Emergency Social Protection Enhancement and COVID-19 Response Project (ESPECRP) (P173582) Environmental and Social Management Framework (ESMF) i Table of Contents  Acronyms ......................................................................................................................................................... 1  Executive Summary ......................................................................................................................................... 1  1 Introduction ............................................................................................................................................. 5  2 Project Description .................................................................................................................................. 5 2.1 Description of Baseline Environmental and Socioeconomic Conditions .............................................. 7 2.2 Summary of Key Results and Activities ................................................................................................... 9 2.3 Figure 1: The ESPECRP Results Chain ..................................................................................................... 9  3 Legal and Regulatory Framework ........................................................................................................... 9 3.1 National Legislation, Policies and Regulations ....................................................................................... 9 3.1.1 National Environmental Action Plan ............................................................................................... 9 3.1.2 National Biodiversity Strategy and Action Plan ............................................................................10 3.1.3 National Water Sector Strategy and Investment Program ..........................................................10 3.1.4 Water Law ......................................................................................................................................10 3.1.5 Environmental Protection Law......................................................................................................10 3.1.6 Labour Law .....................................................................................................................................11 3.1.7 Summary of Yemen’s Law and International Ratification of International Convention regarding Women Employment and Gender Equality .......................................................................................12 3.1.8 PWP and SFD Operating Procedures ............................................................................................12 3.2 International Agreements and Protocols .............................................................................................12 3.3 UNDP’s Social and Environmental Standards.......................................................................................13 3.4 World Bank Requirements ....................................................................................................................14  4 Social and Environmental Impacts and Risks .......................................................................................18 4.1 Conflict ...................................................................................................................................................22 4.1.1 Activities That May Result in Conflict Risks ..................................................................................22 4.1.2 Management Measures ................................................................................................................22 4.2 Gender and Social Inclusion ..................................................................................................................23 4.2.1 Activities That May Result in Gender and Social Inclusion Impacts or Risks ..............................24 4.2.2 Management Measures ................................................................................................................24 4.3 Biodiversity and Natural Resources ......................................................................................................25 4.3.1 Activities That May Result in Biodiversity and Natural Resources Impacts or Risks ..................25 4.3.2 Management Measures ................................................................................................................25 ii 4.4 Climate Change ......................................................................................................................................26 4.4.1 Activities That May Result in Climate Change Impacts and Risks ...............................................26 4.4.2 Management Measures ................................................................................................................27 4.5 Community Health, Safety and Working Conditions (including OHS) ................................................27 4.5.1 Activities That May Result in OHS and Community Health, Safety, Working Condition Impacts and Risks 27 4.5.2 Management Measures ................................................................................................................28 4.6 Cultural Heritage....................................................................................................................................30 4.6.1 Activities That May Result in Cultural Heritage Impacts and Risks .............................................30 4.6.2 Management Measures ................................................................................................................30 4.7 Pollution Prevention and Resource Efficiency .....................................................................................31 4.7.1 Activities That May Result in Pollution and Resource Efficiency Impacts and Risks ..................31 4.7.2 Management Measures ................................................................................................................32 4.8 Land Acquisition, Restrictions on Land Use and Involuntary Resettlement .......................................33 4.8.1 Management Measures ................................................................................................................33  5 Procedures to Address Social and Environmental Risks and Impacts ................................................33 5.1 Sub-Project Screening and Classification Requirements .....................................................................33 5.1.1 PWP Sub-projects ..........................................................................................................................34 5.1.2 SFD and SMEPS Sub-projects .......................................................................................................34 5.2 Site-Specific Assessment and Management Requirements ................................................................35  6 Institutional Arrangements and Capacity Building ..............................................................................35 6.1 General Management Structure and Responsibilities .........................................................................35 6.1.1 World Bank.....................................................................................................................................35 6.1.2 Project Board (Biannual Review Meetings) ..................................................................................36 6.1.3 UNDP ..............................................................................................................................................36 6.1.4 Responsible Parties........................................................................................................................37 6.1.5 Third Party Monitors .....................................................................................................................38 6.2 Capacity Building and Training ..............................................................................................................38  7 Stakeholder Engagement and Information Disclosure ........................................................................38 7.1 Principles for Meaningful, Effective and Informed Stakeholder Engagement ...................................38 7.2 Information Disclosure ..........................................................................................................................39 7.3 ESPECRP Systems in Place for Stakeholder Engagement and Information Disclosure .....................40 7.4 Project-Level Grievance Redress Mechanism ......................................................................................41 7.5 UNDP Accountability Mechanism .........................................................................................................43 iii  8 Monitoring, Reporting and Evaluation of ESMF Implementation .......................................................43 8.1 Monitoring and Reporting Indicators: ..................................................................................................44 8.2 Management Information System (MIS) ..............................................................................................44 8.3 Sub-Project Self-Monitoring and Reporting .........................................................................................44 8.3.1 Social, environmental and OHS incident reporting......................................................................44 8.3.2 Daily and weekly inspection checklists .........................................................................................45 8.3.3 Corrective Actions..........................................................................................................................45 8.4 Sub-Project Third-Party Monitoring and Reporting.............................................................................45 8.5 Monitoring Plan .....................................................................................................................................45  9 Budget estimation to implement the ESMF .........................................................................................48  10 Annexes...............................................................................................................................................49  Annex 1. Yemen ESPECRP Revised SES Screening ......................................................................................50  Social and Environmental Screening Template (2021 SESP Template, Version 1) ....................................50  Annex 2. Specific Risks and Management Measures by Project Activity ...................................................76  Annex 3. Environmental and Social Management Plan - Indicative Outline............................................102  Annex 4. Guidance for Submitting a Grievance .........................................................................................104  Annex 5 :OHS toolkit ...................................................................................................................................109  Annex 6. YECRP Conflict Sensitivity Framework: the new conflict sensitivity framework will be updated for the ESPECRP...........................................................................................................................................122  Annex 7. Stakeholder Engagement Plan ....................................................................................................123  Annex 8. Labour Management Procedure.................................................................................................144  Annex 9. Environmental and Social Commitment Plan.............................................................................157  Annex 10 Gender and GBV Plan .................................................................................................................171  Annex 11. ESPECRP Operational Manual ...................................................................................................186  Annex 12. YLG ESMS ...................................................................................................................................277 iv Acronyms EHS Environmental, Health and Safety EIA Environmental Impact Assessment EPA Yemen Public Environmental Protection Agency EPL Yemen Environmental Protection Law ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan ESMS Environmental and Social Management System FI Financial Intermediary GDP Gross Domestic Product GBV Gender Based Violence GIIP Good International Industry Practice GRM Grievance Redress Mechanism IDP Internally Displaced Person ILO International Labour Organization IPM/IVP Integrated Pest Management / Integrated Vector Management MSME Micro, Small and Medium Enterprise MFI Multilateral Finance Institution MIS Management Information System NBSAP National Biodiversity Strategy and Action Plan NEAP Yemen National Environmental Action Plan NGO Non-Governmental Organization OHS Occupational, Health and Safety OP World Bank Operational Policy PAD World Bank’s Project Appraisal Document PWP Public Works Project RoY Republic of Yemen SRM UNDP’s Stakeholder Response Mechanism SECU UNDP’s Social and Environmental Compliance Unit SEA Sextual Exploitation and Abuse SES UNDP’s Social and Environmental Standards SESP UNDP’s Social and Environmental Screening Procedure SFD Social Fund for Development SME Small-to-Medium Enterprise SMED Small-to-Medium Enterprise Development SMEPS Small and Micro Enterprise Promotion Service SWF Yemen Social Welfare Fund TPMA Third-Party Monitoring Agent UN United Nations 1 UNDP United Nations Development Programme WHO World Health Organization YECRP/ECRP Yemen Emergency Response Project ESPECRP Emergency Social Protection and COVID-19 Response Project YSMQCO Yemen Standard Metrology Quality Control Organization 2 Executive Summary This Environmental and Social Management Framework (ESMF) is prepared by UNDP to ensure the Social Protection and COVID-19 Response Project (ESPECRP) is consistent with UNDP’s Social and Environmental Standards (SES) (www.undp.org/ses) and the World Bank’s Environmental and Social Framework (ESF) The SES require that all UNDP projects consider the potential environmental and social opportunities that a project may generate and ensure that adverse social and environmental risks and impacts are avoided, minimized, mitigated and managed. The ESMF is intended to serve as a practical tool to guide the identification and mitigation of potential environmental and social impacts of proposed investments and as a platform for consultations with stakeholders and potential project beneficiaries. The ESMF identifies the standard triggers for the project, the screening criteria of sub-projects, the likely environmental and social impacts of the sub-projects and the mitigation measures to for the identified risks, assessment of the institutional capacity and measures for fill capacity gaps. The ESMF provides the following: Description of the project (Section 2): UNDP and UNICEF, in partnership with the World Bank, developed the Social Protection and COVID-19 Response Project (ESPECRP) to step up current efforts of the international community to deliver critically needed livelihood support and service delivery to a population hit hard by the conflict. Three local institutions are the Responsible Parties: The Social Fund for Development (SFD) and the Public Works Project (PWP) and Small and Micro Enterprise Promotion Service (SMEPS). The project focuses on targeting food insecure households and the required interventions to tackle food insecurity. The project covers activities related to cash transfers: 1) Unconditional cash transfers to the SWF beneficiaries; Cash for Nutrition (CfN), prioritizing the SWF families most at risk of malnutrition and families with malnourished children under five-years; 2) Cash for work(CFW)-vulnerable people who are able to work will get temporary employment opportunities to establish valuable community assets and contribute to food security; 3) Social and productive community assets rehabilitation; and 4) provide economic opportunities and food market to vulnerable populations by supporting MSMEs, with an emphasis upon strengthening the domestic food market and production, including support to farmers, fishermen and livestock producers to enhance agricultural productivity linked with food insecurity. Project interventions will incorporate COVID-19-sensitive measures. The Project also seeks to significantly strengthen the capacity and role of national institutions in order to create a solid foundation for future social protection and local leadership. Overview of the legal and regulatory framework (Section 3): Key national laws and regulations applicable to social and environmental risk management include the National Environmental Action Plan, National Biodiversity Strategy and Action Plan, Water Law, Environmental Protection Law, and Labour Law. In the context of the ESPECRP , UNDP’s Social and environmental Safeguards (SESs) and the World Bank’s Environmental and Social Safeguards (ESSs) Framework apply. In addition, the Responsible Parties (Public Works Project and Social Fund for Development) have elaborated their own standard operating procedures, that were set up for the World Bank supported projects with the two institutions prior to the conflict, Environmental and Social Management Frameworks in 2014 and OHS Framework in 2018. Implementation of these procedures also help to ensure consistency with relevant international agreements and protocols. Overview of project activities and key social and environmental risks (Section 4): This section summarizes key social and environmental risks and indicative management measures for the project. The section describes the WB ESF and UNDP SES , requirements and national regulations. that have been triggered based on completion of the project-level Social and Environmental Screening Procedure (SESP, see Annex 1). The project’s overall risk rating is Substantial. The Environmental risk of this project is ‘high’. The project 1 will support activities that may result in risks and impacts on workers and community health and safety as well as on the environment, if the project’s activities are not managed ad equately. Although environmental risks and impacts are expected to be site-specific, reversible and generally of low magnitude that can be mitigated following appropriate measures; based on the implementation experience of the ongoing ECRP, and identification of significant OHS gaps, there is a significant risk for fatal incidents or serious injuries to occur under the project, particularly under the labor intensive community subprojects. Key risks include those related to human rights and conflict, gender and social inclusion, biodiversity and natural resources, climate change, community health, safety and working conditions (including occupational health and safety), cultural heritage, and pollution. Occupational health and safety risks are identified as a priority. Because a full risk analysis is not possible until site-specific design details are known, the identification of project level risks provides an indicative assessment to be elaborated further through sub-project level screening, assessment and risk management (see Section 5). Therefore, sub-project screening and site- specific assessments and management plans will be essential. Procedures for screening (Section 5): Each sub-project will be screened for social and environmental risks and impacts (including OHS risks) applying PWP and SFD screening tools that were reviewed and approved by UNDP. Screening and classification will be completed prior to approval of sub-projects and signing of the Financial Agreement. The screening of sub-projects will also be updated if there are any significant changes in the sub-project’s design or context that may materially change its social and environmental risk profile. Sub-project screening and categorization should be conducted at the earliest stage of design when sufficient information is available for this purpose. Based on the screening, the sub-project is categorized according to the degree of potential social and environmental risks and impacts (including OHS). The screening process results in a risk-based categorization of the sub-project (Low Risk, Moderate Risk, or High Risk). Note that High Risk sub-projects will be excluded from Yemen ESPECRP funding. If high level-risk activities are identified during the implementation of a subproject, Senior management of the Responsible Party and the UNDP Project Manager will be notified immediately and relevant activities will be halted until management measures are put in place to reduce the levels of risk. An initial gap analysis shows that PWP and SFD screening processes are generally aligned with SES requirements, as described below. All Substantial risk projects will require an Environmental and Social Management plan to be prepared by the IPs, reviewed by UNDP and approved by the WB. Procedures for assessment and management (Section 5): The targeted and site-specific assessments and management plans will be undertaken for all Substantial Risk sub-projects once project activities/sub- projects and sites are identified. The assessment(s) will lead to the development of appropriately scaled management measures and plans to address the identified risks and impacts. Relevant social and environmental assessments and adoption of appropriate mitigation and management measures will be completed, disclosed, and discussed with stakeholders prior to implementation of any activities that may cause adverse social and environmental impacts. All site-specific assessments and management plans will be submitted to UNDP and the World Bank for clearance and recorded in the MIS. In cases where similar activities are being conducted in a particular region, these activities may be grouped and covered under one ESMP. All ESMPs will be available upon request. Institutional arrangements and capacity building (Section 6): The World Bank provides financing for the project and as such has an oversight role. The World Bank has established a senior management task team to oversee and make decisions about remedies in connection with the UNDP-implemented activities. The Project Board (UNDP, World Bank, PWP, SFD and SMEPS) has oversight and advisory authority, representing the highest body for coordination, strategic guidance, oversight and quality assurance. UNDP will be responsible for overseeing the implementation and compliance with the ESMF, working closely with PWP and SFD. UNDP will be responsible for the revision or updates of this document during the course of project, in consultation with PWP, SFD and the World Bank. During operations the Responsible Parties (SFD , SMEPS 2 and PWP) will be accountable for implementation of the ESMF. The Responsible Parties are directly accountable to UNDP in accordance with their Letter of Agreement. Responsible Parties include headquarters offices, branch offices, site engineers, site supervisors, and workers that also play a role in implementation of the ESMF. A capacity development plan to ensure ongoing capacity development related to ESMF implementation will be developed and led by UNDP, working closely with PWP, SFD, SMEPS and the World Bank. Stakeholder engagement and information disclosure (Section 7): The ESPECRP and its Responsible Parties will ensure meaningful, effective and informed stakeholder engagement in the design and implementation of all sub-projects. Stakeholder engagement supports the development of strong, constructive, and responsive relationships that are critical for sound project design and implementation. Effective stakeholder engagement enhances project acceptance and ownership and strengthens the social and environmental sustainability and benefits of supported interventions. Information disclosure refers to the provision of timely, accessible information regarding the project and its potential social and environmental impacts to stakeholders in order to facilitate their meaningful, effective and informed participation in project design and implementation. Stakeholders require access to relevant project and sub-project information to understand potential project-related opportunities and risks and to engage in design and implementation. In addition to have access to general project information, stakeholders need access to screening reports, draft and final assessments and management plans. This information is to be disclosed in a timely manner, in an accessible place, and in a form and language understandable to affected persons and other stakeholders. A stakeholder engagement plan (SEP) for the Social Protection and Covid Response Project (ESPECRP) has been developed. The SEP recognizes the importance of open and transparent engagement between the Recipient and project stakeholders as an essential element of good international practice. Effective stakeholder engagement can improve the environmental and social sustainability of projects, enhance project acceptance, and make a significant contribution to successful project design and implementation. Stakeholder engagement is an inclusive process conducted throughout the project life cycle. Where properly designed and implemented, it supports the development of strong, constructive, and responsive relationships that are important for successful management of a project’s environmental and social risks. Meaningful stakeholder engagement is required by PWP, SFD and SMEPS for participation in project intervention by communities and individuals. The Standard Operating Procedures of UNDP and Responsible Parties include procedures for community and stakeholder engagement within their project cycles as a key component of project identification, design and implementation, and described a key component of the longer-term sustainability strategy for operations and maintenance. Grievance Mechanism (Section 8): The Project Level Grievance Mechanism is managed by SFD and PWP, who have their own GM mechanisms in place. The GM will be gender- and age-inclusive and responsive and address potential access barriers to women, the elderly, the disabled, youth and other potentially marginalized groups as appropriate to the Project. The GM will not impede access to judicial or administrative remedies as may be relevant or applicable and will be readily accessible to all stakeholders at no cost and without retribution. Information about the Grievance Mechanism and how to make a complaint and/or grievance must be communicated during the stakeholder engagement process and placed at prominent places for the information of the key stakeholders. All complaints and/or grievances regarding social and environmental issues can be received either orally (to the field staff), by phone, in complaints box or in writing to the UNDP, PWP or SFD. A key part of the grievance mechanism is the requirement for the Project Management Team and construction contractor to maintain a register of complaints and/or grievances received at the respective project site offices, this includes grievances from workers. In addition to the project-level and complainants have the option to access UNDP’s Accountability Mechanism, with both compliance and grievance functions. The Social and Environmental Compliance Unit investigates allegations 3 that UNDP's Standards, screening procedure or other UNDP social and environmental commitments are not being implemented adequately, and that harm may result to people or the environment. The Stakeholder Response Mechanism offers locally affected people an opportunity to work with other stakeholders to resolve concerns, complaints and/or grievances about the social and environmental impacts of a UNDP project. Stakeholder Response Mechanism is intended to supplement the proactive stakeholder engagement that is required of UNDP and its Implementing Partners throughout the project cycle (www.undp.org/secu- srm). Complainants also have access to the World Bank’s Inspection Panel (www.inspectionpanel.org). TPM Reports and the ESMF stakeholder consultations noted that there was little awareness by project-affected people of the GM and their options. This will be an area to be strengthened moving forward. Monitoring, reporting and evaluation (Section 9): The ESMF and its procedures are to be reviewed and updated on a regular basis by UNDP, PWP and SFD to reflect knowledge gained during the course of project delivery/construction. Both PWP and SFD have a Management Information System in place to record project information and monitor results. The MIS provides an important mechanism to track information on environmental and social safeguard implementation. A review will be conducted to identify opportunities to strengthen environmental and social safeguard elements in the MIS. UNDP will ensure that three responsible Parties maintain and keep all administrative and social and environmental records which would include a log of complaints and incidents together with records of any measures taken to mitigate the cause of the complaints or incidents. Any incidents, major injury or fatality, including non-conformance with the procedures of the ESMF, are to be recorded using an Incident Record and the details entered into a register. For any incident that causes or has the potential to cause material or significant social and/or environmental harm, the site supervisor/designated officer shall notify the Responsible Party Senior Management and the ESPECRP Project Manager as soon as possible and no later than 24 hours. UNDP will also ensure significant incidents are reported to the World Bank within 48 hours. The Responsible Party must cease work until remedies have been completed as per the approval of Project Manager. A daily social and environmental checklist (including OHS issues) is to be completed for active work sites with Substantial risks by the relevant site supervisor/designated officer and maintained within a register. A weekly social and environmental checklist is to be completed and will include reference to any issues identified in the daily checklists completed by the site supervisor or designated person. The progress of all corrective actions will be tracked using the register. In the case of potential occupational health and safety hazards, safe working systems and procedures will be developed and applied as well daily permit-to-work forms used to control and minimize risks to acceptable limits. Implementation of the ESMF to be included in overall project monitoring and reporting, including monitoring conducted by the TPMA. 4 1 Introduction This Environmental and Social Management Framework (ESMF) is prepared by UNDP to ensure the Social Protection and COVID-19 Response Project (ESPECRP) is consistent with UNDP’s Social and Environmental Standards (SES) (www.undp.org/ses) and the World Bank’s Environmental and Social Safeguards Framework (ESF). The SES require that all UNDP projects consider the potential environmental and social opportunities that a project may generate and ensure that adverse social and environmental risks and impacts are avoided, minimized, mitigated and managed. In the context of the Social Protection and COVID-19 Response Project(ESPECRP), UNDP’s SES and the World Bank’s Environmental and Social Safeguards Framework apply. In addition, the Responsible Parties (Public Works Project, Social Fund for Development and Small and Micro Enterprise Promotion Service) have elaborated their own standard operating procedures, that were set up for the World Bank supported projects with the two institutions prior to the conflict, ESMFs in 2014, and Occupational Health and Safety Framework in 2018. Because the details of proposed activities are designed at the sub-project level, an Environmental and Social Management Framework (ESMF) is necessary to ensure policies and procedures are in place for consistent safeguards implementation across all sub-projects, and as required by the World Bank Environmental and Social Framework (ESF). The ESMF is intended to serve as a practical tool to guide identification and mitigation of potential environmental and social impacts of proposed investments and as a platform for consultations with stakeholders and potential project beneficiaries. The ESMF has been prepared in compliance with World Bank Environmental and Social Framework (ESF), the UNDP SES and relevant Yemeni policies on environmental assessment. The ESMF identifies the policy triggers for the project, the screening criteria of sub-projects, the environmental and social impacts for the likely sub-projects and the mitigation measures to mitigate the identified risks, and assessment of the institutional capacity and measures for capacity-filling gaps. The ESMF provides a strengthened framework and clarity to ensure consistency with the UNDP SES and World Bank Environmental and Social Safeguards Policies across all sub-projects. The ESMF was developed through a consultative process led by UNDP in close coordination with the World Bank, PWP and SFD. The ESMF provides the following:  Description of the project (Section 2)  Overview of the legal and regulatory framework (Section 3)  Overview of project activities and key social and environmental risks (Section 4)  Procedures for screening, assessment and management (Section 5)  Institutional arrangements and capacity building (Section 6)  Stakeholder engagement and information disclosure (Section 7)  Grievance Mechanism (Section 8)  Monitoring, reporting and evaluation (Section 9) 2 Project Description Funded and supported by the World Bank’s International Development Association (IDA), ESPECRP aims to provide nutrition-sensitive cash transfers, temporary employment and increased access to basic services and economic opportunities to food-insecure populations affected by COVID-19, Yemen’s conflict and climate-related shocks, as well as to strengthen the capacity of national service delivery institutions. UNDP is the recipient agency 1 for the IDA Grant, while activities are implemented by the Social Fund for Development (SFD), the Public Works Project (PWP) and the Small and Micro Enterprise Promotion Services (SMEPS). The project’s Theory of Change assumes that if income -generation and livelihoods opportunities are increased for vulnerable households (including IDPs), with essential service delivery restored and key local businesses revived, Yemeni households and communities will be able to better cope with the impact of the current crisis and be strong drivers of the resilience-building and recovery efforts. ESPECRP includes four main components as follows: 1The project is also implemented by the United Nations Children’s Fund (UNICEF) – the recipient agency for the Unconditional Cash Transfer component under the project. 5 Component 1: Cash Transfers (US$152 million). This component will mainly finance CTs to poor and vulnerable households to protect them against food insecurity. This component will include two subcomponents: Sub-component 1.1—Unconditional Cash Transfers (UCT) (implemented by UNICEF); and Sub-component 1.2—Cash for Nutrition (CfN) (implemented by UNDP in partnership with SFD). 1.2—Cash for Nutrition (CfN) will be implemented by SFD through its Nutrition Unit and will follow the Operations Manual of Nutrition Conditional Cash Transfers. The Cash for Nutrition (CfN) component includes four main outputs:  Cash Transfers including scanning the targeted households, enrolment of qualified women, conducting health and nutrition outreach courses and payment of the monthly cash top-ups;  2) Facilitated Access to the Therapeutic Feeding Centres (TFCs) including the check-ups, enrollment and ups and referral of malnutrition cases to TFCs and paying them transportation and accommodation costs, if necessary;  Health Outreach which includes regular health outreach sessions and HH visits to support the behavioural change and provide advices and follow up mothers and children who need care;  Nutrition Community Workers through providing training and job opportunities to young women between the ages of 18 and 35 years, then deploying them as health and nutrition promoters/outreach workers for the local communities to deliver the above-mentioned outputs. This output includes eligibility assessment and selection and training of qualified young girls and paying them monthly wages. Component 2: Labor Intensive Works and Economic Opportunities (US$38.4 million). This component will address food insecurity by providing temporary and more sustainable economic opportunities to vulnerable populations and building relevant assets. The component will be implemented by UNDP in partnership with SFD , PWP, and SMEPs and will include three subcomponents: Sub-component 2.1—Cash for Work; Sub-component 2.2—Community Assets; and Sub- component 2.3—Economic Opportunities and Food Market Resilience. Cash for Work Transfers under Part 2.1(a) of the Project: This sub-component will be implemented by SFD with the main objective of creatinge temporary employment opportunities to vulnerable people and providing access to key social services prioritized by the target communities. Implementation of activities under the Cash for Work (CfW) sub- component will follow the Operation Manual for the Labour Intensive Works Programme (LIWP) unit updated by SFD for the ESPECRP. The main operating procedures relevant to the ESPECRP are summarized here. SFD will pursue a short-term module for the implementation of CfW activities under ESPECRP in order to cover a large number of targeted communities and households through quick response and accelerated disbursement. The activities under this subcomponent entail short time labor (4 – 6 months) with high labour intensity (around 60%), capped wages in the average amount of US$500 per household, and works that are relatively simple to suit local labourers, with the majority of them being unskilled workers. Priority will be given to types of sub-projects that contribute directly or indirectly to improved food security and thus will include, but not be limited to, reclamation of agricultural land, improvement and protection of rural roads, rehabilitation of irrigation canals, facilities improving health and environment conditions (e.g. construction of simple latrines, rehabilitation of water resources, tree plantation, etc.). The payment of wages will mostly be done via a financial institution. In cases where banking or postal services are not available, a field accountant for making cash payments will be added to the SFD field team. YLG Subgrant under Part 2.3(a)(i), MFI IT Subgrants under Part 2.3(a)(iii) This sub-component is implemented by SFD through its Small and Micro Enterprise Development Unit (SMED) and subsidiary organisation the Yemen Loan Guarantee Programme (YLG). YLG is not receiving funding from the project. However, it may be considered as Associated Institution due to the Guarantee they are providing. The MSMEs subgrants and Business Associations subgrants [2.3b (i) and (ii)] will be implemented by The Small and Micro Enterprise Promotion Services (SMEPS). The main objective is to provide more sustainable economic opportunities to vulnerable populations by supporting MSMEs affected by conflict or the COVID-19 crisis, focusing on economic activities that strengthen the domestic food market, thus contributing to improved food security. The implementation wi ll generally follow SFD’s Standard OM for the core procedures including procurement, human resources, finance and M&E, whereas the technical procedures will apply the specific Project Operations Manuals of each subsidiary: YLG’s OM, SMEPS’s OM and SMED’s OM. SMEPS and SMED are semi-independent subsidiary program, established by SFD. They receive funds from the SFD and the donor community. The SFD has an integrated MIS, which is a computerized system that has been specifically designed to support the operations of the SFD units and to manage the disbursement of donor funds to community- based projects. All units of SFD have access to the MIS. However, the Small and Micro Enterprise Development (SMED) has its own MIS that works alongside the main MIS. YLG are required to meet the requirements stated in WB ESS9 – Financial Intermediaries and will put in place and maintain an Environmental and Social Management System ESMS to 6 identify, assess , manage and monitor the environmental and social impacts and risk of the FIs. The YLG ESMS will include : environmental and social policy, procedures for identificaiton , assessment and manamgnet of environmental and social risks, organisational capacity and competency, monitoring system and external communication mechanisim. The YLG will also provide a safe and healthy working environment in accordance to all related ESS. YLG will have an appropriate labor management procedures , including procedure related to working conditions, terms of employement, non- descrimination , occupation health and safety requirement as well as grieviance mechanisim. YLG ESMS is attached (Annex 12 YLG ESMS). Component 3: Project Support, Management, Evaluation and Administration (US$13.5 million). This component will finance the costs of project management, monitoring, evaluation and capacity building of national institutions. It will include the following two sub-components: Sub-component 3.1— Project Support, Management, Evaluation and Administration for Sub-component 1.1, administered by UNICEF (US$7.5 million); and Sub-component 3.2— Project Support, Management, Evaluation and Administration for Sub-component 1.2 and Component 2, administered by UNDP (US$6 million). This component will finance the following activities and functions: direct and indirect costs of recipient UN agencies; Third-Party Monitoring; capacity building of SFD, SWF and PWP; and project evaluations. Component 4: Contingent Emergency Response (CERC) (US$0 million). In the event of an eligible crisis or emergency2, the project will contribute to providing immediate and effective response to said crisis or emergency. This component would draw from uncommitted funds under the project from other components to cover the emergency response. To facilitate a rapid response, in case the CERC is activated, the restructuring of the project is deferred to within three months after the CERC is activated. 2.1 Description of Baseline Environmental and Socioeconomic Conditions The economic impact of the crisis has been devastating for the Republic of Yemen, aggravating an already deteriorating pre-conflict economic performance. In 2015, according to the World Bank, the economy contracted by about 28 percent of gross domestic product (GDP), while inflation has been estimated to have reached about 40 percent. Public finances are under severe stress. The fiscal deficit reached around 11 percent of GDP in 2015. The fiscal resources available in 2015 allowed only for financing basic salaries for public employees and rising interest payments; public investments in critical sectors such as health and education or other development policy programs were postponed. In a context of growing liquidity crisis in the country, President Hadi issued a decreed to replace the Central Bank Governor and move the Central Bank Headquarters from Sana’a to Aden. As a result of the liquidity crisis, the payment of salaries to civil servants has been disrupted. At a time where major development partners suspended their engagements since earlier days of the military confrontation in March 2015 and transitioned their support to emergency and relief operations, the suspension of wage payments causes the crumbling of the health services, putting additional pressure on the humanitarian response and resilience of the population. About 14.4 million Yemenis are currently considered food insecure. The poor state of the health services is leading to a catastrophe in terms of excess mortality due to malnutrition and diseases. At present the Ministry of Health and international partners are also battling a cholera epidemic. Some 3 million children under five years and pregnant or lactating women require services to treat or prevent acute malnutrition; 1.3 million under-five children are malnourished, with 370,000 suffering from severe acute malnutrition, a doubling of pre-crisis levels. Preliminary estimates of the Nutrition Cluster in October 2016 indicates that 4.5 million children and pregnant and lactating women require malnutrition treatment or preventive services. The number of people in need of assistance increased by 148% compared to late 2014. Severe and Acute Malnutrition blunts children intellect and makes them nine times more likely to die compared to their healthy peers. This poses a serious risk to the future of human development in Yemen. Furthermore, it is estimated that approximately 19.4 million Yemenis lack access to clean drinking water and sanitation, and 14.1 million cannot access adequate health care. Children are facing significant psychological stress; an estimated 1.8 million children are out of school because of fighting and insecurity. 2,007,216 internally displaced persons (IDPs) across 21 governorates; the majority, 50%, are displaced in Hajjah, Taizz, Amanat Al Asimah and Sana’a. The Task Force on Population Movement has identified 1,027,674 returnees in 19 governorates; the majority, 68%, have returned to Aden, Amanat Al Asimah and Taizz. The number of IDPs have risen to over 2 million, with the majority of displaced people hosted by local communities. According to latest estimates from the Task Force on Population Movement in January 2016, about 1,027,000 IDP 2Defined as “an event that has caused, or is likely to imminently cause, a major adverse economic and/or social impact associa ted with natural or man-made crises or disasters. 7 returnees who returned to their place of habitual residence across Yemen, representing about a 32% increase compared to April 2016. The prospects for women-headed households, which represent more than 50 percent of the displaced community, are particularly challenging. Households, communities, and public and private institutions need support to cope and build resilience toward peace and recovery. Yemeni economic advancement depends on its natural resource base; agriculture and mining. Agriculture forms an important sector in the nation’s economy and much of the economic activities depend on exploitation of freshwater resources, marine resources, and its soil and oil wealth. However, the natural resource base is facing serious challenges. The rapidly growing population at the rate of 3% annually accelerates pressure on scarce natural resources. Demand increases on water resources, foodstuff and other products of natural resources. People exploit soil, vegetation and water without paying adequate attention to the sustainability of these resources. Unplanned expansion of urban centers exceeds, in some places, the carrying capacities of available resources to meet new demand. It also causes sanitation and waste management problems and puts pressure on social services, in addition to loss of biodiversity and agricultural land. Yemen is a country with rich natural habitats, species and genetic diversity, including many endemic species resulting from the variant altitudinal topography, climate, and geographical landscapes. The unique geographical position of Yemen with the variant climatic and topographical features is favorable for existence of diverse ecosystems, natural habitats, and great marine, coastal, and terrestrial biodiversity. The flora of Yemen is very rich and heterogeneous. According to the Gap Analysis of Natural Plant Biodiversity of Yemen (2011), about 2,810 plant species were recorded in Yemen in which endemic and near endemic plants were estimated about 604, among which 455 are endemic (307 in Socotra), constituting of about 16% of the flora which does not occur elsewhere (National Biodiversity Strategy and Action Plan, NBSAP II 2015). On the other hand, Yemen has very limited natural resources including for instance - arable land, water, fishery, and green cover which evidently experience constant degradation. The arable lands do not exceed 3% of the total natural area which is dominated by desert and mountains. The arable lands experience continuous deterioration by about 1.8% annually during the period 1999-2006 as a result of the water erosion, desertification, salinization, and urbanization. The total lands covered by forests are estimated about 1.5% until 2005. Desertification is accounting for over 50 percent of total land of the country. Desertification of agricultural land ranges from 3-5 percent annually, whereas the area of deteriorated land due to soil erosion and salinity is estimated to be 12 million hectares and another 3.8 million hectares, respectively. The situation is further worsened as a result of encroachment of sand dunes (NSES 2005-2015). The potential for greater desertification is high considering several factors including changes in socio-economic patterns and farming practices and increasing demand for fuel, abandonment of terraces, overgrazing and depletion of tree cover and water erosion problems. 8 2.2 Summary of Key Results and Activities Figure 1 illustrates summary of the key results, outcomes, outputs, activities and development challenges. 2.3 Figure 1: The ESPECRP Results Chain Development Activities Outputs Outcomes Results challenge Food security of households is compromised by conflict, COVID-19 and climate-related Component 1 Unconditional CTs to about Short-term and partial Impact of conflict, COVID-19 and climate-related shocks on food insecurity is partially 1.5 million households for protection of poor and  Unconditional Cash one year vulnerable households Transfers CTs and complementary Short term and partial  Cash for Nutrition services to 45,000 families protection of households at risk of malnutrition for most at risk of one year malnutrition Component 2 Temporary employment Short-term and partial opportunities provided to protection of vulnerable  Cash for Work 90,000 people working people  Community Assets 584,000 people with Increased access to basic improved community services and food  Economic opportunities About 6,000 MSMEs Sustainable economic and food market resilience provided with financial and opportunities generated technical support Increased access to food Component 3 National institutions Increased capacity of benefiting from capacity national institutions to building design and implement social mitigated.  Capacity Building shocks. Improved monitoring of  Monitoring and projects in conflict Evaluation contexts; improvements in project interventions 3 Legal and Regulatory Framework The ESMF is prepared to: - comply with national environmental and social laws and regulations, and the operating procedures of PWP and SFD (including their ESMFs) - meet the requirements of the World Bank’s Environment and Social Framework (ESF), including the World Bank Group Environment, Health and Safety (EHS) Guidelines, most particular the General Guidelines, the Guidelines for waste management facilities, and the Guidelines for water and sanitation - meet the UNDP Social and Environmental Standards (SES) 3.1 National Legislation, Policies and Regulations 3.1.1 National Environmental Action Plan The Republic of Yemen (RoY) enacted a National Environmental Action Plan (NEAP) in 1995 that was prepared with the support of the World Bank. The NEAP defines priority actions regarding key environmental issues such as water resources, land resources, natural habitats, and waste management. 9 3.1.2 National Biodiversity Strategy and Action Plan The NBSAP calls for “achieving a resilient, productive and sustainable socio - ecosystem by 2050”. The strategy and its action plan aims to halt the overall biodiversity loss and maintain healthy, productive and functional ecosystems based on establishing coherent and resilient ecological networks supported by restructured policies and adequately mandated and empowered local communities and institutions for sustainable and equitable use of natural capital of importance to human well-being and economic prosperity. 3.1.3 National Water Sector Strategy and Investment Program This strategy (2004) proposes a set of institutional, financial and other measures, which are aimed at addressing discrepancies in the five sub-sectors in order to protect the interests of all stakeholders in water resources. Obviously, if the situation continues as it is without regulation of groundwater extraction and use, without reduction of the current unsustainable level of water resources use, and without putting an end to the ongoing resource capture, then this will eventually harm everyone, including farmers, who will be the first victims of water exhaustion. At the same time, (water) regulation is needed to safeguard or secure the economic and social growth of the cities. Growth will not happen unless the cities get their water needs. Hence, the strategy notes that an equitable mechanism for rural-to-urban transfer of water from the rural peripheral areas surrounding cities needs to be developed, as well as strict measures to protect the water fields, which supply the cities, against illegal drilling. 3.1.4 Water Law The ESPECRP project is subject to the following Yemeni laws and regulations: National Water Sector Strategy and Investment Program; Water Law No. 33 issued in 2002 and modified in 2006 after the creation of Ministry of Water and Environment, Its by-law was issued in 2011 by the Cabinet decree. The law defines water resources as any water available in the republic's territory and its share of common waters jointly owned with neighboring countries. This is comprised of ground water, surface water, wastewater after purification, and saline water after desalination. The law's main objective is to regulate, develop, sustain and increase efficiencies in water utilization, protect from pollution, transport, and engage the beneficiaries of water installations in participatory management, investment, development, operation, maintenance and preservation at the various stages of development. Water is considered as a common property accessible to all. Management of water resources is entrusted to the National Water Resources Authority, which assess the resources, classify water basins and zones, and prepare the national water plan, which is considered as one of the components of national economic and social planning. Priorities of water use are: drinking and domestic use shall have absolute priority. Then in declining priority, watering livestock, public utilities, irrigation, industrial purposes, minimal level of environmental needs. For these uses water distribution and transport should be done according to hygiene means. Existing and acquired water rights prior to the issuance of the law will be maintained, except in special cases when fair compensation will be ensured. Traditional water rights of rainwater harvesting and natural runoff flow in relation to irrigation shall be maintained. The same applies for the traditional rights on natural springs, streams, and creeks. The Water Law and its by-law are a notable achievement in Yemeni legislation and provide important legislation for environmental management of UNDP/ ESPECRP activities. This national law gives priority to the principle of environmental protection and pollution prevention, and not only to the mitigation or compensation of impacts. It also encourages research and development in all environmental aspects. Hence, the project will adopt measures, to the extent technically and financially feasible, that avoid or minimize water usage so that the project’s water use does not have significant adverse impacts on communities, other users and the environment. These measures include, but are not limited to, the use of additional technically feasible water conservation measures, the use of alternative water supplies, water consumption offsets to maintain total demand for water resources within the available supply, and evaluation of alternative project locations. 3.1.5 Environmental Protection Law The Environmental Protection Law (Law 26/1995; EPL), enacted in 1995 in the wake of the NEAP, constitutes the framework environmental legislation for Yemen. It includes provisions for environmental protection in Yemen, the issuance of permits, and Environmental Impact Assessments (EIAs). The provisions of the law are implemented through By-Law 148/000. The law is also designed to: (i) incorporate environmental considerations in economic development plans at all levels and stages of planning, (ii) protect the national environment from activities practiced beyond national boundaries, and; (iii) implement international commitments ratified by the RoY in relation to environmental protection, pollution control, 10 the conservation of natural resources, and global environmental issues such as the depletion of the ozone layer depletion and climate change. Environmental Protection Authority The EPL established an Environmental Protection Council and granted it power to take all measures necessary to protect and improve the quality of environment and to prevent pollution of the environment. Decree 101/2005 established the Public Environmental Protection Authority (EPA) to replace the Council and lays down its objectives, tasks and management. The functions assigned to the EPA include:  preparing and executing appropriate policies/strategies/plans to protect the environment  conducting environmental surveys  assessing areas/resources/species to be protected through necessary measures conserving the ecosystem including flora and fauna, wild and marine life as per existing laws and monitoring their application  developing legislative proposals for environment protection in coordination with other agencies involved  developing a National Emergency Plan to combat natural disaster and environmental pollution in consultation with the agencies concerned implementing environmental protection law and other relevant laws/regulations  reviewing EIA studies for public /private sector projects for giving clearance and monitoring their execution  coordinating relevant programs/activities with national, regional and international agencies and organizations  recommending necessary laws, regulations and systems to protect the environment, in accordance with regional and international agreements on environmental protection.  collecting data, assessing and evaluating the status of the environment, and setting up suitable monitoring systems  laying down appropriate standards for protecting the environment from pollution and formulating policy guidelines to combat industrial pollution and protect animal, plant and marine ecology Environmental Impact Assessments The EPL requires the preparation of EIAs for projects proposed by the public and private sectors. The proponent is responsible to undertake the EIA, but the report may be prepared by the proponent or the competent authority or both. Line ministries and Government bodies commission EIA studies at the request of funding agencies and seek the advice of the EPA. The EPA is responsible for implementing screening procedures, assisting in scoping, evaluation and approval of the Environmental Impact Statement (EIS). However, there is still no regulatory framework to support the implementation of the EPL and the provision of undertaking EIAs for projects is not strictly enforced, particularly for projects that are not internationally funded. Given the current context, modifications to the EIA procedures are not expected during the project. Current procedures will be taken into account, but there is no expectation at this point that the EPA will review the Project’s safeguard instruments. 3.1.6 Labour Law The RoY Labour Law, Act No.5 of 1995, includes OHS requirements for workplaces that needs to be applied in the project. - The Labor Law (Law 5/1995) states that women are equal to man in all aspects without any discrimination, and that equality should be maintained between women and men workers in recruitment, promotion, wages, training, social insurance. It also regulates work time for pregnant women. - The Labour Law regulates the rights and wages of workers, their protection, occupational health and safety. In addition, the Social Insurance Law regulates retirement compensation. - Yemen has ratified ILO Convention Number 138 on Minimum Age for Admission to Employment (Law 7/2001). The Convention establishes a minimum age for admission to employment. - Yemen has also ratified the ILO Convention 182 on the Worst Forms of Child Labour. It refers to child labour as work that is mentally, physically, socially or morally dangerous and harmful to children; and interferes with their schooling by depriving them of the opportunity to attend school, by obliging them to leave school prematurely; or by requiring them to attempt to combine school attendance with excessively long and heavy work. A Labor Management Procedure (LMP) has been prepared for the project to meet the objectives and requirements of ESS 2 and ESS 4 as well as the Yemeni national Labor Law. The LMP assesses the potential risks and impacts of assignment of labor for the implementation of the project and addresses them through mitigation measures in 11 light of ESS and Labor policies and provisions. Key potential environmental and social risks—such as OHS, community risks, waste generation, risk of GBV, exploitation of child and forced labor have been identified. Provisions World Bank Environment and Social Standards ESS2, Government of Yemen Labour Laws, have been thoroughly studied and cited to meet their requirement and obligations. - 3.1.7 Summary of Yemen’s Law and International Ratification of International Convention regarding Women Employment and Gender Equality Yemen ratified the Convention on Elimination of all Forms of Discriminations Against Women (CEDAW) in 1984, and prepared a National Strategy for Women Development in 1997, which was updated in 2015. Implementation of CEDAW is delegated to relevant ministries and authorities (Decree 55/2009). Based on amendments proposed by the Women National Committee, 24 laws were amended to ensure building gender balance in accordance with the convention. 149. There are some yemen national laws and strategy address gender and GBV as follows: - Gender Equality in the Labor Law (Law 5/1995): states the women are equal to Man in all aspects with no discrimination. - Gender based violence: this reflects on three items of :1) Yemen established its National committee for Women in Supreme council for Women’s Affairs in 1996 which designated to for implementing Beijing Platforms for Action (1995) and then to report on progress on the CEDAW’ 2) Yemen National Strategy - GBV which is part of the National Strategy for the development Women 2006-2015, to ensure all legal measures to protect women’s rights; 3) Domestic and Social Violence, a draft law was made in 2014, to eliminate violence against women and girls. - Yemen Legal and Social Services: Yemeni Women Union (YWN) was established in 1990 to provide legal information on services to survivors GBV. Also YWN does receive some cases on GBV with help of UNFPA, The YWN is active in North and South. - Laws and strategy regarding The Gender Equal in the labor Law, GBV required to be activated in the South Yemen, but in the North is not allowed to be implemented fully. . 3.1.8 PWP and SFD Operating Procedures In the context of the Yemen ESPECRP , both PWP and SFD operating manuals (PWP Operation Manual for ESPECRP are integrated in one Project Operating Manual (POM) that facilitated by UNDP in one documents in the annex 11: . This ESMF has been developed for the ESPECRP project and will be followed by all implementing partners including SFD, PWP, and SMEPs. 3.2 International Agreements and Protocols The RoY is party to a number of international environmental agreements, the most important of which are:  World Heritage Convention  International Convention on Civil Liability for Oil Pollution Damage  Convention on Biodiversity  Convention on the Conservation of Migratory Species  Convention on International Trade in Endangered Species of Wild Fauna and Flora  United Nations Framework Convention on Climate Change (Yemen acceded to the Kyoto Protocol and is party to Paris Agreement but not ratified)  United Nations Convention on Combating Desertification  Environmental Modification Convention  Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal  Convention on Wetlands of International Importance Especially as Waterfowl Habitat  Law of the Sea  Montreal Protocol on Substances that Deplete the Ozone Layer  Stockholm Convention on Persistent Organic Pollutants In general, national agencies are not currently in a position to handle the technical complexities and reporting requirements of international agreements. Project activities are not expected to be in breach of any international agreement to which the RoY is a party. 12 3.3 UNDP’s Social and Environmental Standards UNDP’s Social and Environmental Standards (SES) are applied to all UNDP projects, including the ESPECRP . The application of the SES, which are broadly consistent with those of the World Bank, will help mitigate potentially high adverse environmental and social impacts stemming from the selection and implementation of subprojects. UNDP’s SES came into effect in January 2021. The SES underpin UNDP’s commitment to mainstream social and environmental sustainability in its Programmes and Projects to support sustainable development. The objectives of the standards are to: • Sstrengthen the quality of programming by ensuring a principled approach; • maximize social and environmental opportunities and benefits; • Avoid adverse impacts to people and the environment; • Minimize, mitigate, and manage adverse impacts where avoidance is not possible; • Strengthen UNDP and partner capacities for managing social and environmental risks; and • Ensure full and effective stakeholder engagement, including through a mechanism to respond to complaints from project-affected people The SES are an integral component of UNDP’s quality assurance and risk management approach to programming. This includes the Social and Environmental Screening Procedure (see the completed SESP for the project in Annex 1). Table 1. Key Elements of UNDP’s Social and Environmental Standards (SES) Part A: SES Programme Principles Part B: SES at Project standard levels PART C: Social and Environmental Management System  Quality Assurance and Risk Principle 1: NO one Leave Behind Standard 1: Biodiversity Conservation Management and Sustainable Natural Resource  Screening and Categorization Principle 2: Human rights Management  Assessment and Management Principle 3: Gender Equality and  Stakeholder Engagement and Standard 2: Climate Change and Disaster Women’s empowerment Response Mechanism Risks Principle :4 Sustainability and  Access to information Resilience Standard 3: Community Health, Safety  Monitoring , Reporting and and Security Compliance Principle 5: Accountability Standard 4: Cultural Heritage Standard 5: Displacement and Resettlement Standard 6: Indigenous Peoples Standard 7: Labour and Working Conditions Standard 8: Pollution Prevention and Resource Efficiency The Standards are underpinned by an Accountability Mechanism with two key functions: • A Stakeholder Response Mechanism (SRM) that ensures individuals, peoples, and communities affected by UNDP projects have access to appropriate procedures for hearing and addressing project-related grievances; and • A Compliance Review process to respond to claims that UNDP is not in compliance with UNDP’s social and environmental policies. 13 3.4 World Bank Requirements World Bank Environmental and Social Framework (ESF) The Emergency Social Protection Enhancement and Covid Response Project (ESPECRP) will follow the World Bank’s Environmental and Social Framework which sets out the World Bank’s commitment to sustainable development, through a Bank Policy and a set of Environmental and Social Standards that are designed to support Recipient ,with the aim of ending extreme poverty and promoting shared prosperity. Listed below are the standards of the World Bank which are applicable to the Emergency Social Protection Enhancement and Covid Response Project (ESPECRP) • Environmental and Social Standard 1: Assessment and Management of Environmental and Social Risks and Impacts. • Environmental and Social Standard 2: Labor and Working Conditions. • Environmental and Social Standard 3: Resource Efficiency and Pollution Prevention and Management. • Environmental and Social Standard 4: Community Health and Safety. • Environmental and Social Standard 5: Land Acquisition, Restrictions on Land Use and Involuntary Resettlement. • Environmental and Social Standard 9: Financial Intermediaries; and • Environmental and Social Standard 10: Stakeholder Engagement and Information Disclosure. Environmental and Social Standard ESS1 applies to all projects for which Bank Investment Project Financing is sought. ESS1 establishes the importance of: A. the Recipient’s existing environmental and social framework in addressing the risks and impacts of the project. B. an integrated environmental and social assessment to identify the risks and impacts of a project. C. effective community engagement through disclosure of project-related information, consultation, and effective feedback; and D. management of environmental and social risks and impacts by the Recipient throughout the project life cycle. The Bank requires that all environmental and social risks and impacts of the project be addressed as part of the environmental and social assessment conducted in accordance with ESS1. ESS2–10 set out the obligations of the Recipient in identifying and addressing environmental and social risks and impacts that may require particular attention. These Standards establish objectives and requirements to avoid, minimize, reduce and mitigate risks and impacts, and where significant residual impacts remain, to compensate for or offset such impacts. Environment, Health and Safety Guidelines The World Bank Group Environment, Health and Safety (EHS) guidelines are referenced in footnote 1 of OP 4.01. They are technical reference documents with general and industry-specific examples of Good International Industry Practice (GIIP). They define acceptable pollution prevention and abatement measures and emission levels in World Bank financed projects. The EHS Guidelines contain the performance levels and measures that are generally considered to be achievable in new facilities by existing technology at reasonable costs. Application of the EHS Guidelines to existing facilities may involve the establishment of site-specific targets, with an appropriate timetable for achieving them. The application of the Guidelines to existing facilities may involve the establishment of site-specific targets with an appropriate timetable for achieving them. The environmental assessment process may recommend alternative (higher or lower) levels or measures, which, if acceptable to the World Bank, become project- or site-specific requirements. If less stringent levels or measures than those provided in the EHS Guidelines are appropriate, in view of specific project circumstances, a full and detailed justification for any proposed alternatives is needed as part of the site-specific environmental assessment. This justification should demonstrate that the choice for any alternate performance levels is protective of human health and the environment. When host country regulations differ from the levels and measures presented in the EHS Guidelines, projects are expected to achieve whichever is more stringent. Due to the nature of ESPECRP activities, the Project will use as appropriate the General Guidelines, including (i) Environmental, (ii) Occupational Health and Safety, (iii) Community Health and Safety, and (iv) Construction and Decommissioning, as well as the Guidelines for Construction and Decommissioning, as well as any other relevant Guidelines. Table 2: WB’s ESSs and UNDP SESs for the ESPECRP WB ‘s ESSs UNDP’s ESSs Yemeni Requirements Gap ESS1: ESS 2: Climate The Law requires the preparation of an No Gap. Assessment and Change and EIA during the preparation of all Management of Disaster Risks projects and the inclusion of mitigation 14 Environmental measures in the project’s capital and UNDP and IPs ensures sets out the and Social Risks recurrent costs (Cabinet Decree assessing, managing, mitigate and and Impacts. Number 89/1993). The EIA should monitoring environmental and describe: (i) proposed project social risks or impact may occur is activities, design of activity, the any phase of the project cycles, surrounding environment that may be beside ensure sustainability and affected, including a land use map of reduce social and environmental the adjacent areas, the requirement risks, including the climate change and types and source of energy, raw and disaster risk reduction. UNDP material and infrastructure services and partners ensure all activities in and roads emergency plan and safety, consistent with WB’s ESSs and waste disposal etc; (ii) and (iii) UNDP SES and Yemeni law. alternatives using less polluted inputs, as well as consideration of the ‘no- project’ alternative (EPL Article 37 Para (b)). The EIA guidelines also include requirements for monitoring, capacity building, verification of monitoring results and findings (EPL Article 60). ESS2: Labor and SES 7: Labour and The occupational safety and health There is a gap between the World Working work Conditions activities in Yemen are organized by Bank’s ESS Guidelines, UNDP SES Conditions. and Yemeni laws and regulations. Chapter 9 of the Yemeni Labour Law Number 5/1995, Law Number 25/1997 The projects will apply whichever and Law Number 25/2003, the articles is more stringent. The project will of which require employers to take ensure the availability of the appropriate work environment and all precautions necessary to ensure conditions for occupational safety that workplaces are safe and healthy. and health as details indicated in the LMP. ESS 3: Resource ESS 8: Pollution National law gives priority to the The Project will avoid or minimize Efficiency and Prevention and principle of environmental protection adverse impacts on human health Pollution resource and pollution prevention, and not only and the environment by avoiding Prevention and efficiency. to the mitigation or compensation of or minimizing pollution from Management. impacts. It also encourages research project activities. And promote and development in all environmental safe, effective, environmentally aspects (EPL, Article 90). sound pest management. ESS 4: ESS 3: The project will assess and Community Community addresses any sort of risk related Health and Health, Safety to health, security and safety that Safety and Security may impact the affected communities. The responsibility of IPs and UNDP to eliminate and avoid negative impacts on the community. ESS 5: Land The project will not implement in Acquisition, land that restricted, acquitted or Restrictions on has involuntary resettlement. It will Land Use and 15 Involuntary be obtained consensus in using any Resettlement common resources. ESMF indicates there would be no involuntary resettlement and that land would be acquired through voluntary land donation only. Only three main conditions are accepted:  Public property  A land donation document from the owner of the land  Land purchase document by local council The land donation or purchase document shall be baptized by the local council, and beneficiaries committee ,or by the court and it shall be attached with project documents. Nevertheless, UNDP and the implementing partners will ensure that: (a) the potential donor or donors have been appropriately informed and consulted about the project and the choices available to them; (b) potential donors are aware that refusal is an option, and have confirmed in writing their willingness to proceed with the donation; (c) the amount of land being donated is minor and will not reduce the donor’s remaining land area below that required to maintain the donor’s livelihood at current levels; (d) no household relocation is involved; (e) the donor is expected to benefit directly from the project; and (f) for community or collective land, donation can only occur with the consent of individuals using or occupying the land. IP’s will maintain a transparent record of all consultations and agreements reached ESS 9: Financial 1- FIs are required to Intermediaries; monitor and manage the and environmental and social risks and impacts of their 16 portfolio and FI subprojects, and monitor portfolio risk, as appropriate to the nature of intermediated financing. 2- The way in which the FI will manage its portfolio will take various forms, depending on a number of considerations, including the capacity of the FI and the nature and scope of the funding to be provided by the FI. 3- FIs are required to develop and maintain, in the form of an Environmental and Social Management System (ESMS), effective environmental and social systems, procedures and capacity for assessing, managing, and monitoring risks and impacts of subprojects, as well as managing overall portfolio risk in a responsible manner. 4- Ensure all requirement such as non- descrimination, labor, OHS and grievance redness are met and monitored ESS 10: UNDP Social and Article 35 of the Yemeni Constitution No Gap. UNDP and its partners Stakeholder Environmental declares that Environment protection undertake the essentiality of Engagement Management is the responsibility of the state and participation and engagement and Information System the community and that it is a duty for between project recognizes the Disclosure Requirements: every citizen. It requires the importance of open and Stakeholder Involvement of stakeholders, including transparent stakeholders to Engagement and project-affected groups and local enhance Effective participation of Response nongovernmental organizations, as all vulnerable groups, sustainability Mechanisms early as possible, in the preparation of the project and stakeholder’s process and ensure that their views ownership. The participation and and concerns are made known to engagement with stakeholders decision makers and taken into start form project design, account. implementation monitoring and evaluation. 17 4 Social and Environmental Impacts and Risks This section summarizes key social and environmental risks and indicative management measures for the project. Because a full risk analysis is not possible until site-specific design details are known, the identification of project level risks provides an indicative assessment to be elaborated further through sub-project level screening, assessment and risk management (see Section 5). Therefore, sub-project screening and site-specific assessments and management plans will be essential. The following section describes the UNDP social and environmental Principles and Standards that have been identified as relevant based on completion of the project-level Social and Environmental Screening Procedure (SESP, see Annex 1). Although different levels of risk categories have been assigned to different activities, varying from Low to Substantial, the overall project categorization should follow the highest level of risk categorization, which in this case is Substantial. Table 3 below summarizes key principles and standards that were triggered after pre-screening of the project and the SES requirements for the project, as identified in the SES and based on the results of the SESP. This table addresses the principles and standards that have triggered both low and Substantial level risks. Table 3: Summary of Key SES Requirements for the ESPECRP SES Principle or Summary of Relevant SES Requirements Standard Principle 1: Leave No Leaving no one behind and reaching the furthest behind first is the central promise of the 2030 one Behind Agenda. As an overarching programming principle, leaving no one behind requires UNDP to prioritize its programmatic interventions to address the situation of those most marginalized, discriminated and excluded, and to empower them as active agents of the development process. The project targets the affected people, interests and marginalized groups in Yemen, UNDP and IPs will consider Principle 2: Human UNDP Recognizes centrality of human rights to sustainable development, upholding principles of Rights accountability and rule of law, participation and inclusion, and equality and non-discrimination. The project gives priority to most affected and vulnerable groups as indicated in SEP. Principle 3: Gender The project should promote design and implementation of gender responsive subprojects, to Equality and ensure that both women and men are able to participate meaningfully and equitably, including Women’s people with disability. UNDP is committed to identify and address any risk of potential exposure Empowerment of affected people to gender-based violence (GBV) and other abuse that may occur and in connection with any of its supported activities. UNDP requires that appropriate prevention and response measures be adopted to prevent and to respond effectively to GBV, including activities to prevent and address potential exposure of project-affected people to GBV risks; screening of personnel; provision of training on prevention and response to GBV; effective reporting and response protocols; referrals for safe and confidential survivor assistance such as UNFPA- women Protection subcommittee in the North an GBVd Subcommittee in South of Yemen Principle 4: Strengthen the resilience of societies to the impact of shocks, disasters, conflict and emergency Resilience and situations, and the sustainable management, conservation, and rehabilitation of natural habitats Sustainability (and their associated biodiversity and ecosystem functions) are fundamental to UNDP’s efforts to develop and implement sustainable development pathways. UNDP seeks to address poverty and inequality and to reduce vulnerabilities while maintaining and enhancing natural capital. . Principle: UNDP promotes accountability to programme and project stakeholders by (i) enabling active Accountability local community engagement and participation in decision-making, particularly those at risk of being left behind; (ii) ensuring transparency of programming interventions; (iii) ensuring stakeholders can communicate their concerns and have access to rights-compatible complaints redress processes and mechanisms; and (iv) ensuring effective monitoring, participatory 18 monitoring with stakeholders and reporting on implementation of social and environmental risk management measures. SES Standard at SES Standard summary: Introduction, Objectives and Scope of Application Project level Standard 1: Introduction: UNDP seeks to maintain and enhance the goods and services provided by Biodiversity biodiversity (Convention on Biological Diversity, ) and ecosystems in order to secure livelihoods, Conservation and food, water and health, enhance resilience, conserve threatened species and their habitats, and Sustainable Natural increase carbon storage and sequestration. UNDP is committed to managing and rehabilitating Resources ecosystems for adaptation to and mitigation of climate change, strengthening the rights of Management affected populations including women, indigenous peoples, and local communities to sustainable use of resources. Objectives: To conserve biodiversity ;to maintain and enhance the benefits of ecosystem services; to promote sustainable management and use of living natural resources; to ensure the fair and equitable sharing of the benefits from the utilization of genetic resources; to respect, preserve, maintain and encourage knowledge, innovations and practices of indigenous peoples and local communities relevant for the conservation and sustainable use of biodiversity and their customary use of biological resources Scope of application The applicability of this Standard is established during the social and environmental screening and categorization process. Requirements of this Standard apply to projects that (i) are located in modified, natural, and critical habitats; and/or (ii) potentially impact or are dependent on the ecosystem services of modified, natural, or critical habitats; and/or (iii) include production of living natural resources (e.g. agriculture, animal husbandry, fisheries, forestry). Standard 2: Climate Introduction: UNDP ensures that its projects are sensitive to climate change and disaster risks Change and Disaster and do not contribute to increased vulnerability to climate change and natural hazards. Reducing Risks the negative impacts of climate change and disaster is pursued through three complementary strategies: mitigation (reducing greenhouse gas emissions53 that are an anthropogenic root cause of climate change); adaptation (adjusting human systems to moderate harm and/or exploit beneficial opportunities from climate change); and Disaster risks ( by reducing and addressing vulnerability to a broad range of potential hazards, including biological, environmental, geological and ..etc.). Objectives: To ensure that UNDP projects are sensitive to climate change and disaster risks in order to strengthen resilience and to achieve sustainable development outcomes; and to reduce project-related greenhouse gas (GHG) emissions and intensity Scope of Application: The applicability of this Standard is established during the social and environmental screening and categorization process. Requirements of this Standard apply to all projects that (i) have development outcomes that may be threatened by climate change or disaster risks; (ii) may contribute to increased exposure and/or vulnerability to climate change or disaster risks; or (iii) may produce significant GHG emission. Standard 3: Introduction: The Community Health and Safety Standard recognizes that project activities, Community Health, equipment, and infrastructure can increase community exposure to risks and impacts. Potential Safety and Security negative impacts affecting health and safety may arise from a broad range of supported activities, including from infrastructure development and construction activities, changes in the nature and volume of traffic and transportation, water and sanitation issues, use and management of hazardous materials and chemicals, impacts on natural resources and ecosystems, the influx of project labour, and potential abuses by security personnel. Objectives : 1)To anticipate and avoid adverse impacts on the health and safety of affected communities during the project life cycle from both routine and non-routine circumstances; 2)To ensure quality and safety in the design and construction of project-related infrastructure, preventing and minimizing potential safety risks and accidents; 3) To avoid or minimize 19 community exposure to disaster risks, diseases and hazardous materials associated with project activities; 4) To ensure that the safeguarding of personnel and property minimizes risks to communities and is carried out in accordance with international human rights standards and principles; and 5) To have in place effective measures to address emergency events, whether human-made or natural hazards Scope of Application: . The applicability of this Standard is established during the social and environmental screening and categorization process. Requirements of this Standard apply to projects that may pose significant risks to human health and safety. Further requirements to avoid or minimize impacts on human health and the environment, due to pollution are included in Standard 8: Pollution Prevention and Resource Efficiency. Standard 4: Cultural Introduction: UNDP recognizes that Cultural Heritage is central to individual and collective Heritage identity and memory, reflects and expresses people’s constantly evolving values, beliefs, knowledge, traditions, and practices. UNDP seeks to ensure that Cultural Heritage is preserved, protected, and promoted in project activities in a manner consistent with UNESCO Cultural Heritage conventions or any other national or international legal instruments Objectives: 1) To protect Cultural Heritage from damage, inappropriate alteration, disruption, removal or misuse; 2) To preserve and safeguard Cultural Heritage; 3) To promote the equitable sharing of benefits from the use of Cultural Heritage; and 4)To promote meaningful consultation with stakeholders regarding preservation, protection, utilization and management of Cultural Heritage. Scope of Application: The applicability of this Standard is established during the social and environmental screening and categorization process. The Standard applies to projects that may adversely impact Cultural Heritage, including projects that meet any of the following criteria: (i) located in, or in the vicinity of, a Cultural Heritage site, (ii) involving significant excavations, demolitions, movement of earth, flooding, or other environmental changes; (iii) proposes to utilize tangible or intangible forms of Cultural Heritage for commercial or other purposes. This project will not be implemented in the cultural heritage site; therefore any intervention should check and assess to ensure there is no negative or harm impacts in the cultural heritage. Standard 7: Labour Introduction :The pursuit of inclusive and sustainable economic growth, full and productive and work Conditions employment, and decent work for all requires the protection of workers’ fundamental rights, their fair treatment, and the provision of safe and healthy working conditions. Project activities seek to enhance employment promotion benefits, development outcomes and sustainability by ensuring sound worker-management relationships and cooperation in their design and implementation. The SES requirements have been guided by a number of international conventions and instruments, including those of the International Labour Organization (ILO) and the United Nations (UN)3. Objectives: 1)To promote, respect and realize fundamental principles and rights at work through: • Supporting freedom of association and the effective recognition of the right to collective bargaining • Preventing the use of child labour and forced labour • Preventing discrimination and promoting equal opportunity of workers 2) To protect and promote the safety and health of workers; 3) To ensure applicable parties comply with employment and labour laws, applicable rules and regulations and international commitments; and 4)To leave no one behind by protecting and supporting workers in 3 These conventions (see link) include among others: ILO Convention 87 on Freedom of Association and Protection of the Right to Organize; ILO Convention 98 on the Right to Organize and Collective Bargaining; ILO Convention 29 on Forced Labour and Protocol of 2014; ILO Convention 105 on the Abolition of Forced Labour; ILO Convention 138 on Minimum Age (of Employment); ILO Convention 182 on the Worst Forms of Child Labour; ILO Convention 100 on Equal Remuneration; ILO Convention 111 on Discrimination (Employment and Occupation); ILO Convention 155 on Occupational Safety and Health; ILO Convention 161 on Occupational Health Services; UN Convention on the Rights of the Child, Article 32.1UN Convention on the Protection of the Rights of all Migrant Workers and Members of their Families 20 disadvantaged and vulnerable situations, including a special focus, as appropriate, on women workers, young workers, migrant workers, and workers with disabilities Scope of Application: The applicability of this Standard is established during the social and environmental screening and categorization process. The requirements of this Standard are to be applied in an appropriately scaled manner based on the of contracting and nature and scale of the sub- project, its specific activities, the project’s associated social and environmental risks and impacts, and the type of contractual relationships with project workers. 3. The requirements regarding labour and working conditions apply to all project workers, including full-time, part-time, temporary workers. Project workers are hired or contracted by IPs, should be adhered to UNDP’ SES and WB’ESS that agreed on the requirements of this Standard are to be addressed by the IPs during implementing the relevant sub-project activities as indicated in the LMP. Standard 8: Pollution Introduction: The Pollution Prevention and Resource Efficiency Standard recognizes that Prevention and increased industrial activity, urbanization, and intensive agricultural development often generate Resource Efficiency increased levels of pollution to air, water, and land, and consume finite resources in a manner that may threaten people and the environment at the local, regional, and global level. Pollution prevention and resource efficiency are core elements of a sustainable development agenda and UNDP projects must meet good international practice in this regard. This Standard outlines a project-level approach to pollution prevention and resource efficiency. Reduction of greenhouse gas emissions that contribute to climate change is addressed in Standard 2: Climate Change and Disaster Risks. Objectives: 1)To avoid or minimize adverse impacts on human health and the environment by avoiding or minimizing pollution from project activities; 2)To promote more sustainable use of resources, including energy, land and water; 3)To avoid or minimize programming-related emissions of short and long-lived climate pollutants and ozone-depleting substances; 4)To avoid or minimize generation of hazardous and non-hazardous substances and wastes, and promote a human rights-based approach to the management and disposal of hazardous substances and wastes; and 5)To promote safe, effective, environmentally sound pest management. Scope of Application: The applicability of this Standard is established during the social and environmental screening and categorization process. Requirements of this Standard apply to projects that (i) aim to improve existing waste management practices; (ii) generate or cause generation of solid, liquid or gaseous waste; (iii) use, cause use of, or manage the use, storage or disposal of hazardous materials and chemicals, including pesticides; and (iv) that significantly consume or cause consumption of water, energy, or other resources4. NOTE: This provides a summary of key relevant requirements, the full SES (www.undp.org/ses) should be referenced for a comprehensive list of requirements. Table (3) shows the UNDP’s SESs generally, UNDP applies its SES as indicated in the table (2) including SES 2,3, 7,8 and social and environmental management system (SEMS) and stakeholder’s engagement and response mechanism (SRM). 4Pollution prevention: Avoid the release of pollutants, and when avoidance is not feasible, minimize and/or control the intensity and mass flow of their release. Apply international good practices and World Bank Group EHS Guidelines. Wastes: Avoid/minimize generation of waste, ensure recovery, reuse, proper treatment, disposal. Ensure reputable contractors and chain of custody Hazardous Materials: Avoid/minimize release of hazardous In materials. If avoidance not possible, assess health risks, including differentiated effects on women, men, children. No manufacture or use of materials subject to international bans or phase-outs (Stockholm POPs, Montreal Ozone) Pesticides: Apply IPM/IVM, avoid/reduce synthetics, utilize least harmful, prohibit use of WHO Class la & lb pesticides and control Class II, handle per FAO International Code of Conduct Resource Efficiency: Apply feasible, cost effective resource efficiency measures (e.g. reduce water usage) to ensure no significant adverse impacts on others/ecosystems. 21 The main risks identified through the SESP are summarized below along with minimum requirements that need to be considered and indicative management measures. 4.1 Conflict 4.1.1 Activities That May Result in Conflict Risks Because of the ongoing conflict in Yemen, all sub-projects need to be developed using a conflict sensitive approach to ensure activities don’t exacerbate conflict or violence. In addition, local conflicts may occur due to competition over limited jobs and conflict between contractors and local laborers. This is a key element of UNDP’s commitment to human rights in the SES. 4.1.2 Management Measures Management measures include mainly developing a clear definition of targeting and selection criteria based on data provided by the UN Clusters; participatory preparation and implementation of subprojects by communities and relevant stakeholders (refer to ESMF section on Stakeholder Engagement for further detail); frequent communication with communities and local stakeholders; grievance redress/ stakeholder response mechanism procedures to ensure timely handling of grievance redress; and public disclosure of the reasons for the rejection of subprojects, if any, to increase transparency. PWP, SFD and SMEPs apply a conflict-sensitive approach to prevent and detect conflict and respond quickly to potential conflicts. This helps ensure that the implementation process will do no harm and leads to effective development interventions. The following steps are taken to ensure achieving such a goal :  Through transparent allocation of funds that is based on national statistics indicators in the governorate and district levels, followed by coordination with local actors and inclusive participatory process, PWP/SMEPS/SFD will be reducing conflict over resources.  Selection of the community beneficiaries is based on a transparent eligibility criteria and consultations with communities and local leaders.  Before implementation and during the participatory consultations with local communities to define the interventions, PWP/SMEPS/SFD 's teams analyzes the context in which the project will be implemented to make sure that PWP/SFD's intervention will not cause a conflict or escalate an existing conflict in that particular area. This analysis enables PWP/SMEPS/SFD to understand the interaction between the intervention and the context in a particular area. The steps will be as follows: o Understanding the context in which the project will be implemented. o Carrying out a conflict analysis and sensitivity. o Understanding the interaction between the intervention and the Context. o Linking the conflict analysis with the programming cycle of the Intervention. o Using this understanding to avoid negative impacts and maximize positive impacts. o Implement, monitor and evaluate the intervention under a conflict-sensitive approach (including redesign when necessary).  Ensuring transparency of the procurement process including those of community contracting. Community contracting is a secondary implementation modality by both SFD and PWP to maximize the role of communities in managing and implementing specific initiatives. Community contracting involves the target communities, through elected community committees, in planning, implementing and managing development initiatives through community contractors and local suppliers. Therefore, the eligibility conditions for community contractors are less demanding (e.g. no condition of two subprojects experience and financial capability) and the liability is shared between them and the IP, particularly in conducting safeguard training and awareness, recruiting technical staff, enforcing safeguards measures and providing insurance of workers.  Expected environmental and social impacts (including OHS risks) are identified during the project’s preparation and mitigation measures are included in the design and implementation plan. Where investments are required to implement the measures, ensure reflection of these measures quantified as pay-items in the tender bill of quantities.  During the implementation process, PWP/SMEPS/SFD 's staff keeps; o Monitoring the situation to predict and recognize possible conflicts around the project and try to keep risks at a minimal level. 22 o Following-up in order to strengthen the partnership with local authorities and community committees as important players in conflicts resolution.  PWP/SMEPS/SFD does not interfere to resolve existing conflict or be part of any conflict. However, PWP/SMEPS/SFD’s intervention might help in reducing existing conflict.  PWP/SMEPS/SFD might work in an environment where a conflict is prevailing such as the conflicts resulting from the war in some areas in Yemen or are due to tribal conflicts. The staff in such case are fully aware of the conflicts that surround their work and activities, but their project does not deal directly with the conflict.  The evaluation of LIWP and other community-based interventions found that PWP/SMEPS/SFD’s intervention increases community solidarity and cooperation.  PWP/SMEPS/SFD 's complaint mechanism will be a complementing tool to catch shortcomings that may arise, through of the above precaution measures, and deal with them transparently and learn lessons from them to improve performance in future programs. Project-affected people will be informed of the complaint mechanism. In addition, a Conflict Sensitivity Framework has been developed with the cooperation of UNDP, SFD,SMEPS and PWP. This Conflict Sensitivity Framework is designed for use by the implementing supported by UNDP. It builds on significant work already done by the implementing agencies to develop practical ways of working that are conflict-sensitive – within and beyond the ESPECRP project – and to build staff and organizational capacity on conflict- sensitive practices. This framework directly uses content produced by the implementing agencies, supplemented by tools and guidance from international experiences, and adapted to the unique context in Yemen and the focus of the ESPECRP project. The intention is to facilitate the integration of the framework with the tools and guidance SFD and PWP already have in place. The focus of this framework was mostly on the project level.5 However, both the implementing agencies are committed to integrating conflict sensitivity across their work and institutionally – although they have different needs. There are also important strategic conflict sensitivity risks and opportunities that are outlined in a separate Conflict Sensitivity Assessment and Conflict Analysis and Conflict Sensitivity Briefing. While this framework focuses on the WB funded projects, SFD and PWP implement many other projects with other donors and it is important to avoid them having to implement separate frameworks for each donor. As such, the Conflict Sensitivity framework should be seen as one component of a broader set of institutional tools and practices that SFD and PWP can take forward beyond the WB funded projects. This approach is in line with the ESPECRP project commitment to enhancing the capacity of local institutions to function effectively during the conflict in Yemen and to provide much- needed – and conflict-sensitive – service delivery capacity in a future, post-conflict context. All partners are committed to implementing the framework in a way that includes ongoing consultations with SFD and PWP managers in headquarters and in the branch offices to draw on their in-depth knowledge of the specific issues in each local context and to effectively respond to the unpredictable context in Yemen. This will also enhance institutional ownership and the usefulness of the framework. A core characteristic of conflict sensitivity is being able to track and be responsive to the context, which means the framework cannot be applied as a blueprint. Instead, it is designed to provide a structure for conflict sensitive practices that can be used consistently within the ESPECRP while being adaptable to the specific conditions on the ground. It may therefore be useful to set review points to reflect on how the implementing agencies have not only used this framework, but also what other support they may need to continue pursuing conflict-sensitive practice institutionally. (See the Conflict Sensitivity framework for in depth details)6. 4.2 Gender and Social Inclusion With persistent gender gaps existing even prior to the conflict (i.e. in education, legal restrictions on mobility and decision-making, barriers to female participation in the labor force and in political life, and few opportunities for voice, paid work and entrepreneurial activity), women are more vulnerable to the economic, social and security challenges that result from the conflict and should thus be proactively reached for access to cash to improve their purchasing power for food and basic necessities. The stark gender gaps are influenced by and set within the context of conservative and strict 5 This was the focus of the TORs for the assignment to produce the framework, with the aim of promoting consistent, conflict -sensitive practice across Project implementation. 6 Conflict sensitivity framework for ECRP will be used as no specific one is developed for SPECRP 23 gender norms. The project includes specific actions and design parameters to ensure the inclusion and participation of women. Such design parameters will ensure women are provided an equal opportunity to benefit from the employment opportunities (for example, targeting female-headed households, allowing flexibility in work hours, and providing on-site childcare). Besides a Gender and GBV plan has been developed to eliminate and migiagte any potential risks ( see Annex 10). Consideration for IDPs, women, people with disability and youth as specific vulnerable groups are included in the targeting as well as type of intervention. Improving the livelihood of the most vulnerable groups is central to poverty reduction and achieving the sustainable development goals. It can contribute to greater social equity, inclusion, cohesion, and human capital formation in Yemen, all of which are critical to breaking the cycle of poverty, deprivation, and social exclusion. The Yemen ESPECRP has been instrumental in introducing adaptive and shock responsive safety net responses. 4.2.1 Activities That May Result in Gender and Social Inclusion Impacts or Risks The ESPECRP is implemented in the midst of the current crisis in Yemen, where women are adversely affected and at the same time asked to take on new and additional roles as heads of households or income-earners. In this light, ESPECRP implementation is found to have the potential to reproduce discrimination against women based on gender and age, disability, social status, if adequate gender mainstreaming considerations and mitigation measures for social exclusion risk because of age are not taken into account within the Project approach. 4.2.2 Management Measures To the extent possible, the ESPECRP will promote gender equality and the empowerment of women and seek to reduce gender inequalities in access to and control over resources and the benefits of development according to Gender and GBV Plan.  