SFG3741 The Federal Democratic Republic of Ethiopia Ministry of Livestock and Fisheries Environmental and Social Management Framework For Livestock and Fisheries Sector Development Project (LFSDP) October, 2017 I Table of Contents List of Tables and Figures ....................................................................................................................... IV Abbreviations and Acronyms ................................................................................................................... V Executive Summary .................................................................................................................................. 1 1. Introduction ..................................................................................................................................... 5 1.1. Purpose and Objectives .......................................................................................................................... 6 1.2. Methodology .......................................................................................................................................... 6 1.3. Stakeholder Consultation ....................................................................................................................... 7 2. Project Description ......................................................................................................................... 10 2.1. Project Components ............................................................................................................................. 10 3. Legal, Policy and Administrative Framework................................................................................. 18 3.1. Constitution and Relevant Policies ...................................................................................................... 18 3.1.1. Constitution .................................................................................................................................... 18 3.1.2. Environmental Policy of Ethiopia .................................................................................................. 19 3.1.3. National policy on pesticides .......................................................................................................... 19 3.1.4. Growth and Transformation Plan and Strategic Programs ........................................................... 20 3.1.5. Ethiopia’s Climate Resilient Green Economy Strategy ................................................................. 21 3.2. Environmental Proclamations .............................................................................................................. 21 3.3. Environmental and Social Impact Assessment Guidelines and Directives .......................................... 26 3.4. International Conventions Ratified by Ethiopia ................................................................................... 27 3.5. World Bank Safeguard Policies............................................................................................................ 28 3.5.1. World Bank Policies Triggered by LFSDP .................................................................................... 28 3.5.2. World Bank Policies not triggered by LFSDP ............................................................................... 34 3.6. Public Disclosure ................................................................................................................................. 34 4. Environmental and Social Baseline Conditions ............................................................................... 34 4.1. Physical Environment................................................................................................................................ 34 4.1.1. Climate.............................................................................................................................................. 34 4.1.2. Soil and Geology ............................................................................................................................ 35 4.1.3. Water Resources (River Basin and Lakes) ..................................................................................... 35 4.2. Biological Environment ....................................................................................................................... 36 4.2.1. Forests............................................................................................................................................ 36 4.2.2. Parks .............................................................................................................................................. 36 4.2.3. Flora .............................................................................................................................................. 37 1.2.4. Fauna ............................................................................................................................................. 37 4.3. Physical cultural resources ............................................................................................................ 38 4.4. Socio-economic conditions............................................................................................................. 39 5. Environmental and Social Impacts and Mitigations ........................................................................ 40 5.1. Potential Environmental and Social Impacts of LFSDP ...................................................................... 41 5.2. Potential Positive Impacts .................................................................................................................... 