an ESIA: Guidance for the Woreda EPLAU office ................................ 32
Step (vi): Reviewing the ESIA Report: Guidance for the REPLA/B ......................................... 32
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6. Gaps identified in the implementation of the ESMF in SLMP 1 ................................................ 34
7. Capacity Building Training and Technical Assistance .................................................................. 35
8. Implementation, supervision and monitoring ................................................................................... 37
8.1 Implementation and process monitoring ................................................................................... 37
8.2 Results monitoring ........................................................................................................................... 37
9. Implementation cost of the ESMF and safeguards .......................................................................... 38
9.1 Budget for capacity building ........................................................................................................ 38
9.2 Budget for implementation of the ESMF and Mitigation Measures ................................. 39
Annexes ............................................................................................................................................................. 40
Annex 1: Sub-project eligibility checklist for DAs at the Kebele level (form 1) ................... 40 Annex 2: Screening checklist for sub-projects needing special attention (form 2)- Guidance
for Woreda EPLAU focal person ................................................................................................ 41 Annex 3: Screening checklist for sub-projects of environmental concern (form 3)-
Guidance for Woreda EPLAU focal person ............................................................................. 41 Annex 4: checklist of potentially negative impacts and possible mitigation measures for
sub-project activities ....................................................................................................................... 43
Annex 5: Guidelines for sub-projects requiring special attention ............................................... 47 Annex 6: Checklist of questions for consultative meeting and discussions with regional
SLMP Coordinators, Woreda focal persons and community members .......................... 48 Annex 7: Summary of the discussion held with stakeholders in a validation workshop at
Adama, August 11, 2013 ............................................................................................................... 51
Annex 8: Summary of the discussions held with community representatives at Adama,
August 11, 2013 ............................................................................................................................... 62
Annex 9: Summary of Small Dam Safety Guideline (MoA) ........................................................ 65
ESMF for the Sustainable Land Management Project II
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Executive Summary
Natural resource conservation and sustainable utilization is among the top priority
development agendas of the Government of Ethiopia. This commitment is shown in various
actions that have been undertaken through different initiatives such as Managing
Environmental Resources to Enable Transition to more sustainable livelihoods (MERET),
Productive Safety Net Programs (PSNP) and the national Sustainable Land Management
Project (SLMP). The first phase of the SLMP was launched in 2008 and it has successfully
introduced land management practices and rehabilitated thousands of hectares of degraded
lands using physical and biological measures in 45 selected Woredas and watersheds. The
first phase of the SLMP will be finalized in September, 2013.
The second phase (SLMP II) is under preparation for the period 2013-2019. It will build on
the results of the SLMP I and introduces measures to address climate change/variability
related risks and to maximize Green House Gas (GHG) emission reductions so as to meet the
Growth and Transformation Plan (GTP) and the Climate Resilient Green Economy (CRGE)
goals while reducing land degradation and improving land productivity of small holder
farmers. The SLMP II will be implemented in 90 new and 45 existing Woredas and
watersheds through the existing government structures and community institutions in six
regions namely Oromia, Amhara, Tigray, Southern Nations and Nationalities Peoples,
Gambela and Benishangul Gumz. This ESMF document is prepared in order to manage and
avoid the negative environmental and social impacts that may arise from the implementation
of sub-projects to be financed under some of the project components in the SLMP II. The
environmental and socioeconomic milieu of the intervention areas are characterized by high
production potential but with significant limitations due to severe land degradation, high agro-
ecological variability and diverse farming systems, high population density and land
fragmentation.
The main objectives of the ESMF are i) to establish clear procedures and methodologies for
the environmental and social assessment, review, approval and implementation of
investments to be financed under the program; ii) to specify appropriate roles and
responsibilities, and outline the necessary reporting procedures, for managing and monitoring
environmental and social concerns related to program investments; and iii) to determine the
training and capacity building needs of the implementing institutions. The social impacts and
risks are addressed in a separate parallel Social Assessment (SA) study in which the main
social impacts are identified and mitigation measures are proposed along with a Resettlement
Policy Framework (RPF) document. This Environmental and Social Management Framework
(ESMF) will be implemented along with the social safeguard instruments. The SA objectives
include assessing socio-economic factors that require due consideration, identifying
vulnerable and underserved groups that may be excluded from the project and affected by the
project, assessing the potential social impacts, risks and the mitigation measures. Thus,
separate SA and RPF documents are prepared in parallel with this ESMF, which will all be
implemented together as safeguard instruments of the project.
This ESMF is prepared by collecting primary and secondary data as well as compiling
information through extensive review of project documents, environmental policies, laws,
regulations, proclamations and guidelines at the Federal and Regional levels, consultative
discussions with project team members of the project support unit (PSU) at the Ministry of
Agriculture, consultations with legal experts, monitoring and evaluation experts at the former
Federal Environmental Protection Authority, and environmental regulatory experts at
ESMF for the Sustainable Land Management Project II
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representative regional environmental protection agency. In depth discussions were held with
the SLMP regional coordinators of Tigray, Amhara, Oromia, Southern Nations and
Nationalities Peoples, Gambela and Benishangul Gumuz. In addition, consultations with
Woreda focal persons and local communities were held during a field visit to selected
Woredas and watersheds. The draft ESMF, as per the requirement of OP 4.01, has been
consulted with stakeholders drawn from governmental and non-governmental organizations
and feedback obtained from the consultation has been incorporated.
The project has four major components. Component 1: Integrated Watershed and Landscape
Management Component 2: Institutional Strengthening, Capacity Development and
Knowledge Generation and Management; Component 3: Rural Land Administration,
Certification and Land use; and Component 4: Project Management (component 4).
Component 1 and 2 have range of activities such as construction of small scale irrigation
schemes, community access road construction, water harvesting structures, small or micro-
dams, degraded forest rehabilitation and reforestation, gully rehabilitation, land mapping and
registration, most of which may involve manipulation of landscapes and resources, and or
affect the use rights (tenure rights) of people and/or their access rights to resources. These
activities may cause some unforeseen negative environmental and social impacts. These
impacts may include biodiversity loss, natural habitat and cultural resources destruction, soil
erosion and sedimentation, restriction of access to resources, flooding, involuntary loss of
land and displacement of people, pollution and diseases. Whereas Component 3 and 4, are
focused on capacity building and knowledge management, monitoring and evaluation,
safeguard implementation, etc… and may not have any adverse environmental and social
risks. This ESMF is prepared to manage and mitigate the negative impacts arising from the
first and third components.
The ESMF outlines the relevant national and regional administrative and environmental
policies, laws, proclamations, guidelines and procedures to be followed during the screening
of sub-projects against any potential environmental and social impacts. The SLMP II is a
category B project as described in the Project Appraisal Document (PAD) and generally the
impacts will be positive contributing to improving the rehabilitation of degraded areas and
improving productivity the agricultural landscape. However, site specific and less sensitive
localized environmental social impacts (e.g., pollution from agrochemicals, erosion,
biodiversity loss, salinity, habitat destruction may occur in the implementation areas. As a
result, the project is anticipated to trigger seven of the World Bank safeguard policies and
these policies require adhering to appropriate environmental assessment procedures and steps
to address all possible negative impacts.
The environmental and social management process starts with the sub-project planning
process in the SLMP II during the identification of sub-projects by local communities based
on their needs and priorities through a participatory watershed planning process guided by the
Community Based Participatory Watershed Development Guidelines (CBPWDG), technical
support from development agents (DAs) and Woreda experts. The DAs at the Kebele level
will screen eligibility of sub-projects against pre-set eligibility criteria. The project support
unit will ensure and document such procedures are properly followed. The project design/plan
will then be sent to the Woreda Agriculture Office and the Watershed Technical Committee.
The Technical Committee including experts from the Woreda Environmental Protection,
Land Use and Administration Unit (EPLAU), will screen the sub-projects. This committee
passes recommendations if any design modifications are required. The Woreda council will
ESMF for the Sustainable Land Management Project II
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then approve plans based on the recommendations of the Technical Committee. After
approval, the plan document is referred to the regional Bureau of Agriculture (BoA) with all
the accompanying environmental and social screening documents/files. If sub-projects of any
significant environmental concerns are included, then the plan document will be directed to
the attention of the Regional Environmental Protection and Land Administration Agency/
Bureau (REPLA/B). The REPLA/B will make decisions if an Environmental and Social
Assessment (ESIA) is required for those projects. Based on ESIA outcomes, REPLA/B will
recommend modifying the design, preparing environmental and social management plan to
mitigate negative impacts or reject/disapprove the project.
Consultations with regional SLMP coordinators, Woreda focal persons and local communities
revealed that there were two major gaps in implementing the ESMF during phase I of the
SLMP. These were limited technical capacity at the Kebele and Woreda levels in screening
sub-projects and absence of appropriate reporting formats; and absence of budget for the
implementation of the ESMP and mitigation measures. In order to address this, capacity
building trainings on watershed management, environmental management, safeguard policies,
project screening, monitoring and evaluation skills, participatory planning, and environmental
and social audit are proposed to be provided to Woreda and regional experts, technical
committee members and steering committee members. In addition, monitoring of the ESMF
implementation and backstopping support on technical issues would be provided by the PSU.
The implementation of the ESMF including capacity building and implementation of
mitigation measures may require an estimated budget of 1.59 million USD for the coming
five years.
ESMF for the Sustainable Land Management Project II
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1. Introduction
1.1 Overview of the SLMP II
Despite the efforts to reverse environmental degradation in the past many years, rampant
degradation of natural resources continued to be a serious environmental problem in Ethiopia
distressing land/agricultural productivity and slowing down economic progress. Agricultural
production in the country is largely rain-fed and practiced by small-holder farmers, which is
heavily affected by land degradation resulting in food insecurity and rural poverty.
In the successive national development plans, the Ethiopian government has put sustainable
natural resource management among the top priority development agendas. The commitment
of the government to address land degradation is supported by the actions that are undertaken
through different initiatives such as the PSNP and MERET projects. In the current
development plan, agriculture is one of the two priority sectors to drive sustained economic
growth and to achieve the development goals of the GTP. The CRGE strategy also identified
adoption of agricultural and land use efficiency measures as well as increasing carbon
sequestration in forestry by protecting deforestation and increasing reforestation as pathways
of green growth.
In an effort to complement the land rehabilitation activities of earlier initiatives such as the
PSNP, MERET and others, a national Sustainable Land Management Project (SLMPI) was
launched in 2008 with prime objective of reducing land degradation in agricultural landscapes
and improving the agricultural productivity of smallholder farmers. The main project
components were watershed management (scaling up best practices), land certification
(strengthening land tenure) and project management (knowledge management). The project
has successfully introduced land management practices and rehabilitated thousands of
hectares of degraded lands using physical and biological measures in 45 selected watersheds.
The SLMP I will be closed by the end of September, 2013 and its follow-up project (SLMP
II) is being prepared. The SLMP II aims to reduce land degradation and improve land
productivity of smallholder farmers through the provision of capital investments, technical
assistance and capacity building at national and sub-national levels. The SLMP II will build
on the results of SLMP I and also will introduce measures to address climate
change/variability related risks and to maximize Green House Gas (GHG) emission
reductions so as to meet the GTP and the CRGE goals. The results of the project will be
measured by the total land area to be put under sustainable and climate resilient land
management practices and amount of total carbon sequestered per unit area and time.
The SLMP II will be implemented in 90 new and 45 existing Woredas/watersheds in six of
the regions such as Oromia, Amhara, Tigray, SNNP, Gambela and Benishangul Gumuz. The
implementation will take place through the existing government structures and community
institutions spanning from the Federal to the Kebele levels. The planning and implementation
of the sub-project activities will be guided by the Project Appraisal Document (PAD), the
Community Based Participatory Watershed Development Guideline (CBPWDG) and Project
Implementation Manual (PIM).
ESMF for the Sustainable Land Management Project II
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1.2 Purpose and Objectives of the ESMF
This ESMF is prepared to serve as a safeguard framework to examine the environmental and
social impacts of sub-projects, to be financed under the SLMP II. The type and location of the
sub-projects are not identified at this stage and their impacts cannot be determined until
project planning is started by communities. Thus, the ESMF outlines the principles, rules,
guidelines and procedures to be followed during the screening of sub-projects against any
potential environmental and social impacts at the community level. The document guides in
designing appropriate measures and plans to reduce, mitigate and/or offset adverse impacts
and enhance positive outcomes.
The objectives of the ESMF are:
To establish clear procedures and methodologies for the environmental and social
assessment (the social assessment dealt in depth in a separate SA document), review,
approval and implementation of investments to be financed under the program;
To specify appropriate roles and responsibilities, and outline the necessary reporting
procedures, for managing and monitoring environmental and social concerns related to
program investments;
To determine the training and capacity building needs; and
To establish the budget required to implement the ESMF requirement
In addition to meeting the above objectives, the ESMF is intended to facilitate the
implementation of the projects based on the following principles:
Provide support to communities to develop their sub-project application to avoid or
minimize environmental and social safeguards concerns;
Provide support to local authorities to review applications and determine if additional,
more detailed environmental or social planning is required before applications can be
approved;
Provide fund for extension teams to assist communities in preparing their sub project
applications;
Provide support to communities, local authorities and extension teams in carrying out
their respective roles by funding substantial training, information resources and
technical assistance; and
Provide fund for annual reviews for assessing compliance, learning lessons, and
improving future performance, as well as assessing the occurrence of, and potential for
cumulative impacts due to project funded and other development activities
As mentioned elsewhere above, the key areas of the social concerns are addressed in the SA
assessment study. The objectives of the SA study were:
To assess and document key socio-economic factors that require consideration;
To identify vulnerable and historically underserved groups that may be excluded from
the project and be adversely affected as a result, and the necessary impact mitigating
measures.
To assess any potential adverse social impacts of the SLMPII, and determine whether
the project is likely to trigger the World Bank social safeguards policies.
ESMF for the Sustainable Land Management Project II
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To recommend in the early stage of project preparation the appropriate measures
towards addressing World Bank requirements on social safeguards that may be
triggered by the project (OP/BP 4.10 and OP/BP 4.11).
In addition, an RPF is prepared to address key social issues of the SLMP II such as land
acquisition and valuation, entitlements and compensation; dispute resolution and grievance
redress procedures in cases of involuntary or voluntary resettlements in the country.
1.3 Methods of the ESMF Preparation
1.3.1 Review of Project Related Documents
Review of the ESMF of the SLMP I: The ESMF document and the PAD of SLMP I were
reviewed to gather information on the project components and sub-components, institutional
arrangements for the implementation of the project and the ESMF, the anticipated sub-project
types, the identified potential environmental and social impacts, the proposed mitigation
measures and how these were designed to be implemented vis-à-vis the applicable safeguard
policies. The information from the review was useful in addressing the gaps identified from
the discussions held with stakeholders during the preparation of this ESMF. The SLMP II
PAD was also reviewed to understand the project components and sub-components, the
institutional arrangement for the implementation of the project and to identify the
improvements made in the project components.
1.3.2 Review of Relevant Policies, Laws and Proclamations, Environmental and
Social Assessment Guidelines
A thorough review of the relevant environmental management policies, proclamations and
guidelines in the country was made to take into account of these policies and laws during
preparation of sub-projects and environmental and social management plans to address
negative impacts. In addition, these documents, especially the proclamations and operational
guidelines provide important information on environmental and social management issues,
the ESIA procedures on different environmental hazards (agricultural, industrial, domestic,
etc…) and relevant institutions. The guidelines provide not only the applicable procedures
and but also suggest appropriate mitigation measures for some anticipated negative impacts.
These are listed in this ESMF to serve as references for the preparation and implementation of
environmental and social management plan.
1.3.3 Consultations with Selected Key Stakeholders
Consultation with Project Preparation Team: Meetings were held with the project
preparation team members at the MoA/SLMPSU to discuss detailed activities of the project
components and sub-components, experience in the implementation of the ESMF during the
first phase of the project, the institutional arrangement for the implementation of the SLMP II,
the ESMF, the monitoring and review of project activities, capacity building needs and
technical backstopping to Regional coordinators and Woreda focal persons during the
implementation of the ESMF.
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Consultation with the former FEPA and Regional EPA experts: Consultations were held
with the legal and policy experts, monitoring and evaluation experts at the former FEPA, and
environmental regulatory expert at the Oromia Environmental Protection and Land
Administration Bureau, on applicable federal and regional environmental policies, applicable
guidelines and ESIA procedures. In addition, their views on the proposed project and its
anticipated impacts, mitigation measures, the environmental management process at the
regional level and the roles of the different project partners at the Woreda and Kebele levels
were discussed.
Consultations with Regional SLMP Coordinators: Discussions were held with the SLMP
coordinators of the Oromia, Amhara, Tigray, SNNP, Benishangul Gumuz and Gambela
regions. The main issues discussed were status of the implementation of the ESMF during
phase one of the SLMP, major impacts of the projects, addressed and unaddressed impacts,
problems encountered at the different stages of the project, technical capacity gaps, the ESIA
process, institutional barriers on the procedures and application of the proposed guidelines.
Their views in addressing the identified gaps and suggested solutions to be considered in
Phase II were forwarded during the discussion (see questionnaires and checklists in Annex 6).
