FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA Response – Recovery – Resilience for Conflict-affected communities in Ethiopia (3R-4-CACE) (P177233) Draft Preliminary Stakeholder Engagement Plan (SEP) October 2021 Table of Contents 1. Introduction ................................................................................................................................................ 1 2. Project Description...................................................................................................................................... 3 3. Summary of Previous Stakeholder Engagement Activities ......................................................................... 6 4. Stakeholder identification and analysis ...................................................................................................... 6 4.1. Affected parties .................................................................................................................................. 6 4.2. Other interested parties..................................................................................................................... 7 4.3. Disadvantaged /Vulnerable individuals or groups............................................................................ 7 6. Stakeholder Engagement Program ............................................................................................................. 8 6.1. Purpose and timing of stakeholder engagement program.................................................................... 9 6.2. Proposed strategy for information disclosure ..................................................................................... 12 6.3. Proposed strategy for consultation ...................................................................................................... 14 6.4. Proposed Strategy to Incorporate the Views of Vulnerable Groups ................................................... 15 6.5. Timelines ............................................................................................................................................... 15 6.5. Review of Comments ........................................................................................................................... 15 5.7. Future Phases of Project ....................................................................................................................... 16 7. Resources and Responsibilities for implementing stakeholder engagement activities ............................ 16 7.1. Resources ............................................................................................................................................. 16 7.2. Management functions and responsibilities........................................................................................ 16 8. Grievance Mechanism .............................................................................................................................. 17 8.1. Basic Grievance Management Process ................................................................................................. 17 8.2. World Bank Grievance Redress System ............................................................................................... 18 9. Monitoring and Reporting ........................................................................................................................ 20 1. Introduction The current wave of conflict in Ethiopia has been driven by a complex web of drivers and grievances, including political rivalries, contestation over localized resources, perceptions of regional and historical inequalities – both in development and political representation; these have been exacerbated by unfulfilled employment expectations among youth, shrinking availability of land for the younger generation, and the impacts of climate change. Some of these conflicts have long histories (for instance, between different ethnic groups over control of local resources such as water or pasture) and have re-emerged during the recent political transition. Political competition and rivalry between elites have intensified over this period – locally, and at the national level. Newer conflicts, such as around the expansion of Addis Ababa, or around some large-scale investment projects (which led to land-alienation) have been overlaid onto these conflicts. These tensions have manifested across both rural and urban areas but have largely been organized along ethnic lines. Ethiopia is also affected by geopolitical tensions across the broader Horn of Africa, and which affect the political and governance situation in border regions in some states (notably Benishangul-Gumuz , but also Gambella, and to a lesser extent Amhara). Conflict has led to large-scale internal displacement: as of 24 September 2021, IOM data indicates that there were 4.17 million internally displaced persons (IDPs) in Ethiopia, one of largest populations of IDPs in the world. The vast majority, 84 percent, have been displaced by conflict, while 11 percent have been displaced by drought and flash floods. The rest were displaced by a combination of social tensions, landslides, swampy lands, volcanic activities, and development projects. Nearly half of all IDPs have been displaced in and from Tigray, primarily due to the conflict in the region, and nearly 90 percent of all IDPs in Ethiopia are located in four regional states: Tigray (2.04 million IDPs, 48.82 percent), Somali (834,723 IDPs, 20.01 percent), Oromia (497,267 IDPs, 11.92 percent), and Amhara (354,014 IDPs, 8.49 percent). These numbers are almost certainly an undercount – IOM data does not cover IDPs who are not located in identifiable IDP settlements, and some parts of Ethiopia (notably Tigray, parts of Western Oromia, and Benishangul-Gumuz) which have been among the most affected by conflict, were not fully accessible for data collection. The primary factors identified by the majority of IDPs as preventing their return are the lack of sustainable livelihood opportunities (79 percent of sites), the destruction of houses (76 percent) and a lack of basic infrastructure (44 percent) in areas of origin. Other major challenges include lack of essential food and non- food items, insecurity, trauma, and lack of functional health centers and schools. The main forms of support sought by the majority of IDPs to help resolve displacement were economic opportunities (in 94 percent of sites), followed by the restoration of lost assets in 1,279 sites (81 percent of sites). Availability of, and access to services ranked high among the support sought by IDPs (in over 80 percent of IDP hosting sites). While there are notable differences between regions – the majority of IDPs in 55 percent of IDP sites would prefer to integrate locally, while in 24 percent of sites IDPs would prefer to relocate. The majority of IDPs in 21 percent of sites would prefer to return to where they were displaced from (though this number is far higher in Tigray which is over 81 percent). Livelihoods have been significantly impacted both for IDPs and hosts in areas of settlement/resettlement. IDPs who remain displaced or have been resettled, have either struggled to eke out livelihoods from farming or agro-pastoralism, but this has placed increased pressure on land affecting hosts and IDPs alive. In some urban and peri-urban areas, livelihood support programs were implemented by local authorities (including granting them access to land, credit and facilitation of local employment (especially for youth)) or by humanitarian/development organizations, but with limited effect. Public infrastructure has been destroyed or degraded – either due to the direct effects of conflict, or from 1 having been used for humanitarian purposes and to house IDPs. In areas