41 5.3. Potential Negative Impacts .................................................................................................................. 42 5.4. Impact Mitigation measures ................................................................................................................. 46 5.5. Pesticide Impacts and Management ..................................................................................................... 77 6. ESMF Process for LFSDP Subprojects ....................................................................................... 80 6.1. Subproject Screening Process .............................................................................................................. 80 6.2. Review and Approval ........................................................................................................................... 86 6.3. Disclosure of Subprojects Information ................................................................................................ 89 7. Implementation Arrangement and Capacity Building .................................................................... 90 7.1. Institutional Capacity Assessment ....................................................................................................... 90 7.2. Institutional and Implementation Arrangements for Safeguards.......................................................... 91 7.3. Training ................................................................................................................................................ 91 7.4. Technical Assistance ............................................................................................................................ 94 7.5. Required Budget................................................................................................................................... 94 II 8. Monitoring and Evaluation of the implementation of ESMF........................................................... 97 8.1. Process monitoring ................................................................................................................................... 97 8.2. Result monitoring ...................................................................................................................................... 97 8.3. Environmental and Social Monitoring Indicators ..................................................................................... 98 8.4. ESMF Reporting .................................................................................................................................. 99 8.5. Environmental Auditing ..................................................................................................................... 100 References............................................................................................................................................. 101 Technical Annexes ................................................................................................................................ 102 Annex 1: Subproject or business plan Eligibility Screening Checklist .......................................................... 102 Annex 2: Environmental and Social Screening Checklist .............................................................................. 104 Annex 3: Procedure to check LFSDP’s interface with and viability of CCs.................................................. 106 Annex 4: Environmental and Social Field Appraisal Form ........................................................................... 110 Annex 5: ESMF Quarter and Annual Reporting Form................................................................................... 114 Annex 6. Guideline for ESMP Preparation .................................................................................................... 119 Annex 7: TOR for ESIA................................................................................................................................. 122 Annex 8: Environmental and Social Guidelines for Contractors ................................................................... 124 Annex 9: Grievance Redress Mechanism (GRM) .......................................................................................... 129 Annex 10: Monitoring and Evaluation of the implementation of ESMF ....................................................... 131 Annex 11: LFSDP target Woredas ................................................................................................................. 122 Annex 12: IPM planning, design and implementation ................................................................................... 123 Annex 13: Community Consultations Attendance Sheet ............................................................................... 129 Annex 12: Sample Photos of Community Consultations and site visits ........................................................ 136 III List of Tables and Figures Table 1: List of Sample Woredas Visited for the Social and Environmental Assessment ................. 8 Table 2: Possible Environmental and Social Impacts and mitigation measures in relation to level 1 beneficiaries ............................................................................................................................. 48 Table 3: Possible Environmental and Social Impacts and mitigation measures of basic and advanced business plans (Levels 2 and 3) ............................................................................... 52 Table 4: Major Impacts and mitigation measures for activities in Dairy Production Value chain ... 