The discussion results are presented in chapter seven of this document.
Consultations with Woreda Focal Persons in Selected Woredas: Discussions were held
with the SLMP focal persons at two selected Woredas such as Woliso and OmoNada. The
discussions covered issues in sub-project identification and screening, Woreda level
screening, major impacts of the SLMP activities during phase one, addressed and unaddressed
impacts, capacity gaps, technical backstopping, monitoring and review of project activities,
encountered problems during implementation, what should be improved in the ESMF in
phase II (see questionnaires and checklists on Annex 6 and discussion results are summarized
in Annex 7).
Consultations with local communities during site visits in the selected Watersheds: Small
group discussions were held with local communities (project beneficiaries) during a visit to
the Rebu Watershed in Woliso and Nada Asendabo Watershed in OmoNada Woredas. The
community members generally reflected on the beneficial impacts of all the project activities,
particularly the upland rehabilitation through afforestation in Rebu Watershed prevented
flooding and erosion in the cultivated fields at the foothills. Farmers didn’t mention of any
negative environmental and social impacts from the SLMP project. According to the farmers,
activities implemented in the watershed improved soil fertility, increased ground water
availability and diversified income. All implemented activities yielded positive impacts.
There were no serious and unaddressed impacts. One single example of social impact
mentioned by communities in Woliso was restriction of grazing in a reforestation site at Rebu
watershed. The impact was addressed through community meetings and discussions.
1.4 Public Consultation in a Validation Workshop
The draft ESMF document was presented and discussed in a workshop to validate the results
and to enrich the document with comments and feedbacks from the workshop participants.
The workshop was organized by the PSU of the MoA and it was held from August 9 to 11,
2013 at Adama. It was attended by over 200 participants drawn from international
organizations, civil society organizations, federal agencies, regional agriculture bureaus and
environmental agencies, and community representatives from selected SLMP Woredas.
ESMF for the Sustainable Land Management Project II
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Although the purpose of the workshop was to review the SLMP phase I implementation, half
day was committed for the discussion on the draft ESMF and the Social Assessment study for
the SLMP II. Two separate discussions were held with experts and administrators in one
group and local community representatives in another. The discussion with experts and
administrators were focused on the implementation status of the ESMF in phase I, the level of
participation of local communities in the planning process, the screening process, unaddressed
impacts, the procedures and the implementation as well as monitoring processes and what
aspects to be improved and included in the current ESMF. The discussions with community
representatives were focused on participation of community members in watershed selection,
identification of sub-project activities, examples of serious environmental and social impacts
caused by similar projects and how they were addressed, role of the community in reducing
and mitigating the negative environmental and social impacts are some to mention. A
summary of the discussions (questions and responses) and list of workshop participants is
provided in Annex 7. .
Figure 1: Partial view of the workshop participants
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1.5 Organization of the Report
The main body of this document was structured into nine chapters.
Chapter One: introduction about resource conservation activities, similar initiatives in
sustainable land management, the objectives of the ESMF and the methods used in to prepare
this ESMF are covered in chapter one.
Chapter Two: The project components and sub-components in the SLMP II are described,
the institutional arrangements for the implementation of the project, the project planning
process, the environmental and social context of the intervention areas are provided in this
chapter.
Chapter Three: The legal, policy and regulatory issues relevant to the ESMF implementation
are reviewed and summary of the provisions are covered in the chapter.
Chapter Four: The potential positive and negative impacts of the project and the mitigation
measures are discussed in this chapter.
Chapter Five: The guiding principles, the procedures and the environmental management
process are described in chapter five. The major steps in the review process and involved
institutions at the different levels are illustrated.
Chapter Six: In this chapter, the results of the stakeholder consultations and the major gaps
in the implementation of the ESMF in phase I are presented as a summary. In addition, the
forwarded recommendations for successful implementation of the ESMF in Phase II are
indicated in this chapter.
Chapter Seven: Based on the identified capacity gaps, relevant topics, for capacity building
trainings, the target beneficiaries and duration of trainings and other backstopping activities
are identified and presented in this Chapter.
Chapter Eight: The roles of relevant institutions in the implementation and monitoring of
mitigation measures (process and results monitoring) are discussed in the chapter.
Chapter Nine: The budget for capacity building and implementation of the ESMF as well as
for mitigation measures are presented in this chapter.
2. Project Description
2.1 Project Components
The Project has four main components:
Component 1: Integrated Watershed and Landscape Management;
Component 2: Institutional Strengthening, Capacity Development and Knowledge
Generation and Management;
Component 3: Rural Land Administration, Certification and Land Use; and
Component 4: Project Management.
(Refer PAD for detailed descriptions of all the components).
Components two and four may not pose adverse environmental and social risks during
implementation. This ESMF is prepared mainly to address environmental and social impacts
arising from the implementation of sub-projects to be financed under Component one and
Component three.
ESMF for the Sustainable Land Management Project II
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2.2 Component 1: Integrated Watershed and Landscape Management
The objective of this component is to support scaling up and adoption of appropriate
sustainable land and water management technologies and practices by small-holder farmers
and communities in selected watersheds/Woredas in the country. The project component
objective will be achieved through the following activities grouped into two sub-components:
2.3 Sub-Component 1.1: Sustainable Natural Resource Management in
Public and Communal Lands
The major activities in this sub-component are Afforestation and Reforestation of degraded
communal land (hillside communal land treatment and management including woodlot
establishment, gully rehabilitation using biophysical measures and seedling production); crop
production aiming increasing productivity and carbon sequestration (treatment of farmland
with slope < 30% with suitable bio-physical measures, treatment of farmland with slope >
30% with suitable bio-physical measures, applying conservation agriculture, agro-forestry,
and biodiversity; agro-forestry promotion); livestock production aiming improving
productivity and reducing carbon emission (promotion of fodder or forage production,
improved breed for stock reduction, improved poultry breed, improved beekeeping activities,
modern artificial insemination (AI) service and cattle crush); Climate Resilience Building
and Increasing Water Availability (support small scale irrigation, potable water supply - hand
dug well and spring development, renewable energy potential at the rural setting).
2.4 Sub-Component 1.2: Homestead and Farmland Development,
Livelihoods Improvements and Climate Smart Agriculture
The major activities in the sub-component are construction of water harvesting structures with
water efficient irrigation methods,, homestead development by promoting high value crops
and multi- purpose fruit trees and forage tree planting, livestock improvement (e.g. small
ruminant fattening, promotion of beekeeping and honey production etc.), promoting bio-
fuel/biomass, biogas energy, promotion of fuel saving and efficient technologies, and feeder
road construction.
2.5 Component 3: Rural Land Administration, Certification and Land Use
The objective of the component is to enhance the tenure security of smallholder farmers in
order to increase their motivation to adopt sustainable land management practices on
communal and individual land. It would support an on-going national program providing land
certificates to all land holders, by enhancing rural land certification and administration as well
as local level land use planning at watersheds or Kebeles assisted by the project. The
component is subdivided into two sub-components targeted to achieve the overall objective of
land administration and use:
2.6 Sub-Component 3.1: Rural Land Administration and Certification
This is targeted to provide security of land tenure to smallholder farmers in the project areas
so that the adoption of sustainable land and water management technologies will be increased.
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The activities include provision of gender disaggregated geo-referenced land certificates to
individual land users and geo-referenced land certificates for communal lands to the
communities. This might result in loss of land or property leading to disputes and injustice to
underserved groups unless guided by safeguard policies and implementation framework
guidelines.
2.7 Sub-Component 3.2: Local Level Participatory Land Use Planning
The sub-component would support the preparation of local land use plans for decision making
on the best uses of the land and its resources for improved, alternative, sustainable and
productive development at the grass root level. Delineating land use types at the local level
would help to ensure that the choice of a particular use represents the optimal alternative
ensuring sustainable use of individual plots.
2.8 Institutional and Implementation Arrangements
The implementation of the SLMP II project activities and the ESMF will take place through
the existing government structures from the federal to the local or community level
institutions. This will follow suit of the SMLP I implementation structure.
FEDERAL: the overall coordination and implementation of the project will be facilitated by
the Federal Ministry of Agriculture (MoA) in collaboration with other relevant Ministries
(e.g., MoFED, MoWE, former FEPA, etc). The MoA will use the organization structure and
institutional mechanisms established to coordinate all sustainable land management projects
financed by the Government and development partners. The SLMP has its own National
Steering Committee (NSC) but the existing National Technical Committee (NTC) is
responsible for other national projects as well. However, it is suggested that the SLMP will
form a technical committee fully responsible for the project. The SLM Support Unit
(SLMSU) within the MoA is the core unit that coordinates the project activities. The MoA is
responsible for the day-to-day program management, preparation of annual work plan and
progress reports, monitoring/supervision of overall implementation progress; evaluation of
program impacts, fFinancial administration, procurement of goods and services.
The NSC has high level representations from the MoA, MoFED, MoWE, former FEPA,
ESIAR and BoAs of the SLMP II regions. The Committee is chaired by the State Minister for
Natural Resources in the MoA and will be responsible for (a) establishing policy guidelines
and providing overall supervision for project implementation; (b) approving the annual
federal and regional work plans and budget, and the annual procurement plan; and (c)
reviewing the annual implementation performance report to be prepared by the SLM Support
Unit; and overseeing the implementation of corrective actions, when necessary.
The NTC is composed of senior technical staff from MoA, MoFED, MoWE, former FEPA
and ESIAR. Representatives from the development partners who are supporting SLM projects
are members of the committee. The NTC is responsible for providing technical advice to the
MoA on coordination and synergies, technical issues of the SLM and other similar projects,
on the quality of project implementation reports, special study documents on policy,
guidelines, documentation of best practices, and M&E reports. However, it was discussed
with the support unit that the SLMP will form its own technical committee.
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The SLMPSU will be led by an appointed senior technical staff as National Project
Coordinator at MoA. The unit will be responsible for the day-to-day management of SLMP
II and will be responsible for (a) preparation of consolidated annual work plans and progress
reports; (b) monitoring and supervision of overall implementation progress and evaluation of
project impacts; (c) financial administration; and (d) procuring goods and services.
REGIONAL: Implementation will be led by the Bureau of Agriculture (BoA). BoA will
appoint one regional coordinator and it will be responsible for approving annual work plans
and progress reports from the Woredas. The reports would then be submitted to the SLMPSU.
A regional steering committee (RSC) will be formed from heads of relevant sectors to provide
guidance and leadership at the regional level. The RSC will meet quarterly to review
performance, to endorse the quarterly progress reports and to provide necessary guidance on
project implementation, and at the beginning of the fiscal year to endorse the annual plan.
WOREDA AND KEBELE: On-the-ground implementation of the project would be
undertaken jointly by Woreda office of Agriculture through the Woreda Watershed
Development Committee (WWDC), the Kebele Watershed Development Committee
(KWDC), and communities. The WWDC and KWDC would assist communities in: (i)
developing annual work plans and budgets for submission to the Regions for endorsement and
integration into the Regions’ work plans and budgets; (ii) facilitating community participation
in watershed planning and rehabilitation; (iii) training; (iv) monitoring and evaluation; (v)
dissemination of innovations in SLM.
2.9 Sub-project Identification and Watershed Planning Process
Sub-projects are identified by the communities based on their local needs and priorities
through a participatory watershed planning process whereby all community members have the
opportunity for sharing ideas and making decisions. The DAs at the Kebeles and the KWDC
members will provide the necessary technical support to the community team during the
identification and planning. The planning process is guided by the Community Based
Participatory Watershed Development Guidelines. The list of identified sub-projects will
then be referred to the KWDC for approval. The draft plan will be submitted to the WWDC
for screening and hierarchical approval (Woreda and Region).
2.10 Environmental Context and Baseline Conditions
The project will be implemented in different agro-ecological and administrative regions
characterized by different regimes of rainfall, temperature, growing periods, socioeconomic
and biophysical environments. The newly selected watersheds are 90 and they will be
implemented in six regions (refer PAD). Majority of the areas are located in typically
highland agro-climatic zones (in Dega or high altitude and dry Woina Dega or mid-altitude)
with cereal crop-based or mixed crop-livestock faming systems, high altitude and high
rainfall, high potential productivity and moderate to severe land degradation, longer growing
periods and high population density. Some are located in the lowland agro-climatic zones
where farming is crop-livestock mixed or annual/perennial crop-livestock mixed farming
system. Generally, the environmental and socioeconomic milieu of the intervention areas are
characterized by high production potential but with significant limitations due to severe land
degradation, high agro-ecological variability and diverse farming systems, high population
density and land fragmentation. Those areas with potential access to markets to maximize
return from agricultural production, development potential for surface and ground water
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resources to increase production; and areas with critical importance for the protection of vital
economic infrastructures from on-going or potential erosion-sedimentation problems will be
selected for intervention.
Figure 2: Location map of the SLMP watersheds in phase I
Figure 3: Partial view of the afforestation/reforestation site in Woliso, Rebu Watershed
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3. Administrative, Policy and Regulatory Framework for
Environmental Management
3.1 The FDRE Constitution
The Federal Democratic Republic of Ethiopia constitution issued in August 1995 has several
provisions, which have direct policy, legal and institutional relevance for the appropriate
implementation of environmental protection and rehabilitation action plans to avoid, mitigate
or compensate the adverse effects of development actions. Article 40 of the constitution
proclaims that land and natural resources are commonly owned by the people of Ethiopia and
shall not be subject to sale or other means of exchange. It stipulates the rights of Ethiopian
farmers and pastoralists to obtain land for cultivation and for free grazing without payment
and the protection against eviction from their possession.
In articles 43, 44 and 92 referring the rights for development and environmental obligations,
the following are important provisions of the constitution:
People have the right to improved living standards and to sustainable development,
People have the right to full consultation and to the expression of views in the
planning and implementations of environmental policies and projects that affect them
directly
People have the right to commensurate monetary or alternative means of
compensation, including relocation with adequate state assistance for persons who
have been displaced or whose livelihoods have been adversely affected as a result of
State programs
The people and the state have common responsibility/obligation to protect the
environment
The state endeavors to ensure all people live in a clean and healthy environment
The state shall ensure that the design and implementation of development projects will
not damage or destroy the environment.
Regional states constitutions:
Regional states have their own constitutions upholding the federal constitution in its entirety
and constituting their regional particulars. All the regional state constitutions have addressed
land and natural resources management and environmental protection. The regional states
constitutions state that:
The regional governments are entrusted to administer land and natural resources in the
name of the people and deploy for the common benefit of the same;
The regional governments and all citizens of the regions are responsible for the
conservation of natural resources and the environment;
Concerned communities shall be given opportunity to express their opinions in the
formulation and implementation of policies in relation to the environment.
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3.2 Environmental Policy of Ethiopia
The environmental policy of Ethiopia, approved in 1997, is aimed at guiding sustainable
social and economic development of the country through the conservation and sustainable
utilization of the natural, man-made and cultural resources and the environment at large. The
policy lists specific objectives encompassing wide range of environmental issues to be
addressed through the adoption of the policy. It also provides overarching environmental
guiding principles to be adopted to harmonize the environmental elements in sectroral, cross-
sectoral and other policies. The policy clearly outlined the sectoral environmental policies,
relevant to environmental management among others are: (i) Soil Husbandry and Sustainable
Agriculture; (ii) Forests, Woodlands and Trees; (iii) Genetic, Species and Ecosystem
Biodiversity; (iv) Water Resources; (v) Energy Resources; (vi) Human Settlement, Urban
Environment and Environmental Health; and (vii) ESIA.
3.3 Biodiversity Conservation and Research Policy
The biodiversity policy was approved in 1998 and it provides policy guidance towards the
effective conservation, rational development and sustainable utilization of the country's
biodiversity. The policy objectives accentuate public participation in biodiversity
conservation, development and utilization, and also ensure that communities share from the
benefit accrued from the utilization of the genetic resources and their traditional knowledge.
The policy consists of comprehensive provisions on the conservation and sustainable
utilization of biodiversity, and it underlines the requirements for implementers to adopt during
planning and operational phase of projects and for those projects engaged in biological
resource utilization to follow ESIA procedures.
3.4 Proclamations and Environmental Guidelines
4.4.1 Proclamations
Environmental Protection Organs Establishment Proclamation, No. 295/2002
The proclamation was made to re-establish the Federal Environmental Protection Authority,
to establish Sectoral Environmental Units and Regional Environmental Protection Agencies.
The former FEPA is established to formulate policies, strategies, laws and standards, which
foster social and economic development in a manner that enhance the welfare of humans and
the safety of the environment, sustainable development projects and to spearhead in ensuring
the effectiveness of the process of their implementation.
The former Federal Environmental Protection Authority, among others, has the powers and
duties to:
Coordinate measures to ensure that the environmental objectives provided under the
Constitution and the basic principles set out in the environmental Policy of Ethiopia
are realized;
Prepare, review and update, or as necessary, cause the preparation of environmental
policies strategies and laws in consultation with the competent agencies, other
concerned organs and the public at large and upon approval, monitor and enforce their
implementation;
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Liaise with competent agencies in the field of environmental protection and
rehabilitation and support them in capacity development;
Establish a system for environmental impact assessment of public and private projects,
as well as social and economic development policies, strategies, laws, and programs s
Provide advice and support to regions regarding the management and protection of the
environment
Sectoral Environmental Units (SEUs): Every competent agency (sectoral) is required by the
Proclamation No. 295/2002 to establish or designate an environmental unit that shall be
responsible for coordination and follow up so that the activities of the competent agency are
in harmony with this Proclamation and with other environmental protection requirements.