Sub-projects will ensure that both women and men are able to participate meaningfully and equitably, have equitable access to project resources, and receive comparable social and economic benefits.  Sub-projects will not discriminate against women or girls or reinforce gender-based discrimination and/or inequalities.  Sub-projects will ensure precautionary measures are in place to prevent potential exposure of beneficiaries, workers, and affected people to sexual exploitation and abuse.  Sub-projects will ensure precautionary and control measures are in place to prevent potential exposure of beneficiaries, workers, and affected people to health and safety hazards. The project will build upon existing services and pilot new approaches based on WB ESF and UNDP SES to improve the quality of targeted social care services and economic opportunities for people with disabilities. The ESPECRP has mainstreamed gender issues and is addressing gender equality from project identification, site selection, management and oversight. Appropriate management measures taken by the project are explained below. The project has actively targeted women to support their income-generation opportunities and contribute to the delivery of community service and livelihood assets through Cash for Work (CfW) and Cash for Services (CfS) as well as Cash for Nutrition(CfN), and through earmarked funding dedicated to address severe and acute malnutrition for pregnant and lactating women (and children) by providing cash assistance (mothers are the recipients) and facilitating the affected families’ access to nutrition services. To ensure women are targeted by the project, in cash for work interventions, the targeting unit is the household. Women are encouraged to participate by measures that make their participation easier and acceptable to households and the community: allowing flexible hours of on-site work, providing on-site child care (this will also hire a caregiver from the community), having the subproject at the community level and at a location close to the villages, and by consulting women on the types of subprojects they can participate in. Women are assumed to benefit equally from the community infrastructures created. Women are the primary beneficiaries of the water harvesting schemes as these reduce time and effort in fetching water, a responsibility for women and girls. Women also benefit from having latrines at home, they regain dignity and freedom from humiliation of open defecation. Women are also the primary wage participants and beneficiaries of nutrition-based service delivery. Additionally, nutrition activities target households with pregnant and lactating women and children under the age of five. Primary focus is given to eligible households from the list of the Social Welfare Fund (SWF) households – the poorest of the poor – but will not be limited to them, as many poor HHs are excluded from the SWF program. Women and 24 children of the SWF households receive cash assistance for 12 months conditions to attending health education sessions and follow up on the treatment (provided by the health sector). Wider community members with mothers and children under age of 5 who have been screened and identified with severe or acute malnutrition benefit from a transportation and accommodation allowance and a treatment allowance during the treatment period (6-9 months). 4.3 Biodiversity and Natural Resources Conserving biodiversity, maintaining ecosystem services, and sustainably managing natural resources are fundamental to sustainable development. The ESPECRP will seek to maintain and enhance the goods and services provided by biodiversity and ecosystems in order to secure livelihoods, food, water and health, enhance resilience, conserve threatened species and their habitats, and increase carbon storage and sequestration. ESPECRP will also promote sustainable use of natural resources to support livelihoods of vulnerable communities as well as benefit sharing between biodiversity conservation and livelihoods restoration. 4.3.1 Activities That May Result in Biodiversity and Natural Resources Impacts or Risks The project will intervene in fisheries, agriculture and livestock and water resources. Fisheries (Low to Moderate Risk) Project activities to support small scale fishermen through the provision of boat engines in order to increase food production were found to have a Low Risk Rating. The project will target artisanal fishermen using small boats with one off-board petrol engine. There is a low risk that the project may impact on biodiversity and natural resources through overexploitation of fisheries. Potential engine hazards (fire) and loss of power which are a major cause of accidents for small fishing boats (which often lack basic safety equipment, are too small and otherwise unsuitable for offshore operations).The small boat engines are not used in deep waters, consequently this reduces the possibility of overfishing additionally fishermen will use traditional methods of fishing. Some of the fishermen will be equipped with fish finders, to help expedite the search of the fish and thus economize the use of fuel. The design of this activity under ESPECRP project has provisions to ensure sustainability, and the project will carefully monitor the activities of the fishermen during its implementation. This will include relevant training and capacity building for artisanal fishermen to ensure such risks are mitigated. Small scale farming and livestock (Low to Moderate Risk) Activities will include: Rehabilitation of Farm Lands, Rehabilitation of Farm Irrigation Infrastructure, Agriculture Infrastructure that only concerns building irrigation system and does not include activities such as activities such as construction of pit latrines, sewage networks, flood protection channels; terracing, rainwater harvesting Agriculture Input Provision, Support to Livestock Producers. Livestock activities involve the creation of yards in addition to the helping the farmers to maintain the herd and achieving food security. Potential risks of using pesticides and fertilizers are expected. Although the projects are small scale in nature, the cumulative effects of providing support to communities may involve inadvertent impacts on ecosystems that can result in negative effect to ecosystem services provision and biodiversity. It may also include adverse impacts in handling of plastic and wastes generated from agricultural inputs. When further sub- project screening is conducted more information will be available as to the extent of the impacts and management measures required. Additionally, under the section below on Pollution standards, a mention of potential impacts of the use of pesticides in the activity related to provision of agriculture inputs is addressed in more detail. 4.3.2 Management Measures Considerations for the identification of management measures are summarized below, and additional guidance can be referred to in the SES Biodiversity Conservation and Natural Resource Management. Precautionary approach: The ESPECRP applies a precautionary approach to the use, development, and management of natural habitats, the ecosystem services of such habitats, and living natural resources. Assessment: As an integral part of the social and environmental assessment process, direct and indirect impacts on natural resources, biodiversity and ecosystem services in the Project’s area of influence are identified and addressed. In sub-projects that present potential significant impacts on natural resources, biodiversity and ecosystem services an assessment process will consider, inter alia (i) risks of habitat and species loss, degradation and fragmentation, invasive alien species, overexploitation, hydrological changes, nutrient loading, pollution, and (ii) differing values (e.g. social, 25 cultural, economic) attached to biodiversity and ecosystem services by potentially affected communities. Potential cumulative and induced impacts will be assessed. Project-related impacts across potentially affected landscapes should be considered. Sustainable management of living natural resources: Living natural resources will be managed in a sustainable manner. Sustainable resource management is the management of the use, development, and protection of resources in a way, or at a rate, that enables people and communities, including indigenous peoples, to provide for their social, economic, and cultural well-being while also sustaining the potential for those resources to meet the needs of future generations. This includes safeguarding biodiversity and the life-supporting capacity of air, water, and soil ecosystems. Sustainable management also ensures that people who are dependent on these resources are properly consulted, women and men have opportunities to equally participate in development, and benefits are shared equitably. UNDP will ensure sustainable resource management through the application of appropriate, industry-specific best management practices, and where codified, through application of one or more relevant credible standards as demonstrated by an independent verification or certification system. For Projects that involve the production, harvesting, and/or management of living natural resources by small-scale landholders and/or local communities, UNDP will support adoption of appropriate and culturally sensitive sustainable resource management practices. In addition to the general requirements related to management measures as stated in the section above, project context specific management measures were identified for each sector. Capacity building and awareness raising towards the use of pesticides and fertilizers will be given to benefices to address the risks and mitigation measures needed. Project specific management measures in addition to standard SES UNDP measures (fisheries) The project will work with fishing associations responsible for ensuring that fishing protocols that establish procedures for sustainable fisheries are in place and adhered to, to protect fish stocks and regulate seasonal controls on fishing. Development and strict implementation of policy, legislative and management tools are working to ensure harvest level of coastal resources are maintained within the biological limits of Yemen's coastal zones. The project will be implemented in line with the Biodiversity Conservation and Sustainable NRM of the SES which includes fishing management. The concept of sustainable and responsible fishing will be promoted through this partnership. Through its direct support to small scale fishermen, the project will improve community livelihoods and training on quality and resource sustainability to include the reduction of wastage. Project specific management measures in addition to standard SES UNDP to be developed based on the local context: Social and environmental risk assessments should be conducted to address, among other issues, potential effects and impacts related to climate variability, water pollution, sedimentation, water-related disasters, drinking water supply, energy production, agriculture, and fisheries. 4.4 Climate Change Climate change is a fundamental threat to sustainable development and the fight against poverty. It has the potential to stall and even reverse human development through its impacts on key development sectors and activities, including agriculture and food production, water, ecosystems and other natural resources, disaster risk management and health. Climate change may exacerbate extreme weather events, increasing the risk of high-impact disasters. Communities that are already subjected to impacts from climate change may experience an acceleration and/or intensification of impacts due to Project activities that do not integrate and anticipate climate change risks. Yemen has a predominantly semi-arid to arid climate and is highly vulnerable to climate change-related impacts such as drought, extreme flooding, changes of rainfall patterns, increased storm frequency/severity, sea level rise. Literature show that the main sectors under stress are: water resources, agriculture, and coastal zones. Water scarcity related to prolonged droughts, evaporation, drying up of wells, excessive rainfall (which produces flash flooding and can potentially wipe out crops) caused by rainfall variability are the key issues. ESPECRP sub-projects will aim to be sensitive to climate change risks and not contribute to increased vulnerability to climate change. 4.4.1 Activities That May Result in Climate Change Impacts and Risks The ESPECRP project activities related to agriculture (including farming, livestock) and fisheries, will be most sensitive and vulnerable to the impacts of climate change. Infrastructure in areas of potential flooding may also be at risk. 26 Some project activities that aim to increase water availability, may inadvertently lead to depletion of groundwater resources or diversion of sources to some communities in detriment of others, if not properly managed based on appropriate climate risk information and management measures. 4.4.2 Management Measures Climate change risk assessment: As an integral part of the social and environmental assessment process, Proposed subprojects are screened and assessed for climate change-related risks and impacts of and to projects. PWP and SFD will ensure relevant climatic information is identified and informs project design and management measures. If significant potential risks are identified, further scoping and assessment of vulnerability, potential impacts, and avoidance and mitigation measures, including consideration of alternatives to reduce potential risks, will be required. In projects, or a portfolio of projects, that present climate change risk, a climate change risk assessment may include the following, where relevant: a) Potential project-related increases in emissions that may exacerbate climate change, such as GHG emissions and black carbon emissions. b) The viability or longer-term sustainability of project outcomes due to potential climate change. This will involve the identification of components that are sensitive or vulnerable to emerging or anticipated manifestations of climate change. c) Risks that a project may increase exposure to climate change. Project components must be assessed for potential unintended or unforeseen increases in vulnerability to climate change. d) Potential social, gender, and age risks, based on the differentiated impacts of climate change. e) Opportunities for (i) facilitating adaptation via synergies with existing or planned activities, (ii) combining mitigation (e.g. reduction in GHG emissions) and adaptation measures, and (iii) exploiting potentially beneficial changes in climatic or environmental conditions to deliver developmental benefits. 4.5 Community Health, Safety and Working Conditions (including OHS) The Social Protection and COVID-19 Response Project (ESPECRP) will avoid or minimize the risks and impacts to community health and safety that may arise from project-related activities, with particular attention given to marginalized groups. This includes Occupational Health and Safety (OHS) risks. Labor is one of a country’s most important assets in the pursuit of poverty reduction. Respect of workers’ rights and the provision of safe working conditions are keystones for developing a strong and productive workforce. The Social Protection and COVID-19 Response Project (ESPECRP) applies the World Bank Group Environment, Health and Safety (EHS) guidelines. 4.5.1 Activities That May Result in OHS and Community Health, Safety, Working Condition Impacts and Risks Sub-project activities, equipment, and infrastructure can increase community exposure to risks and impacts. While this is identified as a High Risk, some projects have experienced high levels of OHS risks. This has therefore been identified as a priority risk and management measures put in place to reduce risk and manage risks. Such project activities such as working from height, excavation works, rock extraction, working in confined areas, lone workers, traffic, and weak management of work site such as housekeeping and access and egress controls, may pose hazards and risk threats to the workers and local community members. Exacerbating this, stakeholders have noted that there is a weak culture of using safety precautions and safety gear in Yemen. In addition, given the context in Yemen, there is a risk of airstrikes that needs to be minimized to the extent possible. Another challenge is that some of the safety gear needed is not always available in the local markets. Moreover, implementing partners and members of community organizations, would be interacting with communities to inform them about the subprojects and support them to prepare the applications. These interactions would increase the risk of exposure to the Covid-19 virus for these workers and also the risk for the communities, especially if proper hygiene, safety precautions and social distancing measures are not adhered to. Basic services, such as water and sewer, may face disruption and present community health and safety risks to those affected. Project activities that may trigger such risks to local communities and workers are detailed under the “Hazard identification, risk assessment and determining controls” section of the latter report and in the UNDP’s Social and Environmental Screening Procedure and Bank ESF are listed below: 27  Project construction, operation (fall from heights (human and material), slip, trip and falls, transportation including traffic injuries, material and equipment handling and transfer, excavation work, others e.g. weather elements, physical exertion, etc.)  Failure of structural elements of the project may pose risks to communities (e.g. collapse of buildings or infrastructure, demolishing work, accumulation of soil)  Potential increased health risks (e.g. from water-borne or other vector-borne diseases or communicable infections)  Project implementation activities result in a disruption in basic services, such as water or sewer, temporarily affecting the local community.  Risks related to ongoing conflict in Yemen and potential for airstrikes. 4.5.2 Management Measures Appropriate management measures have been put in place. A detailed OHS risk categorization was developed for the purpose of identifying sub-project level risks to enable halting any salient high-risk projects from further implementation until adequate management measures are put in place. Additionally, support to the Responsible Parties has been reinforced by training and monitoring and capacity assessments. Community health and safety: Community health and safety refers to protecting local communities from hazards caused and/or exacerbated by project activities including flooding, landslides, contamination or other natural or human-made hazards, disease, and the accidental collapse or failure of Project structural elements such as dams. Project-related activities may directly, indirectly or cumulatively change community exposure to hazards. A significant concern with major development projects is the spread of communicable diseases such as the Covid-19 from the workforce to the surrounding communities. Risks to, and potential impacts on, the safety of affected communities and workers during the design, construction, operation, and decommissioning of projects will be assessed to establish preventive measures and plans to address them in a manner commensurate with the identified risks and impacts. These measures will favor the prevention or avoidance of risks and impacts over their minimization and reduction. Consideration will be given to potential exposure to both accidental and natural hazards, especially where the structural elements of the project are accessible to members of the affected community or where their failure could result in injury to the community. Sub-projects will avoid or minimize the exacerbation of impacts caused by natural or man-made hazards, such as landslides or floods that could result from land use changes due to activities. Infrastructure and equipment design and safety: Structural elements schools, health centers, etc will be designed and constructed by competent professionals and certified or approved by competent authorities or professionals. Structural design will take into account climate change considerations, as appropriate. Sub-projects with structural elements or components whose failure or malfunction may threaten the safety of communities, will ensure that: (i) plans for Project supervision, operation, and maintenance are developed and monitored; (ii) independent expertise on the verification of design, construction, and operational procedures is used; and (iii) periodic safety inspections are carried out. Safety of services: Where the project involves provision of services to communities, UNDP will establish and implement appropriate quality management systems to anticipate and minimize risks and impacts that such services may have on community health and safety. Traffic and road safety: The potential traffic and road safety risks to workers, affected communities and road users will be identified, evaluated and monitored throughout the project life cycle and, where appropriate, measures and plans will be developed to address them. All road safety incidents and accidents shall be recorded and reported to identify negative safety issues and establish and implement measures to resolve them. Ecosystem services: Where appropriate and feasible, responsible parties will identify the proj ect’s potential risks and impacts on ecosystem services that may be exacerbated by climate change. Adverse impacts will be avoided, and if they are unavoidable, appropriate mitigation measures will be implemented. Management and safety of hazardous materials: The responsible parties will avoid or minimize the potential for community exposure to hazardous materials and substances that may be released by the project. Where there is a potential for the public (including workers and their families) to be exposed to hazards, particularly those that may be life threatening, special care will be exercised to avoid or minimize their exposure by modifying, substituting, or eliminating the condition or material causing the potential hazards. Measures and actions to control the safety of deliveries of hazardous materials, and of storage, transportation and disposal of hazardous materials and wastes will be implemented, as well as measures to avoid or control community exposure to such hazardous material. 28 Emergency preparedness: Responsible Parties will be prepared to respond to accidental and emergency situations in a manner appropriate to prevent and mitigate any harm to people and/or the environment. This preparation, reflected in planning documents, will include the identification of areas where accidents and emergency situations may occur, communities and individuals that may be impacted, response procedures, provision of equipment and resources, designation of responsibilities, communication, and periodic training to ensure effective response. Risk hazard assessment (RHA) will be conducted, as part of the environmental and social assessment. Based on the results of the RHA, the Recipient will prepare an Emergency Response Plan (ERP) in coordination with the relevant local authorities and the affected community, and will take into account the emergency prevention, preparedness and response arrangements put into place with project workers. An emergency response plan will include: (a) engineering controls (such as containment, automatic alarms, and shutoff systems) proportionate to the nature and scale of the hazard; (b) identification of and secure access to emergency equipment available on-site and nearby; (c) notification procedures for designated emergency responders; (d) diverse media channels for notification of the affected community and other stakeholders; (e) a training program for emergency responders including drills at regular intervals; (f) public evacuation procedures; (g) designated coordinator for ERP implementation; and (h) measures for restoration and cleanup. The emergency preparedness and response activities will be periodically reviewed and revised, as necessary to reflect changing conditions. The differential impacts of emergency situations on women and men, the elderly, children, disabled people, and potentially marginalized groups will be considered, and the participation of women in decision-making processes on emergency preparedness and response strategies will be strengthened. Appropriate information about emergency preparedness and response activities, resources, and responsibilities will be disclosed to affected communities. Community exposure to disease: Sub-projects will avoid or minimize the potential for community exposure to water- borne, water-based, water-related, and vector-borne diseases, and communicable diseases that could result from activities, taking into consideration the differentiated exposure to and higher sensitivity of marginalized groups. Sub- projects will avoid or minimize transmission of communicable diseases that may be associated with the influx of temporary or permanent project labor. Standing water will be minimized, covered or treated to minimize mosquito breeding. Local authorities and the Responsible Parties will coordinate closely to ensure any disruption to local basic services, such as water and sewer, is avoided where possible and otherwise minimized.Gender-based Violence (GBV)/Sexual Exploitation and Abuse (SEA)/Sexual Harassment (SH): Sub-projects will ensure that gender sensitive interventions are mainstreamed across all project components, creating pathways for employment and participation in society and playing a key role in building resilience to shocks, improving livelihoods and mitigating social constraints. A GBV assessment will be undertaken for subprojects prior to implementation to have a sense of potential GBV, Sexual Exploitation and Abuse (SEA)/SH. The assessment will be conducted to cover activities under components 1 and 2 since there will be interaction between male workers and female beneficiaries and labourers provided by contractors. The project will prepare a Gender Action Plan. Labor influx: In some cases, worker unavailability or lack of technical skills and capacity among local community will require the implementing partner/ contractor to bring skilled labor from outside the project area. Depending on the size and the skill level of the local workforce, a share of the workers required for the project will be recruited locally. This is generally easier for unskilled workers, while more specialized staff (typically required in smaller numbers) frequently will be hired from nearby communities, hence no camps will be required. UNDP, PWP, SFD will ensure Transparent local community engagement and participation during initial project decision-making and continue routinely throughout the life of the project through GRMs to ensure effective Information disclosure, community involvement. Work standards: Sub-projects will comply with national labor and occupational health and safety laws, with obligations under international law, and consistency with the principles and standards embodied in the International Labor Organization (ILO) fundamental conventions, including freedom of association, elimination of discrimination in employment and occupation, elimination of forced or compulsory labor, and elimination of the worst forms of child labor. The (ESPECRP) will not employ people under the age of 18; however, youth that are 16-17 years old may be eligible for employment training and capacity building. Hence documentary evidence (passport, identity card or birth certificate) of all workers prior to involving them on activities of the project, shall be verified. This apply for: Direct workers, contracted workers, and community workers. Occupational health and safety: Occupational health and safety refers to protecting workers from accident, injury or illness associated with exposure to hazards encountered in the workplace. Hazards can arise from materials (including 29 chemical, physical and biological substances and agents), environmental or working conditions (e.g. oxygen-deficient environments, excessive temperatures, improper ventilation, poor lighting, faulty electrical systems), or work processes (including tools, machinery and equipment). Responsible Parties’ commitment to the OHS Framework strengthens compliance with OHS requirements and protection of staff/workers, as well as middle management accountability to implement the policy and roles and responsibilities and enforcing control measures and procedures. Risk assessment will be conducted for each sub-project site to identify potential hazards and risks and develop and implement corresponding risk control measures. Safety measures hierarchy will be applied starting with hazard elimination, substitution, engineering controls, administrative controls and finally use of PPEs. Furthermore, safe working systems and procedures will be developed and used as well as permit-to-work forms for high risk activities to control risks, authorize implementation confirming compliance to OHS requirements and ensuring close monitoring and inspections to control and minimize risks. In addition the development of positive OHS behavior and strong culture of adherence and compliance to OHS systems will be promoted including setting up and activating branch OHS committees and conducting of field inspections regularly by managers to ensure improvement of OHS systems and practices and promote conducive OHS culture. Workers will be provided with a safe and healthy working environment, taking into account risks inherent to the particular sector (including gender bias) and specific classes of hazards in the work areas. Steps will be taken to prevent accidents, injury, and disease arising from, associated with, or occurring during the course of work and will ensure the application of preventive and protective measures consistent with the World Bank Group’s Environmental, Health, and Safety Guidelines and other international good practice, as reflected in internationally-recognized standards. The involved workers will be insured, and the insurance payment will be covered directly by the IP in case of direct implementation modality and as a pay item through bills of quantities in the bidding documents in case of contracting modality. UNDP in cooperation with IPs has developed an OHS framework that details all the guidelines and requirements under the ESPECRP project.Please refer to the OHS Framework for details (Framework for Actions on Occupational Health and Safety (Annex 5) Security-related issues: Sub-projects under ESPECRP do not engage security personnel. In case sub-projects do require involvement and engagement of security personnel to protect facilities and personal property, security arrangements should be provided in a manner that does not violate human rights or jeopardize the community’s safety and security. Potential risks posed by security arrangements to those within and outside the project area will be assessed, those providing security will be appropriately vetted and trained, and security arrangements will be appropriately monitored and reported. 4.6 Cultural Heritage The ESPECRP seeks to ensure that Cultural Heritage is protected in the course of sub-project activities. UNDP seeks to ensure equal participation, access and contribution of women and men in protecting and sharing the benefits of Cultural Heritage. The Standard applies to sub-projects that may adversely impact Cultural Heritage, including projects that meet any of the following criteria: (i) located in, or in the vicinity of, a Cultural Heritage site ; (ii) involving significant excavations, demolitions, movement of earth, flooding, or other environmental changes; (iii) proposes to utilize tangible or intangible forms of Cultural Heritage for commercial or other purposes. (iv) interventions to preserve the cultural heritage sites. 4.6.1 Activities That May Result in Cultural Heritage Impacts and Risks As the project conducts small scale infrastructure activities related to community works such as road paving, community reservoirs and piping, and repairing of school buildings in addition to others these project activities, although many do not target the rehabilitation of Cultural Sites directly, they may be located in the vicinity of cultural heritage sites and consequently produce unintended negative effects on such sites. In addition, those sub-projects that target the preservation and protection of cultural heritage need to ensure risk management measures are in place. 4.6.2 Management Measures Avoidance: Avoid significant adverse impacts to Cultural Heritage through alternative project siting and design. The impacts on Cultural Heritage resulting from project activities, including mitigating measures, may not contravene the national legislation, or its obligations under relevant international treaties and agreements. Mitigation: Where potential adverse impacts are unavoidable, appropriate mitigation measures will be identified and incorporated as an integral part of the social and environmental assessment process. Where potential adverse impacts 30 may be significant, a Cultural Heritage Management Plan should be developed as part of the Environmental and Social Management Plan (ESMP). Use of experts: For projects with potential adverse impacts, qualified and experienced independent experts will assess the project’s potential impacts on Cultural Heritage using, among other methodologies, field -based surveys and involving meaningful, effective, and informed stakeholder consultations as part of social and environmental assessment process. Note that SFD has a Cultural Heritage unit. Use of Cultural Heritage: Where a project proposes to utilize Cultural Heritage, including the knowledge, innovations, or practices of local communities, affected communities will be informed of their rights, the scope and nature of the proposed development, and the potential consequences of such development. The project will not proceed without meaningful, effective participation of affected communities and unless (i) good faith negotiations with affected communities result in a documented outcome, and (ii) the Project provides for fair and equitable sharing of benefits from any commercialization of such knowledge, innovation, or practice, consistent with the affected community’s customs and traditions. For Projects that propose to utilize Cultural Heritage of indigenous peoples, the requirements of Standard 6: Indigenous Peoples apply. Chance find procedures: When the social and environmental assessment process determines that Cultural Heritage is expected to be found in the project area, chance find procedures will be included in the ESMP. In case of a suspected chance finds is located the following steps will be followed: 1- work at subproject site will be suspended immediately 2- technical engineer to notify the consultant engineer and subproject officer immediately 3- the area will participated to prevent any damage to the area. 4- Competent specialist will conduct investigation on the area to evaluate the situation 5- Implementing partner will initiate communication with concerned governmental agency. 6- Implementing partner will prepare a report detailing the location , time and the finding and what steps has been taken. Chance finds will not be disturbed until an assessment by a competent specialist is made and actions consistent with these requirements are identified. Conditions for removal: The project will not remove any Cultural Heritage unless the following conditions are met: (i) no alternatives are available; (ii) the overall benefits of the Project substantially outweigh the anticipated Cultural Heritage loss from removal; and (iii) any removal employs best available techniques and is conducted in accordance with relevant provisions of national and/or local laws, regulations, and protected area management plans and national obligations under international laws. 4.7 Pollution Prevention and Resource Efficiency 4.7.1 Activities That May Result in Pollution and Resource Efficiency Impacts and Risks The project will support the construction and/or rehabilitation of pit latrines, provide agriculture inputs that may include pesticides, support small health care centers infrastructure or services, cleaning up public spaces that may include municipal solid waste, and sewage that may include hazardous/human excreta and waste. Pit latrines may consist of a pit—circular, rectangular, or square—dug into the ground and covered with a concrete slab or floor with a hole through which excreta falls. Unimproved pit latrines are those without slabs or platforms. In the latter there are risks of groundwater contamination. Additionally, the project will intervene by providing small scale farmers with agriculture inputs, that may involve pesticides. Other activities may include the improvement of health care services through support to small health care center and cleaning of public spaces including municipal solid waste. In relation to pit latrines, there are ecological health impacts that may be associated with microbiological and chemical contamination of groundwater due to use of latrines. In Yemen, the main drinking water sources are extracted from groundwater (in addition to rainwater harvesting). A concern is that pit latrines, that generally lack a physical barrier, such as concrete, between stored excreta and soil and/or groundwater. Contaminants from pit-latrine excreta may potentially leach into groundwater, thereby threatening human health through well-water contamination. Agriculture related interventions which include the use of pesticides trigger both environmental, health and occupational health and safety concerns. Runoff waters from agriculture may contaminate local drinking water sources, such as streams, wells, other leading to potential disease downstream. Project workers and small-scale farmers handling pesticides are also exposed to health hazards. Potential hazards of using fertilizers is they seep through the soil into the 31 groundwater and other water sources, leading to contamination. Thus projects will not use products that fall in Classes Ia (extremely hazardous) and Ib (highly hazardous) of the World Health Organization Recommended Classification of Pesticides by Hazard Support to small health care centers may include rehabilitation of sewage systems that may consequently involve hazardous wastewater. Cleaning up of public spaces may involve the handling, disposal and transport of municipal solid waste. Waste may also be generated during construction and implementation activities. 4.7.2 Management Measures Pollution prevention: Sub-projects will avoid the release of pollutants, and when avoidance is not feasible, minimize and/or control the intensity and mass flow of their release. This applies to the release of pollutants to air, water, and land due to routine, non-routine, and accidental circumstances. Pollution prevention and control technologies and practices consistent with international good practice are applied during the project life cycle. The technologies and practices applied will be tailored to the hazards and risks associated with the nature of the Project. When construction of pit latrines appropriate siting is necessary to ensure no leaks will happen to the ground water and this will be addressed in the design of the subproject to ensure latrines are not placed near to ground water source. Ambient considerations: To address adverse impacts on existing ambient conditions (such as air, surface water, groundwater, and soils), a number of factors will be considered, including the finite assimilative capacity of the environment, existing and planned land use, existing ambient conditions, the Project’s proximity to ecologically sensitive or protected areas, the potential for cumulative impacts with uncertain and irreversible consequences, and strategies for avoiding and minimizing the release of pollutants. Wastes: Sub-projects will avoid the generation of hazardous and non-hazardous waste materials. Where waste generation cannot be avoided, Projects will reduce the generation of waste, and recover and reuse waste in a manner that is safe for human health and the environment. Where waste cannot be recovered or reused, it will be treated, destroyed, or disposed of in an environmentally sound manner that includes the appropriate control of emissions and residues resulting from the handling and processing of the waste material. If the generated waste is considered hazardous, reasonable alternatives for its environmentally sound disposal will be adopted while adhering to the limitations applicable to its transboundary movement. When hazardous waste disposal is conducted by third parties, UNDP and Implementing Partners will ensure the use of contractors that are reputable and legitimate enterprises licensed by the relevant government regulatory agencies and that chain of custody documentation to the final destination is obtained. Hazardous materials: Projects will avoid or, when avoidance is not feasible, minimize and control release of hazardous materials resulting from their production, transportation, handling, storage and use. Where avoidance is not possible, the health risks, including potential differentiated effects on men, women and children, of the potential use of hazardous materials will be addressed in the social and environmental assessment. Projects will consider the use of less hazardous substitutes for such chemicals and materials and will avoid the manufacture, trade, and use of chemicals and hazardous materials subject to international bans or phase-outs due to their high toxicity to living organisms, environmental persistence, potential for bioaccumulation, or potential for depletion of the ozone layer. Pesticide use and management: While pesticide use is not anticipated, sub- projects that may involve pest management activities, integrated pest management approaches will be applied and aim to reduce reliance on synthetic chemical pesticides. The integrated pest/vector management programme will entail coordinated use of pest and environmental information along with available pest/ vector control methods, including cultural practices, biological, genetic and, as a last resort, chemical means to prevent unacceptable levels of pest damage. When pest management activities include the use of pesticides, pesticides that are low in human toxicity, known to be effective against the target species, and have minimal effects on non-target species and the environment will be selected. The health and environmental risks associated with pest management should be minimized with support, as needed, to institutional capacity development, to help regulate and monitor the distribution and use of pesticides and enhance the application of integrated pest management. Projects will not use products that fall in Classes Ia (extremely hazardous) and Ib (highly hazardous) of the World Health Organization Recommended Classification of Pesticides by Hazard. WHO Class II (Substantially hazardous) pesticides will not be used if the relevant Responsible Party lacks restrictions on distribution and use of these chemicals or facilities to handle, store, apply and dispose of these products properly, or if they are likely to be accessible to personnel without 32 proper training and equipment. Pesticides will be handled, stored, applied and disposed of in accordance with international good practice such as the FAO International Code of Conduct on the Distribution and Use of Pesticides. Capacity building and awareness raising towards the use of pesticides and fertilizers will be given to beneficiaries to address the risks and mitigation measures needed 4.8 Land Acquisition, Restrictions on Land Use and Involuntary Resettlement ESS5 recognizes that project-related land acquisition and restrictions on land use can have adverse impacts on communities and persons. Project-related land acquisition or restrictions on land use may cause physical displacement (e.g. relocation, loss of residential land, or loss of shelter), economic displacement (e.g. loss of land, assets, or access to assets, leading to loss of income sources or other means of livelihoods), or both. The term “involuntary resettlement” refers to these impacts. Resettlement is considered involuntary when affected persons or communities do not have the right to refuse land acquisition or restrictions on land use that result in displacement. 4.8.1 Management Measures The project will not implement in land that is restricted, acquitted or has involuntary resettlement. It will be obtained consensus in using any common resources. There would be no involuntary resettlement and that land would be acquired through voluntary land donation only. Only three main conditions are accepted:  Public property  A land donation document from the owner of the land  Land purchase document by local council The land donation or purchase document shall be baptized by the local council, and beneficiaries committee ,or by the court and it shall be attached with project documents. Nevertheless, implementing partners will ensure that: (a) the potential donor or donors have been appropriately informed and consulted about the project and the choices available to them; (b) potential donors are aware that refusal is an option, and have confirmed in writing their willingness to proceed with the donation; (c) the amount of land being donated is minor (less than 10%) and will not reduce the donor’s remaining land area below that required to maintain the donor’s livelihood at current levels; (d) no household relocation is involved; (e) the donor is expected to benefit directly from the project; and (f) for community or collective land, donation can only occur with the consent of individuals using or occupying the land. UNDP and IP’s will maintain a transparent record of all consultations and agreements reach ed. 5 Procedures to Address Social and Environmental Risks and Impacts 5.1 Sub-Project Screening and Classification Requirements The ESPECRP will support a series of sub-projects over the course of its implementation. The type of sub-projects are described in Section 2 of this ESMF. Each sub-project will be screened for social and environmental risks (including OHS risks) and impacts applying PWP ,SMEPs, and SFD screening tools which already reviewed and aligned with WB ESF. Screening and classification will be completed prior to approval of sub-projects and signing of the Financial Agreement. The screening of sub-projects will also be updated if there are any significant changes in the sub-project’s design or context that may materially change its social and environmental risk profile. Sub-project screening and categorization should be conducted at the earliest stage of design when sufficient information is available for this purpose. Based on the screening, the sub-project is categorized according to the degree of potential social and environmental risks and impacts. In some cases, applicability of specific SES requirements will need to be determined through additional scoping, assessment, or management review. The screening process results in one of the following three categories for the proposed sub-project 33  Low Risk: Projects that include activities with minimal or no risks of adverse social or environmental impacts. Further assessment of potential adverse social and environmental risks and impacts is not required.  Moderate Risk: Projects that include activities with potential adverse social and environmental risks and impacts, that are limited in scale, can be identified with a reasonable degree of certainty, and can be addressed through application of standard best practice, mitigation/control measures and stakeholder engagement during Project implementation.  Substantial Risk: Substantial Risk Projects will require social and environmental assessment and review to determine how the potential impacts identified in the screening will be avoided or when avoidance is not possible, minimized, mitigated and managed. A site-specific Environmental and Social Management Plan (scaled to nature of the risks) should be in place to ensure risks are managed.  High Risk: Projects that include activities with potential significant and/or irreversible adverse social and environmental risks and impacts (including OHS), or which raise significant concerns among potentially affected communities and individuals as expressed during the stakeholder engagement process. High Risk activities may involve significant impacts on physical, biological, socioeconomic, or cultural resources. Further impact assessment is required, and an Environmental and Social Management Plan will be in place. High Risk Projects require tight control measures, closer monitoring, enhanced internal and external support. Note that High Risk sub-projects will be excluded from Yemen ESPECRP funding. If high level risks are identified during implementation, Senior management of the Responsible Party and UNDP Project Manager will be notified immediately, and relevant activities will be halted until management measures put in place to reduce the levels of risk. Screening results inform final appraisal and sub-project approval. An initial gap analysis shows that PWP and SFD screening processes are generally aligned with SES requirements, as described below 5.1.1 PWP Sub-projects An Environmental and Social Screening Checklist is applied for sub-projects implemented by PWP including subprojects related to schools, health units/centers, rainwater harvesting reservoirs, sanitation, and rural water projects. The screening results in one of the following classifications and is signed by the PWP engineer and PWP environmental specialist: • Low : no adverse impacts • Moderate: has some minor impacts • Substantial: has a substantial impact • High: has a high adverse impact All high-risk subprojects will not be implemented and will be excluded .The first is undertaken during application of selection criteria by the Environmental and social specialist assigned by PWP. Those that do not meet criteria for improvement in environmental conditions will be rejected at the outset. Screening results and classification inform final appraisal and approval of a sub-project. Sub-projects will be grouped into annual and/or quarterly investment programs to be submitted to the PWP Internal Management Committee for approval. Social and environmental screening results will be included in the submission. Screening results in substantial and moderate will require development of ESMPs by PWP safeguard team and will be sent to UNDP and WB for clearance as well as be recorded in the MIS. 5.1.2 SFD and SMEPS Sub-projects SFD undertakes screening of the subproject proposals and classifies subprojects into high, substantial, moderate, and low. The classification is based on the significance of impacts which depend on the type, location, sensitivity, and scale of the subproject and the nature and magnitude of its potential environmental impacts. Accordingly, Low Risk are those which are known to have no adverse environmental and social impacts and accordingly will not require any further assessment or follow-up. Substantial risk are those that are likely to have limited adverse environmental and social impacts that are temporary and/or site specific and can be reduced/avoided/mitigated with the implementation of appropriate mitigation measures, and these subprojects would require a scoping to be undertaken and a limited site specific Environmental and Social Management Plan is prepared. High Risk will be excluded from funding. At the design stage, a checklist of expected environmental and social impacts to be addressed is completed by assigned Environmental and social specialist. This is an important stage as it will pave the way for the implementation and operation stages. All the expected environmental and social impacts will be identified at this stage and the mitigation measures will be designed and incorporated in the subproject design and tender documents, particularly, in the BoQ so 34 that it becomes obligatory. The checklist contains questions about the expected environmental and social mitigation measures to be included in the project documents for each type of intervention and the answer will be "Yes" or "No". If the answer is "No", then the consultant will need to justify this in the design report, and also include the completed checklist as an annex to the design report If the sub-project involves more than one type of activity, all relevant checklists should be completed. Screening results in substantial and moderate will require development of ESMPs by SFD safeguard team and will be sent to UNDP and WB for clearance as well as be recorded in the MIS. SMEPS applies similarly as SFD and will develop ESMPs regarding MFI and MSME and applies the WB’s ESSs and UNDP’s SESs, if the risk is categorized as moderate or substantial. Annex 2 shows summary of project activities, risks and measurement measures for the Responsible Parties (SFD and PWP) 5.2 Site-Specific Assessment and Management Requirements The targeted and site-specific assessments and management plans will be undertaken for all Substantial Risk sub-projects once project activities/sub-projects and sites are identified. The assessment(s) will be conducted in a manner consistent with national regulations, PWP ,SMEPs or SFD operating procedures, the UNDP SES, and the World Bank’s Environmental and Social Framework and lead to the development of appropriately scaled management measures and plans to address the identified risks and impacts. For projects with easily identified risk management measures, a simplified ESMP must be developed. The UNDP SES and SESP as well as the World Bank Environmental and Social Framework’ require that in all cases relevant social and environmental assessments and adoption of appropriate mitigation and management measures be completed, disclosed, and discussed with stakeholders prior to implementation of any activities that may cause adverse social and environmental impacts. An indicative outline for an Environmental and Social Management Plan is provided in Annex 3. OHS framework will be incorporated in site-specific ESMPs so that it is effectively implemented, and its implementation is properly monitored. Site specific Environmental Management Plan (ESMPs) shall includes occupational health and safety measures: safety of workers and other persons, noise, maintenance of equipment, prevention of spread of diseases, debris, cleanliness, ease of movement, any social disputes and general appearance of the subproject including tree planting, etc. The IPs shall establish, implement and maintain procedures to monitor and measure OH&S performance on a regular basis. These procedures shall provide for: both qualitative and quantitative measures, proactive and reactive measures of performance. All site-specific assessments and management plans will be cleared by World Bank and UNDP and recorded in the MIS. In cases where similar activities are being conducted in a particular region, these activities may be grouped and covered under one site-specific ESMP. All ESMPs will be available upon request. 6 Institutional Arrangements and Capacity Building 6.1 General Management Structure and Responsibilities 6.1.1 World Bank The ESPECRP is funded by the World Bank. A World Bank senior management task team has been established to oversee and make decisions about remedies in connection with the UNDP-implemented activities. In particular, the task team’s functions/responsibilities consist of: (a) reviewing periodic financial progress and results reports measured by targets and benchmarks agreed at the time of project approval; (b) applying the agreed process for dealing with serious issues, including significant social and environmental issues; (c) reviewing progress reports on actions taken to address a serious situation and results obtained, including details of any recovery of funds or write-off of losses; and (d) exercising remedies of suspension and termination in accordance with the provision of the legal agreement, if necessary (see World Bank documentP173582). The World Bank is also engaged in the Biannual Review Meetings (see Section 6.1.2) and conducts Technical Review Missions. 35 6.1.2 Project Board (Biannual Review Meetings) The Project Board (UNDP, World Bank, PWP, SFD) has oversight and advisory authority, representing the highest body for coordination, strategic guidance, oversight and quality assurance. The body facilitates collaboration between UNDP, the two responsible parties (PWP and SFD), the World Bank, and other stakeholders for the implementation of the Project. The Project Board reviews and endorses the Annual Work Plans (AWPs), provides strategic direction and oversight, reviews implementation progress, and reviews narrative and financial progress reports. The Project Board will be convened by UNDP and meet at least on a 6-montly basis. It will coincide with the timing of World Bank technical review missions. A progress report will be presented to the Project Board and key stakeholders, consisting of progress data showing the results achieved against pre-defined annual targets at the output level, the annual project quality rating summary, an updated risk long with mitigation measures, and any evaluation or review reports prepared over the period. 6.1.3 UNDP UNDP will be responsible for overseeing the implementation and compliance with the ESMF, working closely with PWP and SFD. The ESMF and developed management plans will be part of any tender documentation. UNDP will be responsible for the revision or updates of this document during the course of project, in consultation with PWP, SFD and the World Bank. Project Management Team The Project Management Team ensures effective implementation of activities on the ground, risk mitigation, and timely delivery of the results. The team has geographic presence in both Sana’a and Aden to ensure inclusion and to minimize political sensitivities. The Project Manager is responsible for day-to-day management and decision-making for the project. The Project Manager’s prime responsibility is to ensure that the project produces the results specified in the Project Document to the required standard of quality and within the specified constraints of time and cost. The Project Manager is responsible for overseeing implementation of the ESMF and required environmental and social risk management actions. The Project Manager is supported by a team that includes National Coordinators, an International M&E Specialist, National M&E officer ,International Environmental and Social officer, National Environmental and Social officer, National Occupational Health and Safety Officer, national gender and social safeguard officer, Finance Officer , Admin Assistant ,and Communication Officer. A Management Information System is in final stages of development to support project management. It is overseen by the UNDP Programme Team on Economic Resilience and Recovery which has the responsibility of ensuring technical/substantive quality assurance as well as on other aspects such as finance, HR, audit, and M&E (pls see section below). The Project Management Team is also supported by experts in UNDP Headquarters and Regional Hubs, including SES expertise. The project safeguard team including an International Safeguards Specialist, National SES, National OHS , National gender and Social safeguard experts will be responsible for enhancing the capacity of UNDP and Responsible Parties to improve social, environmental and occupational health standards and services, contributing to improved decision making and to capitalize on potential opportunities while ensuring that adverse social and environmental risks are avoided, minimized, mitigated and managed. Project Oversight and Assurance The ‘project assurance’ function of UNDP is to support the Project Board by carrying out objective and independent project oversight and monitoring functions. This role ensures appropriate project management milestones are managed and completed. Project assurance has to be independent of the Project Manager; therefore, the Project Board cannot delegate any of its assurance responsibilities to the Project Manager. Furthermore, UNDP provides quality assurance for the project; ensures compliance with UNDP policies and procedures, including its Social and Environmental Standards and implementation of the requirements of this ESMF. The oversight and quality assurance for ESPECRP is done by the UNDP ERR Programme Team, which oversees the UNDP Yemen programme portfolio focusing on livelihoods and service delivery. UNDP Headquarters will provide corporate oversight and management support including finance, human resources, audit and investigations. 36 6.1.4 Responsible Parties During operations the Responsible Parties will be accountable for implementation of the ESMF. Personnel working on the project have accountability for preventing or minimizing environmental and social impacts. The Responsible Parties are directly accountable to UNDP in accordance with their Letter of Agreement. There are three responsible parties for the project: PWP , SMEPs and SFD. Responsible Parties include HQ offices, branch offices, site engineers, site supervisors, and workers that also play a role in implementation of the ESMF. Ultimately the Responsible Parties are responsible for ensuring implementation of the ESMF within their portfolio of sub-projects and ensuring all relevant documentation is available and reported to UNDP. The top management of the Responsible Parties is ultimately responsible for implementation of the ESMF within all sub- projects that are part of the ESPECRP . The top management shall demonstrate its commitment by ensuring the availability of resources essential to establish, implement, maintain and improve implementation of the ESMF; defining roles, allocating responsibilities and accountabilities, and delegating authorities, to facilitate effective ESMF implementation. Responsible Parties shall be responsible to develop, implement and monitor contractors. Implementing partners has a safeguard team including GM team based in Headquarters to oversee the implementation of the environmental and social requirements supported by focal points in each branch as well as assigning responsibilities to staff working in field .Responsible Parties’ staff in their capacity at head office and branch offices will be responsible for engagement and management of contractors. The field staff are assisted by Supervisory Consultants, and technical engineer, and safeguards focal point in branch offices for the management of contractors and workers, ensuring compliance and monitoring of activities and providing labour instructions on safety and security. During the implementation phase of the services, UNDP, SFD and PWP will organize planned and unplanned visits to contractors’ offices and/or places where work is being performed. In these visits the progress achieved, health and safety-related issues and child and forced labour employment status will be observed. The site reports will include the KPIs for contractor management and the outputs will be reflected in the monthly reports. In case of non-compliance by the contractors, corrective actions will be taken. ESMPs will be prepared by SFD and PWP. Contractors’ ESMPs will be prepared by national contractors, however, this arrangement doesn’t apply to community contractor. SFD and PWP’s ESMPs will be cleared by the Bank and UNDP, while contractors’ ESMPs will be cleared by SFD and PWP Environmental and social management duties is assigned to site engineer and technical engineers (Responsible Parties) and site manager (contractors). They have been trained in social and environmental risk management and have direct access and reporting channels to most senior management level. Some of the duties of the site engineer/manager include: • organization and conduct of training programmes, including induction training for all workers on the site; • organization of information to be passed from management to workers, including those of subcontractors; • provision and implementation of environmental and social management measures, including occupational health and safety measures; • Investigation and review of the circumstances and causes of environmental and social risks so as to advise to the senior management on preventive measures; and participation in pre-site planning. Technical engineer duties will include :  working conditions and equipment are safe;  workplace safety and risk management measures are regularly inspected;  potential environmental and social risks are managed effectively and responded to quickly if unexpected issues arise;  workers have been adequately trained for the job they are expected to do;  social and environmental management measures, including workplace safety measures, are implemented;  the best solutions are adopted using available resources and skills;  necessary personal protective equipment is available and used. Making the work site safe require regular inspections and provision of the means for taking remedial measures. The training of workers enables them to recognize the risks involved and how they can overcome them. Workers are shown the safe way of getting a job done. The workers are involved directly, such as through the following:  “Tool-Box Briefing”, a five- to ten-minute session with the supervisor just prior to starting a task gives the workers and the supervisor a chance to talk about social and environmental risks, including safety problems, 37 likely to be encountered and potential solutions to those problems. This activity is simple to implement and it may prevent a serious accident or issue;  “Safety Check”, a check by workers that the work environment is safe before starting an operation may allow them to take remedial action to correct an unsafe situation that could later endanger them, another worker, or surrounding community. 6.1.5 Third Party Monitors The Third-Party Monitoring Agent (TPMA) reports directly to the UNDP Project Manager, working in close collaboration with the project M&E Specialist and with the Responsible Parties for project implementation. The TPMA supports the UNDP project management team to provide the Project Board and other stakeholders with better means for learning from field experience, improving service delivery to community, planning and allocating resources, and demonstrating results. The TPMA is expected to provide UNDP with quarterly reports. Reporting templates/checklists incorporate social and environmental risk monitoring, Gender and social issue and includes monitoring implementation of agreed management measures. Each TPMA report includes a specific section to address the OHS , GRM, Environmental, and social implementation in the subprojects. Regular meetings with TPM team, Ips and UNDP are in place to discuss the findings and improve the tools. 6.2 Capacity Building and Training Responsible Parties( UNDP, SFD, SMEPS, PWP) have the responsibility for ensuring systems are in place so that relevant employees, contractors and other workers are aware of the environmental and social requirements for project implementation, including the ESMF. Project stakeholders have noted that capacity building and training needs to be a priority. All project personnel will attend an initial induction training of relevant ESMF requirements, including health, safety, environment and cultural heritage requirements, LMP, OHS, SEP, GBV Action Plan, Security Management Framework. Training will be conducted on a sustained basis. The following capacity building and training programmes will be in place:  Capacity building of headquarters and branch offices senior management (led by UNDP): To impart awareness on essential regulatory and other requirements and elements of the ESMF, to help understand the importance of social and environmental management from design stage through implementation. It is essential that the trained manpower shall further carry out training and capacity building in their respective organisations by acting as resource persons for such trainings.  Capacity building of site engineers/site supervisors on ESMF requirements and E&S screening and ESMP preparation (led by Responsible Parties, with UNDP support): To create awareness on specific social and environmental risks and management measures for their control as applicable to the project activities and to build their capacity to carry out monitoring and supervision activities in the field.  Training and awareness of workers including contractual workers and local labour (led by Responsible Parties): All workers engaged in any activity with the potential to cause serious social and/or environmental harm will receive task specific training and SEA/SH, GRM, etc. To ensure implementation of the site-specific management measures. Training procedures shall take into account differing levels of responsibility, ability, language skills, literacy and risk exposure. The Responsible Parties shall ensure that persons under their control performing tasks related to environmental and social risk management are competent on the basis of appropriate education, training or experience, and shall retain associated records. Each sub-project should include a budget line for training to ensure capacities and skills of workers to implement risk management measures. 7 Stakeholder Engagement and Information Disclosure 7.1 Principles for Meaningful, Effective and Informed Stakeholder Engagement The ESPECRP and its Responsible Parties will ensure meaningful, effective and informed stakeholder engagement in the design and implementation of all sub-projects. Civil society actors and organizations, local communities and other key stakeholders are crucial partners for project delivery and advancing sustainable development. 38 Stakeholder engagement supports the development of strong, constructive, and responsive relationships that are critical for sound project design and implementation. Effective stakeholder engagement enhances project acceptance and ownership and strengthens the social and environmental sustainability and benefits of supported interventions. It is both a goal in itself – upholding the rights of citizens and others to participate in decisions that may affect them – as well as an effective means for achieving project outcomes, including those related to democratic governance, protecting the environment, promoting respect for human rights, and preventing and resolving conflict. Meaningful, effective and informed stakeholder engagement will possess the following characteristics:  Free of external manipulation, interference, coercion, and intimidation.  Gender and age-inclusive and responsive.  Culturally appropriate and tailored to the language preferences and decision-making processes of each identified stakeholder group, including disadvantaged or marginalized groups.  Based on prior and timely disclosure of accessible, understandable, relevant and adequate information, including draft documents and plans.  Initiated early in the project design process, continued iteratively throughout the project cycle, and adjusted as risks and impacts arise.  Addresses social and environmental risks and adverse impacts, and the proposed measures and actions to address these.  Seeks to empower stakeholders, particularly marginalized groups, and enable the incorporation of all relevant views of affected people and other stakeholders into decision-making processes, such as project goals and design, mitigation measures, the sharing of development benefits and opportunities, and implementation issues.  Documented and reported in accessible form to participants, in particular the measures taken to avoid or minimize risks to and adverse impacts on the project stakeholders.  Consistent with States’ duties and obligations under international law. 7.2 Information Disclosure Information disclosure refers to the provision of timely, accessible information regarding the project and its potential social and environmental impacts to stakeholders in order to facilitate their meaningful, effective and informed participation in project design and implementation. Stakeholders require access to relevant project and sub-project information in order to understand potential project-related opportunities and risks and to engage in design and implementation. In addition to have access to general project information, stakeholders need access to screening reports, draft and final assessments and management plans. This information is to be disclosed in a timely manner, in an accessible place, and in a form and language understandable to affected persons and other stakeholders. These elements of effective disclosure are briefly elaborated below: • Timely disclosure: information on potential project-related social and environmental impacts and mitigation/management measures should be provided in advance of decision-making. Draft screenings, assessments and management plans should be provided in advance as part of the stakeholder consultation process. In all cases, draft and final screenings, assessments and management plans must be disclosed and consulted on prior to implementation of activities that may give rise to potential adverse social and environmental impacts. • Accessible information: Stakeholders need to be able to readily access information regarding assessments and management plans. While local regulatory requirements might mandate availability of environmental assessments in government offices, this may not be sufficient to ensure that local stakeholders can access the information. Other means of dissemination may need to be considered, such as posting on websites, public meetings, local councils or organizations, newsprint, television and radio reporting, flyers, local displays, direct mail. • Appropriate form and language: Information needs to be in a form and language that is readily understandable and tailored to the target stakeholder group who speaks Arabic language. Summary information from assessments and management plans may need to be translated and presented by various means (e.g. written, verbal). Level of technical detail, local languages and dialects, levels of literacy, roles of women and men, and local methods of disseminating information are important considerations in devising appropriate forms of disclosure. A general solicitation of feedback on project documents may not be an appropriate form of information sharing and solicitation of input. Rather, the material may need to be presented in a contextual 39 manner, such as the presentation of options with key information and questions designed to solicit feedback. Appropriate forms of proactive disclosure should be utilized beyond web posting of information. These may include radio broadcasts, brochures, community postings, SMS, oral presentations, etc. Also, it is vital to ensure that appropriate communication methods are devised to reach potentially marginalized and disadvantaged groups. The stakeholder engagement process is an excellent moment to solicit from stakeholders the types of information they want and need and the most appropriate formats and languages and mechanisms for dissemination. The SES contain requirements for the disclosure of screening reports; draft and final social and environmental assessments and management plans; and any required social and environmental monitoring reports. For further detail on UNDP SES stakeholder engagement and information disclosure requirements please refer to the UNDP guidance UNDP Guidance on Stakeholder Engagement -Annex 3. The ESMF LMP, and SEP will be disclosed with representatives of stakeholder groups in Arabic language during consultation meeting, and it will be also available at IPs branches, offices and beneficiaries’ locations. 7.3 ESPECRP Systems in Place for Stakeholder Engagement and Information Disclosure Meaningful stakeholder engagement is required by PWP, SMEPS and SFD for participation in project intervention by communities and individuals. The Standard Operating Procedures of both Responsible Parties include procedures for community and stakeholder engagement within their project cycles as a key component of project identification, design and implementation, and described a key component of the longer-term sustainability strategy for operations and maintenance. Community committees are set up at the onset of project at the identification and design phase and play a key role in supporting field teams, facilitating implementation and in the sustainability of community assets that are built through subprojects, after project closure. To sustain such community participation and engagement, subprojects include provisions to set up such community committees and provide resources for training whenever required. The principles for sub-project cycle identification, development, and management specify that communities are involved from the outset in the selection and design phases, through project closure with disseminating hard copies for ESMF, GRM and others. To engage communities and reduce potential risks of conflicts between stakeholders over sub-projects a careful selection criterion was developed by UNDP and Responsible Parties. While laying out an objective set of criteria, and national data-based distress index, communities are also called upon to participate at the municipal level to engage in prioritization of community projects and identification of beneficiaries. Subprojects must meet the basic needs according to poverty and service needs provided in national indicators. Priority is given to poorer communities. In addition to data provided through national indicators, community groups are consulted to identify who will benefit from sub-projects, in this way stakeholders themselves are involved in the selection and decision of who benefits from sub-projects. In addition, some procedures include financial contribution by beneficiaries, proportionate to their means. This contribution is seen as a necessary component for stakeholder engagement, providing a guarantee to future sustainability through operation and maintenance of subprojects and aims to enhance the firm commitment to the active participation of beneficiaries. Both institutions include gender mainstreaming provisions as a means to ensuring equal participation of all stakeholders in subprojects and provide opportunitie s to improve women’s participation in decision-making as indicated in the above section on project impacts and risk, gender section. Furthermore, in accordance with the ESPECRP approach to strengthening livelihoods and local economics, in sub- projects that use community contracting, the procurement of civil works, construction materials, and the hiring of equipment, transport and skilled laborers, is done by the communities themselves. The TPMA also helps ensure stakeholders have been duly consulted and monitors their level of satisfaction with the ESPECRP project including with the sub-project selection criteria. TPM surveys have verified implementation of planned interventions, adherence to agreed implementation procedures, quality of implemented interventions, beneficiaries and community satisfaction on various aspects of project interventions and its effects/impacts on targeted beneficiaries and communities. Women and men, youth are interviewed separately to enable meaningful participation by marginalized groups. An example provided by TPMA report (see TPMA Report from April-June 2018) shows that cash for work 40 interventions were highly satisfactory to beneficiaries in various aspects including project existence (98.5 percent) and beneficiary selection (98 percent). In addition, A stakeholder engagement plan SEP for the Social Protection and Covid Response Project (ESPECRP) has been developed. The SEP recognizes the importance of open and transparent engagement between the Recipient and project stakeholders as an essential element of good international practice. Effective stakeholder engagement can improve the environmental and social sustainability of projects, enhance project acceptance, and make a significant contribution to successful project design and implementation. Stakeholder engagement is an inclusive process conducted throughout the project life cycle. Where properly designed and implemented, it supports the development of strong, constructive, and responsive relationships that are important for successful management of a project’s environmental and social risks. The overall objective of this SEP is to define a plan of action for stakeholder engagement, including technically and culturally appropriate approach to public consultation and information disclosure, throughout the entire project cycle. The SEP outlines the ways in which the project team will communicate with stakeholders and includes a mechanism by which people can raise concerns, provide feedback, or make complaints about project activities. The involvement of different stakeholders, including the local population and farmers is essential to the success of the project in order to ensure smooth collaboration between project staff and local communities. The SEP focuses on: • Identifying direct and indirect adversely affected or may be affected, and who will need additional information to understand the limits of project impacts; • Mapping the project impact zones and locating the affected communities within a specific geographic area can help define or refine the project’s area of influence; • Engaging and consulting the project’ beneficiaries in the plannin g, implementation, monitoring and reporting process; • Enhancing participatory approaches in all project cycles by each selected community with SWF families, and other families with pregnant and locating women and children; • Ensuring confidentiality and social protection to the disadvantaged, indigenous and marginalized groups through the use Stakeholder Response Mechanism (GRM) that provides an opportunity for the affected people to response and grief for any problems and concerns in confidentiality and anonymity; • Mainstreaming human rights, women empowerment, full participation, transparency, information disclosure, and environmental sustainability in all project’s actions; and • Building robust, innovative and transparent Information Management System (MIS) that reflect all activities, and which are implemented in accordance with the project identification and proposal. 7.4 Project-Level Grievance Redress Mechanism During the design, construction and implementation of any sub-project, a person or group of people may perceive or experience potential harm, directly or indirectly due to the project activities. The grievances that may arise can be related to social issues such as eligibility criteria and entitlements, disruption of services, temporary or permanent loss of livelihoods and other social and cultural issues. Grievances may also be related to environmental issues such as excessive dust generation, damages to infrastructure due to construction related vibrations or transportation of raw material, noise, traffic congestions, decrease in quality or quantity of private/ public surface/ ground water resources during irrigation rehabilitation, damage to home gardens and agricultural lands, etc. Should such a situation arise, there must be a mechanism through which affected parties can resolve such issues in a cordial manner with the project personnel in an efficient, unbiased, transparent, timely and cost-effective manner. To achieve this objective, a Grievance Redress Mechanism has been included in the ESMF for this project. The Grievance Redress Mechanism: a. provides a legitimate process that allows for trust to be built between stakeholder groups and assures stakeholders that their concerns will be assessed in a fair and transparent manner; b. allows simple and streamlined access to the Grievance Mechanism for all stakeholders and provide adequate assistance for those that may have faced barriers in the past to be able to raise their concerns; c. provides clear and known procedures for each stage of the Grievance Redress Mechanism process, and provides clarity on the types of outcomes available to individuals and groups; 41 d. ensures equitable treatment to all concerned and aggrieved individuals and groups through a consistent, formal approach that, is fair, informed and respectful to a concern, complaints and/or grievances; e. provides a transparent approach, by keeping any aggrieved individual/group informed of the progress of their complaint, the information that was used when assessing their complaint and information about the mechanisms that will be used to address it; and f. enables continuous learning and improvements to the Grievance Redress Mechanism. Through continued assessment, the learnings may reduce potential complaints and grievances. The GRM will be gender- and age-inclusive and responsive and address potential access barriers to women, the elderly, the disabled, youth and other potentially marginalized groups as appropriate to the Project. The GRM will not impede access to judicial or administrative remedies as may be relevant or applicable and will be readily accessible to all stakeholders at no cost and without retribution. Information about the Grievance Redress Mechanism and how to make a complaint and/or grievance must be communicated during the stakeholder engagement process and placed at prominent places for the information of the key stakeholders. All complaints and/or grievances regarding social and environmental issues can be received either orally (to the field staff), by phone, in complaints box or in writing to the UNDP, PWP or SFD. A key part of the grievance redress mechanism is the requirement for the Project Management Team and construction contractor to maintain a register of complaints and/or grievances received at the respective project site offices, this includes grievances from workers. The following information will be recorded: a. time, date and nature of enquiry, concern, complaints and/or grievances; b. type of communication (e.g. telephone, letter, personal contact, site box , SMS , email); c. name, gender, contact address and contact number if available; d. anonymity complaints are also registered, investigated and solved e. response and review undertaken as a result of the enquiry, concern, complaints and/or grievances; and f. actions taken and name of the person taking action. g. In case the complainant is not satisfied with resolution and settlement of the complaints, he/she escalates the cases to higher level (five levels of escalation the complaint). h. IPs’ GRM system will settle and mitigate the GRM at three levels (field, branch and HQ offices) i. UNDP will investigate the case doesn’t solve at IPs’ three levels, at project level, UNDP Country Office in Yemen, also at UNDP regional office in Amman/Headquarter office in NY. Also UNDP will share the highest escalated cases with WB.7 The project GRM is managed by PWP , SMEPs and SFD, who have a grievance mechanism in place. UNDP will work with the Responsible Parties to assess the effectiveness of existing GM and work to address capacity, accessibility, transparency, gaps, etc. In cases complaints are not resolved by IPs, they should be escalated to UNDP for further investigation, study and closure. Complaints Handling Mechanisms (HCM) will be applied as following: - IPs GRM will apply, and will activate at three levels of compliant settlement (at 1st field, 2nd branch, 3rd Head Office levels); - The TPM Call Center will be assigned by UNDP to verify the lists of complaints on monthly basis and provide a report. IPs therefore will need to share GRM list bi-weekly (perhaps through linking to the new MIS) - UNDP will dedicate a number (call, sms, WhatsApp) for complainants who might not be satisfied with IPs’ resolution and would want to escalate to higher level (4 th level of HCM). - IPs will ensure that the dissatisfied complainants are well-informed to the UNDP’s dedicated number. TPM may also assist in this issue, by calling all complainants and refer the dissatisfied ones to the 4 th level of UNDP) - If still complainant is dissatisfied after UNDP’s intervention, another level will be introduced to escalate to UNDP SRM HQ (UNDP Regional office). 7 the complainants have the option to access UNDP’s Accountability Mechanism, with both compliance and grievance functions. The Social and Environmental Compliance Unit investigates allegations that UNDP's Standards, screening procedure or other UNDP social and environmental commitments are not being implemented adequately, and that harm may result to people or the environment. The Stakeholder Resp onse Mechanism offers locally affected people an opportunity to work with other stakeholders to resolve concerns, complaints and/or grievances about the social and environmental impacts of a UNDP project. Stakeholder Response Mechanism is intended to supplement the pr oactive stakeholder engagement that is required of UNDP and its Implementing Partners throughout the project cycle (www.undp.org/secu-srm). Complainants also have access to the World Bank’s Inspection Panel (www .inspectionpanel.org). TPM Reports and the ESMF stakeholder consultations noted that there was little awareness by project-affected people of the GM and their options. This will be an area to be strengthened moving forward. 42 - Complainants may also opt to use judicial procedures or arbitration. 7.5 UNDP Accountability Mechanism In addition to the project-level and national grievance redress mechanisms, complainants have the option to access UNDP’s Accountability Mechanism, with both compliance and grievance functions. The Social and Environmental Compliance Unit investigates allegations that UNDP's Standards, screening procedure or other UNDP social and environmental commitments are not being implemented adequately, and that harm may result to people or the environment. The Social and Environmental Compliance Unit is housed in the Office of Audit and Investigations and managed by a Lead Compliance Officer. A compliance review is available to any community or individual with concerns about the impacts of a UNDP programme or project. The Social and Environmental Compliance Unit is mandated to investigate valid requests independently and impartially from locally impacted people, and to report its findings and recommendations publicly. The Stakeholder Response Mechanism offers locally affected people an opportunity to work with other stakeholders to resolve concerns, complaints and/or grievances about the social and environmental impacts of a UNDP project. Stakeholder Response Mechanism is intended to supplement the proactive stakeholder engagement that is required of UNDP and its Implementing Partners throughout the project cycle. Communities and individuals may request a Stakeholder Response Mechanism process when they have used standard channels for project management and quality assurance and are not satisfied with the response (in this case the project level grievance redress mechanism). When a valid Stakeholder Response Mechanism request is submitted, UNDP focal points at country, regional and headquarters levels will work with concerned stakeholders and Responsible Parties to address and resolve the concerns. Visit www.undp.org/secu-srm for more details. 8 Monitoring, Reporting and Evaluation of ESMF Implementation The ESMF and its procedures are to be reviewed regularly and on an ongoing basis by UNDP staff, PWP and SFD. The objective is to update the ESMF to reflect knowledge gained during the course of project delivery/construction and to reflect new knowledge. Amendments will be made to the ESMF if: • There are relevant changes to social and environmental conditions or generally accepted management practices; or • New or previously unidentified social and environmental risks are identified; or • Information from the project monitoring and surveillance methods indicate that current control measures require amendment to be effective; or • There are changes to legislation that are relevant to the project; or • There is a request made by a relevant regulatory authority. When an update is made, all site personnel are to be made aware of the revision as soon as possible, e.g. through a toolbox meeting or written notification. The Project Manager will monitor the overall implementation of the ESMF, most particularly the: i. timely preparation of environmental and social screening forms for all subprojects (list of subprojects by risk category by date) ii. timely preparation and clearance of subproject ESMPs, as needed (list of instruments with dates) iii. monitoring of ESMP implementation, including monitoring of mitigation measures and monitoring of contractors environmental and social performance (indicators) iv. training of project staff, implementing partners, and contractors (list of persons, dates and places) The Project Manager will prepare: i. biannual reports summarizing monitoring results, to be included in the Project’s Biannual Review Meetings ii. an annual evaluation of all environmental and social monitoring activities, which will be submitted to the World Bank as part of overall project implementation reporting 43 Monitoring and audit reports will be shared with the World Bank. 8.1 Monitoring and Reporting Indicators: UNDP with its partners agreed and discussed several indicators that can be used for Gender and GBV/SEA reporting and monitoring that not limited to: - Number of Children promoted to work under/ above 18 - Number of women and men discriminated based on gender, disability, and age - Number of training conducted on preventing gender discrimination. GBV and SH - Number of GBV/SH survivor referred to services providers or legal support with high confidentiality - Number of work of GBV/SH complains received and registered in GRM - No of skilled/all workers signed COC. - No of training and capacity building provided to senior management staff, gender specialists, FPs, community members on Gender/GBV and SEA - Number of awareness raising conducted and contact number/GRM provided - Number of male and female workers. Occupational Health and Safety Indicators for reporting and monitoring include but not limited to: - Incidents / anomalies reports - Monthly reports - Events analysis & synthesis - root case analysis and safeguard corrective action plan - Safety Feedback Notice - Incidents/ anomalies action plan - Project/ Site OHS Plan - Risk assessment register - Safeguard training records - Field visits records - Emergency response plan 8.2 Management Information System (MIS) Both PWP and SFD have a Management Information System in place to record project information and monitoring results. The MIS provides an important mechanism to track information on environmental and social safeguard implementation. A review will be conducted to identify opportunities to strengthen environmental and social safeguard elements in the MIS. UNDP MIS is under implementation and will include safeguard reporting , monitoring and KPI indicators. 8.3 Sub-Project Self-Monitoring and Reporting For construction activities, the Responsible Party/site supervisor will be responsible for daily inspections (e.g. environmental inspections, Occupational Health & Safety) of the construction site. The Responsible Parties will be responsible for the day-to-day compliance of the ESMF at the specific project site. The Responsible Parties will maintain and keep all administrative and social and environmental records which would include a log of complaints and incidents together with records of any measures taken to mitigate the cause of the complaints or incidents (see below sections on incident reporting and on complaints). Implementing partners will prepare a monthly report that includes (training, GRM, Accidents , working hours, field visits, and other highlights) and will be submitted to UNDP. A quarterly report that summaries the safeguard highlights will also be prepared by IPs and submitted to UNDP. 8.3.1 Social, environmental and OHS incident reporting Any incidents, including non-conformances to the procedures of the ESMF, are to be recorded using an Incident Record and the details entered into a register. For any incident that causes or has the potential to cause material or significant social and/or environmental harm, the site supervisor/designated officer shall notify the Responsible Party senior management and ESPECRP Project Manager as soon as possible and no later than 24 hours. UNDP will also ensure significant incidents are reported to the World Bank within 48 hours. The Responsible Party must cease work until 44 remediation has been completed as per the approval of Project Manager. All accidents are also kept in the register log at subproject site. 8.3.2 Daily and weekly inspection checklists A daily social and environmental checklist (including OHS issues) is to be completed for active work sites with Substantial risks by the relevant site supervisor/designated officer and maintained within a register. A weekly social and environmental checklist is to be completed and will include reference to any issues identified in the daily checklists completed by the site supervisor or designated person. The completed checklist is to be forwarded to the site engineer for review and follow-up if any issues are identified. Copy of all inspections are kept at the worksite in the register log. 8.3.3 Corrective Actions Any non-conformances to the ESMF are to be noted in weekly social and environmental inspections and logged into the register. Depending on the severity of the non- conformance, the site supervisor/designated officer may specify a corrective action on the weekly site inspection report. The progress of all corrective actions will be tracked using the register. Any non-conformances and the issue of corrective actions are to be advised to Responsible Parties senior management and ESPECRP Project Manager. 8.4 Sub-Project Third-Party Monitoring and Reporting The TPMA is expected to provide an independent perspective and extend the reach of UNDP in the field. The TPMA will monitor activities of the identified responsible parties (SFD SMEPs, and PWP) financed by the project. The TPMA is expected to visit project sites quarterly based on a sampling methodology. Monitoring of environmental and social risks and implementation of management measures will be included in Third Party Monitoring templates and reports. 8.5 Monitoring Plan Table 4. Summary of ESMF Monitoring, Reporting and Evaluation Activities Monitoring Purpose/Action Frequenc Expected Action Indicators and means Roles and Activity y of Verification Responsibilities Annual To ensure Project Board Annually Include reporting on X of annual evaluation ESPECRP Project evaluation is updated on ESMF ESMF report successful Manager (informed implementation, issues, implementation in submitted each year. by TPM reports, and lessons learned. documentation self-reporting of prepared for sub-projects, field Biannual Review visits) Meetings Biannual To ensure Project Board Biannuall Include reporting on X of biannual reports ESPECRP Project reports (for is updated on ESMF y ESMF submitted to review Manager (informed biannual implementation, issues, implementation in meeting by TPM reports, review and lessons learned. documentation self-reporting of meetings) prepared for sub-projects, field Biannual Review visits) Meetings Quarterly Qualitative and Quarterly Apply TPM X of quarterly TPMA and UNDP Monitoring quantitative review of methodology, to monitoring report project team selection of projects, include submitted engaging with local consideration of stakeholders. social, Identification of any environmental and new social and occupational health environmental risks and 45 monitoring of risks and implementation of site- management specific management plans. Field Visits Conduct field visits to Periodic Ensure risks are UNDP Project spot-check sub-projects appropriately Management Team and ensure effective identified and implementation, managed. If new including ESMF risks identified, implementation screening and management plan to be updated. Learning Knowledge, good At least Relevant lessons are UNDP Project practices and lessons annually captured by the Management Team learned regarding social project team and and UNDP and environmental risk used to inform Programme management will be management captured regularly, as decisions. well as actively sourced from other projects and partners and integrated back into the project. Review and Internal review of data At least Performance data, X mitigation measures UNDP Project adapt activities and evidence from all annually risks, lessons and and adaptive activities Management Team and approach monitoring actions to quality will be conducted to inform and UNDP as necessary inform decision making. discussed by the the decision making Programme project board and used to make course corrections. Project As part of progress Annually, Incorporation of No of project progress UNDP Project Progress report to be presented and at progress on risk report submitted and Management Team Reports to the Project Board the end management endorsed with and key stakeholders, of the elements, including analysis, key analysis, updating and project ESMF stakeholders and recommendations for (final recommendations for risk management will report) risk management be included. Site To ensure early Daily and Completion of site X of daily and weekly Responsible Parties Inspections identification and weekly inspections inceptions’ checklists (Site Supervisors) resolution of potential checklists (to include checked to ensure ES SMED unit risks social, and OHS in place can include OHS environmental and when they conduct occupational spot check. hazards and risks) Child labour is not Child To ensure child Daily X of Children Gender specialists/ permitted - All Protection protection and rights permitted to work focal point workers are 18 are at the centre under 18. X of the Years old and above. Technical Resident included in all activities workers who Engineer / Verifying Age by checking IDs and 46 of the subproject cycle. other available permitted to work Community NO documents. above 18. Committee children are pushed by Ensure Labour Log is SMED unit their families to work available, and all can include OHS due to need of money workers are when they conduct registered spot check. SFD, PWP and Gender To ensure equal access Daily X of women and men Gender specialist & SMEPS adopt a non- fairness and and treatment, no and (including people with Gender FP/ focal discrimination policy equality discrimination to all every disability) are points at fields and that ensures non- selected beneficiaries activity members of branches, discriminatory and are provided. No and community Technical Resident inclusive manner, discrimination against action to committee. X of cases Engineer / including women women and persons IPs and received on Community and persons with with disabilities when UNDP discrimination based Committee disabilities when selecting beneficiaries and on gender, disability, selecting Quarterly and age. beneficiaries. As to WB well as inclusion of X male and female women in workers hired per community subproject committees as well, including, three project components UNDP provides Elimination To ensure all project Daily and X training on gender, UNDP and IPs capacity building on and protection staff and workers are at any GBV and SEA.X no of GBV and SEA, in from GBV and aware and well time to cases well reported collaboration with Gender/ SEA informed and IP and and treated on GBV GBV and SEA focal specialists/ focal protected from gender UNDP. and SEA. points and sub- discrimination, GBV and point WGs. Besides the X cases reported SEA risks and have Technical Resident IPs’ leadership and under sub-component rights to report Quarterly technical gender, 3.2. regarding to MFI Engineer / immediately and to WB safeguard, GRM, and MSMEs Community confidentially on GBV Committee/ GRM MFI/MSME staff X of workers trained and SEA. and safeguard work on daily basis and signed COC. A to build capacity and specialist/GBV and Referral system ensure mitigation Gender focal point developed and agreed. the GBV and SEA risks immediately and workers are aware and signed to COC at field level. UNDP and IPs work collaboratively with GBV and SEA focal points to established Referral pathway and SOPs. UNDP provides Capacity To ensure all partners Monthly X of capacity building/ UNDP and IPs technical support to building on having sufficient IPs to training/ workshops/ IPs and accordingly social , capacity and experience UNDP seminars conducted 47 environmental to implement the new and IPs train their field by UNDP. X and OHS new safeguard Quarterly staff regarding new participants per requirements requirements. Several reports requirements of gender disaggregated for ESSs and capacity building on ESMF, ES, OHS, SEP, data ( attendance SESs activities should be capacity Gender and GBV, sheet.) conducted at building LMP and any X of capacity building leadership, technical , updates relevant issues activities at field and field staff, including the branch levels three project conducted by IPs components UNDP and IPs carry Best practices Best practices, Annually X of best practices, UNDP in out assessments and and research/ successful stories, assessment and study collaboration of IPs study and best studies and assessment and studies completed and and TPM practices ( such as assessment will be conducted to published impact of cash ensure and provide assistance, best evidence of safeguard practices, women requirements are in empowerment and place with sufficient economic mitigation to potential development) risks. 