affected by conflict, essential economic infrastructure including farmer training centers, coffee pulping plants, livestock breeding centers, agriculture nurseries and model farmers display centers have been destroyed. as have health posts, health centers, and school buildings was well operated and provided service to nearby communities. The impacts of conflict and displacement have been deeply gendered, and conflict has been characterized by marked increases in sexual and gender-based violence (GBV/SEA/SH). IDPs also reported relatively widespread incidences of sexual violence during conflict, mostly against women and girls, but also against men and boys. The broad areas of intervention by international actors in response to the IDP crisis includes food distribution and cash assistance in specific areas (with organizations and the federal government relying on local government for their operations and infrastructure), capacity building at the local government level to support durable solutions (including to ensure that IDPs choices are adequately reflected), addressing drivers of displacement, women’s empowerment projects, as well as projects focused on youth employment. The Government of Ethiopia (GoE) request the Bank to seek support to assist the implementation of the Integrated Development, Recovery and Resilience Strategy to manage the IDPs crisis, including actions to build capacity for crisis preparedness and response and longer-term recovery from fragility and conflict. In light of the above, GoE is planning to implement the Response Recovery-Resilience for Conflict Affected Communities in Ethiopia (3R4CACE) Project. The Project will be coordinated by the Ministry of Finance (MoF) which will be sign the finical agreement on behalf the government of Ethiopia. The Project Development Objective is to Support response, recovery, and resilience of conflict-affected communities. The management of Project’s social and environmental risks require the preparation of ESF instruments that will be implemented during the project’s life. The project will be required to undertake stakeholder consultations not only for the preparation of environmental and social instruments but across the range of interventions to ensure that stakeholder’s views are elicited and that stakeholders are meaningfully consulted throughout the project. This Stakeholder Engagement Plan (SEP) presents the stakeholder consultation and engagement process for the Project. It describes a systematic approach to engagement stakeholder, thus contributing to the development and maintenance of a constructive relationship with stakeholders throughout the Project's implementation. The SEP also includes a Grievance Redress Mechanism (GRM) for stakeholders to raise concerns about the Project. This instrument was produced in accordance with the World Bank's Environmental and Social Framework (ESF). The SEP will be revised from time to time during project implementation, to reflect adaptive project management, respond to implementation changes, adapt to unforeseen circumstances and in response to assessment of project implementation performance conducted under the ESCP and SEP itself. And MOF will promptly disclose the updated SEP. 2 2. Project Description The project development objective (PDO) is to (i) rebuild access to basic services and climate-resilient community infrastructure and (ii) improve access to multi-sectoral response services for GBV survivors; in targeted conflict-affected communities in Ethiopia. Project Components Overall approach: 3R-4-CACE will be implemented during a five-year period (2022-2026) and financed by a US$150 million IDA Credit and a US$150 million IDA Grant. Financed activities will be grouped into three components, focusing on rebuilding of sustainable access to basic services and climate-resilient community infrastructure, improving multi-sectoral response services for survivors of GBV while piloting prevention interventions, and adaptive project management. In addition, the project includes a zero-dollar Contingent Emergency Response Component (CERC). The design will address immediate needs and support early phases of post-conflict response, with reliance mostly on Federal entities which can mobilize resources and expertise more rapidly than decentralized entities and/or on third-party implementation where government access or capacity are limited. In addition, it will enable medium-term recovery interventions for more sustainable solutions for IDPs and host communities with increasing engagement of decentralized entities and community structures, whose institutional and physical capacities will be strengthened in parallel to the response activities. The project will then lay the foundations for long-term institutional strengthening of both the Federal and local government entities and systems to increase the resilience of communities to multi-hazard risks. Beyond conflict, this will also have a positive impact on resilience towards impacts of climate variability and change as investments will be designed to withstand the impacts of climate change. Noting well the non- static and non-linear characteristics of conflict, the project design is adaptable, allowing relevant interventions to be deployed as and where needed as the conflict situation evolves. Geographic scope: The project is designed to have a national geographic scope and be inclusive of all elegible areas in need. However, considering the situation at appraisal, it will initially prioritize equally Amhara, Oromia, Benishangul-Gumuz , and Tigray regions1 as these regions currently host the largest numbers of IDPs. Afar will also be prioritized given the high impact of the recent conflict and displacement on its population. Within these regions, the project will prioritize: (i) Woredas with the highest numbers of IDPs and/or assessed damages and (ii) Woredas located across subregional borders to avoid increasing tensions along border areas. The selection considerations will also include the on-going level of conflict2, security (although insecurity will not be an exclusion criteria), accessability constraints, and Woreda readiness and ownership. Implementation will be carried out by third party entities where GoE’s access or capacity are limited. Complementarity with other humanitarian and development interventions and avoidance of overlaps will be emphasized. Approximately four to seven Woredas in each region will be targeted, and this number will increase if additional funding becomes available to the project. All Kebeles within a selected Woreda will be supported by the project. The selection process will be articulated in the Project Operations Manual (POM) and disclosed to interested stakeholders. It will be periodically assessed and adjusted during project implementation to be responsive to the evolving conflict context. Component 1: Rebuilding Sustainable Access to Basic services and Climate-resilient Community Infrastructure Component 1 will focus on rebuilding sustainable access for communities affected by the conflicts in the country to basic services and infrastructure. Under sub-component 1.1, the project will finance 1 In alphabetical order. Support will be provided equitably. 2 Using a rapid local conflict analysis tool to be developed and regularly updated. 