58 Table 5: Major Impacts and mitigation measures for activities in Poultry production and Processing Value chain .............................................................................................................................. 65 Table 6: Major Impacts and mitigation measures for activities in Fishery/aquaculture Value chain69 Table 7: Possible Environmental and Social Impacts and mitigation measures for Market and commercialization Infrastructures ........................................................................................... 75 Table 8: Checklist to check subprojects eligibility for LFSDP financing ........................................ 82 Table 9: Rating and classification of potential impacts of LFSDP subprojects or business plans ... 85 Table 10: ESMF Capacity building requirement for LFSDP ........................................................... 93 Table 11: Budget requirement for capacity buildings, annual reviews and General technical assistances ................................................................................................................................ 95 Table 12: Environmental and social Management Mitigation Plan format for LFSDP Projects ... 121 Table 13: Environmental and social Management Monitoring Plan format for LFSDP Projects .. 122 Figure 1: Map of LFSDP woredas ...................................................................................................... 9 Figure 2: Map of the sample woredas visited ................................................................................... 10 Figure 3: Flow chart of LFSDP's ESMF procedure .......................................................................... 81 IV Abbreviations and Acronyms AGP Agricultural Growth Project AI Artificial Insemination ARAP Abbreviated Resettlement Action Plan ARCCH Authority for research & Conservation of Cultural Heritage BPRC Business Plan Review Committee CC Commune Centers CDD Commune Development Program CLPP Community Level Participatory Planning DC Development Committee DRSLP Drought Resilience and Sustainable Livelihood Project EFCC Environment forest and climate change EPA Environmental Protection Agency ESA Environmental and Social Assessment ESC Environmental and social Clearance ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management framework ESMP Environmental and Social Management Plan ESS Environmental and Social Safeguard FCA Federal Cooperative Agency FDRE Federal Democratic Republic of Ethiopia GAFP Good aquaculture fishery practice GAHP Good Animal Husbandry Practices GHG Green House Gases GTP Growth and Transformation Plan IA Implementing Agencies IPMP Integrated pest management plan LFSDP Livestock and Fisheries Sector Development Project LMP Livestock Master Plan MEFCC Ministry of environment forest and climate change MoANR Ministry of Agriculture and Natural resource MoLF Ministry of Livestock and Fisheries MoTI Ministry of Trade and Industry MoWIE Ministry of Water Irrigation and Electricity NTT National Task Team PCDP Pastoral Community Development Project PCR Physical cultural resources PCU Project coordination Units PMP Pest management plan RAP Resettlement action Plan REFCCA Regional environment forest and climate change Agency RPF Resettlement policy framework RPLRP Regional Pastoral Livelihood Resilience Project SC Steering Committees SLMP Sustainable Land Management Project SNNP Southern nation’s nationalities and peoples SNPs Strategic national Programs VC Value chains WAT Woreda Appraisal Team V Executive Summary The Government of Ethiopia (GoE) through Ministry of Livestock and Fisheries (MoLF) has been working with bilateral financial loan agreement with the World Bank and other development partners to implement programs for rural poor communities. Livestock and Fisheries Sector Development Project (LFSDP) has been conceptualized and is now under preparation with the objective to support the government’s strategy for livestock growth and transformation as articulated in its second Growth and Transformation Plan (GTP-2) and Livestock Master Plan (LMP) in adding value to the existing investments in support of the sector. It also supports the fisheries sector, not included on the LMP but newly added by the government as a clear priority. LFSDP is designed to support MoLF strategy of transforming small holder farmers into small investor/producer cooperatives as displayed in the project’s transformation pathway. LFSDP will obviously have various socio-economic and environmental benefits. In contrast, LFSDP could also result in adverse environmental and social impacts, as it is expected from any developmental activity. The most important point is therefore to develop and implement strategies for enhancing beneficial impacts and avoiding, preventing, minimizing and compensating adverse impacts. The project is structured around three inter-dependent components supporting a number of LMP priority interventions: (i) Component A: Linking Farmers to Markets (US$103 million); Component B: Strengthening National Institutions and Programs (US$56 million); and (iii) Component C: Project Coordination, Monitoring and Evaluation, and Knowledge Management (US$17 million). The first component will be implemented in 58 Woredas. It is designed to support sustainable productivity increase and commercialization in the selected 4 commodity value chains. The second component has a national coverage although directing its main applications in priority towards the first component. It will support immediate and long term human and institutional capacity development of the key actors in the livestock and fisheries sectors, and support the finalization and implementation (in project areas and for the targeted value chains) of five priority strategic national programs. The third