Accordingly some sectoral agencies (e.g., Ministry of mines) have now environmental units
or at least experts to deal with environmental issues.
Regional Environmental Protection Agencies (REPAs): the Proclamation No. 295/2002
decrees that each national regional state shall establish shall establish an independent regional
environmental agency or designate an existing agency that shall, based on the Ethiopian
Environmental Policy and Conservation Strategy and ensuring public participation in the
decision making process. REPAs are responsible for:
Coordinating the formulation, implementation, review and revision of regional
conservation strategies, and,
Environmental monitoring, protection and regulation.
Ensuring the implementation of federal environmental standards or, as may be
appropriate, and issue and implement their own no less stringent standards.
Preparing reports on the respective state of the environment and sustainable
development of their respective states and submits the same to the Authority.
Environmental Impact Assessment Proclamation, NO. 299/2002
The Environmental Impact Assessment Proclamation was decreed in December, 2002 in order
to make ESIA a mandatory procedure for projects to be undertaken by the government, public
or private entities that require environmental impact analysis. The Proclamation elaborates on
considerations with respect to the assessment of positive and negative impacts and states that
the impact of a project shall be assessed on the basis of the size, location, nature, cumulative
effect with other concurrent impacts or phenomena, trans-regional context, duration,
reversibility or irreversibility or other related effects of a project. Based on directives or
guidelines pursuant to this proclamation, projects will be categorized as:
Projects that are not likely to have negative impacts, and thus do not require
environmental impact assessment; and
Projects those are likely to have negative impacts and thus require environmental
impact assessment.
As per the procedures in the proclamation, a proponent is required to undertake a timely
environmental impact assessment, assess the possible adverse impacts of the proposed
project, and propose the means of mitigation, and shall submit the study report to the relevant
body (Federal or regional EPA) for review and decision. It is also a requirement that ESIA
reports be prepared by an expert that meet the requirements specified under any directive
issued by the Authority (regional/federal).
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Jurisdictions in the Proclamation: The regional environmental agency in each region shall be
responsible for the evaluation and authorization or any environmental impact study report and
the monitoring of its implementation if the project is not subject to licensing, execution and
supervision by a federal agency and if it is unlikely to produce trans-regional impact.
Rural land Administration and Use Proclamation, No. 456/2005
The main aim of the Proclamation is to conserve and develop natural resources in rural areas
by promoting sustainable land use practices. In order to encourage farmers and pastoralists to
implement measures to guard against soil erosion, the Proclamation introduces a Rural Land
Holding Certificate, which provides a level of security of tenure. The MoA is tasked with
implementing the Proclamation by providing support and co-coordinating the activities of the
regional governments. Regional governments have an obligation to establish a competent
organization to implement the rural land administration and land use law. Accordingly the
REPAs are responsible for rural land administration. The Proclamation states that if a land,
that has already been registered, is to be acquired for public works or for investment,
compensation commensurate with the improvements made to the land shall be paid to the
land use holder or substitute land shall be offered. The Proclamation imposes restrictions on
the use of various categories of land, for example wetland areas, steep slopes, land dissected
by gullies, etc.
Environmental Pollution Control Proclamation, No. 300/2002
The aim of the proclamation is to control and manage possible causes of environmental
pollution from hazardous substances, waste and any other forms of pollutants that pose
serious environmental, social and health threats. The proclamation has important provisions
on environmental standards, inspection procedures, offences and penalties, etc…. In its
provision to control pollution, the proclamation states that, among others,
No person shall pollute or cause any other person to pollute the environment by
violating the relevant environmental standards
The Authority or the relevant Regional environmental agency may take an
administrative or legal measure against a person who, in violation of law, releases any
pollutant to the environment.
Ethiopian Water Resources Management Proclamation, No. 197/2000
The proclamation is decreed to ensure that the water resources of the country are protected
and utilized for the highest social and economic benefits of the people of Ethiopia, to follow
up and supervise that they are duly conserved, ensure that harmful effects of water are
prevented, and that the management of water resources is carried out properly. It proclaims
that all water resources of the country are the common property of the Ethiopian people and
the state. It provisions on general principles of water use and management, inventory of water
resources, professional engagement in water resource management and supply. Among other
articles, the proclamation clearly indicates the requirements on water bank management and
prevention of harmful effects on water resources in the articles 24 and 25 of the proclamation.
The supervising body (the ministry), in collaboration and in consultation with the appropriate
public body may:
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Delimit the boundaries of the banks of certain water bodies;
Prohibit clearing and cutting trees or vegetation and construction of residential houses
within the delimited banks of water bodies.
The appropriate public bodies shall, before allowing or causing the founding of towns
or villages, request the supervising body for technical advice in order to prevent or
avoid damages, adverse impacts or accidents which may occur as a result of floods
and other factors related to water.
4.4.2 Environmental and social impact assessment guidelines and directives
The former FEPA has published series of environmental and social impact assessment
guidelines for the different sectors outlining the key issues, principles, procedures and
processes to be adopted and adhered to avoid and/or mitigate potentially negative
environmental and social impacts during project planning, implementation and operation by
government, public and private entities. Some of the guidelines are generic and applicable in
different sectors and there are also sector specific guidelines prepared for key environmental
and social issues to adhere during the ESIA analysis in those specific sectors.
Environmental Impact Assessment Guideline, May, 2000
The guideline provides the policy and legislative framework, the general ESIA process and
key sectoral environmental issues, standards and recommendations for environmental
management in key sectors such as agriculture, industry, transport, tannery, dams and
reservoirs, mining, textiles, irrigation, hydropower and resettlement projects.
Environmental and Social Management Plan Preparation Guideline, Nov. 2004
The guideline provides the essential components to be covered in any environmental
management plan (e.g., identified impacts, mitigation measures, monitoring, capacity
building, etc….) and structured formats for mitigation measures, monitoring and institutional
arrangements.
Similar guidelines for the different sectors include the following:
Environmental and Social Impact Assessment Guidelines for Dams and Reservoirs,
2004
Environmental Impact Assessment Guideline for Fertilizer, 2004
Guidelines for Social, Environmental and Ecological Impact Assessment and
Environmental Hygiene in Settlement Areas, 2004
Environmental Impact Assessment Guidelines on Irrigation, 2004
Integrated Environmental and Social Impact Assessment Guidelines Livestock and
Rangeland Management, 2004
Environmental Impact Assessment Guideline For Mineral and Petroleum Operation
Projects, December 2003
Environmental Impact Assessment Guideline On Pesticides, May 2004
Environmental Impact Assessment Guidelines on Road and Railway, 2004
Environmental Impact Assessment Guidelines on Forestry, 2004
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A Directive Issued to Determine Projects Subject To Environmental Impact Assessment,
Directive No.1/ 2008
The directive was issued to identify and list out those investment projects subject to
mandatory Environmental Impact Assessment. The regions are entitled to issue similar
directive to their own specific cases based on this directives. Extensive list of project types
requiring ESIA are provided in this directive.
3.5 Relevant and applicable international conventions ratified by Ethiopia
Ethiopia has ratified several international/multilateral environmental conventions and many of
the principles and provisions in those conventions have been well addressed in the national
environmental policies and regulations. Some of these conventions include the following:
Convention on Access to Information, Public Participation in Decision-making and
Access to Justice in Environmental Matters, Done at Aarhus, Denmark, On 25 June
1998
Cartagena Protocol on Bio-Safety to the Convention on Biological Diversity
Convention on Biological Diversity, Rio, 5 June, 1992
Kyoto Protocol to the United Nations Framework Convention on Climate Change
United Nations Convention to Combat Desertification
UN Framework Convention on Climate Change
Convention for the Protection of the World Cultural and Natural Heritage Paris, 23
November 1972
3.6 Applicable World Bank Safeguard Policies Triggered by the SLMP II
The ESMF will be required to comply with not only the relevant national policy and legal
frameworks but also with the applicable environmental and social safeguard policies of the
World Bank. The safeguard policies that will be triggered by the SLMP II (specifically by
component I and component III) are described below.
Environmental Assessment OP/BP 4.01: This policy will be triggered because the SLMP II
project will finance small-scale infrastructure projects such as irrigation, construction of
community access roads, water harvesting structures, soil and water conservation structures,
ex-closures, afforestation, gully rehabilitation, agro-forestry, etc....The policy objective is to
ensure that sub-projects are environmentally and socially sound. The type of EA would
depend on the nature, scale, and potential environmental impact of the proposed investments.
The EA process takes into account the natural environment (air, water, and land); human
health and safety; social aspects (involuntary resettlement and cultural resources) and trans-
boundary and global environmental aspects. Projects are classified by the World Bank into
specific categories based on the type, location, sensitivity and potential environmental
impacts:
Category ‘A’ projects: The project is likely to have adverse environmental impacts that are
diverse, sensitive and unprecedented affecting broader area than implementation sites. A full
ESIA is always required for projects that are in this category, and for which impacts are
expected to be ʹ adverse, sensitive, irreversible and diverse with attributes such as pollutant
discharges large enough to cause degradation of air, water, or soil; large‐scale physical
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disturbance of the site or surroundings; extraction, consumption or conversion of substantial
amounts of forests and other natural resources; measurable modification of hydrological
cycles; use of hazardous materials in more than incidental quantities; and significant
involuntary displacement of people or other significant social disturbances.
Category ‘B’ Projects: The potential environmental impacts on humans and sensitive areas
(wetlands, forests, natural habitats, etc...) are less adverse, site specific, few if any are
irreversible. Even though an ESIA is not always required, some environmental analysis is
necessary and some form of environmental management plan needs to be prepared with
recommended measures to prevent, minimize, mitigate or compensate for adverse impacts.
Typical projects include renewable energy; irrigation and drainage (small-scale), rural water
supply and sanitation, watershed management or rehabilitation projects, rehabilitation,
maintenance, or upgrading of projects (small-scale), rather than new construction.
Category ‘C’ Projects: There are no or minimal adverse environmental and social impacts.
Such projects may not need ESIA other than screening. Typical projects include education,
family planning, health, nutrition, institutional development, technical assistance, and most
human resource projects. Such projects will not directly cause disturbance of the physical
environment and biological components and do not need environmental assessment.
The SLMP II project is a category B project and sub-projects classified as B or C will be
financed. The policy will be triggered because of activities included in project component I
and component III. Since most of the watershed and landscape management activities are
focused on degraded land rehabilitation, they will have more positive environmental and
social impacts and the potential negative impacts will be minimal and they will be contained
with mitigation measures.
Natural Habitats OP/BP 4.04: This policy is triggered by any project (sub-project) with the
potential to cause significant conversion (loss) or degradation of natural habitats (protected or
unprotected ecologically valuable habitats), either directly through construction or indirectly
through human activities induced by the project. The natural habitats are land and/or water
areas where the biological communities are formed largely by native plant and animal species,
and human activities have not essentially modified the primary ecological functions. Natural
habitats have important biological, social, economic, and existence value.
The policy will be triggered because sub-projects in SLMP II may have some adverse impacts
on wetlands, protected areas, conservation sites, and critical ecosystems. Sub-projects
involving significant conversion of natural habitats or if an environmental assessment
indicates that a proposed sub‐project would significantly convert or degrade natural habitats,
the proposed sub‐project will not be eligible for financing under SLMP II
Pest Management OP 4.09: The policy requires safe, effective, and environmentally sound
pest management. In Bank financed agricultural operations, pest populations are normally
controlled through IPM approaches such as biological control, cultural practices, and use of
crop varieties that are resistant or tolerant to pests. The Bank may finance the purchase of
pesticides when their use is justified under an IPM approach. However, purchase of pesticides
must be in accordance with Recommended Classification of Pesticides by Hazard
and Guidelines to Classification (WHO, 1994/95). During selection, the following criteria
must be applied: Pesticides i) should not have adverse human health effects; ii) should be
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effective against the target species; iii) should have no/minimal effect on non-target species
and the natural environment; iv) should not lead to the development of resistance in pests.
The policy will be triggered by the SLMP II activities, particularly those in agriculture and
irrigation (introduction of high value crops and use of pesticides, introduction of new varieties
of crops, new fruit tree species and varieties, high yielding varieties) may increase the use of
agrochemicals (insecticides, herbicides, fertilizers, etc...). An integrated pest management
framework needs to be prepared as indicated in the guideline in Annex 1
Physical Cultural Resources OP/BP 4.11: the policy requires countries to avoid or mitigate
adverse impacts from development projects on physical cultural resources. The physical
cultural resources refer to movable or immovable objects, archaeological and historical sites,
historic urban areas, sacred sites, grave yards, burial sites, structures, paleontological,
historical, architectural, religious, aesthetic, or others that have unique natural, social and
cultural significance.
The policy is triggered by the SLMP II because the small scale infrastructure sub-projects
involve access road construction, small scale dam construction, irrigation, and other similar
infrastructure, which may potentially affect physical and cultural resources. The necessary
steps of public consultations, engagement of cultural or religious leaders, local authorities
need to be conducted before decision on project is made.
Involuntary Resettlement OP/BP 4.12: the policy on involuntary land acquisition aims to
avoid or minimize involuntary resettlement where feasible, exploring all viable alternative
project designs; assist displaced persons in improving their former living standards, income
earning capacity, and production level, or at least in restoring them; encourage community
participation in planning and implementing resettlement; and provide assistance to affected
people regardless of the legality of land tenure. The policy covers any loss of land or other
assets resulting in relocation or loss of shelter; loss of assets or access to assets; loss of
income sources or means of livelihood whether or not the affected people must move to
another location. When the policy is triggered, a Resettlement Action Plan must be prepared.
An abbreviated plan may be developed when less than 200 people are affected by the project.
In situations, where all the precise impacts cannot be assessed during project preparation,
provision is made for preparing a Resettlement Policy Framework. The Resettlement Action
Plan /Resettlement Policy Framework must include measures to ensure that the displaced
persons are informed about their options and rights pertaining to resettlement. The displaced
persons are consulted on, offered choices among, and provided with technically and
economically feasible resettlement alternatives and provided prompt and effective
compensation at full replacement cost for losses of assets attributable directly to the project.
Under SLMP II, activities related to afforestation and reforestation sub-projects may not
necessarily cause large scale involuntary land acquisition since such projects will be
implemented on communal lands. However, such activities may trigger this policy during
enclosure of areas for rehabilitation and natural regeneration since it restricts access and also
may result in relocation of few numbers of households outside of the project areas.
Forests OP/BP 4.36: the policy aims to reduce deforestation, enhance the environmental
contribution of forested areas, promote forestation, reduce poverty, and encourage economic
development. the policy applies to Bank financed investment projects: i) that have or may
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have impacts on the health and quality of forests; ii) that affect the rights and welfare of
people and their level of dependence upon or interaction with forests; iii) that aim to bring
about changes in the management, protection, or utilization of natural forests or plantations
under public, private, or communally ownership. The Bank does not finance projects that
involve commercial logging, significant conversion or degradation of critical forest areas and
related habitats.
Under SLMP II, the forest related activities will have positive impacts because activities are
on reforestation, rehabilitation of degraded forests land and communal lands. Community
infrastructure such as access roads and irrigation infrastructures may pose some negative
impacts if forests are found in those sub-project sites. Management plans with mitigation
measures will be prepared avoid or reduce such impacts. If there are projects likely to cause
significant conversions of forests, they will not be financed under the SLMP II.
Projects on International Waterways OP/BP 7.50: the policy applies to any river, canal,
lake, or similar body of water that forms a boundary between, or any river or body of surface
water that flows through, two or more states. It also includes any tributary or other body of
surface water (any bay, gulf, strait, or channel) bounded by two or more states or, if within
one state, recognized as a necessary channel of communication between the open sea and
other states and any river flowing into such waters. The policy applies to hydroelectric,
irrigation, flood control, navigation, drainage, water and sewerage, industrial, and similar
projects that involve the use or potential pollution of international waterways. The policy
recognizes prior riparian states agreements/arrangements and calls for notification of riparian
states by parties that proposes to undertake project that affects international waters.
Activities under Component 1 of the project are aimed at better watershed and pastureland
management, afforestation and reforestation, biodiversity conservation as well as climate
smart agriculture. These activities will contribute to reducing soil erosion and rejuvenate
degraded landscapes hence lesser siltation of rivers and streams in the targeted watersheds.
None of the project activities will therefore adversely change the quality or quantity of water
flows to the other riparian of the Nile and its tributaries or any other international waterway
and no actual works will be financed on or along the river system. In addition, based on the
assumption that investments under the Project are unlikely to affect the overall hydrological
balance of any of the international waterways or tributaries, this policy will not be triggered
under the SLMP II.