3 the provision of rapid response services to address the needs of conflict-affected communities in the immediate terms (i.e., 12-18 months) and to lay foundations for more sustainable support with a focus on health, education, water supply, sanitation, and hygiene (WASH), and other services as needed and feasible. Temporary support services, such as basic services and necessities, shelter, and psychosocial support, may also be financed for people without support networks, large families without income earners, or unaccompanied minors.3 These may be provided, for example, by CSOs. Sub-component 1.2 will finance recovery activities, starting with participatory planning and consultations and consequent community- focused and community-driven climate-resilient sub-projects for recovery of community services and infrastructure. Sub-component 1.3 will focus on strengthening the capacity of Federal and local government and non-government institutions to engage in prevention and respond to conflict disasters, thereby strengthening communities’ and households’ resilience. The implementation of this component will be led by MOF. This component will address FCV risks and strengthen drivers of resilience from a socioeconomic recovery perspective4. On the one hand, the project will support response and recovery to mitigate risks to growth and development in the country, which, in the polarized situation, may further exacerbate conflict risks, e.g. between host communities and IPDs or between different socioeconomic groups blamed for the conflict situation and impacts. Secondly, the recovery process will be focused on the communal level and the strong integration of different local stakeholders shall ensure a more inclusive recovery process, thereby addressing some of the institutional and communication gaps between government and communities and among communities, which have contributed to local conflict lines. Finally, sub-component 1.3 allows for targeted additional interventions, e.g. through conflict sensitivity trainings for local institutions or support in kind for formal and informal institutions addressing local conflicts. Component 2: Improving Access to GBV Response Services This component will finance the strengthening of short and medium-term GBV response services for survivors of GBV within targeted Woredas under sub-component 2.1. It will also encompass piloting innovative GBV prevention programming, including change in behaviors, both as a mechanism to address underlying norms and dynamics that contribute to violence, and to address factors that prevent GBV survivors from seeking care under sub-component 2.2. Sub-component 2.3 will include strengthening of institutional capacity for coordination and delivery for quality, confidential, and survivor-centered care across the country. Component 2 will be implemented by Ministry of Women and Social Affairs (MoWSA) in coordination with relevant government actors with mandate for GBV prevention and response, notably MoH and the Attorney General, and in partnership with non-governmental partners that specialize in GBV prevention and response. This implementation approach acknowledges current capacity constraints in providing quality services at the community level, as well as the lack of required equipment and the ongoing instability in some of the targeted areas. The interventions under Component 2 are expected to respond to the multiple needs of GBV survivors to enable short- and medium-term recovery from violence and to strengthen the capacity of vulnerable populations to cope with future shocks and stresses that may contribute to GBV incidence, including, among others, those related to conflict and to the impacts of climate variability and change. By targeting prevention and behavior change, this component also aims to address drivers and risk factors that contribute to 3 The Urban Productive Safety Net Project provides similar services for destitute homeless people in urban areas and can function as a role model, including the contracting of CSOs. 4 This understanding does not neglect the importance of humanitarian and political progress, but rather sees socioeconomic recovery and development as one vital piece of the puzzle in which the World Bank has a comparative advantage. 4 acceptance and perpetration of GBV that may be exacerbated by conflict, climate events or other related shocks. Addressing drivers and impacts of GBV has important implications not only for the physical and psychosocial well-being of survivors, but also for social cohesion and sustainable development of communities more generally. The high prevalence rates of GBV in Ethiopia are linked to underlying social and cultural norms and values that perpetuate power imbalances between men and women, as well as between and across communities, as exacerbated by the ongoing conflict that increases vulnerability of affected populations. Left unaddressed, GBV incidence contributes to communal instability and results in significant economic costs on families and communities alike, extending from lost productivity, lost earnings and out of pocket medical expenditures. Prevention activities under C2 may unlikely prevent the explicit use of GBV as a targeted weapon of war, but they should support an environment where overall tolerance for GBV is reduced and the communal support for survivors increases. Component 3: Adaptive Project Management (Cost: US$20.0 million) Component 3 will be implemented by MOF, with MoWSA being responsible for the management of Component 2 activities. Under sub-component 3.1, it will finance the incremental costs of the various project management aspects and the overhead costs of components 1 and 2. Under sub-component 3.2, it will support learning activities that will help to improve the effectiveness of project-financed activities and help with adapting them to changing settings. Component 4: Contingency Emergency Response Component (Cost: US$0.0) This CERC is included under the project in accordance with the World Bank’s Investment Project Financing Policy, paragraphs 12 and 13, for situations of urgent need of assistance. This will allow for rapid reallocation of project proceeds in the event of a natural or man-made disaster or health outbreak or crisis that has caused or is likely to imminently cause a major adverse economic and/or social impact. To trigger this component, the government needs to declare an emergency or provide a statement of fact justifying the request for the activation of the use of emergency funding. To allocate funds to this component, the government may request the World Bank to reallocate project funds to support emergency response and early recovery. If the World Bank agrees with the determination of the disaster or health emergency and associated response needs, this component would draw resources from the unallocated expenditure category and/or allow the government to request the World Bank to re-categorize and reallocate financing from other project components to cover emergency response and recovery costs. This component could also be used to channel additional funds should they become available as a result of an emergency. Disbursements would be made against an approved list of critical goods, services and works required to support the immediate response and recovery needs. A CERC Operations Manual will be prepared as an annex to the POM, outlining triggers for its activation and detailing fiduciary, safeguards, and any other necessary implementation arrangements. 