component will support project coordination and implementation and effective monitoring and evaluation of project’s performance. The project will pay attention to equitable participation of gender and youth and mainstream nutrition and climate smart techniques and technologies in all its activities. In order to address the actors in holistic and systematic manner, LFSDP developed a transformation pathway for improved livestock productivity and commercialization. In this pathway, the project envisions the smallholder farmers to move through stages (Stage 1: Smallholder farmer, Stage 2: stage 1 with improved husbandry practices, Stage 3: stage 2 organized into producer organizations and Stage 4: stage 3 in productive partnerships along the value chain) for them to achieve the goals of increased productivity, commercialization, and market access, in an inclusive and sustainable manner. The project will have three components (1) Capacity development and Support to National Policies, Institutions and Programs (2) Productive partnership for selected Value chains and (3) Project Coordination and Monitoring. -1- The location and specific sub-projects are not identified at this stage and their impacts cannot be fully determined. Therefore, the most appropriate safeguard instrument for LFSDP at this stage is Environmental and Social Management Framework (ESMF). The document contains details of agreed policies, guidelines, tools, screening and procedures to be integrated into the implementation of LFSDP in selected Woredas and Kebeles of the project regions. The proper implementation of the ESMF ensures compliance with applicable laws and regulations of the Government of Ethiopia as well as relevant World Bank operational policies, procedures and health and safety guidelines. In addition to this ESMF, complementary Resettlement Policy Framework (RPF) with Process framework and Social Assessment have been prepared to deal with specific concerns related to potential land acquisition, property losses, restriction of access to natural resources and other social issues such as vulnerable groups and historically under-served peoples. The overall purpose of this ESMF is to ensure that the community infrastructure sub-projects and basic and advanced business plans to be supported by LFSDP will be carried out in an environmentally sustainable and socially inclusive manner. For this ESMF, two categories of information (i.e., qualitative and quantitative) were collected. As a result, the study employed a mixed approach. The qualitative approach enabled to collect subjective information from community members, concerned government officials, and other stakeholders. The quantitative approach was employed to collect background environmental, biophysical and socio- economic data. Thus, these two approaches enabled to collect both qualitative and quantitative information that supplement one another and ensure the validity and reliability of the information obtained. The specific tools include, desk review, Focus Group Discussion (FGD), Key Informant Interview (KII), and Personal Observation. The site visits and consultations were conducted in 17 randomly selected woredas which are found in six project target regions. The numbers of selected Woredas per region were: seven (Oromia), three (Amhara), three (SNNP), two (Tigray), one (Benishangul-Gumz) and one (Gambella). Community consultations and focus group discussions were the main methods of field data collection used. The participants of community consultations and focus group discussions comprised smallholder farmers, cooperative members, women, youths, and elders, as well as experts at regional and woreda livestock and fisheries bureaus/offices, and environmental offices. Various Environmental and social issues were raised during the consultation process. LFSDP will have potential socio-economic and environmental benefits. The possible positive impacts of LFSDP include enhanced capacity at different levels, job creation, household income improvement, livestock product and productivity increase, improved livestock and human health, women and youth empowerment, reduction of greenhouse gas emissions, etc. In contrast, LFSDP could also result in adverse environmental and social impacts, as it expected from any developmental activity. The possible adverse environmental impacts could be: -2- ➢ Increased use of livestock pesticides, drugs and vaccines other chemicals which may be toxic to non-target organisms and hazardous to humans and the environment ➢ Feed concentrates may contain phytotoxic heavy metals such as copper (Cu), zinc (Zn) and cadmium (Cd) which could accumulate in the soil and vet medicines, persist in dung, affecting its fauna and potentially the dependent bird populations. ➢ Antibiotic resistance from poor management of livestock drugs and inappropriate disposal of animal waste. Multi-drug resistant microbes of zoonotic diseases can be transmitted through food and Environment. ➢ Livestock (meat and milk) and fishery food products may be contaminated by Zoonotic disease transmitting microbes and/or chemicals from industrial effluents, pesticides, agro- chemicals posing human health risks ➢ Occupational health and safety hazards such as disease transmission, and chemicals (pesticides and drugs) and other work related injuries and accidents ➢ Water pollution arising from inappropriate disposal of manure and application of fertilizers for forage production ➢ Over utilization of aquatic resources disturbing aquatic ecosystem biodiversity ➢ Air pollution from de-nitrification, production of methane, ammonia volatile organic compounds, hydrogen sulfide and carbon dioxide. Poorly managed manure could emit greenhouse gases such as