Safety of Dams OP 4.37: Although there will possibly be construction of small dams under
SLMP II, particularly for irrigation, they may not be large (more than 4.5 meters high) and
may not require special procedures to follow. Thus, the project will not trigger OP 4.37
(safety of dams). In cases of small dams construction (less than 4.5 meters), implementers can
use the FAO ‘Manual on Small Earth Dams, a guide to siting, design and construction’. In
addition the guideline for small dam construction prepared by the MOA will be used to ensure
safety of small dams. The guideline is attached in Annex 9.
4. Potential Environmental and Social Impacts and Mitigation
Measures
The proposed SLMP II project is land rehabilitation and capacity building project, which will
implement interventions that directly affect the biophysical and human environment. The
project can have both positive and negative impacts and the impacts may occur at different
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stages of the project cycle (mainly during implementation and operation). The environmental
and social management plan is intended to maximize the positive impacts and ensure
sustainability of projects by avoiding, minimizing and/or mitigating the negative impacts
through appropriate mitigation measures.
4.1 Positive Impacts
The environmental and social impacts of the watershed and landscape management
component of the SLMP II are expected to be largely positive because the project activities
are focused on degraded landscape rehabilitation through physical and biological conservation
structures (bunds, terraces, trenches, diversion canals, etc...), afforestation and reforestation
on communal and private lands. To mention some of the cumulative positive impacts of such
interventions:
Important habitats and biodiversity will be restored at the landscape level
Critical ecosystems will be rehabilitated and ecosystem goods and services will be
revitalized
Farm and landscape productivity will be improved
Local livelihoods will be diversified and improved.
Adaptive capacity of local communities will be improved by promoting climate smart
agriculture.
Food security will be improved through better crop yields, managed agricultural
resource base
Local climate will be regulated and carbon sequestration will be increased
Carbon sequestration will increase and GHG emission will be reduced
4.2 Potential Negative Impacts and Mitigation Measures
Some of the project interventions may have some localized but less sensitive, site specific and
perhaps reversible environmental impacts if appropriate screening is not done and if such
impacts are not considered with regard to their locations or in the design of the sub-projects.
The types of sub-projects include construction of water harvesting structures (e.g., ponds,
storage tanks), community access roads, roadside flood harvesting/drainage systems,
diversion canals, small dams, small scale irrigation structures, area ex-closures, reforestation
and afforestation in communal and private lands. The sub-projects may include agricultural
land management activities that may necessitate applying agrochemicals as part of the
agronomic practices. The sub-projects will be screened for the possible environmental and
social impacts during the participatory watershed planning at the community level and
appropriate mitigation measures will be developed. For projects of environmental and social
concern, a detailed site-specific environmental and social management plan will be prepared
to contain the adverse impacts before the start of implementation activities. The checklist of
activities (source of impacts), the potential negative impacts and possible mitigation measures
which are part of the Environmental and Social Management Plan for the selected project sub-
component are indicated in Annex 4.
ESMF for the Sustainable Land Management Project II
28
5. Environmental and Social management plan (ESMP)
5.1 Guiding principles
The SLMP II is a category ‘B’ project and sub-projects may not require a full scale ESIA.
However, environmental and social analysis is necessary and appropriate environmental and
social management plan has to be prepared to prevent, minimize, mitigate or compensate for
adverse impacts. Thus, the environmental and social management planning and
implementation under SLMP II will be guided by the following principles.
The watershed and landscape management project component of the SLMP involves
relatively small-scale projects that can be designed, implemented and managed at the
kebele level using standardised published guidance, and with the assistance of woreda
staff as required.
The project planning process will be participatory and communities have the
opportunity to prioritize needs; and participation in the community projects will be
entirely voluntary ;
The design of sub-project watershed and landscape activities will be guided by
technical materials such as the community watershed management guideline which
incorporates specific design procedures to avoid or minimise adverse impacts and
encourage positive environmental effects.
Project planning and implementation will integrate appropriate Environmental and
Social Management Plan.
Identified sub-projects by the communities will be screened, vetted and adopted in the
Kebele watershed management plan on the basis of selection criteria and screening
designed to eliminate projects with major or irreversible environmental or social
impacts (as stated in the guidelines below). Sub-projects with special environmental
concern will be directed to the attention of the technical body at the regional level
Approval at regional level will involve the Regional Environmental Protection and
rural Land Administration Agency/Authority/Bureau (REPLA/B), which will have the
right to decline a project on environmental or social grounds, or to conduct an
assessment of likely impacts prior to approval.
Special attention will be given to the impacts of small-scale irrigation projects, water
harvesting structures and community roads involving land/asset acquisition. Such
types of sub-projects will be notified to the REPLA/B. The REPLA/B will decide
whether an ESIA is required. Following such ESIA, the REPLA/B may modify the
project, recommend a management plan, or disapprove the project.
Project implementation will be supervised and monitored at Kebele and Woreda
levels. The DAs, with assistance as deemed necessary from the Woreda, will ensure
that the specified mitigating measures are implemented.
5.2 Procedures
During sub-project selection by communities, the Development Agents have to check whether
the identified sub-projects fall into the categories that are not eligible financing under SLMP
II activities. Such sub-projects may include those that may cause damage to physical and
cultural resources; construction of reservoir dams that are above 4.5 meters, that may
potentially affect the quality or quantity of water or a waterway shared with other nations; that
require physical relocation of people, access to assets, etc.... The project design/plan will then
ESMF for the Sustainable Land Management Project II
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be sent to the Woreda Watershed Technical Committee. The technical committee members,
which include experts from the Woreda land use, administration and environmental protection
unit (EPLAU), will screen the sub-projects. This committee passes recommendations if any
design modifications are required and the Woreda council approves plans based on the
recommendations of the technical committee. If sub-projects of any significant environmental
concerns are included, then the plan document will be directed to the attention of REPLA/B.
Such cases are rare since the project does not involve construction of large dams, canals and
roads. The REPLA/B will make decisions if ESIA is required for those projects. Based on
ESIA outcomes, REPLA/B will recommend modifying the design, preparing environmental
management plan to mitigate negative impacts or reject/disapprove the project. The
environmental and social management will involve the following steps:
Step (i): Eligibility check (Guidance for the DAs)
Sub-projects that are not eligible under the SLMP II can be reviewed and checked by DAs at
the Kebele against any of the features mentioned in the checklist provided in Table 1 below.
This simple checklist can be used by DAs as a format for fast track eligibility checking of
identified sub-projects (Annex 1).
Table 1: Checklist for sub-project eligibility screening at Keble level by DAs
Yes No
Will the sub-project:
cause any large-scale physical disturbance of the site or the
surroundings
cause significant involuntary displacement of people or social
disturbances, involuntary loss of assets
involve removal or conversion of forests and other natural resources
disrupt the quality or quantity of water in a waterway shared with
other nations
cause degradation of critical natural habitats
affect important physical and cultural resources (historical, religious,
archaeological sites and monuments)
involve construction of dams more than 4.5 meters
cause any loss of biodiversity
Affect any vulnerable or underserved groups
If the sub-projects have any of the above features, those with ‘Yes’ responses will be
considered as not eligible and have to be rejected unless the features can be avoided by
change of design or location.
Step (ii): Screening of sub-projects that require special attention and
environmental and social concerns (Guidance for Woreda EPLAU)
Eligible sub-projects are further screened for potential impacts and environmental and social
concerns by the Woreda Environmental Protection, Land Administration and Use (EPLAU)
case team together with the Natural Resource Management case team at the Woreda
Agriculture Office. The following checklist can be used by the Woreda EPLAU focal person
for screening and the format indicated in Annex 2 can be used for reporting.
ESMF for the Sustainable Land Management Project II
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Table 2: Screening sub-projects requiring special attention
Yes No
Will the sub-project:
involve use of agro-chemicals?
involve land acquisition, loss of assets or access to assets on the land?
cause displacement of people?
incorporates dams more than 4.5 meters?
Small scale irrigation and agricultural sub-projects may introduce high value crops and new
varieties, which may require introduction and increased use of agro-chemicals including
pesticides. Land rehabilitation, irrigation and access road construction sub-projects may
involve voluntary land acquisition and loss of assets or minor displacement of people. If the
sub-projects have any of the above features (‘Yes’ answers), the Woreda EPLAU expert
notifies the Woreda NRM case team to make sure that the necessary procedures and
guidelines are followed in the environmental and social management plan (Annex 5).
Then, sub-projects have to be screened for any potential environmental and social concern
and can be screened using the checklist shown below.
Table 3: Checklist for screening sub-projects of environmental and social concern
Yes No
Will the sub-project:
be located in forest priority areas and cause destruction of habitats?
instigate soil erosion and flooding?
cause disturbance to ecologically sensitive areas?
be located close to national parks and protected areas?
cause pollution of surface and ground water?
cause breeding of disease vectors (malaria)?
cause soil pollution?
involve area enclosures and loss of access?
be located close to cultural heritage, historical and religious sites?
cause erosion and sedimentation into international waterways?
involve draining of and/or disturbance to wetlands?
cause involuntary land acquisition and resettlement?
affect local communities?
If the sub-project has any of the above listed features (with ‘Yes’ answers in Table 3), try to
avoid the impacts by modifying the design. Otherwise, the sub-project has to be tagged as
‘sub-project of environmental and social concern’.
For those sub-projects of environmental and social concern, a checklist of potential impacts
and level of adversity shown in Table 4 can be used to judge if the sub-projects should be
modified to avoid/mitigate the impacts or should be referred for further environmental and
social analysis because of complex or unknown impacts. The table can be used by
checking/ticking () the approximate degree of adversity. The format indicated in Annex 3
can be used for reporting purposes.
ESMF for the Sustainable Land Management Project II
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Table 4: Checklist of potential impacts and level of adversity for sub-project screening
Sub-project types Adversity of Impacts
None Low Med High Unknown
Community access roads will cause:
soil erosion and initiation of flooding, gully erosion
loss of biodiversity through cut and fill activities
cross and cause destruction of natural habitats
sedimentation to water sources and reservoirs
cause flooding and erosion
disturbance to ecologically sensitive habitats
damage to cultural, religious and historical sites
cause opening of quarry/borrow sites and result in
water pollution
Small scale irrigation will cause:
significant deforestation
competing claims for water and social tension
disturbance to wildlife habitats or populations
disrupt ecologically sensitive areas
land clearing and biodiversity loss
disturbance to cultural or religious sites
new settlement pressures
increased soil salinity
risk of vector born diseases
Gully and degraded land rehabilitation will cause:
restriction of human and livestock mobility
restriction of access to communal lands
risk of rodents and other pests
risk of introduction of invasive exotic species
Water harvesting structures will cause:
risk of disease causing vectors breeding
voluntary loss of land
Afforstation/Reforestation may cause:
compromise to local biodiversity
risk of mono-cropping (resorting to exotics)
restriction of access and mobility
voluntary land acquisition
risk of wildlife attack on domestic animals
Those sub-projects with no potential adverse impacts can be directly approved. For those sub-
projects likely to have low to moderate impacts may be modified if suitable mitigation
measures are incorporated into the design by Woreda experts (Woreda technical team).
Mitigation measures can be referred from Annex 4 and/or from the Community Based
Participatory Watershed Development Guideline (MoA, 2005). Those sub-projects likely to
have ‘high’ adverse impacts and ‘unknown’ impacts should be tagged as ‘sub-projects of
environmental and social concern’ before referring the plan for approval. For further
reference on potential impacts and mitigation measures of the sub-project types, it is advisable
to use the different environmental guidelines prepared by the former FEPA and listed
elsewhere in this document.
ESMF for the Sustainable Land Management Project II
32
Step (iii): Notification of sub-projects of Environmental and Social
Concern: Guidance for the Woreda Council and BoA
The Woreda Council consolidates plans and forwards the same to the BoA together with the
list of sub-projects that are tagged as of ‘environmental concerns’. The BoA then notifies
the REPLA/B of the sub-projects of environmental concern and requests for review of the
same to determine if an ESIA is required.
Step (iv): Review of notified sub-projects: Guidance for the REPLA/B
The REPLA/B experts conduct review of the sub-projects taking into account that most sub-
projects may not necessarily need a full scale ESIA since SLMP II is a category B project;
those sub-projects tagged as ‘sub-projects needing special attention’ are already identified
following the special procedures and guidelines referred in Annex 5. For water abstraction in
small scale irrigation or potential disruption to the quality of water in international waterways,
it is advisable to consult applicable international agreements.
The Review report to the BoA should include i) the decision on each sub-project whether an
ESIA is required or not, ii) if an ESIA is required, the recommended scope of the ESIA
clearly indicating the aspects to be seriously addressed, the skills required and duration of the
ESIA, iii) A detailed TOR for the ESIA expert (consultant), iv) if an ESIA is not required,
include guidance on special needs such as technical guidelines and an environmental
management plan on any of the sub-projects.
Step (v): Conducting an ESIA: Guidance for the Woreda EPLAU office
The Woreda EPLAU office together with the NR case team is responsible for ensuring that
the required ESIA is conducted, in liaison with the BoA and with the support from the
REPLA/B. The ESIA can be conducted by a team of experts drawn from the Woreda sector
offices (or the Woreda technical team) coordinated by the Woreda EPLAU focal person. In
this case, Woreda experts have to be given the necessary trainings on ESIA procedures,
safeguard policies, relevant policies and ESIA guidelines before the ESIA. OR the ESIA can
be conducted by a consultant to be hired by the Worea agriculture office. The cost of
conducting the ESIA should be covered from the budget earmarked for the implementation of
the ESMP for the particular SLMP II Woreda. The TOR for the ESIA should be provided by
the REPLA/U with the review report. The ESIA report should consist of i) description of the
sub-project (with location), the environmental baseline, the impacts, mitigating measures, and
recommendations for implementation and monitoring of the mitigating measures. Reference
for mitigation measures can be made in FEPA ESIA guidelines, CBPWD guidelines and in
this document.
Step (vi): Reviewing the ESIA Report: Guidance for the REPLA/B
The ESIA report will be submitted to the REPLA/B through the BoA. The REPLA/B will
review the ESIA report and makes decision by approving the sub-project, recommending re-
design, or rejecting the sub-project. ESIA report reviews should be done in the given time
frame (shortest possible time) to avoid delays in project implementation. The result of the
review has to be communicated to the BoA as soon as completed.
ESMF for the Sustainable Land Management Project II
33
The ESMP process in steps (i) and (ii) must be conducted for all sub-projects in SLMP II
while the steps from (iii) to (vi) should be conducted only for sub-projects needing special
attention and those of environmental concerns.
Figure 4: Flow of the Environmental and Social Management Process
Keys on colors and flow of activities:
Kebele level
Woreda level
Region level
Flow of project activity plan
Flow of screening
Flow of review decisions
Kebele Office
Drafts Kebele WM Plan
Woreda Agriculture Office.
Consolidates plans Step (ii):
Woreda
EPLAU
Project Screening
BoA
Consolidates plans
and
Step (iii):
informs REPLA/B (Regional
Environmental Protection, Land
use and Administration
Authority/Bureau)
Projects of Environmental
Concern
Step (iv):
REPLA/B
decides if ESIA is
required and notifies
BoA
Step (v):
Woreda EPLAU
arranges ESIA with
assistance of BOA
and REPLA/B
Step (i)
DAs
Check sub-
project
Community/Kebele/DA
Sub-project identification and
design Plan
Woreda Council/Cabinet Approves plans
Step (vi):
REPLA/B
reviews ESIA
report and
makes decision
ESIA report
ESMF for the Sustainable Land Management Project II
34
6. Gaps identified in the implementation of the ESMF in SLMP 1
A rapid assessment survey and consultative meetings held with the six regional SLMP
coordinators during the preparation of this ESMF revealed that there were two major gaps in
the implementation of the ESMF in phase I of the SLMP:
Lack of capacity at the different levels (Kebele, Woreda and Region)
Lack of resources (financial) to implement the ESMP and mitigation measures
Major gaps Main reasons
Gaps in identification, planning and
screening of sub-projects at the Kebele level
by DAs
Lack of capacity and experience (skills and
knowledge) by DAs and some Woreda
level experts in environmental issues,
environmental management process, and
environmental analysis
Absence of proper screening/reporting
formats
Shortcomings in sub-project screening at
Woreda level Lack of capacity and experience (technical
skills and knowledge on environmental
screening
Absence of proper screening/reporting
formats
Lack of skills for implementing mitigation
measures
Gaps in conducting ESIA and
implementation Lack of resources for conducting ESIA,
when there were needs for ESIA
Lack of skills and knowledge at Woreda
level for conducting ESIA and
implementing results
Limited regional support in conducting and
implementing ESIA for lack of budget
Gaps in implementation of recommended
mitigation measures Lack of resources (budget) earmarked for
implementation of mitigation measures
Gaps in monitoring of implementation and
results Lack of budget earmarked for monitoring
of ESMP activities and results
Absence of staff at the federal level to
oversee the ESMF implementation
Suggested recommendations:
Training and technical support to DAs at the Kebele level and experts at the Woreda
and Region levels during the different stages of the ESMP implementation: Planning,
review, ESIA, implementation and results monitoring stages.
Allocation of budget earmarked for the ESMP implementation including
implementation of mitigation measures.