9 Budget estimation to implement the ESMF ESMF implementation costs are allocated according to the budget line items in table below. Such costs include costs for monitoring and trainings as well as all other stakeholders' engagement and communication for 2 years. ESMF Implementation Costs (Estimated 2 Years) TOTAL Staffing (UNDP, PWP, SFD) $ 1,101,287.00 Capacity Building (Trainings and workshops): Developing and updating safeguards training materials and manuals, Enhance Occupational Health and Safety (OHS) training, GBV awareness, etc. $ 340,000.00 Field Monitoring and TPM $ 565,000.00 Assessments and preparation of ESMPs $ 669,710.50 TOTAL $ 2,675,997.50 48 10 Annexes  Annex 1:YEMEN ESPECRP Revised SES Screening  Annex2: Specific Risks and Management Measures by Project Activity  Annex 3: Environmental and Social Management Plan - Indicative Outline  Annex 4: Guidance for Submitting a Grievance  Annex 5: OHS Framework and OHS Toolki  Annex 6: YECRP Conflict Sensintivity Framework  Annex7: Stakholder Engagement plan  Annex8: Labour Management Plan  Annex9: Enviromental and socail commitment Plan  Annex 10 :Gender and GBV plan  Annex11:ESPECRP operatinal manual  Annex12: YLG ESMF 49 Annex 1. Yemen ESPECRP Revised SES Screening Final Sign Off Social and Environmental Screening Template (2021 SESP Template, Version 1) The completed template, which constitutes the Social and Environmental Screening Report, must be included as an annex to the Project Document at the design stage. Note: this template will be converted into an online tool. The online version will guide users through the process and will embed relevant guidance. Project Information Project Information 1. Project Title Emergency Social Protection Enhancement and COVID-19 Response Project (ESPECRP) 2. Project Number (i.e. Atlas project ID, PIMS+) 00128217 3. Location (Global/Region/Country) Sana’a, Republic of Yemen 4. Project stage (Design or Implementation) Implementation 5. Date 23/02/2021 50 Part A. Integrating Programming Principles to Strengthen Social and Environmental Sustainability QUESTION 1: How Does the Project Integrate the Programming Principles in Order to Strengthen Social and Environmental Sustainability? Briefly describe in the space below how the project mainstreams the human rights-based approach The project upholds the principles of accountability and the rule of law, participation and inclusion, and equality and non-discrimination based on gender, age, religion, political views or affiliation to parties to the current conflict, social or geographical origin, birth or other status. UNDP will also ensure the meaningful, effective and informed participation of stakeholders in the formulation, implementation, monitoring and evaluation of the SPECRP. The project also establishes a dedicated grievance mechanism and capacity to ensure that the duty-bearers are accountable to the rights-holders for the actions undertaken in the course of the project. Briefly describe in the space below how the project is likely to improve gender equality and women’s empowerment The project recognizes that in the midst of the current crisis in Yemen, women are adversely affected and at the same time asked to take on new and additional roles as heads of households or income-earners. The project will actively target women (at least 30%) to support their income-generation opportunities and contribute to the delivery of community service and livelihood assets through Cash for Work and Cash for Services, and through earmarked funding dedicated to address severe and acute malnutrition for pregnant and lactating women (and children) by providing cash assistance (mothers are the recipients) and facilitating the affected families’ access to nutrition services. The project ensures applying gender disaggregated data, preventing gender-based violence (GBV) and Sexual Exploitation and Abuse (SEA), including elderly and people with disability. Briefly describe in the space below how the project mainstreams sustainability and resilience The Project’s Theory of Change assumes that if income -generation and livelihoods opportunities are increased for vulnerable households (including IDPs), with essential service delivery restored and key local businesses revived, Yemeni households and communities will be able to better cope with the impact of the current crisis and be strong drivers of the sustainability, resilience-building and recovery efforts. SPECRP contributes to the preservation and sustainability of its implementation capacity of much needed service delivery programmes. The nationwide coverage of RPs will enable scale-up and its wide network of non-state partners like CBOs, NGOs and private sector (e.g. contractors and small and micro enterprises) will also extend the outreach. At the community level, the project is expected to pave a way to a more inclusive future in Yemen by actively seeking to build social cohesion, empower communities and foster a role for non-state actors. Briefly describe in the space below how the project strengthens accountability to stakeholders Developing the local partners’ GRM systems strengthens accountability, operations oversight, citizen engagement, and learning . In addition to continuing these methods, UNDP will enhance the GRM system by operating a TPM call centre facility for outbound calls to project beneficiaries and targeted communities for verification. Weekly, monthly, and quarterly reports including a summary of opened/processed complaints focusing on the performance of the GRM will be generated automatically by the system. UNDP and RPs will involve the project stakeholders and affected people through applying effective stakeholder engagement and full participation in all project’s phases Besides, RPs have got in place social and environmental sustainability standards to help mitigate potentially high adverse environmental and social impacts in the selection, prioritization and implementation of subprojects at community level, which UNDP will also closely monitor any negative environmental and social impact and ensure compliance with the safeguards through Third Party Monitoring. 51 Part B. Identifying and Managing Social and Environmental Risks QUESTION 2: What are the Potential QUESTION 3: What is the level of significance of the QUESTION 6: Describe the assessment and management Social and Environmental Risks? potential social and environmental risks? measures for each risk rated Moderate, Substantial or High Note: Complete SESP Attachment 1 Note: Respond to Questions 4 and 5below before before responding to Question 2. proceeding to Question 5 Risk Description Impact Significance Comments (optional) Description of assessment and management measures for and risks rated as Moderate, Substantial or High (broken down by event, cause, impact) (Low, Likelihood Moderate (1-5) Substantial, High) I=3 Substantial Potential minor These risks are mitigated, however, by the 20-years of environmental impacts may experience of SFD and PWP in managing project impacts L= 3 include insufficient safety successfully according to their Operational Manual Elements of Project construction, standards used (endorsed/approved by UNDP BMS) that lay out clear operation, or decommissioning pose in construction/ criteria for small-scale infrastructure rehabilitation to potential safety risks to direct rehabilitation of small-scale identify, eliminate and address potential safety risks and beneficiaries and/or local communities infrastructure; dust and UNDP field monitoring including TPM. noise during construction/ rehabilitation; and/or insufficient removal of construction waste after project completion. I=4 High This is anticipated as the Implementing partners will adopt and implement There is a significant risk for fatal project will provide occupational, health and safety (OHS) measures as L= 4 incidents or serious injuries to occur temporary work described in the ESMF and ESMPs. Implementing under the project, particularly under the opportunities to a large partners will develop and implement, either as sub- labor-intensive community subprojects number of local community section of the LMP or a standalone document (and prior of Component 2. members who are unskilled, to the commencements of any construction work), a site- largely illiterate, and with specific OHS management plan and will perform safety little or no knowledge or audits and site visits to be carried out monthly. OHS 52 experience in applying OHS requirements will be incorporated in all contracts as part measures. of the bidding/contractual agreements. Implementing partners will also:  Ensure that an appropriate level of management and resources are in place to comply with the OHS requirements, including the free distribution of personal protective equipment (PPE) and first aid kits;  Prepare risk identification matrices;  Prepare emergency plans and analyze all incidents and accidents; I=2 Moderate The project aims to support These will be mitigated by the 20-years of experience of the PWP in managing project impacts successfully according L= 2 rehabilitation/reconstructio to their Operational Manual (endorsed/approved by Failure of structural elements of the n of community UNDP BMS) that lay out clear criteria for small-scale Project poses risks to communities (e.g. infrastructure (i.e. damaged infrastructure rehabilitation to identify, eliminate and collapse of buildings or infrastructure) classrooms, small-scale address potential safety risks and UNDP field monitoring infrastructure for flood including TPM. prevention etc.). 1. A GBV assessment will be undertaken for the project I=3 Substantial The project will ensure that prior to implementation to have a sense of potential Sexual gender sensitive Exploitation and Abuse (SEA)/SH. The assessment will be L= 3 interventions are conducted to cover activities under components 1 and 2 mainstreamed across all since there will be interaction between male workers with Reproducing discriminations against project components female beneficiaries and laborers provided by contractors. women based on gender, especially creating pathways for The project will prepare a Gender Action Plan. regarding participation in design and employment and implementation or access to participation in society and opportunities and benefits. playing a key role in building resilience to shocks, improving livelihoods and mitigating social constraints. 53 I=3 Moderate The conflict context may Measures to be undertaken include a clear definition of produce social tensions targeting and selection criteria based on data provided L= 3 during project by the UN Clusters; participatory preparation and implementation, concerning implementation of subprojects by communities and prioritization of subprojects, relevant stakeholders; frequent communication with locations, and selection of communities and local stakeholders; grievance redress/ participants. stakeholder response mechanism procedures to ensure timely handling of grievance redress; and public There is a risk that the Project would disclosure of the reasons for the rejection of exacerbate conflicts among and/or the subprojects, if any, to increase transparency. In addition, risk of violence to project-affected the project will have a communication strategy which communities and individuals will include consultations with government counterparts, citizen engagement and public outreach. The project is implemented by SFD and PWP which are operating relatively independently from the government. I=1 Low A chance finds procedure Chance finds procedures will be included in ESMPs and There is a risk that the project would will be included in all any contractual documents prior to the implementation L= 1 involve or lead to activities adjacent to contracts of any relevant sub-project activity. or within a Cultural Heritage site. relating to construction of the project. I=1 Moderate The project will target Some of the fishermen will be equipped with fish artisanal fishermen using finders, to help expedite the search of the fish and thus L= 1 small boats with one off- economize the use of fuel. As the targeted fishermen board petrol engine, i.e. not will be operating on small boats using traditional The Project involves significant used in deep waters and will methods of fishing, there is low risk that the use of the extraction, diversion or containment of not risk overfishing. The fish finders will lead to over catching the fish. The surface or ground water project will carefully project will also work with fishing associations monitor the activities of the responsible for ensuring that fishing protocols are in fishermen during its place and adhered to, to protect fish stocks and regulate implementation seasonal controls on fishing. The project will be implemented in line with the Biodiversity Conservation 54 and Sustainable NRM of the SES which includes fishing management. The concept of sustainable and responsible fishing will be promoted through this partnership. Through its direct support to small scale fishermen, the project will improve community livelihoods and training on quality and resource sustainability to include the reduction of wastage I=1 Moderate The project rehabilitates The project aims to rehabilitate or construct a total of existing water supply 77,000 m3 of water supply (including water catchments, L= 1 infrastructure at a small- reservoirs and maintenance of clean water supply etc.), The Project involves significant scale and will not create which are relatively small-scale. Overall the associated extraction, diversion or containment of new extraction points or risks are low. surface or ground water, risks of water- new infrastructure for borne or other vector-borne diseases Subprojects will be screened against environmental and containment or diversion of (e.g. temporary breeding habitats), social criteria that will be included in the ESMF, and water communicable and noncommunicable subsequent site-specific environmental assessment diseases, nutritional disorders, mental instruments will be prepared -if needed- during the health. implementation phase and before the commencement of any physical activities. QUESTION 4: What is the overall project risk categorization? Low Risk ☐ Moderate Risk ☐ Substantial Risk ☐ High Risk  Although the majority of risks are low and moderate in terms of significance, the overall risk for the project has been identified as High due to some fatalities that happened previously under other projects in yemen and in order to enforce stronger compliance to safeguard measures. These will be carefully monitored through 55 regular updates and consultations with the responsible parties (SFD , SMEPs, and PWP) and key stakeholders. QUESTION 5: Based on the identified risks and risk categorization, what requirements of the SES are triggered? (check all that apply) Question only required for Moderate, Substantial and High Risk projects Status? Is assessment required? (check if “yes”) ☐ (completed, planned) if yes, indicate overall type and status ☐ Targeted assessment(s)  ESIA (Environmental and Social Impact Assessment) ☐ SESA (Strategic Environmental and Social Assessment) Are management plans required? (check if “yes)  If yes, indicate overall type  Targeted management plans (e.g. Gender Action Plan, Stakeholder Engagement Plan (SEP) and Labour Management Procedures (LMP) Management Plan, others)  ESMP (Environmental and Social Management Plan which may include range of targeted plans)  ESMF (Environmental and Social Management Framework) Based on identified risks, which Principles/Project- Comments (not required) level Standards triggered? 56 Overarching Principle: Leave No One Behind Human Rights  Gender Equality and Women’s Empowerment  Accountability  1. Biodiversity Conservation and Sustainable Natural  Resource Management 2. Climate Change and Disaster Risks  3. Community Health, Safety and Security  4. Cultural Heritage  5. Displacement and Resettlement ☐ 6. Indigenous Peoples ☐ 7. Labour and Working Conditions  8. Pollution Prevention and Resource Efficiency  Final Sign Off Final Screening at the design-stage is not complete until the following signatures are included Signature Date Description QA Assessor UNDP staff member responsible for the project, typically a UNDP Programme Officer. Final signature confirms they have “checked” to ensure that the SESP is adequately conducted. 57 QA Approver UNDP senior manager, typically the UNDP Deputy Country Director (DCD), Country Director (CD), Deputy Resident Representative (DRR), or Resident Representative (RR). The QA Approver cannot also be the QA Assessor. Final signature confirms they have “cleared” the SESP prior to submittal to the PAC. PAC Chair UNDP chair of the PAC. In some cases PAC Chair may also be the QA Approver. Final signature confirms that the SESP was considered as part of the project appraisal and considered in recommendations of the PAC. 58 SESP Attachment 1. ESPECRP overall Social and Environmental Risk Screening Checklist Checklist Potential Social and Environmental Risks INSTRUCTIONS: The risk screening checklist will assist in answering Questions 2-6 of the Screening Template. Answers to the checklist questions help to (1) identify potential risks, (2) determine the overall risk categorization of the project, and (3) determine required level of assessment and management measures. Refer to the SES toolkit for further guidance on addressing screening questions. Overarching Principle: Leave No One Behind Answer (Yes/No) Human Rights P.1 Have local communities or individuals raised human rights concerns regarding the project (e.g. NO during the stakeholder engagement process, grievance processes, public statements)? P.2 Is there a risk that duty-bearers (e.g. government agencies) do not have the capacity to meet NO their obligations in the project? P.3 Is there a risk that rights-holders (e.g. project-affected persons) do not have the capacity to claim NO their rights? Would the project potentially involve or lead to: P.4 adverse impacts on enjoyment of the human rights (civil, political, economic, social or cultural) of NO the affected population and particularly of marginalized groups? P.5 inequitable or discriminatory impacts on affected populations, particularly people living in poverty or Yes marginalized or excluded individuals or groups, including persons with disabilities? 8 P.6 restrictions in availability, quality of and/or access to resources or basic services, in particular to NO marginalized individuals or groups, including persons with disabilities? P.7 exacerbation of conflicts among and/or the risk of violence to project-affected communities and NO individuals? Gender Equality and Women’s Empowerment P.8 Have women’s groups/leaders raised gender equality concerns regarding the project, (e.g. during NO the stakeholder engagement process, grievance processes, public statements)? Would the project potentially involve or lead to: P.9 adverse impacts on gender equality and/or the situation of women and girls? NO P.10 reproducing discriminations against women based on gender, especially regarding participation NO in design and implementation or access to opportunities and benefits? 8 Prohibited grounds of discrimination include race, ethnicity, sex, age, language, disability, sexual orientation, gender identity, religion, political or other opinion, national or social or geographical origin, property, birth or other status including as an indigenous person or as a member of a minority. References to “women and men” or similar is understood to include women and men, boys and girls, and other groups discriminated against based on their gender identities, such as transgender and transsexual people. 59 P.11 limitations on women’s ability to use, develop and protect natural resources, taking into account NO different roles and positions of women and men in accessing environmental goods and services? For example, activities that could lead to natural resources degradation or depletion in communities who depend on these resources for their livelihoods and well being P.12 exacerbation of risks of gender-based violence? NO For example, through the influx of workers to a community, changes in community and household power dynamics, increased exposure to unsafe public places and/or transport, etc . Sustainability and Resilience: Screening questions regarding risks associated with sustainability and resilience are encompassed by the Standard-specific questions below Accountability: Screening questions focus on ensure transparency, stakeholder engagement during the project cycles, participatory implementation, monitoring and reporting. Would the project potentially involve or lead to: P.13 exclusion of any potentially affected stakeholders, in particular marginalized groups and NO excluded individuals (including persons with disabilities), from fully participating in decisions that may affect them? P.14 grievances or objections from potentially affected stakeholders? NO P.15 risks of retaliation or reprisals against stakeholders who express concerns or grievances, or who NO seek to participate in or to obtain information on the project? Project-Level Standards Standard 1: Biodiversity Conservation and Sustainable Natural Resource Management Would the project potentially involve or lead to: 1.1 adverse impacts to habitats (e.g. modified, natural, and critical habitats) and/or ecosystems and NO ecosystem services? For example, through habitat loss, conversion or degradation, fragmentation, hydrological changes 1.2 activities within or adjacent to critical habitats and/or environmentally sensitive areas, including NO (but not limited to) legally protected areas (e.g. nature reserve, national park), areas proposed for protection, or recognized as such by authoritative sources and/or indigenous peoples or local communities? 1.3 changes to the use of lands and resources that may have adverse impacts on habitats, NO ecosystems, and/or livelihoods? (Note: if restrictions and/or limitations of access to lands would apply, refer to Standard 5) 1.4 risks to endangered species (e.g. reduction, encroachment on habitat)? NO 1.5 exacerbation of illegal wildlife trade? NO 1.6 introduction of invasive alien species? NO 1.7 adverse impacts on soils? NO 1.8 harvesting of natural forests, plantation development, or reforestation? NO 60 1.9 significant agricultural production? NO 1.10 animal husbandry or harvesting of fish populations or other aquatic species? Yes 1.11 significant extraction, diversion or containment of surface or ground water? NO For example, construction of dams, reservoirs, river basin developments, groundwater extraction 1.12 handling or utilization of genetically modified organisms/living modified organisms?9 NO 1.13 utilization of genetic resources? (e.g. collection and/or harvesting, commercial development) 10 NO 1.14 adverse transboundary or global environmental concerns? NO Standard 2: Climate Change and Disaster Risks Would the project potentially involve or lead to: 2.1 areas subject to hazards such as earthquakes, floods, landslides, severe winds, storm surges, NO tsunami or volcanic eruptions? 2.2 outputs and outcomes sensitive or vulnerable to potential impacts of climate change or disasters? NO For example, through increased precipitation, drought, temperature, salinity, extreme events, earthquakes 2.3 increases in vulnerability to climate change impacts or disaster risks now or in the future (also known NO as maladaptive or negative coping practices)? For example, changes to land use planning may encourage further development of floodplains, potentially increasing the population’s vulnerability to climate change, specifically flooding 2.4 increases of greenhouse gas emissions, black carbon emissions or other drivers of climate change? yes Standard 3: Community Health, Safety and Security Would the project potentially involve or lead to: 3.1 construction and/or infrastructure development (e.g. roads, buildings, dams)? (Note: the GEF NO does not finance projects that would involve the construction or rehabilitation of large or complex dams) 3.2 air pollution, noise, vibration, traffic, injuries, physical hazards, poor surface water quality due to Yes runoff, erosion, sanitation? 3.3 harm or losses due to failure of structural elements of the project (e.g. collapse of buildings or NO infrastructure)? 3.4 risks of water-borne or other vector-borne diseases (e.g. temporary breeding habitats), NO communicable and noncommunicable diseases, nutritional disorders, mental health? 3.5 transport, storage, and use and/or disposal of hazardous or dangerous materials (e.g. explosives, yes fuel and other chemicals during construction and operation)? 9 See the Convention on Biological Diversity and its Cartagena Protocol on Biosafety. 10 See the Convention on Biological Diversity and its Nagoya Protocol on access and benefit sharing from use of genetic resources. 61 3.6 adverse impacts on ecosystems and ecosystem services relevant to communities’ health (e.g. NO food, surface water purification, natural buffers from flooding)? 3.7 influx of project workers to project areas? NO 3.8 engagement of security personnel to protect facilities and property or to support project activities? Yes Standard 4: Cultural Heritage Would the project potentially involve or lead to: 4.1 activities adjacent to or within a Cultural Heritage site? NO 4.2 significant excavations, demolitions, movement of earth, flooding or other environmental changes? NO 4.3 adverse impacts to sites, structures, or objects with historical, cultural, artistic, traditional or NO religious values or intangible forms of culture (e.g. knowledge, innovations, practices)? (Note: projects intended to protect and conserve Cultural Heritage may also have inadvertent adverse impacts) 4.4 alterations to landscapes and natural features with cultural significance? NO 4.5 utilization of tangible and/or intangible forms (e.g. practices, traditional knowledge) of Cultural NO Heritage for commercial or other purposes? Standard 5: Displacement and Resettlement Would the project potentially involve or lead to: 5.1 temporary or permanent and full or partial physical displacement (including people without legally NO recognizable claims to land)? 5.2 economic displacement (e.g. loss of assets or access to resources due to land acquisition or NO access restrictions – even in the absence of physical relocation)? 5.3 risk of forced evictions?11 NO 5.4 impacts on or changes to land tenure arrangements and/or community based property NO rights/customary rights to land, territories and/or resources? Standard 6: Indigenous Peoples Would the project potentially involve or lead to: 6.1 areas where indigenous peoples are present (including project area of influence)? NO 6.2 activities located on lands and territories claimed by indigenous peoples? NO 11Forced eviction is defined here as the permanent or temporary removal against their will of individuals, families or communities from the homes and/or land which they occupy, without the provision of, and access to, appropriate forms of legal or other protection. Forced evictions constitute gross violations of a range of internationally recognized human rights. 62 6.3 impacts (positive or negative) to the human rights, lands, natural resources, territories, and NO traditional livelihoods of indigenous peoples (regardless of whether indigenous peoples possess the legal titles to such areas, whether the project is located within or outside of the lands and territories inhabited by the affected peoples, or whether the indigenous peoples are recognized as indigenous peoples by the country in question)? If the answer to screening question 6.3 is “yes”, then the potential risk i mpacts are considered significant and the project would be categorized as either Substantial Risk or High Risk 6.4 the absence of culturally appropriate consultations carried out with the objective of achieving NO FPIC on matters that may affect the rights and interests, lands, resources, territories and traditional livelihoods of the indigenous peoples concerned? 6.5 the utilization and/or commercial development of natural resources on lands and territories NO claimed by indigenous peoples? 6.6 forced eviction or the whole or partial physical or economic displacement of indigenous peoples, NO including through access restrictions to lands, territories, and resources? Consider, and where appropriate ensure, consistency with the answers under Standard 5 above 6.7 adverse impacts on the development priorities of indigenous peoples as defined by them? NO 6.8 risks to the physical and cultural survival of indigenous peoples? NO 6.9 impacts on the Cultural Heritage of indigenous peoples, including through the commercialization or NO use of their traditional knowledge and practices? Consider, and where appropriate ensure, consistency with the answers under Standard 4 above. Standard 7: Labour and Working Conditions Would the project potentially involve or lead to: (note: applies to project and contractor workers) 7.1 working conditions that do not meet national labour laws and international commitments? NO 7.2 working conditions that may deny freedom of association and collective bargaining? NO 7.3 use of child labour? NO 7.4 use of forced labour? NO 7.5 discriminatory working conditions and/or lack of equal opportunity? NO 7.6 occupational health and safety risks due to physical, chemical, biological and psychosocial NO hazards (including violence and harassment) throughout the project life-cycle? Standard 8: Pollution Prevention and Resource Efficiency Would the project potentially involve or lead to: 8.1 the release of pollutants to the environment due to routine or non-routine circumstances with NO the potential for adverse local, regional, and/or transboundary impacts? 8.2 the generation of waste (both hazardous and non-hazardous)? Yes 63 8.3 the manufacture, trade, release, and/or use of hazardous materials and/or chemicals? NO 8.4 the use of chemicals or materials subject to international bans or phase-outs? NO For example, DDT, PCBs and other chemicals listed in international conventions such as the Montreal Protocol, Minamata Convention, Basel Convention, Rotterdam Convention, Stockholm Convention 8.5 the application of pesticides that may have a negative effect on the environment or human health? NO 8.6 significant consumption of raw materials, energy, and/or water? Yes Attachement 2. SFD Environmental and social screening checklist The Natural Environment YES NO Are there any environmentally sensitive areas or threatened species that could be adversely ☐ ☐ affected by the subproject (specify below)? Intact natural forests ☐ ☐ Riverine forest ☐ ☐ Wetlands (lakes/rivers/seasonally inundated areas) ☐ ☐ If yes, how far are the nearest wetlands (lakes, rivers, seasonally inundated [flooded] areas)? ___________km Habitats of endangered species for which protection is required under Yemeni laws and/or ☐ ☐ international agreements Others (describe)(e.g. cultural sites, burial places, etc.) ☐ ☐ Fauna and Flora YES NO Will subproject involve the disturbance or modification of existing drainage channels (rivers, canals) ☐ ☐ or surface water bodies (wetlands, marshes)? Will the subproject lead to the destruction or damage of terrestrial or aquatic ecosystems or ☐ ☐ endangered species directly or by induced development? Will the subproject lead to the disruption/destruction of wildlife through interruption of migratory ☐ ☐ routes, disturbance of wildlife habitats, and noise-related problems? Livestock/Poultry YES NO 64 Will this project involve restocking of livestock/poultry? ☐ ☐ Destruction/Disruption of Land and Vegetation YES NO Will the subproject lead to unplanned use of the infrastructure being developed? ☐ ☐ Will the subproject lead to long-term or semi-permanent destruction of soils in cleared areas not ☐ ☐ suited for agriculture? Will the subproject lead to the interruption of subsoil and overland drainage patterns (in areas of ☐ ☐ cuts and fills)? Will the subproject lead to landslides, slumps, slips and other mass movements in road cuts? ☐ ☐ Will the subproject lead to erosion of lands below the roadbed receiving concentrated outflow ☐ ☐ carried by covered or open drains? Will the subproject lead to health hazards and interference of plant growth adjacent to roads by ☐ ☐ dust raised and blown by vehicles? Protected areas YES NO Does subproject occur within/adjacent to any protected areas designated by government (national ☐ ☐ park, national reserve, world heritage site, etc.) If subproject is outside of, but close to, any protected area, is it likely to adversely affect the ecology ☐ ☐ within the protected area (e.g. interference with migration routes of mammals or birds) Would this project increase the current impact on the surrounding environment for example by ☐ ☐ using more water, chemicals or machinery than previously? If yes HOW Geology and Soils YES NO Based upon visual inspection or available literature, are there areas of possible geologic or soil ☐ ☐ instability (erosion prone, landslide prone, subsidence-prone)? Based upon visual inspection or available literature, are there areas that have risks of large-scale ☐ ☐ increase in soil salinity? Landscape/aesthetics YES NO 65 Is there a possibility that subproject will adversely affect the aesthetic attractiveness of the local ☐ ☐ landscape? Historical, archaeological or cultural heritage site YES NO Based on available sources, consultation with local authorities, local knowledge and/or ☐ ☐ observations, could the subproject alter any historical, archaeological or cultural heritage site or require excavation nearby? Resettlement and/or Land Acquisition YES NO Will the subproject require land acquisition? ☐ ☐ If So, is the land privately owned? ☐ ☐ If So, is the land size required exceed 20% of the owner land? ☐ ☐ Is the land is free from encroachers/squatters ☐ ☐ If so, will this land acquisition be involuntary? ☐ ☐ If so, will this involuntary land acquisition lead to relocation or loss of shelter, loss of assets, or ☐ ☐ access to assets? - If so, will this involuntary land acquisition lead to loss of income sources or means of livelihood ☐ ☐ (whether or not affected persons must move to another location)? Will subproject lead to involuntary restriction of access to legally designated parks and protected ☐ ☐ areas resulting in adverse impacts on livelihoods of displaced persons? Tenure YES NO Will this project permanently or temporarily remove people from their homes or means of ☐ ☐ production/livelihood or restrict their access to their means of livelihood? Will the project bring about consolidation or adjustment of tenure rights? ☐ ☐ Loss of Household Infrastructure YES NO Will subproject result in permanent or temporary loss of household infrastructure (such as ☐ ☐ granaries, outside toilets and kitchens, etc.)? 66 Noise pollution during Construction and Operations YES NO Will operating noise level exceed allowable/ambient noise limits? ☐ ☐ Solid or Liquid Wastes, including Medical Waste YES NO Will subproject generate large amounts of residual wastes (solid or liquid wastes), including medical ☐ ☐ waste? If “Yes”, does subproject include plan for collection & disposal? ☐ ☐ Pesticides, Insecticides, Herbicides or any other Poisonous or Hazardous Chemicals YES NO Will the subproject require the use of such chemicals? ☐ ☐ If, “Yes”, does subproject include plan for safe handling, use & disposal? ☐ ☐ Plant Genetic Resources for Food and Agriculture YES NO Will this project introduce crops and varieties previously not grown? ☐ ☐ Will this project provide seeds/planting material for cultivation? ☐ ☐ Will this project involve the importing or transfer of seeds and or planting material for cultivation ☐ ☐ or research and development? Will this project supply or use modern biotechnologies or their products in crop production? ☐ ☐ Animal Genetic Resources for Food and Agriculture YES NO Will this project introduce non-native or non-locally adapted species, breeds, genotypes or other ☐ ☐ genetic material to an area or production system, or modify in any way the surrounding habitat or production system used by existing genetic resources? Water and Soil Contamination YES NO Will subproject require large amounts of raw materials/construction materials? ☐ ☐ Will subproject generate large amounts of residual wastes, construction material waste or cause ☐ ☐ soil erosion? 67 Will subproject result in soil or water contamination (e.g. from oil, grease and fuel from ☐ ☐ equipment)? Will subproject lead to contamination of ground and surface water bodies by herbicides for ☐ ☐ vegetation control and chemicals for dust control? Will subproject lead to increase in suspended sediments in streams affected by road cut erosion, ☐ ☐ decline in water quality & increased sedimentation downstream? Will subproject lead to the destruction of vegetation and soil in the right-of-way; borrow pits, waste ☐ ☐ dumps, and equipment yards? Will subproject lead to the creation of stagnant water bodies in borrow pits, quarries, etc., ☐ ☐ encouraging for mosquito breeding and other disease vectors? Will this project include the development of a large irrigation scheme? ☐ ☐ Will this project aim at improving an irrigation scheme (without expansion)? ☐ ☐ - Will this project change the water quality and quantity in the project area or areas connected to ☐ ☐ it Will this project involve the intensification of production systems that leads to land- use changes ☐ ☐ (e.g. deforestation), higher nutrient inputs leading to soil or water pollution, changes of water regimes (drainage, irrigation)? Decent Work YES NO Will this project affect the current or future employment situation of the rural poor, and in ☐ ☐ particular the labour productivity, employability, labour conditions and rights at work of self- employed rural producers and other rural workers? Safety YES NO Will the project cause any labor influx If yes, will the labor influx affect project areas negatively in terms of public infrastructure, utilities, housing, sustainable resource management and social dynamics Will the project impact the safety of site workers? ☐ ☐ Will the project impact community’s health and/or safety? ☐ ☐ Child Labor YES NO 68 Will children be hired to work in the project? ☐ ☐ will age verification process will be in place to ensure minimum age of worker is 18 years old? ☐ ☐ Gender YES NO Could this project risk overlook existing gender inequalities in access to productive resources, ☐ ☐ goods, services, markets, decent employment and decision-making? For example, by not addressing existing discrimination against women and girls, or by not taking into account the different needs of men and women Attachment 3. PWP Environmental and Social Checklist Answer 1: The Natural Environment (Yes/No) 1.1 Are there any environmentally sensitive areas or threatened species that could be adversely affected by the subproject (specify below)? Intact natural forests Riverine forest Wetlands (lakes/rivers/seasonally inundated areas) If yes, how far are the nearest wetlands (lakes, rivers, seasonally inundated [flooded] areas)? ___________km Habitats of endangered species for which protection is required under Yemeni laws and/or international agreements Others (describe)(e.g. cultural sites, burial places, etc.) 2.Fauna and Flora 2.1 Will subproject involves the disturbance or modification of existing drainage channels (rivers, canals) or surface water bodies (wetlands, marshes)? 2.2 Will the subproject lead to the destruction or damage of terrestrial or aquatic ecosystems or endangered species directly or by induced development? 2.3 Will the subproject lead to the disruption/destruction of wildlife through interruption of migratory routes, disturbance of wildlife habitats, and noise-related problems? 3.Destruction/Disruption of Land and Vegetation 3.1 Will the subproject lead to unplanned use of the infrastructure being developed? 69 3.2 Will the subproject lead to long-term or semi-permanent destruction of soils in cleared areas not suited for agriculture? 3.3 Will the subproject lead to the interruption of subsoil and overland drainage patterns (in areas of cuts and fills)? 3.4 Will the subproject lead to landslides, slumps, slips and other mass movements in soil? 3.5 Will the subproject lead to erosion of lands? 3.6 Will the subproject lead to health hazards and interference of plant growth by the dust raised and blown by vehicles? 4. Protected areas 4.1 Does subproject occur within/adjacent to any protected areas designated by the government (national park, national reserve, world heritage site, etc.) 4.2 If subproject is outside of, but close to, any protected area, is it likely to adversely affect the ecology within the protected area (e.g. interference with migration routes of mammals or birds) 4.3 Would this project increase the current impact on the surrounding environment for example by using more water, chemicals or machinery than previously? If yes HOW 5. Geology and Soils 5.1 Based on visual inspection or available literature, are there areas of possible geologic or soil instability (erosion-prone, landslide-prone, subsidence-prone)? 5.2 Based upon visual inspection or available literature, are there areas that have risks of a large- scale increase in soil salinity? 6 Landscape/aesthetics 6.1 Is there a possibility that the subproject will adversely affect the aesthetic attractiveness of the local landscape? 7. Historical, archaeological or cultural heritage site 7.1. Based on available sources, consultation with local authorities, local knowledge and/or observations, could the subproject alter any historical, archaeological or cultural heritage site or require excavation nearby? 8. Resettlement and/or Land Acquisition 8.1 Will the subproject require land acquisition? 70 8.2 If So, is the land privately owned? 8.3 If So, is the land size required exceed 20% of the owner land? 8.4 Is the land is free from encroachers/squatters 8.5 If so, will this land acquisition be involuntary? 8.6 If so, will this involuntary land acquisition lead to relocation or loss of shelter, loss of assets, or access to assets? 8.7 If so, will this involuntary land acquisition lead to loss of income sources or means of livelihood (whether or not affected persons must move to another location)? 8.8 Will subproject lead to involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of displaced persons? 9. Noise pollution during Construction and Operations 9.1 Will operating noise level exceeds allowable/ambient noise limits? 10. Solid or Liquid Wastes, including Medical Waste 10.1 Will subproject generate large amounts of residual wastes (solid or liquid wastes), including medical waste? 10.2 If “Yes”, does subproject include plan for collection & disposal? 11. Pesticides, Insecticides, Herbicides or any other Poisonous or Hazardous Chemicals 11.1 Will the subproject require the use of such chemicals? 11.2 If, “Yes”, does subproject include plan for safe handling, use & disposal? 12. Water and Soil Contamination 12.1 Will the subproject require large amounts of raw materials/construction materials? 12.2 Will subproject generate large amounts of residual wastes, construction material waste or cause soil erosion? 12.3 Will subproject result in soil or water contamination (e.g. from oil, grease, and fuel from equipment)? 12.4 Will subproject lead to contamination of ground and surface water bodies by herbicides for vegetation control and chemicals for dust control? 71 12.5 Will subproject lead to an increase in suspended sediments in streams affected by a road cut erosion, a decline in water quality & increased sedimentation downstream? 12.6 Will subproject lead to the destruction of vegetation and soil in the right-of-way; borrow pits, waste dumps, and equipment yards? 12.7 Will subproject lead to the creation of stagnant water bodies in borrow pits, quarries, etc., encouraging for mosquito breeding and other disease vectors? 12.8 Will this project include the development of a large irrigation scheme? 12.9 Will this project aims at improving an irrigation scheme (without expansion)? 12.10 Will this project change the water quality and quantity in the project area or areas connected to it 12.11 Will this project involve the intensification of production systems that leads to land-use changes (e.g. deforestation), higher nutrient inputs leading to soil or water pollution, changes of water regimes (drainage, irrigation)? 13. Decent Work 13.1 Will this project affect the current or future employment situation of the rural poor and in particular the labor productivity, employability, labor conditions, and rights at work of self- employed rural producers and other rural workers? 13.2 Will the project cause any labor influx? 13. 3 If yes, will the labor influx affect project areas negatively in terms of public infrastructure, utilities, housing, sustainable resource management and social dynamics 14. Child Labor 14.1 Will children be hired to work in the project? 14.2 will age verification process will be in place to ensure minimum age of worker is 18 years old? 15. Gender 15.1 Could this project risk overlook existing gender inequalities in access to productive resources, goods, services, markets, decent employment, and decision-making? 72 For example, by not addressing existing discrimination against women and girls, or by not taking into account the different needs of men and women 16. Community Health, Safety, and Working Conditions 16.1 Are indigenous peoples present in the Project area (including Project area of influence)? 16.2 Is it likely that the Project or portions of the Project will be located on lands and territories claimed by indigenous peoples? 16.3 Would the proposed Project potentially affect the human rights, lands, natural resources, territories, and traditional livelihoods of indigenous peoples? 16.4 Would the Project adversely affect the development priorities of indigenous peoples as defined by them? 16.5 Will this project permanently or temporarily removes people from their homes or means of production/livelihood or restrict their access to their means of livelihood? 16.6 Will the project bring about consolidation or adjustment of tenure rights? 16.7 Would elements of Project construction, operation, or decommissioning pose potential safety risks to local communities? 16.8 Would the Project pose potential risks to community health and safety due to transport, storage, construction? 16.9 Would the Project pose potential risks to community health and safety due to the use and/or disposal of hazardous or dangerous materials (e.g. explosives, fuel, and other chemicals during construction and operation)? 16.10 Would failure of structural elements of the Project pose risks to communities? (e.g. collapse of buildings or infrastructure)? 16.11 Would the Project result in potential increased health risks (e.g. from water-borne or other vector-borne diseases)? 16.12 Does the Project pose potential risks and vulnerabilities related to occupational health and safety due to physical, chemical, biological, and radiological hazards during Project construction, operation, or decommissioning? 16.13 Will the Project activities cause any risks for workers during the construction? 73 Attachment 4. SMEPS Environmental and Social Checklist Impact Y N A. Zoning and Land Use Planning 1. Will the subproject affect land use zoning and planning or conflict with prevalent land use patterns? 2. Will the subproject involve significant land disturbance or site clearance? 3. Will the subproject land be subject to potential encroachment by urban or industrial use or located in an area intended for urban or industrial development? B. Utilities and Facilities 4. Will the subproject require the setting up of ancillary production facilities? 5. Will the subproject require significant levels of accommodation or service amenities to support the workforce during (e.g., Farmers will need more than 20 workers)? C Water and Soil Contamination 6. Will the subproject require large amounts of raw materials or materials? 7. Will the subproject generate large amounts of residual wastes, material waste or cause soil erosion? 8. Will the subproject result in potential soil or water contamination (e.g., from oil, grease and fuel from equipment yards)? or lead to contamination of ground and surface waters by herbicides for Horticulture control and chemicals (e.g., calcium chloride) for dust control? or involve the use of chemicals or solvents? 9. Will the subproject lead to an increase in suspended sediments in streams affected by road cut erosion, decline in water quality and increased sedimentation downstream? 10. Will the subproject lead to the destruction of Horticulture and soil in the right-of-way, borrow pits, waste dumps, and equipment yards? 11. Will the subproject lead to the creation of stagnant water bodies in borrow pits, quarries, etc., encouraging for mosquito breeding and other disease vectors? D. Noise and Air Pollution Hazardous Substances 12. Will the subproject increase the levels of harmful air emissions? and ambient noise levels? 13. Will the subproject involve the storage, handling or transport of hazardous substances? E. Destruction/Disruption of Land and Horticulture 14. Will the subproject lead to unplanned use of the infrastructure being developed? 74 15. Will the subproject lead to long-term or semi-permanent destruction of soils in cleared areas not suited for agriculture? 16. Will the subproject lead to the interruption of subsoil and overland drainage patterns (in areas of cuts and fills)? 17. Will the subproject lead to landslides, slumps, slips and other mass movements in road cuts? 18. Will the subproject lead to erosion of lands below the roadbed receiving concentrated outflow carried by covered or open drains? 19. Will the subproject lead to long-term or semi-permanent destruction of soils in cleared areas not suited for agriculture? 20. Will the subproject lead to health hazards and interference of plant growth adjacent to roads by dust raised and blown by vehicles? F. Expropriation and Social Disturbance 21. Will the subproject impact internally displaced persons (IDP) negatively? 22. Will the subproject lead to induced settlements by workers and others causing social and economic disruption? 23. Will the subproject lead to environmental and social disturbance by camps? 24. Will the subproject cause economic displacement? 25. Will the subproject temporarily displace squatters, economically or physically, or other informal groups? 26. Will the subproject cause a loss in productive assets or income source? 27. Will the subproject restrict access to resources? 28. Will the subproject affect the livelihoods or vulnerable people, such as persons with disabilities, widows or the elderly? 29. Will the subproject create social conflict over the distribution of benefits or resources? 30. Will the subproject affect workers’ safety? 31. Will the project cause any labor influx 32. If yes, will the labor influx affect project areas negatively in terms of public infrastructure, utilities, housing, sustainable resource management and social dynamics 75 Annex 2. Specific Risks and Management Measures by Project Activity Sub-Project Potential Means of insurance and Proposed Mitigation Measures compliance Activity Impacts Building New Terraces Air Quality and Noise Air Quality and Noise SFD with beneficiaries CBOs oversees Construction Construction construction and Construction may impact air quality and Use dust control measures onsite, such as water operation activities and generate noise. This results mainly from spraying for dust suppression; conducts visual excavation, site grading, vehicle loading inspection with the and unloading, and other construction- Regulate site access; assistance of a related activities. Cover lorries transporting friable construction representative of the local community Operation materials and spoil; Contracts and PCU Potential impacts on ambient air quality Prohibit open air burning; coordinator ensures that would result from odors and gaseous contractors implement emissions generated by stagnant water– environmental water may increase humidity Ensure child labour is not permitted and all workers management - Children are pushed by their families to are 18 years old and above plans/regulations and work due to need of money -Verifying age by checking IDs and other available that contractors perform documents. continuous inspection - Exposure to or production cracks, -Ensure a Labour Log is available, and all workers are and monitoring of areas humidity exfoliation may happen due to registered of potential pollution high humidity in the area and/or uses with the - Odor due to increase relative humidity potential to result in soil contamination; - Deterioration of terraces walls my lead to erosion or flash flood Maintain machinery in good working conditions to minimize emissions; and Complaints from local community 76 - Disturbing the stability of slopes and Provide adequate protective wear for workers, and soils due to large quantities of materials equipment must be maintained regularly to avoid any emissions; Review of tender and bid extracted to build the terraces documents by SFD - Interruption of some runoff water Pre-treat gases emitted Operation Conserve energy use to reduce fuel combustion; Mitigation to the first factor could be addressed by frequent inspection to the terraces construction and apply the required maintenance. Regular inspection and examinations for mentioned impacts and address them through maintenance replacement of materials spoiled. Minimizing entrance of heavy machines to reduce vibration impact. For handling COVID-19 spread causing illness and occupational health applying strict protection regulation for occupational health measurements is critical and a site-specific management plan is required-including all operational stages from handling, washing, classification, freezing, backing up to loading and distribution to consumption Ensure adherence to COVID-19 precautionary measures by all workers. -Ensure face masks are available and used by all workers. -Ensure awareness sessions are conducted on COVID-19 with all workers. Soil Quality and Surface/Ground water -Ensure availability of hygiene kits, soap, clear water, Pattern/contamination and hygiene etiquettes are followed. Construction -Ensure social distancing is applied in the work site. 77 Impacts on soil quality may result from Soil Quality and Surface/Ground water the following construction activities: pattern/contamination - Change in composition, filtration. Construction - Minor oil spills from construction Apply, inspect and maintain temporary/permanent equipment erosion and sediment control measures (e.g. silt fences, rapid growth vegetation, erosion control Operation matting) to exposed areas; Contamination of soils and groundwater Restrict movement of vehicles to designated tracks; with chemicals used in farming and chemicals and oil spills from equipment. Operation Spills and leaks at liquid impoundment Maintain periodically vehicles and equipment to areas for fuels, solvents, waste and from prevent leaks; infrastructure equipment, may infiltrate through soil pores, under gravitational Maintain records and procedures for equipment forces, and contaminate ground water maintenance, handling and storage of liquid fuels aquifers; and chemicals; lab regular testing for ground and surface water Discharge into surface waters, or alteration of surface water quality, including but not limited to temperature, Ensure child labour is not permitted and all workers dissolved oxygen, turbidity, solids are 18 years old and above -Verifying age by checking IDs and other available documents. -Ensure a Labour Log is available, and all workers are registered Children are pushed by their families to Ensure adherence to COVID-19 precautionary work due to need of money measures by all workers. -Ensure face masks are available and used by all workers. 78 -Ensure awareness sessions are conducted on COVID-19 with all workers. -Ensure availability of hygiene kits, soap, clear water, and hygiene etiquettes are followed. COVID-19 spread causing illness -Ensure social distancing is applied in the work site. Wastewater Encourage drying mechanisms to avoid stagnant water Use of bio-treatment to prevent chemical contamination Apply IPMP to avoid negative impact of pesticides Wastewater and herbicides if required, apply biological control Potential generation of waste water for pests. 12 resulting from the project activities and/ Biological Resources- Flora & Fauna or sub-projects during both construction and operation. Applying environmental operational standards within the legal, policy and management framework of the -contamination of water, soil and project to minimize the negative impact on the agricultural products with insecticides environment using the comparative advantage of the and herbicides different project counterparts. Compliance with Biological Resources- Flora & Fauna SFD’s ESMF is critical for the conservation of Removal or disturbance of natural biodiversity Coordination with relevant stakeholders vegetation, A loss or disturbance to a is very important, Proper selection of sites as to unique, rare or threatened plant avoid damaging natural habitat. Tender document community, A reduction in the numbers will have to include provisions for site specific ESMP. or restriction in the range of any unique, 12 Integrated Pest Management Plan as per World Bank operational manual at http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTARD/EXTPESTMGMT/0 79 rare or threatened species of plants such as bushes, A deterioration of existing wildlife habitat, Introduction of any factors (light, fencing, noise, human presence and/or domestic animals) which could hinder the normal activities of wildlife Open Catchment Covered Air Quality and Noise Air Quality and Noise Villages CBOs with Rainwater Harvesting Cisterns support from Construction Construction for Domestic Use Governorate lined Units Construction may impact air quality and Use dust control measures onsite, such as water in addition to SFD/PWP generate noise. This results mainly from spraying for dust suppression; conducting visual excavation, site grading, vehicle loading inspection with the Regulate site access; and unloading, and other construction- assistance of a related activities. Cover lorries transporting friable construction representative of the materials and spoil; local community. Prohibit open air burning; Contracts and ECO ensures that contractors Maintain machinery and vehicles in good working implement conditions to minimize emissions; and environmental and social Provide adequate protective wear for workers management plans/regulations and that Technical officials Ensure that land is available to implement the with CBOs perform activity continuous inspection and monitoring of areas Dispute on land and land acquisition Ensure Land is owned by the beneficiary of potential pollution /Community/or Government and/or uses with the Ensure land acquisition is done voluntarily potential to result in soil Ensure land is free from encroachers/squatters contamination; Review of tender and bid Ensure land size does not exceed 20% of the owner documents by SFD land. 80 Ensure a waiver procedure is obtained and no conflict is raised on the land Children are pushed by their families to work due to need of money Ensure child labour is not permitted and all workers are 18 years old and above Operation -Verifying age by checking IDs and other available - Bad odors from donkeys' droppings documents. together with water spills from -Ensure a Labour Log is available, and all workers are extracting water registered - Mosquito breeding may occur as well Operation as algae growth, -Assess the ecology of disease carriers in the COVID-19 spread causing illness watershed Soil Quality and Ground Water - Employ suitable prevention and mitigation Contamination measures, including education of local people Construction and construction workers, Impacts on soil quality may result from -Monitor disease and public health indicators, after the following construction activities: Site construction, and take corrective measures (e.g. clearance, site grading, excavation, education, medical) as needed infrastructure, and oil leaks from vehicles/equipment. - Treatment of stagnant water to avoid biological contamination Operation Donkeys' droppings together with water Ensure adherence to COVID-19 precautionary spills may percolate and contaminate measures by all workers. groundwater. -Ensure face masks are available and used by all -Potential for stagnant water workers. COVID-19 spread causing illness -Ensure awareness sessions are conducted on COVID-19 with all workers. -Ensure availability of hygiene kits, soap, clear water, and hygiene etiquettes are followed. 81 -Ensure social distancing is applied in the work site. Biological Resources- Flora & Fauna - Applying environmental operational standards within the legal, policy and management framework of the project to minimize the negative impact on Biological Resources- Flora & Fauna the environment using the comparative advantage of the different project counterparts. Construction & Operation - Proper selection of sites as to avoid damaging Removal or disturbance of natural natural habitat. vegetation, A loss or disturbance to a unique, rare or threatened plant - Tender document will have to include provisions for community, A reduction in the numbers site specific ESMP and implementation, when or restriction in the range of any unique, required. rare or threatened species of plants such as indigenous herbs, A deterioration of existing wildlife habitat, Introduction of any factors (light, fencing, noise, human presence and/or domestic animals) which could hinder the normal activities of wildlife Rooftop rainwater harvesting Construction Construction - House owner and cisterns supervising team to - Owners tend to have the cistern very - Proper selection of sites far from buildings and select good location for near to the house sometimes directly insure water tightness of the cistern, Help solving the cistern. adjacent to the house and this may land acquisition amicably, Ensure that land is - Supervising technician cause house damage due possible available to implement the activity and its owned and engineer to insure water leakage, by the beneficiary or a waiver has been already the quality of work and - Land acquisition problem may arise, obtained and conflict is raised on the land the water tightness of the cistern Ensure child labour is not permitted and all workers are 18 years old and above 82 -Verifying age by checking IDs and other available Child Labor documents. -Ensure a Labour Log is available, and all workers are registered Operation - There is a possibility for Mosquito breeding and algae growth, - Contamination of stored water as a result of using dirty bucket and rope Operation for extracting water. - Educated the owners to keep the cistern close Clogging of the inlet coarse filter may after each use and use clean bucket and rope for cause loss of precious water to the extracting water, owner. - Clean the course filter frequently, COVID-19 spread causing illness - Frequently inspect the cistern for leakage and the houses for expected damages from leakages, Ensure adherence to COVID-19 precautionary measures by all workers. -Ensure face masks are available and used by all workers. -Ensure awareness sessions are conducted on COVID-19 with all workers. -Ensure availability of hygiene kits, soap, clear water, and hygiene etiquettes are followed. -Ensure social distancing is applied in the work site. Flood Protection Alteration or damaging natural habitat Avoiding damaging natural habitat during All technical during construction, contamination may constructions or minimize it (proper site selection, stakeholders are occur from construction infrastructure use environmentally friendly materials, prepare involved in inspection of and materials, run-off surface water materials off-site, etc.) quality assurance with obstacles and divert to cause other village CBO and overall Tender document will have to include provisions for flooding hazards supervision of SFD/PWP site specific ESMP. 83 Good practice in design Ensure adherence to COVID-19 precautionary COVID-19 spread causing illness measures by all workers. -Ensure face masks are available and used by all workers. -Ensure awareness sessions are conducted on COVID-19 with all workers. -Ensure availability of hygiene kits, soap, clear water, and hygiene etiquettes are followed. -Ensure social distancing is applied in the work site. Ensure child labour is not permitted and all workers are 18 years old and above -Verifying age by checking IDs and other available Child labor documents. -Ensure a Labour Log is available, and all workers are registered Water Saving Irrigation Plastic installation and dioxin made Using materials made from environmentally friendly All technical stakeholder Systems material could be a source of materials and good practice is involved in inspection contamination for water and soil and of quality assurance and Apply specific site ESMP thus public health WEU with village CBO Stone Pavement Air Quality and Noise Air Quality and Noise SFD/PWP with beneficiaries CBOs Construction Construction oversees construction Construction may impact air quality and Use dust control measures onsite, such as water and operation activities generate noise. This results mainly from spraying for dust suppression; and conducts visual excavation, site grading, vehicle loading inspection with the Regulate site access; and unloading, and other construction- assistance of a related activities. Cover lorries transporting construction materials; 84 representative of the local community. Prohibition of use of explosives in all activities under PCU coordinator ensures ESCERP that contractors Prohibit open air burning; implement - Use of explosives to cut or drill on environmental stones or rocky areas. Maintain machinery in good working conditions to management minimize emissions; and plans/regulations and Provide adequate protective wear for workers that contractors perform continuous inspection Pre-treat gases emitted and monitoring of areas Operation of potential pollution Ensure child labour is not permitted and all workers and/or uses with the are 18 years old and above potential to result in soil -Verifying age by checking IDs and other available contamination; Operation documents. Child labor -Ensure a Labour Log is available, and all workers are registered Complaints from local Potential impacts on ambient air quality community would result from odors and gaseous emissions generated by stagnant water –water may increase humidity Conserve energy use to reduce fuel combustion; Review of tender and bid - Exposure to or production cracks, Regular inspection and examinations for mentioned documents by SFD/PWP humidity exfoliation may happen due to impacts and address them through maintenance high humidity in the area replacement of materials spoiled. Minimizing entrance of heavy machines to reduce vibration - Odor due to increase relative humidity impact. Applying occupational health protection - Deterioration of stone pavement may regulations and measurements is critical for all lead to erosion or flash flood operational stages from stone cutting through finish of pavement. - disturbing the stability of slopes and soils due to large quantities used in building pavements - interruption of some runoff water 85 Ensure adherence to COVID-19 precautionary measures by all workers. -Ensure face masks are available and used by all COVID-19 spread causing illness workers. -Ensure awareness sessions are conducted on COVID-19 with all workers. -Ensure availability of hygiene kits, soap, clear water, and hygiene etiquettes are followed. -Ensure social distancing is applied in the work site. Sexual harassment, abuse, gender-based Mandatory and repeated training and awareness violence and discrimination raising for the workforce about refraining from unacceptable conduct toward local community members, specifically women. -Informing workers about national laws that make sexual harassment and gender-based violence a punishable offence which is prosecuted. -Raise awareness on CHM/GRM system and how it can be used to report any GBV/ SH cases, and received anonymity complaints. Soil Quality and Surface/Ground water Soil Quality and Surface/Ground water pattern/contamination pattern/contamination Construction Design 86 Impacts on soil quality may result from Include groundwater recharging means such as the following construction activities: leaching and pits and trenches to mitigate the impacts of low infiltration resulted from pavement Change in composition, filtration. Construction Apply, inspect and maintain temporary/permanent erosion and sediment control measures (e.g. silt fences, rapid growth vegetation, erosion control matting) to exposed areas; Restrict movement of vehicles to designated tracks Operation Operation Contamination of soils and groundwater with chemicals used in construction and Periodically maintain vehicles and equipment to chemicals and oil spills from equipment. prevent leaks; Spills and leaks at liquid impoundment Maintain records and procedures for equipment areas for fuels, solvents, waste and from maintenance, handling and storage of liquid fuels infrastructure equipment, may infiltrate and chemicals; lab regular testing for ground and through soil pores, under gravitational surface water forces, and contaminate ground water aquifers; Discharge into surface waters, or alteration of surface water quality, including but not limited to temperature, dissolved oxygen, turbidity, solids Ensure adherence to COVID-19 precautionary measures by all workers. -Ensure face masks are available and used by all workers. COVID-19 spread causing illness -Ensure awareness sessions are conducted on COVID-19 with all workers. 87 -Ensure availability of hygiene kits, soap, clear water, and hygiene etiquettes are followed. -Ensure social distancing is applied in the work site. Wastewater Wastewater Encourage drying mechanisms to avoid stagnant Potential generation of wastewater water resulting from the project activities and/ Use of bio-treatment to prevent chemical or sub-projects during both construction contamination and operation. Biological Resources- Flora & Fauna Biological Resources- Flora & Fauna Applying environmental operational standards within Removal or disturbance of natural the legal, policy and management framework of the vegetation, A loss or disturbance to a project to minimize the negative impact on the unique, rare or threatened plant environment using the comparative advantage of the community, A reduction in the numbers different project counterparts. Compliance with SFD or restriction in the range of any unique, criteria is critical for the conservation of biodiversity. rare or threatened species of plants such Coordination with relevant stakeholders is very as bushes, A deterioration of existing important. Proper selection of sites as to avoid wildlife habitat, Introduction of any damaging natural habitat. Tender document will factors (light, fencing, noise, human have to include provisions for site specific ESMP. presence and/or domestic animals) which could hinder the normal activities of wildlife Basic services facilities: Construction All technical Ensure that land is available to implement the Education, Health, etc. Dispute over the land ownership stakeholders are activity -Dispute among beneficiaries on the involved in inspection of Location Ensure Land is owned by the beneficiary quality assurance with -Water pollution due to /Community/or Government village CBO wastewater disposal of temporary Ensure land acquisition is done voluntarily latrines -Spread out of construction waste Ensure land is free from encroachers/squatters -Spread out of solid municipal waste 88 Ensure land size does not exceed 20% of the owner land. Ensure a waiver procedure is obtained and no conflict is raised on the land Proper selection of sites as to avoid dispute among beneficiaries on the location. Tender document will have to include provisions for site specific ESMP. -Applying occupational health risk control measures regulations and procedures -Locate latrines, septic systems and soak ways at least 30m from any water body (e.g. stream, river, lake, pond) -Ensure adequate design, installation and maintenance of latrines, holding tanks, septic systems and wastewater soak ways. This is especially important where the water table is high or soils have a high clay or sand content -Ensure adequate spacing between latrines and soak ways - Tender document for hazardous wastes will have to include provisions for site specific management measures specified in ESMP. Determine the approximate volumes of waste materials by category (e.g. sharps, body tissues, dressings, pharmaceutical products, non-hazardous healthcare wastes, etc.), and design the management system to deal with each waste category separately as required Ensure adherence to COVID-19 precautionary measures by all workers. 89 COVID-19 spread causing illness -Ensure face masks are available and used by all workers. -Ensure awareness sessions are conducted on COVID-19 with all workers. -Ensure availability of hygiene kits, soap, clear water, and hygiene etiquettes are followed. -Ensure social distancing is applied in the work site. Operation Child labor Types of health waste can include: Ensure child labour is not permitted and all workers -Human tissue and blood; are 18 years old and above -Soiled surgical dressings and swabs; -Verifying age by checking IDs and other available -Discarded syringe needles; documents. -Other contaminated sharp instruments; -Ensure a Labour Log is available, and all workers are - Microbiological cultures and potentially registered infected wastes from laboratories; -Excretions; and - Assess current practices and address the priority -Drugs and other pharmaceutical gaps and risks, building on any successful aspects of products. the current system. All measures and facilities should -Radioactive wastes need to be be planned within an overall strategy for hazardous managed and treated separately from healthcare waste management. This overall strategy other healthcare wastes, and are not will ensure consistent and efficient methods and covered here (will require separate EMP) sharing of good practices. -Human feces spread - Provide specialized, clearly labeled containers for around the site hazardous healthcare wastes to separate them at -Water pollution due to source, manage the risks of exposure, and secure the wastewater disposal of wastes before removal for treatment or storage. school bathrooms - Plan, design, construct and operate a shared treatment facility. Types of facilities include heat treatment disinfection, incineration, chemical & biological treatment. - Until a shared treatment facility is established, employ interim measures to ensure the safe and 90 secure storage of wastes. In some cases, an appropriate interim measure will be to bury the waste in deep (e.g. >2m) trenches in municipal disposal sites, and ensure the trenches are immediately covered with other municipal solid waste. -Implementing the Self Monitoring and Follow up and sewage treatment Implementing the items in the TD related to dealing with municipal solid wastes and the components needed for SWMP Ensure that land is available to implement the Rural Feeder Road Construction All technical activity stakeholders are Dispute over the land ownership Ensure Land is owned by the beneficiary involved in inspection of /Community/or Government quality assurance with Ensure land acquisition is done voluntarily village CBO and overall Ensure land is free from encroachers/squatters supervision of SFD Ensure land size does not exceed 20% of the owner land. Ensure a waiver procedure is obtained and no conflict is raised on the land Ensure child labour is not permitted and all workers are 18 years old and above Child Labor -Verifying age by checking IDs and other available documents. Construction may impact air quality and -Ensure a Labour Log is available, and all workers are generate noise. This results mainly from registered excavation, site grading, vehicle loading and unloading, and other construction- related activities. -Good practice during construction. Proper Solid wastes treatment of solid waste and other byproduct during construction Construction wastes 91 Historical monuments -Applying occupational health risk control measures regulations and procedures Green areas -Apply suitable design for natural water courses and Sanitary drainage putting measures for preserving wildlife Deformation of grades -Avoiding damaging natural habitat during Blockage of water canals and drainage constructions or minimize it (proper site selection, course at their intersection with road. use environmentally friendly materials, prepare materials off-site, etc.) Alteration or damaging natural habitat during construction, contamination may -Avoid creating congested and unsafe road occur from construction infrastructure conditions at intersections, and in villages and towns and materials, run-off surface water -Good practice in design to avoid traffic accidents obstacles and divert to cause other such as Sloping of road Curves flooding hazards. A deterioration of existing wildlife habitat, Introduction of -Include components that reduce traffic accidents any factors (light, fencing, noise, human such as speed breakers and speed limits signs presence and/or domestic animals) -Tender document will have to include provisions for which could hinder the normal activities site specific ESMP. of wildlife Operation Abrasion of road Increase of traffic accidents COVID-19 spread causing illness Ensure adherence to COVID-19 precautionary measures by all workers. -Ensure face masks are available and used by all workers. -Ensure awareness sessions are conducted on COVID-19 with all workers. -Ensure availability of hygiene kits, soap, clear water, and hygiene etiquettes are followed. 92 -Ensure social distancing is applied in the work site. Improving Rural Markets Construction Construction District/town/village Ensure child labour is not permitted and all workers councils with support Child labor are 18 years old and above from CBOs and SFD Construction may impact air quality and -Verifying age by checking IDs and other available generate noise. This results mainly from documents. excavation, site grading, vehicle loading -Ensure a Labour Log is available, and all workers are and unloading, and other construction- registered related activities. -Maintain equipment in good working condition to Solid wastes reduce emissions and noise, Construction wastes -Use dust control measures onsite, such as water Historical monuments spraying for dust suppression; Green areas -Good practice associated with quality assurance and regular site inspection Sanitary drainage -Cover lorries transporting friable construction Deformation of grades materials -Maintain a system for collecting and disposing garbage during construction -Collect construction wastes and transport them to the agreed site -Tendering should include specific site ESMP -Applying occupational health risk control measures regulations and procedures -Ensure adherence to COVID-19 precautionary measures by all workers. -Ensure face masks are available and used by all COVID-19 spread causing illness workers. 93 -Ensure awareness sessions are conducted on COVID-19 with all workers. -Ensure availability of hygiene kits, soap, clear water, and hygiene etiquettes are followed. -Ensure social distancing is applied in the work site. Operation -Enforce the solid waste management system that should have been developed by the SA at the preparation stages -Maintain good operation and maintenance of Operation market latrines Solid waste, wastewater from market latrines may cause soil and water sources pollution -Hygienic conditions Water Supply During design SFD/PWP around public collection points by -Health: Vector breeding sites; paving at least 1 m² apron concrete slab under the Environmental water taps with proper drainage and fencing. Specialist -Land use: Disputes about designed project site -Discuss the planned And Local NGOs on privately owned land, or site with landowners to disconcerting areas of public, touristic get approval. If land cannot be obtained through interest, disturbing wildlife etc. voluntary land donation, it needs to change the design to communal owned land or to land with less -Disputes about expected conflicts. Consider drop of sub- project if designed route of problems are not resolved. pipes through privately owned land -Discuss the planned -Land route with landowners Resources: Ground water to get their approval. If the land cannot be obtained 94 pollution from pit through voluntary land donation, it needs to change latrines polluting the underlying aquifer. the planned route to avoid conflicts. - Ground water quality testing at source development and regular intervals. Soil/site inspection before latrine construction. Latrines to be more than 50 m from wells. Ensure child labour is not permitted and all workers are 18 years old and above -Verifying age by checking IDs and other available Child labor documents. -Ensure a Labour Log is available, and all workers are registered -Applying occupational health risk control measures regulations and procedures -Coordinate with local authorities to avoid or minimize disruption to basic services such as water and sewer. -Inform nearby households. Protect excavation works with proper shielding scaffolds. Spraying water during excavation might reduce the dust. Workers wear protective masks - Take health and safety measures when disposal of excavated soil to a safe location. -Proper maintenance and inspection of water pipes 95 and community reservoirs to ensure leaks or damage are avoided and repaired quickly if/when identified to prevent ruptures. During construction: -Avoid causing damages. - Air: Increased dust during excavation Dispose all waste and soil to a safe location. and burial of pipes. Repair pavement on the completion of the Works - Health: Collection, handling and disposal of solid waste. -Ensure adherence to COVID-19 precautionary measures by all workers. COVID-19 spread causing illness -Ensure face masks are available and used by all workers. -Ensure awareness sessions are conducted on COVID-19 with all workers. -Ensure availability of hygiene kits, soap, clear water, and hygiene etiquettes are followed. -Ensure social distancing is applied in the work site. - Inform nearby houses. Avoid work during night hours. Provide workers with - Infrastructure services: Possible Protection damage to water supply pipes paved - Protect work zones roads, cables, existing cesspits, leaking or with portable scaffold blowout of water reservoir. sheets. Provide proper support for trench sides to protect -Noise: Increased levels of noise and against their collapse. vibration Improve the readiness of health facilities in the region to deal with - Safety: possibility of Accidents emergency cases. Provide workers with protective clothing. 96 - Increased Traffic: Disruptions of water - Inform the affected supply and local access houses in advance and keep disruptions as short as possible - Water: Pit latrines can pollute the Contracts to include provisions for chance find. underlying aquifer. Training will take place for crew/supervisors, Archaeological find: Damaging to spot potential archaeological finds. In the event of important a potential find, liaise with the archaeological and/or precious cultural heritage department at MoC or a local university for quick assessment and action Safety: possibility of accidents Protect construction site from trespassers. Improve the readiness of health facilities in the During Operation: region to deal with emergency cases. - Health: The possible Provide workers with protective clothing. formation of vector breeding stagnant Take necessary actions for fighting vectors (spraying effluent ponds. with insecticides, reclamation of stagnant pools, using nets on Water: Ground water windows and beds, etc.) Pollution from Pit latrine - Ground water quality testing at source at regular intervals. Sewerage Networks During design: Ensure that land is available to implement the SFD/PWP Water: Land use: Disputes about activity and its owned by the beneficiary or a waiver Environmental designed route of has been already obtained and conflict is raised on Specialist pipes through privately owned land the land EPA - Discuss the planned Local NGOs route with landowners to get their approval. If the land cannot be obtained 97 During construction: through voluntary land donation, it needs to change - Air: Increased dust during excavation the planned route to avoid conflicts and burial of pipes Ensure child labour is not permitted and all workers Child labor are 18 years old and above -Verifying age by checking IDs and other available documents. - Health: Removal and disposal of waste -Ensure a Labour Log is available, and all workers are material from (existing) pits. Collection, registered handling and disposal of solid waste. COVID-19 spread causing illness -Applying occupational health risk control measures regulations and procedures Spraying water during excavation might reduce the dust. Workers wear protective masks -Ensure adherence to COVID-19 precautionary measures by all workers. -Ensure face masks are available and used by all workers. -Ensure awareness sessions are conducted on COVID-19 with all workers. - Infrastructure services: Possible destruction -Ensure availability of hygiene kits, soap, clear water, of water supply pipes, and hygiene etiquettes are followed. paved roads, cables, existing cesspits, .etc. -Ensure social distancing is applied in the work site. -Avoid causing damages. Take health and safety measures when demolishing existing cesspits and on the disposal of sludge and polluted excavated 98 soil. Dispose all polluted waste and soil to a safe location. Noise: Increased levels of noise and vibration Repair pavement on the completion of the Works - Inform nearby houses. Avoid work during night hours. Occupational Health and Safety - Protect work zones with portable scaffold sheets. Traffic: Disruptions of water supply and Provide proper support for trench sides to protect local access against their collapse. Improve the readiness of health facilities in the - Archaeological find: Damaging region to deal with emergency cases. Provide important workers with proper safety equipment and clothing. and/or precious cultural heritage Inform the affected Safety: possibility of accidents houses in advance and keep disruptions as short as possible. - Contracts to include provisions for chance find. Training will take place for crew/supervisors, to spot potential archaeological finds. In the event of a potential find, liaise with the archaeological department at MoC or a local university for quick assessment and action. - Protect construction site from trespassers. - Improve the readiness of health facilities in the region to deal with emergency cases. 99 Ensure that land is available to implement the Schools During design: SFD/PWP activity Land use: Disputes about designed Ensure Land is owned by the beneficiary Environmental project site on privately owned land, or /Community/or Government Specialist disconcerting areas of public, touristic Ensure land acquisition is done voluntarily EPA interest, disturbing wildlife etc. Ensure land is free from encroachers/squatters Ensure land size does not exceed 20% of the owner Local NGOs land. Ensure a waiver procedure is obtained and no conflict is raised on the land Health: Lack or failure of sanitation Add sanitation facilities to the design or upgrade facilities existing facilities. During construction: Inform nearby houses. Avoid work during night Noise: Increased levels of noise and hours. vibration. Child Labor Ensure child labour is not permitted and all workers are 18 years old and above -Verifying age by checking IDs and other available documents. - Archaeological find: -Ensure a Labour Log is available, and all workers are Damaging important registered and/or precious cultural heritage. - Training will take place for crew/supervisors, to spot potential archaeological finds. In the event of a potential find, liaise with the archaeological department at MoC or a local university for 100 quick assessment and action. Chance finding procedure will be followed -Ensure adherence to COVID-19 precautionary measures by all workers. -Ensure face masks are available and used by all workers. COVID-19 spread causing illness -Ensure awareness sessions are conducted on COVID-19 with all workers. -Ensure availability of hygiene kits, soap, clear water, and hygiene etiquettes are followed. -Ensure social distancing is applied in the work site. - Protect construction site from trespassers. Provide proper support for trench sides to protect Safety: Possibility of accidents/hazards against their collapse. Improve the readiness of health facilities in the region to deal with emergency cases. Provide workers with protective clothing. -Applying occupational health and safety risk control measures regulations and procedures 101 Annex 3. Environmental and Social Management Plan - Indicative Outline Please refer to the UNDP SES Guidance Note on Assessment and Management for additional information. The content of the ESMP will be presented as per the ESPRECP ESMP template that was agreed with SFD and PWP. It will include as minimum the following elements: 1. Introduction: includes  Name of Subproject,  Subproject ID Subproject;  Location Sector and type of Subprojects;  Department implementing Subprojects Estimated cost of SB  Field Visit Was consultation carried out Proposed Class of the SB (A to D Low to High)  A Table indicates: date, agency name and safeguard staff who screen and review and approve the ESMPS 2. Sub project Description: compromises 2.1 Scope of work  Location  Land Acquisition  Resources and services’ access restriction  COVID19 Sensitivity 2.2 Gender and Social related issues  Child Labour  Gender: Number affected and disadvantaged people of men, women, boys, girls, elderly people, and people with disability  GBV and SEA  Conflict sensitivity and Do NO Harm 3. Environmental and social Baseline Conditions: includes  Introduction  Rain, climate and weather  Air Quality and Noise  Existing situation of the targeted Area  Targeted Beneficiaries: Affected, disadvantaged, marginalized, and interested groups. 4. Environmental and Social Impact Assessment: contains  Applicability  Eligibility  Environmental and Social Screening 5. Environmental, Social Impact Analysis plan and Mitigation measures  Environmental and SocialImpact Analysisplanand Mitigationmeasures  Occupational and health Safety Plan (OHS Plan) to update according to LMP 6. Environmental and Social Monitoring Plan  Environmental and Social Monitoring Plan (for monitoring daily work) with proposed outputs, activities, and indicators  Occupational Health and Safety:  Includes all mitigation measures that indicated in the ESCP 7. Stakeholder engagement Plan and Public Consultation: focuses on and limited to  Introduction  Consultation Methodology and approach  Topics of the Consultations  Results of the consultations  Sustainability of subproject and community ownership 102  Stakeholder engagement plan 8. Grievance Response Mechanism, compromises of  Hotline  Complain Box  Brochure distributed to the Local community  Complain Handling Mechanism 9. Annexes  Environmental & Social Checklist  SFD: Environmental and Social Responsiveness (ESR) criteria at proposal stage  SFD: Public Consultation Report  SFD complaints handling mechanism  PWP mechanisms for environmental, social and occupational mitigation actions  PWP public consultation and reporting  PWP complaints handling mechanism 103 Annex 4. Guidance for Submitting a Grievance Guidance for Submitting a Request to UNDP Social and Environmental Compliance Unit (SECU) and/or the Stakeholder Response Mechanism (SRM) [for more information go to www.undp.org/secu-srm] Purpose of this form - If you use this form, please put your answers in bold writing to distinguish text - The use of this form is recommended, but not required. It can also serve as a guide when drafting a request. This form is intended to assist in: (1) Submitting a request when you believe UNDP is not complying with its social or environmental policies or commitments and you are believe you are being harmed as a result. This request could initiate a ‘compliance review’, which is an independent investigation conducted by the Social and Environmental Compliance Unit (SECU), within UNDP’s Office of Audit and Investigations, to determine if UNDP policies or commitments have been violated and to identify measures to address these violations. SECU would interact with you during the compliance review to determine the facts of the situation. You would be kept informed about the results of the compliance review. and/or (2) Submitting a request for UNDP “Stakeholder Response” when you believe a U NDP project is having or may have an adverse social or environmental impact on you and you would like to initiate a process that brings together affected communities and other stakeholders (e.g., government representatives, UNDP, etc.) to jointly address your concerns. This Stakeholder Response process would be led by the UNDP Country Office or facilitated through UNDP headquarters. UNDP staff would communicate and interact with you as part of the response, both for fact-finding and for developing solutions. Other project stakeholders may also be involved if needed. Please note that if you have not already made an effort to resolve your concern by communicating directly with the government representatives and UNDP staff responsible for this project, you should do so before making a request to UNDP’s Stakeholder Response Mechanism. Confidentiality If you choose the Compliance Review process, you may keep your identity confidential (known only to the Compliance Review team). If you choose the Stakeholder Response Mechanism, you can choose to keep your identity confidential during the initial eligibility screening and assessment of your case. If your request is eligible and the assessment indicates that a response is appropriate, UNDP staff will discuss the proposed response with you, and will also discuss whether and how to maintain confidentiality of your identity. 104 Guidance When submitting a request please provide as much information as possible. If you accidentally email an incomplete form, or have additional information you would like to provide, simply send a follow-up email explaining any changes. Information about You Are you… 1. A person affected by a UNDP-supported project? Mark “X” next to the answer that applies to you: Yes: No: 2. An authorized representative of an affected person or group? Mark “X” next to the answer that applies to you: Yes: No: If you are an authorized representative, please provide the names of all the people whom you are representing, and documentation of their authorization for you to act on their behalf, by attaching one or more files to this form. 3. First name: 4. Last name: 5. Any other identifying information: 6. Mailing address: 7. Email address: 8. Telephone Number (with country code): 9. Your address/location: 10. Nearest city or town: 11. Any additional instructions on how to contact you: 12. Country: What you are seeking from UNDP: Compliance Review and/or Stakeholder Response You have four options:  Submit a request for a Compliance Review;  Submit a request for a Stakeholder Response;  Submit a request for both a Compliance Review and a Stakeholder Response;  State that you are unsure whether you would like Compliance Review or Stakeholder Response and that you desire both entities to review your case. 13. Are you concerned that UNDP’s failure to meet a UNDP social and/or environmental policy or commitment is harming, or could harm, you or your community? Mark “X” next to the answer that applies to you: Yes: No: 14. Would you like your name(s) to remain confidential throughout the Compliance Review process? Mark “X” next to the answer that applies to you: Yes: No: If confidentiality is requested, please state why: 105 15. Would you like to work with other stakeholders, e.g., the government, UNDP, etc. to jointly resolve a concern about social or environmental impacts or risks you believe you are experiencing because of a UNDP project? Mark “X” next to the answer that applies to you: Yes: No: 16. Would you like your name(s) to remain confidential during the initial assessment of your request for a response? Mark “X” next to the answer that applies to you: Yes: No: If confidentiality is requested, please state why: 17. Requests for Stakeholder Response will be handled through UNDP Country Offices unless you indicate that you would like your request to be handled through UNDP Headquarters. Would you like UNDP Headquarters to handle your request? Mark “X” next to the answer that applies to you: Yes: No: If you have indicated yes, please indicate why your request should be handled through UNDP Headquarters: 18. Are you seeking both Compliance Review and Stakeholder Response? Mark “X” next to the answer that applies to you: Yes: No: 19. Are you unsure whether you would like to request a Compliance Review or a Stakeholder Response? Mark “X” next to the answer that applies to you: Yes: No: Information about the UNDP Project you are concerned about, and the nature of your concern: 20. Which UNDP-supported project are you concerned about? (if known): 21. Project name (if known): 22. Please provide a short description of your concerns about the project. If you have concerns about UNDP’s failure to comply with its social or environmental policies and commitments, and c an identify these policies and commitments, please do (not required). Please describe, as well, the types of environmental and social impacts that may occur, or have occurred, as a result. If more space is required, please attach any documents. You may write in any language you choose 23. Have you discussed your concerns with the government representatives and UNDP staff responsible for this project? Non-governmental organisations? Mark “X” next to the answer that applies to you: Yes: No: If you answered yes, please provide the name(s) of those you have discussed your concerns with Name of Officials You have Already Contacted Regarding this Issue: First Name Last Name Title/Affiliation Estimated Response from the Date of Individual Contact 106 24. Are there other individuals or groups that are adversely affected by the project? Mark “X” next to the answer that applies to you: Yes: No: 25. Please provide the names and/or description of other individuals or groups that support the request: First Name Last Name Title/Affiliation Contact Information Please attach to your email any documents you wish to send to SECU and/or the SRM. If all of your attachments do not fit in one email, please feel free to send multiple emails. Submission and Support To submit your request, or if you need assistance please email: project.concerns@undp.org Complaints Registration Form at PWP Complaints registration form at PWP ..:‫ع‬ ‫رقم ر‬ ‫المشو‬ project No................................................. ‫التاري خ‬ : Date.............................. . :‫ع‬ ‫اسم ر‬Project Name........................................................................................... ‫المشو‬ ......:‫الشاك‬ ‫ي‬ ‫اسم‬ Name of complainant.............................................................................. .:‫نص الشكوى‬ Complaint content......................................................................................... ... :‫اإلجراءات المتخذه‬ Actions taken............................................................................. .. :‫تاري خ انتهاء المشكله‬ The date of resolving the complaints................................................... :‫…المالحظات‬............... Comments.............................................................................................. :‫ المختص‬Responsible person ‫ مدير إدارة المتابعة‬Follow-up department Manager ‫التوقيع‬: signature ‫ التوقيع‬signature 107 Complaint Handling Mechanism (CHM) Online Form for SFD [for more information go to https://chm.sfd-yemen.org/complaint/online-form/] WB Grievance Redress System The Grievance Redress Service (GRS) is an avenue for individuals and communities to submit complaints directly to the World Bank if they believe that a World Bank-supported project has or is likely to have adverse effects on them, their community, or their environment. The GRS enhances the World Bank’s responsiveness and accountability to project-affected communities by ensuring that grievances are promptly reviewed and addressed. The GRS processes an average of 125 complaints a year, covering a wide spectrum of project- related issues. Filing a complaint Any individual or community who believes that a World Bank-financed project has or is likely to, adversely affect them can submit a complaint. The GRS considers a complaint admissible when it: - relates to an active (i.e. not closed) Bank-supported project - alleges environmental and social harm caused or likely to be caused by the project - is submitted by a complainant, a group of complainants directly affected by the project, or their authorized representatives. Complaints must be in writing and addressed to the GRS. They can be sent by the following methods: - online, access the online form (DOCX) - by email to grievances@worldbank.org - by letter or by hand delivery to the World Bank Headquarters in Washington D.C., United States or any World Bank Country Office – print and use this form (DOCX) Information to include in a complaint Complaints must: - identify the project subject of the complaint - clearly state the project’s adverse impact(s) - identify the individual(s) submitting the complaint - specify if the complaint is submitted by a representative of the person(s) or community affected by the project - if the complaint is submitted by a representative, include the name, signature, contact details, and written proof of authority of the representative. Supporting evidence is not necessary but may be helpful in reviewing and resolving the complaint. The complaint may also include suggestions on how the individuals believe the complaint could be resolved. All complaints will be treated as confidential. The GRS will not disclose any personal data that may reveal the identity of complainants without their consent. 108 Annex 5 :OHS toolkit 1. Introduction The Emergency Social Protection Enhancement and COVID-19 Response Project (ESPECRP) builds on the ongoing IDA financed Emergency Crisis Response Project (ECRP) to deliver support to vulnerable Yemenis affected by conflict, COVID-19 and climate- related shocks. The project development object is to provide cash transfers, temporary employment, and increased access to basic services and economic opportunities to vulnerable populations affected by COVID-19 and the ongoing conflict. Figure 1: OHS FRAMEWORK FOR YEMEN ESPECRP – ELEMENTS Regulatory and other requirements (International codes and best practices, UNDP SES, WP ESS, IFC standards, Yemen National Labour code etc.) Implementing agency and implemention partners (UNDP, TPMA, SFD and PWP) OHS organisation within overall management system (OHS management organisation within UNDP, SFD, PWP) OHS management policy, strategy and procedures (Based on OHS risk assessment, resources allocation, contracts management) OHS management elements ( OHS risks prevention and control measures, work environment monitoring, incidents and accidents management, training and capacity building ) OHS monitoring and evaluation ( Proactive and reactive monitoring) Toolkit for OHS Framework implementation support (safe work practices, checklists and questionnaires, guidance notes and formats for reports and records) 109 The IPs shall develop and implement OHS Management System as a vehicle for managing their OHS hazards and risks and as an instrument for continual i.e. stepwise progressive improvement in their management of OHS. The elements of the various elements of OHSMS shall confirm to the requirements as set by international standards on OHSMS e.g. ILO-OSHMS, 2001, OHSAS 18001, 2007. The elements that shall be developed and implemented include- 2. Regulatory and other requirements The regulatory and other requirements set the measures to be in place in order to confirm the measures to national regulations, international codes and best practices etc. These also include sector specific requirements that relate to construction work, a hazardous sector in present project. These cover the international guidance and recommendations e.g. ILO convention, recommendations and codes of practice in Construction, World Bank group EHS standards, UNDP Social and environmental standards etc. Being implemented by UNDP, the UNDP SES standards have to be complied with. The SES in standard 3, covers community health, safety and working conditions. In addition, the implementing organisations have to be fully compliant with national and local applicable regulations e.g. Labour Code, Act No.5 of 1995, Republic of Yemen that includes OHS requirements for workplaces. The proposed framework for actions on OHS also incorporates examples of best practices on OHS e.g. The World Bank Group General EHS Guidelines that include construction activities also. Safety and health in construction Convention, 1988 (No.167) of International Labour Organisation (ILO) is the key convention concerning safety and health in construction. The convention defines activities under Construction and specifies preventive and protective provisions to be in place for the construction sites. Safety and Health in Construction Recommendation, 1988 (No. 175) of ILO, recommends preventive and protective measures for the provisions as specified under the Convention C167. Republic of Yemen has not yet ratified the Convention 167. Safety and health in construction: An ILO code of practice, International Labour Office, 1992 provides practical guidance on provides guidance in the implementation of the provisions of the Safety and Health in Construction Convention, 1988 (No. 167), and the Safety and Health in Construction Recommendation, 1988 (No. 175). The code provides guidance for a legal, administrative, technical and educational framework for safety and health in construction. United Nations Development Program (UNDP) Safety and Environmental Standards (SES) includes provisions related to community health, safety and working conditions (Standard 3), including the need to respect and promote workers’ rights and that project workers have safe and healthy working conditions to prevent accidents, injuries, and diseases. As part of the OHS framework for action, the IPs shall establish, implement and maintain procedures for identifying and accessing the legal and other OH&S requirements that are applicable to it. The IPs shall ensure that these applicable legal requirements and other requirements to which the organization subscribes are taken into account in establishing, implementing and maintaining its OH&S management system. The relevant information on legal and other requirements shall be communicated to persons working under the control of the organization, and other relevant interested parties. Interested parties may include communities near project sites, local organizations etc. The IPs shall establish, implement and maintain procedures for periodically evaluating compliance with applicable legal and other requirements. The records of the results of the periodic evaluations and other legal information shall be kept up to date. 3. Implementing agencies and partners UNDP is the main implementation agency under the project with SFD, SMEPS and PWP as implementing partners. The activities of the project need to be in full compliance with UNDP Social and Environment Standards. UNDP-Yemen has been monitoring 110 the project activities through a Third-Party Monitoring Agency on quarterly basis. The monitoring includes OHS issues with the activities. All the implementing organisations i.e. UNDP, SFD and PWP have well developed general management structure and follow standard management practices for strategic and operational management of their activities. Though IPs have been working for long on construction activities that require basic health and safety as part of overall implementation yet OHS management as part of a definite organised system under overall organisational management structure is relatively new for the IPs. The IPs have in consultation with and support from UNDP, initiated range of activities on OHS that include developing OHS policy and procedures, assigning responsibilities on OHS, Hazards identification and risk assessment, injuries monitoring and management and training on hazards and controls, etc. However, to integrate such initiatives into a coordinated system, the various elements as described under the present framework are intended to be implemented. 