Methane and nitrous oxide ➢ Introduction of exotic livestock and fishery species and genetic materials which may cause loss of local breeds and genetic trait that could have enabled them adapt to local environments, including resistance to indigenous disease and the ability to thrive on low amount/quality feed and lack of water. This may also result in reduced livestock diversity and introduction of new livestock diseases ➢ Land acquisition and property losses and potential impacts on vulnerable groups Possible mitigation measures include, but not limited to: ➢ Apply integrated pest management approach (as identified by WHO and WBG industry sector guidelines for agribusiness/food production) ➢ Apply integrated waste management system that includes recycling of animal wastes into compost and biogas ➢ Wastes should be managed and disposed of according to the guidance for hazardous and nonhazardous waste provided in WBG Environmental, Health and Safety guidelines ➢ Awareness creation about the hazards and safe handling of insecticides ➢ Promote growing and use of household garden plants as animal feeds and avoid using feed formulations with toxic or unknown contents ➢ Closely monitor behavior and adverse impacts of introduced breeds, report unusual and unexpected adverse impacts of new breeds ➢ Preparation and implementation of integrated vaccine and drug waste management plans ➢ Apply the RPF to address land acquisition and other social related issues. -3- The ESMF included procedures, guidelines and tools for the management of possible social and environmental impacts. Thus, every sub-project of LFSDP will be screened for eligibility and any environmental and social concerns will be addressed in line with the sub-project specific safeguards instruments. The output of such screening assessment activities would be either to modify the sub- project or develop safeguards instruments for guiding their implementation. Then, the required safeguard instruments including partial ESIA, and/or ESMP, and/or PMP, and/or RAP/ will be prepared, reviewed and approved by the respective regional Environment, Forest Protection Authorities (REFPA). ESIA and RAP documents are subject to the World Bank review and disclosure requirements. The relevant Implementing Agencies (IAs), either at Woreda or regional or both levels, which are the main responsible bodies to obtain the environmental and social clearance, ensure the implementation of the mitigation measures. The community has also contribution in the implementation of mitigation measures in sub-projects which are implemented either in cash, and/or labor. Effective implementation of the ESMF requires technical capacity in the human resource and logistics. The project will recruit Environmental (one) and Social (one) safeguard specialists and experts both at national and regional level project coordination units. Besides, the respective Woredas will assign relevant expert for the safeguards due diligence. Safeguard issues at Woreda level will also be the responsibility of woreda sub-project appraisal team (WAT) to be established for this purpose in all project woredas. Implementers at all levels need to understand inherent social and environmental issues and values and be able to clearly identify their indicators. For this reason, environmental and social safeguards short courses, trainings, and awareness creation and sensitization workshops are planned for LFSDP. Environmental and social safeguard experts, subject matter specialists, implementing agencies will be targets of the capacity building. Annual environmental and social safeguards implementation and reviews and auditing (internal and external) as well as general and sub-project specific technical assistances is crucial for proper implementation, monitoring and evaluation of the environmental and social safeguard procedures. The total budget required for capacity building, annual, reviews, auditing and general technical assistances is estimated to be twenty million and seventy-two thousand eight hundred Ethiopian birr (20,072, 800 birr) which is equivalent to eight hundred seventy-three thousand and eight hundred seventy (873,870 USD) which is around 0.58% of the total project cost. The budget required for sub-project specific technical assistance will be estimated for each sub-project and will be part of the sub-project proposals or business plans. -4- 1. Introduction The newly established ministry, Ethiopian Ministry of Livestock and Fisheries (MoLF), which it greatly demands for livestock and fisheries program and projects for budget and policies, strategies aimed at creating an enabling environment for investments in the sector, the main thrust of which is to promote labor-based technologies and land capitalization aimed at production for both the domestic and international markets. In this context, the government believes that the development of the livestock and fisheries sector will serve as the driver for economic growth and could, therefore, contribute significantly to achieving food and nutrition security, creating employment and reducing poverty at the national and household levels. In this context, livestock production is of strategic economic importance, not only because of its numbers and diversity, but also because the majority of the rural people in Ethiopia keeps livestock as a livelihood or uses the resource for various activities like farming and transportation of people and products. The Government of Ethiopia through the ministry has been working with bilateral financial loan agreement with the World Bank and other development partners to implement programs in ASAL communities. To this effect livestock related projects such as Regional Pastoral Livelihood