Include proper screening and reporting format
Assigning safeguard expert at the federal level
ESMF for the Sustainable Land Management Project II
35
7. Capacity Building Training and Technical Assistance
For effective implementation of the ESMP, it is necessary to provide capacity building trainings and technical backstopping to experts at the
different levels of the implementing institutions during the different stages implementation as shown in Table 5
Table 5: Menu of proposed capacity building trainings and schedules
Types of trainings/
capacity building
supports
Target
groups
Training topics/ aspects of ESMF Potential Trainers Duration and
Time of training
TOT training
(Regional level)
Technical Staff of BoA,
REPLA/B,
BoWE
RTC members
Integrated Watershed and Landscape Management
Planning,
EA, ESMP, ESIA
Safeguard policies
Environmental policies
ESMF implementation process
Review and Reporting procedures
Implementation of mitigation measures
Consultants
SLMPSU
members
NTC members
MoEF staff
1 week, Before
the planning
phase
TOT training
(Woreda level) WWDC members
EPLAU staff,
Woreda NRM experts
Water office experts
and energy office
experts
Woreda council
members
Integrated Watershed and Landscape Management
Planning,
EA, ESMP, ESIA
Safeguard policies
Environmental policies
ESMF implementation process
Review and Reporting procedures
Implementation of mitigation measures
BoA experts
REPLA/B experts
RTC members
1 week, Before
the planning
phase
Skill development
training
DAs, KWDC members,
Kebele cabinet members Participatory planning
Safeguard policies
Project identification and screening
Use of appropriate tools and formats for screening
ESMF implementation
EPLAU staff,
Woreda NRM
experts
Water and energy
office experts
1 week, Before
the planning
phase
ESMF for the Sustainable Land Management Project II
36
Implementation of mitigation measures
EA concepts
Awareness creation
training/workshop NSC members
RSC members
Decision makers at
region and Wroedas
Safeguard policies,
Environmental policies and guidelines
ESMF implementation
Consultants
NTC members
3 days, Before the
planning phase
Monitoring and
evaluation training Technical Staff of
BoA, REPLA/B,
BoWE
RTC members
Monitoring and evaluation skills
Monitoring and evaluation guidelines
Participatory M &E
M & E expert
(consultant)
3 days, during
implementation
Monitoring and
evaluation training EPLAU staff,
Woreda NRM experts
Water and energy
office experts
Monitoring and evaluation skills
Monitoring and evaluation guidelines
Participatory M &E
Technical Staff of
BoA, REPLA/B,
BoWE
RTC members
3 days, during
implementation
Awareness creation
training
Local Community
members
Participatory planning
Environmental issues
Monitoring of implementation
DAs
Woreda experts
3 days,
Before planning
phase
Exposure visits
(abroad)
Regional TC members,
NTC members,
SLMPSU staff
Selected successful ESMP implementation projects in
relevant countries
- 1 week, during
implementation
Monitoring visits
and supervision
follow up by
SMLPSU, NTC
members
Regional SLMP
coordination offices,
Woreda SLMP offices
Backstopping support on various issues to regional and
woreda level experts
Field visits
- 3 times a year for
1 week, during
implementation
ESMF for the Sustainable Land Management Project II
37
8. Implementation, supervision and monitoring
8.1 Implementation and process monitoring
After the approval of projects for implementation (i.e., after getting the ESIA clearance) by
the Regional Environment Protection and Land Administration Bureau, the recommended
mitigation measures will be implemented by the Woreda Agriculture office in collaboration
with the Woreda Environment Protection and Land Administration unit (i.e., the environment
expert or a safeguard specialist to be hired by the project).
At the community level, mitigation measures will be implemented by the community and
closely supervised by the DA. With the support from the Woreda experts, the DA will be
responsible for the effective implementation of the mitigation measures at any stage of the
project operation (at the beginning, in the middle or at the end) as specified in the
management plan. The safeguard specialist, to be hired at the beginning of the project, will
monitor the implementation of mitigation measures as per the management plan. In fact, the
safeguard specialist has to supervise the screening of projects at the different stages of the
project planning, mainly at the Woreda level.
The safeguard specialist from the SLMPSU will closely work with the Woreda Agriculture
Office Natural Resource Management expert, SLMP focal person and the Woreda EPLAU
Environment officer. The experts, either as a team or individually, will inspect the
implementation of the mitigation measures. During inspections, the expert will verify that the
proper procedures are being followed in screening the SLMP II activities and in the
implementation of the mitigation measures in the Woreda. They also make field observations
to inspect that no negative environmental impacts are taking place anywhere in the project
area. Where such impacts may occur, the experts (mainly the Woreda EPLAU officer) will
provide advice on further actions and this will be communicated to the safeguard specialist at
the SLMPSU.
The implementation, monitoring and supervision of the ESMF activities in general is a joint
task of the SLMPSU (through the safeguard specialist), the BoA and the REPLA/B. The three
bodies will jointly monitor the effective implementation of the mitigation measures in
avoiding or minimizing adverse impacts, and the nature and extent of any such impacts.
The design of the process monitoring and reporting procedures need to be prepared in parallel
with the preparation of the activity plan for the SLMPII project. It should be made ready
before the commencement of the implementation of the project activities.
8.2 Results monitoring
The results monitoring plan has two components: i) monitoring of the compliance and
effectiveness of the ESMF and application of the recommended standards; ii) impact
monitoring, i.e., measuring the biophysical and socio-economic impacts of the SLMP II
project. The M&E system of the SLMP II, which will be facilitated by the SLMPSU will
provide the required information for results monitoring.
Independent Annual reviews of the project and the implementation of the ESMF will be
conducted at the end of each year and this has to be facilitated by the SLMPSU. It is
ESMF for the Sustainable Land Management Project II
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necessary that the independent review should be conducted by an independent entity
(consultant). The compliance assessment and performance review reports, which will be
produced by the independent review body, will be used as a monitoring and review tool to
track ESMP results. In the review process, the SLMPSU and the REPLA/B will play the lead
role in coordinating the process with the key stakeholders.
9. Implementation cost of the ESMF and safeguards
The proposed budget shown below in Table 6 (for capacity building) and in Table 7 (for
implementation of the ESMP and mitigation measures) is prepared taking into account of
existing norms and expert estimates for proposed activities. The budget includes those
proposed social risk aversion and reduction measures including the RAP (Resettlement
Action Plan) and other mitigation measures in the social assessment. The budget stands open
for revision and improvement as and when needed by the SLMPSU.
9.1 Budget for capacity building
Table 6: Estimated budget for capacity building
Capacity building activities Budget for the period 2013-2019 ($) Total ($)
Year 1 Year 2 Year 3 Year 4 Year 5 TOT training (Regional level) 30000 30000 TOT training (Woreda level) 20000 20000 Skill development training 80000 80000 Awareness creation training
/workshop NSC members 18000 18000
Monitoring and evaluation
training (regional level) 14000 14000 28000
Monitoring and evaluation
training (Woreda level) 10000 10000 20000
Awareness creation training 8000 8000 Exposure visits (abroad) 60000 60000 Monitoring visits, supervision by
SMLSU, NTC members 10000 10000 10000 10000 40000
Total 156000 34000 70000 34000 1000 304000
ESMF for the Sustainable Land Management Project II
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9.2 Budget for implementation of the ESMF and Mitigation Measures
Table 7: Estimated budget for capacity building
ESMF activities Budget for the period 2013-2019 ($) Total ($)
Year 1 Year 2 Year 3 Year 4 Year 5
Sub-project screening process
Kebele:
Technical support from
Woreda
Site assessment (social and
environmental)
Analysis, Design plan, and
reporting
Woreda:
Analysis of sub-projects for
special attention and
environmental concern
Analysis of impacts
Review and design
adjustment
Design of mitigation
measures
30000 20000 20000 15000 85000
Conducting ESIA
At least 12 ESIAs
Review and Reporting
40000 40000 40000 40000 160000
Review process
Sub-project review at
BoA/REPLA/B
Reporting
30000 30000 30000 30000 120000
Implementation of mitigation
measures
Mitigation measures of
access roads
Mitigation measures of small
scale irrigation
Mitigation measures of water
harvesting structures
Compensations for loss of
land, property, etc…
RPF/RAP
50000
40000
45000
30000
25000
50000
40000
35000
30000
25000
50000
40000
35000
30000
25000
50000
30000
35000
20000
20000
150000
150000
110000
95000
200000
ESMF coordination
Federal level
Regional level
Woreda level
25000 30000 30000 30000 7000 122000
Monitoring and review
Periodic monitoring
(quarterly)
Independent annual review
15000
10000
15000
10000
15000
10000
10000
10000
55000
40000
Total 95000 285000 275000 270000 162000 1,287,000
ESMF for the Sustainable Land Management Project II
40
Annexes
Annex 1: Sub-project eligibility checklist for DAs at the Kebele level (form 1)
Will the sub-project: Yes No
cause large-scale physical disturbance of the site or the surroundings
cause significant involuntary displacement of people or social
disturbances, involuntary loss of assets
involve removal or conversion of substantial amounts of forests and
other natural resources
affect the quality or quantity of water or a waterway shared with other
nations
cause degradation of critical natural habitats
affect important physical and cultural resources (historical, religious,
archaeological, sites and monuments)
involve construction of dams more than 4.5 meters
Recommendations:
Sub-project is not eligible and rejected:
Sub-project is eligible and approved:
Screening supervised and approved by:
Name………………..…. Position: …………..Signature: ………... Date: ……..............
Sub-project :____________________________ Woreda: ___________________________
Kebele: _____________________________
Person/DA who did the eligibility check: ________________________________________
Date: ___________________________ Signature: _______________________________
ESMF for the Sustainable Land Management Project II
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Annex 2: Screening checklist for sub-projects needing special attention (form 2)- Guidance
for Woreda EPLAU focal person
Sub-projects needing special attention
Yes No
Will the sub-project:
involve use of agro-chemicals
involve land acquisition, loss of assets or access to assets on the land
cause displacement of people
incorporates dams
Recommendations:
Sub-project needs special attention:
Sub-project does not need special attention:
Screening supervised and approved by:
Name………………..…. Position: …………..Signature: ………... Date: ……..............
Annex 3: Screening checklist for sub-projects of environmental concern (form 3)-
Guidance for Woreda EPLAU focal person
Sub-projects of environmental concern
Yes No
Will the sub-project:
be located in forest priority areas and cause destruction of habitats
instigate soil erosion and flooding
cause disturbance to ecologically sensitive areas
be located close to national parks and protected areas
cause pollution of surface and ground water
cause breeding of disease vectors (malaria)
cause soil pollution
involve area ex-closures and loss of access
be located close to cultural heritage, historical and religious sites
cause erosion and sedimentation into international waterways
involve draining of and/or disturbance to wetlands
Sub-projects of environmental concern Sub-project types Adversity of Impacts
Sub-project:____________________________ Woreda: ___________________________
EPLAU focal person/person who did the screening : ______________________________
Date: ___________________________ Signature: _______________________________
Sub-project:____________________________ Woreda: ___________________________
EPLAU focal person/person who did the screening : ______________________________
Date: ___________________________ Signature: _______________________________
ESMF for the Sustainable Land Management Project II
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None Low Med High Unknown
Community access roads will cause:
soil erosion and initiation of flooding, gully erosion
loss of biodiversity thought cut and fill activities
cross and cause destruction of natural habitats
sedimentation to water sources and reservoirs
wet season excavation and erosion
disturbance to ecologically sensitive habitats
damage to cultural, religious and historical sites
creation of quarry/borrow pits and water pollution
Small scale irrigation will cause:
significant deforestation
competing claims for water and social tension
disturbance to wildlife habitats or populations
disrupt ecologically sensitive areas
land clearing and biodiversity loss
disturbance to cultural or religious sites
new settlement pressures
increased soil salinity
risk of vector born diseases
Gully and degraded land rehabilitation will cause:
restriction of human and livestock mobility
restriction of access to communal lands
risk of rodents and other pests
risk of introduction of invasive exotic species
Water harvesting structures cause:
risk of disease causing vectors breeding
voluntary loss of land
Afforstation/Reforestation may cause:
compromise to local biodiversity
risk of mono-cropping (resorting to exotics)
restriction of access and mobility
voluntary land acquisition
risk of wildlife attack on domestic animals
Recommendations:
Sub-project is of environmental concern and needs further EA:
Sub-project is not of environmental concern and approved:
Certification (for all approved sub-projects): I certify that all the potential adverse effects
of the sub project have been thoroughly examined, and the sub-project does not have any
impact and/or the mitigation measures in the plan are adequate to avoid or minimize all
adverse environmental and social impacts.
Woreda EPlAU focal person: ............................ Date................. Signature .........................
ESMF for the Sustainable Land Management Project II
43
Annex 4: checklist of potentially negative impacts and possible mitigation measures for sub-project activities
Types of sub-projects Potential negative impacts Examples of possible mitigation measures
Construction of small scale
irrigation schemes Competing claims over water use and conflicts
Risk of erosion to downstream areas
Reduced water flow and limited access to water in
the downstream areas
Development of salinity due to mismanagement
of water and irrigated land
Increased use of agro-chemicals and pesticides
Soil and air pollution from agro-chemicals
Ground and surface water pollution
Faulty designs causing flooding
Reservoirs (small dams for irrigation) become
breeding place for disease vectors (malaria)
Involuntary land acquisition
Risk of land clearing and biodiversity loss
Mismanagement of water may cause gully erosion
Loss of water due to mismanagement
Reduced flow, erosion and sedimentation on
international waterways
Impacts on physical cultural resources
Destruction of natural habitats through land
clearing for cultivation
Carry out assessment study on water demand and availability
Carful design and installation of canal structures so that
excess flows will be directed to natural waterways
Regulate water flow and maintain the optimum flow to
downstream dwellers and ecological requirements
Adopt IPM for pest and weed control
Use only prescribed and standard agro-chemicals (avoid
unpermitted chemicals that are classified by WHO)
Conduct social assessment and prepare RAP
Apply water efficient technologies and techniques
Provide alternative designs and locations or avoid if sub-
projects directly affect physical cultural resources, destruct
natural habitats, inflict deforestation, or cause biodiversity
loss
Construction and
rehabilitation of community
access roads and path
Road side erosion and initiation of flooding and
gully erosion in agricultural fields
Quarry site opening causes pollution of surface
and ground water
Roads may cross and cause destruction of natural
habitats and forests
Disturbance to ecologically important habitats,
Apply road drainage guidelines and include standard road
side stabilization activities as part of the design
Chanel road spillways to natural waterways
Rehabilitate quarry sites with natural vegetation, rip raping,
shaping and refilling, and avoid creation of standing water
Avoid disturbance to cultural or religious sites. Unavoidable
incidences must be agreed with stake holders such as leaders
ESMF for the Sustainable Land Management Project II
44
cultural, religious and historical sites or resources
Loss of biodiversity thought cut and fill activities
and soil excavations
Restriction of wildlife movement
Disturbance of ecologically sensitive areas
Erosion and sedimentation to water
infrastructure and water sources
Involuntary land acquisition
loss of livelihood and economic benefits
of churches, mosques and community.