5 3. Summary of Previous Stakeholder Engagement Activities In order to ensure that the concerns and interests of various interested parties are captured and incorporated in the design and implementation of the project, several meetings have been held with relevant stakeholder and implementing agencies including MoF, Ministry of Women and Children Affairs (MoWCA), MoLSA, MoP, MoH, MOF, MoA, and MoUDC. Benishangul-Gumuz, Gambella, Somali, Afar, and Oromia regions’ Health, Women and Children Affairs, Disaster risk Management, Agriculture, Social and Labour Affairs bureaus. International development partners incl. EU, Germany, FCDO, Netherlands, USAID, etc. as well as international and local NGOs were consulted for the preparation of the project. Stakeholders’ contributions, including concerns and suggestions on various aspects of the project were collected in the design of the project. Due to the COVID-19 pandemic, meetings have been conducted considering the COVID19 prevention protocol like keeping social distance with small groups of participants, as well as virtually using through WebEx. Stakeholders believe that the project is very timely and important to promote the local economy and contribute to the resilience and recovery and improvement of the living conditions of host communities as well as IDPs. 4. Stakeholder identification and analysis The first step in the stakeholder engagement process is to identify the key stakeholders to be consulted and involved. The stakeholders stated in this SEP include those currently associated with the Response, Recovery, Resilience for conflict affected communities in Ethiopian (3R-4CACE) project and those who will be linked with the project at a later stage of project implementation. Stakeholders are identified and categorized into i) Project affected parties. ii) Other interested parties; and iii) Disadvantaged and vulnerable groups. Stakeholders are individuals, institutions, CSOs, or groups who are affected or likely to be affected by the 3R-4CACE project and who may have an interest in the project. The term “project-affected parties" includes "those likely to be affected by the project because of actual impacts or potential risks to their physical environment, health, security, cultural practices, well-being, or livelihoods. These stakeholders may include individuals or groups, including host/local communities and IDPs. The term "Other interested parties" (OIPs) refers to individuals, groups, or organizations with an interest in the project, which may be because of the project location, its characteristics, its impacts, or matters related to the public interest. These parties may include regulators, government officials, the private sector, the scientific community, academics, unions, women's organizations, other civil society organizations, and cultural groups. ‘Disadvantaged/vulnerable individuals or groups’ are potentially disproportionally affected and less able to benefit from opportunities offered by the project due to specific difficulties to access and/or understand information about the project and its environmental and social impacts and mitigation strategies. MOWSA and MoF will be committed to engaging in meaningful consultations with all stakeholders, paying attention to the inclusion of Historically Underserved Peoples, vulnerable and disadvantaged groups (including the elderly, persons with disabilities, female-headed households and orphans, and vulnerable children). 4.1. Affected parties Affected parties are those sets of people who are directly influenced actually or potentially by the proposed project and/or have been identified as most susceptible to potential risks and impacts associated with the project and who need to be closely engaged including local community members and other parties that may be subject to direct impacts from the Project. These include: 6 ✓ General conflict affected population, ✓ Displaced families (IDPs); ✓ Host communities; ✓ Vulnerable population including women, female headed households, children/ child headed households, Persons with Disability (PWD), elderly and others; ✓ Civil society organizations, NGOs and Associations operating with IDPs and host communities in project areas; ✓ Public servants (health, education workers, public administration in general); ✓ Communities in adjacent kebeles and villages; ✓ Regional and woreda administrations/managements; and ✓ Service provider like medical centers and health staff, etc. 4.2. Other interested parties As indicated above, other interested parties are individuals, groups, or organizations with an interest in the project. Interested parties of the project’s stakeholders include: the federal Ministerial institutions like Miistry of Finance (MoF), MoWSA, MoP, Federal Attorney General, MoH, Ministry of Justice (MoJ), Ministry of Urban Development and Infrastructure (MoUDI) and Ministry of Agriculture (MoA), and their regional counterparts. The regional and local interested parties include, among other, ✓ 3R-4CACE project staff ✓ Regional and Woreda Agriculture and Natural Resource offices; ✓ Regional and Woreda Finance offices; ✓ Zone and Woreda Agriculture and Natural Resources Bureaus; ✓ Zonal office of Finance; ✓ Woreda Women, Children and Youth affairs office; ✓ Contractors and different community groups; ✓ NGOs (especially those working on Gender Based Violence, child and social action; social protection reconstruction process); ✓ International Organizations (World Food Program, UNICEF, World Health Organization etc.); ✓ Universities and Research Institutions, National Disaster Management Institutes; ✓ National and international Development Partners including the WB; ✓ Consultants; and ✓ The public at large 4.3. Disadvantaged /Vulnerable individuals or groups It is particularly important to understand whether project impacts may disproportionately affect disadvantaged or vulnerable individuals or groups, who often do not have a voice to express their concerns or understand the impacts of a project. They may be disproportionately be impacted or further disadvantaged by the project as compared with any other groups due to their vulnerable status, and usually require special arrangement to ensure their equal representation in the consultation and decision-making process associated with the project. Their vulnerability may stem from their origin, gender, age, health condition, including HIV/AIDS status, disability, economic deficiency and financial insecurity, lack of assets, disadvantaged status in the community and IDP areas, dependence on other individuals or natural resources, etc. Thus, it is also crucial that awareness raising and stakeholder engagement with disadvantaged or vulnerable individuals or groups is adapted considering the sensitivities of such groups or individuals, their concerns and cultural norms and to ensure that they are provided a full understanding of the project activities and benefits. Engagement with these vulnerable groups and individuals often requires the application of specific measures 7 and assistance aimed at the facilitation of their participation in the project decision making so that their needs, views, and input to the overall process are commensurate to those of the other stakeholders. Moreover, it is important to closely examine the potential adverse impact and risks of the project activities on different categories of people with particular focus on vulnerable group and historically underserved communities in Benishangul-Gumuz a, and in pastoral and agro-pastoral parts of Oromia regional states. Within the Project areas the vulnerable groups include, but are not limited to, the following: ✓ IDPs, ✓ Elders who do not have support, ✓ Women and children, ✓ People with disabilities, the unemployed youths ✓ Female and child headed households, etc. Vulnerable groups including women, children and people with disabilities, within the communities affected by the project will be further confirmed and consulted during the comprehensive Social Assessment, site specific project activity screening, implementation and monitoring stage. Based on the finding the comprehensive SA, this SEP will be updated. 