Resilience Project (RPLRP), livestock portion of Agricultural Growth Project 2 (AGP 2) and Drought Resilience and Sustainable Livelihood Project (DRSLP) are the major ones currently hosted by MoLF. With similar manner and with different strategic approach and beneficiaries, Livestock and Fisheries Sector Development Project (LFSDP) has been conceptualized and is now under preparation with the objective to support the government’s strategy for livestock growth and transformation as articulated in its second Growth and Transformation Plan (GTP-2) and Livestock Master Plan (LMP) in adding value to the existing investments in support to the sector. It also supports the fisheries sector, not included on the LMP but newly added by the government as a clear priority. The exact locations and specific sub-projects are not identified at this stage and their impacts cannot be fully determined until project planning is started by communities. Therefore, the most appropriate safeguard approach is to use the framework approach. To ensure environmental and social due diligence when implementing this Project, this ESMF is developed. This ESMF is developed in line with the project implementation model of using the transformation pathway for targeted beneficiaries. It contains details of agreed policies, guidelines, tools and procedures to be integrated into the implementation of LFSDP in selected Woredas and Kebeles of the project regions. The proper implementation of the ESMF ensures compliance with applicable laws and regulations of the Government of Ethiopia as well as relevant World Bank operational policies and procedures. In addition to this ESMF, separate Resettlement Policy Framework (RPF) and enhanced Social Assessment documents have been prepared to deal with specific concerns related to 5 potential land acquisition, property losses, restriction of access to natural resources and other social issues such as inclusion or exclusion of vulnerable and historically under- served communities and peoples. These two documents complement this ESMF. 1.1. Purpose and Objectives The goal of this ESMF is to ensure that adverse environmental and social impacts are avoided, subprojects are properly screened for environmental and social impacts and that impacts appropriately mitigated and compensated for. It is also to ensure that the community infrastructure sub-projects and basic and advanced business plans to be supported by LFSDP will be carried out in an environmentally and socially sustainable manner. The ESMF would realize environmentally and socially sensitive transformation of project beneficiaries along the proposed transformation pathway. The ESMF is designed to ensure the application of appropriate level of environmental and social prevention and mitigation measures. The specific objectives of this ESMF are to: • Establish clear procedures and methodologies for screening and integrating environmental and social planning, review, approval and implementation of LFSDP activities; • Specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to LFSDP activities; • To prepare Environmental Management and Monitoring Plan which, among others, constitutes the specific likely negative impacts, mitigation measure along with indicators to be monitored, specific responsible institutions and the required budget; • To indicate implementation strategies of the major issues outlined in the Environmental and Social Management Framework and Environmental and Social Management Plan. • Determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF; and • Establish the budget needed to implement LFSDP’s Environmental and Social Safeguard requirements 1.2. Methodology Initial desk review was conducted to consult environmental and social safeguard documents of previously prepared World Bank financed projects in the Ministry (AGP 2 and RPLRP) and outside the ministry (Pastoral Community Development Project (PCDP), Sustainable Land Management Project (SLMP), etc). These ESMFs prepared for other similar projects have been extensively consulted, adapted and contextualized when the 6 ESMF of LFSDP is prepared. Lessons taken from ESMF implementation for these projects have also been sufficiently considered when designing this ESMF especially on how to integrate and manifest safeguards implementation within the annual work plan and also setting the institutional arrangement, at different levels to implement LFSDP’s ESMF. Updated version of national and international safeguard manuals, guidelines and procedures were reviewed to demonstrate any change made after preparation of previous ESMFs. Moreover, this ESMF takes the project implementation transformation pathway into account to separately handle the possible environmental and social issues raised at different beneficiary stages. The project’s pre-appraisal mission document and the draft activity matrix prepared by the national task team (NTT) are consulted to set the institutional arrangement of the ESMF at different levels, and to identify potential environmental and social concerns of implementing the project. Environmental social and legal requirements both nationally relevant ones to the project and the World Bank Safeguard policies that have been trigged are reflected in this ESMF. 1.3. Stakeholder Consultation The preparation of this ESMF document is done through consultation at federal, regional, woreda and community levels using different sessions to get the prior, free and informed consent of the stakeholders including the community members to be involved. The views and concerns of the consulted community have been fully considered in developing this ESMF. Various Environmental and social issues were raised during the consultation