Reroute/redesign if alignment crosses important habitats and
forests
Avoid effects on habitats and wildlife movement corridors
through alternative routes, or relocate species for ex-situ
conservation
Avoid forest, riparian and wetland habitats with particular
biodiversity
Avoid occupied land. Prepare procedures to ensure equitable
resolution
Avoid and minimize if project causes of relocation of people
Gully treatment on
communal and private lands
using physical and biological
measures
Restriction of access to communal lands
Restriction of human and livestock mobility
Risk of introduction of invasive exotic species
Risk of harboring rodents and other crop pests
Community awareness,
Consultative meetings and consensus built
Alternative routes formed
Compensations for loss of access (if caused economic loss)
Non-invasive exotic and indigenous species
Use those species that disfavor pests
Degraded land treatment on
communal and private lands
using physical and biological
measures
Restriction of access to communal lands
Restriction of human and livestock mobility
Risk of introduction of invasive exotic species
Risk of rodents and other pests
Risk of disease vectors from water harvesting
structures (ponds)
Low standard physical structures due to lack of
capacity
Community awareness,
Consultative meetings and consensus built
Alternative rout formed
Compensations for loss of access (if caused economic loss)
Selection and use of non-invasive exotic and indigenous
species, pest repellent and species that doesn’t harbor rodents
Implement physical structures as per the standards given in
relevant guidelines
Area ex-closures for
degraded and upland
rehabilitation through natural
regeneration and
reforestation
Restriction of access to humans and livestock
Risk of involuntary land acquisition and causing
relocation of households
Risk of conflict over diverse interests
Loss of economic or livelihood benefits
Risk of wildlife and crop pests
Provision of alternatives (options for cut and carry, awareness
on alternative forage sources, forage species provision)
Consecutive community consultations and consensus on
benefits and costs, responsibilities of management, benefit
sharing arrangements
Compensation for loss of land or economic benefits to
ESMF for the Sustainable Land Management Project II
45
victims
Carry out social assessment report and prepare social
management plan if up to 40 hhs are affected by the activity
Prepare resettlement action plan if more than 40 hhs are
affected by the activity
Prepare wildlife management plans and training of
communities on cultural practices to manage pests
Reforestation/afforestation on
communal lands Restriction of access and mobility
Involuntary land acquisition
Wildlife attack on domestic animals and increase
of crop pests (birds, primates, mammals)
Risk of mono-cropping (resorting to one or two
exotic species)
Loss of economic or livelihood benefits
Compromise to local biodiversity (indigenous
species)
Provide alternative routes for human and livestock mobility
Make interventions participatory and entirely based on
community consensus
Avoid appropriation of land or eviction of households
Conduct continuous consultative meetings
Compensate for loss of economic benefits
Prioritize indigenous and multiple mix of species for planting
Soil and water conservation
measures (terracing, check
dams, trenching), reseeding,
re-vegetating on individual
lands
Risk of harboring of rodents and crop pests
Loss of farmland due to structures
Introduce cultural pest management practices
Use species that disfavor pests and rodents
Train farmers on pest management
Follow guidelines to implement structures
Agro-forestry interventions Risk of harboring of rodents and crop pests Introduce cultural pest management practices
Use pest resistant crop varieties
Introducing PFM for forest
and woodland management Restriction of access
Loss of economic and livelihood benefits
Rising of conflicting interests
Disruption to indigenous/traditional resource use
and management systems
Risk of creating competing claims
Consultative meetings and community consensus on benefits
and responsibilities
Provide alternatives or compensate for loss of economic and
livelihood benefits
Build community consensus and constitute regulatory
mechanisms
Integrate traditional systems
Create opportunities for wider participation
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Establishing and/or
strengthening community
level protected area system,
conservation zones,
communal reserves, groves,
wildlife corridors
Involuntary land acquisition
Restriction of access for humans and livestock
Loss of economic and livelihood benefits
Wildlife attack on livestock and increased crop
pests
Provide alternatives or compensate for loss of economic and
livelihood benefits
Avoid or minimize land acquisition from individual holdings
Prepare wildlife management plans and training of
communities on cultural practices to manage pests
Carry out social assessment report and prepare social
management plan
Integrating agro-silvo-animal
husbandry systems/practices Loss of land (grazing land shortage) due to
increased density of trees
Increased risk of crop pests
Avoid competing claims on land (for grazing and tree
planting)
Introduce cultural pest management practices
Establishing pockets of wood
stands at homestead level Increased risk of crop pests
Competition with annual or food crops
Ground water depletion through deep root system
Disruption to nutrient cycle if species have
allelopatic effects
Introduce cultural pest management practices
Planting sites should be different and with sufficient
distance from crop fields
Planting should not be done close to water bodies, wetlands,
shallow water table areas
Select species that do not cause allelopatic effect
Construction of water
harvesting structures (ponds,
reservoirs)
Site becomes mosquito (disease vectors) breeding
area and malaria infestation increases
Loss of land
Plant mosquito repellent tree and shrub species around water
ponds
Compensate for loss of land, livelihoods or economic benefits
Introduction of high value
crops (vegetables, root crops
and fruit seeds, seedlings)
Increased load of agro-chemicals to control pests
and plant diseases
Introduce and apply cultural pest management practices
Introducing new varieties of
plant species for forage and
food crops
Risk of introducing new pests and crop diseases
with new the germplasm
Conduct quarantine checks and follow national guidelines
for introduction of new germplasm
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Annex 5: Guidelines for sub-projects requiring special attention
I. Agricultural sub-projects involving use of agro-chemicals: Guidelines for Integrated
Pest Management (IPM)
Government policy encourages use of biological or environmental controls and other
measures to reduce reliance on agricultural chemicals. IPM refers to a mix of farmer-driven,
ecologically based pest control practices that seek to reduce reliance on synthetic chemical
pesticides. It involves (a) managing pests (keeping them below economically damaging
levels) rather than seeking to eradicate them, (b) relying, to the extent possible, on
nonchemical measures to keep pest populations low; and (c) selecting and applying
pesticides, when they have to be used, in a way that minimizes adverse effects on beneficial
organisms, humans, and the environment. The following strategy should be used to address the
use of agricultural chemicals and to promote IPM in the SLMP II:
Project funds will not be used for the purchase of pesticides or fertilizers.
Information on acceptable and unacceptable pesticides will be provided to farmers and
Woreda staff to encourage compliance with government policy and international standards.
Training in irrigated agriculture, including pest and fertilizer applications, safe
chemical handling and IPM will be provided to communities as required.
A basic Guide for IPM in the SLMP II will be prepared as a menu of practical
methods for reducing the need for pesticides, covering the following techniques:
- Pest-resistant crops varieties
- Use of disease/weed-free planting stock
- Farming practices that increase resistance to pests (proper soil preparation,
spacing, planting, watering, etc.)
- Farming practices that suppress pest populations (crop rotation, cover crops,
intercropping, etc.)
- Traditional manual control of pests (weeding, removing insect pods, etc.)
- Biological controls (predators, pathogens, pheromones, etc.)
- Targeted chemical use (pest scouting/selective treatments)
Based on the Guide, an IPM Plan will be produced for each small-scale irrigation
scheme or other agricultural sub-projects likely to utilize agrochemicals.
II. Sub-projects involving any form of involuntary resettlement
As much as possible, involuntary land acquisition and involuntary resettlement are avoided or
minimized. All viable alternative options for designs have to be checked. When sub-projects
trigger involuntary resettlement, a social assessment must be carried out and a Resettlement
Action Plan must be prepared. A brief action plan may be developed when less than 200
people are affected by the sub-project. The Resettlement Action Plan must include measures
to ensure that the displaced persons are informed about their options and rights pertaining to
resettlement. The displaced persons are consulted on, offered choices among, and provided
with technically and economically feasible resettlement alternatives and provided prompt and
effective compensation at full replacement cost for losses of assets attributable directly to the
project.
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Annex 6: Checklist of questions for consultative meeting and discussions with regional
SLMP Coordinators, Woreda focal persons and community members
I. Checklist for discussion with regional SLMP coordinators and Woreda focal persons
General on SLMP I
Project identification and planning process
How the sub-projects identified and what steps / processes were followed during the planning?
Who identifies the sub-projects of the integrated watershed and landscape management
activities at the community level?
What kinds of support did communities receive in identifying sub-projects and screening the
same for potential negative environmental and social impacts?
What is the role of the DAs and/or the Woreda experts in the project identification?
Were the sub-projects screened for environmental and social impacts at the community level?
Who did the screening at the community and Woreda levels using what instruments?
Major impacts observed and mitigation measures taken?
What were the major environmental and social impacts of the watershed management
activities of the project?
What major negative environmental and social impacts were observed as a result of the SLMP
I activities in your region and how were they tackled?
How were the impacts identified and what measures were taken to address them?
Were there any ESIAs carried out for any of the sub-projects? Who conducted the ESIA?
How were the mitigation actions monitored during implementation?
Who monitored the implementation of the recommended actions?
Unaddressed impacts
Were there unaddressed impacts of the project? What types and why were not they addressed?
How can they be addressed in the ESMF II?
Were there any unexpected or unforeseen negative impacts after implementation of the project
activities? If yes, what were they?
Were there any serious environmental and social impacts that were not adequately addressed
in the ESMF I? If yes, what were they?
ESMF application
Do you think the ESMF has been effectively applied? If not, what were the reasons or gaps?
Did the ESMF contribute to the identification, avoidance or management of any negative
environmental and social impacts of the projects?
What were the processes of impact identification, screening of projects and approval?
Which types of project activities did require critical EAI analysis? Who did the EAI analysis
and how were the mitigations measures implemented? Who monitored the implementation?
What were the major bottlenecks, in your opinion, in implementing the ESFMF?
Which step of the Environmental management process is critical and what kinds of problems
did you experience at the different stages? (e.g., at community/Kebele, Woreda, regional)
What were the major environmental and social impacts that were effectively addressed
through the implementation of the ESMF?
ESMF for the Sustainable Land Management Project II
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Capacity gap in implementation
Was there capacity gap in implementing the ESMF? If yes, what are they? (e.g., Lack of
relevant experts, lack of experience and skill, absence of the necessary guidelines and less
responsive bureaucracy, etc...)
What is your suggestion for capacity building support? (e.g., training of Woreda level experts,
DAs and regional level experts)
When do you think is appropriate to provide capacity building trainings? (e.g., before the start
of implementation, during implementation, etc....)
What should be the focus of the training? ( on environmental management issues, project
preparation, environmental assessment processes, monitoring and evaluation)
Which offices are pertinent for the capacity building training? (MoA, EPRLA, WWO, etc...)
Which experts are pertinent for the capacity building training? (Crop, livestock, natural
resources, gender, cooperative, extension, etc...)
What kind of capacity building support was provided to the communities?
What was the source of the budget for the ESMF implementation and how was it utilized?
(e.g., training, assessment, screening, guideline preparation, TOR preparation, mitigation
measures, conducting ESIA, Review, etc...)
Were there any capacity (skill, knowledge or experience) gap in implementing the ESMF I?
Improvements in ESMF II
What is your recommendation for the ESMF II and what should be improved in the ESMF II?
---------------------------------------------------------------------------------------------------------------------------
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II. Checklist for discussions with community members
Who identifies watershed intervention projects in your Keble?
Who assesses the environmental and social impacts of the sub-projects?
What were the major environmental and social impacts of the SLM project activities in your
Keble?
How were they addressed and who addressed them?
Were there any unaddressed impacts?
How was your participation in the implementation of mitigation measures?
III. Self-Administered Questionnaire for consultative meeting with regional SLMP coordinators
General on SLMP I
1. Who identifies the sub-projects of the integrated watershed and landscape management activities
at the community level?
---------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------
2. What kinds of support did communities receive in identifying sub-projects and screening the same
for potential negative environmental and social impacts?
---------------------------------------------------------------------------------------------------------------------------
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Major impacts observed and mitigation measures taken
3. What were the major environmental and social impacts of the watershed management activities of
the project?
---------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------
4. How were the impacts identified and what measures were taken to address them ?
---------------------------------------------------------------------------------------------------------------------------
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---------------------------------------------------------------------------------------------------------------------------
5. Were there any serious environmental and social impacts that were not adequately addressed in
the ESMF I? If yes, what were they?
---------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------
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ESMF application
6. Do you think the ESMF has been effectively applied? If not, what were the reasons or gaps?
---------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------
7. What were the major bottlenecks, in your opinion, in implementing the ESFMF?
---------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------
Capacity gap in implementation
8. Were there any capacity (skill, knowledge or experience) gap in implementing the ESMF I?
---------------------------------------------------------------------------------------------------------------------------
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9. Which institutes did play key role and what were the tasks of such offices in the environmental
management process?
MoA main task in the ESMF process:
Woreda: ----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------
Region: -----------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------
ESMF for the Sustainable Land Management Project II
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EPLAU (Environmental Protection and Land Administration Unit) main task in the ESMF process:
Woreda -----------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------
Region: -----------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------
Water Office (Water Office) main tasks in the ESMF:
Woreda: ---------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------
Region: -----------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------
Improvements in ESMF II
10. What is your recommendation for the ESMF II and what should be improved in the ESMF II?
---------------------------------------------------------------------------------------------------------------------------
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Annex 7: Summary of the discussion held with stakeholders in a validation workshop at
Adama, August 11, 2013
Hailu Tefera from World Vision Ethiopia:
Question: Lack of capacity at the Woreda level is mentioned as one major gap to implement
the ESMF. But ESIA is guided by a procedure already prepared by regions and how can it be
justified that capacity is am implementation gap?
Answer: although it is true that ESIA is guided by a procedural guideline prepared at the
federal and regional level experts, there is still lack of skill and understating in identifying the
main environmental impacts and the mitigation measures. Most important is experts at the
Woreda level have to be trained on the relevant federal and regional policies, proclamations
and the safeguard policies. In some cases, there are also gaps in knowledge on watershed
planning and management.
Question: Why is budget mentioned as a constraint since the ESIA is going to be carried out
by the implementing organization?
Answer: there was no budget separately allocated for the ESMF and it was found out that
ESIA was not carried out and mitigation measures were not properly implemented for lack of
financial support.
Question: DAs are very busy and have multiple responsibilities in their regular activities. If
implementing and monitoring of the environmental impact mitigation measures is left to
them, there is a risk that these activities will not be properly implemented. They have too
many other activities and there should be an alternative way to oversee the implementation of
the ESMF activities.
ESMF for the Sustainable Land Management Project II
52
Answer: the issue will be taken care by the respective offices at the different levels and the
support unit at the federal level should look into the matter to provide appropriate solutions.
Tenaw Tessema from Jima Zone, OmoNada Woreda, SLMP focal person
Question: How can the impacts of other projects implemented in the watershed be mitigated?
Or how is it possible to prevent environmental impacts caused by not by SLMP but other
projects such as rural road connectivity project?
Answer: This can happen in any of the selected watersheds. But this ESMF is prepared for
activities that are going to be implemented thorugh SLMP in the selected Woreda. However,
if such incidences happen, the focal person and the local administration should be able to
solve the problem by discussing with the other project implementers.
Question: In the Capacity building plan, Zones are not included while they directly control
Woredas?
Answer: we simply followed the SLMP implementation platform in the PAD. If the PSU and
the other partners find it necessary, the role of the zones should be defined and should also be
reflected in the implementation organizational structure.
Mr. Abubeker Ali, FAO natural resource expert
Question: The focus seems to be only on individual lands and the community lands are not
well covered? Why?
Answer: No, this is not true. The types of activities to be conducted on community lands
(e.g., afforetation, area closure, gully rehabilitation, physical structures, etc...) are indentified
and the mitigation measures are also included in the analysis.
Question: Did the document consider the difference in the upper and lower zones of the
watershed in discussion the impacts? How can it be possible to mitigate impacts in the lower
part of the watershed while degradation continues in the upper part of the watershed?
Answer: this is a technical question and refers to the planning and implementation process.
Technical experts need to prioritize activities in terms of appropriate period and location
during the project identification and planning. Watershed activities are always implemented
by following the watershed logic (i.e., hill to valley).
Question: why were the gaps mentioned in the document were not addressed in the SLMPI?
Answer: For lack of budget and little expertise support from the higher offices, as explained
by the regional SLMP coordinators.
Ali Ahmed, from Amhara region, YIlmana Densa Woreda
Question: Now the implementation of the measures finally rests on the responsibility of the
DA at the Kebele level. But DAs are overwhelmingly loaded with other regular activities.
Don’t you think this jeopardizes the implementation? And also, what incentives have you
suggested for the DAs to handle the work?
Answer: this is the current working structure of the government and the DAs are responsible
to closely follow up the implementation of mitigation measures. In the ESMF, capacity
building plans (mainly training for DAs) is included and this one incentive. This question
might further be addressed by the PSU later.
Takele Admasu, Benishangul Gumuz region
Question: Conservation agriculture or Zero tillage is very difficult to convince farmers in our
region. Because, there is enough organic matter in the soil and the land it still relative
productive. Farmers are not willing to practice zero tillage. What can we do?
Answer: this is purely a technical and specific project activity related question and should be
answered by the PSU or technical committee members at the region.
Shiferaw Mideksa, Oromia GIZ adviser
Question: the format for rating the adversity of impacts (low, medium, high, etc...) is not
feasible to use it to identify the impacts and mitigation measures. Thus, it is improved in our
region. Can’t you improve it as well?
ESMF for the Sustainable Land Management Project II
53
Answer: format is useful to preliminarily categorize the impacts by Woreda experts. I believe
it is a simple and useful format that can easily differentiate the impacts as per their degree of
adversity. We found it necessary to keep it but If you have a better format I would be willing
to review it and if found important, it can be included in the document.
Ato Abera Willa, SNNPR, NRM expert:
Comment: capacity gap is a serious problem at the Woreda and Regional level in
implementing the ESMF. The points raised as gap are realistic and should be well addressed
in the next phase. However, zones are not included in the ESMF implementation and also
they are not included in the capacity building activity. Woredas are directly accountable to
Zones. Thus, they should be included in the implementation structure.
Ans: the comment is accepted and referred again to the PSU to look into the structure and
where the Zones fit.
Mr. Mekonen Dechasa, Kuyu Woreda (farmer):
Comment: We are very happy that our Woreda is included in the phase II SLMP project. We
have been already practicing some soil conservation activities but in a very fragmented and
uncoordinated way. Biological measures are not implemented for various constraints
(seedlings, seeds, nursery, finance, etc...). Thus, the project will solve all these problems and
once again our landscape will be rehabilitated. We thank you. We need support on farm
implements and seedlings. We are ready to actively take part in the project.
W/ro Deises, from Kuyu Woreda (Farmer):
Comment: we have learned about the SLMP a lot. Our kebele is highly degraded and this is a
great opportunity for us. In the past, some conservation structures were done but most are
destroyed simply because biological measures were not integrated. We have a problem of
forage. We also lack some knowledge and capacity. This is what we need to reverse and solve
degradation in our Kebele and Woreda. Thank you for inviting us.
Since the SLM activities are environmental friendly, there were no major impacts in the
implementation areas. ESIA decision can be made at the Woreda level since there are serious
impacts to be caused by this project. The regional level is too long a process to follow and it
will cause delays in activity implementation. This should be reconsidered. Despite this, the
ESMF in the previous phase was not properly implemented. One of the reasons was the
lengthy process. Thus, shorten the procedural process (comment from participant of Oromia
region).