4. OHS organisation within overall management structure Clearly defined roles and responsibilities of key personnel along with authority and availability of resources are essential for planning and managing the OHS elements under the framework. The key roles and responsibilities of key personnel on OHS shall include following- - Project Management Team (PMT/UNDP): The primary purpose is to enable implementing partners and contractors including workers to work together to implement and monitor the OHS MS implementation so as to prevent accidents and improve working conditions on site. The PMT is carrying out site inspections through its Third-Party Monitoring Agent at the sites that provides information on implementation status of activities under ESPECRP that also include safeguards management including OHS. The following duties concerning OHS management need to be carried out by the PMT including: - regular monthly IPs meetings to discuss the safety and health programme on site and to make recommendations for improvement, if needed; - consideration of reports of responsible safety personnel; - investigate accidents in conjunction with IPs and TPMA to determine their causes and to propose remedies; - discussion of accident and illness reports in order to make recommendations for prevention; - evaluating improvements made and report to donors. - - Project Implementing Partners (PWP & SFD): The top management of the implementing partners is ultimately responsible for OH&S and the OH&S management system within their organizations. The top management shall demonstrate its commitment by: ensuring the availability of resources essential to establish, implement, maintain and improve the OH&S management system; defining roles, allocating responsibilities and accountabilities, and delegating authorities, to facilitate effective OH&S management. Site specific Environmental Management Plan (ESMPs) that includes occupational health and safety measures: safety of workers and other persons, noise, maintenance of equipment, prevention of spread of diseases, debris, cleanliness, ease of movement, any social disputes and general appearance of the subproject including tree planting, etc. The ESMPs shall be filled out by the Supervisor/Site Engineer and attached to the monthly site report. ESMPs will be prepared by SFD and PWP and contractors’ ESMPs will be prepared by contractors. SFD and PWP’s ESMPs will be cleared by the Bank and UNDP, while contractors’ ESMPs will be cleared by SFD and PWP 111 Environmental and social management duties is assigned to site engineer and technical engineers (Responsible Parties) and site manager (contractors). They have been trained in social and environmental risk management and have direct access and reporting channels to most senior management level. All site-specific assessments and management plans will be cleared by World Bank and UNDP and recorded in the MIS. In cases where similar activities are being conducted in a particular region, these activities may be grouped and covered under one site- specific ESMP. - - Site Engineers/Managers: Safety and health duties shall be specifically assigned to certain positions such as site engineer (IPs) and site manager (contractors). They shall have experience of safety training on work place safety, security and workers health, and shall have direct access and reporting channel to most senior management level. Some duties which shall be considered are: - organization and conduct of safety training programmes, including induction training for all workers on the site; - organization of information to be passed from management to workers, including those of subcontractors; - provision, construction and maintenance of safety facilities such as access roadways, pedestrian routes, barricades and overhead protection; - construction and installation of safety signs; testing of lifting machinery such as cranes and goods hoists, and lifting gear such as ropes and shackles; - inspection and rectification of access and welfare facilities such as scaffolds, ladders, toilets, washing facilities - Investigation and review of the circumstances and causes of accidents and occupational diseases so as to advise to the senior management on preventive measures; and participation in pre-site planning. - Site Supervisors: Good planning and organization at each work site and the assignment of clear responsibility to supervisors are fundamental to safety in construction. “Supervisor” here means the first level of supervision, which on site is variously termed as “foreman”, “charge hand”, and so on. Each supervisor requires the direct support of site management and shall seek to assure within his or her field of competence that: - working conditions and equipment are safe; - workplace safety is regularly inspected; - workers have been adequately trained for the job they are expected to do; - workplace safety measures are implemented; - the best solutions are adopted using available resources and skills; - necessary personal protective equipment is available and used. - Workers: Making the work site safe will require regular inspection and provision of the means for taking remedial measures. The training of workers enables them to recognize the risks involved and how they can overcome them. Workers shall be shown the safe way of getting a job done. Every worker is under a moral, and often also a legal, duty to take the maximum care for his or her own safety and that of fellow workers. The workers shall be involved directly in the following ways of, such as: - “tool-box briefing”, a five- to ten-minute session with the supervisor just prior to starting a task gives the workers and the supervisor a chance to talk about safety problems likely to be encountered and potential solutions to those problems. This activity is simple to implement and it may prevent a serious accident; - “safety check”; a check by workers that the work environment is safe before starting an operation may allow them to take remedial action to correct an unsafe situation that could later endanger them or another worker. 112 5. OHS management policy, strategy and procedures The OH&S policy provides an overall sense of direction and serves as the driver for implementing and improving the organization’s OH&S management system so that it can maintain and potentially impr ove its OH&S performance. The top management shall define and authorize the organization’s OH&S policy and ensure that it is communicated and implemented at all levels of organisation and available for external stakeholders and interested parties. 5.1 Hazard identification, risk assessment and determining controls The key hazards associated with construction works currently being undertaken by IPs include but not limited to injuries and diseases due to following- - Fall from heights - Slip, trip and falls - Transportation including traffic injuries - Material and equipment handling and transfer - Excavation work - Others e.g. weather elements, physical exertion, etc. The IP organizations shall establish, implement and maintain procedures for the ongoing hazard identification, risk assessment, and determination of necessary controls. The World Bank group -General EHS guidelines, provide useful information on Hazards identification and risk assessment method. The procedures shall include routine and non-routine activities, activities of workers, contractors and visitors, materials and equipment, change in processes and regulations and other requirements, etc. The organisations shall reduce the risks associated with hazards by applying controls based on their hierarchy. Wherever possible, preventive measures need to be prioritized over other measures e.g. personal protective equipment. It must be ensured that OH&S risks and determined controls are taken into account when establishing, implementing and maintaining its OH&S management system. 5.2 `Objectives and programs The IPs shall establish, implement and maintain documented OH&S objectives, at relevant functions and levels within the organization. The example of a key objective may include prevention and management of injuries. The objectives shall be SMART as far as possible, and consistent with the OH&S policy, shall take into account the legal requirements and other requirements and its OH&S risks. (SMART stands for Specific, Measurable, Actionable, Relevant and Time bound) The IPs shall establish, implement and maintain programmes for achieving its objectives. Programmes shall include as a minimum: designation of responsibility and authority for achieving objectives at relevant functions and levels of the organization; and the means and timeframe by which the objectives are to be achieved. Example of a program may include:  Community health and safety;  Material and equipment handling and transfer;  Prevention and management of workplace injuries during working at heights;  Excavation hazards;  Transportation hazards; 113  PPE;  Management and safety of hazardous materials;  Emergency preparedness;  Traffic and road safety. The programmes shall be reviewed at regular and planned intervals, and adjusted as necessary, to ensure that the objectives are achieved. Site specific Environmental Management Plan (ESMPs) that includes occupational health and safety measures: safety of workers and other persons, noise, maintenance of equipment, prevention of spread of diseases, debris, cleanliness, ease of movement, any social disputes and general appearance of the subproject including tree planting, etc. 5.3 Contract management for OHS Since large number of projects are implemented through sub-contractors, it is essential that implementation of OHS elements is in line with other projects across the country, covering various activities and based upon the OHS requirements as specified in the overall OHS framework. Detailed specifications to ensure occupational safety, security, health and environmental preventive measures shall be cited in contractor agreement documents including both General and Special Contract Conditions. The contracts for work to include essential OHS aspects provisions for their management such as but not limited to following- - Responsibilities of the contractor organisation on OHS management - Organisation and resources allocation including commitment of senior management on OHS - OHS procedures and protocols based on hazards identification and risk assessment of the specific work including job hazard analysis. - Decent work conditions and measures for emergency preparedness and response at worksites - Supervisors trained in monitoring and supervision activities e.g. workplace inspections, incidents reporting and management within a specified timeframe, corrective and preventive actions, - Provisions for workers insurance covering work related injuries and diseases - Mechanism for induction training covering basic safety and health at work, job specific training based on specific job hazards, first aid, fire safety and electrical safety aspects. IPs shall be responsible to monitor the Bill of Quantity (BoQ) for every subproject includes an item for environmental mitigation measures –safety on site such as fencing the site, proper storage of material to facilitate movement, in densely populated areas limitation in use equipment to avoid noise, provide latrines for workers and safety clothing / attire and first aid box. Orientation programs shall be conducted on OHS hazards and risks and their management by IPs for contracted contractors. IPs shall take action on non-complying contractors who are found repeatedly causing damages, injuries, and loss of life due to violation of safety compliance rules through notifications, fines, suspension, blacklisting etc 6. OHS management elements 6.1 Operational controls 114 Sub-project screening and categorization should be conducted at the earliest stage of design when sufficient information is available for this purpose. Based on the screening, the sub-project is categorized according to the degree of potential social and environmental risks and impacts. The targeted and site-specific assessments and management plans will be undertaken for all Substantial Risk sub-projects once project activities/sub-projects and sites are identified. For projects with easily identified risk management measures, a simplified ESMP must be developed. The IPs shall determine those operations and activities that are associated with the identified hazard(s) where the implementation of controls is necessary to manage the OH&S risk(s). This shall include the management of change. For those operations and activities, the IPs shall implement and maintain operational controls- - as applicable to the organization and its activities e.g. controls related to purchased goods, equipment and services; - controls related to contractors and other visitors to the workplace; - documented procedures, to cover situations where their absence could lead to deviations from the OH&S policy and the objectives e.g. permits, authorizations etc. - stipulated operating criteria where their absence could lead to deviations from the OH&S policy and objectives. Safe Work Practices Safe work practices are generally written methods outlining how to perform a task with minimum risk to people, equipment, materials, environment, and processes. Safe work practices shall be developed as a result of completing a Hazard Assessment and shall closely reflect the activities most common in the company's type or sector of construction. All safe work practices should be kept in a location central to the work being performed and readily available to the workforce. Key hazards and activities for which Safe Work Practices (SWP) are required to be developed include following- - Ladder safety - Scaffolding - Fall protection - Trenching and excavation - Housekeeping - Electrical safety - Fire safety - Welding, cutting and burning - Moving vehicles and equipment Safe job procedures Safe job procedures are a series of specific steps that guide a worker through a task from start to finish in a chronological order. Safe job procedures are designed to reduce the risk by minimizing potential exposure. Safe job procedures are developed by management and workers as a result of a Hazard Assessment, accident investigation and/or as a supplement to a safe work practice. Examples of such procedures include authorization for confined space work, work at heights and excavations etc. Safe work procedures shall be included in the company's "Worker Orientation" program. All workers shall be aware of the fact that safe job procedures have been established, are in effect. 6.2 Competence, training and awareness 115 To sustain the OHS management by the IPs in their project activities and to monitor the progress on OHS management, it is essential that under the framework, the capacity of implementing organisations is enhanced through procedures and programs for training and awareness on sustained basis. Based on the assessment of IPs, following key areas for training and capacity building on OHS are identified- - Capacity building of senior managers and officials on OHS Management aspects - Capacity building of project OHS managers and supervisors on OHS tools and their application in field. - Training and awareness of workers including contractual workers on safe and healthy work practices. The objective of capacity building of senior managers and officials of implementation and monitoring agencies on OHS Management aspects shall be to impart awareness on essential regulatory and other requirements and elements of OHS framework and to make them realise the need and benefits of OHS in construction as undertaken in the current project so as to develop favourable attitude for health and safety at work The objectives of the training program on capacity building of project level managers and supervisors on OHS tools and their application in field shall be to create awareness on specific OHS hazards and risks and measures for their control as applicable to the project activities and to build their capacity to carry out monitoring and supervision activities in the field through use of OHS tools. It is essential that the trained manpower shall further carry out training and capacity building in their respective organisations by acting as resource persons for such training. The IPs shall ensure that persons under its control performing tasks that can impact on OH&S are) competent on the basis of appropriate education, training or experience, and shall retain associated records. The IPs shall identify training needs associated with its OH&S risks and provide training or take other action to meet these needs, evaluate the effectiveness of the training or action taken, and retain associated records. The IPs shall establish, implement and maintain procedures to make persons working under its control aware of: - the OH&S consequences, actual or potential, of their work activities, their behaviour, and the OH&S benefits of improved personal performance; - their roles and responsibilities and importance in achieving conformity to the OH&S policy and procedures and to the requirements of the OH&S management system, including emergency preparedness and response requirements; - the potential consequences of departure from specified procedures. Training procedures shall take into account differing levels of responsibility, ability, language skills and literacy and risk as exposed by employees at various levels. Some of the activities in the project will include many inexperienced, untrained and unskilled workers, who are at greater risk of injury, and require focused and detailed training on physical hazards and work practices. Therefore, the IPs shall ensure that persons under their control performing tasks related to environmental and social risk management are competent on the basis of appropriate education, training or experience, and shall retain associated records. 6.3 Communication, participation and consultation Communication of OHS information to create awareness and active participation and consultation of workers and other employees is crucial for effective implementation of OHS activities and for sustaining the OHS system for long period. 116 The IPs shall establish, implement and maintain procedures for internal communication among the various levels and functions of the organization; communication with contractors and other visitors to the workplace; receiving, documenting and responding to relevant communications from external interested parties e.g. communities. The IPs shall establish, implement and maintain procedures for the participation of worker by their involvement in hazard identification, risk assessments and determination of controls; incident investigation; development and review of OH&S policies and objectives; consultation where there are any changes that affect their OH&S; and their representation on OH&S matters. This may be done through constituting and implementing Safety Committee / Safety team consisting of equal participation by managers and workers. Workers shall be informed about their participation arrangements, including who is their representative(s) on OH&S matters. The IPs shall develop consultation with contractors where there are changes that may affect their OH&S risks and their management. The IPs shall ensure that, when appropriate, relevant external interested parties e.g. communities are consulted about relevant OH&S matters. 6.4 Documentation Effective document management is critical for planning, implementation and evaluation of OHS activities as part of the framework for actions on OHS. The documents consist of operational manuals, procedures, instructions, records and reports etc. The OH&S management system documentation shall include documents covering following key areas- - the OH&S policy and objectives; - description of the scope of the OH&S management system; - description of the main elements of the OH&S management system and their interaction, and reference to related documents; - documents, including records, determined by the organization to be necessary to ensure the effective planning, operation and control of processes related to the management of its OH&S risks. The organization OHSMS Manual may contain such information in one place or alternately, operational manual may include section on OHS. Documents including records, required by the OH&S management system shall be controlled i.e. their availability and communication shall be with concerned officials and employees only. The IPs shall establish, implement and maintain procedures to: approve documents for adequacy prior to issue; review and update as necessary; ensure that changes and the current revision status of documents is identified; ensure that relevant versions of applicable documents are available at points of use; The IPs shall establish and maintain records as necessary to demonstrate conformity to the requirements of its OH&S management system and the results achieved. The IPs shall establish, implement and maintain procedures for the identification, storage, 117 protection, retrieval, retention and disposal of records. Records shall be legible, identifiable and traceable. 6.5 Emergency preparedness and response The IPs shall establish, implement and maintain procedures: to identify the potential for emergency situations and to respond to such emergency situations. The IPs shall respond to actual emergency situations and prevent or mitigate associated adverse OH&S consequences. In planning its emergency response, the IPs shall take account of the needs of relevant interested parties, e.g. emergency services and communities near work sites. The IPs shall also periodically test its procedures to respond to emergency situations, where practicable through conduction of Mock drills etc. The IPs shall periodically review and, where necessary, revise its emergency preparedness and response procedures, in particular, after periodical testing and after the occurrence of emergency situations. 7. OHS Monitoring and evaluation For construction activities, the IPs/site supervisor will be responsible for daily inspections (e.g. environmental inspections, Occupational Health & Safety) of the construction site. The IPs will be responsible for the day-to-day compliance of the OHS requirements at the specific project site. The IPs will maintain and keep all OHS records which would include a log of non-conformities and incidents together with records of any measures taken to mitigate the cause of the incidents. IPs will prepare a monthly report that includes (training, GRM, Accidents, working hours, field visits, and other highlights) and will be submitted to UNDP. A quarterly report that summaries the safeguard highlights will also be prepared by IPs and submitted to UNDP. The TPMA is expected to provide an independent perspective and extend the reach of UNDP in the field. The TPMA will monitor activities of the identified responsible parties (SFD SMEPs, and PWP) financed by the project. The TPMA is expected to visit project sites quarterly based on a sampling methodology. Monitoring of OHS risks and implementation of management measures will be included in Third Party Monitoring templates and reports. Monitoring and evaluation are an integral part of OHS management. Systematic monitoring and evaluation require attention to different aspects at all stages of implementation and includes proactive and reactive monitoring. Proactive monitoring involves assessing presence of key elements of systems, procedures and protocols for controls in place. Examples include presence and implementation of OHS policy, hazards identification and risk assessment procedures, emergency response procedures etc. In contrast, reactive monitoring involves monitoring of incidents and accidents. Regular reporting of incidents and accidents and their investigations on day to day continuous basis is essential for learning the lessons to prevent fatalities and serious disabilities. As part of the framework for actions on OHS, following monitoring aspects need to be addressed. 7.1 Performance measurement and monitoring The IPs shall establish, implement and maintain procedures to monitor and measure OH&S 118 performance on a regular basis. These procedures shall provide for: both qualitative and quantitative measures, proactive and reactive measures of performance. Incident investigation Any incidents, including non-conformances to the procedures of the ESMF, are to be recorded using an Incident Record and the details entered into a register. For any incident that causes or has the potential to cause material or significant social and/or environmental harm, the site supervisor/designated officer shall notify the Responsible Party senior management and ESPECRP Project Manager as soon as possible and no later than 24 hours. UNDP will also ensure significant incidents are reported to the World Bank within 48 hours. The Responsible Party must cease work until remediation has been completed as per the approval of Project Manager. All accidents are also kept in the register log at subproject site. The IPs shall establish, implement and maintain procedures to record, investigate and analyse incidents in order to: - determine underlying OH&S deficiencies and other factors that might be causing or contributing to the occurrence of incidents; - identify the need for corrective action; identify opportunities for preventive action; - identify opportunities for continual improvement; communicate the results of such investigations The investigations shall be performed in a timely manner. The results of incident investigations shall be documented and maintained. The following should be recorded: - Date and time of incident - Event description - Incident consequences, - Location of human injury (head, eyes, limbs etc.), - Type of event (fall, collision/struck by, contact, caught by/between, drowning etc.), - Subproject name and location - Nature of ongoing project or activities, - All data related to the incident and the victim itself. - Immediate actions taken Nonconformity, corrective action and preventive action The IPs shall establish, implement and maintain procedures for dealing with actual and potential nonconformities and for taking corrective action and preventive action. The procedures shall define requirements for identifying and correcting nonconformities and taking actions to mitigate their OH&S consequences; 7.2 Internal audit The IPs shall ensure that internal audits of the OH&S management system are conducted at planned intervals to: - determine whether the OH&S management system conforms to planned arrangements for OH&S management and has been properly implemented and is maintained; and is effective in meeting the organization’s policy and objectives; 119 - provide information on the results of audits to management. Audit program(s) shall be planned, established, implemented and maintained by the organization, based on the results of risk assessments of the organization’s activities, and the results of previous audits. Audit procedures shall be established, implemented and maintained that address - the responsibilities, competencies, and requirements for planning and conducting audits, - reporting results and retaining associated records; and - the determination of audit criteria, scope, frequency and methods. - Selection of auditors and conduct of audits shall ensure objectivity and the impartiality of the audit process. 7.3 Key monitoring indicators on OHS Indicators serve key role to monitor the OHS performance of the implementing organizations. The indicators shall include qualitative indicators as well as quantitative ones. The IPs shall develop their own list of indicators based on their activities. Following list of indicators is recommended for this purpose that may be suitably adapted and expanded by IPs, based on their assessment. Qualitative Indicators The qualitative indicators denote the presence or absence of a mechanism and need to be assessed for their availability with the organizations, their status of implementation and coverage for actions across the organization. Key indicators needed for monitoring OHS in the organization may include following - Presence and implementation of OHS policy by IPs. - Establishment of OHS organisation among IPs with clear roles, responsibilities, authority and resources - Presence and implementation of procedures on hazards identification and risk assessment by IPs - Identification and monitoring of their compliance for key regulations and other requirements by IPs - Establishment and implementation of objectives and programs covering project activities by IPs based on HIRA as above in 3. - Establishment and implementation of Contractors OHS Management Plan by IPs, specially PWP - Establishment and implementation of training plan by IPs - Report and follow up of Management Review of OHS by IPs. - OHS assessment report by Third Party Monitoring Agency on IPs. - Report of regulatory inspections of IPs by Inspection Agency of Government of Yemen and its follow up Quantitative Indicators The quantitative indicators need to be assessed through collection of data, its compilation for coverage and expression as percentage of total as statistics or as rates, on periodic basis, preferably on quarterly basis. Example of some of such indicators include- - Number of falls from height incidents out of total incidents reported in last three months, as percentage, - Coverage for actions by IPs of non-conformities identified during last three months etc. as percentage. - Coverage of training for senior OHS officials, Project managers, supervisors and consultants of IPs. - Coverage of training plan of IPs for Toolbox Talks and induction training for workers - Coverage of projects for OHS assessment/ Inspections on periodic basis by IPs 120 - Non-conformities reported and their corrective and preventive actions by IPs - Number of Incidents and accidents reports and their management by IPs. 7.4 Management Review To ensure effective implementation of various elements of the OHS management in the IPs, it is essential that a periodic review by top management be undertaken. As part of the implementation of the framework on OHS, Top management of IPs shall review the organization’s OH&S management system, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness. Reviews shall include assessing opportunities for improvement and the need for changes to the OH&S management system, including the OH&S policy and OH&S objectives. Records of the management reviews shall be retained. Relevant outputs from management review shall be made available for communication and consultation with stakeholders. Periodicity for review by senior management shall be determined by the organizations, quarterly frequency being most suitable for initial stages of system development and half yearly, once the system develops and fully implemented. 7.5 Toolkit for OHS management framework implementation support For supporting the effective implementation by IPs, a toolkit of resources has been developed. The toolkit consists of tools such as safe work practices, checklists and questionnaires, guidance notes for OHS management System implementation and formats for reports and records. The tools have been prepared by careful review of best international practices and standards on occupational health and safety and assessment of stakeholders and can be adapted for use by implementing organizations. 121 Annex 6. YECRP Conflict Sensitivity Framework: the new conflict sensitivity framework will be updated for the ESPECRP. Conflict sensitivity framework for ECRP will be used as no specific one is developed for ESPECRP 122 Annex 7. Stakeholder Engagement Plan  Introduction/Project Description The Emergency Social Protection Enhancement and COVID-19 Response Project (ESPECRP) builds on the ongoing IDA financed Emergency Crisis Response Project (ECRP) to deliver support to vulnerable Yemenis affected by conflict, COVID-19 and climate- related shocks. The project development object is to provide cash transfers, temporary employment, and increased access to basic services and economic opportunities to vulnerable populations affected by COVID-19 and the ongoing conflict. The Project will mainly target food insecure households and focus on interventions that are most effective at addressing food insecurity. Given the short-term food security needs, most of the Project funds are expected to be used to provide cash transfers (CTs) to vulnerable households. This includes unconditional cash transfers to Social Welfare Fund (SWF) beneficiaries as well as cash for nutrition as top ups and complementary services for SWF families that are most at risk of malnutrition. For vulnerable people that are able to work, the Project will continue to engage with communities to provide temporary employment opportunities to build valuable community assets, prioritizing community projects that contribute to food security, climate resilience and anchoring gender sensitive interventions. And in an effort to address food insecurity more sustainably, the Project will continue to provide economic opportunities to vulnerable populations through support to Small and Micro Enterprises (SMEs), with an emphasis on food market resilience and market-based mechanisms. Similar to the ECRP, Project interventions will include COVID-19-sensitive measures. The ESPCRP will be implemented jointly by the United Nations Development Program (UNDP) and the United Nations Children’s Fund (UNICEF) in partnership with two national implementing partners – the Social Fund for Development (SFD) and the Public Works Projects (PWP) for their respective components. The project will include four main components, namely: UNICEF in the provison of (Component 1) Cash Transfers, including(a) Unconditional cash transfers to SWF beneficiaries13; UNDP in provision of (Component 1) Cash Transfers Component, including (b) Cash for Nutrition14 (CfN); and UNDP in provision of (Component 2) Labor Intensive Works and Economic Opportunities, including (a) Cash for Work15; (b) Community Assets16; (c) Economic Opportunities and Food Market Resilience17; UNICEF and UNDP are jointly responsible for the provision (Component 3) of Project Management, Monitoring, Evaluation and Capacity Building of National Institutions; and (Component 4) Contingency Emergency Response. The project covers the districts of the 22 governorates that have high levels of distress index and most poor communities, women and children with malnourished and non-SWF beneficiary households. For the Unconditional Cash Transfer subcomponent, implemented by UNICEF, the project uses the pre conflict beneficiary list of the SWF CT program. 1.1 Key Project Risks Key project risks include High or Substantial political, security, macroeconomic, and operational risks - particularly the worldwide outbreak of the COVID-19 pandemic and flooding in western parts of the country; and exchange rate volatility and increases in fuel prices / shortages across the country. Political and security risks include potential interference in project related activities which can result in project delays. Moreover, security and political tensions as well as armed conflict may result in the temporary suspension or reallocation of project activities. The recipient agencies (UNDP and UNICEF) and implementing partners (SFD and PWP) will monitor the situation and follow appropriate mitigation measures. Macroeconomic risks include the shortage of fuel along with the potential depreciation of the Yemeni Rial. This can lead to an increase to food 13 Implemented by UNICEF in partnership with SFD. 14 Implemented by UNDP in partnership with SFD. 15 Implemented by UNDP in partnership with SFD. 16 Implemented by UNDP in partnership with PWP. 17 Implemented by UNDP in partnership with SFD. 123 prices and raised concerns that key services including medical efforts to combat COVID-19 are at risk. Operational risks include the global outbreak of COVID-19, and its effects on project activities including conducting wide public consultations for risk of infection. Each sub project’s ESMP will be assessed and screened for potential social, environmental and OH risks, developing required activities for mitigating such risks via a Mitigation Plan in line with UNDP’s Social and environmental safeguard policies and standards (similarly to YECRP).Key project social impacts related to activities under CfW and community assets such as SEA/SH, child labor, discrimination and potential of labor influx. Project’s risks may include lack of inclusion of vulnerable groups, elite capture of project benefits, security situation on the ground and potential risk of labor influx.  Brief Summary of Previous Stakeholder Engagement Activities Justification for the “preliminary” SEP: “The speed and urgency with which this project has been prepared to meet the growing threat of COVID-19 in the country, combined with restrictions on gatherings of people has limited the project’s ability to develop a complete SEP before this project is approved by the World Bank. This preliminary SEP was developed and disclosed prior to project appraisal, as the starting point of an iterative process to develop a more comprehensive stakeholder engagement strategy and plan. It will be updated with more details provided in the first update planned after project approval.” 1.2 UNDP UNDP is committed to ensuring meaningful, effective and informed participation of stakeholders and partners according to the program or project cycle which include early planning, problem identification and project or program design. Effective stakeholder engagement and participation enable easy project acceptance and local community ownership and empowerment of the social, environmental, OHS sustainability and benefit-sharing. This will lead to full participation and achieving the project’s outcomes and outputs with support of all stakeholders and reduce disagreement and conflict and support human rights and social and environmental protection at the same time. UNDP and its partners will ensure the stakeholder analysis and engagement plan are effectively and sufficiently implemented in the project cycles. Since 2016, UNDP and its partners have prolonged collaboration with the WB on previous projects such as YECRP 18 that has led to accumulative experience and knowledge in stakeholder engagement and consultations. ESF is aimed at ensuring stakeholder engagement, full participation, leaving no one behind and information disclosure to all project activities to address successfully any potential risks, comprising and not limited to: I- Impacts related to the Social risks, cover: (a) impacts relating to mistargeting and the lack of transparency and discrimination marginalised groups; and corruption in selection of the project recipients; (b) Effects of gender blindness, gender based violence, sexual abuse and exploitation typically associated with catastrophic events; (c) Negative impacts related to discrimination against women and children elderly and persons with disabilities during project beneficiarie selection; (d) impacts related to lack of children protection and children work due to high need of money among poor families; and (e) Impacts related to conflict eruption and social disputes due to lack of consideration to the different stakeholders’ needs and interests and mishandling water owernship, use and property rights. II- Environmental risks, incorporating. (a) Impacts of overuse, mismanagment deterioation to soils and land resource; (b) Impacts related to solid waste produced by workers (trash and plastic bags) accumulating and polluting the environment; and III- Occupational and community Health and Safety risks, including: (a) Community health and safety impacts relating to project activities during the implementation, COVID-19 and cholera infections impacts related to possible contamination of existing water sources, possible explosion due to remnants of war; 18 See more information in this website: https://www.ye.undp.org/content/yemen/en/home/projects/yemen-emergency-crisis--response----wb.html (dated on 21 Sep. 2020) 124 (b) impacts relalted to occupational health and safety for community such as accidents during excavation including ERW associated risks, cutting, breaking, quarrying, and transferring of stones…etc.; (c) impacts related to destruction of public services infrastructure (airstrikes/use of explosives); and To mitigate potential environmental, social and OHS risks and impacts, site-specific Environmental and Social Management Plans (ESMPs) will be prepared including contract clauses for contractors. 1.3 UNICEF The stakeholder engagement approach undertaken by UNICEF for the ECRP seeks to identify, contact, communicate, and maintain a regular dialogue with local, formal and informal authorities to facilitate smooth execution of project activities through a contracted Facilitation Organization. The Facilitation Organization ensures that formal and informal local actors and communities understand, accept and support the CT component to enable smooth implementation in a timely, efficient, effective, and inclusive manner. Subsequently, the Facilitation Organization must identify and meet with the relevant local authorities and community leaders (as applicable) in all the geographical areas where the Project is implemented, prior and during the implementation process, to ensure their buy-in and support for a smooth running of the project, particularly during the payment period and the supporting activities that take place before and after the cycle. Also, the Facilitation Organization ensures that beneficiaries are informed about the parameters of the project, as well as about the location of the payment sites. The facilitation organization also schedules the beneficiaries’ visits to the payment site and facilitate their orderly access to sites. The objectives of the Facilitation Process are to: (a) Identify and liaise with the relevant local actors including authorities and inform them about the project thereby gaining acceptance and support to ensure an enabling environment for project implementation throughout the country. (b) Strengthen links with the local actors by initiating and sustaining dialogue to receive their support in gaining project acceptance and facilitation of access, communicating project goals and rules within their communities or relevant audiences including the targeted beneficiaries and any other stakeholders. (c) Schedule and direct the beneficiaries of cash transfer program to the Payment Sites according to the established schedules, in an organized manner to avoid overcrowding. (d) Inform the relevant actors including and not limited to beneficiaries and communities about the Project and schedules of the payment and facilitate the beneficiaries orderly, inclusive and safe access to the Payment Sites. (e) Identify vulnerable groups of beneficiaries with physical impediments or sociocultural barriers that prevent them from accessing the Fixed Payment Sites and support them with differentiated measures, such as outreach home visits. Facilitation Mechanisms MECHANISM DESCRIPTION Meeting Actors at the Actors at Governorate level, including the governor, security authority and governorate Governorate level local council members are approached by the Facilitation Supervisors once clearance has been given by the Chief of Field Offices to provide them with facilitation letters from the central authorities. This will allow them to start facilitation activities at the District level. Meeting Actors at the Provides local actors with general information about the CT program, including eligibility District level criteria and grievance mechanisms; Informs them about the modalities, frequency, and location of the payment sites, takes their opinion in regard to access to those sites and the overall security situation in the district; and Gathers information regarding suitable local actors to involve on village/locality level. Meeting Local Actors Disseminates information about the CT program, ensuring buy-in and support of local at the Villages authorities for the project to run smoothly, particularly during the payment period; Inform /Localities Level them about the schedule for ECTP beneficiaries to attend payment sites; 125 Requests their cooperation in sharing the information with the CT program beneficiaries to secure their attendance to the allocated payment sites and on the scheduled dates only. Disseminating Information to CT Local actors assist in actively sharing the information. Beneficiaries UNICEF has also established a grievance redressal mechanism. Beneficiaries and non-beneficiaries can lodge their complaints through a toll-free number, or with field deployed staff using a mobile application for grievance collection, with offline and online capabilities, connected to the project’s MIS. In each payment cycle, a Third-Party Monitoring exercise and Post-Distribution Survey also take place providing an opportunity for engagement with beneficiaries and different stakeholders.  Stakeholder identification and analysis The project will provide stakeholder consultations and involve all targeted groups, through identifying individuals, groups, local communities, and other stakeholders that may be directly or indirectly affected by the project. The SEP focuses particularly on those directly and indirectly adversely affected by project activities as well as individuals, groups, communities that have interest in the project. In accordance with best practice approaches, the implementing agencies will apply the following principles to their stakeholder engagement activities: Openness. Public consultations throughout Project preparation and implementation Project lifecycle will be carried out in an open manner, free of external manipulation, interference, coercion or intimidation. Venues will be easily reachable, and not require long commutes, entrance fees, or preliminary access authorization. Cultural appropriateness. The format, timing and venue will respect local customs and norms. Conflict sensitivity. Considering the complex context of Yemen and referring to the humanitarian principles of neutrality and impartiality. Informed participation and feedback: Information will be provided and widely distributed to all stakeholders in an appropriate format, and provide opportunities to stakeholders provide feedback, and will analyse and address stakeholder comments and concerns. Inclusivity. Consultations will engage all segments of the local society, including disabled persons, the elderly, minorities, and other vulnerable individuals. If necessary, the implementing agencies, will provide logistical assistance to enable participants with limited physical abilities and those with insufficient financial or limited transportation means to attend public meetings organized by the Project. Gender sensitivity. Consultations will be organized to ensure that both women and men have equal access to them. As necessary, the implementing agencies will organize separate meetings and focus group discussions for women, girls and boys, engage facilitators of the same gender as the participants, and provide additional support to facilitate access of caregivers The SEP focuses on: • Identifying direct and indirect adversely affected or may be affected, and who will need additional information to understand the limits of project impacts. • Mapping the project impact zones and locating the affected communities within a specific geographic area can help define or refine the project’s area of influence. • Engaging and consulting the project’s beneficiaries in the planning, implementation, monitoring and reporting process. • Enhancing participatory approaches in all project cycles by each selected community with SWF families, and other families with pregnant and lactating women and children. • Ensuring confidentiality and social protection to the disadvantaged, IDPs and marginalized groups through the use of Grievance Mechanism (GM) that provides an opportunity for the affected people to report any problems and concerns in confidentiality and anonymity; 126 • Mainstreaming human rights, women empowerment, full participation, transparency, information disclosure, and environmental sustainability in all project’s actions; and • Building robust, innovative and transparent Information Management System (MIS) that reflect all activities, and which are implemented in accordance with the project identification and proposal. 1.4 Affected parties Affected parties who are directly affected by project activities should be closely engaged in identifying risks as well as in the decision-making on the mitigation measures. The direct affected parties include but are not limited to: UNDP: • Local communities who are benefitting from the sub-projects and community assets interventions. • Community workers (men and women); • Vulnerable people and population in sub-projects and implemented areas, including women, men, elderly, children and people with disability • Families with pregnant, lactating women and children, including from SWF beneficiary list; • Internally displaced people (IDPs); • Contracted contractors and employees, consultants, workers and site technicians; • Field staff directly involved in supervisions and monitoring; • Local NGOs involved in mobilization and preparation of communities’ readiness for implementati on; • MFIs and MSMEs UNICEF:  UCT program Beneficiaries (SWF beneficiary list) are the main stakeholders under the Unconditional CT program implemented by UNICEF. They interact with the project during the verification process, payment process and grievance redressal mechanism, as well as outreach and third-party monitoring activities.  Service provider staff involved in the implementation of the UCT program.  Authorities and local actors supporting facilitation and outreach activities. 1.5 Other interested parties Other interested parties may not experience direct impacts from the Project. However, they may consider or perceive their interests as being affected by the Project, and thus may affect the Project’s implementation. For UNDP, they include: • Local authorities including Local councils. • Other surrounding and ongoing projects in the subproject location. • Other local national non-governmental organizations (NGOs) and community-based organizations (CBOs). For UNICEF, they include:  Community members not on the SWF list. 1.6 Disadvantaged / vulnerable individuals or groups UNDP It is particularly important to understand project impacts and whether it may disproportionately fall on disadvantaged or vulnerable individuals or groups. Each sub-project has screening process to identify and rank the most vulnerable groups who should be the first beneficiaries according to stakeholder criteria and directly affected by the sub-project. UNDP anchors its overarching principles of environmental and social standards not only on human rights, DO NO Harm, Leaving no one behind and women empowerment, social inclusion, but also to include the vulnerable and minority groups in the Community Committee to ensure all affected people have voices and participated equally. UNDP with its partners work closely with the community committees to ensure the involvement in stakeholder engagement are inclusive of the following groups: • The most vulnerable and poor groups who are facing food insecurity and poverty; • Divorced, widowed, abandoned, pregnant and locating women and female-headed households; • Families with children; • Internally displaced People; • Minority groups and tribes; • Elderly people; • People with disabilities; • Poor families; and • Female, youth and children headed of household. 127 UNICEF The CT component of the project targets SWF beneficiaries who were identified by the SWF prior to the conflict for being the most vulnerable and poor. Within this target group, some may require special engagement efforts to ensure their equal representation in the consultation and decision-making process, such as families living in remote locations, persons with disabilities, females and IDPs. UNICEF will seek the views of vulnerable and disadvantaged groups during consultations if deemed necessary, in a confidential manner to protect their safety, and take these views into account during Project implementation. Information sharing and consultation techniques will be tailored according to the nature and common types of stakeholders, for example through visuals and sign language interpreters will be used for people with hearing disabilities and illiterate persons, where applicable; and venues will be chosen to be easily accessible to people with physical disabilities. In particular, the following tailored measures will apply (see Table 1). 128 Table 1: Tailored Stakeholder Engagement Measures (Disadvantaged/Vulnerable Individuals or Groups) Stakeholder Group Limitations to Engagement Frequency Measures/Resources to Facilitate Engagement Female beneficiaries May be uncomfortable in In every payment cycle, Hold female focus group discussions through TPM sharing opinions, asking through facilitation and activities. questions, or raising concerns TPM activities. Promote outreach activities led by female in the presence of males, due facilitators, including a female-only WhatsApp to cultural/social norms. All year round through network. the call center. Ensure the dissemination of key project messages through multiple channels, including radio, social media, word of mouth, banners, etc. This will include audio-visual materials for illiterate communities. Barriers to accessing these Time for TPM and outreach activities to take into meetings (for example, lack account the most suitable hours for females to of transportation, need of attend. spousal permission, childcare needs) Call Centre remains functional 6 days a week, 10h-13 hours a day for wider coverage. Beneficiaries who Challenges associated with In every payment cycle, Deployment of outreach (mobile) teams to reach live in remote areas, lack of transportation. through facilitation and remote communities; use of phone to reach out people with TPM activities. to beneficiaries where required. disabilities, elderly All year round through Ensure the dissemination of key project messages the call center. through multiple channels, including radio, social media, word of mouth, banners, etc. This will include audio-visual materials for illiterate communities. Call Centre remains functional 6 days a week, 10h-13 hours a day for wider coverage. IDPs IDPs might feel unwelcome to In every payment cycle, Community and religious leaders usually have a attend group meetings (fear through facilitation and good understanding on the people living in their of discrimination) TPM activities. community and can be used to facilitate participation in stakeholder engagement All year round through activities. the call center. Ensure the dissemination of key project messages through multiple channels, including radio, social media, word of mouth, banners, etc. This will include audio-visual materials for illiterate communities. Call Centre remains functional 6 days a week, 10h-13 hours a day for wider coverage. In addition, the implementing agencies will ensure that consultations are meaningful. As indicated in ESS10, meaningful consultations are a two-way process that: • Begins early in the project planning process to gather initial views on the project proposal and inform project design; • Encourages stakeholder feedback, particularly as a way of informing project design and engagement by stakeholders in the identification and mitigation of environmental and social risks and impacts; • Continues on an ongoing basis, as risks and impacts arise; 129 • Is based on the prior disclosure and dissemination of relevant, transparent, objective, meaningful and easily accessible information in a timeframe that enables meaningful consultations with stakeholders in a culturally appropriate format, in relevant local language(s) and is understandable to stakeholders; • Considers and responds to feedback. • Supports active and inclusive engagement with project-affected parties. • Is free of external manipulation, interference, coercion, discrimination, and intimidation • Is documented and disclosed. 1.7 Summary of Project Stakeholder Needs As mentioned previously, stakeholder needs assessment was not carried out due to the emergency nature of the project, however, this will be conducted during the first months of project effectiveness. Each project and subproject will be discussed and agreed at the first stage of each sub-project cycle during series of stakeholder consultations, including: prescreening, screening and project identification to draft ESMP or subproject proposal. Stakeholder needs will be based on each subproject and prioritized according to project criteria for the affected people, CT program beneficiaries, SWF families, families with pregnant and lactating women and children and others, to ensure improving nutrition and food security of the most vulnerable group to malnutrition during COVID-19. Each subproject will be assessed and scrutinized according to the needs and potential risks and levels. The risk management plan and ESCP will be developed according to the subproject risk level and approved by UNDP, UNICEF and the World Bank.  Stakeholder Engagement Program 1.8 Purpose and timing of stakeholder engagement program UNDP and UNICEF are committed to ensuring meaningful, effective and informed participation of stakeholders and partners according to the program or project cycle which include early planning, problem identification and project or program design. Effective stakeholder engagement and participation enable easy project acceptance and local community ownership and empowerment of the social, environmental, OHS sustainability and benefit-sharing. These will lead to full participation and achieving the project’s outcomes and outputs with support of all stakeholders and reduce disagreement and conflict and support human rights and social and environmental protection at the same time. UNDP, UNICEF and its partners will ensure the stakeholder analysis and engagement plan are effectively and sufficiently implemented in the project cycles. 4.1.1 UNICEF Stakeholder Engagement Components The CT component will maintain the same stakeholder engagement interventions as in the ongoing project (ECRP), where the consultation with beneficiaries and stakeholders happens continuously through Facilitation, Third party monitoring surveys and GRM. 4.1.2 UNDP Stakeholder Engagement Components: A. Stakeholder Engagement Analysis: requires involving and full participation of key stakeholder groups and communities from the project planning till the monitoring and evaluation phases. The identification of stakeholders and early consultations with primary target groups help to identify the various stakeholder representatives for the community committees in future. Also, this process covers consultation with all stakeholder groups interests and needs with consideration to the gender, ethnicity, and direct and indirect affected groups by the project or intervention. B. Stakeholder Engagement Plan: is dependent upon the findings of the stakeholder engagement analysis and consultations, aligned to the human rights-based and inclusive approaches, social-related issues, disability, age, ethnicity. The Stakeholder engagement methodology and plan and approaches should be sensitive and adaptable to the different target groups or local communities who involve in the project, to ensure their active participations and consultations. Besides gender related issues should be mainstreamed and centralized such as Gender, youth, elderly, marginalized/ IDPs/migrant groups and people with disability. 130 Different project components and implementation activities, potential risks and monitoring issues should be discussed transparently and involve the participation of identified stakeholder groups. The community committee should be elected with consideration to diversity inclusion of men, women, children and marginalized groups. C. Stakeholder Grievance Mechanism (GM): UNDP is committed to strong stakeholder engagement and accountable to stakeholder Response Mechanism (GM) that supports the project-affected people and UNDP’s partners and others to collaboratively address grievance, risks complaints and disagreements related to social, environmental and OHS impacts and standards. UNDP with its partners adhere to follow-up and respond immediately to any complaints within an agreed time between 15-30 days by SFD and PWP. The project partners (UNDP, SFD, PWP, TPM and WB) will discuss a common Management Information System (MIS) that allow to analysis and improve the grievance, complaints, accidents and reporting mechanisms, with high confidentiality and anonymity considerations. The project partners have designated staff with expertise in safeguard, gender, GBV and confidentiality, in additional to the Third Monitor Party (TMP) conducts its quarterly report from the local communities. UNDP with its implementing partners have designated gender and GBV focal points to follow-up and monitor the project impacts and safeguard the community and affected groups from gender discrimination and GBV risks. 131 Diagram 1: Stakeholder Grievance Mechanism and Closure Receive and registre complaint daily. Complaint closure, Acknowledge and report and assess within 1-3 mitigation measures days Develop and Mitigate and resolve negotiate a response complaint within 15- to complaint within 30 days 3- 10 days 1.9 Utilizing YECRP Systems in Place for Stakeholder Engagement The ECRP has an existing stakeholder engagement system which will continue to be implemented in the current project. For the UNDP components, meaningful stakeholder engagement is required by PWP and SFD to ensure full participation in project intervention by all communities and individuals. The updated Standard Operating Procedures (SOPs) of both Responsible Parties include procedures for community and stakeholder engagement within their project cycles as a key component of project identification, design and implementation, and describe a key component of the longer-term sustainability strategy for operations and maintenance. The ECRP has an existing system that will utilize and improve the SEP with below mentioned: • Community committees are set up at the onset of project at the identification and design phase and play a key role in supporting field teams, facilitating implementation and in the sustainability of community assets that are built through subprojects, after project closure. To sustain such community participation and engagement, subprojects include provisions to set up such community committees and provide resources for training whenever required. • The principles for sub-project cycle identification, development, and management specify that communities are involved from the outset in the selection and design phases, through project closure. • Engage communities earlier and reduce potential risks of conflicts between stakeholders over sub-projects a careful selection criterion was developed by UNDP and Responsible Parties. While laying out an objective set of criteria, and national data-based distress index, communities are also called upon to participate at the municipal level to engage in prioritization of community projects and identification of beneficiaries. • Subprojects must meet the basic needs according to poverty and service needs provided in national indicators. Priority is given to poorer communities. Data provided through national indicators, community groups are consulted to identify who will benefit from sub-projects, in this way stakeholders themselves are involved in the selection and decision of who benefits from sub-projects; • Both institutions (SFD and PWP) include gender mainstreaming, GBV and SEA/SH provisions as a means to ensuring equal participation of all stakeholders in subprojects and provide opportunities to improve women’s participation in decision-making as indicated in the above section on project impacts and risk, gender section. In addition to develop an action plan to build the capacity on the social safeguard requirements on gender, GBV and SEA; • The TPM also helps ensure stakeholders have been duly consulted and monitors their level of satisfaction with the ECRP project including with the sub-project selection criteria. TPM surveys have verified implementation of planned interventions, adherence to agreed implementation procedures, quality of implemented interventions, beneficiaries and community satisfaction on various aspects of project interventions and its effects/impacts on targeted 132 beneficiaries and communities. Women and men, youth are interviewed separately to enable meaningful participation by marginalized groups; and • ESMF stakeholder consultations well noted the need for strengthened and ongoing stakeholder engagement, bringing together the various stakeholders more regularly as true partners to help identify solutions to the challenges faced by the project. Stakeholder engagement will continue to be a priority of the project and project partners will continue to explore new and effective means to deliver on this commitment. Each sub-project should include a budget line for stakeholder engagement and training. In nutshell, UNDP and its partners’ experience and knowledge and capacity will ensure together we meet the purpose and ensure timely implementation of the SEP. For the UNICEF component, the ESPECRP project will maintain a similar ECRP stakeholder engagement system as described in section 2, with continuous monitoring and efforts being made to further strengthen the mechanisms which have already been established.  Engagement mechanisms will maintain the regular contact with beneficiaries, local actors and other stakeholders, prior, during and after the payment period, through facilitation and TPM activities;  Efforts will continue to be placed to increase the involvement of females, seeking innovative mechanisms to address barriers to female involvement due to the existing socio-cultural norms;  The GRM will remain functional across the year, giving beneficiaries and non-beneficiaries an ongoing opportunity to provide their feedback to the project. Furth er efforts will continue to be placed on increasing beneficiaries’ awareness about the GRM channels and encourage them to file their complaints;  TPM activities will continue to take place, with involvement of beneficiaries and other stakeholders, to collect their feedback on the different project processes. 1.10 Proposed Strategy for Information Disclosure During Project implementation, the implementing agencies will disclose information on the content of the project as well as related processes to targeted stakeholder audiences. Key dates for information disclosure are at the start of the project, at mid-term as well as at the end of the lifespan of the project. Formats of information disclosure are a combination of different channels as found suitable for each specific project component. These can include face-to-face meetings where applicable, accompanied by information shared vie radio, television, newspapers, posters, brochures and leaflets as well as via websites and social media. Information disclosure formats will be determined in discussion between the two agencies and the implementing partners SFD and PWP, following Project effectiveness.  UNDP • Creating two-way communications among affected, other interesting and disadvantaged people Distribute information to Government officials, NGOs, Local Government, and organisations/agencies. • Continuous and regular coordination and follow up with project partners such as IPs, other UN agenices and Clusters to brief on projects. • During the Initial phase - Informing the communities on the consultation process (by phone, face to face meetings, group discussion meetings), conduct field survey in coordination with communities - Inform them on the Overall Project Objectives , the sectors of interventions, available budget, methods for selection of intervention, importance of participation of all members including women, IDPs, vulnerable individuals or groups and marginalized groups if any. • Encouraging local communities to share their views and feedback freely on targeted baseline information and build robust relationships with communities. • Recording and documenting any community’s responses and concerns during the screening, assessment, management, implementation and monitoring and evaluation consultations. • Encouraging the community to use GRM tools such as (mailbox, telephone, emails and others), including for use on negative impacts and providing training on how to submit confidential complaints. • Raise awareness against COVID-19 and other health risks (such as Cholera) and the preventive measures. 133 • Community Social Agreements that define the roles & responsibilities of the communities towards Health & Safety of the communities. • IPs applying different techniques of consultations against discrimination and adapted to local traditions, norms, gender, age and ethnicity.  UNICEF • Continuous and regular coordination and follow up with project partners such as IPs, other UN agenices and Clusters to brief on projects. • Ensuring the implementation of a comprehensive communication strategy where project parameters, payment locations and payment dates, as well as GRM and fraud awareness messaging is disseminated using a combination of channels. • Recording and documenting beneficiaries and other stakeholder’s responses and concerns during the monitoring and evaluation consultations. • Encouraging beneficiaries and the community to use GRM channels. • Raise awareness against COVID-19 and other health risks (such as Cholera) and the preventive measures. • Creating two-way communications between UNICEF and broad community using social media; 1.11 Proposed Strategy for Consultation Given that all interventions in the ESPECRP project are the same as in the current UNDP project (ECRP), consultations with beneficiaries and stakeholders will occur in a similar manner, i.e. where community committees are established for targeted areas including representatives of all groups (men, women, IDPs, disadvantaged groups) in the process and then intervention areas/locations prioritized dependent upon the needs and expected benefits for the society. – in this regard, each sub- project will determine in which general location the stakeholder engagement plan will be rolled-out in. Continuous monitoring will be undertaken through third party monitoring surveys and GRM. Table 2: UNDP proposed Strategy for Information Disclosed and Consultation19 Sub-Project phase List of information to Methods Target group Responsibility be disclosed Project Identification, ESMP document Participatory Affected groups and UNDP through IPs Screening and includes area, target methods, door to interested groups: men, Assessment group, estimated door/social distance women, youth, elderly, cost, GM/CHM, meetings, public people with disability, ESFM, ES & OHS risks consultations, disadvantage groups, management and documentations migrant and IDP people mitigation plans, Awareness sessions/ Affected people, UNDP and IPs and GBV/ SEA/ gender training for Gender/ marginalized and women Safeguard and mitigation/ GBV and SH, GRM and groups, and community Gender specialists prevention plan. complaint’ channels/ committee confidentiality and anonymity complaints Implementation and Updated on Field visits/ FGD Affected/ disadvantaged UNDP Monitoring implementation of public and target groups, community subproject, SEA and Community committee GBV preventions, Consultations GRM types and Consultations/ FGD, Affected and groups and UNDP with IPs closure, accidents daily meeting/ field community committee, Safeguard and LMP, visits, GRM cases and injured and complained specialists environmental and accidents’ reports and people mitigations, updates 19 UNDP and IPs imply all COVID19 prevention measures in all their activities. 134 qualitative impact GRM/ incidents, GBV Community committees, UNDP, IPs, gender indicators and SH prevention/ and GBV and SH survivors and safeguard referral pathways and specialist daily monthly/ biweekly reports Evaluation and close M&E Spot-Checks FGD with Affected, UNDP with hired where accessible; beneficiaries and non- interested/disadvantages TPM and IPs Third Party beneficiaries and non-beneficiaries, and Monitoring Report, local government documentations The implementing partners will apply multiple methods and techniques (see table 2 above) to consult and communicate with stakeholder groups which are verified according to the location, targeted groups, such as: • Semi structural and door to door Interviews with stakeholders and relevant organization; • Hard and soft Surveys and questionnaires. • Public meetings, workshops, and/or focus group. • Participatory methods and approaches. • Other traditional mechanisms for consultation and decision making. • Stakeholder engagement events and consultations will be applied to receive any comments may raise during individual meetings, group meetings, and community sessions. • During the project cycle the meetings will be continuously are organized during the project identifications, screening, assessment, management and reporting and evaluation phases. • During the COVID 19 the prevention measures of social distance will apply to have telecommunication, or meeting with specific number of people and door to door discussion during the stakeholder consultations. • According to the stakeholder groups knowledge ability to read and write, the communication techniques of the data collection, and feedback and comments will be decided jointly; and • IPs will document any consultation via written report, photos and short video is possible. Besides consideration to the gender segregation in public consultations to ensure women are participated freely and no discrimination among different stakeholders. Table 3: UNICEF Proposed Strategy for Information Disclosure and Consultation List of information to be Project Stage Methods Proposed Target Stakeholders Responsibilities disclosed Prior and CT project Official meetings and Central level authorities UNICEF during each parameters, location official letters and Governors payment cycle and dates of payments, GM, Fraud Official meetings and Governorate and district UNICEF/SFD through and SEA prevention, official letters; Facilitation level authorities Facilitation COVID-19 measures meetings Organization Community meetings, Local actors, Community UNICEF/SFD through Community influencers members, SWF Facilitation and leaders (word of beneficiaries Organization and mouth), Radio, Social GM personnel Media (Facebook, Twitter, WhatsApp), Friday Speeches (by Imams), GM, Printouts including banners, cards, posters, leaflets Progress updates Consultative Committee UNICEF members Between CT project GM Community members, UNICEF/SFD through payment cycles parameters, Fraud SWF beneficiaries GM personnel (non- and SEA prevention, Progress updates Consultative Committee UNICEF COVID-19 measures members 135 implementatio n phase) • During the implementation of this strategy, the project will strictly comply with the necessary COVID-19 preventative measures including maintaining adequate physical distancing, ensuring the use of masks or face coverings by all participants in the meetings, adopt the regular use of hand sanitiser and conduct meetings preferably outdoors and with a small number of participants. 136 1.12 Proposed Strategy to Incorporate the Views of Vulnerable Groups UNICEF, UNDP and the Implementing Partners will apply the following principles for stakeholder engagement: • Free and full participation: public consultations for the project will continue during the whole project lifecycle from preparation through implementation. Stakeholder engagement will be free of manipulation, interface, coercion, and intimidation. • Two-way communication approaches and Informed participation and feedback: 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. Through continual meeting and encourage feedback from the stakeholder groups and also provide hotline, mailbox to provide any comments with high confidentiality. • Inclusiveness and Do NO HARM: stakeholder identification is undertaken to support better communications and building effective relationships. The participation process for the projects is inclusive. All stakeholders are always encouraged to be involved in the consultation process. Equal access to information is provided to al l stakeholders. Sensitivity to stakeholders’ needs is the key principle underlying the selection of engagement methods. • Separated, private and face to face consultations: Special attention is given to vulnerable and minority groups particularly women headed households, youth, elderly, people with disabilities and the cultural sensitivities of diverse ethnic groups; and • Periodically and various meeting type: there are various types of individual, small group meetings public gather, face to face private meeting all be used depend on the location and the needs of stakeholder groups and their opinions are taken and discussed with the other group within the community. 1.13 Timelines UNDP, UNICEF and the Implementing Partners are committed to ensuring proper communication and appropriate information disclosure through the continuous consultations and meetings with stakeholder groups. For UNDP, this will happen as follows: • Daily with IPs’ field staff and supervisor meet with sub -project’ Community Committee; • Periodically bi-weekly, monthly and quarterly visits by safeguard, Gender/GBV focal point, IP management staff; • UNDP and TPM will conduct inceptions and field visits; • Urgently and immediately, in case any complaints, GM and incidents happened; and • All GM complaints and cases should be mitigated and treated within two weeks according to the Complaints Handling Mechanism (CHM). Also, the developed IMS will also alert if complains are in need to be treated immediately based on the urgently of the issues and concerns. For the CT component, UNICEF/SFD will adopt the same timeline used during the current ECRP, with stakeholder engagement happening before and during the payment period through facilitation, TPM and PDM activities conducted prior, during and after the payment period; and a functional GM through which grievances will be immediately analyzed and acted upon within the timeline defined by the relevant protocols. 137 1.14 Review of Comments and Future Phases of Project The project’s implementing partners, UNICEF and UNDP will gather the stakeholder’s written and oral comments to the CHM and Grievance Response Mechanism (GRM), established in UNICEF, SFD and PWP during project implementation. In addition, UNDP will develop a MIS system to categories all GRMs complaints according to issues and the time of response. UNICEF, UNDP and IPs agree to ensure all GRM complaints be treated in accordance with good faith, natural justice and fairness and be resolved as per the existing protocol20.. Unless particular cases are required to be handled through a judicial/legal process. In addition, the project will provide urgent responses to critical cases. UNICEF, UNDP and the Implementing Partners will develop an agreed common MIS system that will allow transparency and accountability for reviewing stakeholders’ concerns. The IPs will provide hotline and telephone services for responding to immediate and urgent concerns or needs during the implementation phase.  Resources and Responsibilities for implementing stakeholder engagement activities 1.15 Resources UNDP and UNICEF will be responsible for managing the project over a two year-period. UNDP will work with collaboration with SFD and PWP and UNICEF will work with SFD. UNPD and UNICEF will improve the capacity of the implementing partners to implement the stakeholder engagement and social safeguard related issues effectively and ensure participation of the stakeholders through all project activities. UNDP will hire a Third-Party Monitoring (TPM) to develop respective agency-run call-centers, ensuring IPs have contact email and mobile telephones to receive complaints at any time. For the CT component, UNICEF and SFD will be engaged in facilitation, TPM and GRM costs as per the contracts issued with the service providers in order to reach the service the SWF beneficiaries.  Grievance Mechanism Both Responsible Parties have a grievance mechanism and the CHM in place and have previous experience of working in Yemen as guided by UNDP, UNICEF and by World Bank rules and regulations. 1.16 UNDP A complaint in the GM ensures stakeholders can express dissat isfaction about the standard or quality of the Responsible Party’s activities. Additionally, it allows identification of any negative and lack of actions taken by either of the Responsible Party or their partners that directly or indirectly cause distress to the affected beneficiary or any other party. Complaints should be received through complaints box at subprojects, face to face to designated field or GM officer, specific telephone or fax numbers and emails, all will be shared and disseminated before implementation phases. There is a CHM established within the ECRP which it will be improved and adapted to the ESPECRP to address Gender and GBV/SEA complaints. The updated CHM will receive complaints via different channels such as call centre, complaint box, telephone, WhatsApp, and Email which are well registered, mitigated, monitored, and closed within 15. The objectives of CHM are as follows: 1. Improve accountability to SFD and beneficiaries; 2. Increase the level of beneficiaries’ satisfaction with the delivery of services and enhance the relationship between beneficiaries and SFD; 3. Provide an efficient, fair and accessible mechanisms for resolving beneficiaries/partners complaints; 4. Guide SFD staff in handling complaints; and 5. Allow to rectify mistakes, raise alertness to problems, and continuously learn and improve. The CHM is characterized by a number of important features, including the following: 1. Protect beneficiaries /partners rights to comment and complain; 20 the majority of grievances take 1 – 15 days to be addressed while others may take over 30 days specially if had to be escalated to official legislative channels or investigated by a third-party. 138 2. Neutrality and equity while handling complaints; 3. Timing: short cycle, quick response to the critical complaints; 4. Transparency: Partners will be aware of the procedures; understand its purpose, have sufficient information on how to access it and understand how it works; 5. Confidentiality: Create an environment in which people feel comfortable to raise concerns and grievances or stand in witness. Confidentiality assures that any information given is restricted to a limited number of people and that it is not disseminated widely, therefore offering an element of protection and security to the complainant; and 6. Accessibility: The CHM will be easily accessed by as many people as possible within any stakeholder in the place where projects are being implemented. UNDP’s corporate Stakeholder Response Mechanism (SRM) is intended to supplement the CHM of the Responsible Parties throughout the project cycle. The SRM provides an additional, formal avenue for stakeholders to engage with UNDP when they believe that the project may have adverse social or environmental impacts on them; they have raised their concerns with the Responsible Parties, and they have not been satisfied with the response through the CHM process. The SRM provides a way for UNDP to address these situations systematically, predictably and transparently. UNDP’s SRM is intended to:  Improve environmental and social outcomes for local communities and other stakeholders affected by UNDP projects;  Enhance UNDP’s ability to manage risks related to its Social and Environmental Standards, in order to avoid or mitigate social and environmental impacts;  Ensure that UNDP responds to the concerns of project stakeholders with regards to social and environmental risks and impacts;  Ensure feedback and operational learning from the SRM, by integrating SRM requests, responses and results into UNDP’s results-based management, quality assurance processes;  Submission monthly report on GRM by the two responsible parties to UNDP and the issues of complaints and duration of HCM are monitored by UNDP and TMP;  Reflect and advance best practices among social and environmental grievance resolution processes to be a regular, integrated part of project management; and  UNDP will hire TPM to develop a MIS system and on hotline calling centre to receive any complaints in addition to responsible partners MIS systems. 1.17 UNICEF The Grievance Mechanism (GM) includes a component of grievance collection, whereby complaints from beneficiaries, community members and project staff are received and logged into the project’s Management Information System (MIS); and a component of redressal whereby the grievances are analysed and acted upon. The data of the complainant is collected when filing the grievance; but all complaints are treated with confidentiality and the complainant information is not disclosed to those against whom the complaint is filed. A call center established for the Project in Sana’a is used by beneficiaries to file their grievances using a toll -free line (8003090). The call Center is open six days a week and operates for a minimum of 8 hours a day, with the number of working hours increasing as required to respond to the demand based on ongoing monitoring of the number of calls. Due to concerns over the effectiveness and quality of the grievance collection and the need to secure the independence of this service, the call center will operate under UNICEF’s direct oversight. Trained Call Centre Agents – both males and females - ensure that these grievances are registered in the Grievance module of the Management Information System (MIS) within the appropriate grievance type, to ease the analysis and redressal. Due to the risk of exclusion of those beneficiaries in areas with limited or no phone network coverage, UNICEF has released a mobile application for grievance collection. Dedicated field staff deployed in such areas collect grievances directly from beneficiaries through face-to-face interaction and store them in mobile devices through this offline-capable application. When 139 connected to the internet, this mobile application connects to the MIS and the grievance information is deleted from the mobile device and uploaded in the system. All grievances recorded in the MIS are automatically categorized allowing for redressal as per agreed protocols. Grievances of suspected fraud are subject to a first level of desk review to determine which ones require immediate investigation by the third-party monitoring organization; and which ones need a different type of redressal such as review of documentation, clarifications to the beneficiary, etc. Grievances associated with the quality of services or mistreatment are referred to the concerned contract manager for follow up with the service provider. Grievance linked to beneficiary issues (i.e. challenges experienced by the beneficiaries that prevent them from collecting their cash benefits) are addressed by the case management team – with males and females. UNICEF will handle SEA/SH grievances as outlined in the note Grievances Mechanisms for SEA/SH in World Bank-financed Projects. The mandate of a SEA/SH Grievance Mechanism (GM) is limited to: (i)referring, any survivor who has filed a complaint to relevant services, (ii) determining whether the allegation falls within the UN definition of SEA/SH, and (iii) noting whether the complainant alleges the grievance was perpetrated by an individual associated with a World Bank project. A SEA/SH GM does not have any investigative function. It has neither a mandate to establish criminal responsibility of any individual (the prerogative of the national justice system), nor any role in recommending or imposing disciplinary measures under an employment contract (the latter being the purview of the employer). All branches of the GM must be sensitive to handling SEA/SH complaints, including multiple reporting channels, the option of reporting anonymously, a response and accountability protocol including referral pathways to connect survivors with needed SEA services. Through the GM, community members and service providers may make complaints on issues such as the following:  Adverse social or environmental situation caused by the project;  Access to project services – (for example if an intended project beneficiary has not been reached by the project.);  Deviation in implementation or use of project inputs – (if implementing partners deliver services or pay to beneficiaries an amount less than the standard set by UNICEF for the project);  Complaints on SEA related issues with ensuring complete confidentiality to protect impacted survivors due to culture norms in the country; and  Any other concerns The CT program GM will:  Be responsive to beneficiaries, address and resolve their grievances;  Serve as a channel to receive suggestions, and to increase community participation;  Collect information to enhance management and improve implementation performance;  Promote transparency and accountability on the modality and performance of the project;  Deter fraud and corruption;  Include referral pathways to refer SEA survivors to appropriate support services;  Mitigate environmental and social risks; and  Build trust between citizens and ECT management. GM Principles:  Protect beneficiaries’ and stakeholders’ rights: beneficiaries and stakeholders have the right to make their voices heard. No retribution will be exacted for participation/use of the GM system.  Transparency and Accountability: All complainants will be heard, taken seriously, and treated fairly.  Timeliness: All complaints will be addressed as per protocols.  Neutrality, Equity, and Non-Discrimination: All complaints will be treated with respect and equally regardless of the community groups and individuals, types, ages and gender.  Accessibility: The GM will be clear and accessible to all segments of affected communities.  Confidentiality: Information communicated through the GM is restricted to a limited number of people and is not disseminated more widely, offering protection and security to the complainant. The entire grievance collection and redressal process is registered and recorded into the MIS. This enables the implementation of comprehensive quality assurance processes, with concrete protocols, to ensure that all grievances are recorded and handled in a proper manner. Based on the experience of the ongoing CT component of the ECRP, the types of grievances and their categories stipulated by the CT program are described in the following table: 140 Grievance categories and types Grievance category Grievance Type The beneficiary was issued a CM form, but the CM form was never given to him/her by the CMA Suspected Fraud Demand of fee/commission Person claiming no payment Received lower amount than assigned Someone is collecting the passbooks and cash on behalf of them The project staff is not using COVID-19 protective gear (select gloves, masks, other) No priority for vulnerable groups at the payment site Service Quality The bank notes I received are not acceptable in my district Site not open Case Management team did not provide the necessary information to the beneficiary Lack of cash No security personnel available Site located too far away from home Staff not helpful Multiple visits to the site to be paid I was asked to do a copy of my ID outside the payment site to be able to receive the cash No female staff available The payment was suspended in my governorate I was refused payment in my scheduled date I have not been informed of my scheduled date Long wait at site No screening officer available to organize the crowds Delay in Responding/processing the grievance The Officer/Cashier retained the beneficiary’s Case Management form No adequate facilities (no waiting area, no seats, no toilets/no proper toilet) The payment agency allocated to beneficiary does not operate in his district of residence Difficulties in collecting because the site is operating offline ID rejected by bank system I have requested to be paid at home, but the payment agent did not come System is not working/connection problem The Officer/Cashier retained the beneficiary’s ID Lack of information about steps to collect the money/services available/other (explain what) The banknotes I received are very old or torn The beneficiary is eligible for payment but not paid The Case Management Assistant met the beneficiary but not at the beneficiary’s house The beneficiary and the case management assistant agreed on a visit date, but the case management assistant did not come I made a grievance about suspected fraud, but the grievance was not solved I have requested to be paid at home, but I have not been flagged as home outreach 141 Grievance category Grievance Type COVID-19 security distancing (at least 1 meter) was not enforced by the project staff (select: at community meetings, at payment site, during CM work, during TPM work, during fraud investigation work) There was no hand sanitizer at the payment site Mistreatment I was asked for a favor to benefit from the project Poor attitude of staff Physical aggression Verbal aggression The beneficiary is differently abled, dependent on a family member’s care, live in a household and are the only beneficiary in the list Issues with names as per his/her ID I cannot collect my cash because I am flagged as “No payment” Beneficiary issues I cannot collect my cash because I am flagged as Disqualified I want to edit/change grievance. I want to withdraw my grievance SWF passbook or ID lost/damaged Beneficiary cannot attend the operational Site Beneficiary is deceased No ID, or ID lost/damaged I have an ID but have not yet been verified Cannot collect because of expired ID I am wrongly flagged as deceased Beneficiary who is a minor and does not have a representative on the Beneficiary List The beneficiary is in a health institution or orphanage and there are no family members I want to cancel my home outreach request I am flagged as “Requires CM” I cannot collect my cash because I am flagged as no show My case was rejected because of lack of documents but now I have the documents needed and want CM support Grievance follow-up: I was contacted but could not pick up the phone/was out of coverage I want to update my address (location) I want to update my phone number I am being forced to work extra hours without being paid for the extra time Staff challenges I have been mistreated by my superiors/colleagues I was asked for a favor to work for the project I have not been given adequate/safe working conditions I have not received the salary I am entitled to I did not receive proper training 142  Monitoring and Reporting 1.18 Involvement of stakeholders in monitoring activities UNDP will include in the final Stakeholder Engagement Plan measures to ensure the involvement of stakeholders in project monitoring during the implementation phases, and to enhance community’s ownership and participation including: • IPs with subproject’s community committee will organize biweekly, monthly and quarterly meetings to collect, register and address the GM received at each site. Sometimes urgent meeting can be called to address any immediate responses and actions; • UNDP, and the IPs will monitor involvement of stakeholder as agreed in the SEP; • UNDP, and the respective TPMs will monitor the project or impact associated with the project at quarterly basis and also monitor a developed MIS and hotline to respond to the GM complaints; and • UNDP, the IPs and the TPM to collect and consolidate best practices and lesson learned from the field visits. UNICEF will maintain the current ECRP arrangements, where a TPM will be contracted in each payment cycle. UNICEF/SFD will also maintain regular monitoring of the progress and challenges. 1.19 Reporting back to stakeholder groups For the component implemented by UNICEF, the project’s IPs work is focused on ensuring reporting back to stakeholder groups and two-way communication on daily and weekly basis by the field engineering and monthly and quarterly by the safeguard team and TPM. In addition to safeguard and GM staff will provide direct reporting and handling mechanism to any complaints and concerns from community within 15 or 30 days. 143 Annex 8. Labour Management Procedure 1. INTRODUCTION This Labor Management Procedure (LMP) has been prepared for the Emergency Social Protection Enhancement and COVID- 19 Response Project (ESPECRP), which will ensure compliance with Environmental and Social Standard on Labor and Working Conditions (ESS2) of the World Bank’s Environmental and Social Framework (ESF) and the national legislation and regulations of the Government of Yemen. Accordingly, the purpose of this LMP is to facilitate the planning and implementation of the project by identifying the main labor requirements, the associated risks, and the procedures and resources necessary to address the project-related labor issues. The LMP sets out general guidance relevant to different forms of labor but also issues and concerns that relate to COVID-19 considerations. 2. OVERVIEW OF LABOR USE ON THE PROJECT ESS2 categorizes the workers into direct workers, contracted workers, community workers. This Labor Management Procedure (LMP) applies to all project workers as defined in ESS2:  Direct workers- The project will be managed and supervised by UNDP. Implementing partners (SFD, PWP and SMEPs) staff are considered also as direct workers. In addition, personnel contracted directly by the IPs such as consultants are also be considered as direct workers. The UNDP team is proposed to consist of the following personnel: o Project Manager o Project coordinator o Monitoring and evaluation Specialist o IT Specialist o Communication and Visibility Specialist o International Safeguard Specialist o Environmental and Social Safeguard Specialist o National Gender and Social Safeguards Specialist o National Occupational Health and Safety Specialist o Project Assistant PWP The direct workers will include staff & consultant staff: o PWP Director o 7 Main Area Staff o Technical Advisor o Legally Advisor o 5 Procurement Staff o 3 Investment Planning Staff o 8 Finical Unit Staff o 2 Internal Auditor Staff o 3 Monitoring and Evaluation Staff o 3 Safeguard Staff o 6 Technical Unit Staff o 2 HR Staff o 3 IT Staff o 2 Social Communication and Media Staff o 6 Logistic Staff o 6 Audience Hall Staff o 40 Sub areas Staff 144 Figure 1: PWP Project Organization Structure SFD direct workers will include all staff & consultant staff: Social Fund for Development (SFD) Project Organizational Structure: 145 Figure 2: SFD Project Organization Structure SMEPS: The direct workers will include all staff & consultant staff: SMEPS Project Organization Structure: Figure 3: SMEPS Project Organization Structure  Contracted workers- Contracted workers include the contractors who in turn employs workers/ labor based on daily wages to perform (i) skilled field-related works, (ii) IT-related works, (iii) training-related works.  Community workers- Include Labor / Workers recruited by the contractor from within the communities. To meet the objectives of the ESPECRP of providing temporary employment and economic opportunities for vulnerable communities, the contractor should recruit at least 50% of the workers from the local community. Characteristics of Project Workers: All workers for the ESPECRP will be recruited locally. Contractors will be encouraged to recruit local workers including female workers to the most extent possible. Female workers will be assigned to tasks appropriate with their capabilities. Contractors will ensure that labor meet the minimum approved age i.e. not less than 18 years for light work not involving any potential risks or hazards and above 18 years for others. Timing of Labor Requirements: For each community asset, consultants will be recruited at the design stage. contractors, supervision and workers will all be recruited at the beginning of the subproject. Skilled workers will be hired, when required, according to the nature of the works. The number of workers needed for each activity will be determined prior to implementation. 3. ASSESSMENT OF POTENTIAL LABOR RISKS Project Components: The Emergency Social Protection Enhancement and COVID-19 Response Project (ESPECRP) builds on the ongoing IDA financed Emergency Crisis Response Project (ECRP) to deliver support to vulnerable Yemenis affected by conflict, COVID-19 and climate- related shocks. The project development objective is to provide cash transfers, temporary employment, and increased access to basic services and economic opportunities to vulnerable populations affected by COVID-19 and the ongoing conflict. The Project will mainly target food insecure households and focus on interventions that are most effective at addressing food 146 insecurity. Given the short-term food security needs, most of the Project funds are expected to be used to provide cash transfers (CTs) to vulnerable households. This includes unconditional cash transfers to Social Welfare Fund (SWF) beneficiaries as well as cash top ups and complementary services for SWF families that are most at risk of malnutrition. For vulnerable people that are able to work, the Project will continue to engage with communities to provide temporary employment opportunities to build valuable community assets, prioritizing community projects that contribute to food security, climate resilience and anchoring gender sensitive interventions. And in an effort to address food insecurity more sustainably, the Project will continue to provide economic opportunities to vulnerable populations through support to Small and Micro Enterprises (SMEs), with an emphasis on food market resilience and market-based mechanisms. Similar to the ECRP, Project interventions will include COVID-19-sensitive measures. The project will cover Three main components for a duration of three years. Below are the components that will be managed by UNDP Component 1: Cash transfers  Subcomponent 1.2: Cash for Nutrition o Implemented by SFD o Managed by UNDP Component 2: Labor intensive works and economic opportunities  Subcomponent 2.1: Cash for Work o Implemented by SFD o Managed by UNDP  Subcomponent 2.2: Community Assets o Implemented by PWP o Managed by UNDP  Subcomponent 2.3: Economic opportunities and food market resilience o Implemented by SFD o Managed by UNDP Component 3: Project management, monitoring and evaluation  It includes direct and indirect costs; capacity building of SFD and PWP, TPM and evaluation IV- Impacts related to the Social risks, cover: (f) impacts relating to mistargeting and the lack of transparency and discrimination marginalised groups; and corruption in selection of the project recipients; (g) Effects of gender blindness, gender based violence, sexual abuse and exploitation typically associated with catastrophic events; (h) Negative impacts related to discrimination against women and children elderly and persons with disabilities during project beneficiarie selection; (i) impacts related to lack of children protection and children work due to high need of money among poor families; and (j) Impacts related to conflict eruption and social disputes due to lack of consideration to the different stakeholders’ needs and interests and mishandling water owernship, use and property rights. V- Environmental risks, incorporating: (c) Impacts of overuse, mismanagment deterioation to soils and land resource; (d) Impacts related to solid waste produced by workers (trash and plastic bags) accumulating and polluting the environment. VI- Occupational and community Health and Safety risks, including: a) Community health and safety impacts relating to project activities during the implementation, COVID-19 and cholera infections impacts related to possible contamination of existing water sources; b) impacts relalted to occupational health and safety for community such as excavation risks, cutting, breaking, quarrying, and transferring of stones…etc.; c) impacts related to destruction of public services infrastructure. Key Labor Risks Include: Child Labor and Forced Labor 147 Subprojects will be implemented by local workers. Ensuring that the terms and conditions for these workers are in accordance with the requirements of national law and in compliance of this LMP, in particular child and forced labor. Moreover, the deteriorating economic conditions present the risk that child and/or forced labor may be used in programming activities. As the construction activities will involve hazardous work, persons under the age of 18 will not be employed by the project unless to perform light duties. Similarly, no child, forced, involuntary or unpaid labor will be used in any works activities directly associated with the project. Labor influx In some cases, worker unavailability or lack of technical skills and capacity among local community will require the implementing partner/ contractor to bring skilled labor from outside the project area. This influx is compounded by an influx of other people (“followers”) who follow the incoming workforce with the aim of selling them goods and services, or in pursui t of job or business opportunities. The rapid migration to and settlement of workers and followers in the project area is called labor influx, the influx of workers and followers can lead to adverse social and environmental impacts on local communities, especially if the communities are rural, remote or small. Such adverse impacts may include increased demand and competition for local social and health services, as well as for goods and services, which can lead to price hikes and crowding out of local consumers, increased volume of traffic and higher risk of accidents, increased demands on the ecosystem and natural resources, social conflicts within and between communities, increased risk of spread of communicable diseases, and increased rates of illicit behavior and crime. Depending on the size and the skill level of the local workforce, a share of the workers required for the project will be recruited locally. This is generally easier for unskilled workers, while more specialized staff (typically required in smaller numbers) frequently will be hired from elsewhere. UNDP, PWP, SFD will ensure Transparent local community engagement and participation during initial project decision-making and continue routinely throughout the life of the project through GRMs to ensure effective Information disclosure, community involvement. Gender-based Violence (GBV)/Sexual Exploitation and Abuse (SEA)/Sexual Harassment (SH): With persistent gender gaps existing even prior to the conflict (i.e., in education, legal restrictions on mobility and decision- making, barriers to female participation in the labor force and in political life, and few opportunities for voice, paid work and entrepreneurial activity), women are more vulnerable to the economic, social and security challenges that result from the conflict and should thus be proactively reached for access to cash to improve their purchasing power for food and basic necessities. The stark gender gaps are influenced by and set within the context of conservative and strict gender norms. The project includes specific actions and design parameters to ensure the inclusion and participation of women. Such design parameters will ensure women are provided an equal opportunity to benefit from the employment opportunities (for example, targeting female-headed households, allowing flexibility in work hours, and providing on-site childcare). Consideration for IDPs, women and youth as specific vulnerable groups are included in the targeting as well as type of intervention. Investing in persons with disability is central to poverty reduction and achieving the sustainable development goals. The project will ensure that gender sensitive interventions are mainstreamed across all project components, creating pathways for employment and participation in society and playing a key role in building resilience to shocks, improving livelihoods and mitigating social constraints. This is relevant in the current country context as empowering women’s full productive potentia l can yield enormous dividends in reducing GBV, gender gaps in education, employment and access to services. A GBV assessment will be undertaken for the project prior to implementation to have a sense of potential GBV, Sexual Exploitation and Abuse (SEA)/SH. The assessment will be conducted to cover activities under components 1 and 2 since there will be interaction between male workers and female beneficiaries and labourers provided by contractors. The project will prepare a Gender Action Plan. Community Health and Safety: Implementing partners (SFD, PWP) and members of community organizations, would be interacting with communities to inform them about the subprojects and support them to prepare the applications. These interactions would increase the risk of exposure to the virus for these workers and the risk for the communities, especially if proper hygiene, safety precautions and social distancing measures are not adhered to. Therefore, activities that bring groups of people together must be avoided, unless absolutely necessary, and only then with precautions. 