5. Stakeholder Engagement During 3R4CAC Project ERSM Preparation: Stakeholder Engagement for the 3R4CAC project will continue during the whole project lifecycle from preparation through implementation. Information will be provided and widely distributed among all stakeholders in an appropriate format; conducted based on timely, relevant, understandable, and accessible information related to the project; opportunities provided to raise concerns and assure that stakeholder feedback is taken into consideration during decision making. During the 3R4CAC project ESRM instruments preparation, including ESMF, RF, and comprehensive SA preparation, a stakeholder consultation will be made with relevant Federal, Regional, Woreda sector institutions, community representatives and hosted community as well as displaced people with the objectives to increase awareness about the 3R4CAC project, inform and get views, engage and maintain active participation and support of relevant stakeholders and communities to be involved in various phases of the project. The community consultation process will be conducted by individual consultants hired for the purpose of ESRM instruments preparation. The consultation and stakeholders activites will be conducted, (i) using local language with respecting community culture and norms; (ii) inclusive manners i.e., discussion and consultation with various community representatives (clan leaders, community leaders, religious leaders, disabilities, ethnic minorities and community development representatives), (iii) by taking precautionary measures for COVID19 prevention. Stakeholders and community interests, priorities, concerns, community’s aspiration to proposed project components will have been voiced and identify potential risks and impacts with mitigation measures. The outcomes from such stakeholder engagements will be incorporated into the ESRM instruments including a subsequent section of updated SEP and informed the project design. 6. Stakeholder Engagement Program The Stakeholder Engagement Plan (SEP) will support the design of instruments and ensure stakeholder involvement during the project's implementation, monitoring and evaluation period. 8 6.1. Purpose and timing of stakeholder engagement program The overall purpose of this SEP is to define a program for stakeholder engagement, including public information disclosure and consultation, throughout the preparation and operation of the proposed 3R-4- CACE project. The SEP outlines how PCU with relevant stakeholders including MOWSA, MOP, MOH, MOF and contractors/subcontractors, private sector companies, enterprises will communicate with stakeholders and includes a mechanism by which people can raise concerns, provide feedback, or file complaints. The table 1 below presents the type of stakeholders expected to engage in this project, with the mode of engagement and the planned schedule throughout the project cycle. Table 1: Type of stakeholders, Mode, Level and Methods of Engagement and Planned schedule Type of Level of Frequency of Stakeholder Method of Engagement Stakeholder Engagement Engagement Project Affected Direct Local See site-specific plan which will have Multiple and People (conflict to identify appropriate techniques to continuous affected reach these groups. population). Public meetings, separate meetings specifically, for women and vulnerable; Face to-face individual interviews; visits to affected vulnerable groups and individuals; Disclosure of written information - posters, flyers, Information desks at woreda/ kebele offices; Grievance mechanism by MoF MoWSA, Contractors, and Kebele Admin. Disadvantaged/ Direct Local See site-specific plan which will have Multiple and Vulnerable to identify appropriate techniques to continuous groups/ reach these groups. individuals Public meetings, separate meetings including women, specifically, for women and female headed vulnerable; Face to-face individual interviews; visits to affected households, vulnerable groups and individuals; children/ child Disclosure of written information - headed posters, flyers, households, Information desks at woreda/ kebele Persons with offices; Disability (PWD), Grievance mechanism by MoF and elderly and MoWSA, Contractors, Kebele Admin. others 9 Host Direct Local See site-specific plan which will have Multiple and communities to identify appropriate techniques to continuous reach these groups. Public meetings, separate meetings specifically, for women and vulnerable; Face to-face individual interviews; visits to affected vulnerable groups and individuals; Disclosure of written information - posters, flyers, Information desks at woreda/ kebele offices; Grievance mechanism by MoF and MoWSA, Contractors, Kebele Admin. Communities Direct Local See site-specific plan (community Continuous (adjacent consultations, FGD) by Woreda kebeles and and/or Kebele villages) MoWSA, PIU The Federal/regional Face-to-face meetings, workshops; Continuous coordination offices Social Media Communication - and Facebook, Twitter; implementation Disclosure of written information of activities Brochures, posters, flyers, website under Information desks, GRM (GBV/ SHA). Component 2 MoF, PCU Implementing Federal/ Face-to-face meetings, workshops; Continuous Agency regional zonal, Social Media Communication - and Woreda Facebook, Twitter; levels offices Disclosure of written information Brochures, posters, flyers, website Information desks. MoF, MoH, MoP, Federal Federal Face-to-face meetings, workshops; Periodically MoWSA, MoA, Steering Social Media Communication - MoUDI, MoWIE, Committee Facebook, Twitter; Attorney General Disclosure of written information as well as Brochures, posters, flyers, website representatives Information desks. of Regional Steering Committees Environment Regulatory Federal/ Meetings, Environmental and Social Periodically Protection Regional and instruments/ documents clearance, Agency Woreda training, workshops. 10 Regional and Interested Regional/ Face-to-face meetings, workshops; Periodically Woreda parties Woreda Social Media Communication - Agriculture and Facebook; Natural Resource Disclosure of written information offices and Brochures, posters, flyers, website Finance offices Information desks. World Bank Funding Federal Progress Reporting and Continuous Implementation Support Missions with Quarterly & biannual reports Social service Beneficiary Federal, Face-to-face meetings, workshops; Continuous providing Woreda/ & Social Media Communication - institutions Kebele Facebook; (education, Disclosure of written information health, etc.) Brochures, posters, flyers, website Information desks. Academia and Interested P. Federal Meetings, workshops; Social Media Periodically National Disaster Communication - Facebook, Twitter; Management Disclosure of written information Institutes Brochures, posters, flyers, website Information desks. Ethiopian Civil Interested P. Federal Meetings, workshops; Social Media Periodically society Communication - Facebook, Twitter; Disclosure of written information Brochures, posters, flyers, website Information desks. Civil society Interested P. Federal Meetings, workshops; Social Media Periodically organizations, Communication - Facebook, Twitter; NGOs and Disclosure of written information Associations Brochures, posters, flyers, website operating with Information desks. IDPs and host communities in project areas; International Interested P. Federal Meetings, workshops; Social Media Periodically Organizations Communication - Facebook, Twitter; (World Food Disclosure of written information Program, UNICEF, Brochures, posters, flyers, website World Health Information desks. Organization etc.); 11 Contractors Contract Federal/Local Face-to-face meetings, workshops; At least Community awareness sessions; One in a Social Media Communication - month Facebook, Twitter; Disclosure of written information Brochures, posters, flyers, website Information desks; GRM. Contractual / Progress Reporting Woreda and Local Face-to-face meetings, workshops; Continuous Kebele level Local Social Media Communication - Administrator Facebook; Disclosure of written information Brochures, posters, flyers, website, GRM 