Response: the decision on ESIA assessment and outcome should be made by the regional
authority as stipulated in the ESIA proclamation.
Reforestation and afforestation was mentioned that it might cause some negative impacts on
biodiversity. I guess it rather improves the conservation of biodiversity if species selection is
carefully limited to locally adapt indigenous species (Dr. Gemedo Dalle, Director General of
the Institute of Biodiversity).
Response: the document is concerned about the use of indigenous species. Most plantations
are done with exotic species and this might undermine the recovery of the locally adapted
indigenous species. Otherwise, the activity surely improves biodiversity.
ESMF for the Sustainable Land Management Project II
54
Environmental and social impacts can also be caused by other project activities than the
SLMP activities within the watershed. In such a situation, what can be done and how do we
deal with the costs of mitigation. The capacity building training should also include zonal
experts (participant from Jima zone)
Response: this ESMF is prepared for the SLMP activities. Impacts from other projects need
to be dealt with respective implementers. The training for zonal experts can be reconsidered
by the PSU.
The gap is not only in capacity. The experience in phase one is a complete ignorance of the
ESMF itself. Thus, this time the document should be implemented seriously. Impacts from
irrigation are not only conflict over water but mismanagement and salinity development are
serious impacts (participant from Amhara region)
Response: yes the gap is not only capacity but there were no ESMF activities at all. This time
the ESMF is prepared with the necessary budget and the capacity building activity is a key
component. The irrigation impacts mentioned are well treated in the document with
appropriate mitigation measures.
As per the ESIA proclamations in the regions, ESIAs are carried out at the different levels
(region, zone, wereda) and not all ESIA documents necessarily come to the region.
Developers are responsible to carry out ESIA study and implement measures. This needs to
be considered in the document (Aman Muda, head of the Oromia Rural Land Administration
and Environmental Protection Bureau).
Response: it can be true but the SLMP activities are implemented through the existing
government structures. Projects of environmental concern have to be referred to the regional
Bureau for high level decision. The document also clearly stated that only those project that
require high level decision are referred to the regions.
At Woreda level, environmental and social impact assessment expert is critically short. Those
that are available, their willingness to carry out the assessment are hampered by lack of
incentive. This may need reconsideration (participant from SNNPR).
Response: Capacity building training for all relevant experts and budget is allocated in the
currently ESMF, which will solve the problem.
The question of format is not about the screening. The tables are perfect to carry out the
screening. But where to list the mitigation measures and how to plan them is missing
(participant from SNNPR).
Response: the ESMF has clearly put potential impacts and mitigation measures in Annex 4 of
the document. You can use this format for planning the mitigation measures for each project.
Capacity building training should be also include the decision makers at the different levels of
administration because the results of such training are clearly observed in facilitating the
project implementation.
Response: they are included in the RCS training. Decision makers at the Woreda sector
offices and administration are also included in the proposed training components and targets.
ESMF for the Sustainable Land Management Project II
55
List of Workshop participants during a discussion on the draft ESMF at Adama
No. Name Region Woreda Position Telephone
1 Asmamaw
Kume
Fderal Addis Ababa National steering
committee
0912142271
2 Taye Takele SNNPR Gimbo Agri. Office head 0910642006
3 Wondimu
W/Mariam
SNNPR Gimbo SLM focal person 0932220487
4 Tenaw
Tessema
Oromia Omo Nada SLM focal person 0924773304
5 Takele
Adamasu
Benishangul
Gumuz
Assosa Project coordinator 0911071911
6 Chelkeba
Eticha
Oromia Omo Nada Administration
office head
0917809964
7 Tenaw Hailu Addis Ababa Addis Ababa Senior adviser 0911933993
8 Shambel
Sharew
Amhara Shewa Robit Focal person 0913667061
9 Shayu
Gidyelew
Amhara Bahirdar IFAN 0918766982
10 Abera Willa SNNPR Region/Hawassa Deputy head 0912068409
11 Kedir Wabela SNNPR Alicho Woreiro Land
administration
officer
0913429308
12 Tesfaye
Gadisa
Oromia Gobu Seyo Agri. Office head 0912812707
13 Mohammed
Haji
Oromia Gobu Seyo coordinator 0911312919
14 Abubeker Ali Addis
Ababa/FAO
NRM
FAO/NRM NRM expert 0911408350
15 Mebrahtom
Fekadu
Tigray GIZ/SLM PM and adviser 0914026476
16 Seife Aregawi Amhara Lagambe Focal person 0914069612
17 Alebachew
Araya
Amhara Legambe Woreda admin
office head
0914062484
18 Ahmed Gillo Amhara Legambe Agric. Office head 0914063557
19 Addisu Fetene Amhara Fegita Leqoma Agri.office head 0913086661
20 Mulugeta
Mekonnen
Amhara Fegita Leqoma Focal person 0918193077
21 Worku Haile Oromia Mensibu Agri office head 0917813562
22 Israel Idodsa Oromia Mensibu Focal person 0917816556
23 Elias Kedir Oromia Sebeta Agri office head 0912158609
24 Abera Hadera Oromia Region Land
Administration
Office
0914722751
25 Tesfaye
Chekol
Addis Ababa SLMPSU NRM expert 0911035483
26 Tesfaye Oromia Woliso Focal Person 0920596634
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Mengistu
27 Alemayehu
Shiferaw
Oromia Woliso Agri. Office head 0910947722
28 Beyene Gede Oromia Ada Berga Admin head 0913337515
29 Urge
G/Mariam
Oromia Ada Berga Farmer 0913341269
30 Simegnew
Eshete
Amhara Bahir Dar Adviser 0918782870
31 Enkosa Ebsa Oromia G/bila Admin office head 0917130497
32 Birhanu
Geleta
Oromia G/bila Education head 0917033994
33 Bizu
Chemeda
Oromia G/bila Agri office head 0913326043
34 Regasa
Wagari
Oromia G/bila Focal person 0920421431
35 Teshome
Demissie
Oromia GIZ-sun expert 0911545278
36 Emiru Dibaba Oromia GIZ-sun Cluster adviser 0913344248
37 Abdi Boru Oromia GIZ-sun Cluster adviser 0911702796
38 Kassu Abebe Oromia GIZ-sun Cluster adviser 0911894537
39 Aman Muda Oromia Region/OBRLEP Head 0911486655
40 Hassen Fenta Amhara Anded Focal person 0918473285
41 Yasin Hussien Oromia Guto Gida Focal person 0921201501
42 Tibebu Bekele Oromia Guto Gida Administrator 0917136699
43 Gutuma
woyesa
Oromia Guto Gida Food security
office. Head
0911805700
44 Wodajo
Negasa
Oromia Guto Gida Agri office deputy
head
0917818370
45 Dereje worku Amhara Jabi Tehnan Focal person 0913942445
46 Misgana
Belay
Oromia Tiro Afeta Focal person 0917163039
47 Hailu tefera Addis Ababa WVE Expert 0911059112
48 Ware Geda Oromia Bore Admin head 0916312176
49 Berhanu
Beriso
Oromia Bore Eed head 0932533403
50 Asmamaw
Tefera
Oromia Bore Focal person 0926724689
51 Fekede Gelete Oromiya Nedjo Focal person 0917813364
52 Terefe Gare Oromiya NRP 0913236244
53 Bahiru
Gutema
Oromiya Accountant 0913317180
54 Tadesse
Bizuneh
Oromiya Bore D head of Agri.off 0916312168
55 Barcu Barisa Oromiya Bore Head of agri. off 0932533403
56 Gemedo
Shefesa
Oromiya Uraga Head of agri. offi
57 Mosisa
Negasa
Oromiya Uraga DA 0913793446
58 Guluma Oromiya G/bicha Head of FED 0911805700
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Eyessa
59 Girma Deme Oromiya Wolmera Head, agri.off 0913020739
60 Tesfaye
Fekegna
Oromiya Wolmera Focal person 0913229158
61 Asmamaw
Tefera
Oromiya Bore Focal person 0926724689
62 Dereje Bekele Oromiya Gimbichu A/head agri offic
63 Eliyas Tadese Oromiya Gimbichu Focal person
64 Dawit
Angassa
Oromiya Lume A/head FED 0911356102
65 Worku Haile Oromiya Kfw Menolisbu A/head office 0917813562
66 Israel Iddony Oromiya Kfw Menolisbu Foccllp 0917816556
67 Admasu tasew Oromiya Anbo Head off Aq.off 0912193180
68 Ware gede Oromiya Bore Adminster 0916312176
69 Yasin hussen Oromiya Guto Gida Focal person 09121201505
70 Wadajo
Nagassa
Oromiya Guto Gida V.Ag.Head 0917818370
71 Tibebu Bekele Oromiya Guta Gida adminster 0917136699
72 Dejene
Gemechu
Oromiya Toke Kutaye Social person 0911350173
73 Haile Doratto Oromiya Boddla Vic .Ag.head 0917805672
74 Habtamu
Goban
Oromiya Bedele Admin 0911732660
75 Neiguse
Byebue
Oromiya Bedele Admin 0917325795
76 Dereje
Wodajo
Oromiya Bedele Admin 0911732660
77 Geda Taye Oromiya Bedele Admin 0911910468
78 Numeri
Shemsu
Oromiya Sigmo Admin head 0917110944
79 Wondimagegn
Fasil
Oromiya Sigmo Focal Person 0917107143
80 Eliaco Tadese Oromiya Gimbichu Focal person 091020621
81 Kedir Wabela SNNPR A/Wriro Asstedader agent 0913429308
82 Taye Takele Slash Ginb Office Head 0910642006
83 Betelihen
Gizaela
SNNPR Ginb Land Adminster 0917232442
84 Abebaehn
Memshnis
NNPR Gedeo P focal person 0932659178
85 Tefetha
Feyissa
NNPR Gedeo Adminster 0916331169
86 Shibeshi
Dejene
NNPR Wonsho F-Person 0911714607
87 Fasika Shode NNPR Wonsho Adminster 0913306818
88 Tirckegne
Gemeda
NNPR Gedeo 0916830915
89 Negash
Gesesse
NNPR Mareka Adminster 0917830915
90 Haile Hadero NNPR Mareka Focal 0917832422
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91 Nega Abera SNNPR Konta Focal person 0917836279
92 Wendimu
W/mariam
SNNPR Gimbo Focal person 0932220487
93 Zewge Gedw SNNPR Anyayn F.P 0911567823
94 Alemayehu
Abiso
SNNPR Anyayn Administrator 0913438496
95 Gezahagn
Alemayehu
SNNPR Region NR and o
population
0916008382
96 Molla Teggne SNNPR Coordnator 0916821722
97 Hayder
Seman
SNNPR Accountant 0911928611
98 Wandinw
W/Mechael
SNNPR 0911957106
99 Dutse Tamiru SNNPR Basketo Administrator 0916601894
100 Mitika
Zewkie
SNNPR Basketo Focal person 0913896168
101 Mekdim
G/Hana
Muhir/Aklil Focal person 0910511695
102 Ginbaru
Bedru
Muhir/Aklil Administrator 0920995112
103 Abraham
Lamboro
Muhir/Aklil 0911857133
104 Ashenafi
Habtamu
Basketo 0926303735
105 Demene
Demis
Basketo 0920817713
106 Abone Wega Hawassa D/Head 0912068409
107 Mengistu
Mamo
Hawassa Damu 0916592633
108 Mulugeta
Abny
Benishangul
Gumuz
Pawi Ass.
Adminstration
0913513194
109 Mohammed
Kedir
Benishangul
Gumuz
Pawi P .Focal person 0920288053
110 Beruhu
Kahsay
Benishangul
Gumuz
Assosa Shm Focal person 0913475105
111 Oumer
Mohamed
Benishangul
Gumuz
Assosa w.Adminstration 0911004212
112 Yirgalme
Wakgar
B.G Bambosi 0920712066
113 Nigatu Kabeto B.G Bambosi Slmp 0917816838
114 Tsegaye
Adhem
B.G Assosa Slmp 0911910410
115 Takele
Admasu
B.G Assosa Slmp 0911071911
116 Abdurahman
Hussen
Gambella Abol p.representative 0911571350
117 Sahle Biza Gambella Godere Slmp 0917870347
118 Alemayehu
Shiferaw
oromiya woliso Head of agr. 0910947722
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119 Tesfaye
Mengistu
,, woliso Focal per. 0920596634
129 Dawit
Dewude
,, uraga ,, 0912428994
121 Brhanu Gelete ,, G/Bila 0917033994
122 Enkosa Ebsa ,, G/Bila add/office 0917130497
123 Buzu
chemega
,, G/Bila W/add. 091332643
124 Regasso
wakgari
,, G/Bila Focal per. 0920421431
125 Desata Bayrsa ,, Region GIZ-SLM 0910574450
126 Alemayehu
Nigussie
,, Region GIZ-SLM 0911686026
127 Mohammed
Haji
,, Region OBOA 0911312919
128 Kassu Abebe ,, Region GIZ-SLM 0911894537
129 Tekaw
tessama
,, o/Nada Focal per. 0924773364
130 Chelkeba
Eticho
,, o/Nada add/office 0917809964
131 Teshome
Demissie
,, Region GIZ-SLM 0911545278
132 Getu Tibrbu ,, A.A Driver 0911048875
133 Kresa kajala ,, ?? Admin 0911339729
134 Bekele
Beyeeha
,, Lumee Admin 0911718024
135 Kedir Jundi ,, Lumee v/Admin 0911835892
136 Thilahun
Hailu
,, Driver 0910167564
137 Terefe Foghi ,, Gimbi Focal per. 0911816905
138 Giddii Forfaa ,, Driver 0922236958
139 Daniel Benti ,, Gimbi Admin 0911030576
140 Amare
Mamuye
,, H/Abote Focal per. 0913399588
141 Desalegn
Asfawu
,, Gimbi Driver 0917704750
142 Ararso
Kebede
,, Toke Kutaye Dep/Admin 0920116796
143 Solomon
Tesema
,, A.A Driver 0923761472
144 Fekede Geleta ,, Nedjo Focal per. 0917813364
145 Terefe Gore ,, Nedjo N/R/P/admin 0913236244
146 Bahiru
Gutema
,, Nedjo Accountant 0913317180
147 Tadesse
Bizuneh
,, Boore Vice H/Admin 0916312168
148 Barcuu
Bariisoo
,, Boore Head of Fd. 0932533423
149 Elemeda ,, Uraga Head of Fed. 0916439548
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shefesa
150 Mosisa
Nagasa
,, walisoo Driver 0913793436
151 Gusuma
Woyesoo
,, G/Gido Head of Fed. 0911805700
152 Girma Deme ,, Walmara Head of Agri 0913020739
153 Tesfaye
Fekegna
,, Walmara Focal per. 0913229158
154 Asmamaw
Tefera
,, Bore Focal per. 0926724689
155 Darajjee
Beekaa
,, Gimbi A/head office 0912830139
156 Eliyas Tadese ,, Gimbi Focal per.
157 Dawit
Angassa
,, Lume Add/office 0911356102
158 Ayele Abebe ,, Lume Focal per. 0911944105
159 Ashena
Dalatera
,, B/nopa Focal per. 0921015432
160 Kinde Dereje ,, B/nopa Admin. 0917806295
161 Misagana
Belay
,, Tiro Afefa Focal per. 0917163035
162 Gezahegn
Kinoti
,, Ambo Focal per. 0912102517
163 Dr.Abdi Boru ,, Ambo Customer 0911709796
164 Ayehu
Legesse
,, GIZ Soc.Adv. 0911155281
165 Tesfaye
Gadissa
,, Eobu soya Woreda agri. 0923122230
166 Belina
Senbeta
,, Nedji v.Admin. 0925784511
167 Abera
Mogose
,, Ambo Fin.head 0912182215
168 Chala
Magarsa
,, Jeldu Focal per. 0920677663
169 Mamo mulata ,, Jeldu Accountant 0910631378
170 Daba Gareda ,, Jeldu Vice Head 0913221141
171 Gudeta Dinka ,, Ambo Admin.head 0911350214
172 Addisu Wase ,, Alle Agri vice Head 0917225489
173 Meseret
Alemu
,, ,, Accu. 0911894069
174 Rani Mesele ,, M.Accu 0911415264
175 Kayire
HUssen
,, Bore Driver 0926959715
176 Mashar
Abamoda
,, Agri 0921509647
177 Ruad Kalifa ,, Sokoru Head agri bio 0917013290
178 Endale Bekele ,, ,, Focal per. 0913141655
179 Aman Muda ,, A.A Head admin 0911486655
180 Dereje ,, Dedessa Agri. Of admin 0911905681
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Seyoum
181 Kaasaaluu
Tilahun
,, ,, Finance & eco
deve.