148 In addition, communities may be negatively impacted by project activities: noise, waste, traffic, lighting, excavation and so forth. This may result in negative actions towards project operations such as road closures and the prevention of workers or suppliers from entering the worksite. It is imperative that implementing partners implement control measures to avoid and minimize the impacts of the project on communities. Occupational Health and Safety (OHS): Community workers are members of the community who are recruited by the contractor as skilled or unskilled workers to work in the providing the community asset. For unskilled and untrained local population, risk remains that some accidents may occur that lead to injuries. hazards will depend on the type of subproject works to be implemented. Many workers and community members will be exposed to occupational health and safety hazards, including but not limited to:  Excavations hazards  Construction works such as working at heights or in confined spaces  Exposure to chemicals (as paints, solvents, lubricants, and fuels, pesticides, chemical fertilizers)  Traffic accidents  Lifting of heavy objects  Exposure to construction airborne agents (dust, silica and asbestos)  Ergonomic hazards during construction  Security Incidents such as: armed attacks, hostage taking or kidnapping, unlawful detention, explosions, violent unrest/disputes between the implementing partner and local authorities and communities. 4. BRIEF OVERVIEW OF LABOR LEGISLATION: TERMS AND CONDITIONS The Republic of Yemen has drafted policies and established institutions and responsibilities for Labor management, joined international conventions and developed sector legislation and procedures. Key among these are: Gender  Yemen ratified the Convention on Elimination of all Forms of Discriminations Against Women (CEDAW) in 1984, and prepared a National Strategy for Women Development in 1997, which was updated in 2015. Implementation of CEDAW is delegated to relevant ministries and authorities (Decree 55/2009). Based on amendments proposed by the Women National Committee, 24 laws were amended to ensure building gender balance in accordance with the convention.  The Labor Law (Law 5/1995) states that women are equal to man in all aspects without any discrimination, and that equality should be maintained between women and men workers in recruitment, promotion, wages, training, social insurance. It also regulates work time for pregnant women. Labor  The Labor Law regulates the rights and wages of workers, their protection, occupational health, and safety. In addition, the Social Insurance Law regulates retirement compensation. Child Labor  Yemen has ratified ILO Convention Number 138 on Minimum Age for Admission to Employment (Law 7/2001). The Convention establishes a minimum age for admission to employment.  Yemen has also ratified the ILO Convention 182 on the Worst Forms of Child Labor. It refers to child labor as work that is mentally, physically, socially or morally dangerous and harmful to children; and interferes with their schooling by depriving them of the opportunity to attend school, by obliging them to leave school prematurely; or by requiring them to attempt to combine school attendance with excessively long and heavy work. 4.1 Terms and Conditions Employment Agreement: All employers are required to enter into an employment agreement in writing with their employees. The duration of a Yemeni worker's contract shall be considered unlimited unless otherwise specified by agreement between the two parties. Upon signing a contract of employment, a worker may be subject to a probationary period not exceeding six months with the same 149 employer, to be stipulated in the contract. It shall be forbidden to employ a worker on probation more than once for the same job. Minors: The law considers a minor to be a person under the age of 15. It shall be forbidden to employ a young person (any male or female person under 15 years of age). Article 7 of Ministerial Order No. 11 of 2013 (52), state that the minimum age for Hazardous Work is 18 years old. Nevertheless, Minors under the age of 18 are prohibited from engaging in any kind of employment in the project. Women's employment: Women shall be equal with men in relation to all conditions of employment and employment rights, duties and relationships, without any discrimination. Women shall also be equal with men in employment, promotion, wages, training and rehabilitation and social insurance. The requirements of job or occupational specifications shall not be considered as discrimination. It shall be forbidden to assign a woman to overtime work as from the sixth month of her pregnancy and during the first six months following her return to work after maternity leave. Working Hours: Official working hours shall not exceed eight hours per day or 48 hours per week. Weekly hours of work shall be distributed over six working days followed by one day of rest with full pay. No employee shall be required to work more than 6 (six) consecutive days a week (on a day that is normally a day off or has been agreed as a day off), without being provided with twenty-four consecutive hours of leave. Official working hours during the month of Ramadhan shall not exceed six hours per day or 36 hours per week. Dismissal: Employees have a right not to be dismissed unfairly, without cause. The Act provides a list of disciplinary measures that can be taken reasonably against an employee due to misconduct and which must ordinarily be exhausted before any dismissal. it shall be forbidden for an employer to terminate a contract of employment in the following cases:  During any of the worker's leave.  During the investigation of a dispute between the employer and the worker, provided that such investigation shall not exceed four months, unless the worker commits another violation which requires his dismissal.  During the worker's detention by the competent authorities in connection with his work, pending a final decision in the matter. Wages and deductions: The minimum wage payable to a worker shall not be less than the minimum wage paid by the state administration. The average daily minimum wage of a worker remunerated on the basis of production piece rates shall not be less than the daily minimum wage specified for the occupation or industry concerned. The daily wages of workers not paid on a monthly, weekly or daily basis shall be calculated on the basis of the average wages earned by their counterparts for days effectively worked for the same employer over the past year or during their period of service if less than one year. Employees may be fined for absenteeism from work during official working hours, such fine to be deducted from his/her wages and to be commensurate to the time absent from work. No other fines shall be imposed by the employer on account of absenteeism. Overtime Work: Employees shall not be required to work overtime except unless this has been agreed in the employment agreement. Wages for overtime work shall be calculated according to the following rates:  One-and-a-half hours' basic wages per hour of overtime on normal working days.  Two hours' basic wages per hour of overtime at night, on the day of weekly rest, and on official holidays and leave, in addition to entitlement to standard wages for such holidays. 5. BRIEF OVERVIEW OF LABOR LEGISLATION: OCCUPATIONAL HEALTH AND SAFETY Employers shall observe the following rules:  Workplace health and safety conditions shall be maintained in conformity with occupational safety and health requirements.  Workplaces shall be properly ventilated and adequately lighted during working hours in accordance with the standards established by the authorities responsible for occupational safety and health. 150  The necessary precautions shall be taken to protect workers from such damage to their health as may be caused by gas, dust, smoke or any other emissions or waste likely to be discharged by the industry.  The necessary precautions shall be taken to protect workers against the hazards of equipment and machinery and the hazards of conveyors and handling, including any risks of collapse.  The necessary precautions shall be taken against natural hazards and damage, including health, humidity and cold.  The necessary precautions shall be taken against the hazards of excessive light, noise, and any risk of explosion.  Easily accessible lavatories and washrooms shall be provided, and separate lavatories and washrooms shall be provided for women workers if women are employed on the premises.  An adequate and easily accessible supply of drinking water shall be provided for the worker's use.  The necessary precautions shall be taken to deal with fires and provide fire-fighting equipment, including emergency exits, which shall be maintained in working order at all times.  Industrial accidents and occupational diseases shall be recorded in a register and notified to the competent authorities and statistics on industrial accidents and occupational diseases shall be kept for submission upon request. Employers shall take the necessary precautions to protect workers and ensure their safety against such hazards as may arise from their work and the machinery in use. The employer shall not deduct any amount from their wages in consideration of:  The provision of protective devices, equipment and clothing to protect workers from exposure to occupational injuries and diseases;  Any allowances granted to workers for working in conditions harmful to their health, or any meals provided to them in compliance with occupational safety and health requirements.  Expenses incurred on account of workers' medical examinations, regular or otherwise, as necessitated by occupational safety and health requirements.  The provision of first aid equipment at the workplace. Employees are required to:  Maintain safe practices at work to avoid dange r to the safety and wellbeing of the employee and co‐workers, which may be caused by inattentiveness to safety and security measures.  Assist the employer and co‐workers in maintenance of measures designed to ensure health and safety in the workplace.  Use safety equipment and protective gear as instructed in accordance with the training and education provided for use of such equipment and gear.  Report to the employer any damage, loss of or destruction of protective gear or safety equipment.  Inform the employer or his designated supervisor immediately of the occurrence of any incident, which the employee believes may cause danger and which the employee is unable to resolve.  Inform the employer or his designated supervisor of any accidents or damage sustained at work or related to work. 6. POLICIES AND PROCEDURES FOR MANAGEMENT OF LABOR ISSUES UNDER THE PROJECT This section sets out the mitigation measures that will be adopted by the project to address the risks mentioned in previous section, including those relating to specific risks to workers posed by COVID-19. 6.1 Terms of Employment Wages and Deductions: The minimum wage payable to a worker shall be as follows:  Direct Labor for the IP’s staff and Consultants remuneration is in accordance with the contracts of employment. The monthly remuneration will be set to be in line with level of responsibilities.  Contracted workers based on daily wages paid by the contractor to be in line with the current market rates paid for skilled, semi-skilled or unskilled labor. The daily rates could differ from one governorate to another; hence, it should be equivalent to the wages paid in the specific location.  Community workers will be paid similar to the contracted workers in case of PWP, and as per LIWP operations manual in case of SFD . The approach in SFD's cash for works is a self-targeting mechanism which means the daily conditional 151 cash amounts for each laborer (beneficiary) is lower than the market rate. Overtime Work: Direct workers overtime rates are stipulated in the implementing partners internal policy which goes in line with national law regulations. Contracted workers and community workers will be paid based on delivery of specific assignments within a defined time, hence overtime is not relevant. Nevertheless, employees shall not be required to work overtime except unless this has been agreed in the employment agreement. Working hours, whether normal or overtime shall not exceed 12 hours per day. Gender and Social Inclusion To the extent possible, the ESPECRP will promote gender equality and the empowerment of women and seek to reduce gender inequalities in access to and control over resources and the benefits of development.  Sub-projects will ensure that both women and men are able to participate meaningfully and equitably, have equitable access to project resources, and receive comparable social and economic benefits.  Sub-projects will not discriminate against women or girls or reinforce gender-based discrimination and/or inequalities.  Sub-projects will ensure precautionary measures are in place to prevent potential exposure of beneficiaries, workers, and affected people to sexual exploitation and abuse.  Sub-projects will ensure precautionary and control measures are in place to prevent potential exposure of beneficiaries, workers, and affected people to health and safety hazards. 6.2 COVID-19 specific Occupational Health and Safety These provisions will apply for: Direct workers, contracted workers, and community workers.  The health conditions of the workers will be assessed prior to engaging them in the Project, and sick workers will be refused entry to the office premises  Entry/exit to site or the workplace will be minimized, and measures will be put in place to limit contact between workers and the community/public.  Trainings for workers on hygiene and other preventative measures will be carried out, and a communication strategy for regular updates on COVID-19.  Adjustments will be made to work practices to reduce the number of workers and increase social distancing.  Procedure to follow if a worker becomes sick (following WHO guidelines), will be instituted and followed.  Adequate supplies of PPE (masks); hand washing facility, soap and/or alcohol-based sanitizer, will be made available at the office premises/worksites. While preparing the site-specific plans involving labor, the following guidance materials will be used:  WHO IPC interim guidance: For guidance on infection prevention and control (IPC) strategies for use when COVID-19 is suspected.  WHO interim guidance on use of PPE for COVID-19: For rational use of PPE  WHO guidance getting your workplace ready for COVID-19: For workplace-related advice  WHO interim guidance: For guidance on water, sanitation and health care waste relevant to viruses, including COVID- 19. In addition, implementing partners will be required under the Environmental and Social Management Plan (ESMP) to ensure workers will use basic safety gears, receive basic safety training and other preventive actions as provided in the Project’s Environmental and Social Management Framework (ESMF). Nevertheless, implementing partners will have to:  Ensure that an appropriate level of management and resources are in place to comply with the occupational health and safety requirements,  Provide visible commitment and leadership to occupational health and safety,  Identify and evaluates risks and normalizes the activities (rules, instructions, and procedures),  Analyze all incidents and accidents,  Evaluate the indicators of OHS performance,  Carry out the internal audits of OHS MS, 152  Evaluate the OHS training requirements,  Carry out the medical follow-up of the workers after incidents. 6.3 Age of employment These provisions will apply for: Direct workers, contracted workers, and community workers. Minors under the age of 18 are prohibited from engaging in any kind of employment. Hence documentary evidence (passport, identity card or birth certificate) of all workers prior to involving them on activities of the project, shall be verified. 6.4 Community Workers Community workers are members of the community who are recruited by the contractor as skilled or unskilled workers to work in the providing the community asset. As the ESPECRP objectives include providing temporary employment and economic opportunities for the vulnerable communities, the Project defined a minimum of 50% of labor to be recruited from the local communities. These workers are recruited by the contractor based on Daily Wages as per the current local market rates. The contractor is obliged by the Contract to provide the necessary Insurances, OHS Measures, Emergency Response Plans for accidents to ensure protection of workers. The Contractor is encouraged to recruit women labor from the community to the extent possible for work and timings that are suitable for female workers. The contractor will not perform any sort of discrimination in recruiting workers from the local communities and will include IDPs and marginalized groups if any within the communities. 7. RESPONSIBLE STAFF The EESPECRP will be implemented jointly by the United Nations Development Program (UNDP) and the United Nations Children’s Fund (UNICEF) in partnership with two national implementing partners – the Social Fund for Development (SFD) and the Public Works Projects (PWP) for their respective components. The project will include four main components, namely: (Component 1) Cash Transfers, including (a) Unconditional cash transfers to SWF beneficiaries; (b) Cash for Nutrition (CfN); (Component 2) Labor Intensive Works and Economic Opportunities, including (a) Cash for Work; (b) Community Assets; (c) Economic Opportunities and Food Market Resilience; (Component 3) Project Management, Monitoring, Evaluation and Capacity Building of National Institutions; and (Component 4) Continency Emergency Response. The project covers the districts of the 22 governates that have high levels of distress index and most poor communities, women and children with malnourished and non-SWF beneficiary households. For the Unconditional Cash Transfer subcomponent, implemented by UNICEF, the project uses the pre conflict beneficiary list of the SWF CT program.  Engagement and management of project workers UNDP will supervise and support the implementing partners (SFD, PWP) to carry-out project specific tasks. The implementing partners management is responsible for employing project workers, and to ensure that all labor measures taken at sites where sub-project activities are implemented. UNDP and its implementing partners are responsible to: o Apply this labor management procedure to direct workers, o Update this Procedure when necessary in the course of preparation, development and implementation of the Project, o Ensure that this labor management procedure is applied to community workers, o Maintain records of recruitment and employment process of direct workers, o Monitor that occupational health and safety standards are met at workplaces in line with national occupational health and safety legislation, o Monitor training of the project workers on OHS, o Develop, and implement workers’ grievance mechanism and address the grievance received from the direct, contracted and sub-contracted workers, and community workers. o Sign a Code of Conduct with all workers.  Engagement and management of contractors/subcontractors 153 Implementing partners staff in their capacity at head office and branch offices will be responsible for engagement and management of contractors. The field staff are assisted by Supervisory Consultants, and technical engineer, and safeguards focal point in branch for the management of contractors and workers, ensuring compliance and monitoring of activities and providing labor instructions on safety and security. Contractors will be responsible for the following: o Comply with OHS mitigation measures included in the ESMF and this labor management procedure. These measures will apply to contracted and sub-contracted workers, o Maintain records of recruitment and employment process of contracted and community workers, o Clearly communicate job tasks and employment conditions to contracted and community workers, o Have a system for regular review and reporting on labor, and occupational safety and health performance, o Deliver regular induction (including social induction) and HSE training to employees.  Occupational health and safety (OHS) The implementing partners OHS Focal Point at Head Office is responsible for ensuring compliance with all OHS measures. The monitoring in the field is through the Branch Office managers, Branch Office safeguards focal point and individual site focal point for daily monitoring.  Training of workers: The implementing partners OHS Focal Point assisted by the Branch Office and Site focal points are all in-charge of training workers on OHS through formal training as well as Toolbox Training and SEA/SH awareness.  Addressing worker grievances Workers’ complaints will be resolved mainly in the field by the supervisor consultants, technical engineer through the GM procedure, branch office managers and, when necessary, raised to senior management for ensuring fair solution is reached. 8. GRIEVANCE MECHANISM (GM) UNDP is committed to address complaints through a dedicated Grievance Mechanism (GM) that supports the project-affected people and UNDP’s partners and others to collaboratively address grievance, r isks complaints and disagreements related to social, environmental and OHS impacts and standards. UNDP with its partners adhere to follow-up and respond immediately to any urgent complaints, if possible. However, the maximum agreed time limit by SFD and PWP is between 15-30 days. The project partners (UNDP, SFD, PWP, TPM and WB) will discuss a common Management Information System (MIS) that allow to analysis and improve the grievance, complaints, accidents and reporting mechanisms, with high confidentiality and anonymity considerations. The project partners have designated staff with expertise in safeguard, gender, GBV and confidentiality, in additional to the Third Monitor Party (TPM) conducts its quarterly report from the local communities and beneficiaries. UNDP with its implementing partners have designated gender and GBV focal points to follow-up and monitor the project impacts and safeguard the community and affected groups from gender discrimination and GBV risks. A complaint in the GM ensures stakeholders can express dissatisfaction about the standard or quality of the Responsible Party’s activities. Additionally, it allows identification of any negative and lack of actions taken by either of the Responsible Party or their partners that directly or indirectly cause distress to the affected beneficiary or any other party. The project GRM is managed by PWP and SFD, who have grievance mechanisms in place. UNDP will work with PWP and SFD to assess the effectiveness of existing GRMs and work to address capacity, accessibility, transparency, gaps, etc. The GRM will not impede access to judicial or administrative remedies as may be relevant or applicable and will be readily accessible to all stakeholders at no cost and without retribution. Complainants may also opt to use judicial procedures or arbitration. The SRM provides a way for UNDP to address these situations systematically, predictably and transparently. UNDP’s SRM is intended to:  Improve environmental and social outcomes for local communities and other stakeholders affected by UNDP projects;  Enhance UNDP’s ability to manage risks related to its Social and Environmental Standards, in order to avoid or mitigate social and environmental impacts;  Ensure that UNDP responds to the concerns of project stakeholders with regards to social and environmental risks and impacts;  Ensure feedback and operational learning from the SRM, by integrating SRM requests, responses and results into UNDP’s results-based management, quality assurance processes;  Submission monthly report on GM by the two responsible parties to UNDP and the issues of complaints and duration of HCM are monitored by UNDP and TPM; 154  Reflect and advance best practices among social and environmental grievance resolution processes to be a regular, integrated part of project management; and  UNDP will hire TPM to develop a MIS system and on hotline calling centre to receive any complaints in addition to responsible partners MIS systems. 8.1 Project-Level Grievance Mechanism During the design, construction and implementation of any sub-project, a person or group of people may perceive or experience potential harm, directly or indirectly due to the project activities. The grievances that may arise can be related to social issues such as eligibility criteria and entitlements, disruption of services, temporary or permanent loss of livelihoods and other social and cultural issues. Grievances may also be related to environmental issues such as excessive dust generation, damages to infrastructure due to construction related vibrations or transportation of raw material, noise, traffic congestions, decrease in quality or quantity of private/ public surface/ ground water resources during irrigation rehabilitation, damage to home gardens and agricultural lands, etc. Should such a situation arise, there must be a mechanism through which affected parties can resolve such issues in a cordial manner with the project personnel in an efficient, unbiased, transparent, timely and cost-effective manner. To achieve this objective, a Grievance Mechanism has been included in the ESMF and SEP for this project. The Grievance Mechanism: g. provides a legitimate process that allows for trust to be built between stakeholder groups and assures stakeholders that their concerns will be assessed in a fair and transparent manner; h. allows simple and streamlined access to the Grievance Mechanism for all stakeholders and provide adequate assistance for those that may have faced barriers in the past to be able to raise their concerns; i. provides clear and known procedures for each stage of the Grievance Mechanism process, and provides clarity on the types of outcomes available to individuals and groups; j. ensures equitable treatment to all concerned and aggrieved individuals and groups through a consistent, formal approach that, is fair, informed and respectful to a concern, complaints and/or grievances; k. provides a transparent approach, by keeping any aggrieved individual/group informed of the progress of their complaint, the information that was used when assessing their complaint and information about the mechanisms that will be used to address it; and l. enables continuous learning and improvements to the Grievance Mechanism. Through continued assessment, the learnings may reduce potential complaints and grievances. The GM will be gender- and age-inclusive and responsive and address potential access barriers to women, the elderly, the disabled, youth and other potentially marginalized groups as appropriate to the Project. The GM will not impede access to judicial or administrative remedies as may be relevant or applicable and will be readily accessible to all stakeholders at no cost and without retribution. Information about the Grievance Mechanism and how to make a complaint and/or grievance must be communicated during the stakeholder engagement process and placed at prominent places for the information of the key stakeholders. All complaints and/or grievances regarding social and environmental issues can be received either orally (to the field staff), by phone, in complaints box or in writing to the UNDP, PWP or SFD. A key part of the grievance mechanism is the requirement for the Project Management Team and construction contractor to maintain a register of complaints and/or grievances received at the respective project site offices, this includes grievances from workers. The following information will be recorded: j. time, date and nature of enquiry, concern, complaints and/or grievances; k. type of communication (e.g. telephone, letter, personal contact); l. names contact address and contact number. m. anonymous complaints are also registered, investigated and solved n. response and review undertaken as a result of the enquiry, concern, complaints and/or grievances; and o. actions taken and name of the person taking action. The project GM is managed by PWP and SFD, who have a grievance mechanism in place. UNDP will work with the Responsible Parties to assess the effectiveness of existing GM and work to address capacity, accessibility, transparency, gaps, etc. 8.2 Redress the Grievance and Informing the Persons UNDP/SFD/PWP aim to redress the grievances in a short period of time. The grievances of each person shall be evaluated with a fair and objective and approach. In all circumstances, the grievances are followed until all appropriate remedies are tried. The person will be provided with information about the resolution and asked for feedback. Also, anonymous grievances will be 155 addressed in the Project. The grievances related to exploitation of female workers, including sexual harassment and abuse, GBV at the workplace and unfair treatment will be prioritized to take actions. The Project Manager, Field Coordinator, Safeguard Specialist and Communication Specialist, as appropriate, shall be responsible for taking appropriate action in cases in which there is reason to believe that any right has been violated. The appropriate designated authorities will be informed about investigations into cases of Gender-based Violence, and of the action taken as a result of such investigations. All grievances and feedbacks will be handled with a fair and objective approach. Transparency and accessibility are also two main concerns of this redress mechanism. In addition, the number, frequency, topics of grievances and feedbacks will be analyzed and reported periodically to the related units and administrative level. Based on these detailed reports, the most frequently addressed issues are identified, and improvement activities are initiated. 9. Contractor Management Several services will be provided within the project to achieve project goals and to manage the project activities as appropriate. These services are software development, IT infrastructure development, server and database management, preparing training implementation plan and training documents, online training module development, investment planning, field works such as controlling workers on site, etc. In the selection process of contractors, various criteria will be specified in tender documents such as previous works completed, previous experience, qualification of contractor’s human resources, compliance in health and safety issues, precautions taken on child labor and forced labor employment. The measures to manage the contractor will be added in the contractor clauses in the bidding documents to ensure the legality. The clauses will include the mitigation measures for potential labor risks, the rights and wages of workers, terms and conditions of employment, insurance for workers and third party, gender rights, and grievance management procedures, safety requirements such as emergency plans including agreement with hospitals, contractor's safety supervision staff and PPEs provision. According to the selection criteria, the ones who comply the best will be selected as contractors. The above-mentioned eligibility conditions and liability clauses are applied in case of national/traditional contractors while some of these cannot be applied to the community contractors – a secondary implementation modality by both SFD and PWP. Community contractors means a mechanism implemented by SFD and PWP in performing developmental projects with the participation of local communities, this method includes conducting or managing contracts for the implementation of works and services with community contractors and other service providers such as builders, car drivers and professionals in order to complete a specific project. Therefore, the eligibility conditions for community contractors are less demanding (e.g., no condition of two years’ experience and financial capability) and the liability is shared between them and the IP, particularl y in conducting safeguard training and awareness, recruiting technical staff, enforcing safeguards measures, and providing insurance of workers. During the implementation phase of the services, the UNDP, SFD, PWP will organize planned and unplanned visits to contractors’ offices and/or place where work is being performed. In these visits the progress achi eved, health and safety- related issues and child and forced labor employment status will be observed. The site reports will include the KPIs for contractor management and the outputs will be reflected in the monthly reports. In case of non-compliance by the contractors, corrective actions will be taken. 156 Annex 9. Environmental and Social Commitment Plan ENVIRONMENTAL AND SOCIAL COMMITMENT PLAN 1. The United Nations Development Program (“UNDP”) and the United Nations Children’s Fund (“UNICEF”) (“UNICEF” together with “UNDP” hereinafter the “Recipients”), will jointly implement the Social Protection Enhancement and COVID-19 Response Project (SPECRP) (“the Project”) and are the recipients of the International Development Association (IDA) Grants, with the involvement of the following implementing partners (IPs): the Yemen Social Fund for Development (SFD) and the Public Works Project (PWP). The Association has agreed to provide financing for the Project. 2. Under the Association Environmental and Social Framework (“ESF”), the Association and the Recipients are required to agree on an Environmental and Social Commitment Plan (“ESCP”) that sets out material standard measures and actions required for the Project to meet Environmental and Social Standards. Accordingly, the Association and the Recipients agree to this ESCP for purposes of implementing the Project. 3. The Recipients shall comply with this ESCP, and any other Environmental and Social documents required under the ESF, such as Environmental and Social Management Plans (ESMP), Resettlement Plans (RP), and Stakeholder Engagement Plans (SEP), the Gender Based Violence (GBV) Action Plan, and the timelines specified in those Environmental and Social documents as relevant to each project component, all in a manner acceptable to the Association. 4. The Recipients are responsible for compliance with all ESCP requirements even where implementation of specific measures and actions is conducted by Implementing Partners (IPs). 5. Implementation of the material measures and actions set out in this ESCP will be monitored and reported to the Association by the Recipient as part of the Recipients’ monitoring and reporti ng requirements in the legal agreements, and the Association will monitor and assess progress and completion of the material measures and actions throughout implementation of the Project. 6. As agreed by the Association and the Recipients, this ESCP may be revised from time to time during Project implementation, to reflect adaptive management of Project changes and unforeseen circumstances or in response to assessment of Project performance conducted under the ESCP itself. In such circumstances, the recipients will agree to the changes with the Association and will update the ESCP to reflect such changes. Agreement on changes to the ESCP will be documented through the exchange of letters signed between the Association and the Recipients will promptly disclose the updated ESCP. 7. Where Project changes, unforeseen circumstances, or project performance result in changes to the risks and impacts during project implementation, the Recipients may re-allocate Project funds, as agreed with Association , and/or undertake additional funds mobilization efforts, if needed, to be able to implement actions and measures to address such risks and impacts including decisions on funding for any extra cost originated by unforeseen circumstances. 157 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY MONITORING AND REPORTING A REGULAR REPORTING Prepare and submit to the Association regular monitoring reports on the Starting from the Effective Date, UNDP shall UNDP in coordination with SFD and PWP environmental, social, health and safety (ESHS ) performance of the consolidate monitoring reports from SFD and (as relevant) Project, including but not limited to the implementation of the ESCP, PWP every six-month during the Project’s status of preparation and implementation of Environment and Social (E&S) implementation and submit updates to the instruments required under the ESCP, stakeholder engagement activities, Association in the Project’s narrative functioning of the grievance mechanism(s). progress reports. Monitoring Reports shall be describing project implementation progress and compliance status of the environmental, social, occupational health and safety, mitigation measures, and the functioning of the grievance redress mechanism. B INCIDENTS AND ACCIDENTS UNDP will promptly notify the Association of any incident or accident Throughout Project Implementation. UNDP in coordination with SFD and PWP related to the Project which has, or is likely to have, a significant adverse Initial Investigation Report within 48 hours, effect on the environment, the affected communities, the public or once confirmed, and Detailed Report within workers ten days of the initial report indicating possible causes and proposing corrective UNDP shall provide sufficient details regarding the incident or accident, actions. indicating immediate remedial measures taken or that are planned, timeline for the planned measures, and any information provided by any contractor and supervising entity, as appropriate. Subsequently, UNDP shall prepare an investigation report on the incident or accident and propose any measures to prevent its recurrence. These reports will be submitted to the Association. MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY C CONTRACTORS IMPLEMENTING PROGRESS REPORTS The bidding documents shall include the requirements for the contractor Regular monitoring to the implementing UNDP in coordination with PWP and SFD to manage ESHS risks, SEA/SH risks and security issues during the agencies at a frequency as defined in their construction activities. The contractor shall regularly submit monitoring contracts; the implementing agencies will reports to the implementing agencies during operations. The consolidate these reports every six month implementing agencies will consolidate and submit these reports to the and submit them to the association in association. These requirements include, but not limited, the following: conjunction with the project progress reports. throughout Project Implementation)  The Contractor/Bidder shall propose an Environmental, Social, Health and within 30 days from contract signing. and Safety (ESHS) Specialist as the Contractor’s Key Personnel at the Site.  All Contractors/Bidders shall submit the Code of Conduct (CoC) that will apply to the Contractor’s employees and subcontractors. ESS 1: ASSESSMENT AND MANAGEMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND IMPACTS 159 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 1.1 ORGANIZATIONAL STRUCTURE UNDP shall establish and maintain a coordination unit with qualified staff E&S specialists shall be hired by UNDP no UNDP and resources to support the management of environmental and social later than one month after the Effective Date risks and impacts of the Project and reflect it in the final ESMF. and be maintained throughout Project implementation. UNDP shall identify and hire qualified staff and resources with environmental and social expertise, and an OHS specialist, depending on the nature of the project components implemented by each agency, to be assigned to the Project and to support the management of ESHS risks and impacts. At a minimum, - UNDP shall hire one Environmental Specialist, one Social Specialist and one GBV Specialist. - The Implementing Partners will each hire one Environmental Specialist, one Social Specialist and one GBV Specialist as well as other E&S staff as deemed necessary. 1.2 ENVIRONMENTAL AND SOCIAL ASSESSMENT Prepare, disclose, adopt and implement the Environmental and Social UNDP shall update, disclose and implement UNDP in coordination with SFD and PWP Management Framework (ESMF), which shall include provisions on the existing YECRP ESMF and OHS Occupational Health and Safety (OHS), labor management, ESHS risks, and Framework within two months after the SEA/SH, in accordance with ESS1 and acceptable to the Association. Effective Date of the Financing Agreement, and before carrying out any project activities The ESMF will also include a Toolkit for the screening and management of under Components 1.2 and 2. The ESMF will E&S risks associated with Component 2, particularly the following also cover component 1.2 (cash for nutrition) subcomponents: (a) Subcomponent 2.1- Labor Intensive Community and no disbursement will be undertaken subprojects which will finance Cash for Work (CfW) activities; (b) until the ESMF is adopted for component Subcomponent 2.2 - Community Assets and Component 1.2 (cash for 1.2. nutrition), . Furthermore, the ESMF will include a process and structure for Environmental and social due diligence and supervision of the MFIs in a manner acceptable to the Association. 160 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 1.3 MANAGEMENT TOOLS AND INSTRUMENTS Prepare, disclose, adopt, and implement any environmental and social Plans or instruments to be prepared and UNDP in coordination with SFD and PWP assessments and management plans or other instruments required, in implemented immediately after accordance with the ESSs and the ESMF. selecting/approving subprojects and before carrying out any project activity. No disbursement will be undertaken under Component 1.2 and Component 2 until site- specific ESMPs/instruments are prepared, disclosed, and adopted. 1.4 MANAGEMENT OF CONTRACTORS Ensure that the relevant environmental and social requirements are Prior to launching the procurement process UNDP in coordination with SFD and PWP incorporated into the project tender and contractual documents, and for Component 2.1, Cash for Work and reflected in the Contractor’s ESMP (C-ESMP), Component 2.2 Community Assets activities and thereafter throughout the carrying out The contractor’s ESMP should include the following key obligations: of such activities.  Specific GBV/SEA/SH actions, Labor Management plans, ESHS specifications and waste management, the EHSGs and other relevant GIIP; a security management measures for their staff and equipment;  An Environmental, Social, Health and Safety (ESHS) Specialist stationed as the Contractor’s Key Personnel at the Site.  develop and enforce Code of Conduct (CoC) for all Contractor’s employees and subcontractors.  Non-compliance remedy for possible E&S violation should be included in the contract with contractors/subcontractors. Ensure thereafter that contractors comply with the above during their contract execution. 161 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 1.5 EXCLUSION The following types of activities will be ineligible for financing under the During the assessment process conducted UNDP, SFD and PWP Project: under action 1.2. above.  Activities that may cause long term, permanent and/or irreversible adverse impacts (e.g. loss of major natural habitat);  Activities that may have significant adverse social impacts and may give rise to significant social conflict;  Activities that may affect lands or other vulnerable minorities;  Activities, including new constructions or expansions, that may involve, physical relocation or adverse impacts on cultural heritage;  New constructions or expansions that may involve permanent resettlement or land acquisition;  Activities that have high probability of causing serious adverse effects to human health and/or the environment not related to treatment of COVID-19 cases;  All the other excluded activities set out in the ESMF of the Project. ESS 2: LABOR AND WORKING CONDITIONS 162 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 2.1 LABOR MANAGEMENT PROCEDURES The Project shall be carried out in accordance with the applicable LMP shall be prepared, disclosed within two UNDP in coordination with SFD and PWP requirements of ESS2 in a manner acceptable to the Association. The months after the Effective Date and implementing partners will implement labor management procedures enforced throughout project following the national labor regulations and ESS 2 for the hiring of project implementation. workers including contractor’s workers. The procedures will include terms and conditions of employment including hours of work, wages, overtime, compensation and benefits, holidays, leaves, etc. The procedures will set out measures to prevent and address harassment, intimidation and/or exploitation. UNDP shall prepare the Labor Management Procedures (LMP) of the project and shall be included in the ESMF. All project workers will sign a Update the ESMF to include the LMP and re- Code of Conduct (CoC). disclose the ESMF within two months after the Effective Date. All MFIs will prepare and implement Labor Management Procedures for their own workforce in accordance with ESS2 including Occupational Health and Safety (OHS) measures and grievance mechanisms for their own workforce. UNDP and the partners shall update the LMP in a manner that is acceptable to the Association and consistent with ESS2. 2.2 GRIEVANCE MECHANISM FOR PROJECT WORKERS The GM shall be operational prior to the SFD and PWP under the supervision and The grievance mechanism required under ESS2 shall be described in the hiring of any project workers and maintained management of UNDP LMP. The Implementing Partners (IPs) shall establish, maintain, and operate throughout project implementation. a grievance mechanism for Project workers, as described in the LMP and consistent with ESS2. 163 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 2.3 OCCUPATIONAL HEALTH AND SAFETY (OHS) MEASURES Daily implementation of OHS measures. UNDP in coordination with SFD and PWP Adopt and implement occupational, health and safety (OHS) measures as described in the ESMF. In addition, the IPs will develop and implement Monitoring and implementation of OHS (prior to the commencements of any construction work) a specific OHS measures and monthly safety inspections. management plan and will perform safety audits and site visits to be carried out monthly. Contractor’s OHS requirements to be incorporated into the contracts as part of the The Implementing partners will also: bidding documents.  Ensure that an appropriate level of management and resources are in place to comply with the occupational health and safety requirements, including the free distribution of PPEs;  Provide visible commitment and leadership to occupational health and safety;  Provide insurance coverage for project workers  Identify and evaluate risks and normalize the activities (rules, instructions, and procedures);  Analyze all incidents and accidents;  Evaluate the indicators of OHS performance;  Carry out internal audits of OHS MS;  Evaluate OHS training requirements,  Carry out the medical follow-up of the workers. 164 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 2.4 PROJECT WORKERS TRAINING: The training program shall occur on a UNDP in coordination with SFD and PWP The Implementing Partners shall provide training to all their project monthly basis. workers, prior to any activity or site work, on basic ESHS risks associated with the proposed activities and construction works and the workers’ responsibility. Site specific ESMP to include weekly Toolbox meetings at the work sites. Site engineers will provide a weekly or ad-hoc (if and when required) toolbox talks and/or meetings with the construction workers on ESHS risks associated with the construction activities, which have been executed during the past week and for those which are foreseen to be carried out during the next week. ESS 3: RESOURCE EFFEFICIENCY AND POLLTION PREVENTATION AND MANAGEMENT Relevant aspects of this standard shall be considered, as needed, under UNDP in coordination with SFD and PWP action 1.2 above, including, inter alia, provisions on waste management will be included in the ESMF ESS 4: COMMUNITY HEALTH AND SAFETY 4.1 TRAFFIC AND ROAD SAFETY: Same timeframe for the preparation and UNDP in coordination with SFD and PWP The Implementing Partners shall develop, adopt and implement a site- implementation of the ESMPs. specific traffic management plan (as part of the ESMP) – if needed – with details on traffic volume, routes and time of travel. The plan will ensure the presence of flagmen and adequate signs along the routes, indications of alternative routes. Drivers employed by the Project are trained, and vehicle safety is regularly inspected. 165 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 4.2 COMMUNITY HEALTH AND SAFETY: Same timeframe for the preparation and UNDP in coordination with SFD and PWP Prepare, adopt, and implement measures and action to assess and manage implementation of the ESMPs. specific risks and impacts to the community arising from Project activities, in accordance with ESS4 and in a manner acceptable to the Association. To manage community health and safety, the IPs will:  Restrict access to worksites and construction areas to prevent unauthorized entry,  Place adequate signboards to divert pedestrian and community members away from the construction works,  Place flagmen to reroute vehicles away from the construction areas.  Raise awareness among communities about health and safety risks, including on SEA/SH, COVID-19 and other communicable diseases, and road safety, as part of the Stakeholder Engagement Plan (SEP). All visitors to the work area shall wear PPEs, such as safety shoes, hard hats and vest. Due to COVID-19 risks, activities involving community gatherings shall comply with social distancing and other COVID-19 risks prevention requirements in compliance with WHO guidelines and ESS4. Potential risks under the Cash for work (CfW) and Community Assets activities, such as illicit/inappropriate behavior of Project workers, risks of labor influx, response to emergency situations might require additional mitigation measures to be included in the ESMPs, to be prepared, as relevant, in accordance with the ESMF, and in a manner acceptable to the Association. UNDP shall develop and implement the Security Management Plan (SMP) to ensure security of all Project workers, including workers of UNDP, their UNDP in coordination with SFD and PWP implementing agencies and contractors in accordance with ESS4 and in a SMP shall prepared, disclosed within two manner acceptable to the Association. months after Effectiveness Date and prior to commencement of project activities. 166 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 4.3 GBV AND SEA RISKS: The GBV action plan to be developed as a UNDP in coordination with SFD and PWP Prepare, adopt, and implement a stand-alone Gender-Based Violence stand-alone document within two months Action Plan (GBV Action Plan), to assess and manage the risks of gender- after the Effective Date and implemented based violence (GBV) and Sexual Exploitation and Abuse (SEA) and Sexual throughout project implementation. Harassment (SH). The GBV Action Plan shall include provision on GBV- sensitive grievance mechanisms (GMs) in compliance with ESS10. GMs shall have multiple channels through which complaints can be registered in a safe and confidential manner for survivors of SEA/SH. 4.4 SECURITY PERSONNEL: Prior to engaging security personnel and UNDP Prepare, adopt, and implement a stand-alone Security Personnel thereafter implemented throughout Project Management Plan consistent with the requirements of ESS4, in a manner implementation. acceptable to the Association. ESS 5: LAND ACQUISITION, RESTRICTIONS ON LAND USE AND INVOLUNTARY RESETTLEMENT 5.1 RESETTLEMENT PLANS: RF to be prepared, disclosed and adopted UNDP in coordination with SFD and PWP within two months after Effective Date and Develop, adopt and implement the Resettlement Framework (RF), in prior to carrying out of any resettlement accordance with ESS5 and in a manner acceptable to the Association. activities and shall be maintained throughout Prepare, adopt, and implement resettlement plans (RPs) as needed in project implementation. accordance with ESS 5 and consistent with the requirements of the Resettlement Framework (RF) and before carrying out the associated RPs to be prepared, adopted and disclosed activities, in a manner acceptable to the Association. before commencement of civil works. ESS 6: BIODIVERSITY CONSERVATION AND SUSTAINABLE MANAGEMENT OF LIVING NATURAL RESOURCES Not relevant. ESS 7: INDIGENOUS PEOPLES/SUB-SAHARAN AFRICAN HISTORICALLY UNDERSERVED TRADITIONAL LOCAL COMMUNITIES Not relevant. ESS 8: CULTURAL HERITAGE 167 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 8.1 CHANCE FINDS: Throughout Project implementation UNDP in coordination with SFD and PWP Prepare, adopt, and implement the chance finds procedure described in the ESMF to be developed for the Project. ESS 9: FINANCIAL INTERMEDIARIES 9.1 ESMS: Prior to implementation of the MFI project UNDP in coordination with SFD Assess ESMS of all potential eligible FIs, as per Project activity component activities. MFIs shall maintain organizational 2.3 (b). capacity for implementing the ESMS All microfinance institutions (MFIs) will prepare, adopt, and maintain an throughout Prior beginning to disburse funds environmental and social management system (ESMS) acceptable to the provided through the project during project Association and approved by its senior management or Board of Directors, implementation as appropriate, and will disclose relevant parts of their ESMS on their website. 9.2 FI ORGANIZATIONAL CAPACITY: Prior to implementation of project activities UNDP Plans or instruments to be prepared immediately after selection/approval to be implemented by respective MFI of subprojects and before the start of the loan guarantee program and on- lending activities and thereafter throughout the implementation of such activities. Instruments to be prepared - as needed, in accordance with ESS9 and in a manner acceptable to the Association. 9.3 SENIOR MANAGEMENT REPRESENTATIVE: Designate a senior management Prior to implementation of project activities UNDP representative to have overall accountability for environmental and social to be implemented by respective MFI performance of FI subprojects and for identifying, contacting, communicating, and maintaining a regular dialogue with local, formal, and informal authorities, and beneficiaries to facilitate smooth execution of project activities. ESS 10: STAKEHOLDER ENGAGEMENT AND INFORMATION DISCLOSURE 168 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY 10.1 STAKEHOLDER ENGAGEMENT PLAN PREPARATION AND IMPLEMENTATION The preliminary SEP shall be updated, UNDP, MFIs UNDP and the Micro Finance Institutions (MFIs) shall update and implement adopted, disclosed within two months after the Preliminary Stakeholder Engagement Plan (SEP) in a manner that is Effective Date and implemented throughout consistent with ESS10 and acceptable to the Association. project implementation. 10.2 PROJECT GRIEVANCE MECHANISM A reporting system for grievance mechanisms UNDP in coordination with SFD, PWP UNDP will publicly make accessible grievance arrangements as described in (GMs), shall be developed, adopted and and MFIs the SEP, to receive and facilitate resolution of concerns and grievances in maintained by UNDP and (SFD and PWP) and relation to the Project, in a manner consistent with ESS10 and acceptable shall be based on common principles. to the Association. GMs will be monitored under the technical coordination of UNDP and shall be operational two month after the Effective Date and prior to the start of any project activities and shall be maintained throughout Project implementation. CAPACITY SUPPORT (TRAINING) CS1 Trainings will be required for project staff, stakeholders, communities and Throughout project implementation UNDP in coordination with SFD, PWP project workers, including: and MFIs  TOT training on Environmental and Social Assessment and E&S Risk Management (for UNDP, MFIs and IPs professional staff);  Gender, GBV and SEA/SH Prevention and Response  Stakeholder Mapping and Engagement and Community Participation  Disaster Risk Reduction and Management; Community health and safety  TOT on Gender and GBV and Community-Response and Protection  Remote Monitoring Implementation 169 MATERIAL MEASURES AND ACTIONS TIMEFRAME RESPONSIBILE ENTITY/AUTHORITY CS2 Training for Project workers on OHS including on emergency prevention and preparedness and response arrangements to emergency situations: Throughout project implementation0 UNDP in coordination with SFD and PWP  Training sessions covering the detailed activities for the subprojects, their safety requirements, PPEs usage and maintenance, permit to work, and emergency procedures for all workers.  Cholera and COVID-19 awareness sessions to qualified community members, who will then conduct door to door campaigns in the targeted areas to raise health and environmental awareness among communities.  Emergency Response Plan (details about the nearest hospital or medical center, responsibilities and chain of command for all works, drills and first aid, and a list of trained first aiders to be known by all workers). 170 Annex 10 Gender and GBV Plan I. Introduction Gender and Gender Based Violence (GBV) and Sextual exploitation and Abuse (SEA) Plan has been developed and created to meet the requirements of WB, UNDP, Yemeni Laws, UN clusters and contexts in North and South Yemen. Summary of Yemen ratification to international conventions regarding gender and GBV and SEA; 1. UNDP updated SES Programme Principles of No one Leave Behind, human rights, gender equality and 2. women empowerment, sustainability and resilience and accountability; 3. Gender and GBV/SEA Assessment by UNDP, SFD and PWP; 4. Gender and GBV/SEA mitigation and prevention measures by activated cluster in Yemen; 5. Gender, GBV/SEA sensitivity in Yemen and conflict contexts; 6. Gender and GBV/ SEA checklist; 7. Gender, GBV and SEA Action Plan; 8. Gender, GBV/SEA action plan in the ESMP with indicators, based on intervention’s risk and sector; 9. Monitoring and Reporting on Gender and GBV/SEA; 10. GRM; and 11. Annexes: 1. Integrating Gender, GBV/SEA into ESMP structure Gender; and 2.GBV/SEA checklist. The objectives of the Gender and GBV/SEA are; 1. Screen and conduct situation analysis to existed national laws and treaties; 2. Create partnership with existing actor and partners who work in Gender, GBV and SEA in North and South yemen; 3. Improve UNDP’s and partners’ capacity and skills in preventing and mitigating risks related to Gender ad GBV/ SEA; 4. Develop a gender and GBV action Plan’s and indicators; 5. Integrate gender and GBV/SEA action plan into ESMPs; and 6. Situation analysis and kick off for developing a gender and GBV strategy. II. Summary of Yemen’s Ratification to international convention and Internal laws There are several national laws and some international treaties that Yemen ratified and inserted in its national laws. Due to current conflict situations most of these laws are not implemented similarly in the North and South of Yemen. I. Yemen Ratified CEDAW Yemen ratified the Convention on Elimination of all Forms of Discriminations Against Women (CEDAW) in 1984, and prepared a National Strategy for Women Development in 1997, which was updated in 2015. Implementation of CEDAW is delegated to relevant ministries and authorities (Decree 55/2009). Based on amendments proposed by the Women National Committee, 24 laws were amended to ensure building gender balance in accordance with the convention. 149. III. Gender Equality in the Labor Law (Law 5/1995) 171 The Labor Law states that women are equal to man in all aspects without any Draft Environmental and Social Management Framework for Yemen IUSEP Page 30 discrimination, and that equality should be maintained between women and men workers in recruitment, promotion, wages, training, social insurance. It also regulates work time for pregnant women. IV. Gender based Violence in Yemen Law  The National Committee for Women The National Committee for Women in the Supreme Council for Women’s Affairs is the governmental body with a mandate to work on empowering women. This committee was established in 1996 to implement the decisions of the Beijing Platform for Action (1995). It is responsible for reporting on Yemen's progress on the CEDAW process and calling for legislative and regulatory changes related to women's rights.  Yemen National Strategy - GBV As part of The National Strategy for the Development of Women 2006-2015: stated that “Repeal all discriminatory articles in laws and take legal measures that protect women's rights and ensure women's access to equal rights. Ensuring women's equality with men in accessing justice, especially in the judicial system. Raising awareness of the causes, consequences and forms of violence against women and effective ways to eliminate them.”  Domestic and Social Violence There is no specific legislation to combat domestic violence or marital rape. In 2014, a draft law against violence against women and girls was prepared by the National Commission for Women and other legal specialists under the supervision of the Ministry of Human Rights. It was raised to Parliament, but work on it stopped due to the war.  Sexual harassment in the workplace The labor law does not contain a specific ban on sexual harassment in the workplace. Moreover, there is a general prohibition on harassment of women in the Penal Code (the crime of "indecent work with a female"). V. Yemen Legal and Social Services Most cases of gender-based violence are dealt with within the family and by custom, rather than resorting to the formal judicial system. Yemen remains a largely tribal society with strong patriarchal authority. The Yemeni Women Union, established in 1990, provides legal information services to survivors of gender- based violence, and provides referrals to legal and other services. The Federation is a non-governmental organization with formal links to the police, health, and housing services. But even before the crisis, services available to victims of gender-based violence were limited, and as a result of the conflict, the rate of these crimes increased dramatically. The National Committee for Women also receives some cases of gender-based violence, and works to provide legal advice to it, or the survivors are referred to the Ministry of Justice or the Yemeni Women's Union. The Ministry of Justice has a special unit that provides legal and judicial aid to victims and insolvent women who are unable to pay their legal fees. VI. UNDP SES Programme Standards 172 UNDP SES programme standards underpin importance of accountability and mainstreaming the SES programme standards to all UNDP programming to ensure maximizing social and environmental opportunities and benefits; as well as ensures that adverse social and environmental risks and impacts are avoided, minimized, mitigated, and managed. UNDP is committed to work closely with its staff, implementing partners (IPs) and responsible parties to manage social and environmental risks and impacts of UNDP programmes and projects. 1. No one leave behind: UNDP prioritizes its programmatic interventions to address the most marginalized, discriminated and excluded, and to empower them 2. Human Rights: UNDP recognizes the centrality of HRs to sustainable development, poverty alleviation, peace and fair distribution of development opportunities and adheres to Universal Declaration of Human Rights 3. Gender Equality and women empowerment: UNDP should apply in its interventions zero tolerance to Gender Based Discrimination, GBV and SEA and integrate sex disaggregated data 4. Sustainability and resilience: Strengthening the resilience of societies to the impact of shocks, disasters, conflict and emergency, and the sustainable management, of natural habitats. Importance of reducing GHG and strengthening climate change adaptation; 5. Accountability: UNDP is committed to ensure active Stakeholder engagement in all project cycles, full transparency of programming interventions and Effective M&E. VII. Gender and GBV/SEA Assessment and analysis UNDP conducted a workshop assessment with SFD and PWP to identify weakness/gaps and strengthens/ capacity of its partners on gender and GVB/SEA at institutional and service delivery levels, based on the YECRP’s experience. The findings for the assessment highlight some points in A and B. A. Weaknesses and gaps regarding gender and GBV  Lack of designated specialized gender and GBV specialist and FPs within SFD. PWP has a Gender specialist  Roles and responsibilities of staff members involved in safeguard and GRM specialists who are not specialized on gender and GBV.  High sensitivity in addressing gender, GBV and SEA issues and there is need to have a smart and DO NO HARM approaches and to consider in to replace Gender and GBV wording by using women protection or social safeguards.  Lack of gender, GBV/SEA strategy/ policy to ensure prevention and mitigation measures.  Inadequate gender and GBV capacity building in place within IPs.  Lack of developing a referral pathway system that connected with Protection sub-cluster  Need to have a system and strategy to mitigate and prevent gender discrimination and GBV as process without affecting the social norms and ensuring protection and no risk to be occurred.  Inexistent partnership or connection of SFD and PWP’s safeguard and GRM with Women Protection -Sub-cluster in Yemen All these gaps and weakness have been addressed and included to develop a gender, GBV/SEA Plan. B. Strengthens and capacity on Gender and GBV/SEA 173 1. There is a women protection sub cluster and referral pathway with external service providers and SEA cluster in Yemen that UNDP’s partners and other agencies can be members and get access to the assistance and support on GBV and SEA case management. 2. Very low cases have been reported to Gender and GBV and no cases were registered under GBV and SEA (very low risk), due to the social norms and traditions in Yemen (specifically in North) the issues of gender, GBV and SEA should be addressed with highest degree of sensitivity. 3. There is some awareness, knowledge, and skill regarding Gender, but not GBV, SEA and referral practices among IPs’ technical and managerial staff. a. PWP has a gender specialist, in additional to its Safeguards and GRM system gender which can play as gender focal point, b. SFD has more numbers of staff work as Social and Environmental Safeguard, and GRM specialists, but no staff is specialist on gender and GBV. 4. There are several staff members in UNDP who have experienced in gender, GBV preventions and mitigation and developing referrals and SOPs (e.g. GBV prevention and response, legal assistance to GBV survivors, Protection, Gender and SOP21). 5. UNDP Social Safeguards team members have membership with Gender Network and Women Protection sub cluster in Yemen. 6. SFD and PWP will join Women Protection sub cluster and GBV working group’s membership in Yemen. 7. The subproject identification has been developed according to household and local community’s consultation, assess potential risks might occurred during the project implementation, then create mitigation measures to minimize the risks. Fortunately, gender, GBV and Child Labour have been mentioned slightly. High need to develop gender strategy include gender, GBV and SEA and based on theory of change and mainstreaming into all ESMP stages of development, implementation and monitoring and evaluation. 8. SFD and PWP have started reviewing their operational manuals which give an opportunity to strengthen and mainstream gender, GBV and SEA in their organizational and operational levels. 9. IPs have gender and GBV training modules that require some revisions and improvement. 10. UNDP safeguards has started since May 2020 to implement jointly 6 activities in collaboration with Gender Analyst, in order to strengthen social Safeguard issues (gender GBV and SEA) as following: a. UNDP coordinates Safeguards Technical Working Group 17 agencies with 38 members. b. Capacity Building: within UNDP and IPs& TPM: in progress; c. Working with TPM to improve reporting and Monitoring social safeguards related issues (gender, GBV and SEA), three meeting successful conducted and the new reporting in gender and GBV will be illustrated in the upcoming 15th TPM report. d. Assessment to monitor impacts of cash Assistance on Social status around 18 FGD will be conducted cover all Yemen. 11. There is an existing of community-based protection in Yemen which requires to be strengthened and utilized to reduce the GBV risks. 21 UNDP staffing capacity: 1. Governance and Role of Law (GRoL) is un UNDP programme responsible in providing a legal support to GBV/SEA survivors according to Interagency GBV Cluster; 2. an international Social and Environmental Safeguards Specialist who has more than 18 year working experience in the field with Gender and GBV in several regions and UN agencies; 3. UNDP has recruited a new Gender and Social safeguard specialists; 4. Gender Analyst officer who specialist and designated to mainstream and report on gender, GBV and SEA cross all UNDP- Yemen; 5. YECRP’s Gender Focal Point ( YECRP GFP) who is designated to follow mainstreaming gender issues within YECRP projects; 6. An Environmental Safeguards (ESS) who works closely with IPs, ISESS, Gender Analyst and YECRP’s GFP), 7. UNDP is member in Women Protection in North and GBV WG in South and Gender Network in Yemen. 174 VIII. Gender GBV/ SEA Prevention and Mitigation Measures by activated UN Clusters In Yemen, there are three activated clusters in Yemen to handle the GBV and SEA according to Area of Responsibilities (AoR) and age of survivors (If the survivor is under 18 to be handled by UNICEF and if above 18 to be treated by UNFPA in the North and South Yemen. I. Gender Network UNDP is a member with Gender Network that lead by and UN-Women with support from GenCAP based in OCHA.UNDP reached a consensus with Gender Network- UN Women in using acceptable words in North Yemen to avoid creating sensitivity with local community and stopping activities (more details find in 5). II. Women Protection- Subcluster in the North and GBV Working Group in the South of Yemen UNDP agreed with Yemen Women Union and UNFPA on collaboration in capacity building, case management and referral pathway of the cases with survivors above 18 years old. UNDP discussed with SFD, PWP and SMED in join the membership of the Women Protection- Sub cluster to access the services and get contact with services providers in all Yemen. Also UNDP’ Governance and Role of Law Programme (GRoLP) provides legal assistance to GBV survivors in coordination with UNFPA. III. Sextual/ Exploitation and Abuse- Cluster (SEA cluster) UNDP and partners will collaborate and work with UNCEIF as a focal point for SEA cluster in Yemen to transfer any case or survivor under 18 years with high confidentiality, by their Gender and GVB Specialists. IX. Gender, GBV/SEA sensitivity in Yemen and conflict contexts To address and integrate gender/ GBV/SEA issues in Yemen, we should give high consideration on addressing them with deep understating to culture sensitivity and conflict political context in North and South of Yemen. UNDP has skilled staff who work before in the similar situations in the conflict affected areas. UNDP has negotiated with its project’s partners (SFD, PWP, SMEPS), UNFPA, FAO, Gender- Network, YWN and TPM to use unsensitive words for Gender, GBV/ SEA that can be accepted by the authority in North and all UN agencies and services providers should agree on such as:  Gender: participation  Gender role: Social role  GBV/SEA: Women Protection and Child protection  Gender and GBV/SEA safeguard: Social Safeguard The terms will be used during consultation with local communities and Ansar Alla Government in the North. During this year, UNDP agreed with UNFPA and others to deliver training and sensitization sessions in collaboration to UNDP to improve understanding and sensitization on gender and GBVV/SEA and avoiding any misunderstanding by the authority or local communities. X. Gender and GBV/SEA Checklist 175 UNDP – Safeguard and gender team ( Safeguard and Gender) have developed a gender and social safeguard checklist to be used by IPs and TPM to monitor and assess their intervention and gender responsiveness, and to improve mainstreaming gender, GBV/SEA in safeguard daily work. in the current ESMF ( See annex 2). XI. Gender and GBV/SEA Action Plan Proposed output Activity Involved staff Timeframe 1. Strengthened  Coordination meetings between International safeguard Gender and GBV/SEA Coordination and UNDP and IP specialist from UNDP and IPs communication   Monthly safeguard meeting with WB WB, UNDP, IPs  Meeting with partners who work on International safeguard Gender and GBV/SEA GBV/SEA and Gender specialist from UNDP and IPs 2. Recruited a Gender Hire skilled gender and GBV/SEA staff UNDP, and SFD and SMED leadership and and Social Safeguard safeguard. PWP has a gender and social specialists. safeguard 3. Ensured sufficient Conduct sensitive training Senior and Senior and mid-level at IP, Gender & Capacity Building on middle management staff from IPs on GBV/SEA, safeguard and GRM Specialist Gender, GBV and SEA by Gender and GBV/SEA having institutional and services deliver changes Provide tailed capacity development to Mosely Gender & GBV/SEA and some with technical staff and practitioners (such as GRM and Safeguard specialist TOT) Conduct training and awareness raising IPs with support of UNDP, targeting staff and to the field staff, worker local local community in the field communities s in the field 4. Developed a Gender, Develop a gender and GBV strategy, UNDP safeguard, international consultant, GBV/ SEA strategy for including Referral pathway and SOPs and gender and GBV/SEA, safeguard and GRM . UNDP and IPs M&E intervention in the project . Ensured better service Develop a referral pathway and SOPs UNDP safeguard, international consultant, delivery s related to GBV with Women protection, GBV and SEA gender and GBV/SEA, safeguard and GRM and SEA well treated clusters in North and South and other partners (IPs and clusters’ focal and mitigated with points) support of the other partners 176 5. Strengthened Establish women, youth, and community UNDP, SFD, PWP and SMEPs community capacity and centre by creating women safe space and resilience networking, youth clubs and community development centre and providing capacity building in agrio- business, value change, IWRM, community adaptation and others 6. Ensured better Conduct assessments on monitoring International Safeguard specialist/ team and services delivery and impact such as impact of the cash TPM monitoring and assistance on the community’s social, reporting in place collect best practices Deliver field visits and inceptions by the Safeguard Team and Gender analysist UNDP safeguard staff Quarterly conduct TPM report with TPM, safeguard and M&E teams Gender and GBV indicators Develop apps for safeguard monitoring International consultant with Safeguard and inceptions in the fields team Conduct safeguard audit UNDP safeguard and international consultant Implement corrective measures as the safeguard audit indicated 7. Sufficient and Improve GRM system to ensure better Gender & GVB/SEA, safeguard and GRM improved GRM response and reporting in gender, specialist UNDP and IPs. GBV/SEA •GRM system should be revisited jointly by safeguards/ GRM skilled and trained staff (SFD and PWP) to ensure support and advice is provided adequately in handling Gender and GBV cases. •Gender and GBV SOPs and referral system to be establish and updated to response and mitigate immediately. •Prevention and mitigation actions targeting workers and communities are in place 177 XII. Gender, GBV/SEA action plan in the ESMP with indicators, based on intervention’s risk and sector. Output/Description SEA/SH Project Risks Mitigation measures Indicators and means of Party responsible of activities Verification 1. Insured child  Children are  Child labour is not permitted - All workers are 18 • Number of Children Gender/ Participation specialists/ protection and rights pushed by their Years old and above permitted to work under 18. focal point are included in the families to work  Verifying Age by checking IDs and other available • No of the workers who Technical Resident Engineer / subproject cycle due to need of documents. permitted to work above 18. Community money  Ensure Labour Log is available, and all workers are Committee registered 2. Equal access and  Discrimination  SFD adopt a non-discrimination policy that • Number of women and men Gender specialists/ focal point treatment, no against women and ensures non-discriminatory and inclusive manner, discriminated based on Technical Resident Engineer / discrimination to all persons with including women and persons with disabilities gender, disability, and age. Community Committee selected beneficiaries disabilities when when selecting beneficiaries. As well as inclusion • Number of male and female are provided. selecting of women in community committees as well. workers beneficiaries 3. Ensured workers  Sexual harassment,  Mandatory and repeated training and awareness • Number of training Gender/ specialists/ focal point are well aware, Abuse, Gender raising for the workforce about refraining from conducted on preventing Technical Resident Engineer / informed and Base violence and unacceptable conduct toward local community gender discrimination. GBV Community protected from discrimination members, specifically women. and SH Committee/ GRM and safeguard discrimination,  Inform workers about national laws that make • Number of GBV/SH survivor specialist/GBV and Gender focal gender and GBV and sexual harassment and gender-based violence a referred to services point reporting GBV and punishable offence which is prosecuted. providers or legal support risks to GRM  Raise awareness on CHM/GRM system and how it • Number of work of GBV/SH can be used to report any GBV cases complains received and registered in GRM • No of skilled/all workers signed COC. 178 4. Increased  Lack or insufficient  A capacity building assessment will be conducted • No of training and capacity Gender specialist, safeguards, awareness, capacity, capacity building in to identify the types and levels of capacity building provided to senior GRM, field staff and Community and ownership by place building activities are needed. management staff, gender Committees (CC) mainstreaming  Series of training on Gender and GBV/SEA should specialists, FPs, community gender and GBV/SEA. be carried on with consideration to the level and members on Gender/GBV specialization of the IP’s staff personnel. and SH  Develop GBV SOPs and Referral pathway in collaboration with UNFPA and Women Protection Sub- cluster.  Enhance community-based protection mechanisms . 5. Increased  Lack of awareness  Series of awareness delivered by the IP to the • Number of awareness GRM/gender specialist in awareness, capacity, of female local community members including women, raising conducted and collaboration with UNFPA and and confidence to community marginalized groups on gender and GBV, all will contact number/GRM UNICEF Local community members about be reviewed and improved. provided members on GBV the project  GRM system allows to receive anonymity claims response and prevent potential impacts by any body from communities and women and reporting to GRM and their group, the sensitive cases should be treated with high mitigation quickly and with high confidentiality. confidentiality measures 6. Ensured workers  Lack of workers’  Subproject interventions should be taken by local  No of skilled/all workers OHS safeguard officer and Gender/ respected and awareness and community members to avoid and minimize any signed COC. Participation specialists/ focal adhered to Code of knowledge on sort of harassment and GBV to occurs. point Conduct to respect respecting local  Ensure all prevention and mitigation actions local community's community’ targeting workers and communities in place protection and do no cultures, and social  All workers should adhere to OHS. ES and SS. harm. safeguard issues on  Local community committee should work closely Gender, SEA/H and with SFD and PWP in daily basis to ensure DO NO GBV HARM.  SFD and PWP should conduct training/sessions to their field staff on Gender/GBV and SEA. The above table shows an example of integrating gender and GBV/SEA action plan into the ESMP, similarly to SEP and LMP, it has been developed based on last workshop between UNDP, SFD, PWP and SMEPs on 17 Mar.2021 (See Annex 2). 179 XIII. Monitoring and Reporting Indicators on Gender and GBV/SEA UNDP with its partners agreed and discussed several indicators that can be used for reporting and monitoring that not limited to:  Number of Children promoted to work under/ above 18  Number of women and men discriminated based on gender, disability, and age  Number of training conducted on preventing gender discrimination. GBV and SH  Number of GBV/SH survivor referred to services providers or legal support with high confidentiality  Number of work of GBV/SH complains received and registered in GRM  No of skilled/all workers signed COC.  No of training and capacity building provided to senior management staff, gender specialists, FPs, community members on Gender/GBV and SEA  Number of awareness raising conducted and contact number/GRM provided  Number of male and female workers. XIV. GRM UNDP and partners reach consensus in apply new GRM classification with integrating gender/ GBV/SEA and disaggregated data to all GRM system, the new classification included and not limited to: 1. Administrative 2- Financial 3- Safeguard a. OHS b. Environmental 4- Social a. GBV b. Conflict sensitivity c. Sexual Harassment d. Child Labor e. General 5- General 6- Corruption a. Financial b. Technical c. Contractual d. General 7- Contractual 8- Technical 9- Fairness of interventions XV. Annexes 1.1. Annex 1: ESMP Structure with integration gender, GBV/SEA PLAN Please see sections (ii and vii) i. Introduction • Name of sub-project • Sub-project ID • Location sector and type of sub-project • Department implementing sub-project • Estimated cost of SB • Field visit consultation carried out: Proposed class of the SB (A to D; low to high) • Table indicating date, agency name and staff who screen and review and approve the ESMP ii. Sub-project description • Scope of work • Location • Land acquisition • Resources and services access restrictions • Child labour • COVID-19 sensitivity • Gender and social related issues  Gender: Numbers affected and disadvantaged people of men, women, boys, girls, elderly people and persons with disability  GBV and SEA  Conflict sensitivity and Do No Harm iii. Environmental and social baseline conditions • Introduction • Rain, climate and weather • Air quality and noise • Existing situation of the targeted area • Targeted beneficiaries: affected, disadvantaged, marginalized and interested groups iv. Environmental and social impact assessment • Applicability • Eligibility • Environmental and social screening v. Environmental, social impact analysis plan and mitigation measures • Environmental and social impact analysis plan and mitigation measures • Gender and social safeguard plan • Labour management procedures • Stakeholder engagement plan • Occupational and health safety plan (OHS plan) updated according to LMP vi. Environmental and social monitoring plan • Environmental and social monitoring plan (for monitoring daily work) with proposed outputs, activities, and indicators • Occupational health and safety • All mitigation measures indicated in the ESCP vii. Gender and GBV Plan • Introduction: institutional and staffing capacity: recruitment of G & GBV specialist and focal points to handle any G&GBV • Training and awareness on participation and women protection/ GRM for community and CC. • Mitigating and prevention measures in place to eliminate Gender discrimination, GBV/SHS with indicators ( use the previous management table in ESMP • Labour and workers awareness and singed CoC 181 • Confidentiality in GRM and referral system to YWU and UNFPA viii. Stakeholder engagement plan and public consultation • Introduction • Consultation methodology and approach • Topics of the consultations • Results of the consultations • Sustainability of sub-project and community ownership • Stakeholder engagement plan ix. Grievance Redress Mechanism • Hotline • Complaints box • Brochure distributed to the local community • Complaints handling mechanism x. Annexes • Environmental & Social Checklist • SFD: Environmental and Social Responsiveness (ESR) criteria at proposal stage • SFD: Public Consultation Report • SFD complaints handling mechanism • PWP mechanisms for environmental, social, and occupational mitigation actions • PWP public consultation and reporting • PWP complaints handling mechanism 182 i. 12.2. Annex: 2 Gender and GBV and Social related issues checklist Gender, GBV and Social related Issues Checklist This check list includes several social issues such as gender, GBV, child protection, Do NO Harm, conflict management, community/indigenous rights/ownership, and complaints handling mechanisms. 1. Does the intervention ensure do no harm concept has been adopted during collecting the subproject need assessments by men, women, girls, boys, and people with disability? 2. Does the subproject/ intervention ensure well-coordination, ownership and participation with relevant community groups/stakeholders/ internally displace people? 3. Who collects the information during the consultations? Is it done in a gender balanced manner? For example, use of male and female social workers and involve male and female local community? 4. Sex-disaggregated base-line data established and collected on regular basis from subproject 5. Gender, Child protection and GBV, PSEA concepts introduced to local community members; also, to SFD and PWP’s staff who work closely with community? 6. Are Men, women, elderly and people with disability have been considered equally in the subproject intervention (participation, planning, implementation, monitoring and evaluation phases)? If there any excluding happens please indicate and explain when and in which project phases? Are men and women considered and provided their consensus during the community consultations? 7. Who provides the information during the consultations? Head of family (female or male)or both? 8. Have women’s groups/leaders raised gender equality concerns regarding the Project during the stakeholder engagement process and has this been included in the overall Project proposal and in the risk assessment? 9. Who benefits from cash assistance (CfW)? Do men, women and Youth have been involved and benefited according to ECRP- CfW ratio? 10. Do women, men face restrictions on mobility (physical, cultural, social etc.) during the subproject implementation that prevent them from accessing their services, daily movement? Were there any other restrictions regarding their official papers (ID cards, birth certificate)? Have this excluded them from participating in the project activities? How have the project has helped them in issuing these papers? 11. Does the intervention consider gender-needs and different kinds of households e.g. female-headed household/DPs household? 12. Is the time and place services are provided adequate and suitable for both genders ( men and women)? 13. Is the way services are provided adequate and suitable for both genders (men and women) (separate service delivery/distribution staff and lines for males and females during service delivery/distribution process or different timing, etc., shaded area for women and children and water availability, protection 183 and security)? Was there any kind of violence or abuse during the service delivery or distribution? Was it reported and how it was addressed? 14. Does the subproject consider the participation and accessibility for people with disabilities and elderly (women and men)? 15. Is the community committee participation represented women and men through? 16. Who take the management and leadership roles in Community committee? Is the representation for men women and youth (male and female) and people with disability; 17. Does the project provide improvement and development in livelihoods or any sectors/ services equally to men, women, boys, girls, and people with disability? 18. Does the project cause any disagreement or conflict within the local community and among other surrounding communities? If yes, kindly specify? 19. Does the project improve the social cohesion, trust, and community participation in the intervention area? 20. Does the project improve the knowledge and understanding in gender, child protection and GBV? 21. Have any harms, sexual harassments, GBVs, child labour cases have happened during the intervention? If yes, please explain and check if the case/cases were reported to IPs? 22. Has the project had any adverse impacts on gender equality and/or the situation of women and girls? 23. Have the Project potentially reproduced discriminations against women based on gender, especially regarding participation in design and implementation or access to opportunities and benefits? 24. How the local community consider the responsiveness and mechanism of handling their complaints? 25. How has the project contributed to change the roles (productive, reproductive/domestic and community work and socio-political activities) of men and women in their community? What are the previous roles and what are the current roles? Who decides these roles? 26. How has the project contributed to change the access to resources (land, money, credit, skills, time, and decision-making power)? What were the available resources and what are the current ones? 27. How have the project contributed to the change of the level of power among men and women? 28. For CFW activities, who is controlling what to do with the amounts received? How the household is benefitting from the cash assistance? 29. How has the project fulfilled men and women practical (irrigation water, agricultural inputs, rehabilitation of roods, etc.) and strategic needs (income generation activities, capacity building, local acceptance of the community to women role, protection from GBV, participation and representation, etc.)? What were men and women practical and strategic needs and what are the current needs? 30. How has the project contributed to change the access to services (education, health, agricultural, extension, irrigation, solar/electric, production development, marketing etc.) for men and women? What 184 were the available and the current ones? Who is providing each? Who has the access to those services (men/women)? What do men/women need to benefit from the services? 31. What are the current legislation policies/budget relevant to the project activities (land/water management policies/law of seeds and fertilizer, resources and assets law, land inheritance, gender discrimination, etc.)? which one of them has an impact on gender equality (no gender neutral, gender responsive, gender biased)?, what changes are needed at policy level? How has the project contributed to this issue? 32. Is there any recommendation for current or future interventions regarding gender mainstreaming and empowerment in the area? What are the lessons learnt relevant to gender mainstreaming and empowerment of these projects? 33. Is there any success story relevant to gender empowerment and mainstreaming? 185 Annex 11. ESPECRP Operational Manual 1. Introduction 1.1 Objectives of the Project Operations Manual (POM) The main objectives of this POM are to:  Establish uniformity, transparency and accountability for implementation procedures of the Emergency Social Protection Enhancement and COVID-19 Response Project (ESPECRP);  Facilitate work of staff of ESPECRP Implementation Partners (IPs) in head offices, branches and the field;  Rationalize systems and procedures;  Facilitate understanding of the ESPECRP by stakeholders, in particular local authorities, civil society and other implementing agencies  Act as a reference document on the project and IP websites. The Project Operations Manual is a working document that can be revised as circumstances change or modifications are introduced to the project and/or its implementation modality. Moreover, a number of initiatives are yet to be piloted -therefore new experiences, innovations, modes of interventions and implementation methods which are outlined in the POM will need to be revised from time to time. This POM includes inputs from individual manuals which were prepared for each sub-component of the project and are listed in Annex 1. 1.2 ESPECRP background The World Bank-financed Emergency Crisis Response Project (ECRP) has since 2016 been delivering support to vulnerable populations in Yemen through UN agencies in partnership with national institutions. UNDP and 186 UNICEF have been the direct recipients of IDA funds. UNDP has been overseeing and supporting the Social Fund for Development (SFD) and the Public Works Project (PWP) to provide (i) short-term employment and increased access to basic services to the most vulnerable through labour intensive community sub-projects; (ii) increased access to nutrition, health and education services through cash for nutrition and cash for education; and (iii) increased access to economic opportunities through support to SMEs. Capacities of SFD and PWP to respond to emergencies has in the process been protected, in line with the stated objective of ECRP to preserve the capacity of key national institutions. The Yemen Emergency Social Protection Enhancement and COVID-19 Response Project (ESPECRP), approved by the World Bank in December 2020, builds on the ongoing ECRP to deliver support to vulnerable Yemenis affected by food insecurity, conflict, COVID-19 and climate-related shocks. The project mainly targets food insecure households and focuses on interventions that are most effective at addressing food insecurity. In doing so, the project will help address and avert famine and malnutrition in Yemen. Given the short-term food security needs, most of the project funds are expected to be used to provide cash transfers to vulnerable households. For vulnerable people able to work, the project will continue to engage with communities to provide temporary employment opportunities to build valuable community assets, prioritizing community projects that contribute to food security, climate resilience and anchoring gender sensitive interventions. 1.3 ESPECRP – Project Overview Funded and supported by the World Bank’s International Development Association (IDA), ESPECRP aims to provide nutrition-sensitive cash transfers, temporary employment and increased access to basic services and economic opportunities to food-insecure populations affected by COVID-19, Yemen’s conflict and climate- related shocks, as well as to strengthen the capacity of national service delivery institutions. UNDP is the recipient agency22 for the IDA Grant, while activities are implemented by the Social Fund for Development (SFD), the Public Works Project (PWP) and the Small and Micro Enterprise Promotion Services (SMEPS). The project’s Theory of Change assumes that if income -generation and livelihoods opportunities are increased for vulnerable households (including IDPs), with essential service delivery restored and key local businesses revived, Yemeni households and communities will be able to better cope with the impact of the current crisis and be strong drivers of the resilience-building and recovery efforts. ESPECRP includes four main components as follows: Component 1: Cash Transfers (US$152 million). This component will mainly finance CTs to poor and vulnerable households to protect them against food insecurity. This component will include two subcomponents: Sub- component 1.1—Unconditional Cash Transfers (UCT) (implemented by UNICEF in partnership with UNICEF); and Sub-component 1.2—Cash for Nutrition (CfN) (implemented by UNDP in partnership with SFD). Component 2: Labor Intensive Works and Economic Opportunities (US$38.4 million). This component will address food insecurity by providing temporary and more sustainable economic opportunities to vulnerable populations and building relevant assets. The component will be implemented by UNDP in partnership with SFD and PWP and will include three subcomponents: Sub-component 2.1—Cash for Work; Sub-component 2.2—Community Assets; and Sub-component 2.3—Economic Opportunities and Food Market Resilience. Component 3: Project Support, Management, Evaluation and Administration (US$13.5 million). This component will finance the costs of project management, monitoring, evaluation and capacity building of national institutions. It will include the following two sub-components: Sub-component 3.1— Project 22 The project is also implemented by the United Nations Children’s Fund (UNICEF) – the recipient agency for the Unconditional Cash Transfer component under the project. 187 Support, Management, Evaluation and Administration for Sub-component 1.1, administered by UNICEF (US$7.5 million); and Sub-component 3.2— Project Support, Management, Evaluation and Administration for Sub-component 1.2 and Component 2, administered by UNDP (US$6 million). This component will finance the following activities and functions: direct and indirect costs of recipient UN agencies; Third-Party Monitoring; capacity building of SFD, SWF and PWP; and project evaluations. Component 4: Contingent Emergency Response (CERC) (US$0 million). In the event of an eligible crisis or emergency23, the project will contribute to providing immediate and effective response to said crisis or emergency. This component would draw from uncommitted funds under the project from other components to cover the emergency response. To facilitate a rapid response, in case the CERC is activated, the restructuring of the project is deferred to within three months after the CERC is activated. i.Figure 1: The ESPECRP Results Chain Development Activities Outputs Outcomes Results challenge Food security of households is compromised by conflict, COVID-19 and climate-related Component 1 Unconditional CTs to about Short-term and partial Impact of conflict, COVID-19 and climate-related shocks on food insecurity is partially 1.5 million households for protection of poor and one year vulnerable households  Unconditional Cash Transfers CTs and complementary Short term and partial  Cash for Nutrition services to 45,000 families protection of households at risk of malnutrition for most at risk of one year malnutrition Component 2 Temporary employment Short-term and partial  Cash for Work opportunities provided to protection of vulnerable 90,000 people working people  Community Assets 584,000 people with Increased access to basic improved community services and food  Economic opportunities About 6,000 MSMEs Sustainable economic and food market resilience provided with financial and opportunities generated technical support Increased access to food Component 3 National institutions Increased capacity of benefiting from capacity national institutions to building design and implement social mitigated.  Capacity Building shocks. Improved monitoring of  Monitoring and projects in conflict Evaluation contexts; improvements in project interventions 23 Defined as “an event that has caused, or is likely to imminently cause, a major adverse economic and/or social impact associated with natural or man-made crises or disasters. 188 ESPECRP aims to achieve the following objectives:  Provide cash assistance and much-needed services for vulnerable households that are most at risk of malnutrition;  Create employment opportunities for vulnerable populations, improve productivity, strengthen social cohesion, and respond to the anticipated effects of climate change;  Build valuable socio-economic assets for local communities that help improve access to key services and small infrastructure;  Finance micro, small and medium enterprises (MSMEs) affected by the conflict and COVID-19 crisis to support economic activities that strengthen the domestic food market to improve food security;  Build and preserve capacity of project management, monitoring and evaluation of national institutions. 2. Partnership and Institutional Arrangements of ESPECRP Sub-component 1.2 (Cash for Nutrition) and Component 2 (Labour Intensive Works and Economic Opportunities) will be managed by UNDP’s main office in Sana’a under the leadership of the Resident Representative and will be supported by two sub-offices in Aden and Hodeida and a project office in Mukalla, in addition to a number of hubs in various governorates. The regional hubs are staffed with hub coordinators, Monitoring and Evaluation (M&E) officers and support staff, and the support is extended to cover all governorates. UNDP’s regional hub in Jordan will provide advisory support and will host World Bank implementation support missions (provided the suspension of travel due to COVID-19 pandemic is lifted). National and international field-based staff will support implementation and monitoring under the leadership of a Project Manager. 2.1 Project Management The project will continue to be implemented through the UNDP Direct Implementation Modality (DIM) with Implementing Partners (IPs)- SFD, PWP and SMEPS who will be responsible for the delivery of activities. SFD, PWP and SMEPS will as IPs, deliver the agreed outputs on the basis of a written Letter of Agreement (LoA) with UNDP. IPs are directly accountable to UNDP in accordance with the terms of their respective LoA. With regard to the IP, UNDP will continue to use a partner-based risk management approach in line with the UN Harmonized Approach Cash Transfers (HACT) policy. UNDP will reinforce the project management systems and capacities under ESPECRP, with strengthened operational risk management and project approaches sensitive to the conflict and political environment in Yemen. A Conflict Sensitivity Framework has been developed under the ongoing ECRP and will inform and strengthen the conflict sensitivity approach under the ESPECRP. UNDP will closely coordinate with the World Bank to provide needed information and to enable smooth and speedy financial and operational transactions to facilitate timely implementation at the IP level. UNDP will maintain regular interactions with RPs with UNDP staff presence in Sana’a, Hodeidah, Aden, and Marib for monitoring, quality assurance and, as needed, management of complaints and grievances, as per agreed Grievance Redress Mechanism (GRM) under the project.24 Third-Party Monitoring will also feed into UNDP’s monitoring work. UNDP will prepare bi-annual narrative reports and end-of-project reports, consolidating inputs from the Implementing Partners, as well as convene 24 The GRM under this project will be strengthened to further engage community oversight and participation. 189 project board meetings and undertake audits and evaluations 25. Interim unaudited financial reports shall be prepared and submitted to the donor quarterly, not later than forty-five days after the end of the period covered by the report. UNDP will coordinate with the Government of Yemen, relevant authorities at the sub-regional level for technical consultations, international partners and UN agencies to enable a conducive and coherent supporting environment for Implementing Partners. 