6.2. Proposed strategy for information disclosure There are a variety of engagement techniques used to build relationships, gather information, consult and disseminate project information to stakeholders. When selecting an appropriate consultation technique, culturally appropriate consultation methods and the purpose for engaging with a stakeholder group should be taken into consideration. The technique to be used in 3R-4-CACE project are described in below table 12 Table 2: Proposed Consultation and Information Disclosure Plan Project Stage List of information to be Methods proposed Timetable: Target Stakeholders Responsibilities disclosed locations/ dates Project Design SEP and ESCP as well as updated Stakeholder public Meetings take Government institutions, PCU/MOF/MOWSA SEP Consultation and place in Amhara, local authorities/implementers, environment meetings Oromia, local NGOs, implementation and social Benishangul-Gumuz partners, donors, IDPs and the risk management team , and some part of public in general, Tigray regions (as feasible) either in person or virtual Environmental and social Public consultation After project IDPs, Public in general, local PCU/MOF/MOWSA management framework (ESMF) meetings, formal approval by authorities, local and environment incl. Social Assessment including meetings, one on one the WB Board, Public international NGOs, and social description of GRM, Security Risk Interviews, e-mail, meetings will take implementation partners, risk management team Assessment and Management website, electronic and place in Amhara, donors, Plan, and GBV/SEA/SH Risk Social media; Oromia, Assessment and Action Plan; Benishangul-Gumuz Resettlement Framework, and , and some part of Labour Management Procedures Tigray regions using (LMP). COVID-19 protocols Project Implementation of site specific Community meetings To be defined by the Potential beneficiaries, local MOF and MoWSA Implementation ESMPs, GBV/SEA Action Plan, (in line with COVID-19 PCU - Before authorities, and the general together with local and RAP protocols), Woreda commencement of public. counterparts and notice boards, activities in community institutions electronic and local subprojects social media, including that require these radio, SMS, Website, specific instruments Community notice and during board preparation of instruments. 13 6.3. Proposed strategy for consultation As the proposed project follows the CDD approach, it is anticipated that the four purposes of consultations and information dissemination in the 3R-4-CACE project are related to: (i) understanding of the needs of the IDPs and host communities; (ii) ensuring coordination between all implementing partners, government authority and community structures; (iii) reception of feedback and comments as well as grievances from all stakeholders on the design and implementation of the project; and (iv) provision of transparent and accountable mechanisms on all aspects of the project, (v) any feedback collected from the communities and relevant stakeholders will be addressed by the PCU and PIU. Further, feedbacks that have concern on the grievance redress mechanism will be directed to grievance redress communities. The SEP will be refined and updated as the project design evolves. However, a grievance redress mechanism (GRM) will be in place throughout the life cycle of the Project and will be set up in a way that all affected individuals and groups can report on project-related grievances or can provide comments and feedback. In addition, all social and environmental risk management instruments like the ESMF, RF, SEP, SA, LMP and ESCP will be publicly disclosed. Stakeholder consultations will take place formally at least twice during implementation of sub-projects in line with the CDD approach. The PCU under the MoF together with MoWSA will produce and update this plan and implement it. The plan will follow the World Bank Note on conducting consultations during COVID-19, and WHO guidelines and Government (MOH) guidelines in consultation methods during the pandemic. The SEP shall be updated to reflect ongoing feedback that is given to qualify this SEP and will be follow a participatory monitoring approach. Based on the Security risk assessment (SRM) findings, stakeholders consultation (including communities) and awareness-raising program will be conducted on the project's impacts on community safety and security, Code of Conduct and GRM including the basic Grievance management process which will be helping to raise their any concern without fear. A Security Management Plan (SMP) will also be prepared indicating the use of security personnel including the type of training which will be conducted for the security personnel and the local communities. The SMP could include the time and locations where consultations with the local communities will be conducted. 14 6.4. Proposed Strategy to Incorporate the Views of Vulnerable Groups All project component leads including MoF and MoWSA will ensure that vulnerable groups are participating in consultative processes and that their voices and concerns are captured during the subproject activities identification and implementation. This may require specific meetings with vulnerable groups in addition to general community consultations. In general, women may be more outspoken in women-only consultation meetings than in general community meetings. Similarly, separate meetings may be held with IDPs and host communities. Further, it is important also to consider other consultation methods besides physical meetings, such as radio broadcasting, to ensure that groups that cannot physically be present at meetings can participate. A preliminary rapid social assessment was conducted. However, comprehensive social assessment will be undertaken before the one month of the project effectiveness. Based on the rapid preliminary assessment, the comprehensive social assessment will embark on field visit to collect data and conduct in-depth consultation process with the identified vulnerable and underserved groups specific to the project. During the fieldwork, additional information focusing on potential project risks and impacts on underserved and vulnerable groups will be assessed. Besides, the preliminary rapid social assessment identified some risk and impacts related to the project components implementation including potential risk of social exclusion of the most vulnerable and underserved groups from sharing the benefit packages of the project particularly related to recovery packages such as transition skill trainings, seed grants, etc. as well as GBV and MHPSS referral services like mobile community-based services on health, education, and WASH. Also, lack of considering appropriate needs, priorities and skills of Vulnerable groups. . The SEP will be updated as the results of the assessment are received. GRMs will be designed and capture in ESMF, SA and SEP. Further, the grievance redress committee will be established before commencing of each sub project implementation and will be continue through the project cycle, in such a way that all groups identified such as vulnerable have access to the information and can submit their grievances and receive feedback. 6.5. Timelines The proposed project is planned for a duration of five years. Information disclosure and consultations are especially relevant throughout the early stages of the Project, but also throughout the Project life cycle. Activities under each sub-component will include further consultations prior to their commencement, to ensure a good selection and inclusiveness of beneficiaries, transparency, and accountability on project modalities, and allow IDP and other vulnerable groups voices to form the basis for the concrete design of every intervention; consultations will continue throughout the project cycle. Information dissemination and delivery of reports will be the two mains means of information disclosure. The information will be uploaded on the implementing agencies and WB external websites. The printed versions of the final documents will be also made available in easily accessible public places (for example, Woreda and/or kebeles relevant offices, schools, etc.). 