0913096201
182 Amboro
Getachew
,, ,, ,, 0911731451
183 Wezir Jemal ,, ,, Focal per. 0911957790
184 Genene Birafu ,,` rersamalime H.admin 0911465074
185 Tamirat
Tessema
,, ,, 0916285982
186 Desta tolessa ,, ,, Driver 0912209085
187 Taye Takele Slash Ginb Office Head 0910642006
188 Betelihen
Gizaela
SNNPR Ginb Land Adminster 0917232442
189 Abebaehn
Memshnis
NNPR Gedeo P focal person 0932659178
190 Tefetha
Feyissa
NNPR Gedeo Adminster 0916331169
191 Shibeshi
Dejene
NNPR Wonsho F-Person 0911714607
192 Fasika Shode NNPR Wonsho Adminster 0913306818
193 Tirckegne
Gemeda
NNPR Gedeo 0916830915
194 Negash
Gesesse
NNPR Mareka Adminster 0917830915
195 Haile Hadero NNPR Mareka Focal 0917832422
196 Nega Abera SNNPR Konta Focal person 0917836279
197 Wendimu
W/mariam
SNNPR Gimbo Focal person 0932220487
198 Zewge Gedw SNNPR Anyayn F.P 0911567823
199 Alemayehu
Abiso
SNNPR Anyayn Administrator 0913438496
200 Gezahagn
Alemayehu
SNNPR Region NR and o
population
0916008382
201 Hailu tefera Addis Ababa WVE Expert 0911059112
202 Ware Geda Oromia Bore Admin head 0916312176
203 Berhanu
Beriso
Oromia Bore Eed head 0932533403
204 Asmamaw
Tefera
Oromia Bore Focal person 0926724689
205 Fekede Gelete Oromiya Nedjo Focal person 0917813364
206 Terefe Gare Oromiya NRP 0913236244
207 Bahiru
Gutema
Oromiya Accountant 0913317180
208 Tadesse
Bizuneh
Oromiya Bore D head of Agri.off 0916312168
209 Barcu Barisa Oromiya Bore Head of agri. off 0932533403
210 Gemedo
Shefesa
Oromiya Uraga Head of agri. offi
211 Mosisa Oromiya Uraga DA 0913793446
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Negasa
Annex 8: Summary of the discussions held with community representatives at Adama,
August 11, 2013
General comment by Kuyu, Wore Jarso and Wonchi Woreda participants
The SLMP is basically focused on the conservation of natural resources. This makes us happy
simply because our little efforts did not bring critical changes. We did not do any activity
before two years but only in the last two years that we started doing some physical measures
in our individual farms. This project is an opportunity to harness what we started. There is
already a kebele watershed team (organized into a group of five). Some activities are also
taking place. But inputs are lacking like seedlings and farm implements. The project includes
many aspects such as soil fertility, conservation of soil and afforestation. But water is very
critical for us and we need this to be prioritized for us. The shortage of water has a big impact
on human and livestock health. Thus, for use discussing about the project activity impacts
may be not good since we don’t want to complain before the project starts. Thus, let us first
get activities implemented on the ground. However, we have also followed it from the
discussion and presentation about the environmental and social impacts. They are properly
described and many are the types of impacts that we see in our village road and irrigation
projects. The local issues are mentioned well. We have heard about the SLMP work from
neighboring Woredas but we didn’t benefit from it earlier. Now it is coming to our Woreda
and we will do all our best to avoid the impacts. Since we have a very critical land
degradation problem, support is highly needed (not necessarily financial but technical
support, capacity building, farm implements, knowledge improvement are critically
important).
Question from facilitator to participants: From other projects implemented in your Kebele
earlier, what kinds of environmental and social impacts did you experience, for instance
irrigation projects, road projects etc...
Asefa Gadisa, administrator of Kuyu Woreda said that the project is a development work
similar to what our community has been doing in the past. We did not observe any significant
impact to bring meaningful change. For instance, irrigation can bring a lot of opportunity to
benefit large numbers of people at once. This is for instance already identified in consultation
with the local communities. Road and water related constructions will be done in consultation
with the relevant offices. If there is going to be any negative impact, those offices will be
involved. If people are going to lose land or any property, they will be compensated either in
the form of replacement land or cash. This is often handled by the Kebele administration.
With regard to water harvesting, the negative impacts are minimum. The problem is seepage
loss. The health related impacts are handled by the Woreda health office. Most of these
impacts will be discussed during planning since communities involve in selecting sub-
projects.
W/ro Desatu Wojeta from Kuyu Woreda explained that the natural resource conservation
activities in our Kebele are encouraging. The new coming project will bring resources and we
expect more participation in the project. Participation of women is important since women in
our keblele take part in farm activities like men.
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Mr. Lgesse Ayansa, head of the Wonchi Woreda administrator added that examples of
impacts are seen in irrigation and road construction. For instance, irrigation water user
communities have had conflicts over water use. The upper part of the water users sometimes
block and use the water for longer time. Community members in the lower part may not get
water for days. In this case, there has been always complaints and conflicts. However what
the Kebele administration did was to call for repeated meetings and carry out discussions.
The other example is the URARP (Urban Rural Access Road Project) by the government
often crosses individual lands. This also created tension and project work has been affected.
Again, what the Woreda and Kebles did was to engage the individuals in discussions and
convince them either to get compensation from the communities or get a replacement land.
This has worked very well. Thus, all impacts, including environmental ones will be solved by
the local administration and the community. The other one is quarry sites have been opened
individual lands and community lands. Some of them created unnecessary erosion to
cultivated fields. Then, the Woreda administration arranged meetings with the project
implementers and later on the community agreed to allow the quarry but prevent or avoid the
erosion. Then, the project and the community together constructed a spillway to divert
running water from the quarry site to a natural waterway. The best tool to address impacts is
to carry out consultations with communities and implement some of the possible mitigation
measures. The local traditional conflict resolution systems are very effective in dealing with
social impacts. We don’t at this stage worry about the impacts but we rather worry about
getting the project implemented in the Woreda to reverse the land degradation.
Question from to participants: How did you participate in selecting the watersheds and the
main activities to be done there?
There were consecutive meetings with the DAs and the community leaders together with
members of the community. The watershed site was selected in agreement with the
committee. The types of activities or interventions are commonly known and these are soil
and water conservation, tree planting, terraces, etc... these were selected by community
members with the support from experts. There was nothing decided without our participation.
The Woreda administrator stated that before the projects were decided to be implemented in
the area, repeated discussions were held with the communities. The watershed and the
activities to be done were decided by communities. The best interventions (livelihood
changing activities) were selected by the communities.
List of community representatives participated in the discussion at Adama
No. Name Sex Age Woreda Kebele Telephone
1 Gezahagn
Fitsum
M 42 Wore Jarso Hoose 0921750906
2 Erena Belay M 32 Wore Jarso Laltu wonji 0935310312
3 Seyoum Adere M 33 Wore Jarso Got 2 0911775572
4 Asefa Gidisa M 38 Kuyu Got2 0911775249
5 Mekonen
Dechasa
M 32 Kuyu Wuye gose 0933541227
6 Dese Mamo F 40 Kuyu Wuye gose 0921804177
7 Getachew
Kasaye
M 50 Kuyu Wuye gose 0922596941
8 Ayelech Diriba F 33 Wore Jarso Jafna
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9 Fikre Tadesse F 35 Wore Jarso Jafna
10 Asmera Adere F 28 Wore Jarso Jafna
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Annex 9: Summary of Small Dam Safety Guideline (MoA)
1. Introduction
The overarching dam safety objective is to protect people, property and the environment from
the harmful effects of mis-operation or failure of dams and reservoirs. To ensure that dams
and reservoirs are operated and that activities are conducted so as to achieve the highest
standards of safety that can reasonably be achieved, measures have to be taken to achieve the
following three fundamental safety objectives:
To control the release of damaging discharges downstream of the dam,
To restrict the likelihood of events that might lead to a loss of control over the
stored volume and the spillway and other discharges,
To mitigate through onsite accident management and/or emergency planning the
consequences of such events if they were to occur.
These fundamental safety objectives apply to dam and activities in all stages over the lifetime
of a dam, including planning, design, manufacturing, construction, commissioning and
operation, as well as decommissioning and closure.
2. Planning of small Dams
There are some fundamental principles which should be applied through the investigation,
design, construction and commissioning stages to achieve an adequate level of safety. The
principles are:
i. the competence and experience of the owner’s agents relative to the nature and
dam hazard category of the dam, must be appropriate in all areas;
ii. there must be a cooperative and trusting relationship between the owner and
technical advisers, and the designers must be given full control over decision
making in critical areas;
iii. the owner must agree to apply the appropriate level of funding for
investigations, design and construction to reduce the chances of critically
important issues (particularly related to foundations) being not sufficiently
well assessed or under protected;
iv. the designer/technical adviser has a duty not to compromise unduly due to
financial pressures from the owner, developer or contractor;
v. continuity of key technical advice should be maintained throughout all stages
of the dam from development, through design, construction and
commissioning, to reduce chances of critical points of design philosophy and
intent being misinterpreted during construction or commissioning.
Dam site investigation
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Selecting the Dam Site
When choosing the location and size, the dam owner should also take into account what
would happen if the dam failed suddenly and whether it would result in loss of life, injury to
persons or livestock, damage to houses, buildings, roads, highways or railroads. The owner of
the dam should ensure to avoid locating the dam where run-off from houses, dairies or septic
systems can pollute the water.
Considerations at Investigation Stage
Technical Consideration
Site selection and site investigations are critical components to the success or failure of a dam.
Regarding the technical consideration the following important aspects should be considered:
a. The catchment is the area of land from which run-off is to be collected. If it is the
main source of water supply, make sure that it is capable of yielding enough water to
maintain both, the supply in the dam and the required releases over all periods of
intended use. The catchment area however should not be too large, as it will then
require a big and expensive overflow system (or spillway) to safely pass excess run-
off from heavy rainfall without overtopping the dam.
b. Topographical features such as slope, width and height of dam, as well as reservoir
capacity will influence construction costs.
c. Conducting site tests to establish the material properties for the embankment and
foundation.
d. A good location for a spillway that will effectively handle runoff and minimize
erosion.
e. Watershed activities that can affect the water quality or quantity of runoff.
Environmental Considerations
Dams with their associated reservoirs can have substantial environmental effects and any
existing dam or new project must comply with the Ethiopian environmental and
environmental legislations and associated licensing or permit requirements. It also complies
with World Bank Safety of Dam Operational Policy (OP/BP. 4.37). It should be recognized at
the outset that dam developments have effects extending beyond the immediate confines of
the dam and inundated areas. For example;
Reservoir slope stability may become a dam safety issue due to the risk of overtopping
caused by large volumes of reservoir water being displaced by slope failures.
Sitting of the dam/reservoir must take into consideration the local earthquake and
faulting activity which may cause breaching of the dam
Groundwater level changes may affect stability and land use around the reservoir
margins and possibly adjacent to the downstream river, as a result of changed water
levels.
Trapping of sediments in the reservoir can result in upstream shoaling and loss of
reservoir storage.
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Flora/fauna effects may occur in storage basin, downstream, and in passage around
and through the dam.
Minimum flow maintenance downstream of the dam to ensure the survival of flora
and fauna, and to reduce causes of stream bed deterioration.
Social development/changes to downstream use given the changed flood situation.
Dam Design
Embankment dams Design
The single most common cause of earthen dam failures is overtopping of the embankment.
An undersized spillway will lead to overtopping; therefore spillway design is critical to
reservoirs. The spillway must be located such that discharge will not erode or undermine the
toe of the dam. If the banks of the spillway are made of erosive material, provision must be
made for their protection. Consideration must be given to the hazard to human life and
potential property damage that may result from the failure of the dam or excessive flow rates
through the spillway. Further consideration must be given to the likelihood of downstream
development that may result in an elevation of the hazard classification.
Extreme Events
Large earthquakes, storm/flood activity and failure of upstream dams can be considered
extreme events. The risk of failure from these events is minimized by using engineering
design standards and relevant guidelines incorporating adequate margins of safety.
Emergency preparedness set up well in advance is the only available measure of reducing the
impact when a dam failure is about to happen.
Sedimentation
The effective life of many of small dams is reduced by excessive siltation – some small dams
silt up after only a few years. This issue is poorly covered in the many small dam design
manuals that are available, as they mostly focus on the civil engineering design and
construction aspects. Appropriate methods/tools have to be chosen to predict, and where
possible reduce, siltation rates in small dams.
3. Construction of a Dam
The quality of construction is all-important to dam safety. As far as construction is concerned,
the following requirements are necessary from the dam safety viewpoint:
the contractors must be suitably experienced and committed to achieving the standards
of work specified;
the level of supervision of the works, quality assurance procedures and designer
continuity, must be appropriate to the scale and complexity of the dam;
the owner must recognize that inherent uncertainties may remain after design
investigations and only be revealed during construction, and have funding in place to
deal with costs arising from additional requirements identified during construction;
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any area identified in the design process as requiring confirmation by the designer
during construction, must be totally under the designer’s control, and no design
change, however small, shall be made without the designer’s review and formal
approval;
a suitably detailed design report and drawings showing the as-built structure of all
components of the dam and foundation shall be developed as an on-going and integral
part of the construction supervision process, and be prepared after completion of each
component so that there is a reliable record to refer to at all times in the future.
Therefore, the dam owner should ensure all the above mentioned requirements are fulfilled
and complied.
Selecting the contractor
The use of inexperienced contractors and/or inadequate supervision can develop into an
expensive liability. Nothing can take the place of a reputable contractor, using appropriate
equipment and experienced machine operators and working under supervision of an
experienced engineer.
Construction Supervision
Construction supervision is an important phase of dam construction. Supervision is meant to
ensure that the design factors and specification requirements have actually been included in
the final product.
If foundation preparation, material selection, outlet/spillway installation and embankment
compaction are not properly carried out then the safety of the dam will be compromised. So,
for all small dam types (both earthen and rock fill) expected to be constructed, all the dam
safety requirements applicable should be considered accordingly.
4. Safety Surveillance
Purpose of Regular Inspection
The purpose of a dam safety surveillance program is to avoid failure of the dam, by giving
early warning of any kind of symptom of trouble as early as possible. It is the most
economical and effective means an owner has of maximizing the long-term safety and
survival of the dam. Its primary purpose is to monitor the condition and performance of the
dam and its surroundings.
Frequency of Inspections
The frequency of inspection required for an effective program of surveillance depends on a
variety of factors including:
• Size or capacity of the dam;
• Condition of the dam; and
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• Potential for damage resulting from failure of the dam (represented by the hazard
category).
Adoption of the inspection frequency for a particular dam is the responsibility of the owner,
though professional advice should be sought for large dams or those categorized under
significant and high hazard dams.
According to the dam safety guidelines prepared for AGP, the suggested inspection
frequencies for small dams of less than 15 m height for the two levels surveillance (quick
visual inspection and comprehensive examination) is presented in the table below and should
be followed critically.
Quick Visual Inspection
Dam Hazard Potential classification
High twice weekly
Significant weekly
Low fortnightly
Comprehensive Examination
Dam Hazard Potential classification
High monthly
Significant 3-monthly
Low twice-yearly
Special Inspections
Special inspections will be required after unusual events such as earthquakes, major floods,
rapid drawdown or volcanic activity. Special inspections should enable the dam owner to
become aware of faults before partial or total failure occurs. Times when inspections
additional to those above are recommended are:
before a predicted major rainstorm (check embankment, spillway and outlet pipe);
during and after severe rainstorms (check embankment, spillway and outlet pipe);
after any earthquake, whether directly felt on the owner's property or reported by local
news media (check all aspects of the dam).
Inspections should be made during and after construction and also during and immediately
after the first filling of the storage.
Dealing with Problems
A systematic program of safety surveillance should maximize the likelihood that any
developing conditions likely to cause failure would be found before it is too late. Surveillance
will also help early detection of problems before they become major repair bills. As identified
earlier typical problems (many of which are treatable if found early enough) are most likely to
fall into one of the following categories: seepage/leakage; erosion; cracking;
deformation/movement; concrete structure defects; and spillway blockage.
Instrumentation and Monitoring
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Instrumentation at a dam furnishes data to determine if the completed structure is functioning
as intended, provides a continuing surveillance of the structure, and is an indicator of
developments which may endanger its safety. Typical items instrumented or monitored
include;
profiles and condition, deformations, seepages or damp areas (visual)
reservoir water levels which relate to dam loads and flood behaviour
local rainfall which relates to background seepages
drainage and distinguishable seepages which relate to control of leakage water
flow
Clarity of seepage flow which relates to potential erosion of embankment or
foundation material.
water pressures within the dam and foundations which relate to structural behavior
movement or deformation of the dam surface and internal structure which relates
to structural behavior
stresses within the dam which relate to structural behavior
seismic acceleration which relates to structural behavior
5. Operation and Maintenance of Dams
Effective and ongoing operation, maintenance and surveillance procedures are essential to
ensure the continued viability and safety of a dam and its appurtenant structures. Poor
operation, maintenance and surveillance will invariably result in abnormal deterioration,
reduced life expectancy and possibility of failure. The proper operation, maintenance and
surveillance of a dam provide protection for the owner and the general public. Furthermore,
the cost of good operation, maintenance and surveillance procedures is small compared with
the cost and consequences of a dam failure which could include major repairs, loss of life,
property damage and litigation.
Because many small dams fail through lack of maintenance, it is prudent to have a definite
and systematic maintenance plan.
The maintenance plan should be decided upon when the construction work on the dam is
completed. It will affect the life of the storage if you do not maintain it properly. A good plan
should include the practices to be used, as well as the approximate time of the year when they
are applicable.