2.2 Project Management Team 2.2.1 Project Team The core implementation team (Project Team) under the ongoing ECRP will continue to work on the ESPECRP. The Project Team will continue to have geographic presence both in Sana’a and Aden to ensure geographic inclusion. Table 1 elaborates the current staff positions in the project team. Table 1: Project Team Staff Composition Post Title International Project Manager M&E Specialist International SES Officer (Amman) International International Adaptative management specialist National National Coordinator (Sana’a) National Grievance and Communication Officer National Finance Officer and Admin National Project Assistant (Sana’a) National Field Coordinator (Aden) Management Information System National Project Assistant (Aden) National National M&E Officer National National SES Officer National National OHS Officer National Gender and Social Safeguards Officer National Driver National 25Where available and feasible, UNDP will cooperate with other international donor partners for joint reviews and external audits (as in the case of SFD). 190 2.2.2 UNDP Country Office Oversight, Quality Assurance and Operational Support Other staff of the Country Office will also provide support to the implementation of the project with responsibilities as shown below. Description of Responsibilities The Deputy Resident Representative P/O oversees the programme teams on the implementation of the World Bank funded project. Together with the Resident Representative and the Team Leader, the Deputy Resident Representative will maintain regular institutional level coordination with the World Bank, the Government of Yemen, and other international partners to foster an enabling environment for the project and ensure relevant HQ support for the project. Under the guidance of the Resident Representative, and direct supervision of the Deputy Resident Representative, the Team Leader will provide overall oversight and quality assurance over the Project Team and its results and ensure coordination with operational units in UNDP to enable smooth and speedy financial and operational services to the project. Under the guidance and direct supervision of the Team Leader, the Deputy Team Leader will provide overall oversight and quality assurance over the Project Team and its results and ensure coordination with operational units in UNDP to enable smooth and speedy financial and operational services to the project. The Programme Officer will ensure the oversight and quality assurance of the Project Team and its results, including the financial and operational aspects of the project (including project closure) He/ she will work with relevant operational and programme units in UNDP to enable smooth and speedy financial and operational services to the project. The Programme Assistant supports the Project Team in financial oversight and quality assurance, including the requests for payments sent to CO Finance Unit and review of financial reporting related to the overall project (including project closure). The Head and Deputy Head of Aden Office will provide oversight and quality assurance over the Project Team in Aden. He/she will ensure coordination with operational and programme units in UNDP to enable timely and efficient financial and operational services to the project. The Finance Associate reviews and process requests for payments and affects advances for the project. The Procurement Analyst is responsible for Procurement of goods and services, as well as review of request for payments for the CO, including ESPECRP. The HR Officer reviews and process requests for recruitment under the project. The Travel Assistant makes internal and external travel arrangements for the CO, including ESPECRP. The ICT Associate provides ICT services for the project (staff - email, IT support etc.) and for the implementation of communication/visibility plan - development and publication of web-based materials. The Operations Manager oversees the operations teams on the implementation of the World Bank funded project. The Management Support Unit (MSU) reviews and monitors all related financial flows and clearances, and ensures proper reviews including annual auditing. MSU assesses and analyses the progress of work and achievements of targets, captures results of the projects and reports as per UNDP corporate requirements. 191 The Communication Officer is responsible for broadcasting of all communication materials, as well as providing support for crafting success stories and dissimilation in all UNDP media outlets in the country, regionally and globally. The MSU Finance Assistant will review requests for payments and affecting advances as per clearances from MSU. 2.3 Project Organisation Structure UNDP has established a Project Board as the oversight and advisory authority, representing the highest body for coordination, strategic guidance, oversight and quality assurance. The body will facilitate collaboration between UNDP, SFD, PWP, SMEPS and the World Bank and other stakeholders for project implementation. The board will review and endorse annual work plans (AWPs), provide strategic direction and oversight, coordinate and resolve implementation issues, and will review implementation progress, both physical and financial, and endorse narrative and financial progress reports. The board will be convened by UNDP in conjunction with the WB implementation support missions and will meet on at least six-montly basis. It will include senior programme managers from UNDP, the World Bank, SFD, PWP and SMEPS. The review meetings will be chaired by the UNDP Resident Representative or OIC and the World Bank Task Team Leader and the and be attended by the task leaders and middle management of SFD, PWP and SMEPS. ii.Figure 2: UNDP Project Organisation Structure Project Board (Governance Mechanism) SFD Executive PWP UNDP World Bank SMEPS Project Assurance UNDP Country Office Project Manager SFD, PWP, SMEPS UNDP Project Management Team Responsible Parties The Project Board will also ensure tracking of safeguard compliance and performance as stipulated in the ESMF. The board will oversee and review the implementation of the safeguards instruments, providing details on: a) measures taken in furtherance of the Safeguards Instruments; 192 (b) conditions, if any, which interfere or threaten to interfere with the smooth implementation of the Safeguards Instruments; and (c) remedial measures taken or required to be taken to address such conditions and to ensure the continued efficient and effective implementation of the safeguards instruments. The organisational structure of the IPs - SFD, PWP and SMEPS are presented in figures below. iii.Figure 3: Social Fund for Development (SFD) Project Organisational Structure 193 iv.Figure 4: Public Works Project (PWP) Project Organisational Structure 194 v.Figure 5: SMEPS Project Organisation Structure 3. Geographic Targeting and Fund Allocation The ESPECRP will follow the same multi-layered targeting mechanism which is applied by the ECRP. The project will cover all 22 governorates of Yemen to maintain political neutrality and conflict sensitivity, targeting high priority districts within each governorate, followed by priority communities within each district, and finally the selection of neediest households within each target community. Due to funding limitations under the project, interventions will therefore be allocated only to the highest priority districts, to be determined based on the total envelope and the cost of sub-projects (the average cost of a sub-project is US$100,000). The distribution of financing at the level of governorate and the targeting and fund allocation to the priority districts will at the outset be determined based on a distress index constructed from indicators including Food Insecurity, Needs Overview and Population Movement (IDPs and returnees), to be updated according to relevant UN Agencies’/Clusters’ datasets Rega rding the Cash for Nutrition sub-component, a special targeting approach will be used, specifically using malnutrition data from the UN-lead Nutrition Cluster. The sub-component of SMEs under SMED of SFD and SMEPS will also follow a sector-specific approach and evaluation criteria as explained under each sub-component in the following sections. The selection of communities and households will be the responsibility of the Implementing Partners (IPs) based on specific field assessments and selection criteria as detailed under each sub-component in the relevant sections of this POM. There is close coordination between the SFD (including SMED, and YLG), SMEPs and PWP at the head office level as well as at the branch level, specifically with regards to the selection of communities within a district 195 targeted by both organisations. There was no duplication at the community level between the two implementing partners under ECPR. The IPs are also actively coordinating with local authorities at community, district and governorate levels and are regularly participating in relevant UN Clusters as well as internally within their different units and funds to ensure complementarity in maximizing benefits and avoiding targeting duplications. The IPs will continue their close coordination for ESPECRP through regular meetings and knowledge sharing. They will identify communities and beneficiaries to the project according to the level of needs informed through field assessments, in coordination with local authorities and relevant stakeholders, and considering needs not covered under ECPR and other community-based projects. The coordination process will be formalized through documented outcomes of the meetings and records of the knowledge sharing. Given the fluid nature and unpredictability of the conflict in Yemen, it is anticipated that some target areas may become inaccessible prior to or during project implementation. As such, the initially identified districts and their allocation may need to be revised once implementation starts to account for inaccessibility issues and any major changes or emergencies (e.g. population movement and natural disasters) based on field assessments and relevant reports. Where project sites become inaccessible partially or fully, or where ongoing activities are disrupted, the relevant IP will closely and regularly monitor the situation to commence or resume activities. Should the situation not improve within three months, a decision will be taken to reallocate funds for the affected areas according to the updated Distress Index. In case of reallocation within the same district, the IP will make decisions and inform UNDP of the final status. Where funds have to be reallocated to other districts, the IP will submit a status report to UNDP and request approval for such changes. The IPs will, as much as possible, endeavour to make reallocations within the same governorate to ensure that allocated funds are utilized within the initially identified governorate. Upon confirmation that the IP’s request and proposal for reallocation has considered all targeting aspects, UNDP will submit the request to the WB for approval. Figure 6 illustrates the decision-making process of reallocation in situations of inaccessibility: vi.Figure 6: Contingency Flow Chart in case of Inaccessibility Prioritization of Needs based on Community Participation Types of interventions will be prioritized by target communities through a participatory approach. Beneficiary/community committees will be set up for every sub-project site. Training and awareness raising will be imparted to committees on Monitoring, GRM, Operation & Maintenance and Utilization of Local Resources to enhance value for money Original Allocation Accessible Accessible or Implement Inaccessible? Inaccessible Monitor/Reassess and Decide within 3 months Yes 196 Improved? vii. IMPLEMENTATION ARRANGEMENT BY SUB-COMPONENTS 4. Cash for Nutrition under Part 1.2(a) of the Project This subcomponent will include the provision of cash assistance (“Cash for Nutrition”) (CfN) and complementary health and nutrition services assistance to: (i) reduce the vulnerability of Eligible Beneficiaries in SWF Beneficiary List and Eligible Benefici aries outside of the SWF Beneficiary List (“Cash for Nutrition Beneficiaries”), and (ii) enable targeted households to purchase food and necessities. (b) Hiring and training of community health workers to deliver health and nutrition services, financial intermediary fees, and Operating Costs of SFD. It will be implemented by SFD through its Nutrition Unit and will follow the Operations Manual of Nutrition Conditional Cash Transfers of SFD. The Cash for Nutrition (CfN) component includes four main outputs: 1) Cash Transfers including scanning the targeted households, enrolment of qualified women, conducting health and nutrition outreach courses and payment of the monthly cash top-ups; 2) Facilitated Access to the Therapeutic Feeding Centres (TFCs) including the check-ups, enrollment and ups and referral of malnutrition cases to TFCs and paying them transportation and accommodation costs, if necessary; 3) Health Outreach which includes regular health outreach sessions and HH visits to support the behavioural change and provide advices and follow up mothers and children who need care; 4) Nutrition Community Workers through providing training and job opportunities to young women between the ages of 18 and 35 years, then deploying them as health and nutrition promoters/outreach workers for the local communities to deliver the above-mentioned outputs. This output includes eligibility assessment and selection and training of qualified young girls and paying them monthly wages. The following sections will summarize the main stages and procedures involved in implementing the CfN activities. The Operations Manual of Cash for Nutrition (Annex 7) provides further details. 4.1 Targeting and Enrollment The targeting comprises three steps: (i) geographical targeting; (ii) HH targeting; and (iii) targeting women and children. The enrollment is arranged in three steps: enrollment preparation, scanning the targeted HH, enrolling the eligible HH and inviting the eligible HH to join the programme. 4.1.1 Geographical Targeting Geographical targeting is aimed to determine the areas and the targeted districts from the priority list in accordance with malnutrition indicators and based on the intensity of the unfulfilled needs (nutrition cluster), then the following exclusion criteria shall be applied (impossibility of the intervention due to the conflict and the security situation, the operational challenges in implementing community approach in the urban areas due to the community heterogeneity). The regional balance takes into consideration the preparedness of fixed health facilities to provide health services and nutrition and cover health service delivery and the resources allocated for the project. 4.1.2 Household Targeting Household (HH) targeting is intended to create the “base-list” that includes up-to-date data of Conditional Cash Transfers (CCT) eligible HHs with children under five years and/or have a pregnant woman in the HH during the scanning and enrollment period. 197 4.1.3 Targeting Women & Children Targeting women and children is intended to obtain comprehensive data of pregnant women and the mothers of children under five who are eligible with the data of their children. SFD has developed a sub-system for Management Information System (MIS) of the programme so that it is able to manage the basic list after the scanning and enrollment processes to synchronize the updated information from the field in order to create a database for the eligible women to benefit from the activities of the programme, including the actual eligible HH and their updated information. 4.1.4 Scanning the Targeted Households and Enrollment of Eligible Women Preparation for field scanning and enrolment of HH and eligible women is intended to (i) set a plan that includes a timeline and conduct scanning for the living HH in the selected targeted areas and the requirements of operators provided that scanning shall not exceed 30 days at maximum; (ii) preparation of all the necessary literature, forms and documentation for the implementation of scanning process (guidelines for the field scanning of the targeted living HH with all enclosed forms, scanning forms); (iii) Ensuring that the information sub-system is ready to receive data regularly from the field and processing and utilizing such data in due course; and (iv) conduct training for the data entry staff and data auditors on the system and the scanning forms. viii. 4.1.5 Conducting Field Scanning and Data Entry The field scanning is intended to create a database of the HH and eligible women to make use of the cash transfers that are linked with the activities of improving nutrition practices and urge the request of health and nutrition treatment services. Scanning shall be conducted by an eligible consultancy firm to be contracted or by contracting a sufficient number of qualified individual consultants and female social researchers / community outreach workers, and providing them with training on field scanning and deployment guidelines for the work teams to conduct the scanning and enrolling the targeted women in accordance with the field work guidelines. All administrative, technical and field means shall be adopted to ensure that scanning and data entry are conducted within two months at maximum from the date of the field deployment. A monitoring plan shall be in place in accordance with the field work manual, including the following: 1. Conducting regular field visits to ascertain the extent of adhering to the scanning plan and implementation procedures in the different work phases in all the districts. 2. Evaluation of the field work and desk work through setting evaluation indicators for the quality of data collection, completion and compliance with the occupational rules in scanning implementation. 3. Random sampling from the cases that were scanned in addition to evaluating samples from the tasks of the heads of teams, researchers in the field and the technical auditors to ensure that there are no faults, difficulties or issues in the field. 4. Dialogue with community groups to hear about their impressions or comments on the performance of the field teams. 5. Monitoring data entry, auditing and verifying the soundness of the entered data and that the created database is sound shall be conducted regularly based on the original documents and forms. This shall be made by random sampling and conformation shall be ensured. 4.1.6 Methodology of Scanning  Exclusive listing of HHs and finding all eligible women (pregnant women, mothers of children under 5) in all the HHs of the targeted districts by teams assigned to collect field data or by community outreach workers under technical supervision. Every eligible HH shall be registered in a separate log, even if more than one HH are living in the same house. 198  All buildings and residences of all types shall be visited to find out the residential buildings then list all HHs that are available in such buildings and finding the eligible HH.  Identifying pregnant women and mothers of children under 5. 4.1.7 Enrollment of Eligible Women This procedure is intended to provide a database of the characteristics of pregnant women and mothers of children under 5 to join the programme, and to raise community awareness on the objectives and activities of the project. Enrollment shall be conducted by visiting HHs and interviewing eligible women, filling in obtained data in prescribed scanning form. Fingerprints of the targeted woman shall be captured if the form is filled in manually and not electronically. Enrollment shall be done in line with the field scanning manual. Announcement of eligible women joining the project will be made by posting the names of the women in public places in the village, along with information about the option of grievance describing the procedure to be followed. 4.1.8 Selection and training of communities’ education workers This procedure is intended to contract the best female young applicanst in a local community to work as the community’s outreach worker. The selection will be synchronized with the scanning process so as to finalize this procedure with completion of data entry of targeted women. Selection of communities’ outreach workers is based on competition and in accordance with clear and transparent targeting criteria: 1) She shall be of Yemeni nationality and having an ID card or a passport. 2) She shall be a permanent resident in the region or an IDP in the targeted community. 3) She shall at minimum have a secondary school certificate. Priority shall be given to university graduates or higher institutes’ graduates. 4) She shall be at least 18 years old and not more than 35 years old. 5) She will be currently unemployed, not yet having obtained similar opportunity in any SFD project. ix.Announcement of Temporary Job Opportunities This procedure is intended for equal access of the available job opportunities and informing the targeted communities. The announcement about job opportunities shall be disseminated and posted in the villages of the targeted districts at public places (markets, schools, mosques, health units etc.) and a local radio station, if any, shall also be used. The announcement shall include the following information: Job title, job station, job requirements, qualifications, how to apply, place and deadline of submitting application, contact details. x.Receiving and Screening Applications The objective of this procedure is to identify a final organized list based on the highest grade of the applicants meeting the application criteria. SFD shall appoint a consultant to screen the applications and check that all documents are provided, evaluate the application file in line with the procedural manual, provide a list of the excluded applications with justification. Lists shall be signed by the consultant. xi.Personal Interviews of Applicants This procedure is intended to nominate eligible women and select the best of them in line with the order of the scores to contract with them and employ them as communities’ outreach workers. The interview shall be conducted by a panel consisting of three panel members representing SFD, health offices and local councils in accordance with the work rules stipulated in the procedural manual. xii.Training the Communities’ Education Workers This procedure is intended to empower the outreach workers to conduct health outreach and scan and screen the cases of malnutrition among children and women in the targeted communities. Training contents 199 have already been developed by the Ministry of Public Health and Population (MoPHP) and the international organizations operating in the health sector. xiii.Payments of Communities’ Education Workers Every woman who has been qualified by meeting the eligibility criteria and passed the interview successfully for the temporary job opportunity as community outreach worker and completed the training, shall sign an employment contract and shall be entitled to a monthly wage of the equivalent of US$100 for the period of programme implementation, plus extra transportation allowance if duty requires to cover other villages not in the area of her original residence. A procedural manual regulates the payment calculation rules and mechanisms. 4.1.9 Grouping of Beneficiaries Targeted women shall be grouped together to ensure access to outreach and payment centres and implementation of the monitoring activities according to the following: 1. Preparation of a geographical map of the villages where eligible women exist, number of women in each village. 2. Identification of the geographical proximity of villages and the time distances on foot, clustering of villages close to each other in one group. 3. Office maps shall be reviewed by sub-districts and district coordinators and shall be subjected to field-based verification. 4. Eligible women shall be banded together in groups and linked to a community outreach worker in the population block of the targeted women as follows: a. District centres / semi-urban villages shall be divided in line with adjacent population zones so that the number of women in each group will not exceed 40. b. The village where the number of eligible women exceeds 40 shall be split into two groups based on residential convergence. c. In villages, not located within the diaspora regions, where the number of eligible women is less than 15, eligible women in neighbouring village shall be included but the distance between two villages shall not exceed one hour on foot, going and returning. d. The distance between a diaspora village and the closest village shall not exceed 45 minutes on foot, going and returning. e. The district’s need of community outreach female workers shall be identified in accordance with the number of women beneficiaries in each village/population cluster so that the community outreach worker shall be responsible for an average of 24 women in the high intensive population areas and 10-15 women in rural areas of geographical diaspora. f. The number of women beneficiaries in an urban payment centre shall not exceed 250 beneficiaries and in the medium intensive population areas not more than 150 women and in the diaspora areas the outreach centre shall be approved as a payment centre regardless of the number of beneficiaries. 4.1.10 Selection of Outreach and Payments Centres Location of outreach and payment centres shall be decided based on community consultations with outreach workers, beneficiaries and local leaders and be based on meeting the following criteria: 1. The location of the centre shall in the middle of the population clusters from where beneficiaries come, and it shall be accepted by the community. 2. The centres shall be public government facilities (like schools, health centres, etc.) and private facilities shall not be used. 200 3. The distance for a female beneficiary from her house to the payment centre shall not exceed 45 minutes on foot. 4. The road taken by female beneficiaries shall be easy and safe with availability of public means of transportation. 5. All precautionary measures to reduce congestion and its consequential risks shall be taken. The following general principles will guide the selection of centres: 1. Respecting women’s privacy and community culture norms and customs. 2. Not implying high financial burden for transportation cost. 3. Reducing the physical effort to access the centre to the minimum. 4. Safeguarding participants’ safety and non -exposure to any risks. 5. Sensitivity to any disputes or problems within local communities. 4.1.11 Enrolling eligible women in the programme Enrollment of eligible women in the programme shall be planned in synchronization with the scanning as the event shall be organized not later than one week from the date of completing the data entry work. The selection of community outreach workers shall be conducted within this period and they shall be given proper orientation of the objectives, criteria, conditions and benefits of the programme, ensuring the delivery of correct messages to the targeted female beneficiaries of the programme. Women beneficiaries will be informed about the time and place of the introductory session at least three days before the event. This event is intended to (i) inform the beneficiaries of the objectives of the programme and the key features, especially their commitments (conditions) and their rights as participants in the programme, (ii) identify and collect updated information about the actual beneficiaries of the programme, and (iii) organize the beneficiaries to begin their participation in the programme through informing them date and venue of the first community education session. An introductory session shall be held by the community outreach worker outlining the objectives, criteria, conditions and benefits of the programme indicating that in case of non-compliance with the conditions or if it is found that beneficiaries are ineligible, they will be denied benefits. Also, the procedures to be used if they are unable to attend health education sessions shall be explained. The outreach worker shall seek the women's proper understanding of these concepts. Eligible women who will agree to join the programme shall sign/fingerprint the programme enrollment form to confirm their approval to participate in the programme, acceptance of the rules and compliance with the conditions of the programme. 4.1.12 Nutrition and Health Interventions The programme focuses on improving the quality of nutrition and the proper nutritional practices and push the demand for treatment and health nutrition services through: xiv.Regular Cash Transfers In response to the social and economic crisis, the programme focuses on providing emergency cash transfers that shall contribute to increasing and diversifying food consumption for vulnerable groups. These transfers will benefit every woman who has met the criteria (pregnant woman, mother of a child under 5) during scanning and who has accepted and signed/fingerprinted the programme enrollment form. The cash transfers will amount to YER 20,000 (USD 35 equivalent) per month, plus transportation allowance if applicable. The beneficiary’s right to the subsidy shall not expire with the loss of pregnancy or child or if the child becomes more than 5 years after she has been enrolled in the programme. The woman’s enrolment 201 date in the project is the first entitlement date, with the entitlement expiring at the end the programme implementation period. xv.Health and Nutrition Education Sessions The community education sessions are intended to encourage beneficiaries to adopt customs and practices that may contribute to the improvement of nutrition and health of all the family members, particularly pregnant women and lactating women and children under 5; also, encourage mothers to send their children to school, especially girls. Education sessions are one of the key services provided to beneficiary women of the programme. All mothers of enrolled children and pregnant women shall be committed to attend in a regular manner as a requirement to obtain the benefit of the programme. The sessions will be conducted with precautionary measures taken, and modification to the mode of training, to reduce the risk of contracting COVID-19 and spreading the infection further. xvi.Organizing Sessions Health education sessions shall be convened once a month. Fixed days and dates shall be defined to convene the sessions. In case of any emergency circumstances that prevent convening the session on the specified time, beneficiaries shall be notified of the cancellation of the session and the new date and venue of the session, if changing the venue is required. One session or more can be suspended for emergency reasons after the approval of the concerned unit. The number of beneficiaries in one outreach centre shall not exceed 30 beneficiaries and not be less than 10 beneficiaries. The community outreach worker shall prepare the awareness material for the education sessions, using illustrative tools that can simplify the information and ensure that the information is delivered to the targeted women properly. xvii.Organized House Visits The monthly organized house visits by the community outreach female worker are intended to provide direct advice to female beneficiaries and raising awareness on the importance of healthy behaviour for some practices, with focused nutrition awareness based on the status of mother and child. The visits will also follow up mother and child malnutrition cases and monitor the progress and improvement and delivery of support as required. xviii.Alternative Sessions Alternative sessions are intended to provide health and nutrition education face to face for women who are unable to attend the public health and nutrition education sessions for temporary or permanent reasons. Alternative sessions shall be convened in the targeted women’s house or in the house in the area covered by the community outreach female worker where she has settled temporarily for any reason. Alternative sessions will be conducted in the same month when the public session was convened and before the payment lists are issued. The alternative session shall not be convened retroactively. xix.Educational/Awareness Topic & Material The health outreach topics, materials and methodology are standardized for all villages and based on learning materials and approved scientific evidence and in accordance with the health handout that was disseminated to the community outreach female workers. 12 topics shall be addressed such as natural lactating, public and personal hygienic, nutrition, diarrhoea, malaria, productive health, vaccination, cholera, etc. Each outreach session will cover one topic. Nutritional education focuses on the application of healthy diet during pregnancy, which shall include a variety of foods that contain protein and micronutrients sufficient to prevent underweight at birth. The importance of using iodized salt and taking nutritional supplements (provided as part of antenatal care) will be emphasized, and women will be urged to attend each of the awareness-raising sessions and apply for the service at the fixed and communicative health facilities. 202 Education sessions also enhance healthy diets for lactating women (a variety of foods with adequate liquids and proteins). Also, the outreach sessions provide family planning, enhance healthy practices during lactation, as well as the importance of exclusive breastfeeding immediately after birth, benefits of using colostrum, continued breastfeeding during the illness of the mother or child up to the age of two, and also health practices during pregnancy and breastfeeding (including non-consumption of qat, non-smoking, and personal hygiene, family planning and recommendation of antenatal care. xx.Facilitating Access to Therapeutic Nutritional Services The community outreach female workers, through health outreach sessions and house visits, shall urge pregnant women and mothers of children to apply for therapeutic nutrition services and motherhood and childhood services, either from the fixed health facilities or the health services delivery in the area. Also, they shall and provide information and data about the services offered by the centres. The programme facilitates access to therapeutic nutrition services through payment of transportation allowance during the treatment and accommodation, if required, and all logistical arrangements are made to have access to the services. The health and nutrition services are intended to improve the nutrition status of pregnant women and children as it is the key service to expand the impact of the programme. Such services are delivered in the fixed facilities or through communication campaigns conducted by MoPHP and its local representatives. xxi.The Calendar and Notification of Beneficiaries SFD, in coordination with MoPHP branch offices in the targeted districts and governorates, shall identify the Therapeutic Nutritional Centres (TNCs) at multiple levels in each residential block with a timeline schedule to receive malnutrition cases of mothers and children who are enrolled in the programme, as well as the motherhood and childhood centres and defining the implementation schedule of health communication campaigns. A copy of the schedule shall be submitted to the community outreach female workers. Such timelines shall be included in a special log and the outreach female worker shall inform female beneficiaries three days before to urge them to make use of the provided health services and arrange their attendance. Beneficiaries shall be notified of any changes to conduct the campaign due to unforeseen events and they shall be notified of new time scheduling. xxii.Malnutrition Screening and Referral Malnutrition cases shall be screened by the community outreach female workers who have been trained to use MUAC for infants, children in the age of 6-59 months. They shall be tested to find out if they have oedema (++), as well as the surroundings of pregnant women in the 3-9 months, lactating women from 0-6 and the following recommendations shall be adopted: a. In case of children with MUAC having any grade of enema (++), the HH shall be requested immediately to have full evaluation in a therapeutic centre to treat severe acute malnutrition. b. In case of children with MUAC between 11- 12.5 cm without having any grade of oedema, the HH shall be required to go immediately to the TNCs for supplementary nutrition before the occurrence of any complications. c. Pregnant women between the third and ninth month whose MUAC is less than 23 are recommended to go to the closest supplementation therapeutic centre. Pregnant women with less than 21 need urgent and emergency intervention. d. Lactating women between 0 to 6 months with MUAC less than 23 are recommended to go to the closest supplementation therapeutic centre. xxiii.Treatment of Malnutrition Cases The mother shall be urged to visit/ be referred to TNCs based on the check-up results. Acute moderate malnourished children shall be directed/referred to health facilities with Outpatient Therapeutic Programme (OTP) where they obtain consultancy and supplementation every two weeks for about three months. Also, 203 those who have severe acute malnutrition (without complications) may be referred. These cases may require frequent visits and this is usually made weekly for 6 weeks according to the MoPHP’s protoc ols applicable in the facility. Children suffering from severe acute malnutrition with complications shall be directed/referred to TNCs (also called Stability Centres, SCs) which usually exist in the governorate hospitals. Usually, children get recovered from the complications within 7 days (average) and when a child checks out, it needs intensive follow-up by the community outreach worker to ensure continuation treatment in OTP to prevent relapse. All cases will receive transportation allowance from and to Therapeutic Feeding Centres (TFCs). Also, cases that require admission receive accommodation allowance according to the procedural manual. Malnourished women are directed/referred to OTP, where they will get consultancy and supplementary nutrition bi-weekly for a period of 4 months (or according to the protocol of MoPHP). xxiv.Verification of Compliance The verification of compliance aims to collect information on the compliance conditions of each beneficiary woman and insert such information in MIS in order to issue the payment list of each month. Compliance shall be verified by three forms with the identical use and characteristics:  Enrollment form of women not attending the health outreach sessions  Enrollment form of women/children who received TFC (through the health facility)  Enrollment form of women/children who did not go to TFC facilities The three forms shall be developed and modified during the programme cycle to correct or improve their use. The forms shall be disseminated and collected on designated dates in order to meet the required deadlines to release the cash transfers to beneficiaries. The community outreach female workers and field coordinators shall be responsible for filling in and collecting the first and third form. Service providers in the therapeutic centres shall be responsible for filling in the second form. The task of disseminating and collecting the forms shall be considered a joint responsibility. Each participant shall have certain responsibilities after an agreed timeline schedule in order to meet the deadlines. The complete process shall be coordinated and followed up by the direct officer of the programme in the targeted governorates. Verification of monitoring the proper use and filling in the compliance forms shall be conducted by the M&E officer/ data entry person. xxv.The Contents and Use of the Health Outreach Sessions An awareness session attendance form shall be printed from the Information sub-system, containing the following data: name of the health outreach centre, village, sub-district, district, governorate, session number, session topic, session type, name and code of the beneficiary, reasons of absence and beneficiary’s fingerprint. In every outreach session, the community outreach female worker, who is responsible to conduct the session, shall take attendance details at the end of the session. xxvi.The Contents and use of the Referral of Cases to Therapeutic Centres A form shall be developed and submitted to the workers in TFCs, which shall include the name of the health facility, location, date, name of the case, age, case diagnosis, dates of commencement and end of the therapy with a space for the signature of the treating doctor / treating health worker and recommendations. The data shall be filled in by the health centre and be collected by district coordinators in due course. 204 xxvii.The Contents and use of the Enrollment Form of Women / Children Who Received Therapeutic Nutrition Services Two forms (one for women and the other one for children) shall be developed and submitted to community outreach female workers. The forms will include the following data: village, sub-district, district, governorate, case name, date of going to the facility and case diagnosis. The outreach female worker shall fill in the data based on the nutrition follow-up card, giving space for the name and signature of the community outreach female worker. This form shall be forwarded to the district coordinator. xxviii.The Calendar and Collection of Forms A schedule containing specific and detailed dates for the monthly collection of forms shall be defined. The calendar shall carefully consider holidays and work hours and the other special hours that shall be considered in the calendar to avoid delay. District coordinators shall be responsible for the collection and discharge the data and submit to data entry specialists to avoid any delay in getting female beneficiaries paid. The calendar shall define an accurate deadline for the required key activities to verify compliance and release cash transfers for each month. Organizing the Calendar as per the following criteria:  Monthly dissemination of health sessions verification forms before and within a period not exceeding three days from the beginning of the month and preferably in the last three days of the preceding month.  The enrolment forms of the cases referred shall always be available with the health facility and the community outreach female worker. The responsible person shall fill in the data on the day of the arrival of the cases.  It should be considered that no cases shall be forwarded to TFCs in the last week of the month as the data are collected in that week and are discharged and submitted to specialists.  Verification logs shall be submitted by the concerned district coordinator to the data entry specialist within the first three days of the last week of the month.  Data entry of the verification forms shall be filled in the MIS within a period not exceeding the last week of the month. The data entry specialist shall track the arrival of the forms and data flow based on a tight plan.  The calendar shall be reviewed and modified based on the acquired experience and all participants shall be informed immediately of all modifications in order to abide by the dates. The calendar shall be a public documentation widely spread for all programme participants, to agree on the protective and rectifying measures that are required to comply with the dates by all concerned persons. xxix.Special Cases and Acceptable Exceptions  Delay/inability to collect one or more forms from a certain area due to unforeseen circumstances or for security reasons or due to serious social problems shall be considered an exception in all forms and the forms shall be accepted through any electronic media.  The work of health outreach sessions and house visits shall be suspended if necessary for reasons related to security, health or natural disasters constituting a threat to the life of female beneficiaries and outreach female workers. Work shall be resumed when reasons for the suspension have been removed. The right of cash subsidy of female beneficiaries and the monthly salary right of female outreach workers shall not expire during the suspension period.  If a health outreach session cannot be conducted at the scheduled date due to the absence of the community outreach female worker, this shall not be regarded as non-compliance of female 205 beneficiaries and all female beneficiaries shall be considered present. Continuous contact with the outreach female worker and planning of alternative arrangements should deter such incidents from occurring. The outreach female worker shall be accountable when causing any disruption.  Beneficiaries who were not able to attend sessions for reasons of bad health or travelling outside the district for treatment of illness or for being admitted at hospitals or due to health quarantine shall not be deprived of the cash subsidy for the month and the acceptable reason for absence should be written against her name. This shall be reported to the unit and a disbursement approval shall be requested to disburse the cash subsidies for such female beneficiaries since they are not held responsible for their absence. 4.1.13 Payment The output of the compliance verification process and payment calculation is an organized monthly payment list based on payment centres showing the beneficiary status and her compliance with the conditions. Payment shall be made by the intermediary third party in accordance with the commitments stipulated in the contract and detailed in the procedural manual. The bank account shall be replenished with the required amount prior to each disbursement process. The beneficiaries’ lists shall be sent to the med iatory third party before the end of the month and in accordance with specified dates in the calendar. xxx.Data Entry In the date specified in the calendar, the field coordinator shall collect the compliance forms. The data shall be captured and checked by the data entry person / monitory and evaluation officer to verify that they are complete. The data shall be screened based on the district / sub-district and verify that they are signed and sealed by the concerned persons to ensure control of all forms and avoid loss of information. Data of all forms shall be fed in the MIS interfaces. Checking consistency and reviews of data entry shall be included in the data entry procedure. xxxi.Payment Calculation Completion of data entry on the deadline specified in the prepared calendar to get ready to start the calculation of beneficiaries’ due payments and issue payment lists. The calculation shall be based in accordance with the benefits and compliance conditions and as per the details listed in the procedural manual. xxxii.Payments Schedule The monthly payment list shall be issued in a period of time not exceeding the end of the month and cash transfers shall be received by female beneficiaries on monthly basis after the completion of the compliance verification process and in line with the payment list issued by the sub-system of the programme with urged and close follow-up to meet the deadlines. The calendar shall reflect the activities timelines included in the process of verification and compliance and a monthly payment list shall be generated. xxxiii.Payment Announcement Payment shall be announced and an annual schedule shall be printed defining the timelines of conducting the outreach and health sessions, payment due time and the payment centre for each month “it should be considered to provide firmed and fixed dates”, such schedule shall be disseminated to beneficiaries and the community outreach worker shall remind the women of the dates and places of payments or any urgent modification that may occur on the schedule. The announcement of the schedule shall be made via SMS to the mobiles of the enrolled beneficiaries. 206 xxxiv.Payment Method Female beneficiaries who meet the conditions are paid through a third party / mediatory every month in the payment centres approved by SFD. Payment shall be made in cash directly to the female beneficiary based on the programme card or an official ID with conformation of the picture. Female beneficiaries shall be notified in advance of the date and time of payment. The payment agency shall provide SFD with the female beneficiaries’ receipt vouchers as a proof of receiving the payment by beneficiaries. Unpaid amount shall be refunded by the third party (payment agency) to SFD and finalize the bank reconciliation procedures. 4.1.14 Conditions Female beneficiaries of the Nutritional CCT project shall comply with the following conditions in order to get the monthly cash transfers: 1- Attend the health outreach sessions with their enrolled children twice a month at the place and dates specified by SFD. 2- Women/children who are suffering from SAM or MAM must comply by going to TFC and obtain the nutrition case follow-up form. 3- Nutrition status of the mother and child must improve within the first three months. xxxv.Verification of Compliance Conditions 1) Verification of compliance with the conditions shall be made through specified forms. 2) The community outreach worker shall get the list of names of the eligible women and she shall be responsible to fill in the attendance forms of the health outreach sessions. 3) The district coordinator shall ensure that the sessions have been conducted, confirm the information included in the forms and collect the forms from the community outreach workers. 4) The health worker in TFCs shall be responsible to fill in the forms of the women who come to apply for the health service and provide the programme with a monthly list indicating the name of the beneficiary, nutrition case diagnosis, commencement date of treatment / the expected visit and duration of treatment. 5) The community outreach worker shall take copy of the malnutrition case follow-up card of the mother or the child. 6) A specific timeline schedule shall be in place for conducting the outreach sessions with specified dates and accurate responsibilities to disseminate and collect the forms. xxxvi.Suspension of Benefits / Advantages The benefits of the programme shall be partially or fully suspended when: a. Eligibility conditions are changed b. Moving to a village / district / governorate that is not targeted by the programme c. Falsification of documents relevant to the eligibility or other attempts of deceit d. Impersonation of another woman is proved e. Not showing up for the public / individual outreach sessions f. Death of a beneficiary woman g. Non-acceptance of the benefits 207 xxxvii.Benefits and Obligations Obligations The benefit In case of non-compliance Pregnant women and mothers with children YER 20,000 (USD 35) per Suspension of payments under five years old shall attend health month for the duration of outreach sessions / alternative sessions once the project a month Pregnant women and lactating women YER 20,000 (USD 35) per Unjustified non-compliance in and/or mothers of children with malnutrition month, plus YER 5,000 treatment as required entails end of shall attend health outreach sessions / (USD 8.5) transportation transfer of the additional allowance alternative sessions once a month and allowance per month for the month. This additional receive medication and their nutrition status during the treatment transfer is only against full must improve and/or the nutrition status of period compliance their children improve in first three months In case of severe and acute malnutrition with Additional allowance for complications, referral to stability centre and transportation / admission for treatment is required, to be accommodation (YER agreed to take 40,000, equivalent to USD 70), one time only 208 5. Cash for Work Transfers under Part 2.1(a) of the Project This sub-component will be implemented by SFD with the main objective of creatinge temporary employment opportunities to vulnerable people and providing access to key social services prioritized by the target communities. Implementation of activities under the Cash for Work (CfW) sub-component will follow the Operation Manual for the Labour Intensive Works Programme (LIWP) unit updated by SFD for the ESPECRP. SFD will pursue a short-term module for the implementation of CfW activities under ESPECRP in order to cover a large number of targeted communities and households through quick response and accelerated disbursement. The activities under this subcomponent entail short time labor (4 – 6 months) with high labour intensity (around 60%), capped wages in the average amount of US$500 per household, and works that are relatively simple to suit local labourers, with the majority of them being unskilled workers. Priority will be given to types of sub-projects that contribute directly or indirectly to improved food security and thus will include, but not be limited to, reclamation of agricultural land, improvement and protection of rural roads, rehabilitation of irrigation canals, facilities improving health and environment conditions (e.g. construction of simple latrines, rehabilitation of water resources, tree plantation, etc.). The payment of wages will mostly be done via a financial institution. In cases where banking or postal services are not available, a field accountant for making cash payments will be added to the SFD field team. The main operating procedures relevant to the ESPECRP are summarized here. The SFD’s Operations Manual of LIPW/Cash for Works (in Annex 7) provides further details. 5.1 Targeting The geographic targeting and fund allocation at the governorate and district level will be determined from the outset in agreement with UNDP and in accordance with the updated Distress Index methodology. The selection of communities, interventions and households will be managed by the Implementing Partner based on specific criteria as follows. 5.1.1 Targeting at the village level (desk selection)  Sorting of villages within the same district is based on poverty indicator, graded in terms of priority from 75% to 100%, for villages with a population of not less than 300 people.  In emergency and crisis situations (such as open hostilities), the crisis indicator becomes an approved indicator for identifying priority villages (such as the displacement indicator), and as a result of the lack of data or indicators for the crisis at the village level, the presence of those affected by the crisis (such as the presence of IDPs) becomes sufficient to make the village a priority in targeting.  In normal situations, communication with the local authorities through workshops will be held for the purpose to agree on a list that includes the areas nominated by the authorities with justification for nominating these areas and the programme compares them with the list generated from office sorting according to the SFD database. If the two lists do not match, programme staff will make field visits to verify and give convincing justifications for the existing differences, while the programme reserves the right to make the final decision to determine the areas of intervention.  The community officer and the technical officer of the programme in the branch will make field visits to all targeted villages and communities to be included in the annual work plan for the current year (and subsequent years if they are within one geographical area or are easily accessible) and submit a detailed report on the field visits, using a field verification form. 209  All areas eligible for intervention are placed in a special programme basket, called the targeting basket, with information entered into the MIS. This basket is updated with areas whenever the programme staff in the branch can do it.  Intervening in any village will be only one time, as the programme's policy prohibits implementing more than one project in a village. 5.1.2 Criteria for selecting villages The programme has developed selection criteria, which have resulted in well-targeted interventions, and this mechanism will strive to clarify these criteria to be used in the future targeting processes:  The number of individuals in the target village or community is not less than 300, with the possibility of joining more than one village to meet the number of individuals provided under the condition of easy accessing from all the targeted villages to the project site.  The number of poor or affected families with the desire to participate in the work and obtain employment opportunities through the programme should not be less than 70% of the total number of families of the target community.  The programme does not clash with implementation of any other programmes of SFD or any other public works in the targeted communities. Prior adequate coordination between the different programmes and bodies will be done to achieve the required integration. 5.1.3 Targeting at household level (self-selection) - criteria for selecting benefitting families Targeting families within the targeted community is based on self-selection by the poorest families willing to avail of the opportunity to work at the programme's wage rates that are 10% - 20% lower than prevailing wages for similar jobs in the local market, taking into consideration that the reduction in wages does not reach a level that causes workers to feel insulted and stigmatized. The rationale behind a wage rate slightly below the prevailing market rate is to make job opportunities provided by the programme not attractive to better-off groups and those who can avail of other more durable job opportunities. It allows the programme to set simple conditions for families to get an opportunity to work in the programme, namely: willing to work and accepting to work by the programme's mechanism and wage rates; and availability of individuals able to work in the registered family. 5.2 Types of Interventions / Sub-projects Types of sub-project in a target community will be decided through community participation in the planning process and be informed by outcomes of socio-economic study during Participatory Rural Assessment (PRA). The PRA study will be done at the times when sub-projects are to be selected, to ensure that communities have fully concurred with the types of projects selected and prioritized. Women involvement should also be explicitly highlighted in the studies. To maximize the possibility that productivity and long-term outcomes are improved in target communities, SFD will seek to support labour-intensive interventions that complement each other within a locality informed by an integrated analysis of livelihoods with a broader socio-economic context. Selected interventions should achieve around 60% labour intensity as percent of total project cost, have simple designs that can be implemented using locally available labour (including 80% unskilled labour), maximize use of local material, and be possible to implement within 4-6 months. Economy in selection and design of interventions, efficiency in implementation process and effectiveness with high impacts will be explicitly addressed during the selection process and adequately reported as part of the conditions for approval. Further, there will be a gender threshold of 30% in selection of interventions., 210 5.3 Determination of Sub-project Specific Budget When determining sub-projects’ cost, at least 60% of the project’s allocations should go directly to beneficiaries as wages. A household’s receipts from CfW will be capped at a total benefit of US$ 500 in wages for the entire duration of the sub-project, regardless of the number of participating workers from the household.26 When calculating the cost of any project under short-term interventions, a balance must be made between the number of households participating in the project and the basic cost of implementing the asset creation. In a way that ensures that all eligible families are included in the project, two steps to determine project cost are as follows: xxxviii. Total number of eligible HHs in a particular community average amount of direct transfers (wages) estimated; the result will be the total value of the cash transfers to the targeted families (the value of wages in the project). xxxix. The amount of total wage transfers for a specific project constitutes at least 60% of total project cost, while 40% is to cover cost of materials, transportation, consultancies, monitoring, etc. As an example, if the targeted community has 100 eligible HHs, and the average transfer per HH is estimated at US$ 500, then the cost of the sub-project will be US$ 50,000/0.6 (% of direct wage transfers) = US$ 83,333. The cost determination process shall also consider maximizing Value for Money through selection of most economical inputs such as use of local materials, increasing labour intensity, maximizing number of households and ensuring efficiency in implementation and reducing length of sub-project duration to the minimum. Sub-project cost shall include cost of direct transfers to beneficiaries, i.e. wages, material inputs and consultancies for design, supervision and monitoring during project implementation. Cost of consultancies (community & technical studies, feasibility studies, PRA) before sub-project approval shall be paid out of the general shared cost budget of SFD. 5.4 Implementation Methods The principal method to be applied to deliver the CfW activities will be direct implementation by SFD staff. This method has proven more feasible in rural areas than in many urban settings where it is difficult to set specific boundaries for a community and control demand. For urban settings, therefore, SFD may resort to implementation through contracting, yet with specific conditions to compel the contractors to adhere to critical project requirements, including selection criteria, engagement of unskilled labourers, labour intensity and safety standards. The following sections will map the stages of each of these two implementing methods. xl.Direct Implementation Stages Stages Activities Person responsible Time Frame Use of MIS Stage A - Nomination of communities within Programme Officer To be a continuous Use of updated Preparation: districts based on desk screening and Technical and exercise. The time Poverty Indicators Socio-economic for project including SWF Targeting Nomination of targeted districts in Assistants development and coordination with local authorities. Use of updated approval by the GIS Cross checking with District Councils’ lists. Project Committee 26 If the number of people who want to participate in wage employment exceeds the available fund for a given community, the benefit level will be reduced to allow for the inclusion of all applicants, and/or the community will be consulted to identify the most needy households. 211 Stages Activities Person responsible Time Frame Use of MIS Conduct Verify that communities selected satisfy Programme Officer shall not exceed Standard verification field selection criteria shown in the field + Technical and two months verification visit verification format, define Socio-economic reporting format community/project boundaries (# of Assistants form MIS. Field villages, accessibility, geographic visit report should boundaries) be entered in MIS Rejection criteria include: % of Qat grown, employed labour and official immigration abroad. If exceeding 30%, the community is rejected. Prepare a list of nominated areas which is Branch Manager applicable to LIWP’s criteria and submit it and Programme to Programme Management for approval Officer Submit Branch Plan to Programming Unit LIWP Management Assign PRA team Conduct socio-economic and technical Programme Selection of PRA studies with following outputs in addition Officer, Assistants, team from pool of to those outlined in the guidelines: PRA team trained comprising consultants Conduct community awareness about the consultants: programme including community leader Standard ToR to 1 female + 1 male be developed and Determine HH eligible for participation socio-economist + entered in MIS to and annual economic activities/patterns, 1 technical person be used for all BO Determine HH composition, HHs headed Data entry of PRA by women, available labour who can report/ linking participate, male and female data to GIS Sources of local material Details of eligible Determine with communities appropriate HH should be interventions that comply with criteria entered in LIWP- Identify training needs - new skills and MIS skill enhancement for income generating The MIS should be activities able to identify Collect data on proposed interventions HHs headed by women Collect baseline data on main outcome indicators before project start including nutrition patterns/ traditions, qat consumption Form Project Management Committee from community members Propose special activities to be carried out by women 212 Stages Activities Person responsible Time Frame Use of MIS Prepare the environmental and social plan Review and approve PRA study Development of BO enters data into MIS for PM Project Officers, projects proposed Programme Officer The Programme Officer submits the in the MIS and and Branch proposed list to Branch Manager for their approval by Manager approval Project Committee Review proposed projects and forward Programme them Project Committee Management Approve proposed projects Project Committee Application for For each project a bank account shall be BO Asst funding, opening opened in nearest commercial bank with Accountant, of bank accounts, 3 authorized signatures: Programme Technical Assistant replenishing them Officer + Project Officer + Assistant and Programme and completion of Accountant Officer prepare the final necessary letters First instalment of 50% of project cost will arrangements on be transferred. Remaining 50% will be LIWP HO field to start replenished periodically Accountant follow- implementation up approvals and Finance Unit Stage B - Physical Select Field Team (Field Engineer, Programme Officer The field work Standard ToR for implementation Technicians, Accountant) and Technical Asst period does not field team in MIS. for orientation exceed four List of reports Conduct orientation session including months being used review designs emphasis on what needs BO Project Officers to be done. Familiarize with the various These should all Socio-Economic types of reporting tools be standardized Asst and entered in the Handing over of project site and list of Accountants MIS participating HHs The standard Prepare HH ID cards agreement with the HH should also be available Actual project implementation: Field Team in the MIS consisting of Field Project announcement Engineer, Formation of working groups Technician and Issuing HH ID cards Accountant Field work implementation Monitoring As depicted in the Branch Office structure, several consultants will be assigned for ToR for implementation monitoring all aspects of project implementation, quality control, socio-economic Consultants will be standardized 213 Stages Activities Person responsible Time Frame Use of MIS to capture the indicators and financial monitoring and the commitment to the environmental plan and available in before situation and applying of occupational safety and health measures. MIS Each BO will monitor 5 projects at a time. Each sub-project will be visited at least once a month by each team and reports shall be submitted to the BO concerned officer and circulated to concerned level in the BO Reporting by The three Assistants to the Programme Officer shall individually submit quarterly Technical, Branch Office to progress reports to the Programme Officer who develops a progress report on social, Financial and LIWP Head Office technical and financial aspects, including actions taken in response to comments Socio-Economic mentioned in such reports, and submits to the Branch Manager and LIWP Manager. Officers at HO The LIWP Team in HQ then reviews the submitted reports and ensures compliance shall prepare with LIWP policy. standard reporting formats to be entered in MIS Monitoring of To be done LIWP outputs and through the MIS outcomes Conducting During project implementation, several awareness raising activities shall be conducted awareness raising 214 xli.Figure 7: Financial Cycle • After Project Approval and its status has been changed in the MIS to "Under Implementation", a current account is opened in a Commercial Bank (in coordination with the Finance Unit) , where 50% of the Project cost or 25 million Riyals (which ever is lesser) is deposited . • Authorized signatures include (i)Program Officer, (ii) Project Officer and (iii) Office Accountant. In case the check amount exceeds 2 million Yemeni Riyals, the signature of the branch Manager will be added. Open Bank Account • After allocation of work packages, the Field Eng + Technician Prepares Agreements with household allocating work items to be done, distribution in groups and ceiling for cash transfers that shall not exceed total project cost. Project payments procedures • The Group leader with Technician will prepare the Work Item report ( ‫ كشف البند‬sample 1) that gives details on the workers, work item quantities implemented, unit rate, no of work days, type of labor ( unskilled / skilled) , no of female workers and amounts due for each worker. The report is prepared and signed by the Resident Technician and the Group leaders once a month. It is reviewed by the Field Engineer. Prepare Work Item Report • 1. Engineer consultant does a verification to check the quantities disbursed to the site and conforming with the item statements and submitting a completion certificate. • 2. Accountant consultant in cooperation with engineer consultant start to prepare due statements for families / workers based on item statements. • 3. Accountant consultant reviews item statements, due statements and matches them with the completion certificates, and submits them to the branch along with due statements for banking providers. • 4. Finance assistant, project officer and program officer in the branch shall review the disbursement documents raised by the accountant consultant and verify the integrity of the procedures and sign the due statement that will be sent to the banking providers. A check is issued according to the disbursement request form. • 5. The disbursement is done on a monthly or every two weeks according to the type of the project by the accountant consultant or (banking providers) after vefigying all disbursement attachments with posting a copy of the wage statements before the disbursement process. • 6. Amounts given to the workers shall be recorded on the worker's card by the accountant consultant or banking providers and signed them. • 7. The accountant consultant submits the due statements after fingerprinting by the labor to clear the amount of the check, and the banking service provider submits the due statements Disbursement (report of workers whose dues were received - report of workers whose dues were not received) sealed to clear the amount of the received check. With the following procedures: Procedures • 1- In case of disbursement through the accountant consultant, the amount will be returned to the project's account. • 2- In case of disbursement through banking services, the amount will be returned at the end of the project to the cash contribution accounts No. (1005793557) • Based on the actual amounts paid to HH , The Desk Accountant shall enter data in the MIS and prepare the Cummulative Reports in a prompt manner. The report shall determine total no. of days worked and total HH dues so as to ensure not exceeding individual HH allocations. This report is used for monitoring purposes and it shall be promptly prepared It is recommended to Prepare include in the report a field for HH ceilings agreed upon ( sample 3) To be done on a monthly basis. Cummulative Report • The assistant consultant shall submit monthly reports to the branch program officer and then to the program mangement in the HQs (especifically to the program officer) who in turn prepares summary reports for each Branch. The summary reports shall include financial indicators such as total no of HH participating , total no of labor male & female, total wage transfers, total cost of delivering aid ( consultants ) cost of other inputs material & equipment . Such Data shall be monitored at the Project level, Branch level and for each Financier independently. Financial Reports • The BO Assistant accountant shall prepare a request to replenish the Project account as soon as 60% of the total amount in the Project account has been disbursed, all supporting documents for clearing actual payments made have been submitted, and have been reviewed and cleared by the Assistant Accountant, Project Officer and Program Officer. The request shall be submitted to the LIWP HO who after approval shall forward to the SFD Finance Unit. The LIWP HO Accountant shall follow up to ensure timely replenishments of Project Accounts. Replenishing Project Account. 215 xlii.Figure 8: The Project’s implementation Phases Open a bank account and the authorized persons to sign are the finance assistant, the project officer and the programme officer Transferring the initial payment amount to the Disbursement of families' project account dues through bank service providers (or field accountant in the - Ensuring the project components are distributed before starting the implementation. Issuing a check for the - Announcing in public places when amount of the required payment (families dues) raised from the site (project - Implementing the process of officer - finance assistant - awareness raising and community preparation - Distribution of family identification cards Reviewing the disbursement - Announcing on the project site the documents (finance assistant + project officer + programme officer at the branch) with extracting the bank statement from an electronic copy and - Receiving workers, registering them, classifying them according to skills, and distributing them to Raising the disbursement groups according to the items documents with the preparation - Election of the group leader by of due statements of the bank to the branch (the accountant Preparing the working The engineer consultant Preparing family due families within groups, Reviewing the families' will verify quantities statement by the calculating work done and dues and matching them executed at the site and accountant preparing item statement with the executed conforming with the consultant and by the group president, quantities (accountant item statements and engineer consultant then submitting the 216 xliii.Contracting Modality Stages Stage 1 Procedures Person responsible Project - Searching for easy and simple activities and interventions through which cash Programme Officers Identification/ assistance can be delivered to the unemployed workers in urban areas and poor and Project Officers Selection families as quickly as possible - Brief local authorities in urban centres on the LIWP objectives, procedures, selection criteria for projects, targeting mechanisms, proposed activities etc. - Conducting site visit to verify need and define project boundary. The projects should have a labour intensity not less than 60%. To increase labour intensity, components of the projects could be diversified. For example, stone paving (labour intensity 50%) could be combined with components with high labour intensity such as cleaning storm water drainage canals, tree planting and removal of debris. - Awareness raising will be conducted at all stages through female and male awareness consultants and awareness voluntary committees. Preparation of Preparation by engineering consultants of detailed designs including lists of Programme Officer + projects quantities, and hence reviewed by the Programme Officer and the Assistants. Assistants + Project Project period shall be 4-6 months for each package. Officers + Engineering Consultant Tendering Each package shall be tendered separately in accordance with the SFD Procurement Project Officer + BO Guidelines. The tender shall explicitly briefly state the nature of LIWP activities and Procurement need for contractors to attend a briefing workshop before submission of bids. Date, time and venue shall be clearly mentioned. In addition to the tender announcement the Instructions to Bidders shall include details on nature of LIWP, its objectives, procedures, specific requirements of the contractor such as deployment of labour, use of labour pool centres, percentage mix of unskilled labour. The contractor should be required to deploy 100% of unskilled labour and at least 80% of skilled/semi-skilled from the pool of registered labourers. (This clause should be added to the special conditions of the contract.) Emphasis on labour intensity and monitoring procedures including conditions for forfeiting the contract. The briefing workshop will further elaborate on all these aspects and allow contractors to be fully aware. Special conditions of the contract shall include the following aspects:  Contractors’ payment methods for labour that will be based on the list of labourers deployed as per sample to be attached with the contract. The contractor shall submit the list with each Interim Payment Certificate.  Number of workdays per labourer shall be maximum 40 days.  Provision of regular monitoring, every two weeks or whenever needed, by the socio-economic monitoring consultant to ascertain information directly from the 217 Stage 1 Procedures Person responsible labourers (wage amount received, how it was spent, number of work days, number of hours worked, how often paid by contractor, etc).  Quality control by the technical monitoring consultants.  On-the-job training and awareness campaigns for the labourers will be specifically detailed, including how frequently. Bid opening, As per the SFD regulations all bids shall be opened publicly at the date, time and Project Officer + BO evaluation and venue announced in the tender. Evaluation and award procedures shall be as per Procurement. award the SFD guidelines. No Prior Approvals/No Objections are required. As time is of the essence for LIWP, the evaluation and award process shall not exceed two weeks from date of opening. Occasionally, some large operations may need more than two weeks for evaluation and awarding according to a professional judgment of SFD technical staff. Monitoring Regular monitoring shall be conducted for the following: and reporting  Quality control of works to be as per the design and specifications. Technical monitoring  In addition to details on labourers deployed as per the list submitted by the consultant contractor, other socio-economic aspects will include outcome indicators such as Socio-economic use of income, skills gained, other job opportunities expected in future, monitoring improvements in performance as a result of training, improvements in behaviour, consultant reduced qat consumption, increased intake of nutritious food, spending on The BO can deploy family/remittances. additional  Monitoring of training and awareness campaigns. consultants for  Monitoring of success stories; mainly enhanced job opportunities. monitoring as long as  Submission of reports to the BO Socio-Economic Assistant. the monitoring  Submission of monthly reports to LIWP HO. period does not exceed 2 weeks for each project 5.5 Promoting Women’s Participation Enhancing women participation in the program is a cornerstone for long term poverty reduction measures and achieving sustainable development. In the LIWP, women participation should be an inclusive and explicit theme across all activities, with highest priority to households headed by women. The programme shall increase women’s participation whenever possible. When assigning work tasks, lighter and manageable tasks shall be assigned to women, such as fetching water, removing shrub, spraying water, carrying sand, gardening, painting, improving shelter, site cleaning for roads, rehabilitation of terraces, cooking for a group of workers, baby nursing for other women participating in the programme who do not have someone to take care of their children, etc. In addition, qualified women can be used to conduct awareness raising in the programme. Training in income generating skills, health and hygiene should focus on women and girls. Women should be encouraged to participate in productive groups, or have groups especially tuned for carrying out women activities. The LIWP shall to the extent possible activate such measures: 218  Work close to home: Among the sub-projects selected, there will always be those that are close to villages. As a general rule, sub-project sites should be easy for women to access.  Flexible working hours: Sub-projects will offer some level of flexibility in working hours for participating women. Consultation about the most suitable working hours that will still enable the completion of the work on time will be held and agreed upon by participants and LIWP.  Child care: Child care will be offered at project sites where women with small children have been selected to participate.  Ensuring that there is a high percentage of women on projects: Situations where there are only one of two women working as part of a large group of men should be avoided as this can result in harassment and abuse of women.  Female workers will receive their dues by in person, and not through a male family member.  Giving priority of employment to women, especially easy-to-implement components that are commensurate with their physical capabilities.  Allocating appropriate jobs that are commensurate with the capabilities of women and including them in the executive plan of the project with the possibility of dividing women into work groups to implement these works. Risks of gender-based violence must be addressed taking into account the country context by: a) Compulsory recurrent training and awareness raising of the workforce about stopping unacceptable behaviour towards women. b) Informing workers of national laws that make sexual harassment and gender-based violence a crime punishable by law. 5.6 Training and Awareness Raising Several training packages should be conducted. Emphasis should be given to the need for communities to aim at self-sufficiency and be more self-reliant. Cash for training will be undertaken for on-the Job training, while cash for awareness for vital health and hygiene issues will be decided on a case by case basis. The following training perspectives will be emphasized:  Awareness and training on the environmental and social plan's requirements and occupational safety and health (OSH) as well as on COVID-19 preventiveness measures.  Maintenance of completed assets, how to generate resources and mobilize funds locally,  How to pursue a development agenda for future development, what are the opportunities available, are there any other development organisations, can the local authority mobilize funds.  Training of Trainers will continue, with training activities within the communities.  Possibility of identifying and training “Agents of Change” who can bring about positive changes in their communities after the programme has ended will be explored.  Promotion of a culture for community self-initiatives. Awareness consultants (female and male) will form awareness committees comprising persons such as teachers, health workers and mosque leaders who are willing to volunteer to take up awareness training and follow-up on implementation at household level. In brief the procedure shall be as follows:  Awareness consultants establish the awareness voluntary committees with representatives from all villages. 219  The committees are trained on the different topics.  Consultants and committees conduct training in the various villages as on-the-job training. Awareness materials such as posters and leaflets are distributed at public places and to households.  Awareness committees prepares plans for continuing with awareness activities including monitoring and reporting every two weeks to the Field Engineer, who in turn will submit to socio- economic monitoring consultant. The committees should also be able to report success stories.  The Socio-economic Assistant at the BO shall monitor progress of awareness campaigns through the socio-economic monitoring consultant. Main themes of the reports including success stories should be entered in the MIS. 6. YLG Subgrant under Part 2.3(a)(i), MFI IT Subgrants under Part 2.3(a)(iii) This sub-comonent is implemented by SFD through its Small and Micro Enterprise Development Unit (SMED) and the Yemen Loan Guarantee Programme (YLG). The MSMEs subgrants and Business Associations subgrants [2.3b (i) and (ii)] will be implemented by The Small and Micro Enterprise Promotion Services (SMEPS). The main objective is to provide more sustainable economic opportunities to vulnerable populations by supporting MSMEs affected by conflict or the COVID-19 crisis, focusing on economic activities that strengthen the domestic food market, thus contributing to improved food security. The implementation will generally follow SFD’s Standard OM for the core procedures including procurement,, human resources, finance and M&E, whereas the technical procedures will apply the specific Project Operations Manuals of each subsidiary: YLG’s OM, SMEPS’s OM and SMED’s OM. Below follows a digest of the contents of these Project Operations Manuals. 6.1 Yemen Loan Guarantee (YLG) The Yemen Loan Guarantee programme is a not-for-profit guarantee provider established by the Social Fund for Development in 2017. YLG aims to facilitate accessibility for financial services to target segments with insufficient collateral through the provision of guarantee products and services. YLG provides partial guarantees on loans made by lenders (Partner Financial Institutions, PFIs) to medium, small and micro enterprise borrowers in Yemen. YLG will offer portfolio guarantees with a total capital of US$ 2 million to three Microfinance Providers with a total target reach of 3,024 MSMEs during a 2-year period (30 percent involved in the production or distribution of food). All microfinance providers will be encouraged to apply to ensure fair competition and transparency. Eligible MFIs will be chosen based on due diligence and analysis of their current portfolio and internal capacity to implement the model. Table 2 below identifies different model parameters. Table 3 shows the estimated number of SMEs that YLG will cover from the MFI portfolio based on PFIs’ analysis of the capital of US$ 2 million. Table 2: Portfolio Guarantee Model (PGM) Parameters Year 1 Year 2 Total Number of loans disbursed per year 1512.00 1512.00 3024.00 Average loan size $3,658.61 $3,658.61 - Average loan duration in months 15 15 - Guarantee coverage in % 70 70 - Cumulative disbursement $ 5,531,818.32 $ 11,063,636.64 $ 11,063,636.64 YLG capital allocated towards PF guarantee $ 2,000,000.00 $ 2,000,000.00 $ 2,000,000.00 Leverage 2.17 2.45 - Table 3: PGM Estimated Output 220 Partners Targeted Number of Loan amounts Number of Loan amounts Guarantee Sector SMEs estimated to SMEs estimated to amounts estimated be financed to estimated to be guaranteed estimated (2 to be SMEs (2 Years) be to SMEs (2 Years) *(70%) financed (2 guaranteed Years) Years) (US$) (2 Years) (US$) (US$) MFI1 Youth 7,000 18,907,563.03 1896 5,121,248.50 3,584,873.95 MFI2 Agriculture 1,600 9,123,649.46 840 4,789,915.97 3,352,941.18 MFI3 Agriculture 468 1,872,749.10 288 1,152,460.98 806,722.69 Total 9,068 29,903,961.59 3,024 11,063,636.64 7,744,537.82 The PGM will involve a revolving mechanism, allowing the PFI to continuously add loans to the portfolio, provided that the maximum portfolio amount is not exceeded at any point of time. 6.2 Fund Utilization YLG will place US$ 2 million as a bank deposit where the generated return on investment (approximately amounting to 4% annually) will be utilized to cover YLG’s operational expenses for implementing this model. Placing all the above in action assures sustainability to the Portfolio Guarantee Model (PGM). It is expected by the end of the pilot phase, i.e. after two years of implementation, a minimum of US$ 1 million of capital will be available to be used as a revolving fund to further implement the PGM for a wider scope, i.e. more clients and more PFIs. YLG US$ 100,000 Allocation For successful execution of the portfolio model, YLG will allocate US$ 100,000 to carry out several activities within the 2-year duration estimated as follows: Item Details Operating Expense Including salaries, field visits expenses, stationary, internet and telecommunication expenses. Assets Furniture (desks) – Computers (laptops) Exposure visits Exposure visits for the PGM team to expand the knowledge of the model. Workshops 1. Technical assistance and workshops for the 3 eligible PFIs for the PGM. 2. Capacity building for other PFIs to qualify for the portfolio model in the future. 6.3 PGM Safeguards 1. Guarantees are issued only in districts that do not have occurring army clashes (at the time of issuing the guarantee). 2. Supervising the Guarantee Portfolio implementation by LANDT GbmH. 3. Implementing portfolio guarantees only with current partners with Portfolio at Risk (PAR) of new portfolio >5. 4. Obtaining best practices regarding portfolio guarantee procedures that are ensured by LANDT. 5. Issuing guarantees to clients that meet YLG eligibility criteria while implementing periodic audit reviews on clients from the guaranteed portfolio to ensure meeting YLG eligibility criteria. 221 6.4 Leverage Leverage is defined as the use of investment capital to increase the potential return of an investment. In the context of credit guarantee funds, leverage represents the ratio of the outstanding guarantee exposure divided by the capital (of the entire credit guarantee fund or of specific parts of it, e.g. a specific portfolio guarantee). YLG targets a maximum leverage of 2 for individual guarantees and a maximum leverage of 3 portfolio guarantees. The leverage can be increased by YLG over time when experience with portfolio guarantee products allows. During the portfolio guarantee term, the leverage defined in the PGA (standard is 3) cannot be exceeded. Once the leverage of 3 is reached, the PFI cannot place new loans under the portfolio guarantee. YLG reserves the right but is not obligated to increase committed guarantee capital in order to decrease the leverage and allow the PFI to place new loans under the portfolio guarantee. 6.5 Portfolio Guarantee Term The portfolio guarantee has a defined term, starting with the effective date as defined in the PGA and ending with the portfolio guarantee expiry date. The maximum portfolio guarantee term for this pilot phase is 3 years (2 years of implementation, 1 year for closing), if the Portfolio Guarantee Period agreed with the PFI is shorter or if the maximum loan tenure for the loans under the portfolio guarantee is shorter. 6.6 Portfolio Guarantee Process The process for establishment of a Portfolio Guarantee is depicted graphically in Figure 10. Figure 10: Process Flow of Portfolio Guarantee Agreement xliv.YLG’s OM in the annex provides further details on each of the above steps as well as on other procedures and processes. 222 xlv.6.7 Establishment of VSLAs and IT Infrastructure Support to MFIs Through funds provided by the World Bank/UNDP, SMED/SFD will be implementing two sub-projects in this component. The first is establishing Village Savings and Loan Associations (VSLAs) and the second supporting Microfinance Institutions (MFIs) to improve their IT infrastructure. Interventions are further described in the Project Operational Manual “Establishment of Village Savings and Loan Associations and Support IT infrastructure for MFIs” of the SFD Small and Micro Enterprise Development Unit. xlvi. 6.7.1 VSLA Programme Methodology and Activities The VSLA Programme of SFD aims to support financial and non-financial services, enable people to have access to financial services, enhance the resilience of local communities, promote entrepreneurship and create job opportunities in targeted areas. A VSLA is a group of 15-25 self-selected persons who save money together in their regular monthly meetings and take small loans from these savings whenever there is sufficient amount of cash. The following principles will apply in establishing and supporting VSLAs:  The VSLA is autonomous and self-managed. Every association manages and organizes its activities by itself through a five-member Management Committee elected by all members. The role of SFD is to facilitate the association but never perform any of the association’s transactions.  Every VSLA has its written rules that must be developed by the association members using a template provided by SFD. Association rules aim to manage and organize all group activities including frequency of meetings, penalties for not attending meetings, required conditions of savings and lending.  Membership is open to women and men, but female and male associations are separate; there is no mixed association. The context and culture these associations operate under requires women to work together in their own groups. This cultural restriction can also empower women to be more self-dependent and resilient.  Members save money through paying a certain amount of money set by the association at a level that allows the poorest members to save that amount every meeting. The main rule of saving in VSLAs is that it is obligatory for each member to save a specified minimum amount of money at every meeting. Nonetheless, every member has the right to save more than the minimum amount agreed upon.  Each VSLA accumulates savings for at least six months in the first year to enable members to take small loans from their savings. All members have the right to obtain loans at a maximum of three times the amount of their savings for the purpose of establishing or expanding their own income- generating activities.  Loan funding must be used for establishing or expanding income-generating activities that enable members to gain sustainable incomes. Loans cannot be used for funding consumer goods. Loans provided by the VSLA are short-term funding that must be paid back within a maximum of 12 months by monthly instalments at agreed dates.  Each VSLA has an Emergency Fund that is funded through contributions from members. The purpose of the Emergency Fund is to provide members with small amounts of assistance in case of emergencies, as decided by the members in meetings.  The VSLA is built on principles transparency and accountability. All transactions are carried out at meetings in front of all association members to ensure that transactions are transparent and accountable. To guarantee that transactions do not take place outside regular meetings and to prevent unauthorized cash movement and record tampering, the association uses a lockable metal cash box for the money saved.  All members have a passbook to track their savings and loan funding information. Beneficiary selection criteria 223  The beneficiary’s age is not less than 18 years.  The beneficiary has to have a good reputation.  The beneficiary must be a permanent resident in the village where the group is created.  The beneficiary cannot be a member of more than one VSLA.  The beneficiary must agree to use his/her savings as a partial collateral of the loan that will be provided to him/her or any other member of the group. Area selection criteria  Poverty index of SFD.  Availability of economic resources.  Presence of SFD interventions in the locality.  Local communities’ acceptance of women’s participation.  Security situation in target areas must be stable without any conflicts. The project will build the capacity of VSLA members to get required skills that enable them to manage, organise and coordinate VSLA activities, and to manage and operate their income-generating activities. The training will focus on the methodology of VSLAs including main principles, savings and funding cycle and required steps and procedures to arrange and hold VSLA meetings. Technical management and entrepreneurial training will be given to VSLA members to develop their technical skills for the business types they decide to invest their VSLA loans in and building their entrepreneurial skills to manage and organize their businesses efficiently. After getting technical and management skills training, VSLA members will start establishing their own income-generating activities. Team works will supervise the process and provide needed support, such as feasibility studies of the livelihood activities planned to be funded from VSLA loans and technical support that will enable VSLA members to overcome difficulties in establishing their income-generating activities. To assist VSLAs to start their activities, the project will provide equipment and materials including cash boxes secured with three padlocks, financial records, individual passbooks and stationeries. The project activities will be implemented by individual local consultants who are to be selected according to SFD procedures based on the SFD Procurement Manual. xlvii. 6.7.2 IT Infrastructure Support for MFIs SMED will provide grants to at least two MFIs to improve their IT infrastructure to help them execute their digitalization strategies. Needs assessments of the MFIs will be conducted and the MFIs to support will be selected based on the needs assessment and pre-set selection criteria. Grants for improved IT infrastructure will be given based on the observed and agreed needs. MFI selection criteria  The MFI does not have a data centre.  The MFI has an existing digitalization strategy plan .  The MFI is using the systems supported by SMED.  The MFI has more than 3,000 active clients. Further details and procedures are detailed in the related Operations Manuals of SFD (SMED and VSLAs) in Annex 7. 224 7. MSME Subgrants under Part 2.3(b)(i) and Business Associations Subgrants under Part 2.3(b)(ii) of the Project 7.1 Direct support to MSMEs and business associations in critical sectors Technical assistance and grants will be given to MSMEs affected by the conflict or the COVID-19 crisis, MSMEs that either produce food (in horticulture, livestock and fisheries sectors) 27 or facilitate food distribution to the market (e.g. providers of cold storage, transportation and logistics). Districts with high incidence of malnutrition will be targeted. Support will be given to business associations in the target sectors directly and through the Yemen Private Sector Cluster to help them sustain support and services to MSMEs and conduct public-private dialogue to coordinate sector growth. The objective of this initiative is to restore the ability of the targeted MSMEs to produce and distribute food, generate income and create wage employment, while increasing the supply and access to basic food commodities in the targeted communities. This activity will be implemented by SMEPS28. The MSMEs will also derive environmental co-benefits from the activities, including: (a) Increased access to finance for MSMEs. The MSMEs accessing finance via MFIs through the portfolio guarantees will invest a share of loans in provision of solar energy, as electricity is one of the major constraints faced by Yemeni firms and farms to carry on their productive activities. The targeted MFI will be provided with IT equipment to reduce its operating expenses, given the absence of public electricity and the high cost of private suppliers. (b) Direct support to MSMEs and business intermediaries in critical sectors. The targeted MSMEs involved in food production are likely to reduce their water consumption by 42 percent, and their fuel consumption by 70 percent from baseline data29 as a result of the technical assistance and new production inputs from the project support. This initiative will thus help mitigate the environmental footprint of targeted MSMEs. Approximately 1,260 MSMEs will be supported, which can create 6,600 new seasonal and permanent jobs. In addition, the activity will support 20 sectoral or local business associations and producer/ advocacy groups either directly or through the Yemen Private Sector Chamber. At least 35 percent of MSMEs to be selected will be owned by women. This initiative will finance grants, technical assistance and consulting services to directly supported MSMEs and business associations. 7.2 Beneficiary Targeting Concerning the supply side of the market, the intervention will support 550 small-holder farms of essential crops affected by the conflict with seeds, seedlings, drip irrigation systems and other agriculture inputs. The agriculture inputs will replace farmers’ damaged belongings and restore their ability to grow food, generate income and create wage employment. 27 Farmers and livestock breeders can also be supported, although those are already supported by other World Bank projects. 28 Selection of farms will be based of pre-set criteria, e.g. type of grown products, size of farm, proximity to local markets, ability to employ workers, etc. Targeting of fishermen and livestock producers will also prioritize areas with high concentration of fishermen and livestock producers, presence of effective associations, access to local markets, areas impacted by conflict/crisis, and pre-set criteria including the size of the operations, and ability to further employ workers. 29 These percentages are based on the results obtained by SMEPS over similar activities in the ECRP project, based on data collected from 3,376 beneficiaries having received technical assistance on a) sustainable productivity and b) financing for upgrading production means 225 Besides, farmers will receive technical support to assist producers to shift to modern practices. The focus will be on farms of horticulture products, such as tomatoes, potatoes and other vegetables. It is expected that this intervention will create 3,850 seasonal and permanent jobs, an average of 7 jobs per farmer in land areas of around 0.25 hectares per farmer, increase farmers’ resilience and the supply level and access to basic food commodities within the targeted communities. The intervention will also train and support agricultural households with post-harvest training and proper methods of drying and canning agricultural produce. The livestock component will support 200 affected livestock breeders of both small and big ruminants with a target of 100 percent women participants. Supporting women breeders in the previous projects yielded the biggest impact. Women breeders increased their asset base by more than 300%, improving their income massively and supporting their household to improve food consumption. Furthermore, breeders were better positioned to adapt to the COVID-19 situation and be well-positioned since they received training on personal & animal nutrition and hygiene. Most breeders had procured hygiene and protective materials before the spread of the virus to enable them to practice their profession better. The project will build on the lessons learned from SMEPS interventions by providing selected beneficiaries with technical support and cash grants to improve productivity, incomes and household food security, and create markets for improved dairy products such as cheese. Breeders will be supported to build/rehabilitate proper animal pens, purchase livestock breeding inputs such as concentrated feed, medicine and add animals to their existing stock. Also, they will be provided with inputs for dairy production and storage to preserve the quality for markets. The fishery component will build on SMEPS fisheries value chain analysis targeting smallholder fishermen in the West Coast area where most damage from the conflict was felt and where SMEPS has not supported smallholders in its previous intervention. It will provide smallholders with technical support and cash grants to sustain their activities and improve the production and quality of fish in domestic markets. Grants for smallholders will be used to procure fishing boats, boat engines, GPS, fishing nets and other inputs. The support will also provide aid to fishery associations, transport and export companies with systems, institutional support, quality standards, technical support and matching grants to improve the quality of fish in the country and help smallholders access high-value markets. This component is expected to target 250 fishermen, generating around 750 seasonal and permanent jobs within the fisheries sector. This will increase fisher community resilience, increase the supply of fish and improve access to basic food commodities within the targeted communities. Furthermore, SMEPS will support in developing five producer and marketing groups to support smallholders in aggregating their produce, selling them to markets of a higher quality and to support members to access high-end markets and financial services. This will support the transparency of markets and tighten market relations by overcoming the common constraints for the different agents in the market chain so that the links are tied together more efficiently. This will be done by linking beneficiaries with other market players and service providers such as the private sector, veterinarians and financial service providers to increase access to finance. Also, it will aim to empower women in this category to be decision-makers and be involved in other projects by providing them with formal identity cards, enabling them to be active advocates for change in their communities. This intervention has proven to strengthen social cohesion in the past and given women more decision-making roles within households and communities. 7.3 Technical Support This activity will help to strengthen the skills of farmers, livestock breeders and fisheries through linking them with agronomists, veterinarians and fishery experts to provide them with coaching, on-the-job training and 226 advisory support during a period of 6 to 8 months. Moreover, livestock breeders will receive training on personal hygiene and nutrition; animal hygiene and nutrition; ad pasteurization and dairy production. Besides, livestock beneficiaries will be taught how to detect common animal diseases, how to administer medication for livestock and how to set price on animals and dairy products based on quality. Besides, the relevant experts will be given refresher training to help them understand the nature and goal of the project and the implementation approach. Farmers will also be provided with business training (agribusiness) to help in building their capacities for developing and expanding their businesses. 7.4 Asset Transfer This activity will help break the poverty trap by providing small grants to farmers, livestock breeders and fisheries to procure productive tools. Asset transfers will help them contribute to economic advancement since their needs will be taken into consideration. The modality for this is designed to help farmers, fisheries and livestock producers to identify their own needs and ensure they have control over the transfers, contributing to their empowerment. Moreover, they will be taught shopping procedures and quality checks on products making them key market players. This approach will help to build inclusive markets for agribusiness, livestock and fisheries inputs. 