6.5. Review of Comments The project implementing agencies will gather all comments and inputs originating from community meetings, GRM outcomes and assessments including environmental and social audits. The information gathered will be submitted to the PCU to ensure that the Project has general information on the perception of communities, and that it remains on target. It will be the responsibility of the Project Coordinator and the Environmental and Social Risk Management Specialists to ensure that comments and inputs are responded to and inform the communities. Training on environmental and social risk management will be facilitated the PCU with technical support from the World Bank Environment and Social Risk Management team soon after the Project effectiveness to ensure that all the staff from the different implementing agencies are equipped with the necessary environment and social risks skills. 15 This SEP provides the overarching guidelines for the developing and implementing stakeholder engagements. The PCU Environmental and Social Risk Management teams will continue to monitor the capacity of the environment and social staff of MoF and MOWSA regional level implementers as well as MOP, and recommend appropriate actions, e.g., refresher trainings. The Project will implement a reporting system that will allow collection of information, analysis and dissemination to affected/ interested parties. Quarterly and annual environmental and social risk management implementation reports will show how the consultation conducted, environmental and social issues are being raised and addressed, and the main challenges faced during project implementation. The report will be shared to the relevant stakeholders including directly impacted community members and IDPs. The PCU will prepare and share a biannual report for biannual meeting joint implementation support missions showing the level of implementation of different indicators by compiling the reports from MoWSA and MOF as well as the local level counterparts. This will include monitoring and reporting of the GRM as indicated in the ESCP. 5.7. Future Phases of Project Stakeholders will be kept informed as the project develops, including reporting on project environmental and social performance and implementation of the stakeholder engagement plan and grievance redress mechanism. This will be important for the wider public, more specifically for the directly impacted community members and IDPs. 7. Resources and Responsibilities for implementing stakeholder engagement activities 7.1. Resources The MOF together with MoWSA and the relevant local government institutions will be responsible for the implementation of the activities in this SEP. The PCU will allocate adequate resource for the implementation of the SEP. The financing will be further used for producing communication materials, including local media and radio content, and traditional information sharing mechanism for effective information sharing with communities (including IDPs) and documentation. The budget for SEP implementation will be updated when the SEP is updated as needed. MOF and MoWSA will be responsible for implementing stakeholder engagement for the Project. Besides, the PCU will assign experts to overlook the overall SEP implementation. 7.2. Management functions and responsibilities Due to the multisectoral nature of the project, the coordinating Implementing Agency of the project is the MOF, which will host a Project Coordination Unit (PCU) led by a Project Coordinator, and will be comprised of technical support personnel, and monitoring, FM, procurement, and environmental and social (E&S) risk management specialists. A respective technical project team will be set up in the Ministry of Women and Social Affairs (MoWSA). The technical leadership on questions of conflict and displacement will be aligned to the structure of the Government’s national dialogue approach which is currently been developed. Regional and Woreda-level counterparts will support the PCU in the implementation of the project. Independent project monitoring services may be provided by independent agencies, focusing on compliance with national and international standards in the project’s development interventions. The PCU will take the responsibility of coordinating the overall implementation of the project. Down at regional and woreda levels, the implementing institutions consists of each federal institution counterparts as well as regional and Woreda/City administrations. Grant money will be managed by woreda administration with direct transfer from the MoF. An independent monitoring of the project is currently been evaluated. A multi-sectoral Steering Committee, chaired by MOF, and composed of focal points from the MoF, MoWSA, 16 MoP, Federal Attorney General, Ministry of Health (MoH), Ministry of Justice (MoJ), Ministry of Urban Development and Infrastructure (MoUDI), Ministry of Agriculture (MoA), and the regional states included in the projects will provide project oversight and guidance, approve annual work plan and budgets, and ensure inter-ministerial decision making and resolution of issues. All project related activities will be based on the SEP principles. And the stakeholder engagement activities will be documented through quarterly, biannually and annual progress reports and shared with relevant stakeholders including the World Bank. 8. Grievance Mechanism The Grievance Redress Mechanism (GRM) addresses grievances in an efficient, timely, and cost-effective manner, that arise in the Project, either due to actions by MoWSA, MOP, MoF, or the contractor/subcontractors employed, from affected communities and external stakeholders. A separate grievance redress mechanism is developed to address worker grievances by the MOF and MoWSA. MoWSA, and MoF will be responsible for managing the GRM and cascade the responsibilities to contractors and subcontractors engaged with the respective implementing entity. MOF environmental and social experts shall monitor the grievance resolution process at different levels and respective implementing entities. Project Affected Persons (PAPs) and other potential complainants should be fully informed of the GRM, its functions, procedures, timelines, and contact persons both verbally and through written materials (often used Kebele Center notice boards for posting) and information brochures during consultations meetings and other stakeholder engagement activities. MOF and MoWSA will keep a log of the complaints at hand. They will implement an effective GRM, to help third parties to avoid resorting to the judicial system as far as possible. Complainants can seek redress from the judicial system at any time. The step-by-step process does not deter them from approaching the courts. A GBV/SEA/SH risk assessment will be conducted that will outline relevant measures that need to be implemented in line with risk. The risks assessment will inform the design of GBV/SEA/SH action plan and code of conduct for the project staff and construction workers. In respect to this, grievances concerning sexual exploitation and abuse/gender-based violence should be treated as confidential. Only the nature of the complaint and the processing outcome should be recorded. The detailed procedure will be included in the ESMF and final SA . An updated version of the SEP will be prepared and capture the key requirements GBV grievance redress mechanism based on the finding SA and ESMF prior to implementation of activities under Components 1 and 2. All grievance related correspondence shall be documented, and the grievance resolution process will be systematically tracked. 