process. The social issues raised include the risks of marginalizing vulnerable groups such as the poor, the elders, the women, the youth and ethnic minorities from the project benefits. The communities were also concerned about the risk of not getting adequate and quality inputs (such as livestock feeds) as well as poor market networks for their products. The community members appreciated the focus of LFSDP on the inputs, artificial inseminations, market opportunities, livestock health and other interventions and also the attention given to the youth and women. It was also mentioned that the smallholder farmers have been challenged by lack of water for livestock rearing. In general, the public consultation indicated that there should be continuous and comprehensive consultations with the community throughout the project life cycle. Regarding Environmental issues, the consultation participants mentioned the issue of soil and water pollution from livestock waste, drugs, and pesticides. The community members also stressed out the effect of land acquisition and site selection on physical cultural resources, protected areas and forests. Some of the experts in the consulted area rose about the issue of using genetic materials as an input and its effect on the local livestock biodiversity and loss of intrinsic behaviors of tolerating water and food shortages. 7 LFSDP is planned to be implemented in six regional states, namely: Oromia, Amhara, SNNP, Tigray, Benishangul-Gumz, and Gambella. Field data collection was conducted in 17 woredas sampled from the target regions. The total number of woredas targeted by LFSDP is 58. Yet, the sampling for fieldwork was done in such a way that each region was fairly represented in proportion to the number of woredas covered by the project. Accordingly, Environmental and Social Assessment woredas by region are the following: Oromia (seven woredas), Amhara (three), SNNP (three), Tigray (two), Benishangul-Gumz (one) and Gambella (one) (Table 1). Table 1: List of Sample Woredas Visited for the Social and Environmental Assessment Region Zone Woreda Tigray Southeastern Hintalo Wajirat Eastern Kilite Awulalo Amhara West Gojjam Mecha, Bahir Dar Zuria North Shoa Basona Werana Oromia East Hararghe Kombolcha West Arsi Kore North Shoa Debre Libanos Ilu Aba Bora Becho Horo Gudru Abay Choman West Shoa Jeldu Bale Dinsho SNNPR Segen Area Konso Peoples’ Sidama Hawassa Town Gamo Gofa Arba Minch Zuria Benishangul-Gumz Asossa Asossa Gambella Agnywa Abobo In each woreda, fieldwork was undertaken in two selected kebeles as focal communities. The sampling and selection of focal kebeles was done in consultation with the respective woreda leadership concerning which of the kebeles qualified for the conduct of fieldwork based on the characteristics features vis-à-vis the assessment objectives. Checklist of major environmental and social issues was used to assist the field assessment. In the interest of clear visualization, a map is presented below that shows the location of the assessed woredas as displayed in figure 1. 8 Figure 1: Map of LFSDP woredas 9 Figure 2: Map of the sample woredas visited 2. Project Description 2.1. Project Components The project is structured around three inter-dependent components supporting a number of LMP priority interventions: (i) Component A: Linking Farmers to Markets; Component B: Strengthening National Institutions and Programs; and (iii) Component C: Project Coordination, Monitoring and Evaluation, and Knowledge Management. The first component will be implemented in 58 Woredas. It is designed to support sustainable productivity increase and commercialization in the selected 4 commodity value chains. The second component has a national coverage although directing its main applications in priority towards the first component. It will support immediate and long term human and institutional capacity development of the key actors in the livestock and fisheries sectors, and support the finalization and implementation (in project areas and for the targeted value chains) of five priority strategic national programs. The third component will support project coordination and implementation and effective monitoring and evaluation of project’s performance. The project will pay attention to equitable participation of gender and youth and mainstream nutrition and climate smart techniques and technologies in all 10 its activities. Component A: Linking Farmers to Markets (US$103 million) This component will finance a program of activities aimed at increasing productivity and commercialization of producers and processors in selected value chains and targeted areas by improving their access to critical knowledge, services, inputs, equipment and productive infrastructure, and increasing their linkages with markets and value chains. To achieve these objectives, the component will address all steps of the transformation pathway through the implementation of three type of sub-projects (sub-components A2, A3 and A4), each supporting a specific set of interventions tailored to the beneficiary’s needs in the pathway (Figure 2 & Table 3, Annex1). A first sub-component (A1) will establish the enabling environment for the successful implementation of these sub-projects. Sub-component A.1. Enabling Sub-Projects Implementation. The sub-component will finance preparatory analyses and activities to enable the implementation of sub- components A.2, A.3 and A.4. These upfront investments will include: (i) studies for the identification of Woreda livestock and fisheries clusters, based on a production and commercial infrastructure mapping, as well as other criteria defined by ATA (i.e. livestock and fisheries production potential, storage and processing