7.5 Grant Implementation Methodology Determine the areas of intervention: The areas will be nominated according to the project criteria in the office by the monitoring and evaluation department in conjunction with the project management, and then field visits are made to these areas (the roaming methodology) to ensure the possibility of intervention in them and the applicability or exclusion of all standards. Forming of community committees: The project activity begins in coordination with the local authority, signing an MoU, and then forming community committees in the areas of intervention to facilitate the subsequent work of the project team, and then start the implementation of the field survey of the targeted areas. The working community committees that were previously formed in the regions are approved by the Social Fund for Development and will be used. In the absence of them, community committees will be formed according to the committee formation mechanism used in projects to support and improve livelihoods. The committee will be formed comprising influential persons in the society of good reputation and integrity, recommended by the community, chosen from separate areas of the intervention area. They should not be stakeholders benefitting from the intervention and also not reside outside the target area of the project. The function of the committee is as follows:  Expressing an opinion on nominating the targeted and eligible families for support, according to the project criteria.  Supporting SMEPS staff in implementing the project activities with quality and efficiency to achieve sustainable development.  Coordination with field staff and clarification of any ambiguities.  Protection of field staff, if necessary.  Urging, educating and motivating the community in providing required contribution.  Ensuring that the principles of transparency, effectiveness and equal opportunities are upheld.  Alerting project management when there are deficiencies and suggest how to correct them to serve the community. 7.6 Criteria for selecting target families in livelihood restoration projects  Targeting families directly affected by the war, secondarily families indirectly affected. 227  The area of agricultural holding (owned, rented, company owned or gifted) is not less than 2,500 square meters with adequate source of irrigation.  Those most in need of continuing the livelihood activity according to field survey indicators or by recommendation of the local community represented by a community committee.  Selected families must have willingness to work, contribute and commit during the crop season until the end of the project.  Priority will be given to: o Displaced families or those returning to their areas of origin or households hosting displaced persons or returnees. o Women providing for their families and practicing activities. o Families with a large number of individuals. o Families with one or more persons with special needs.  Families with the following characteristics will be excluded from assistance: o Owners of demonstration fields supported by SMEPS's previous projects or other organizations. o Members of the community committees in the area. o Households with large land holdings. o Beneficiary's relatives up to the third degree (father, son, brother) or spouse, as well as the fourth- degree relatives of the beneficiary (cousin/uncle), shall not receive any grant unless he/she has written approval from SMEPS following recommendation of the community committee on the independence of families and eligibility for the grant. 7.6.1 Field Survey of Potentially Targeted Beneficiaries The field survey begins in coordination with the community committees that nominate more than twice the number of families required. Individual or company consultants will be contracted to carry out field surveys of targeted areas in the intervention areas. The survey form includes general information of the family, data on the size of the owned and cultivated holdings, sources of water and labour, types of crops in previous years and their seasons, as well as sales volume, production costs, profits in previous seasons, the household’s vulnerability to crisis, and various solutions deemed appropriate and required. The livestock survey form includes basic information of the family, intervention data, displacement, household income sources, animal holding data, productivity data, animal health data, nutrition and housing data. Similarly, The fisherman's survey form includes basic information of the family, displacement data, household income sources, boat data, productivity data, fishing data. 7.6.2 List of Eligible Beneficiaries After completing data entry for each region, data is reviewed and audited in preparation for analysis. After data analysis, the field team will meet with the community committees to subject families to screening against the project eligibility criteria. The screening process will generate lists of beneficiaries who are eligible for the grant, as well as waiting lists arranged in priority order according to preference and the criteria for the project. 7.7 Beneficiaries’ Orientation and Field Work Plans The field consultant will visit the selected beneficiaries and introduce them to SMEPS interventions and the supporting party, the nature of the project and the implementation mechanism, including the limitations, prohibitions and obligations. Implementation does not start until the beneficiary signs the grant application 228 document agreeing to its terms, and then guides the beneficiary in setting priorities and preparing a field work plan. Field work plan shall be submitted with the grantee’s request (commi tment document) and a copy of the ID card to the officer and project assistant for review, to be prepared for presentation to the advisory committee or returned if required, then the advisory committee reviews and approves the plans it deems consistent with the objectives of the project and refers to the project officer or makes recommendations that the committee sees in the event that any amendment to the plan is requested. For the livestock breeders, the field consultant specializing in veterinary services (a consultant for every 20- 22 beneficiaries) will be responsible to conduct field visit to the beneficiaries to prepare them with explanation of the project support, and help them in determining the priorities of their needs. The pledge of the grant application is signed by the beneficiaries. After signing the grant request pledged by the beneficiary, the first payment of the grant amount, estimated at $ 250, will be disbursed for purchase of farm supplies. The field consultant will guide the livestock breeders to access various supplies. The field consultant will also provide guidance to the beneficiary to prepare an action plan based on data for the livestock owned by the beneficiary, the most important factors of low productivity, the identification of proposed solutions, production problems and the most important needs of animals, feed and medicines. In the plan, tables of specifications and quantities are made for feed and medicines for each animal, and this plan must be approved by the team leader. 7.8 Technical Quotations for Services After the work plan is approved, the beneficiary collects three quotations for the inputs/ services from suppliers with the advice of the consultant, according to action plan that includes the bills of quantities. For example, if the plan includes the purchase of two or more products at the value of the grant, three quotations must be taken for each product (separately or grouped) from three suppliers so that the total of the quotations for each beneficiary does not exceed the grant ceiling and within the limits of need, and the beneficiary (with the guidance of the consultant) analyzes the offers and takes the appropriate decision according to his preferences and the facilities provided to him by suppliers. In case of quotations exceeding the grant ceiling, the beneficiary will have to pledge to bear payment of the exceeding amount. After project team review of the analysis, it is presented to the advisory committee for review and referral to the project manager to write the approval letter or request amendments if required. After approving the analysis of quotations, a letter of approval of purchase along with a letter of acceptance of the quotation analysis will be issued to the service provider in the name of the beneficiary, indicating the type of supply to be purchased according to the quotations issued by the service provider. The consultant shall inform the respective beneficiary to start the purchase process, and the consultant must copy all the beneficiary's documents and keep them in a file for each beneficiary who is handed over to the project officer or assistant. A technical report shall be submitted by the consultant attached to the work plan about the beneficiary, equipment and tools to be provided to the selected beneficiaries. 7.9 Grant Disbursement The grant amount will be paid within a maximum of 30 days of submitting the relevant documents and records, and the project team at SMEPS will review the documents and complete payment procedures. The total amount will be paid only after ascertaining that the beneficiary has spent the first instalment amount with expected progress as per approved work plan. 229 Deferred purchase could be made to create a relationship between the service provider and the beneficiary upon initial review and test, and the beneficiary meets with service providers whose quotations have been accepted. The beneficiary, with the guidance of the consultant, receives the tools, devices and equipment covered by the quotation, then the invoices are raised with the records of test, receipt and use, a copy of the acceptance letter, and copies of ID cards for SMEPS to complete the disbursement procedure. 7.10 Utilization of Grant/Inputs The beneficiary agrees with the service provider whose price offer will be accepted according to the SMEPS approval letter to purchase. The beneficiary, under the consultant’s supervision, receives the inputs covered by the quotation and payment is made by the beneficiary either in cash or as postpaid according to the beneficiary’s agreement with the service provider. The installation/cultivation/use of the inputs will be recorded as minutes of the installation/cultivation/use and the records will be submitted to SMEPS to complete the procedure paying the amount from the grant to the beneficiary. 7.11 Supervision and Monitoring Technical supervision will be continuous on weekly and monthly basis, including records of production capacity, training to the beneficiaries and practical use of techniques and inputs during farming, livestock rearing and fishing respectively. Fishers will be taught subject matter such as preserving and freezing fish products, drying sea cucumbers with sound and correct methods, handling fish at the landing sites, the use of modern equipment and maintenance of marine engines, etc. Similar guidance will be provided to farmers at Farmers’ Field Schools. The livestock beneficiaries will be supervised with regular follow -up, training/coaching on the activity of fattening and reproduction, the recording of periodic weight, the follow- up of the reproductive performance of the females, practical applications to benefit from the feed, such as making silage or treatment to raise the nutritional value of feed, etc. Awareness-raising and guidance in the field of personal hygiene and mothers’ nutrition will in addition be conducted for the families of the beneficiaries. 7.12 Field Days Exhibition/Showcasing the Success/Best Practices The interventions, techniques and methods applied in farming, livestock breeding and fishing will be showcased in comparison with the traditional methods that the targeted population usually use. The outcomes resulting from the intervention will be compared against traditional production. Optimal use of inputs to reduce costs and increase return will be explained to other farmers, livestock producers and fishermen to enhance their knowledge and influence them to adopt similar practice that can create more benefits for them. All relevant stakeholders from local authorities, specialists, dealers of production supplies, institutions of finance and interested business associations will be invited to the field exhibition. The event will be prepared and implemented by the field team in coordination with project management and the event will be documented in photos and videos. 7.13 Reporting & Documentation The assigned field consultant will be responsible for keeping all records of performance of each of the provided grants and their activities, and will prepare comprehensive reports to be submitted on a monthly basis to the SMEPS project management. The final report of the consultant/expert will capture and highlight all recorded evidence gathered during the implementation, including actual performance data, photos, documents and video clips of work. 230 8. Community Assets/Small Community Infrastructure Rehabilitation 8.1 Introduction The rehabiliatation of Small Community Infrastructure (SCI) component will be implemented by UNDP in partnership with PWP and aims to build community assets that help improve access to local services and small infrastructure. Sub-projects will be identified based on community priorities and implemented by private contractors. In addition, a small pilot with direct community implementation and community procurement may be done. Sub-projects will be more complex and less labour intensive than direct cash for work interventions. The required labour intensity will be about 35 percent of the sub-project cost, and 50 percent of the labour should come from the same target communities (depending on the local availability of specific skills required for the various sub-projects). Priority will be given to sub-projects that contribute directly or indirectly to improving food security30. This sub-component is expected to build community assets that benefit 255,000 people and provide temporary employment opportunities to about 16,940 people. It will finance the costs of sub-projects through private contractors and PWP’s operating costs. Sub-projects under PWP are identified by communities but executed, for the most part, by small private sector contractors. 8.2 Identification and Selection of Community Sub-projects The project will leverage experience of the ongoing ECRP, and will seek to expand community activities to build community resilience to shocks by promoting existing knowledge in communities how to mitigate potential risks of frequent floods, droughts and deterioration of natural resources through construction techniques and resource management. Further, the Small Community Infrastructure component will give more emphasis on community investments in flood prevention, land rehabilitation, water conservation and will seek to support the mechanisms adopted by communities to cope with recurring disasters such as floods, droughts, locusts. The climate adaptation measures will be incorporated into the community level sub-projects to ensure sustainability of implemented interventions and improved ability of the national institutions to sustainably deliver services to citizens. Environmental aspects such as dangers of cutting trees, desertification and impacts of climate change will be addressed through awareness raising of community members. The sub-projects will reach out to the most deprived communities that hold a substantial number of people for the programme to reap economies of scale. The provision of basic services includes factors such as electrification rate, percent of households served by safe drinking water, school enrolment rate of school age children, percentage of households with access to health services, community connectivity to paved roads and irrigation networks, and availability of job opportunities in the area, which will be considered in identifying the community sub-projects. This is critical as poor and vulnerable households are often the most at risk to the effects of climate change, and sub-projects that enhance climate resilience can enhance economic and social inclusion and help prevent poor and vulnerable households from falling deeper into poverty, reduce their overall exposure to risk and contribute to long-term adaptation to climate change. 30 Examples of these types of sub-projects include land rehabilitation, water harvesting, road rehabilitation to improve food production and access to markets. Drainage wall, water schemes and road construction mitigate the impacts of climate shocks. School rehabilitation, health clinics, water schemes improve access to basic services. 231 However, due to the emergency nature of current operations and taking into consideration repercussions of the ongoing crisis, famine, food insecurity and increase in poverty levels, the distribution of funds will be based on the agreed Distress Index composed of following indicators 31 : (i) level and intensity of people with food insecurity (i.e. the number of food insecure people in the governorate/district and their share of the total population); (ii) level and intensity of displacement (i.e. the number of IDPs and returnees in the governorate/district and their share of the total host population); (iii) level and intensity of population in urgent need for assistance; and (iv) within targeted districs, communities will be selected on the basis of available information on needs and in consultation and coordination with local leaders, civil society organizations, international Non-Governmental Organizations (NGOs) and UN agencies. Villages in targeted district will be sorted based on the percentage of the poverty indicator 4, and be graded in terms of priority from 75% to 100%. Criteria for final village selection include: (i) the number of individuals in the target village or community is not less than 300; (ii) the proportion of poor or affected families with a desire to participate in the work and obtain employment opportunities through the project is not less than 70% of the total number of families in the community; (iii) project entry will not clash with existing programmess of SFD or public works in the targeted community, which calls for prior adequate coordination to achieve required integration between different programmes and bodies. Community participatory assessments will be initiated with innovative technological solutions (open street map) to map basic infrastructure and services available to the targeted communities. The data collected through participatory assessments will be open source and serve as a baseline for reconstruction and investments by other partners to allow for the tracking services and assets available to communities throughout Yemen, assess gaps and disparities across districts. In addition to gender targeting during the identification of community priorities, the community engagement approach will also seek to identify and include vulnerable groups in the identification process and the labour force recruited during execution of sub-projects. The conflict sensitivity framework developed under the ECRP will apply to assess local tensions and inform potential interventions to strengthen local resolution mechanisms. Procedures for community engagement will include site verification, community mobilization and data collection. A most important phase in the project cycle is the site verification of pre-selected sub-projects, data collection and community profile mapping. Participatory Rapid Assessment methodology will be used for this purpose. The Gender & Social Specialist will assign three-member Social Mobilization Teams; a male and a female social expert and a technical engineer. The team will conduct site visits for a minimum of two days. The PRA procedure will include collecting social and economic data of the targeted communities with detailed information on basic infrastructure and services available, name of agencies that have had interventions within the community and a complete social profile for all beneficiaries. Such data will be collected for each selected sub-project. Data collected will be included in the Remote Monitoring System 31 The food insecurity index is from the Food and Agriculture Organization (FAO); the displacement index is from The United Nations High Commissioner for Refugees (UNHCR); and the population in needs index is from the United Nations Office for the Coordination of Humanitarian Affairs (OCHA). 232 application that will then generate reports to be shared with all other development partners as Open Street Maps. PWP will register all received community development proposals from the local authorities, community leaders and branch offices. Head of BO will submit requests on behalf of communities who are in extreme need and do not have access to submit requests directly. The proposals will be reviewed with the consideration of sub-project selection criteria including Distress Index, basic services status highlighted above including potential climate-related shocks as well as PWP defined sectors such as agriculture, water and sanitation, roads, education and health. The PWP Social Mobilization Team will be deployed to work closely with the respective branch offices to coordinate with the relevant local authority, community leaders and community to conduct community consultations to make a list of sub-projects with priority ranking in consideration of community needs and demand. 8.3 Finalization and Approval of Community Sub-projects The community selected list of sub-projects will be submitted to the PWP Internal Steering Committee32 for further review and approval with the consideration of the following criteria:  Ensure sub-project compliance with sectorial distribution, i.e. falling within specified sectors and district budget.  Falling within the sub-project budget range, in general maximum US$ 140,000 but in the case of the Social Protection Enhancement & COVID-19 Project the cost of an individual sub-project will not exceed US$ 100,000.  The sub-project should be labour intensive.  Compliance with social and environmental safeguard issues: no adverse environmental or social impacts; there will be a plan for sustainability; investment cost per person is < US$ 500 (not applicable for water and sanitation); it should not cause involuntary resettlement or land acquisition in accordance with World Bank ESF Standards; and it should not involve trans-boundary aquifers or international waterways in accordance with World Bank ESF.  Sub-projects that are rejected will be replaced in coordination with the community and local councils. 8.4 PWP Coordination Mechanism PWP Management will have specific and clear procedures for coordination with all actors involved in delivering development services in Yemen. At the HQ Level: PWP will establish coordination procedures with SFD, UNICEF, Clusters including WASH, Emergency Employment and Community Rehabilitation (EECR), Food Security and Agriculture (FSAC) and International Red Cross. PWP, as a member of these clusters, will attend regular meetings, share programme experience and define entry points for coordination. PWP will further enhance the relationship and coordination channels with SFD already in place by having a formal agreement. PWP will share investment plans, hold regular meeting to discuss issues, experiences, 32 In the absence of the main Steering Committee since 2014, and to facilitate decision making and approvals of key issues that will facilitate and expedite implementation of Grants, it was agreed in the Project Documents of the YECRP signed on August 14, 2016 to establish an Internal Steering Committee (ISC) comprising of Project Director, Head of the Committee; and seven members from area managers (3), procurement manager (1), investment planner (1), finance and admin manager (1) and M&E manager (1). 233 exchange views in the context of current situation and share knowledge on new developments such as remote monitoring, GIS and others. At the local BO level: The Head of Branch Office (BO) will be the mainly responsible to coordinate with the respective governorate bodies, district authority and community councils. The BO will have strong links with all actors involved in development activities, those related to infrastructure and community assets. PWP Branch Offices will have systematic coordination with each agency working in the same locations to minimize duplication of similar support to the same community. Coordination with Local Councils: Responsibilities and functions of Local Councils, established by Decree No. 4 in the year 2000, include representing communities in identifying, prioritizing, financing, implementing and sustaining development projects. One of the main objectives of the PWP is community involvement as a means of ensuring long term sustainability. In view of the current crisis/ situation, coordination with local authorities will be subject to the levels of active functioning of the offices and willingness to cooperate. Hence PWP staff in the Branch Offices will maintain coordination with the Local Councils / Authorities to the extent possible. The information to be shared with Local Councils could include the following:  Available finances distributed in accordance with a set of criteria, to all governorates and districts, unless allocated by donors to specific governorates and sectors.  Local Councils will be notified of the following: (a) brief description of the project including its objectives and procedures; (b) sources of finance and budgets available for a governorate/local council; (c) eligible sectors; (d) selection criteria; (e) a list of proposed sub-projects considered as high priority by community beneficiaries.  The Local Council could propose changes to the list of sub-projects with sufficient justifications. The concerned local councils shall commit to ensure community contributions for each sub-project, otherwise the PWP reserves the right to substitute those that do not meet the minimum requirement for community contribution. In the case of Emergency Projects such as the ESPECRP, the condition of community contribution has been waived. The local council/communities will commit to ensure Operation and Maintenance (O&M) of all sub-projects, through availability of resources (human and financial) and facilitates this aspect including taking care of equipment and furniture. Local Councils will commit to assist PWP in resolving any issues or disputes of non-technical nature that may arise during implementation between contractors and beneficiaries. Sub-area Heads are responsible for documenting disputes and coordinate with Local Councils to resolve disputes. The national authorities and the ministries will mainly be associated in a coordination and information sharing role.  Promotions and Initiation of Sub-projects: The PMU of PWP will have continuous contact with the Governorates, local authorities, local councils and communities to discuss issues impeding progress of the specific governorates and future interventions. This will be mainly the responsibility of sub-area heads who will conduct regular meetings in the governorate. In addition, the Project Director and Area Heads will meet at governorates to ensure that a spirit of continuous dialogue is maintained, objectives and criteria are discussed and issues are resolved amicably. 8.5 Sub-project Design The most important phase in the sub-project cycle is the site verification of pre-selected sub-projects and community profile mapping. The Participatory Rapid Assessment (PRA) method will be used for this purpose. Copies of the PRA will be available for review if requested. The PWP Social Mobilization Team (SMT) comprised of Social and Gender experts and a Technical Engineer, along with the respective Branch Offices, will be responsible for site verification and mobilization of the community in implementing the selected sub- projects with the following steps:  Community consultations will be initiated to inform about the selected sub-projects and their process of implementation. The SMT will brief about selection of location of the intervention, taking into consideration factors such as distance of location from the sub-project beneficiaries, especially female 234 beneficiaries, security, terrain and proximity to other benefitting villages.  A Community Council with at least 30 percent female members will be formed with the votes of community members. Terms of Reference for the roles and responsibilities of the Community Council will be developed in consultation with the community and council members.  Orientation will be provided to the community council and community members on their roles and responsibilities during implementation and supervision of sub-project including monitoring, GRM, GBV, OHS, ESMF, COVID-19 precaution measures and O&M.  A Social Agreement will be signed with the Community Council to protect health and environment of the targeted community, and beneficiary workers as well. Copy of the agreement will be available for review if requested.  The SMT will collate all basic data and information during the community consultation by using PWP developed basic survey form that will include community profile, particularly socio-economic assets and availability of services.  Social & environmental screening according to UNDP/WB prescribed guideline will be conducted, including identifying potential environmental risks and impacts and using a conflict sensitivity screening checklist.  A list of women community members who are willing to work with the contractor during the construction phase will be developed.  Site-reporting form will be filled in with the local community assisting in providing data. Data on gender and other social aspects will form baseline data for future social impact assessments. All collated data and information will be entered in the Remote Monitoring System (RMS) and be available for UNDP and World Bank teams. 8.6 Sub-project Implementation  In the tendering process, competitive selection will be undertaken between male and female engineers for provision of technical designs and supervision services. Competitive selection will also made between men and women contractors (if available). In case scoring is equal, women contractors will be given priority.  Local eligible contractors (including women contractors, if available) from beneficiary communities will be encouraged to participate and urged to use local labourers including women (whenever the local community traditions/norms allow) to the extent possible. Communities (men and women) will be encouraged to be involved in the supervision of sub-projects on site on an informal basis and report to the PMU of PWP through the supervising male or female consultant, or the sub-area manager on any shortfalls by the contractor.  All responsible parties, sub-recipients and other entities engaged under the project, either as contractors or sub-contractors, their personnel and any individuals performing services for them, should sign a code of conduct and should have in place adequate and proper procedures, processes and policies to address OHS, GRM and ESMF issues.  Sub-project Contracting: A competitive procedure will be followed to hire local contractors to implement the sub-projects. The tender notice will be circulated publicly with detailed sub-project specification including the requirement and obligation of contractors to abide by the rules and implementation procedures of PWP, including ESMF, OHS and monitoring. The most qualified and competitive and committed contractors will be selected within six weeks under competitive procedure including consideration of lowest bidder.  Pre-Qualification of Contractors: In case of works with special nature requiring well experienced and qualified contractors, PWP may place announcement for pre-qualification of contractors. For this purpose, the contractors should have the following qualifications: (i) the contractor’s registered name, status, address of the current business registration certificate, value of assets and the name and address of the person authorized to represent the contractor; (ii) a statement from the firm certifying that it is not under any legal restraint to conduct business; (iii) geographic boundaries within which the firm is willing to operate; (iv) a reference list showing the categories of works executed by the contractor, in respect of which the contractor is applying for registration. Each reference shall be accompanied by 235 necessary information including brief description of the work executed; amount and type of contract; works completion period; status of works in hand; settlement of potential disputes; and a list of equipment in direct ownership or leased.  On completion or during the course of execution of works commissioned by the PWP, the PMU of PWP shall review the contracting firm's registration in order to expand or reduce the list of work categories it is qualified to perform.  In case of contractors that have carried out works for PWP involving time overruns in excess of 30% of the initial estimates, the contractor shall be downgraded unless the PWP finds such overruns to be justified. Record of the justification will be made. In such cases, the possibility of registration or upgrading may be reviewed.  The PWP shall prepare a short list of all contractors pre-qualified including reference material and information on specialization and performance records, which should be maintained and updated as needed. 8.7 Sub-project Supervision and Completion  To ensure accountability and supervision of the implementation, a disciplined information flow between the contractor on site, the Branch Office and Head Office has to be in place to ensure a continuous flow of required data from the sub-project location to PWP HQ. All parties including contractors will respect the required quality of the technical specification and will manage the contract, so that work progresses and is delivered as closely as possible to the planned schedule of implementation.  For implementation supervision, a variety of reporting requirements with prescribed/agreed tools/methods will be introduced with on-job orientation for each implementation stage, such as site handing-over, preliminary completion, final completion, bi-weekly reports, safeguards monitoring reports, etc. The reports will be available for all project stakeholders including UNDP, World Bank, Community Committee, etc.  Supervision will be assisted by geomapping of sub-projects, to be applied where possible and appropriate and in full transparency with the relevant authorities, with the information accessible to all stakeholders on request.  Area Managers, Branch Office Managers and Supervision Consultants will bear the main responsibility for supervising the implementation of works during the sub-project implementation period. Specific responsibilities of the responsible positions are explained in detailed institutional arrangement under PWP.  Contractors will submit requests for payment certificates with a minimum value as stipulated in the contract. The Interim Certificate prepared by the contracto r’s engineer will indicate actual quantities per work item and cost. The PWP supervision consultant will check/verify each work item quantity, any deductions to be made and accordingly will approve, sign and submit to the Branch Office Manager who will also verify and sign. The certificate will be sent to Head Office where data will be checked and entered in the MIS. The Area Manager will verify and sign the certificate and submit to the Project Director for final approval. The certificate will be submitted to the Finance Department for processing of payment.  Upon final acceptance of works and the issuance of final certificate of completion and completion of the maintenance period, all retention monies or the balance thereof shall be released. 8.8 Sub-project Handover to the Local Authority and Community  A Handing-Over Committee (HOC) consisting of the Local Council Representative (whenever the LC has active representatives), the Beneficiary Committee including female representatives, Branch Office Manager, Supervision Consultant and authorized representative of the contractor will be constituted.  The members of the HOC will be responsible to conduct joint spot verification at the sub-project site to examine the quantity and quality of the works done and give a decision regarding satisfactory completion. 236  There are three scenarios for the Preliminary Handing-Over: o if the HOC members determine that the works are completed in accordance with the specifications and are satisfactory to all concerned parties, then the Preliminary Handing-Over Protocol Form will be filled in, certifying satisfactory completion of the works. o if the HOC members determine that the works are not completed or do not conform to the specifications, and minor modifications need to be made, and substantial completion is achieved, then all modifications, alterations and any other comments will be specified in the relevant section of the Preliminary Handing-Over Protocol form and be signed by all concerned parties, verifying that all issues have been addressed. o if the works are generally incomplete, then all necessary measures that need to be taken shall be specified in the relevant section of the Preliminary Handing-Over Protocol format. All Handing- Over Protocol forms should be signed by the HOC and submitted to the Area Managers.  After signing the Preliminary Handing-Over Protocol form (for scenarios i & ii above), the contractor may submit to the Area Manager a request for final payment approved by the consultant supervisor. For scenario iii, the contractor shall be notified officially of proper actions will be taken by the PMU.  Maintenance period is the time between Preliminary Handing-Over and the issuance of the final Handing-Over Protocol form and Certificate of Completion. The length of the maintenance period depends upon the nature and size of the sub-project and its execution period, but will normally be 6- 12 months, or as clearly stated in the conditions of contract.  After the final handing-over protocol and certificate of completion will be issued by the Handing-Over Committee, the remaining portion of the retention money will be released.  After the Certificate of Completion has been issued, the sub-project implementation process will have been completed, and the works will from then on be the responsibility of the beneficiary, who will be in charge of the operations and maintenance of the works, including all costs. 8.9 Operation & Maintenance  Communities’ role is most critical through their direct involvement in O&M, to ensure the continua tion and sustainability of implemented sub-projects, especially for rural water and sanitation sub-projects.  A consolidated effort will be undertaken by both PWP Project Management Unit and Beneficiary Committee to handle operation and maintenance practice with local communities, especially in case of water and sanitation projects that are not handed over to local communities.  A comprehensive procedure will be followed: o A Beneficiary Committee will be formed, with the consent of community members, to play a key role in enhancing community engagement and reporting the community's concerns or issues to PWP through the Sub-area Managers. At least 30 percent of female community members will be present. o Design and technical issues are discussed with all members. A special agreement between the PWP and the beneficiary committee will be signed. The agreement will specify obligations of each party and will spell out in detail the scope of work to be undertaken, the community’s contributions to the project, its role in facilitating implementation and obligations for operation & maintenance. Signing and endorsing the agreement is pre-conditional to commencing implementation. o An Operation and Maintenance Team comprising 3 to 4 members will be formed, including women in the Beneficiary Committee for water and water harvesting sub-projects. The O&M team will be trained on financial issues such as accounting, setting tariffs, maintaining bank account, as well as simple technical aspects required for operation & maintenance. o A sub-project will be handed over to the beneficiary community after the handover process to concerned public entity (such as education, water), which will also be responsible for the provision of assistance in operation and maintenance works. 237 9. Financial Management 9.1 Fund Disbursement The project will be implemented by UNDP under the Financial Management Framework Agreement (FMFA), which is an integral part of the Financing Agreement, in partnership with SFD and PWP. The grant proceeds will be transferred from IDA into UNDP’s official Bank account based on a written notice of withdrawal submitted to the World Bank by the designated UNDP official. Subsequently, UNDP will submit notices of withdrawal each six months thereafter, and each such notice will cover an amount representing UNDP’s projection of the expenditures, up to the project’s closing date, reconciling against amounts previously withdrawn against the project budget. The project will be implemented partially through direct implementation and through subcontracts with the IPs, in accordance with the project component descriptions using UNDP’s standard Subproject Agreements. The project will use the report-based disbursement method, i.e. Interim Financial Report (IFR) for the flow of funds. UNDP will prepare IFRs with a periodicity which is outlined in the Disbursement and Financial Information Letter (DFIL), in accordance with accounting standards established pursuant to the UN’s Financial Regulations and in a format agreed upon with the World Bank, adequate to reflect the expenditures under the grant. The form and substance of the IFR report currently used under the ECRP are acceptable with additional changes. UNDP will use the Direct Implementation modality to the extent possible, to mitigate any risk associated with advances to IPs, by which funds will flow from the World Bank to UNDP and then to the ultimate beneficiaries/recipients without passing through intermediary accounts. UNDP has an agreement with the International Bank of Yemen, the current banking service provider for UNDP and most UN agencies, to use the latest published exchange rate of the previous day for next day trading. UNDP encourages all its partners receiving US$ disbursements to use the exchange rates published by the Yemeni Money Exchanger Association in negotiating YER/US$ rates in the North and South respectively, following the same method of UNDP practice. To ensure compliance, UNDP will require that partners report to UNDP the applied rate for each foreign exchange transaction. UNDP will, as part of its ongoing assurance activities, commission financial spot checks and audits to confirm the reported transactions. 9.2 Financial Management Procedures UNDP will provide the World Bank with annual financial statement of accounts certified by their Chief Financial Officer, showing receipts and expenditures as of December 31 each year, with respect to each grant. Such financial statement of accounts will be provided w ithin six months after the closure of UNDP’s accounts for the year to which the annual financial statement relates. The Grant Control Account will be subject exclusively to the internal and external audit arrangements applicable to UNDP as set out in the UN agency’s Financial Regulations. UNDP will make its externally audited financial statements and accompanying reports of their external auditors on their financial statements available to the Bank in accordance with Article 2 of the FMFA. UNDP will retain all records evidencing all expenditures in respect of which withdrawals from the Grant Control Account were made, in accordance with its regulations, rules, policies, and procedures relating to retention of records. Use of advances to IPs should be limited. In cases where advances are used, the recipients will ensure proper controls are in place, such as: (i) the advances should be requested based on workplans agreed with UNDP and should be cleared on quarterly basis along with written justification of any deviation over 10% at the activity level from the approved workplan; 238 (ii) no new advances are released to implementing partners unless at least 80% of the advances of the previous quarterls will be cleared; (iii) all original supporting documents for expenditures incurred under the project will be maintained by UNDP and ESPECRP Implementing Partners; (iv) all advances have proper audit trails; (v) Implementing Partners should maintain international accounting standards in managing the implementation of the project at sub-projects. Only actual expenses will be reported in clearance of advances. UNDP will exert all efforts to ensure that funds reach the ultimate beneficiaries with sufficient evidence provided. UNDP will ensure that no funds are transferred to the central government or personal accounts of individuals unless those individuals are the legitimate recipients of cash for work or services rendered. 9.3 Accounting and Financial Reporting UNDP will: (i) maintain a financial management system, including records and accounts, adequate to reflect the transactions related to the activities, in accordance with the requirements of the UN Financial Regulations; (ii) maintain a separate ledger account (Grant Control Account) in its books to record the financial transactions of the project; (iii) prepare IFRs with a periodicity which is outlined in the DFIL in accordance with accounting standards established pursuant to the UN Financial Regulations and in the format agreed with the Bank during project negotiations, adequate to reflect the expenditures related to the Project. The IFRs will be provided to the World Bank not later than 45 days after the end of each three-month period. 9.4 Internal Controls To ensure proper controls are applied over the use of funds, UNDP will ensure the following:  The finance team located in the field is comprised of sufficiently qualified staff to review and properly maintain and file all original supporting documents of the project. The finance team will also ensure that proper controls are in place over the use of funds and that payments are made for eligible expenditures with due consideration to economy and efficiency.  The UNDP compliance team will assist the finance team to ensure that arrangements are in place for funds to reach the legitimate beneficiaries.  The finance and compliance teams will ensure that proper measures are in place to prevent double- dipping of activities.  Adequate financial and technical reviews are conducted regularly by Third-Party Monitoring Agent and the finance and M&E teams.  In case of payments to individuals, UNDP will ensure that mobile banking, payment agencies or other methods are used that can provide a high level of assurance that funds reach the intended beneficiaries.  UNDP will ensure that IFRs are properly reviewed and approved prior to submission to the World Bank. In addition, IFR reported expenditures will include no advances other than those agreed with the Bank and disclosed in the IFR.  UNDP will ensure that the list of cash-for-work beneficiaries is accurate, updated in a timely manner, and provided to the Third-Party Monitoring Agent for sample reviews. 239 9.5 Fiduciary Arrangements Consistent with the authorizing environment provided for under the FMFA, the financial management and disbursement procedures of UNDP will apply. UNDP’s representation in the Republic of Yemen will be responsible for implementing the project. UNDP’s representation in the Republic of Yemen will be responsible for implementation of the project. The World Bank Environmental and Safeguards Framework (ESF) will apply to the overall project implementation. Moreover, consistent with the authorizing environment provided for under the FMFA and since the procurement regulations of the Implementing Partners (IPs) were assessed and found acceptable to UNDP, the procuremet of goods and services of the IPs would prevail. In case of any deviation from the approved IPs’ reg ulations, the IPs would obtain a prior written request from UNDP. To ensure adequate oversight, UNDP will continue to carry out regular reviews and spot checks on the IPs using Harmonized Approach to Cash Transfers (HACT) and will conduct a quarterly procurement audit/spot check over the IPs, in addition to annual spot checks and auditing. . 9.6 Audit Arrangements The project will be subject to the audit arrangements applicable to UNDP as set out in the UN’s Financial Regulations. UNDP will make the audited financial statements and accompanying reports available to the World Bank, and will retain, or cause IPs to retain, all records evidencing all expenditures in respect of which withdrawals of proceeds were made. The World Bank may require additional due diligence measures in agreement with UNDP in accordance with ToR agreed upon between the Bank and UNDP. 9.7 UNDP Anti-Fraud Policy The Implementing Partners have as Responsible Parties a general accountability for fiduciary management of funds put at their disposal by UNDP. In this regard, they will take appropriate steps to prevent misuse of funds, fraud or corruption by its officials, consultants and contractors in implementing the project and using the UNDP funds. The Implementing Partners will ensure that appropriate financial management, anti- corruption and anti-fraud policies are put in place and are enforced for all funding received from or through UNDP. The Implementing Partners shall as Responsible Parties comply with and be subject to the requirements of the following documents in force: (a) UNDP Policy on Fraud and other Corrupt Practices (“UNDP Anti -fraud Policy”); (b) UNDP Office of Audit and Investigations (OAI) Investigation Guidelines; (c) UNDP Social and Environmental Standards (SES)33, including related Stakeholder Response Mechanism (SRM), with specific details pertaining to the project outlined in the ESPCRP ESMF. The Implementing Partners must agree to the requirements of the above documents. In the event that an investigation is required, UNDP has the right to conduct investigations relating to any aspect of UNDP projects, as per its mandate. The Implementing Partners shall provide full cooperation, including making available personnel, relevant documentation, and granting access to their (and their consultants’, contractors’ and sub-contractors’) premises, for such purposes at reasonable times and on reasonable conditions as may be required for the purpose of an investigation. Should there be a problem in 33 Jointly with the World Bank’s Environmental and Social Framework (ESF). 240 exercising this right, UNDP shall consult with the Implementing Partners to find a solution in the best interest of both parties. UNDP and Implementing Partners will promptly inform each other in case of any incidence of inappropriate use of funds, or credible allegation of fraud or corruption with due confidentially. Where an Implementing Partner becomes aware that UNDP is funding, in whole or in part, an activity that is the focus of investigation for alleged fraud/corruption, the Implementing Partner will inform the UNDP Resident Representative, who will promptly inform UNDP’s Office of Audit and Investigations (OAI). UNDP will also accordingly inform the World Bank of any allegations in line with relevant clauses of the Financing Agreement. With regard to the restitution of funds misused, including fraud or corruption, UNDP’s anti-fraud policy, UNDP shall be entitled to a refund from the Implementing Partner of any funds provided that have been used inappropriately, including through fraud or corruption, or otherwise paid other than in accordance with the terms and conditions of the agreement signed with the Implementing Partner. Such amount may be deducted by UNDP from any payment due to the Implementing Partner under this or any other agreement. Recovery of such amount by UNDP shall not diminish or curtail the Implementing Partner’s obligations under its agreement with UNDP. Each contract issued by the Implementing Partners in connection with the project shall include a provision representing that no fees, gratuities, rebates, gifts, commissions or other payments, other than those shown in the proposal, have been given, received or promised in connection with the selection process or in contract execution, and that the recipient of funds from the Implementing Partner shall cooperate with any and all investigations and post-payment audits. Should UNDP refer to the relevant national authorities for appropriate legal action any alleged wrongdoing relating to the project, the relevant national authorities shall actively investigate the same and prosecute all individuals found to have participated in the wrongdoing, recover and return any recovered funds to UNDP. The project will strengthen the overall risk analysis and management mechanism, including regular updates on contextual risks, as well as operational risks pertaining to the project, on a quarterly basis. 10. Monitoring and Evaluation 10.1 Preamble Effective management of the project will be critical, given its importance, size and complexity. To this end, UNDP will reinforce the project management systems and capacities of SFD and PWP to ensure risk management and project approaches sensitive to the conflict and political environment in Yemen. UNDP will closely coordinate with the World Bank to provide needed information and to enable smooth and speedy financial and operational transactions to facilitate timely implementation at the level of the responsible parties. UNDP will maintain regular interactions with SFD and PWP with UNDP staff presence in Sana’a, Hodeidah, Sa’adah, Ibb, and Aden for monitoring, quality assurance and, as needed, grievance management. Third-party monitoring will also feed into UNDP’s monitoring work. UNDP will prepare bi -annual narrative and financial reports and end of project reports consolidating inputs from the responsible parties as well as to convene project board meetings and undertake audits and evaluations34. Moreover, a proactive quality assurance mechanism for promoting high-quality data acquisition and reporting will be prioritized and must be implemented. Data quality monitoring must address the entire process by which the data is gathered, transmitted, stored and analysed. Data quality will be monitored 34 Where available and feasible, UNDP will cooperate with other international donor partners for joint reviews and external audits (as in the case of SFD). 241 continually by all parties, with summary reports prepared and distributed to the Project Management Unit, IPs and the World Bank team. Appropriate orientation and refreshment training will be initiated at all levels of M&E personnel that will enhance data quality. Field visits allow data collection and storage processes to be observed directly. The monitoring system and quality assurance mechanisms will be flexible so that new means of quality assurance or monitoring such as technology-based M&E solutions can be added when necessary during the project implementation. Monitoring will be facilitated by an enhanced MIS. The IPs will utilize their respective MIS’s to capture sub - projects' input and output indicator data related to implementation progress of the sub-.-.project as well as beneficiaries' data. UNDP will develop an integrated MIS which will automatically receive the basic data from the IPs’ respective MIS to facilitate real time monitoring of the implementation +status of project interventions. The UNDP MIS system will help track and manage project activities through a dynamic dashboard that will be designed for this purpose. The UNDP MIS will also be integrated with the TPM firm systems to include data of TPM visits as well as the data collected through Remote Verification and Monitoring system (RVM). The RVM system will collect data of the key implementation aspects implementation of critical issues such as GRM, Occupational Health and Safety (OHS), Environmental and Social Management Framework (ESMF) as well as fiduciary issues including payment amount against working days/performed, unit of work, timely payment, gender-based violence (GBV), selection of subprojects and wage beneficiaries in remote areas through SMS messages, telephone calls and phone interviews using structured questionnaires. The findings of the RVM will be verified through further reviews including field verification by the TPM agency if required to establish the veracity of claims. Project monitoring will be undertaken at multiple levels. The project IPs, SFD and PWP, are responsible to provide first-hand monitoring support to track implementation progress on the ground. They are also responsible to submit quarterly progress reports presenting actual activity progress. Where the UNDP team is unable to verify results on the ground on time, UNDP will contract a Third-Party Monitoring Agent (TPMA) for the sole purposes of monitoring the implementation of the project. The TPMA is expected to contribute to improving the development effectiveness and efficiency of the project through reviewing its performance and using evidence to propose adjustments to its programming for optimal results achievement. The TPMA will be responsible to track performance through the collection of appropriate and credible data on the ground and other evidence; analyse evidence to inform UNDP management and Project Board decision-making, recommend improvement of effectiveness and efficiency as necessary; and report on performance and lessons to facilitate learning and support accountability. UNDP will carry out regular monitoring through the review of mandatory quarterly reports by IPs for quality assurance and verifications. A monthly regular coordination meeting to be conducted with IPs to assess the progress and take mitigation measures for potential challenges to smooth implementation as well as achieving intended targets and results. The UNDP team will conduct frequent field monitoring visits at project implementation sites based on IP reports and TPM findings to further assess and verify implementation progress and results. 10.2 Project Results Framework The project document provides the basis for implementing and monitoring the project’s activities and results. One of the essential components of the project document is the Results and Resources Framework (RRF) which describes project intended outcomes, outputs, indicators, and indicative interventions. The results framework explains how the project intended results to be achieved including casual relationships and underlying linkages among outcome and outputs as well as assumptions and risks. The project results framework will be implemented to assess the success of the project's strategic framework to achieve its 242 intended objective. The UNDP Project Management Unit (PMU) will provide more emphasis on the implementation of the project results framework with every effort would be made to show information on the broader agenda of actions being pursued and the implementing partners will be responsible for working towards achieving the overall outcomes and impacts of the project. This will also aid the monitoring and evaluation processes. 10.3 Operationalization of Monitoring and Evaluation Plan To realize the results envisaged in the project results framework, a comprehensive M&E plan will be communicated and implemented with the engagement of all required project partners including the Third- Party Monitoring Agent. The implementation of the M&E plan will generate all necessary data and information for project management including senior management of UNDP, project implementing partners, funding agencies, and other relevant stakeholders to know whether the intended results are being achieved or if they should take corrective action to support the delivery of the intended results. It will also contribute to effective project implementation and support project management accountability and learning. The PMU will coordinate and closely work with the IPs and TPMA to strategize how the M&E plan is to be implemented effectively with regular formal review and update to collate accurate and reliable data and information from monitoring and evaluation to be used for decision making. 10.4 Monitoring and Evaluation Activities to be performed during the project period 10.4.1 An Integrated Monitoring Information System (MIS) Project monitoring will be facilitated by an integrated Monitoring Information System (MIS). The national Implementing Partners will utilize their respective MISs to capture sub-projects' input and output indicator data related to implementation progress of the sub-project, as well as beneficiaries' data. UNDP will develop an integrated MIS which will automatically receive the basic data from the IPs’ respective MIS through Application Programming Interface (API) to facilitate real-time monitoring of the implementation status of project interventions. The UNDP MIS system will help track and manage project activities through a dynamic dashboard that will be designed for this purpose. The UNDP MIS will also be integrated with the TPMA systems to include data of TPM visits as well as data collected through the Remote Verification and Monitoring System (RVM). The MIS system will capture all the necessary information that should facilitate decision making support and quality assurance of the project by enabling effective monitoring, analysis, verification, evaluation of the project in a timely, complete, consistent, relevant, flexible and reliable manner. The details of the required level and frequency of information and the related mechanisms will be agreed with the IPs during the development to the project integrated MIS within the first year of the project implementation. The project will also consider supporting the related capacity building needs of the IPs in the same regard. 10.4.2 Third-Party Monitoring (TPM) Agent With the regular monitoring activities, UNDP will hire an independent TPM agent to undertake quarterly performance and fiduciary field monitoring of sub-projects funded by the project. The TPM agent will be responsible to track performance through the collection of appropriate and credible data and other evidence; and to analyse evidence to inform UNDP management decision making and recommend improvement of effectiveness and efficiency as needed; as well as reporting on performance and lessons to facilitate learning and support accountability, including learning from beneficiaries’ experience. A multistage sampling method will be applied by the TPM agent, ensuring the maximum level of 243 representation from all diversified interventions and various groups of beneficiaries under the project. It will include stratified random sampling to make strata within sub-components and beneficiary groups, while simple random and purposive sampling is to be considered to ensure geographical balance between accessible, partially accessible and inaccessible areas, as well as balanced coverage of northern and southern parts according to distribution of governorates. While the expected sample size for the quarterly performance and fiduciary field monitoring of sub-projects is planned to be five percent of all sub-projects per sub-component, the actual geographical and sector selection of the sample will take security risks into consideration. Sub-projects will be selected considering at least 50 percent progress of activities, expenditure and implementation duration to make sure that the TPM agent can capture not only process and progress but also assess immediate effects and impacts generated by project supported interventions for the targeted beneficiaries and communities. The TPMA will report on the sub-projects’ outputs, the delivery of job opportunities to the intended beneficiaries, environmental and social safeguards to help ensure compliance, as well as on the processes implemented by IPs. The TPM agent will independently report on the performance of project implementation, the achievement of results, beneficiary experience and community feedback of project activities as agreed for each sub-component of the project, the status of provided assets with quality aspects, project performance related to GRM, OHS, ESMF, GVB, impact of COVID-19 and fiduciary aspects of the implemented activities. The TPM report will also focus on the immediate effects/impacts of interventions, especially how and to what extent targeted beneficiaries and communities are receiving generated benefits from the project supported interventions. The scope of work of the TPM agent will be agreed upon jointly by UNDP and the World Bank. Financial monitoring will be excluded from the ToR of the TPMA as this will be undertaken by an independent financial auditor. The TPMA will be required to submit quarterly TPM reports simultaneously to the World Bank and the UNDP to enable concurrent reviews of TPM reports. UNDP will carry out the required follow-up actions or investigations in response to all implementation issues raised by the TPM agent and will document the issues and other actions taken in response to TPM reports to be shared with the WB. The TPM service will be continued till the last quarter of project implementation with continuous technical assistance to incorporate any emerging issues required to be adjusted during implementation and monitoring of the project. It will also be a strong data source and reference to assess the performance of the project and inform management actions and decisions, and also for evidence-based evaluation and reporting. Evidence collected by the TPMA will be reviewed periodically by UNDP to assess the performance of the project and inform management actions and decisions. For comprehensiveness of reporting, UNDP hub coordinators will share, discuss and verify data and information that they collected during their field visits with the TPMA. Evidence from monitoring also serves as a critical input to evaluation and enables evidence- based reporting. 10.4.3 UNDP Field Monitoring The UNDP Field Monitoring Team (FMT), comprising Project Manager/Coordinator, M&E Specialist/Officer/IMO Officer, Communication Officer and (female) Project Officer/Assistant (especially for interviews with female beneficiaries), will conduct periodic field monitoring visits at different project implementation sites, especially in accessible areas, to assess and verify implementation progress and results. The field monitoring will mainly focus on processes and compliance of implemented interventions on the ground, including beneficiary and community satisfaction, quality observation, beneficiary and community 244 feedback on fiduciary issues, grievances, OHS, ESMF, gender issues. Immediate effects and benefits will also be assessed by the UNDP team in consultation with targeted beneficiaries and communities, with captured evidence such as success stories and ground-level solutions on any impediment of implementation. 10.4.4 Quality Assurance Mechanism Monitoring and quality assurance are integral and continuous parts of project operations. The project M&E system will be implemented by the IPs (SFD, SMEPS, PWP) and UNDP Project Management Unit (PMU) along with the TPM agent in line with the approved project document. However, a proactive quality assurance mechanism for promoting high-quality data acquisition and reporting will be prioritized. Data quality monitoring will be performed for the entire process by which the data will be gathered, transmitted, stored and analysed. Data quality will be monitored continually by all parties, with summary reports prepared and distributed to the project management. Appropriate orientation and refresher training at all levels of M&E personnel will be conducted to enhance data quality, and field visits at sub-project sites will be regularly arranged to allow data collection and storage processes to be observed directly. The quality assurance and monitoring system will be flexible so that new means of quality assurance or monitoring such as technology- based M&E solutions can be added as necessary during project implementation. Finally, for project quality assurance and monitoring to be successful, the project implementing partners and UNDP project management unit must promptly consider feedback and suggestions from any investigation/study such as TPM, audit and evaluation for corrective action whenever a data quality problem is discovered. Delays in initiating any stage of data management and quality monitoring may result in un- correctable data problems. Thus, UNDP and IPs will ensure that skilled and experienced M&E personnel are onboard as project essential staff, in order to achieve good data quality and safeguard accuracy and reliability of reported achievement. 10.4.5 An evidence-based monitoring and reporting system will be in place within Implementing Partners A multi-layer systematic evidence-based monitoring is critical to make sure that verifiable and reliable results are achieved for targeted stakeholders. The following system is to be followed by the project Implementing Partners: a) At the community level,Community committees play an important role in supporting the project field team. From its roles verifying the validity of the beneficiaries' data, communicating with the beneficiaries to facilitate the implementation process, conducting various awareness to the beneficiaries on an ongoing basis, assisting in resolving disputes, and carrying out operation and maintenance to ensure sustainability of the assets created or rehabilitated.The community committees will monitor the regular activities of the assisgend contractors and local consultants to verifty the performance of the sub-project activities and report to the respective responsible person of the SFD. . The responsible local consultant will assist to undertake community performance monitoring and transmit data and information into the MIS system, forwarding responsible Project Officers for confirming the work performed by the assigned contractors. The local consultant will upload all supporting evidencesuch as detailed beneficiary list covering individual beneficiaries’ accomplished workdays/units and received payment amount, registered GRM, OHS and ESMF performance records and other relevant evidence if required. Furthermore, the Community Committees’ main responsibilities will include conducting needs assessments, planning and prioritizing projects, conduct the various awareness programs on a continuous basis in order to build people’s capacity so that they can assist in project implementation such as creating work groups, assigning work elements, reviewing actual work done and household payment list, assist in resolving disputes, monitoring and reporting on project progress, operation and maintenance, project impacts in particular success stories, initiating and motivating communities to undertake self-initiatives. 245 b) The respective Project Officer (PO) responsible for the sub-project, will monitor the implementation of progress based on local consultants’ reports. During the site visits, the PO will also directly monitor the actual progress against agreed implementation schedules in the contract and the quality of works. The PO will verify the accuracy and reliability of local consultant uploaded data and information into MIS along with provided evidence, the respective Branch Manager, the head of relevant unit at HQ and the M&E unit will reivew and verify the data entered into the MIS. c) The project designated banks will forward the beneficiary payment records/statements of transactions and balances once every quarter to the Branch for confirmation of payment. All financial statements for individual sub-projects will be uploaded into respective sub-project MIS site as evidence of financial transaction, including details of individual beneficiaries’ payment record. d) The M&E Unit will verify the recorded results in MIS on a sampling basis through field visits and directly connected beneficiaries and communities by leveraging technology such as Call Centre, Open source platform (RapidPro), Social Media Intelligence system and other relevant available options, considering the current context in Yemen. Regular refresher training/orientation will be provided by the M&E unit to all levels of responsible monitoring staff, to capture accurate and actual implementation progress status from field level to HQ. e) Project progress reports will be prepared based on latest MIS data and other information, along with relevant evidence documents. The M&E Unit, with the consent of the Heads of SFD and PWP, will send the project progress reports (quarterly/biannual/annual) to UNDP with links to data sources. IPs will share project MIS with UNDP through API so that UNDP can review the submitted progress reports with the support of verified evidence incorporated in MIS. 10.4.6 A systematic verification system to be in place within UNDP a) UNDP PMU will conduct at least quarterly field monitoring visits to sampled sub-project sites, based on reported results of implementing partners, to verify the accuracy of the reported achievement with evidence. b) A national TPM Agent will be contracted to introduce a Call Centre to communicate with beneficiaries and communities who are illiterate to collect required data and information to verify the performance of sub-projects and responsible contractors including IPs, as well as to verify on the ground project results achieved. An open-source platform – RapidPro – will be launched to connect beneficiaries and communities that are educated or are at least literate through SMS messages to gather required data and information on the same issues outlined above. c) The UNDP hired TPM agent will conduct quarterly monitoring visits to sampled sub-project sites, assess performance covering processes/agreed compliance to be followed by IPs, verify achieved results reported by IPs, conduct interviews and FGDs with beneficiaries and communities to validate the performance reported by IPs, and capture ground-level impacts of interventions especially how and to what extent targeted beneficiaries and communities are receiving generated benefits from the project supported/rehabilitated community assets. d) If adequate budget is available, a monthly TPM field visit will be conducted to all ongoing sub-project sites, mainly focusing on monitoring physical and financial progress, asset verification and gathering required evidence. The field visits will assess implementation progress on the ground with evidence and verify the accuracy and reliability of stated achievements/results reported by implementing partners. e) Regular knowledge sharing and technical assistance will be provided to IPs and the TPMA to capture accurate implementation progress status on the ground with required data and information in a systematic manner. 10.4.7 Documentation for Verification The following documents, data, and information should be available by the implementing partners to conduct field monitoring visits by UNDP and the TPMA. UNDP requires the following documents to conduct field monitoring visits: 246  The latest updated sub-project implementation progress status covering all performance indicators highlighted in the MIS template.  Current project status with detailed notes in case of suspension or cancellation and inaccessibility information.  Contact information for the site engineer, assistant site engineer, local consultants, project officers and branch officers/managers.  Full list of beneficiaries containing individuals’ basic information, contact info, performed workdays/units, received amount against performed workdays, and other required information indicated in the beneficiaries’ list.  Detailed bank statement with the breakdown of beneficiaries’ dues.  Sub-project summary with detailed updated information.  Sub-project completion report if the implementation is completed and handed over to the respective community/local authority.  Accurate GPS coordinates for all sub-projects.  Other documents, if required. Other documents, if required.TPMA requires the following documents along with the above-listed documents from SFD and PWP to conduct monitoring visits  Community consultation/technical study report for identification of sub-projects.  Assignment order to commence work at each sub-project / sub-project’s discussion note, tender documents, basic survey documents that are available.  Statement of attendance and absence for training interventions, and training materials  Latest consultant monthly reports.  Contractor insurance documents.  Latest payment certificates.  Final screening checklist for each sub-project with ESMF visited during monthly/quarterly monitoring visits.  Environmental and Social Management Plan (ESMP), including enhanced OHS and community health and safety measures for each sub-project.  Risk assessment documents for each sub-project and related reports  Contact details including the mobile number of OHS site supervisors for each sub-project and OHS focal point for each Governorate.  Monthly records of the random checks for compliance and related copies of the findings and corrective actions undertaken.  Bi-monthly inspection records for OHS and SES safeguards.  Policy/guideline of the disciplinary action of major non-compliance by contractors and/or field staff which is shared with sub-contractors of each sub-project.  IPs’ monitoring and periodic evaluation reports of the OHS and community health and safety performance of contractors of sampled sub-projects.  IPs’ OHS training materials including excavation hazards and mitigation measures and community health and safety aspects.  IPs’ OHS training materials including OHS orientation and attendance sheets for the contractors’ field supervisors along with their senior team of the sub-project sample.  Contractors’ written commitments to apply OHS and communit y health and safety measures.  Work permits issued and signed by the supervisors and contractors before the commencement of works.  Documents to verify contractors’ adherence to relevant OHS contract provisions before implementing sub-projects such as: o Contractors’ Workers List of OHS Officers for each sub -project o List of PPE equipment provided by contractors during the start of their work on the sites o Emergency Response Plan including contacts for at least one credible hospital within a reasonable distance 247  Social agreements and minutes of meetings with local communities, local councils and heads of communities to ensure their awareness of the hazards, risks and impacts before the start of the sampled sub-projects’ activities.  IPs’ communication and information about fatalities, sharing guidance note with instructions to follow Safe Work Practices and community health and safety guideline at all sites including actions concluded.  Documentation of the OHS training/meeting minutes, toolbox talks for the sampled sub-projects. 10.4.8 Use of Technology for Remote Verification and Monitoring (RVM) UNDP will continue its efforts to introduce technological solutions to connect beneficiaries and communities directly to monitor the performance of implementation of critical issues such as GRM, OHS and ESMF, as well as fiduciary issues including paid wage amount against working days/ performed units of work, timely payments, awareness of beneficiaries about GRM, OHS, ESMF, participation in training and orientation, occurrence of complaints, gender violence and any wrongdoing by IPs/contractors, participation in selection of sub-projects and wage beneficiaries, benefits received from rehabilitated community assets, and so forth. The following two technological solutions have been selected considering the current situation in Yemen, including huge restriction of the authority imposed to introduce any types of technological solutions. Key critical areas also need to be considered including the level of education of beneficiaries and communities, as well as the availability of data and information from IPs required to connect beneficiaries and communities directly by leveraging technology-based M&E solutions. Call Centre: A national TPMA/ICT consultancy firm will be contracted to introduce a Call Centre to communicate with beneficiaries and communities who are illiterate to collect required data and information to verify the performance of sub-projects and responsible contractors including IPs, as well as verifying results achieved on the ground. All conversations with beneficiaries and the community will be recorded as evidence. Project beneficiaries and communities will be communicated through the Call Centre within three months of launching project interventions. RapidPro (an open-source platform) will be launched to connect beneficiaries and communities that are educated or are at least literate through SMS messages to gather required data and information. The RapidPro messages will be launched in the first quarter of 2021 as it takes time to customize the system in Arabic. IPs shall provide detailed beneficiary profiles including contact details of beneficiaries and community committees of all identified/selected project interventions/sub-projects. The TPMA will, in coordination with UNDP, determine a representative sample size of beneficiaries and communities for interview using statistical sample size calculating formula. The sample size should allow the generation of estimates with 95% confidence and a minimum of 5% precision. Once the sample size is determined, the respondent beneficiaries and communities will be randomly identified from the beneficiary lists using random techniques. Critical findings will be verified through further review of recorded telephonic conversation and subsequent field verification by the TPM agent if needed to check the accuracy of IPs’ claims. Moreover, it is important to maintain beneficiary contact details to be able to reach them remotely considering the current security situation, movement restrictions and lack of transport facilities, especially in rural areas. The RVM will be expanded to reach more beneficiaries and communities during the project period. The results of the conducted RVM verification and monitoring tasks in a month will be reported as follows: - A weekly report generated automatically by the RVM system every Sunday, to be sent via email to the UNDP ECRP team. The weekly report presents a summary of the progress of conducted RVM 248 tasks planned for the month, with a section of key finding statistics of all RVM verification and monitoring calls conducted so far during the month. - A RVM monthly report will be prepared and submitted by the contracted firm with details of conducted RVM tasks in accordance with agreed monthly reporting template. Any urgent and critical findings will be immediately notified to the UNDP ECRP team via email or phone call. 10.4.9 Project Progress Reporting UNDP will coordinate closely with the IPs to undertake project monitoring to review progress towards project objectives and the full list of results indicators. UNDP will be responsible for transmitting to the World Bank project progress reports every six months to assess progress towards objectives and results targets, as well as any other critical issues that emerge during monitoring that merit attention and further discussion. These progress reports, as well as other interim updates requested by the World Bank for implementation support and review, will be used to inform discussions during Implementation Support and Mid-Term review missions. Periodic implementation support missions, as well as regular progress update review meetings will be conducted outside the Republic of Yemen or virtually35 to jointly review project progress. The UNDP Project Management Unit is responsible for preparing and circulating project progress reports as part of its oversight and monitoring of the project. The reports will be prepared based on IPs’ submitted project progress reports with specific attention to project outputs and outcomes and will take into consideration specific requirements of donors and other partners as well. The reports will contain major elements for the assessment of results including an analysis of project performance on implementation of activities over the reporting period, including outputs produced and, where possible, information on the status of the outcome; constraints in progress towards results, that is issues, risks and reasons behind the constraints including any allegations of fraud and corruption, and a brief description of any allegations received; lessons learned and indications of how these will be incorporated; and clear recommendations for the future approach to addressing the main challenges. Additional contents may be added as required by the project management, donors and partners. In the spirit of the principles of harmonization and simplification, the reporting format should be harmonized and agreed upon to the extent possible with all responsible partners including donors to eliminate multiple reports. UNDP will submit bi-annual narrative reports and end-of-project reports with the consolidated inputs from the IPs to the World Bank within forty-five days after the end of the period to be covered by the report. A final project report will be prepared at the end of project implementation and submitted to the World Bank team. 10.4.10 Rapid Impact Assessment/Study The project will conduct necessary field surveys and impact assessments to support the more detailed assessment of the social protection and food security situation in Yemen in general, and the contribution of project activities in particular. A nationally representative social protection survey will be undertaken jointly by the UNDP and IPs (SFD & PWP) with the assistance of the World Bank team to assess needs for social protection and food security, access to Social Protection programmes, employment and labour force participation, human development deprivation and vulnerabilities, and the targeting performance of ongoing programmes (coverage, benefits, exclusion/inclusion errors, adequacy and poverty impact). The social protection survey will contribute to filling microdata knowledge gaps and will be critical to inform emerging priorities for crisis response as well as to support longer-term recovery. 35 Virtual missions will continue until suspension of travel (due to the COVID-19 pandemic) is lifted. 249 10.4.11 M&E Coordination Meeting A quarterly coordination meeting will be organized to discuss the M&E activities performed during the quarter, including findings and recommendations of TPM assessment, UNDP PMU field monitoring as well as the quarterly project progress report. The meeting will discuss all possible mitigation options to overcome challenges to implement planned M&E activities within the timeline. The M&E team under PMU will be responsible to organize regular meetings and will provide all secretariat support to implement actions on time as agreed in the coordination meeting. The M&E/MIS focal persons from the project IPs (SFD, SMEPS, PWP), TPMA and the World Bank will be invited to the M&E coordination meeting. Meeting minutes with a timebound action plan will be prepared and circulated to all M&E/MIS focal persons with copy to the Senior Management of the IPs, TPMA, UNDP and WB. 10.4.12 Project Evaluation Final project evaluation will be undertaken to assess the performance of the ESPECRP project in achieving its intended results, its effectiveness and contribution to outcomes with associated theory of change, and internal and external factors affecting outcomes. The evaluation will yield useful information on project implementation arrangements and the achievement of outputs and draw linkages between the project’s outputs and its contribution to programme outcomes. The project evaluation will intend to provide evidence- based recommendations for improvements, whether to continue or scale up an initiative or consider alternatives; will assess sustainability and replicability in other settings; will demonstrate accountability for results. The evaluation will reveal the nature of the change that has taken place in the lives and livelihoods of beneficiaries and communities and determine its significance on the Yemeni households and communities to better cope with the impact of the current crisis and COVID-19 pandemic, and be active participants in the resilience-building and recovery efforts and social protection support programme. The evaluation will produce substantive evidence-based knowledge by identifying good practices and lessons learned from intended and unintended impacts and resilience-building. The evaluation findings and results will be valuable to enable any adjustment / course correction that may be necessary for future emergency crisis response and social protection interventions of donors, UNDP and national implementing partners. UNDP will commission the project evaluation with the assistance of a pool of evaluators comprising of both national and international consultants. The international consultant will lead the whole process of the evaluation and will be responsible for quality assurance and maintenance of evaluation standards, following the UNDP evaluation guideline. A concept note/ToR for the evaluation will be finalized in consultation with the World Bank team and project implementing partners to address all the requirements of project stakeholders. Representatives from the project management board including members of the World Bank team and implementing partners will be engaged in an evaluation reference group to provide advisory support throughout the evaluation process. The evaluation will be commissioned mid-2022 as the project is to be terminated in December 2022. Documents to be provided to the evaluation team include Approved Project Document; Letter of Agreement (LoA) between UNDP and National Implementing Partners; Approved AWPs; Final Project Progress Reports; Third-Party Monitoring Reports; PMU Field Visit Reports; Lessons Learned Study/Assessment Reports. A list of guidance documents to be shared with the evaluation team includes Inception report; Evaluation report; Audit trail; UNEG Code of Conduct for Evaluation in the UN system; Integrating Gender Equality and Human Rights in Evaluation - UN-SWAP Guidance, Analysis, and Good Practices; UNDP Evaluation Guidelines; Evaluation Quality Assessment; and UNEG Quality Checklist for Evaluation Reports; A Draft ToR for Project Evaluation. 250 11. Risk Management 11.1 Political Risks The political crisis and protracted conflict in Yemen continues to cause inaccessibility to some sites and delays in delivery in many others. SFD and PWP are national institutions and programmes with a governing board chaired by the Government of Yemen. The risks of being impacted by the political fragmentation induced by the war is mitigated by their managerial independence. The UN maintains its operational integrity through adherence to principles of impartiality, human rights and inclusive humanitarian/civilian assistance and engages stakeholders clearly communicating these principles. UNDP coordinates with the Office of the Special Envoy to the Secretary-General and is a member of the Humanitarian Country Team and UN Country Team to collectively address political risks. The de facto authority in the North has imposed restrictions and demanding requirements to the movement of TPM or monitoring teams from UNDP and IPs to visit implementation at several sites, particularly in most of the Northern districts. UNDP and the IPs mitigate such restrictions through emphasizing the neutrality and importance of the project and the need for facilitation of oversight to ensure accountability to all stakeholders, as well as by coordinating with other clusters for collective pressure against any arbitrary requirements. The participatory approach of the project, which engages local authorities and different groups at local communities, is expected to continue helping to solve such restrictions and accessibility issues. However, the demands continue to change with the changes in the authorities, which entails efforts and time on the part of project partners to monitor closely. 11.2 Operational Risks Due to the ongoing conflict and related insecurity, the project will face some operational risks in relation to potential disruption in UNDP’s business processes and project management services. UNDP has developed a Business Continuity Plan which ensures that the critical office functions can be performed from other locations if necessary. Outside Sana’a, UNDP has staff presence in Aden, Ibb (also covering Taiz), Hodeidah and Sa’ada to interact with sub-offices of SFD and monitor field activities, UNDP also relies on a contracted Third-Party Monitoring Agent to perform complementary monitoring of the project. Also the Implementing Partners (SFD, PWP and SMEPS) have business continuity plans in place. 11.3 Financial/Fiduciary Risks The financial and fiduciary risks are defined by a number of factors, including hyper-inflation, fraud, and cash advance management. To avoid exchange rate losses and other negative effects of working in the national currency, UNDP will transfer advances in US dollars to IPs. UNDP’s anti -fraud policy, the annual audits, regular spot-checking by UNDP staff, and the Third-Party Monitoring Agent are oversight measures over and above IPs’ internal procedures to mitigate the risk of fraud, misappropriation and diversion of funds. The Harmonised Approach to Cash Transfers (HACT) capacity assessment results will be used in strengthening the financial management capacities of the Implementing Partners. IPs will submit quarterly work plans with realistic budgets (cash forecasts) to UNDP to ensure that cash advances are cleared on a regular basis. The project design includes internal controls and accountability mechanisms to mitigate key fiduciary risks and to ensure that the full amount of eligible cash benefits is delivered to the eligible beneficiaries in a timely manner. These mechanisms include: (i) analysis and control of the database of beneficiaries and list of payments; (ii) independent payment agencies with transparent procedures and robust accounting and internal control practices; (iii) defined financial management arrangements for transfer of funds and required financial 251 reports for payment; (iv) use of Third-Party Monitoring; (v) Grievance Redress Mechanism and leveraging social media to analyse community perceptions and feedback on a real time basis and identify red flags for fraud to complement the GRM. 11.4 Programmatic Risks The programmatic risks for IPs are associated with access and targeting due to security or conflict-related obstacles, although mitigated by their widespread network. UNDP level risks are associated with UNDP’s potential inability to verify results on the ground in a timely manner, potential inability to recruit staff in a timely fashion to support project implementation and potential inability (or significant delays) to meet delivery expectations/targets. UNDP will closely review the quarterly expenditure reports of the IPs to monitor financial delivery of the project. 11.5 Security Risks The ongoing conflict continues to pose significant security risks to the implementation of the project in the form of crime, air strikes, landmines and UXO, terrorist attacks, ground combat, arbitrary arrests and detentions. This situation is compounded by the breakdown of law and order and rise of crime and general insecurity. UNDP intends to mitigate these risks through close collaboration and coordination with the UN Department for Safety and Security, including the de-confliction protocols and strict adherence to UN security procedures. Staff training on conflict-sensitive communication and risk management will continue. A Third-Party Monitoring Agent will continue to conduct monitoring of the implementation of the project in hard-to-reach areas. The IPs are facing similar risks with regard to their staff and implementation of activities. The IPs have developed their own risk management policies and practices based on 20 years of experience in Yemen as well as working under current circumstances of conflict, and have been able to continue working in the country. 11.6 Reputational Risks In view of the scale and importance, the project also carries a reputational risk for UNDP as well as SFD, PWP and SMEPS. It may be subject to politically motivated defamation and it may be perceived as partial and biased vis-à-vis one or more parties to the conflict. UNDP’s reputation as a reliable partner may be affected by issues arising from the project. To mitigate these risks, UNDP has put in place a communication strategy, continues to strengthen project oversight and quality assurance with documentation of issues, and works very closely with the Implementing Partners. Grievances from beneficiaries and stakeholders will be channelled through mechanisms established. UNDP has developed a Conflict Sensitive Framework to mitigate risks and contribute to social cohesion. 11.7 Environmental Risks Environmental risks and impacts are expected to be site-specific, reversible and generally of low magnitude that can be mitigated following appropriate measures. Nonetheless and based on the implementation experience of the ECRP project and identification of significant Environmental and Occupational Health and Safety (OHS) gaps, there is a significant risk for fatal incidents or serious injuries to occur under the project, particularly under the labour intensive community sub-projects of Component 2. The project will provide temporary work opportunities to a large number of local community members who are unskilled, largely illiterate and have little or no knowledge or experience in applying OHS measures. Furthermore, there is a risk of COVID-19 transmission among community workers if worksites are not managed appropriately. To mitigate potential risks and impacts, the project will apply the Environment and Social Framework of the World Bank. The World Bank and UNDP and IPs will review, update and apply the Environmental and Social 252 Management Framework (ESMF) of the ongoing ESPCRP, including the OHS Framework and Toolkit. The ESMF will (i) identify potential environmental impacts of ESPECRP interventions; (ii) assess potential environmental and social impacts; (iii) mitigate risks and impacts appropriately, including OHS risks. Furthermore, sub-projects – including those that might be supported by the Contingency Emergency Response Component (CERC) – will be screened against environmental and social criteria that will be included in the ESMF, and subsequent site-specific environmental assessment instruments will be prepared -if needed- during the implementation phase and before the commencement of any physical activities. Sub- components 2.1 and 2.2 will also support COVID-19 sensitive measures such as community awareness, social distancing at the workplace and the provision of hygienic kits at the workplace (e.g. hand-washing stations). As part of the ongoing ECRP, UNDP and IPs have established an environmental and social management system with policy, procedures, capacity and resources focusing on OHS. Under ESPECRP, the agencies will continue to implement capacity building initiated under the ECRP, targeting different groups and identified areas, including capacity building of senior managers and officials of implementation and monitoring agencies on ESMF and OHS Framework, as well as capacity building for project managers, supervisors, consultants and contractors on OHS tools and their application in the field. 11.8 Social Risks The type of interventions under this project are not expected to require physical or economic displacement. Nonetheless, there might be a potential need of land for community infrastructure development under the community asset component. Given the rehabilitation nature and scale of the investments, the possible land needs would be minimal and are expected to be met through community contributions, which is a common practice in the local area and also accepted under the ongoing ECRP. As a precautionary measure, the project will prepare a Resettlement Framework to guide and manage possible land contribution practices. Several social risks may be encountered during project implementation, such as: (i) mistreatment, poor quality of services and suspected fraud under the unconditional cash transfer sub-component; (ii) exclusion of malnutrition cases due to the security situation or misjudgement by the payment agents; (iii) elite capture of investments under the CfW and community assets interventions by powerful and/or better-connected beneficiaries, thus excluding disadvantaged and marginalized groups; (iv) social frictions under CfW and community assets activities as around half of the labourers are expected to be brought from outside the target communities by private contractors; (iv) risk of excluding small food producers and fisheries with high incidence of malnutrition from economic opportunity support. A well-functioning Grievance Redress Mechanism will be ensured to deal with all kinds of social risks. Immediate actions and reporting should be implemented by UNDP and IPs for cases related to GBV, SEA/SH and/or serious incidents or injuries. Gender and GBV Risks The project will ensure that gender sensitive interventions are mainstreamed across all project components, creating pathways for employment and participation in society and playing a key role in building resilience to shocks, improving livelihoods and mitigating social constraints. This is relevant in the current country context as empowering women’s full productive potential can yield enormous dividends in reducing GBV, gender gaps descrimination , employment and access to services. A GBV assessment will be undertaken for the project prior to implementation to have a sense of potential GBV, Sexual Exploitation and Abuse (SEA)/SH. The assessment will be conducted to cover activities under components 1 and 2 since there will be interaction between male workers and female beneficiaries and labourers provided by contractors. The project will prepare a Gender Action Plan. 253 12. Safeguards The ESPECRP project applies the World Bank’s Environmental and Social Framework (ESF) and UNDP’s updated Social and Environmental Standards (SES) jointly under the Environmental and Social Commitment plan (ESCP), due to similarity of the Social and Environmental Management System (SEMS) and , as the system and the commitment plan have similar requirements regarding risk screening, risk categories, risk assessment and management. The aim of guidelines and procedures on the WB Environmental and Social Standards (ESS) and the UNDP Social and Environmental Standard (SES) is to ensure social and environmental resilience and sustainability of the ESPECRP project and maximize benefits and opportunities of the project impacts. The Safeguards Project Operations Manual highlights a set of ESCP/ESMP guidelines, plans and other requirements and instruments as follows: 1. Environmental and Social Commitment Plan (ESCP/SEMS) 2. Gender and Gender Based Violence (GBV) Plan; 3. Stakeholder Engagement Plan (SEP) 4. Labour Management Procedures (LMP) 5. Grievance Redress Mechanism (GRM) / Stakeholder Response Mechanism (SRM) 6. COVID-19 Sensitivity 7. Conflict Sensitivity 8. Environmental and Social Management Plan (ESMP) UNDP is responsible to ensure and monitor implementation of all social and environmental requirements with Implementing Partners (SFD, SMEPS, PWP) and provide all technical support and report immediately and periodically to WB on progress and implementation of ESPECRP. The purpose of Guidelines and Procedures on Environmental and Social Safeguards is to enhance the ESPECRP’s social and environmental sustainability and to ensure that the project’s risks are minimized and avoided by applying suitable mitigation and management plans. The safeguard guidelines and procedures aim to ensure that during project’s planning, design and implementation phases, equitable and adequate consultation engagement with affected people and key stakeholders will take place as mentioned in the Stakeholder Engagement Plan (SEP) with gender consideration, no discrimination and understandable language to affected and interested groups. For practical application of the guidelines, project staff will use checklists and templates in screening, assessing, managing, monitoring and reporting on environmental and social aspects. Relevant checklists and templates are annexed to this Operations Manual. 12.1 The World Bank’s Environment and Social Framework (ESF) and UNDP’s Social and Environmental Standards (SES) The WB’s ESF and UNDP’s SES are quite similar in the safeguard risk classifications, environmental and social management plan and procedures. UNDP and ESPECRP’s partners should work to:  mainstream social and environmental sustainability in UNDP’s programmes and projects to support sustainable development and strengthen the quality of programming by ensuring a principled approach: (five programming principles: leave no one behind, human rights, gender equality and women’s empowerment, sustainability and resilience and accountability); 254  maximize social and environmental opportunities and benefits;  avoid adverse impacts to people and the environment;  minimize, mitigate and manage adverse impacts where avoidance is not possible;  strengthen UNDP partners’ capacities to manage environmental and social risks as indicated in ESS and ESCP;  ensure full and effective stakeholder engagement, including through a mechanism to respond to complaints from project-affected people. UNDP with its partners shall comply with WB’s ESF principles and standards by giving high priorities to minimize and manage the project interventions’ risks, encouraging stakeholders’ full participation and recognizing affected people’s rights to complain and get gri evance redress. 12.2 Environmental and Social Assessment This includes having sufficient capacity and organizational structures that support carrying out the environmental and social screening, assessment and management to the ESPECRP and its sub-projects’ potential environmental and social risks and impacts during the project life cycle, as required by WB’s ESS and UNDP’s SES. 12.3 Organizational Structure and Capacity UNDP and its partners should have institutional and management structures and staff capacities to implement environmental and social assessment and screening requirements to the project at minimum:  The Implementing Partners SFD and PWP hire one Environmental,Social safeguards and OHS Specialist, one Enviromnetal officer, two OHS officers , one gender and social safeguards officer and SafeguardsFocal Point in branches and units head.; and  The Implementing Partners SFD and PWP hire one Environmental Specialist, one Social Specialist and one GBV Specialist/Focal Point each.  