8.1. Basic Grievance Management Process The GRM will be a distinct mechanism that will allow stakeholders, at the community level in particular, to provide feedback on project impacts and mitigation programs. The project will also establish and functionalize project GRM for affected parties and a separate grievance mechanism for all direct and contracted workers to raise workplace concerns, as provided under ESS2. An environment and social risk management expert will be assigned at MOF to follow up complaints related to affected parties by the project. The complaint, to be filed, should be related to the project components and/or to its implementation and management. Any compliant not directly related to the project will be referred to the appropriate responsible government body. The 3R-4-CACE project grievance resolution process will involve the following main steps: ✓ Receipt of grievances: anyone from the affected communities or believing they are affected 17 by the Project can submit a grievance (written, verbal, text message, telephone, etc. as appropriate for the complainant). ✓ Registering the complaint: the focal person who received the complaint will use the GRM logbook for registering. ✓ Referral and examination of complaints: a GRM Committee shall be established at each project implementation site/ Kebele (comprising of members from representatives of implementing agencies, PAPs, elders, a representative from Woreda Women and Children Affairs office, etc.) who will examine the complaint, resolve, or refer to the appropriate body such as formal courts. ✓ Notifying the complainant: the decision/solution/action by the grievance committee shall be communicated to the complainant as per the stipulated timeline for feedback. ✓ Closing the complaint: where the decision/solution of the complaint is accepted by the complainant, or complaint that is not related to the project or any of its components, or a Complaint that is being heard by the judiciary will be closed following the appropriate procedure based on the acknowledge and signed of complainant. Grievances and complaints related to GBV/SEA will be managed confidentially by an assigned GBV focal persons or Women and Children Affairs office in each beneficiary regions. As part of the GRM committee, GBV focal person (delegate from Women and Children Affairs) who have the necessary trainings on GBV case management will be assigned to address GBV cases and support survivors to get the necessary services. GBV survivors will get the required GBV services like psycho-social support, medical services, legal support and economic support free of charge. The complaints recorded, resolved and referred including GBV cases will be reported quarterly with the environmental and social implementation performance report to the World Bank and other relevant stakeholders. 8.2. World Bank Grievance Redress System Communities and individuals who believe that they are adversely affected by the World Bank supported project may submit complaints to existing project-level grievance redress mechanisms or the WB’s Grievance Redress Service (GRS). The GRS ensures that complaints received are promptly reviewed to address project-related concerns. Project-affected communities and individuals may submit their complaint to the WB‟s independent Inspection Panel which determines whether harm occurred or could occur, as a result of WB's non-compliance with its policies and procedures. Complaints may be submitted at any time after concerns have been brought directly to the World Bank's attention, and Bank Management has been allowed to respond. For information on how to submit complaints to the World Bank’s corporate Grievance Redress Service (GRS), please visit http://www.worldbank.org/GRS. For information on how to submit complaints to the World Bank Inspection Panel, please visit www.inspectionpanel.org. Table 3: The proposed project GRM Management Process Process Description Time Frame Establishment of Before project ✓ GRM Committee will be established at the subproject GRM implementation kebele level comprising of members from representatives Committees of implementing agencies, local elders, beneficiaries, Kebele Level 18 Woreda/ Kebele representative, and Woreda Women Youth and children officer. Identification of ✓ Face to face, telephone call, letter, test message, mail, e- 48 hours grievance mail; website, recorded during public/community interaction; others ✓ The grievance can also be passed through other parties Grievance ✓ Grievances assessed and recorded or logged (i.e., in a Within a week assessed and logbook). logged ✓ The committee will have a grievance record book where the grievances are recorded for follow up. ✓ Grievances concerning sexual exploitation and abuse/GBV should be treated as confidential. Only the nature of the complaint and the processing outcome should be recorded. Woreda Women, Children, and Youth Offices will be responsible for GBV case management. MoF shall allocate budget to this office for capacity building and related GBV aspects. Grievance is ✓ Acknowledgment of grievance through appropriate Within 4 days acknowledged medium Development of ✓ Grievance assigned to the appropriate party for resolution Within 10 days response and develop response with input from GRM Committee Response signed ✓ Redress action approved at appropriate 1within 15 days off Feedback/ ✓ Redress action implemented and update of progress on Within 20 days communication resolution communicated to the complainant. of response 19 9. Monitoring and Reporting Adequate institutional arrangements, systems and resources will be put in place to monitor implementation of project activities and the E&S risk management instruments including the SEP. The goals of monitoring will be to measure the success rate of the SEP and other project activities, determine whether interventions have handled negative or positive impacts, and whether further interventions are required. The main responsibilities for monitoring will be with the PCU. The PCU Project coordinator and E&S expert will be responsible for overall the implementation of the environmental and social mitigation measures, including the SEP. It will be the responsibility of the PCU to ensure that all relevant reporting is shared. At a subproject component level, MOF and MoWSA will be responsible for disclosing their stakeholder engagement results and relevant reporting. A monthly report will be prepared by MoWSA and MOF for the implementation of the SEP. Quarterly stakeholder meetings will be convened to discuss and review key indicators of stakeholder engagement . Stakeholders will have the opportunity to indicate whether they are satisfied or not with the project consultation process and what needs to be changed in the SEP implementation process to make it more effective. A Third-Party Monitor will be engaged on a competitive basis to provide independent operational review of project implementation, as well as verification of all project results. This will include assessing adherence at all implementation levels to the procedures set out in the Project Operations Manual (POM) and other relevant project documents, and in verifying outputs of all project activities. Results of stakeholder engagements will be regularly reported back to the affected communities, as well as the relevant local authorities. The main means for reporting will be through electronic media like emails and fax as well as in some rural area with poor intranet access the reports will be deliver in person . 20