UNDP provides technical and capacity development to the IPs’ staff and specialists at senior management, technical and senior field levels on the issues related to social, environmental and OHS safeguards, if required.  SFD and PWP are responsible to ensure that their field staff are well trained and experienced to carry out work according to safeguard requirements of WB and UNDP. 12.4 Environmental and Social Screening and Risk Categories  WB and UNDP and its partners will apply four risk categories: high risk, substantial risk, moderate risk and low risk; contingent on the risk probability and impact.  Each ESPECRP sub-project risk profile should be screened and classified by the IPs in consultation with affected people.  The category of the risk will be defined according to the risk likelihood and impact.  The sub-project’s ESMP will be developed according to the Project’s Environmental and Social Management Framework (ESMF) as well as relevant assessments and management plans suitable to the sub-project’s screening results and risk category.  During stakeholder consultations with community members, special considerations should be given to equal engagement of men, women, boys and girls, elderly people, marginalized groups and persons with disabilities. 255 xlviii. 12.5 Environmental and Social Assessment  UNDP and its partners will apply and carry out appropriate environmental and social assessment of sub- projects, and prepare and implement such sub-projects, as follows: a) Anticipate and avoid risks and impacts; b) If the risk and impact avoidance is not possible, minimize or reduce risks and impacts to acceptable levels; c) High risk sub-projects, in accordance with the WB’s ESS and UNDP’s SES; d) Substantial Risk, Moderate Risk and Low Risk sub-projects, in accordance with national law and any requirement of the WB ESS and UNDP SES deemed relevant to such sub-projects. xlix. Based on the result of screening, the following types of assessment will be undertaken: a) if the sub-project is of high risk and might generate multiple, significant impacts, then a detailed Environmental and Social Impact Assessment (ESIA) should be prepared; b) if the sub-project is of moderate risk and might cause less severe impact, then the Environmental and Social Management Plan (ESMP) should be prepared; c) for sub-projects with less potential impacts, contract clauses might be required; d) if the sub-project has no or negligible impact, there is no need for environmental and social assessment. 12.6 The Environmental and Social Commitment Plan (ESCP) The environmental and social commitment plan (ESCP) contains all material actions and mitigation measures that should be in place to reduce, prevent and mitigate the project/sub-project risks and their impacts and should involve several measures of gender and GBV Plan, Labour Management Procedure, Stakeholder Engagement Plan (SEP), Conflict Sensitivities and COVID-19 Response. 12.6.1 Gender and Social safeguard Plan including GBV and SEA  UNDP is committed to its updated SES and WB’s ESF requirements in ensuring leaving no one behind, a human rights centred approach, gender equality and women’s empowerment, sustainability and resilience and accountability to stakeholders and people with disability.  ESPECRP’s sub-project cycle should protect the local community members from any risks regarding gender discrimination, Gender Based Violence (GBV), Sexual Exploitation and Abuse (SEA) and violation of child protection rights in the project’s acti vities. Actions to be in place include: o UNDP is to recruit a gender and social safeguard officer; o UNDP will work with its partners (SFD and PWP) to hire gender and social safeguard staff immediately; o The gender and social safeguards and focal points ToR are to mainstream and integrate gender and GBV related issues in all sub-project activities, including planning, implementation, monitoring and reporting; they are responsible to provide capacity building and advice their project team in considering gender and GBV including applying Code of Conduct (CoC).  Improve institutional and human capacity development as agreed during a readiness phase to guarantee institutional and human development change and system in place. 256 a. UNDP is to deliver capacity development activities to IPs and TPM, targeting senior management, specialized gender focal points and field staff; b. UNDP is to ensure GBV and SH prevention, that mitigation measures are well addressed and prepare referral pathways to handle GBV and SH cases through Women Protection working groups in the North and GBV Working Group in the South (leads by UNFPA in collaboration with Yemen’s Women Unions, UNDP is a member of the women protection and GBV Working groups. As part of the GBV and SH plan, UNDP and its partners will agree on procedures and guidelines required to provide support to the GBV and SH survivors including through liaising with relevant agencies/sub-clusters (e.g. UNICEF, UNFPA) taking into consideration the sensitivity of the context of each case. .  Includes in ESMP, a social risks and impacts assessment, compromising: a. child labour and child protection36, b. gender equality, gender disaggregated data, participation of elderly and marginalized group and people with disability, c. GBV’s and SEA prevention and mitigation mechanisms and referral pathway, GRM and handling complaints mechanism for the anonymity confidential cases. d. Develop a GBV mitigation includes provision on GBV- sensitive grievance mechanisms (GRM) in compliance with ESS4 requirements. GRMs shall have multiple channels through which complaints can be registered in a safe and confidential manner for survivors of SEA/SH.  UNDP will hire a Third-Party Monitoring Agent (TPMA) to carry out monitoring assessment on impact of the project/sub-projects on gender, women and children’s protection and GBV in some selected communities, projects on gender, women and children’s protection and GBV in some selected communities, and also assume responsibility of independent TPMA to manage the call centre verifying complaints from the target groups besides IPs’ GRM systems. 12.6.2 Stakeholder Engagement Plan (SEP) UNDP is accountable to ensure full participation of stakeholders in different project phases. Consultations with key stakeholders will be carried out throughout project implementation. Engagement requires specific steps of:  Stakeholder Identification and Analysis: UNDP and its partners should ensure stakeholder engagement in all project activities without any discrimination based on gender, race or age. 1) Parties who are directly affected by project activities should be closely engaged in identifying risks as well as in decision-making on the mitigation measures; 2) Disadvantaged/vulnerable individuals and groups should get priority in delivery of project services; 3) Interested parties who are not directly affected by the project but benefit indirectly will also be consulted; 4) Strong emphasis on gender equity, human rights and leaving no one behind.  Stakeholder Engagement Plan: - A plan is developed according to the findings of stakeholder engagement analysis and consultations. 36 Convention on the Rights of the Child see website (https://www.ohchr.org/Documents/ProfessionalInterest/crc.pdf) 257 - The plan should be aligned to the human rights based and inclusive approaches, social-related issues, disability, age, ethnicity. - The plan should focus on issues such as gender, youth, the elderly, marginalized/IDP/migrant groups and persons with disability. - The stakeholder engagement methodology and plan and approaches should be sensitive and adaptable to the different target groups or local communities to be involved in the project. - Each project component and implementation activities, potential risks and monitoring issues should be discussed transparently and involve the participation of identified stakeholder groups. - Community committees should be elected with high consideration of diversity and the inclusion of men, women and marginalized groups. 12.6.3 The Labour Management Procedure (LMP) The Labour Management Procedure (LMP) has been prepared for the Social Protection and COVID-19 Response Project (SPCRP), which will ensure compliance with Environmental and Social Standard on labour and Working Conditions (ESS) of the World Bank’s Environmental and Social Framework (ESF) and the national legislation and regulations of the Government of Yemen. Accordingly, the purpose of the LMP is to facilitate the planning and implementation of the project by identifying the main labour requirements, the associated risks and the procedures and resources necessary to address the project-related labour issues. The LMP sets out general guidance relevant to different forms of labour but also issues and concerns that relate to COVID-19 considerations. 12.6.4 Assessment of Potential Labour Risks VII- Impacts related to the social risks, covering: (k) Impacts relating to mistargeting and the lack of transparency and discrimination of marginalised groups, and corruption in selection of the project recipients; (l) Effects of gender blindness, gender based violence, sexual abuse and exploitation, typically associated with catastrophic events; (m) Negative impacts related to discrimination against women and children, the elderly and persons with disabilities during project beneficiary selection; (n) Impacts related to child labour and lack of child protection due to high need of money among poor families; (o) Impacts related to conflict flareups and social disputes due to lack of consideration of the different stakeholders’ needs and interests and mishandling of water ownership, use and property rights. VIII- Environmental risks, incorporating: (e) Impacts of overuse, mismanagement and deterioration of soil and land resources; (f) Impacts related to solid waste produced by workers (trash and plastic bags) accumulating and polluting the environment. IX- Occupational and community health and safety risks, including: d) Community health and safety impacts relating to project activities during the implementation, COVID- 19 and cholera infections impacts related to possible contamination of existing water sources; e) Impacts relalted to occupational health and safety for community such as excavation risks, cutting, breaking, quarrying and transport of stones, etc.; f) Impacts related to destruction of public services infrastructure. 258 12.6.5 Policies and Procedures for Management of Labour Issues under the project This section sets out the mitigation measures that will be adopted by the project to address the risks mentioned in the previous section, including those relating to specific risks to workers posed by COVID-19. I- Terms of Employment Wages and Deductions: The minimum wage payable to a worker shall be as follows:  Direct labour for the IP’s staff and consultants’ remuneration is in accordance with contracts of employment. The monthly remuneration will be set to be in line with level of responsibilities.  Contracted workers on daily wages paid by the contractor to be in line with the current market rates paid for skilled, semi-skilled or unskilled labour. The daily rates could differ from one governorate to another; hence, it should be equivalent to the wages paid in the specific location37.  Community workers will be paid similar to the contracted workers in case of PWP, and as per LIWP operations manual in case of SFD . Overtime Work: Direct workers’ overtime rates are stipulated in the implementing partners internal policy which goe s in line with national law regulations. Contracted workers and community workers will be paid based on delivery of specific assignments within a defined time, hence overtime is not relevant. Nevertheless, employees shall not be required to work overtime unless this has been agreed in the employment agreement. Working hours, whether normal or overtime, shall not exceed 12 hours/day. Gender and Social Inclusion: To the extent possible, the SPCRP will promote gender equity and the empowerment of women and seek to reduce gender inequalities in access to and control over resources and the benefits of development.  Sub-projects will ensure that both women and men are able to participate meaningfully and equitably, have equitable access to project resources and receive comparable social and economic benefits.  Sub-projects will not discriminate against women or girls or reinforce gender-based discrimination and/or inequalities.  Sub-projects will ensure that precautionary measures are in place to prevent potential exposure of beneficiaries, workers and affected people to sexual exploitation and abuse.  Sub-projects will ensure that precautionary and control measures are in place to prevent potential exposure of beneficiaries, workers and affected people to health and safety hazards. Age of employment: The Yemen Law states “The Employment Act considers a minor to be a person under the age of 15. The Employment Act allows a young person between 15 and 18 years to be engaged in normal employment activities, provided consent is obtained from the legal guardian”. According to I nternational standards, UN and WB princinciples, any minors/workers under the age of 18 are prohibited from engaging in any kind of 37 The approach in SFD and PWP cash-for-work is a self-targeting mechanism, which implies a daily wage rate slightly lower than the prevailing market rate. 259 employment. Hence documentary evidence (passport, identity card or birth certificate) of all workers prior to involving them on activities of the project shall be verified. In addition, contractors will ensure that labourers meet the minimum approved age, i.e. not less than 18 years. Community Workers: Community workers are members of the local community who are recruited by contractors as skilled or unskilled workers in cash-for-work to create or restore community assets. As the SPCRP objectives include providing temporary employment and economic opportunities for vulnerable communities, the project has defined a minimum of 50% of labourers to be recruited from the local communities. These workers are recruited by the contractor based on daily wages as per the current local market rates. The contractor is obliged by the contract to provide the necessary insurances, OHS measures and emergency response plans for accidents to ensure protection of workers. The contractor is encouraged to recruit women labourers from the community to the extent possible for types of work and work hours that are suitable for female workers. The contractor will not perform any sort of discrimination in recruiting workers from the local communities and will include IDPs and marginalized groups, if any, within the communities. II- Engagement and management of project workers UNDP will supervise and support the implementing partners (SFD, SMEPS, PWP) to carry out project specific tasks. The implementing partners’ management is responsible for employing project workers and ensuring that all labour protection measures are taken at sites where sub-project activities are implemented. UNDP and its implementing partners are responsible to:  Apply the labour management procedure to direct workers,  Update this procedure when necessary in the course of preparation, development and implementation of the project,  Ensure that the labour management procedure is applied to community workers,  Maintain records of recruitment and employment process of direct workers,  Monitor that occupational health and safety standards are met at workplaces in line with national occupational health and safety legislation,  Monitor training of the project workers on OHS,  Develop and implement workers’ grievance mechanism and address the grievance received from directly contracted and sub-contracted workers and community workers. III- Engagement and management of contractors/sub-contractors Implementing partners’ staff in their capacity at head office and branch offices will be responsible for engagement and management of contractors. The field staff are assisted by Supervisory Consultants, and technical engineer, and safeguards focal point in branch offices for the management of contractors and workers, ensuring compliance and monitoring of activities and providing labour instructions on safety and security. Contractors will be responsible for the following:  Comply with OHS mitigation measures included in the ESMF and the labour management procedure. These measures will apply to contracted and sub-contracted workers,  Maintain records of recruitment and employment process of contracted and community workers,  Clearly communicate job tasks and employment conditions to contracted and community workers,  Have a system for regular review and reporting on labour, and occupational safety and health performance,  Deliver regular induction (including social induction) and HSE training to employees. 260 IV- Occupational Health and Safety (OHS) The implementing partners OHS Focal Point at Head Office is responsible for ensuring compliance with all OHS measures. Monitoring in the field is done through the Branch Office managers, Branch Office safeguards focal point and individual site focal points for daily monitoring. Implementing partners will be required under the Environmental and Social Management Plan (ESMP) to ensure that workers use basic safety gears, receive basic safety training and other preventive actions as provided in the project’s Environmental and Social Management Framework (ESMF). Implementing partners will have to:  Ensure that appropriate levels of management and resources are in place to comply with the occupational health and safety requirements,  Provide visible commitment and leadership to occupational health and safety,  Identify and evaluate risks and regulate the activities (rules, instructions and procedures),  Analyse all incidents and accidents,  Evaluate the indicators of OHS performance,  Carry out the internal audits of OHS MS,  Evaluate the OHS training requirements,  Carry out medical follow-up of the workers after incidents . V- Contractor Management Several services will be provided within the project to achieve project goals and to manage the project activities as appropriate. These services are software development, IT infrastructure development, server and database management, preparing training implementation plan and training documents, online training module development, investment planning, field works such as controlling workers on site, etc. In the selection process of contractors, various criteria will be specified in tender documents such as previous works completed, previous experience, qualification of a contractor’s human resources, compliance in health and safety issues, precautions taken on child labour and forced labour employment. The measures to manage the contractor will be added in the contractor clauses in the bidding documents to ensure legality. The clauses will include mitigation measures for potential labour risks, the rights and wages of workers, terms and conditions of employment, insurance for workers and third party, gender rights, grievance management procedures, safety requirements such as emergency plans including agreements with hospitals, the contractor's safety supervision staff and provision of personal protective equipment. According to the selection criteria, the ones who comply the best will be selected as contractors. During the implementation phase of the services, UNDP, SFD and PWP will organize planned and unplanned visits to contractors’ offices and/or places where work is being performed. In these visits the progress achieved, health and safety-related issues and child and forced labour employment status will be observed. The site reports will include the KPIs for contractor management and the outputs will be reflected in the monthly reports. In case of non-compliance by the contractors, corrective actions will be taken. The above-mentioned eligibility and liability conditions are applied in the case of public/traditional contractors while some of these cannot be applied to the community contracting – a secondary implementation modality by both SFD and PWP to maximize the role of communities in managing and implementing specific initiatives. Community contracting involves the target communities, through elected community committees, in planning, implementing and managing development initiatives through 261 community contractors and local suppliers. Therefore, the eligibility conditions for community contractors are less demanding (e.g. no condition of two subprojects experience and financial capability) and the liability is shared between them and the IP, particularly in conducting safeguard training and awareness, recruiting technical staff, enforcing safeguards measures and providing insurance of workers. 12.6.6 COVID-19 Sensitivity In January 2020, the World Health Organization (WHO) declared the outbreak of a new coronavirus disease in Hubei Province, China to be a public health emergency of international concern. COVID-19 Specific Occupational Health and Safety:  The health conditions of the workers will be assessed prior to engaging them in the project by measuring their temperature and sick workers will be refused entry to the office premises.  Entry/exit to site or the workplace will be minimized, and measures will be put in place to limit contact between workers and the community/public.  Training for workers on hygiene and other preventative measures will be carried out, with a communication strategy for regular updates on COVID-19.  Adjustments will be made to work practices to increase social distancing.  Procedure to follow if a worker becomes sick (following WHO guidelines), will be instituted and followed.  Adequate supplies of PPE (masks); hand washing facility, soap and/or alcohol-based sanitizer, will be made available at the office premises/worksites.  While preparing the site-specific plans involving labour, the following guidance materials will be used:  WHO IPC interim guidance: For guidance on infection prevention and control (IPC) strategies for use when COVID-19 is suspected.  WHO interim guidance on use of PPE for COVID-19: For rational use of PPE  WHO guidance getting your workplace ready for COVID-19: For workplace-related advice  WHO interim guidance: For guidance on water, sanitation and health care waste relevant to viruses, including COVID-19. 12.6.7 Conflict Sensitivity Because of the ongoing conflict in Yemen, all sub-projects need to be developed in a conflict sensitive approach to ensure that activities do not exacerbate conflict or violence. In addition, local conflicts may occur due to competition over limited jobs and conflict between contractors and local labourers. This is a key element of UNDP’s commitment and accountability to human rights, DO NO HARM, sustainability, and resilience in the SES. Conflict Management Measures Management measures include mainly:  Developing a clear definition of targeting and selection criteria based on data provided by the UN Clusters; participatory preparation and implementation of sub-projects by communities and relevant stakeholders frequent communication with communities and local stakeholders; 262  Grievance redress/ stakeholder response mechanism procedures to ensure timely handling of grievance redress; and public disclosure of the reasons for the rejection of sub-projects, if any, to increase transparency.  Applying transparent allocation of funds based on national statistics indicators at governorate and district levels, followed by consultation and coordination with local actors, affected parties and inclusive participatory process,  UNDP and its IPs should avoid creating any type of conflict or disagreement through applying UNDP’s programme principles, conflict sensitive framework and IPs’ conflict sensitivity approach to prevent and detect conflict and respond quickly to potential conflicts. This helps ensure that the implementation process will do no harm and leads to effective development interventions. Conflict sensitivity during planning and appraisal phase  Selection of the community beneficiaries is based on a transparent eligibility criteria and consultations with communities and local leaders.  Before implementation and during the participatory engagement and consultations with local communities to define the interventions.  UNDP and PWP/SFD teams analyse the context in which the project will be implemented to make sure that PWP/SFD intervention will not cause a conflict or escalate an existing conflict in that particular area.  This analysis enables PWP/SFD to understand the interaction between the intervention and the context in a particular area. The steps will be as follows: o Understanding the context in which the project will be implemented o Carrying out conflict analysis o Understanding the different stakeholders’ interests and needs among different community groups o Understanding the interaction between the intervention and the context o Linking the conflict analysis with the programming cycle of the intervention o Using this understanding to avoid negative impacts and maximize positive impacts o Implementing, monitoring and evaluating the intervention under a conflict-sensitive approach (including redesign when necessary) o Strengthening trust and confidence in local communities by applying conflict transformation approach and win-win solutions and interventions in both host and IDP communities.  Ensuring transparency of the procurement process including community contracting.  Expected environmental and social impacts (including OHS risks) are identified during the project’s preparation and mitigation measures are included in the design and implementation plan. Where investments are required to implement the measures, ensure reflection of these measures quantified as pay-items in the tender bill of quantities. Conflict management during implementation  During the implementation process, PWP/SFD staff keep: o Monitoring the situation to predict and recognize possible conflicts around the project and try to keep risks at a minimal level. o Following up to strengthen the partnership with local authorities and community committees as important players in conflict resolution. 263  PWP/SFD does not interfere to resolve existing conflicts or be part of any conflict. However, PWP/SFD interventions might help in reducing an existing conflict.  PWP/SFD might work in an environment where a conflict is prevailing such as the conflicts resulting from the war in some areas in Yemen or tribal conflicts. The staff in such case are fully aware of the conflicts that surround their work and activities, but their project does not deal directly with the conflict.  PWP/SFD's complaint mechanism will be a complementing tool to catch shortcomings that may arise and deal with them transparently and learn lessons from them to improve performance in future programmes. Project-affected people will be informed of the complaint mechanism.  The ESPECRP will be supported by an independent management committee consisting of representatives from UNDP, PWP, SFD, local community committee and plaintiff to investigate and mediate all types of claims and complaints in the field, if the IPs’ GRM and HCM could not manage the conflict.  UNDP should apply its Stakeholder Response Mechanism (SRM) if the IPs’ CHM and GRM fail to resolve the conflict case, and report immediately to the World Bank. 12.7 Grievance Redress Mechanism (GRM) During the design, construction and implementation of any sub-project, a person or group of people may perceive or experience potential harm, directly or indirectly due to the project activities. The grievances that may arise can be related to: Social issues such as eligibility criteria and entitlements; Disruption of services; Temporary or permanent loss of livelihoods and other social and cultural issues; Grievances may also be related to environmental issues such as excessive dust generation, damages to infrastructure due to construction related vibrations or transportation of raw material, noise, traffic congestions, decrease in quality or quantity of private/ public surface/ ground water resources during irrigation rehabilitation, damage to home gardens and agricultural lands, etc. Should such a situation arise, there must be a mechanism through which affected parties can resolve such issues in a cordial manner with the project personnel in an efficient, unbiased, transparent, timely and cost- effective manner. To achieve this objective, a Grievance Redress Mechanism (GRM) has been included in the ESPECRP. The GRM process are summarized as follows:  GRM of the Implementing partners will apply, and will activate three levels (1 st level field, 2nd at the branch, 3rd at the Head Office)  UNDP will dedicate a number (call, sms, whatsapp) for complainants who might not be satisfied with IPs’ resolution and would want to escalate to higher level (4 th level).  UNDP will introduce a TPM Call Center to verify the lists of complaints to be submitted by the IPs on bi-weekly basis to UNDP GRM focal point. TPM Call Center will provide a monthly verification report through a web-based system and will notify UNDP of any serious issues immediately.  IPs will ensure that dissatisfied complainants are informed of the UNDP’s dedicated number. TPM may also assist in this by calling all complainants and refer the dissatisfied ones to the 4 th level of UNDP).  If still dissatisfied after intervention of UNDP Yemen, another level will be introduced to escalate to UNDP HQ through the Stakeholder Response Mechanism (SRM) HQ then, if not solved, to the World Bank Inspection Panel.  Complainants may also opt to use judicial procedures or arbitration in specific cases. The Project Level Grievance Mechanism is managed by SFD, SMEPs and PWP, who have their own GRM mechanisms in place. The GRM is gender- and age-inclusive and is responsive and address potential access barriers to women, the elderly, the disabled, youth and other potentially marginalized groups as appropriate 264 to the Project. The GRM will not impede access to judicial or administrative remedies as may be relevant or applicable and will be readily accessible to all stakeholders at no cost and without retribution. IPs will continue to provide GRM signboards, including information on the hotline and WhatsApp number, at sub-project sites. They will also support additional tools (including technological solutions) and raise awareness for communities to take a more active role in the monitoring of sub-projects, including compliance with safeguards. There will be a clear mechanism between UNDP and IPs for reporting timeline and distribution of responsibilities to have better control and management of complaints. Current hotline numbers and other contact details for complaints are: UNDP partner Telephone or Email Contact Person GRM WhatsApp number SFD 8009800/772045256 chm_hq@sfd-yemen.org SFD PWP 8002626/77526262 a.sharhan@pwpyemen.org Abdulrahman Sarhan feedback@smeps.org.ye SMED 8005550/774002215 Wafa Muthana wmothana@smeps.org.ye UNDP To be finalized The project will utilize an enhanced integrated GRM system building on the experience and systems developed under the ECRP. Under ECRP, the IPs (SFD, SMEPs and PWP) have utilized a wide variety of communication methods for soliciting grievances, including complaint boxes, toll-free phone calls, SMS, WhatsApp, Telegram, Fax, Online Forms, emails, letters, in-person visits to head offices or branch offices or through face-to-face interactions with project staff. Developing the local partners’ GRM systems stre ngthens accountability, operations oversight, citizen engagement and learning. The Grievance Redress Mechanism: m. provides a legitimate process that allows for trust to be built between stakeholder groups and assures stakeholders that their concerns will be assessed in a fair and transparent manner. n. allows simple and streamlined access to the Grievance Redress Mechanism for all stakeholders and provide adequate assistance for those that may have faced barriers in the past to be able to raise their concerns. o. provides clear and known procedures for each stage of the Grievance Redress Mechanism process and provides clarity on the types of outcomes available to individuals and groups. p. ensures equitable treatment to all concerned and aggrieved individuals and groups through a consistent, formal approach that is fair, informed and respectful to a concern, complaint or grievance. q. provides a transparent approach, by keeping any aggrieved individual/group informed of the progress of their complaint, the information that was used when assessing their complaint and information about the mechanisms that will be used to address it. r. enables continuous learning and improvements to the Grievance Redress Mechanism. Through continued assessment, the learning may reduce potential complaints and grievances. Information about the Grievance Redress Mechanism and how to make a complaint is communicated during the stakeholder consultation process and displayed at prominent places for the information of key stakeholders. 265 All complaints and/or grievances regarding social and environmental issues can be received: 1) orally (by field staff); 2) by phone; 3) through a complaints box at sub-project location; 4) through written complaint to UNDP, PWP or SFD. A key part of the grievance redress mechanism is the requirement for the Project Management Team and construction contractor to maintain a register of complaints/grievances received at the respective project sites, including grievances from workers. The following information will be recorded: p. time, date and nature of enquiry, concern, complaint/grievance; q. type of communication (e.g. telephone, letter, personal contact); r. name, contact address and contact number; s. anonymous complaints are also registered, investigated and resolved; t. response and review undertaken because of the enquiry, concern, complaint, grievance; u. documentation of all mitigation actions taken and name of the staff taking the action. The project GRM is managed by PWP, SFD and SMEPs, who have grievance mechanisms in place. UNDP will work with the IPs to assess the effectiveness of existing GRMs and work to address capacity, accessibility, transparency, gaps, etc. UNDP with its partners will adhere to follow up and respond immediately to any complaints within an agreed time period of 15-30 days. UNDP will enhance the GRM system by operating a TPM call centre facility which will run outbound calls to the complainants list to verify that all complaints were handled and closed properly or not. Recording of calls will automatically be stored in the call centre server for quality control; interactive voice response and logging for calls received after work hours. Confidentiality and anonymity will be maintained. The call centre will forward the recorded calls and messages to the GRM agents under TPM to process and transmit the calls and messages to the focal points of UNDP and IPs by using a web-based system. Monthly and quarterly reports will be generated automatically by the GRM system with a summary report of opened/processed complaints, focusing on the overall performance of the GRM. A tracking function will be activated for the unsettled complaints that are still open for 14 days without any processing from UNDP and IPs. The responsible TPM focal point will immediately notify UNDP and IPs via email and phone calls about any serious complaint. UNDP will also dedicate a mobile number, SMS/WhatsApp messages for beneficiaries who might be dissatisfied with the resolution of the IPs and need to escalate to higher level. IPs will apply an appropriate mechanism to ensure that these dissatisfied complainants are informed of UNDP’s GRM channels should they want to escalate. The GRM system dashboard will be updated regularly with the latest progress status of complaints. The project partners (UNDP, SFD, PWP, SMEPs, TPM and WB) will discuss a common MIS that allows analysing and improving grievance, complaints, accident and reporting mechanisms, with high confidentiality and anonymity consideration. UNDP Stakeholder Response Mechanism (SRM) 266 In addition to the project-level and national grievance redress mechanisms, complainants have the option to access UNDP’s Stakeholder Response Mechanism38 (SRM), with both compliance and grievance functions. The Social and Environmental Compliance Unit39 investigates allegations that UNDP's Eight Standards, screening procedure or other UNDP social and environmental programme principles are not being implemented adequately, and that harm may result to people or the environment. The Social and Environmental Compliance Unit is housed in the Office of Audit and Investigations and managed by a Lead Compliance Officer. A compliance review is available to any community or individual with concerns about the impacts of a UNDP programme or project. The Social and Environmental Compliance Unit is mandated to investigate valid requests independently and impartially from locally impacted people, and to report its findings and recommendations publicly. The Stakeholder Response Mechanism offers:  Locally affected people an opportunity to work with other stakeholders to resolve concerns, complaints and/or grievances about the social and environmental impacts of a UNDP project.  Stakeholder Response Mechanism is intended to supplement the proactive stakeholder engagement that is required of UNDP and its Implementing Partners throughout the project cycle.  Communities and individuals may request a Stakeholder Response Mechanism process when they have used standard channels for project management and quality assurance and are not satisfied with the response (in this case the project level grievance redress mechanism).  When a valid Stakeholder Response Mechanism request is submitted, UNDP focal points at country, regional and headquarters levels will work with concerned stakeholders and Responsible Parties to address and resolve the concerns. Visit www.undp.org/secu-srm for more details.  UNDP is also hiring a Third-Party Monitoring Agent to provide call centre services for stakeholders’ complaints. World Bank Inspection Panel The World Bank’s Inspection Panel is also available to affected people. The Inspection Panel is an independent complaints mechanism for people and communities who believe that they have been, or are likely to be, adversely affected by a World Bank funded project. The Board of Executive Directors created the Inspection Panel in 1993 to ensure that people have access to an independent body to express their concerns and seek recourse. The Panel is an impartial fact-finding body, independent from the World Bank management and staff, reporting directly to the Board. The Inspection Panel process aims to promote accountability at the World Bank, give affected people a greater voice in activities supported by the World Bank that affect their rights and interests, and foster redress when warranted. (www.inspectionpanel.org); 12.8 Environmental and Social Management Plan (ESMP) ESPECRP’s ESMP should be based on the YECRP’s ESMP structures with some updating and addition to be aligned with WB’s ESS and UNDP’s SES as follows: 38 See the website :https://www.undp.org/content/undp/en/home/accountability/audit/s ecu-srm/stakeholder-response-mechanism.html 39 See the website: https://www.undp.org/content/undp/en/home/accountability/audit/secu- srm/social-and-environmental-compliance-unit.html 267 i. Introduction  Name of sub-project  Sub-project ID  Location sector and type of sub-project  Department implementing sub-project  Estimated cost of SB  Field visit consultation carried out: Proposed class of the SB (A to D; low to high)  Table indicating date, agency name and staff who screen and review and approve the ESMP ii. Sub-project description  Scope of work  Location  Land acquisition  Resources and services access restrictions  Child labour  COVID-19 sensitivity  Gender and social related issues o Gender: Numbers affected and disadvantaged people of men, women, boys, girls, elderly people and persons with disability o GBV and SEA o Conflict sensitivity and Do No Harm iii. Environmental and social baseline conditions  Introduction  Rain, climate and weather  Air quality and noise  Existing situation of the targeted area  Targeted beneficiaries: affected, disadvantaged, marginalized and interested groups iv. Environmental and social impact assessment  Applicability  Eligibility  Environmental and social screening v. Environmental, social impact analysis plan and mitigation measures  Environmental and social impact analysis plan and mitigation measures  Occupational and health safety plan (OHS plan), updated according to LMP vi. Environmental and social monitoring plan  Environmental and social monitoring plan (for monitoring daily work) with proposed outputs, activities and indicators  Occupational health and safety  All mitigation measures indicated in the ESCP vii. Gender and GBV Plan  Introduction: institutional and staffing capacity: recruitment of G & GBV specialist and focal points to handle any G&GBV concerns  Training and awareness on participation and women protection/GRM for community and community council  Mitigating and prevention measures in place to eliminate gender discrimination, GBV/SHS with indicators 268  Labour and workers’ awareness and signed certificate of com pliance  Confidentiality in GRM and referral system to Yemeni Women’s Union and UNFPA viii. Stakeholder engagement plan and public consultation  Introduction  Consultation methodology and approach  Topics of the consultations  Results of the consultations  Sustainability of sub-project and community ownership  Stakeholder engagement plan ix. Grievance Redress Mechanism  Hotline  Complaints box  Brochure distributed to the local community  Complaints handling mechanism x. Annexes  Environmental & Social Checklist  SFD: Environmental and Social Responsiveness (ESR) criteria at proposal stage  SFD: Public Consultation Report  SFD complaints handling mechanism  PWP mechanisms for environmental, social and occupational mitigation actions  PWP public consultation and reporting  PWP complaints handling mechanism 13. Procurement Arrangements Both PWP and SFD have detailed rules and regulations for all kinds of procurement, which will be applied also in the ESPECRP project. PWP and SFD will be responsible for the procurement of goods, works and services required for the implementation of sub-projects and related activities under available financing. Procurement will be in conformity with PWP/SDF Procurement Guidelines which are assessed and approved by UNDP and in line with this Project Operations Manual. UNDP will conduct regular spot checks and audits to verify conformity of procurement practices and ensure adequate oversight. 13.1 PWP Procurement Guidelines The Procurement Unit will have coordination with the Technical Unit who will be responsible for preparation of tender packages, implementation and supervision of the contracts, while the Financial Unit deals with the financial aspects of procurement and a Legal Advisor takes care of the legal aspects of procurement. The Procurement Manager main responsibilities will include but not limited to: i. Complying with all fiduciary requirements of Financing Agreements regarding procurement arrangements, UNDP Procurement Guidelines and National Guidelines. ii. Ensuring that all procurements activities and staff of the Unit strictly comply with the Code of Conduct as laid down in the PWP guidelines. iii. Building capacity / upgrading skills of unit staff. iv. Ensuring gender equality in the procurement process, giving equal opportunity to female consultants for design and supervision as well as contractors. 269 A Tender Committee chaired by the Project Director will be formed within the PMU to approve all works, goods and services contracts. If the contract amount is above the threshold as per the Procurement Plan approved by the Donor, an evaluation report shall be sent to the donor for prior review. 13.1.1 Procurement of Works In general, PWP contracts average US$200,000 or as specified in the Financing Agreement. Contractors bidding for small contracts may not have the same infrastructural capacity and bank contacts as well- established institutional contractors and exceptions from the main rules will be mentioned in the tender documents for smaller contracts. Such exceptions should nonetheless not waive the necessary guarantees for contract and financial responsibility compliance by contractors. For sub-project tendering and contracting for civil works, PWP will use the condensed procurement procedures under emergency operations. National competitive bidding tender documents approved by WB will be used in a publicly announced tender, giving interested contractors 10-15 days to respond. Subsequently PWP will review received tenders, evaluate them and award the contract to the most competitive contractor. The entire process should not take more than 6 weeks under the condensed procedures. Contracts will be awarded to the lowest responsive evaluated bid. 13.1.2 Pre-Qualification of Contractors In case of works with special nature requiring well experienced and qualified contractors, PWP may place announcement for pre-qualification of contractors. For this purpose the contractors shall furnish a dossier containing: i the contractor’s registered name, status, address of the current business registration certificate, value of its assets, and the name and address of the person authorized to represent it; ii a statement from the firm certifying that it is not under any legal restrain to do business; iii geographic boundaries within which the firm is willing to operate; iv a reference list showing the categories of work executed by the contractor, in respect of which the contractor is applying for registration. Each reference shall be accompanied with the following information: a. brief description of the work executed b. amount and type of contract c. works completion period from the time of initial signing contract d. status of works in hand e. settlement of potential disputes f. a list of equipment in direct ownership or leased. 13.1.3 Community Contracting PWP has had successful experiences in implementing small works through Community Contracting. PWP will continue practicing Community Contracting whenever specifically required. In the case of the Social Protection Enhancement & COVID 19 Project, funds have been allocated for some sub-projects to be implemented through Community Contracting. PWP has developed detailed Community Contracting guidelines and procedures to be used. Objectives of Community Contracting: 270 The overall objective is to contribute to alleviate poverty through maximizing creation of jobs, skills and direct incomes for the most vulnerable communities in rural areas.  Creating jobs for the communities - as all activities are done through the communities, who are the direct beneficiaries of skills and income gains.  Capacity building of communities on contract management (procurement, implementation, supervision, financial management, monitoring, etc.)  Improved ownership and sustainability  Enhanced social cohesion  Cost efficiency due to less profit margins as well as increased utilization of locally available resources (stones, sand, etc.) Sectors of Interventions: Small community assets in rural areas with simple techniques, high labour intensity and use of materials available locally would be most appropriate for community contracting. Such sectors would include stone paving of rural access roads, protection of agricultural land (gabions), agricultural land improvements & irrigation, terrace rehabilitation. 13.1.4 Community Contracting Project Cycle a. Conducting Needs Assessment This is the most important phase of community contracting procedures. Discuss priorities with communities and select highest priority intervention with consensus of all participants. Adequate time should be given to discuss the types of intervention, the methodology, important issues such as transparency of procurement, training opportunities and giving opportunity to all community members including women to be allowed to participate in contracting packages and as workers. b. Preparation Phase Formation of Community Councils (Implementing & Monitoring Councils) Two committees are formed  Implementation committee  Monitoring committee Community committees are elected by all beneficiary villages where each village will elect a representative. The committees are voluntary, their members should represent all sectors and groups of the community, including women. The committee election process should ensure absence of conflicts to avoid instigating future conflicts or causing social rifts.  Selection of site, preparation of designs with communities, agree to community contributions if stipulated;  Training community councils on all aspects of procedures, procurement, supervision, financial issues, operation and maintenance;  Preparation of implementation plans;  Preparation of financing agreements. c. Implementation Phase  Opening bank account by community councils;  Starting implementation and on-the-job training of committee members for supervision and O&M;  Monitoring by communities with PWP supervision consultant; 271  Formation of O&M council and training of community members. The training should start during the construction phase, so that members are aware of O&M needs. d. Project Completion  Handing over of completed works;  Final assessment of completed works;  Operation and maintenance. Training of committees on operation & maintenance should be conducted during project implementation. The PWP supervisor should ensure the committee is well trained to conduct O&M and ensure long term sustainability.  Final completion report. i. Cash-for-Work Cash-for-Work is another contracting method that PWP is practicing whenever funds have been allocated specifically by the Financier. Detailed implementing procedures are in place that are reviewed/updated periodically to take into account the experiences and lessons learned. 13.1.5 Procurement of Goods Procurement of goods may be awarded based on either International Competitive Bidding (ICB), National competitive Bidding (NCB) or National Shopping (NS), as per the Procurement Plan approved by the donor. Threshold applied for goods will be according to the current prior review thresholds as set by the World Bank for PWP contracts. However, individual Financing Agreements may stipulate thresholds other than those prescribed by the WB. In such case, procurement shall abide by the Financing Agreement thresholds. 1.1 SFD Procurement Guidelines a) National Competitive Bidding (NCB) NCB is the most common method of procurement of civil works used by SFD. It is usually the most efficient and economical way of procuring goods or civil works. The notification of bidding is advertised in national newspapers. Bidding is open to all firms. Bidders are given an adequate time to prepare and submit bids. Any bid received after the stated time is returned unopened to the bidder. All bids shall be opened in public at the stipulated time; bidders or their representatives shall be allowed to be present. At the opening the name of the bidder and the total amount of each bid are read aloud and recorded in the bid-opening minute. Unless otherwise decided by the Managing Director, the Evaluation Committee for each bid evaluation is composed of the project officer, procurement officer and relevant specialist/technician. The Bid Evaluation Detailed evaluation is carried out by the evaluation committee. They compare bids, examine if the bids are substantially responsive to the bidding documents. A bid is not substantially responsive if it contains substantial deviations from or reservations to the terms, conditions and specifications in the bidding documents. If a bid is nonresponsive, it should not be considered further for comparison. The bidder is not being allowed to correct or to withdraw substantial deviations or reservations once bids have been opened. The evaluation committee will sign the evaluation report. It should inter alia state the elements used for comparing the bids and recommending the selected contractor/supplier. If the contract’s value exceeds the specified branch threshold for systematic review, the evaluation report is forwarded to the Procurement Unit at Head Office for verification and setting procedures for the next steps informed by the financing agreement and with final approval by the MD. Otherwise the Branch or the Unit proceeds to the signature of the contract with the selected contractor/supplier. SFD will always award the contract to the lowest evaluated and responsive bidder, provided that the bidder has the capability and resources to carry out the contract effectively. 272 Under specific conditions, SFD may award a contract to a contractor with ongoing SFD contracts - depending on an assessment of the capacity of the contractor at the time of evaluation, the locations and the stage of implementation of the ongoing contract(s). The rates and prices quoted by the bidders shall be fixed for the duration of the contract and shall not be subject to adjustment. If the contract duration exceeds more than 18 months, price adjustment will be applied. b) Prequalification and Request for Bid In general prequalification is used only for large complex or specialized works and sophisticated goods. The contractors would be pre-qualified and a list of pre-qualified contractors established. Only those with adequate capabilities and resources to perform the contract are asked to submit a bid, taking into account experience, past performance, capabilities and financial position. c) Shopping Shopping is a procurement method based on comparing price quotations obtained from several suppliers (in the case of goods) or from several contractors (in the case of civil works), with a minimum of three, to assure competitive prices, and is an appropriate method for procuring readily available off-the-shelf goods or standard specification commodities of small value, or simple civil works of small value. Requests for quotations shall indicate the description and quantity of the goods or specifications of works, as well as desired delivery (or completion) time and place. Quotations may be submitted by letter, facsimile or by electronic means. The evaluation of quotations shall follow the same principles as of open bidding. The terms of the accepted offer shall be incorporated in a purchase order or brief contract. d) Community Contracting Community contracting means procurement by or on behalf of a community. Under this method, SFD shall provide funds directly to communities responsible for managing the implementation of sub-projects. Such procurement will be carried out by eligible communities according to the policies and simplified procedures set out in SFD community contracting manual. In addition to methods of procurement as outlined above, the SFD Procurement Manual Under Emergency Situations will apply. 2. Communication Structure Rules and standard operating procedures are established to provide guidance for managing ESPECRP communication and facilitate a clear, structured and systematic flow of information between UNDP and its partners – SFD and PWP – and with the World Bank, utilizing the appropriate tools and channels. This will strengthen an effective two-way feedback loop to help both UNDP and its partners plan, coordinate and manage ESPECRP visibility more systematically and consistently. The following tools/channels will be established.  UNDP will dedicate a Communication Officer to coordinate and oversee the implementation of ESPECRP communication and visibility strategy.  Assign communication focal points in Sana’a by SFD and PWP solely dedicated to providing visibility contents and feedback on a regular basis pertaining to ESPECRP.  Set up a Communication Technical Working Group comprising UNDP, the World Bank, SFD and PWP focal points, holding quarterly meetings – and any ad hoc meetings as required – to discuss and oversee ESPECRP communication and visibility aspects. 273  Develop quarterly action plans to ensure concerted efforts and regular visibility done for ESPECRP.  Create a reviewing protocol between UNDP, the World Bank, SFD and PWP to receive, review and clear any visibility products made for ESPECRP.  Set up and maintain an online platform to upload photos and videos of ESPECRP to facilitate access and share with the World Bank, SFD and PWP. 2.1 Branding Principles ESPECRP branding procedures are put in place to ensure quality compliance and ‘on -message visibility’, as well as adherence to the branding and marking provisions of all the partners in ESPECRP. They ensure that that the key roles of the World Bank as the donor and supporter, UNDP as the partner, and SFD and PWP as the national implementing partners are widely acknowledged and recognized in the context of a jointly celebrated partnership in any public communication under ESPECRP. To this end, UNDP and its partners – SFD, SMEPS, PWP – will adhere to the following principles: 1. Any visibility pertaining to ESPECRP will be guided by the objectives and messages stated in the ESPECRP communication strategy and shall require sign-off from UNDP and its partners unanimously. 2. In any public communications under ESPECRP, all the partners (the World Bank, UNDP, SFD, SMEPS, PWP) will be equally acknowledged and recognized as per their branding requirements regarding the use of their logos. 3. UNDP and its implementing partners will adhere to the branding and marking provisions of the World Bank40 regarding the use of the World Bank’s logo in any publicly disseminated information materials. 4. The logos of all the partners to ESPECRP should enjoy displayed prominence in size in various visual and printed materials intended for public distribution, such as videos, press releases, reports, factsheets, newsletters, brochures, etc. 5. To give proper credits, both UNDP and its partners will consult each other whenever they decide to use any of the materials developed/produced under ESPECRP to support their corporate messaging. 6. Any public communication done individually by UNDP, SFD or PWP under ESPECRP, in which the content has not been reviewed jointly with and approved by the World Bank, must contain the following disclaimer: “This story / case study / video / any other information / media product…. (Specify) is made possible by the support of the World Bank. The contents are the responsibility of [UNDP, SFD or PWP] and do not necessarily reflect the views of the World Bank.” 7. SFD and PWP can request from UNDP a ‘waiver’/special exemption to ESPECRP’s branding provisions on a case-by-case basis if they:  Deter the implementation of ESPECRP’s activities. 40 Branding and Visual Identity Guidelines 2017 274  Pose compelling political, safety or security concerns.  Diminish the independence, neutrality and credibility of SFD and PWP. 8. The World Bank must be acknowledged and recognized for both its funding and technical assistance role. 9. To ensure compliance with the branding/marking requirements, accuracy, consistency and that content is ‘on message,’ both SFD and PWP should assign staff and put in place a protocol withi n their institutions to review and clear any public communication and media products prior to their publication pertaining to ESPECRP. 10. A UNDP/ESPECRP Communication Officer will work with SFD and PWP to apply UNDP Publications Policy and its Quality Assurance Procedure “to ensure the quality, relevance, consistency and development impact of UNDP’s products and publications and promote the corporate identity of UNDP”.41 11. It is expected that the World Bank may request to review and clear any materials before they are printed and published. 3. Capacity Building of National Institutions The project seeks to significantly strengthen the capacity and role of national institutions. It will continue to work with SFD and PWP as Implementing Partners for other project activities to be administered by UNDP and build their capacity. UNDP will manage the capacity building of PWP and SFD in close coordination with the World Bank. A detailed capacity building plan will be developed, to be informed by capacity/need assessment of SFD and PWP once assessment reports have been produced. The capacity building plan will identify the priorities of capacity development for each respective institution, give budgeted cost estimates for activity items of the action plan and provide mechanisms for monitoring outcomes of capacity development interventions. 41 United Nations Development Programme Publications Policy. March 2012 275 l.Annexes: li.Annex 1 - SFD Environmental and Social Checklist lii.Annex 2 - SFD Environmental and Social Responsiveness Criteria at Proposal Stage liii.Annex 3 - SFD Checklist of Expected Environmental and Social Impacts to be Addressed at the Design Stage liv.Annex 4 - PWP Environmental and Social Checklist lv.Annex 5 - PWP Environmental and Social Responsiveness (ESR) Criteria at Proposal Stage lvi.Annex 6 - PWP Checklist of Expected Environmental and Social Impacts to be Addressed at the Design Stage Project Name Stone Paving and Construction of Protection Walls for a Group of Subprojects in Rural Areas Project Location Taiz, Ibb, Hajjah, Abyan, Al Mahwait, Al Jawf, Sa’adah, and Al Dhale, Governorates Check List of the E&S Issues to be Addressed for construction subproject Confirmation at the Design Stage Write Yes or NO The relevant authorities were consulted on the design and all their observations Yes were taken into consideration. The design of the project will include the ES & OHS monitoring plan Yes The project design will ensure local community participation during Yes implementation. The design and the rural road contractual materials for example stone are in Yes harmony with the surrounding environment and the architectural character of the village. GRM tools have been included in project document. Yes Safe work plan has been developed to project activities to control risks. OHS measures and Personal Protection Equipment (PPEs), were added to the Yes bidding documents. Temporary latrine and wash hand facilities have been included in project Yes document. If any of the answers are "No", then the reasons must be stated in the design report. lvii.Annex 7 - List of Project Operations Manuals of the ESPECRP Sub-Components lviii.Annex-8: List of Annexes for Monitoring and Evaluation Section https://drive.google.com/open?id=1GUarHx3KFmAC1h5Lq2GL-i2YC6rdsFj9 276 Annex 12. YLG ESMS 1. PREAMBLE Yemen Loan Guarantee program (YLG) is a non-for-profit guarantee provider established by the Social Fund for Development (SFD) in 2017. The program aims to facilitate accessibility for financial services to target segments with insufficient collateral through the provision of guarantee products and services. YLG provides partial guarantees on loans made by lenders (Partner Financial Institutions PFIS) to medium, small and micro enterprise borrowers in Yemen. Yemen loan guarantee program operates under the provisions of Law No. (10) of 1997 established by the Social Fund for Development, under the National Strategy for the development of small enterprises and under the approval of the policies committee for SFD on 08-03-2016. It was established as a non-for-profit entity operating under the directive order no (01) for the year of 2017. YLG operates under the supervision of YLG Steering Committee, the committee consists of the following members - Managing Director of the social fund for development as the head of the steering committee. - Head of the SMED unit as the vice president of the steering committee - Head of the training and capacity building unit as a member of the steering committee - Head of the Monitoring and Evaluation unit as a member of the steering committee - Managing Director of the Yemen loan guarantee program as a member for the steering committee. The “Yemen Social Protection Enhancement & COVID19- Response Project” will support micro and small enterprises and individual entrepreneurs in becoming more resilient against Covid-19 shocks and protect vulnerable households – including female led single households – who rely on this sector. This will be done through the capitalization of YLG for the provision of a microfinance portfolio guarantee scheme/program housed in YLG with an increased guarantee coverage of 70 percent for a period of a year, and subsequently for a self-sustaining portfolio guarantee for MSME credit, including microfinance credit, at a sustainable, steady-state coverage level to be determined. YLG operational model is designed to support and achieve results through partner institutions; partner institutions issue the loan capital and YLG guarantees a portion of the loan amount. For most of its core operational procedures, YLG adopts SFD’s standard operating procedures, including on the following topics: Procurement procedures YLG follows a comprehensive procurement manual with (122 pages) prepared by the Social Fund for Development. The guide contains all contractual procedures - procurement, consultants and civil works. Financial, accounting and auditing procedures YLG has a comprehensive accounting manual developed by Grant Thornton that is followed by YLG staff in all financial and accounting procedures; with internal and external audits ensuring its sound implementation. Moreover, YLG has an established system for bank withdraws authority stating that amounts that are larger than $10,000 must be signed by the SFD Managing Director and YLG Managing Director. 277 YLG Performance Since Establishment Since its establishment, YLG was able to expand its outreach to MFI’s serving most sectors in the market. Below infographic shows YLG performance from establishment in 2017 till the 1Q of 2021. Figure 1 YLG Performance Infographic for the period (Dec. 2017 - Mar.2021) Below are detailed tables presenting YLG’s outreach through out the years per MFI’s, Sectors, Loan amounts, Guarantee amounts and Gender. Year 2017 2018 2019 2020 2021 Grand Total PFI AMAL 70 156 547 101 874 Azal 19 68 22 109 ETIHAD 26 13 26 65 KURAIMI 172 288 106 566 NMF 1 88 159 165 19 432 TADHAMON 97 119 202 38 456 YKB 4 20 25 49 Grand Total 1 300 691 1270 289 2551 Table 1 Number of Guarantees Issued Per PFI 278 Year PFI 2017 2018 2019 2020 2021 Grand Total Agriculture 35 359 589 125 1108 Commercial 63 221 248 49 581 Fisheries 8 8 Industrial Manufacture 96 27 108 8 239 Livestock 31 41 226 86 384 Service 1 75 43 91 21 231 Grand Total 1 300 691 1270 289 2551 Table 2 Number of guarantees Issued Per Sector Year 2017 2018 2019 2020 2021 Grand Total PFI AMAL 33,064 307,358 902,963 361,561 1,604,946 Azal 35,527 131,148 57,986 224,661 ETIHAD 4,178 26,245 42,390 72,813 KURAIMI 438,415 789,334 207,517 1,435,266 NMF 1,770 65,336 351,517 343,777 51,526 813,926 TADHAMON 35,620 222,602 727,861 209,376 1,195,459 YKB 21,166 147,321 157,030 325,517 Grand Total 1,770 173,725 1,498,451 3,011,632 987,010 5,672,588 Table 3 Total Loan Amount (Principal+Murabaha) Per PFI (YER 000) Year 2017 2018 2019 2020 2021 Grand Total PFI AMAL 23,717 203,221 643,265 257,259 1,127,462 Azal 23,710 92,617 42,752 159,079 ETIHAD 3,541 18,227 27,206 48,974 KURAIMI 303,244 548,787 133,188 985,219 NMF 885 47,380 236,919 242,806 34,853 562,843 TADHAMON 29,419 141,344 466,103 132,848 769,714 YKB 14,931 99,718 99,325 213,974 Grand Total 885 127,767 1,010,503 2,070,637 657,473 3,867,265 Table 4 Guarantee Amount Per PFI (YER 000) 279 Year 2017 2018 2019 2020 2021 Grand Total Gender FEMALE 173 15 284 79 551 MALE 1 127 676 986 210 2000 Grand Total 1 300 691 1270 289 2551 Table 5 Number of guarantees Per Gender YLG recognizes Environmental and Social Risk Management as serious issues that require systems to monitor and control in line with legal requirements in the sector. The YLG’s ESMS will provide a systematic procedure to assess whether these projects will lead to any potential adverse environmental and social impacts. As such, the ESMS aims to ensure that negative impacts are avoided or minimized or compensated to the extent possible while positive impacts are stimulated. 2. INTRODUCTION Project Description: The World Bank is supporting Yemen’s efforts to enhance and support of Micro, Small and Medium Enterprises as part of the "Yemen Social Protection Enhancement & COVID19- Response Project", with a total of a USD 2.1 million grant. The Project will focus on supporting the resilience of micro, small and medium- sized enterprises (MSMEs) during the pandemic and facilitating their post COVID-19 recovery to retain and develop their capabilities and market position, through Portfolio Guarantee Model (PGM) that can respond to the sector’s needs more effectively and efficiently. Figure (1) below, elaborates on the differences between the individual and portfolio guarantee model. High Individual Guarantees Portfolio Guarantees Intensity of YLG Involvement in PFIs Hands-on involvement in PFI High volume, high operations efficiency Risk control over efficiency Focus on efficiency Strong on-ground presence, Data based operations, higher cost cost efficiency Intensive technical assistance Little or no technical assistance YLG pushes PFIs, Creation of YLG is pulled by FIs, new SME lending market strengthening the market Maturity of the Financial Sector Low High Figure 2 Individual Guarantees Model Vs. Prtfolio Guarantees Model Under the PGM, YLG is aiming to implement a pilot phase for a period of 1 year where portfolio guarantees are going to be mostly issued for loans that serve a harmonized target group i.e., agriculture sector and food security value chains with similar eligibility criteria and risk parameters. YLG will be working with 3 Partner 280 Financial Institutions that are chosen based on a specific due diligence and terms of selection criteria measuring and analyzing the PFI’s portfolio and risk data. During this phase, YLG will offer portfolio guarantees with a total capital of $2M to 3 Microfinance Providers with a total target reach of 3,024 MSMEs during 1 year. All Microfinance providers will be encouraged to apply to ensure fair competition and transparency. Eligible MFIs will be chosen based on due diligence and analysis of their current portfolio and internal capacity to implement the model. Table 6 below identifies different model parameters. Year 1 Number of loans disbursed per year 3024 Average loan size $3,658.61 Average loan duration in months 15 Guarantee coverage in % 70 Cumulative Disbursement $ 11,063,636.64 YLG capital allocated towards PF guarantee $ 2,000,000.00 Leverage* 3.87 Table 6 PGM Parameters * The leverage ratio based on the period of 1 year. In case if the period will be extended, the leverage ratio will be reduced accordingly. Table 7 shows the estimated number of SMEs that YLG will cover from the MFIs portfolio based on PFIs analysis on the 2M capital. Partners Targeted Number of Loan amounts Number of Loan amounts Guarantee Sector SMEs estimated to be SMEs estimated estimated to be amounts estimated to financed to SMEs to be Guaranteed to estimated (70%) be financed Guaranteed SMEs MFI1 Youth 7,000 $ 18,907,563.03 1896 $ 5,121,248.50 $ 3,584,873.95 MFI2 Agriculture 1,600 $ 9,123,649.46 840 $ 4,789,915.97 $ 3,352,941.18 MFI3 Agriculture 468 $ 1,872,749.10 288 $ 1,152,472.17 $ 806,730.52 Total 9,068 $ 29,903,961.59 3,024 $ 11,063,636.64 $ 7,744,545.65 Table 7 PGM Estimated Output Environmental and Social Management System (ESMS) The Environmental and social Management System “ESMS” is a systematic approach for financial institutions to manage the E&S risks and impacts arising from financing business activities and managing exposures. This system enables financial institutions to comprehensively consider Environmental & Social (E&S) risks in their financing, and by so doing, move beyond compliance with regulations to taking advantage of increased sustainability of their operations. With regard to YLG funding, primary activity at this Project level is to be a guarantor for microfinance institutions (MFIs) to partially guarantee their lending activities in favor of MSMEs. The Project recognizes that the primary responsibility for management of E&S risks and impacts rests with YLG, which will adopt, 281 maintain, and implement an ESMS consistent with ESS9 of the World Bank’s ESF. Given the MFIs direct involvement in the local markets within which they operate, MFIs are also best positioned to create values for this overall E&S management system through putting in place adequate E&S screening, assessment, and management measures for final beneficiaries. At YLG level, the ESMS will include the following key elements: (i) E&S policy (stating applicable E&S requirements), (ii) E&S screening procedures for identification, assessment, mitigation, and monitoring of E&S risks, (iii) Consistent reporting process and formats; and (iv) Adequate capacity for implementation, including training of credit staff on the applicable requirements and E&S screening process of final borrowers against them (v) The Stakeholder engagement and information disclosure. The following Sections provide the details of the YLG’s ESMS. 3. CHAPTER I: ENVIRONMENTAL AND SOCIAL RISK MANAGEMENT POLICY OF YLG YLG will commit to achieving positive development outcomes and this will be done through the environmental and social sustainability of the activities it is going to guarantee their finance, and which the Project expects to achieve through the application of Yemen E&S Policy. The Project, and YLG will strive to ensure that at a minimum the business activities to be guaranteed are environmentally friendly and socially acceptable. It will, therefore, not guarantee finance of projects that do not comply with the country’s E&S laws and regulations, and will ensure that certain environmentally and socially harmful activities are excluded from financing. The project in general, and YLG in particular, will ensure that the funded activities (including those financed by MFIs) will follow the principle of non- discrimination and pay particular attention to inclusion of women and vulnerable groups. Managing such risks means that the Project and YLG must develop and maintain adequate systems, procedures, and capacity for identifying, managing, and monitoring environmental and social (E&S) risks and impacts of business activities financed as commensurate with the types, scope, and nature of financing provided. This is achieved primarily through the development and implementation of an Environmental and Social Management System (ESMS). Objectives of the Policy: Through the application of this policy YLG will seek to ensure through its E&S due diligence and monitoring processes that all business activities financed by MFIs are designed and implemented in compliance with applicable regulatory requirements of Yemen and good international practices and standards. The main objectives of this Policy are: a. To set out applicable E&S requirements for all business activities financed through MFIs; b. Stipulate measures to be taken by MFIs to develop and/or strengthen their Environmental and Social Management Systems (ESMS); 282 c. Fully implement and comply with national requirements for E&S risk management in Yemen, as well as World Bank funding requirements; d. Integrate E&S risk management considerations into YLG’s funding criteria to MFIs; e. Promote greater transparency and accountability on E&S issues internally and externally through a well-functioning grievance handling mechanism as well as disclosure and reporting requirements. Scope of Application: The requirements of this Policy apply to the YLG guarantee facility, established by the Project, to MFIs (in the Micro financing sector) and the ultimate micro-borrowers. Applicable Requirements 1. YLG will only guarantee financing of business activities that are expected to meet Environmental and Social (E&S) Requirements within a reasonable period of time. Persistent delays and gaps in meeting these requirements shall lead to loss of financial support to the MFIs. 2. As a condition of eligibility to receive guarantee from YLG, the MFIs will put in place and maintain the risks associated with business activities they finance. The system should be proportionate with the nature and magnitude of risks at the portfolio level. 3. YLG will require all MFIs to line with national laws. 4. YLG will require all MFIs to promptly notify YLG, of any social, labor, health and safety, security or environmental incident, accident or circumstances which may have any material impact on the compliance of the Environmental and Social Requirements. Disclosure and Reporting The YLG E&S Policy will be publicly disclosed on YLG’s website. The implementation/compliance provisions of this Policy are made part of the guarantee agreement with the MFIs. Accountability and Grievance Mechanism (GM) YLG recognizes the importance of accountability and that stakeholder concerns should be addressed in a manner that is fair, objective, and constructive. The purpose of a Grievance Mechanism (GM) is to establish a way for affected individuals, groups or communities to communicate their concerns or formal complaints. The YLG program is utilizing the GM developed by SFD and provide clear steps for submitting and handling complaints and grievances received against the Project. As part of this GM, YLG will put in place effective GM procedures to process and handle local public grievances regarding environmental and social impacts of its funded activities during sub-projects’ establishment and operation. YLG is opened, via SFD's GM, to accept grievances from groups or individuals affected who may have E&S impacts on surrounding communities or who believe have been wrongly excluded. It is required by this Policy that each MFI implement and maintain a procedure for grievance mechanism that includes methods to receive, register, screen and assess, track, respond to, and act upon external inquiries and complaints from the public regarding their operations. 4. CHAPTER II: ENVIRONMENTAL AND SOCIAL RISK MANAGEMENT PROCEDURES In its lending- guarantee activities to microfinance borrowers through MFIs, YLG shall pursue its objective of sensitization about E&S risks through creating awareness amongst MFIs and the microfinance clients that MFIs work with. These procedures are embedded in the overall investment screening and appraisal process, and form part of YLG’s decision-making for providing guarantees to MFIs to ensure that: 283  MFIs screen the SMEs receiving loans guarantees against any exclusions in the Legal Agreement;  Require that MFIs prepare and implement in accordance with relevant environmental and social national and local laws and regulations;  Require specified MFIs to apply the relevant requirements of the ESSs;  Ensure that the measures needed to satisfy the requirements of the previous point above are set out in the subsidiary agreements between YLG with intermediate MFIs;  Monitoring the environmental and social information on the sub-projects via periodic reporting from MFIs to YLG The objective of these E&S Procedures is to facilitate and promote:  Proper implementation and institutionalization of E&S risk management measures;  Identification and mitigation of E&S risks involved in YLG’s guarantee scheme to MFI s;  Fulfillment of E&S legal;  Measuring, monitoring, reviewing and reporting E&S risks of the Project’s portfolio. Environmental and Social Due Diligence for MFIs: In agreeing to participate in the Project, the YLG and each MFIs (and FIs) partners accept responsibility to the World Bank for mandatory screening, assessment, and management of the environmental and social risks and impacts of proposed transactions taken under the Project in a manner that is consistent with World Bank E&S Standards as well as the financial institution’s corporate practices and policies for Corporate Responsibility. All MFIs portfolio guarantees to be extended by YLG under this Project should be subjected to an environmental and social review process incorporating the procedures described in this ESMS. All YLG partners should use these procedures in reviewing and appraising sub-project applications, and to inform sub- grantees of environmental requirements for investment/guarantee appraisal, so that sub-projects can be implemented in an environmentally and socially sound manner. Environment Protection Law No. (26) of 1995 This Law is composed of 5 Sections divided into 95 articles. Section I deals with terms and definitions and defines objectives of this Law which are: protection of environment; pollution control; protection, preservation and development of natural resources; protection of the society, public health, and all being livings from all dangerous and hazardous activities; protection of the national environment from external hazards activities; accomplishment of all international obligations relating to the environment protection and pollution control; and the contribution in the protection of ozone layer and climate. Section II provides for the following matters: water and soil protection; creation of protected areas; use, circulation, trade, registration, control, inspection of pesticides; and the issuance of license for pesticides. Section III refers to the dangerous and hazardous activities to environment especially: control of activities that are dangerous and hazardous to the environment; laying down standards, criterion and technical requirements for the aforementioned activities; issuance of licenses for and EIA for projects; trade and circulation of hazardous waste disposal; environment protection and economic development; and environment monitoring. Section IV pertains to marine pollution. Offences, penalties and compensations for environmental damages are given in Section V. Accordingly, and as part of the due diligence under Yemeni laws MFIs will complete environmental and social risk screening forms to be submitted with their applications. Any MFI which doesn’t comply with the stipulations of the applicable laws and regulations will be excluded/disqualified from financing under the Project. In case the screening process concluded with recommended actions and mitigation measures to improve the E&S performance of the proposed sub-project, these will be incorporated under a specific 284 “Action Plan” for each MFI. MFI would have to comply with this Action Plan containing the results for the screening process. In case the MFI does not have the capacity to implement such requirements and mitigation measures, it will be expected/required to hire-in such expertise to implement them. YLG E&S Procedures and Requirements: YLG will implement the following procedures in accordance with applicable local laws and regulations and the World Bank requirements as follows:  Maintain organizational Capacity and Competency as defined in this ESMS based on an evaluation of the staffing needs according to the nature of portfolio and the expected workload.  YLG will comply with any exclusions stated in the Subsidiary Agreement and apply any relevant national law;  YLG will conduct an E&S screening process for every application submitted by MFIs to ensure compliance with the Project’s E&S Policies and regulations;  Review and assess the submitted applications from MFIs against the List of Excluded Activities below;  Establish minimum eligibility criteria for MFIs E&S systems and capacity such as: o Written E&S policy and procedures in place for assessment of systems and capacity of FIs as proportionate to the nature and scale of the MFIs lending activities; o MFI designates staff with clearly defined responsibilities for E&S risk management; o Commitment to taking part in E&S training and capacity building activities.  Document all relevant documentation in a systematic manner. Exclusion List of Sectors: The following type of activities are excluded and considered as ineligible for guaranteeing their finance under the Project: 1. Any activity with significant environmental and social risks, the negative impacts of which will be considered diverse, varied, irreversible and unprecedented. 2. Any activity containing or involving the following: Production or activities involving forced labor / harmful child labor; Production or trade in any product or activity deemed illegal under host country laws or regulations or international conventions and agreements; Production or trade in weapons and munitions; Gambling, casinos and equivalent enterprises; Trade in wildlife or wildlife products regulated under the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES); Production or trade in radioactive materials; Production or trade in or use of unbounded asbestos fibers; Production or trade in wood or other forestry products from unmanaged forests; Production or trade in products containing poly-chlorinated biphenyl, or PCBs; Production, trade, storage, or transport of significant volumes of hazardous chemicals, or commercial scale usage of hazardous chemicals; Production or trade in pharmaceuticals subject to international phase outs or bans; Production or trade in pesticides/herbicides subject to international phase outs or bans; Production or trade in ozone depleting substances subject to international phase out. 3. All the other excluded activities set out in the ESMF of the Project that are substantial to high risks. Approval and Conditions of Guaranteeing Finance The following requirements and performance commitments will be applicable and formalized in guarantee covenants as part of the approval process. - Implement the E&S mitigation and management measures specified in the MFI’s Action Plan (if any). - MFI to provide annual E&S reporting to YLG based on an agreed format. 285 - Within three days of occurrence, MFIs will require their borrowers to notify them, and in turn, will notify YLG of any social, labor, health and safety, security or environmental incident, accident or circumstance having, or which could reasonably be expected to have, any material impact on compliance of a MFIs transaction/ borrower with applicable E&S requirements. Environmental and Social Risk Management for the Project at YLG is responsible for proposing, reviewing, and verifying that E&S covenants are included in each guarantee agreement between YLG and MFIs. MFIs Environmental and Social Performance Criteria: These general performance criteria serve as a guideline for YLG to assess MFIs’ performance with regard to various aspects of their ESMS. The extent of the MFI’s ESMS will be commensurate with the level of E&S risks and impacts in its portfolio, as assessed by YLG. Area Description 1. Systems and capacity E&S Staffing and Capacity Staff with clearly designated roles and responsibilities to manage E&S issues (e.g. a staff member assigned to provide an oversight of E&S screening and prepare annual E&S reports to YLG) Internal training developed and implemented to sensitize relevant investment staff on the required E&S screening process, criteria, and documentation E&S policy and Non-discrimination policy. Written E&S policy and procedures for screening as procedures proportionate to the nature and scale of the MFI’s lending activities: MFIs E&S policy would be built around commitment to have its borrowers to comply with the national laws and not to undertake activities on the List of Excluded Activities. E&S procedures would be designed around proper application of key tools for MFIs to enable them to conduct E&S screening. These tools can be comprised of an E&S questionnaire for borrowers to enable MFIs to determine key E&S risks and impacts, sector guidance that provides examples of key risks and mitigation measures by sector and the associated undertaking form for the borrowers with a Corrective Action Plan to improve its management of the identified risks and impacts. E&S categorization system is in place and formally adopted by MFI’s Senior Management. This can incorporate such criteria as loan sizes, loan tenors, sectors financed, micro- enterprise sizes etc. E&S screening process is adequately internalized within the MFI (e.g. credit/ relationship staff who interact with borrowers are familiarized in the E&S screening process and preparing the E&S questionnaire, as well as preparing and monitoring, as needed, corrective action plans for borrowers). The requirement of signing a Code of Conduct for loan officers. Management Level of management commitment to incorporate E&S aspects into the MFI’s risk Commitment management practices including resource provision and endorsement (e.g., MFI 286 acknowledges that E&S screening is an important part of interactions with borrowers and is beneficial for overall risk management of the MFI’s lending). 2. Implementation Compliance with Adequate implementation of the E&S screening process, including evidence of applicable requirements application of YLG E&S requirements (e.g., this can be evidenced by properly filled-in E&S questionnaires that conform to YLG requirements). Corrective action plans and sanctions (for example loan suspension, exclusion, etc.) for sub-borrowers are developed and documented (e.g., this can be evidenced by adequately filled-in borrower E&S undertaking forms that conform to YLG requirements such as proper exclusion of activities on the List of Excluded Activities). Documentation Adequate documentation is maintained by the MFIs (e.g., E&S questionnaires and borrower undertaking forms are filed together with loan documentation) and available upon request from YLG. Appropriate language is incorporated in financing agreements and other relevant documentation with end borrowers. Annual E&S reports are prepared and submitted in a timely manner to YLG. Table 8 MFIs General Performance Criteria 5. CHAPTER III: IMPLEMENTATION CAPACITY, ROLES AND RESPONSIBILITIES: This Chapter discusses the organizational capacity committed to ensure proper implementation of the ESMS, through well-defined roles and responsibilities of YLG staff in charge of implementing and maintaining oversight of the various parts of the E&S Policy and E&S Procedures. YLG’s management is committed towards environmental and social safeguards and YLG will also Provide and maintain appropriate labor management procedures. The following Table 9 shows implementation arrangements and E&S required capacity within YLG: Unit/ Staff Roles and Responsibilities YLG Management 1. Adopt and oversee implementation of YLG’s ESMS. 2. Review and approval of the Project’s E&S Policy and Procedures. 3. Allocation of needed resources and budget for implementation. 4. Oversight and overall accountability for E&S risk management to external stakeholders and the World Bank. 5. Overall responsibility for E&S risk management and its integration in the overall risk management process for the Project. E&S Risk Management Focal 1. Day-to-day management and oversight of E&S risk management, in Point at YLG line with the YLG E&S Policy and Procedures for the Project, including E&S due diligence and supervision. 2. Developing and improving tools to support implementation by MFIs (e.g., checklists, supplemental guidance), including training materials and arranging training workshops. 287 3. Monitoring MFIs compliance with E&S requirements, including those in the E&S Action Plan for MFIs, if any. 4. Ensuring quality, completeness, and timeliness of MFIs E&S reporting to YLG. 5. Periodically review the E&S management status and issues if there are any of the high-risk operation supported by MFIs (according to MFI’s E&S risk categorization system and YLG’s guidance on what would be considered high risk in the context of microfinance). 6. Preparing and providing regular E&S reporting to YLG’s Senior Management and other stakeholders. 7. Preparing revisions to the YLG E&S Policy and E&S Procedures and presenting them for approval by Management. 8.Ensuring that E&S Procedures are integrated into YLG’s guidelines for portfolio guarantee activity under the Project. 9. Ensuring that E&S covenants are included in financing agreements with MFIs. Table 9 Implementation arrangements and E&S capacity required within YLG Projects are categorized by environmental risk level (see Annex III) based on four factors: • Industry sector • Proximity to environmentally sensitive areas • Potentially irreversible impacts • Extent of environmental and social issues 6. CHAPTER IV: MONITORING AND SUPERVISION YLG will conduct monitoring and Reporting - environmental and social performance of the subprojects under the Project in a manner proportionate to the risks and impacts of the sub-projects and provide regular progress reports to the senior management. The monitoring will be done by intermediate MFIs and the subsidiary agreement would include a requirement to provide periodic reporting to YLG. This procedure outlines ongoing monitoring that evaluates MFIs’ progress over the life of the investment. The procedure also provides a mechanism to consider exiting relationships with MFIs that continually fail to improve their management of E&S issues. The Project’s Environmental and Social Risk Management Focal Point at YLG will:  Request periodic reporting to be provided by the MFIs to YLG in regard to MFIs’ E&S performance;  Document outcomes of periodic E&S performance review based on MFIs’ reporting and the E&S Performance Criteria.  Review the MFI’s reporting information and conduct further E&S monitoring and supervision activities in a manner proportionate with the level of risk.  Record the outcomes of E&S monitoring and supervision, including progress on the E&S Action Plan, where applicable, and site visits if needed, etc.  Periodically review the E&S management status and issues if there are any of the high-risk operations supported by MFIs.  Maintain a record-keeping system that captures E&S information of each MFI.  Maintain records of grievances and mechanisms for their resolution on time. 288 7. CHAPTER V: EXTERNAL COMMUNICATION AND STAKEHOLDER ENGAGEMENT MECHANISMS The objectives is to establish and define a systematic approach for the project to (i) engage with stakeholders in an effective and inclusive manner throughout the project cycle on issues that could potentially affect them, (ii) ensure that appropriate information on environmental and social risks are disclosed publicly, and (iii) provide a mechanism by which people can raise concerns, provide feedback, or make complaints about project and any activities related to the project. YLG will develop procedures for external communications on environmental and social matters proportionate to the risks and impacts of YLG’s portfolio of investments supported under the project, which must adhere to the following guidance: · This approved YLG E&S Policy and ESMS will be publicly disclosed on YLG’s website. · Information must be relevant to stakeholders and reveal not only general information about the project (e.g., purpose, duration, scale, proposed activities), but also potential risks for communities and planned mitigation measures. · Disclosure of information must occur in a reasonable timeframe to allow stakeholders to process this information and – if applicable – raise concerns. · The form of disclosure must be targeted to the audience (particularly to affected groups) in the appropriate language and channels of communication. · Consultation must be carried out in a culturally appropriate, non-discriminatory and gender- sensitive manner, free of external manipulation, intimidation or coercion. Annex II presents the details of stakeholder engagement activities under the Project, including those related to YLG. 289 8. ANNEX I: Environmental and Social Risk Screening Checklist Investment / Project name: Sector: Number of employees: Loan size (tentative): City/Town: Type of location Urban Rural Other (please specify) Visit Date (if needed): A brief description of the Investment / Project: No. Issues YES NO N/A[ Comments 1] I Exposure to Excluded Activities 290 1.1 Does the potential Investment / Project carry out any activities listed on the List of Excluded Activities? If yes, the investment cannot proceed 1.2 Does the potential Investment / Project operate in sectors listed on the List of Excluded Sectors (as it relates to SMEs receiving working capital)? If yes, the investment cannot proceed II E&S Regulatory Compliance and Liabilities 2.1 Has the Investment / Project provided satisfactory evidence of compliance with relevant environmental, sanitary, health, safety and labor regulations for its business activity / Equipment? (Note and attach the type of evidence provided below): Services: Vocational License (GAM) Fabrication: Permit copies (environmental, health &safety, labor) Reports from relevant authorities Other (please specify) 2.2 Have any injuries and fatalities occurred in the past 2 years? (if yes, describe how, when, how many) 291 2.3 Has the Investment / Project had any labor related or environmental incidents – e.g., chemical spills, fires, groundwater contamination – in the past 2 years? (if yes, when and why) 2.4 Has the Investment / Project paid charges or fines/penalties for non-compliance with environmental, sanitary, health, safety and labor regulations and standards in the last two years? (if yes, when and why, please attach copies of most recent inspection reports) 2.5 Is the Investment / Project exposed to potentially significant environmental, sanitary, health, safety and labor liabilities related to the client’s past or ongoing operations? (if yes, specify magnitude) 2.6 Are there highly sensitive locations (“sensitive receptors”) in proximity to Investment / Project activities, including (i) densely populated urban areas; (ii) industrial zones with high cumulative impacts of pollution (if yes, provide details) (iii) schools or other community organizations. III Reputational Risk Screening YES NO N/A Comments 3.1 Can Investment / Project activity result with any reputational risk? (e.g., potential affected community, known reputational risks, occupational health and safety risk related with the customer operations, asset to be used in another potential High-Risk activity). 3.2 Did the local citizens or an NGO express their concern or is there evidence of any complaints against the Investment / Project because of the impacts on the environment and/or surrounding communities? 292 VI Issues related to the Investment / Project business YES NO N/A Comments activities: 4.1. Environmental Issues § Are there impacts on air, soil, water through emissions or similar? § Are there strong smells and/or other irritants associated with business operations? § Do the business activities require significant consumption of raw materials, energy, and/or water? § Is there liquid and/or solid waste in the workplace? § Is there current or potential generation of waste that cannot be recovered, reused, or disposed of in an environmentally and socially sound manner? § Is there current or potential generation of hazardous waste? Is there an appropriate disposal mechanism in place? § Is there current or potential generation of wastewater? What is the mechanism for wastewater treatment? § Are there current or potential air emissions? 293 § Are there any current or potential impacts on biodiversity (e.g. removal or clearance of trees)? 4.2. Occupational and Community Health and Safety § Availability of fire protection equipment, personal protective equipment, sufficient lighting, and sufficient work space, availability of sanitation and hygiene facilities? § Is there high level of noise (interrupted or continuous)? § Are there appropriate life and fire safety measures in place (e.g. access, escape routes, fire hydrants etc.)? § Do business activities pose potential risks due to physical, chemical, biological, or radiological hazards to workers or surrounding communities/receptors, during Project construction or operation? 4.3. Labor and Working Conditions § Are labor and working conditions satisfactory, in line with national law? § Are there provisions for both direct and contracted workers? § Is there policy that may cause any type of discrimination? 294 § Does the Investment / Project employ persons less than 18 years of age? § Does the Investment / Project employ young workers (between 14 and 18 years or age) endangers the life, health, or physical, mental, spiritual, moral of these children? § Will there be migrant workers required for construction and / or operation of the facilities? If yes, estimate how many and if any labor influx issues may arise (worker accommodation, interactions with local communities) V Environmental and social risk management measures: YES NO N/A Comments 5.1 Are there any financial implications of the environmental and social risk management findings and if so, have they been incorporated in the financial or business plans for the Investment / Project? (if yes, please explain) 5.2 If required, does the Investment / Project have adequate emergency response mechanisms implemented in their facility? 5.3 If required, has the Investment / Project prepared a mitigation plan/ measures for environmental and social risks for its business activities? (if yes, please state mitigation measures currently followed by the client) VI Comments/Suggestions 295 6.1 VI E&S Risk Category 7.1 Low Risk State justification: Medium Risk High Risk (in case of high risk, please forward the checklist of review to Environmental and Social Coordinator) X Decision on eligibility (approval) 10.1 Reject State reasons: Accept / reject with management decision Prepared By: Reviewed By: Name Approved By: Name Name__________________ ___________________________ ________________ _______ Title: Title: ____________________________ Title: ____________________________ _ ___________________________ _ __ Date: Date: ____________________________ Date: ____________________________ _ ___________________________ _ __ 296 Signature: Signature: Signature: _________________________ _________________________ _________________________ [1] N/A means “Not Applicable” 297 9. ANNEX II: STAKEHOLDER ENGAGEMENT PLAN (SEP) ACTIVITIES OF THE PROJECT Project stage Target Topic of Method used Responsibilities Frequency of stakeholders consultation / engagement message Preparation - SMEs - Challenges facing - Virtual and face-to- YLG Periodic -Critical MSMEs MSMEs growth face Meetings intermediaries (respecting social (Micro-finance distancing Institutions) -How to increase requirements) access to finance - Emails - needed technical assistance - Phone calls PFIs - Project design - Virtual and face-to- YLG Periodic (Participating - Access to funding face SMED Financial requirements Meetings (respecting Institutions) social distancing - business requirements) environment development - Emails requirements - Phone calls - E&S requirements -Stakeholder engagement requirements by their own clients - reporting requirements 298 Project stage Target Topic of Method used Responsibilities Frequency of stakeholders consultation / engagement message Implementation - Virtual and face-to- YLG - SMEs -Implementation face Periodic, as - Critical MSMEs challenges and Meetings (respecting needed intermediaries obstacles social distancing (Micro-finance requirements) Institutions - Procurement and - Emails financial aspects - Phone calls - GM functioning - Social media - responding to grievances, concerns and enquiries received through grievance mechanism PFIs - Design challenges - Virtual and face-to- YLG Periodic, as (Participating - access to funding face SMED needed Financial eligibility criteria Meetings (respecting Institutions) - Technical social distancing guidance needs requirements) - Reporting - Emails requirements - Safeguards’ - Phone calls requirements -Official correspondences Operation All stakeholders: - Project - Public consultations YLG Multiple (closure) achievements - Seminars SMED engagements - Social media UNDP 299 Project stage Target Topic of Method used Responsibilities Frequency of stakeholders consultation / engagement message - Project impact - Seminars YLG At least one and outcomes - Roundtables SMED seminar UNDP - lessons learned - Implementation Challenges - Functioning of GM 300 10. Annex III: Project Examples by Environmental Risk Category 11. Examples of High-Risk Projects  Large dams and reservoirs  Mining and quarrying  Forestry and logging (large scale)  Agro-industries (large scale)  Industrial plants (large scale)  Major new industrial estates  Major oil and gas developments, including major pipelines  Large ferrous and non-ferrous metal operations  Large-scale pulp and paper industries  Large port and harbor developments  Large thermal or hydropower development  Manufacture, use or disposal of large quantities of pesticides/herbicides and mineral fertilizers  Manufacture, transportation and use of hazardous and/or toxic materials  Domestic and hazardous waste disposal operations  Large-scale tourism developments  Large-scale textile industries involving wet processes  Large-scale transportation projects (airports, highways, motorways, railroads)  Projects in or near to highly sensitive and high value ecosystems  Projects with large resettlement components and all projects with potentially major impacts on human populations  Projects affecting indigenous or tribal populations  Projects which impose serious occupational or health risks  Projects which pose serious socioeconomic concerns 12. Examples of Medium-Risk Projects  Agribusiness (small scale)  City hotels, small scales tourism  General manufacturing  Chemical industries, without any bulk storage of inflammable, explosive or hazardous substances  Manufacture of plastic products 301  Processing and preservation of fruit and vegetable, fish, meat  Vegetable/animal oil production and processing  Manufacture of wines and other fermented beverages  Dairy products manufacture  Manufacture of leather products (except tanning and dyeing)  Repair and maintenance shops  Spinning, weaving and finishing of natural and synthetic fabric  Printing  Manufacturing of wood products  Saw milling  Manufacture of veneer, plywood and other wood-based materials  Small power plants 13. Examples of Low-Risk Projects  Establishment of business services industries (business advisors, accountancy auditors, etc.)  Establishment of restaurants and other food premises  Education and training  Broadcasting (TV, radio, satellite)  Health and family planning  Purchase of computer equipment  Establishment and equipment of art, design, telecommunications studios  Spinning, weaving and finishing of natural and synthetic fabric  Tailoring and dress-making shops  Manufacture of leather products and clothing (except where tanning or dyeing is involved)  Advisory assignment  Life insurance companies 302 303