capacity, access to markets, institutional environment1); (ii) assessments to identify beneficiaries within the clusters (subsistence, improved and specialized producers and processors and cooperatives), based on their position in the Ethiopia Good Practices (Good Animal Husbandry Practices - GAHP and Good Aquaculture and Fisheries Practices -GAFP) checklist (tools developed under component B); (iii) training to Development Agents (DAs) on sub-Project's approach and process; (iv) beneficiaries’ monitoring to assess transformation throughout the pathway; and (v) feasibility study for establishing a Line of Credit (LoC) during project implementation. Sub-component A.2. Support to Subsistence Farmers and Unemployed Youth. The sub- component will support the transformation of level 1 beneficiaries (i.e. livestock and fisheries smallholder subsistence men and women farmers, subsistence fishermen/women, unemployed youth from farming families) into level 2 beneficiaries (i.e. improved cooperatives of small and medium-size producers and primary processors, and future young entrepreneurs). To enable this transformation, the sub-component will finance basic sub-projects focusing on establishing primary cooperatives and mastering minimum good practices (Eth-GAP1), supported by basic training, public extension and advisory services, inputs, basic equipment and small-scale infrastructures. Basic sub-projects will be prepared jointly by the beneficiaries and the DA. Level 1 direct beneficiaries will represent 70 1 Criteria used by ATA to identify clusters under the Agricultural Commodity Cluster/ ACC Program. 11 percent of total direct beneficiaries of component A, i.e. 325,000 households. Sub-component A.3. Support to Improved Cooperatives. The sub-component will support the level 2 beneficiaries (improved cooperatives) through the implementation of intermediate sub-projects based on the productive partnerships approach. Sub-projects will be prepared jointly by project beneficiaries and buyers of products (e.g. processors, wholesalers, retailers, supermarkets, hotels/ restaurants, institutional buyers2, agro- enterprises/SMEs). The public sector (i.e. the project coordination unit, supported by specialized services providers) will act as the main facilitator for establishing and implementing these partnerships. These intermediate sub-projects will focus on improved level of cooperatives organization and intensification of production through the implementation of improved good practices (Eth-GAP2) supported by Farm Field School training, public and private services, inputs, equipment and small/medium-scale infrastructures. Level 2 direct beneficiaries will represent 23 percent of total direct beneficiaries of component A, i.e. 108,000 households. Sub-component A.4. Support to Specialized Cooperatives and Municipalities. The sub- component will support level 3 beneficiaries (specialized cooperatives of producers and processors, and municipalities) through the implementation of advanced sub-projects based on the Productive Partnership approach. The advanced sub-projects will focus on linking value chain actors through formal contracts and the implementation of specialized good practices (Eth-GAP3) supported by specialized training, private and public advisory services, specialized inputs and equipment and medium-scale productive and commercial infrastructures. Level 3 direct beneficiaries will represent 7 percent of total direct beneficiaries of component A, i.e. 33,000 households. Subprojects and activities under this component may include but not limited to: 1. Good Animal Husbandry Practices (GAHP) - Improve feed quality - Livestock health - Artificial insemination 2. Basic and Advanced Business Plans for - Dairy and dairy fattening - Poultry - Small ruminants - Fishery and aquaculture - Input production (e.g., seeds, feed and forage) 2 Examples of institutional buyers include school feeding programs, hospitals etc. 12 - Employment for unemployed youth graduated (men and women between 18-35 years old) 3. Critical Market and Commercialization Infrastructures - Peri-urban small and medium abattoirs - Commercial farms - Fish hatcheries - Milk collection centers 4. Small to medium scale infrastructures  Primary Milk Collection Points (MCP)  Milk Collection Center (MCC) (Intermediate: between 500 and 1,500 liter / day; Advanced: between 2,500 and 5,000 liter / day)  Milk processing centers (MPC for pasteurized whole and skimmed milk, butter and ghee production) (Intermediate: between 1,500 and 2,500 liter processed/day; Advanced: between 5,000 liters and 8,000 liters of milk processed/day)  Small-scale dairy/small ruminants fattening cooperatives  Small-scale chicken abattoirs  Chicken cooperative of small scale specialized poultry producers for broilers production  Broiler production and grilling  Tilapia or catfish production in 300m2 fish ponds  Small/medium size commercial infrastructure  Small and medium scale building, storage room, fences and watering systems  Medium scale abattoir for poultry including cooling corridor and building for packaging and food storage (Intermediate: between 300 and 500 birds/day; Advanced: between 2000 and 12500 birds/day (including seep freeze corridor and packaging room) Component B: Strengthening National Institutions and Programs (US$56 million) The component will carry out a program of activities to improve the immediate and long- term human, organizational and institutional capacity of MoLF and key public and private actors and cooperatives of the livestock and fisheries sectors through, inter alia: Sub-component B.1. Human Resources and Organizational Capacity Development. The project will provide support to: (a)carry out a capacity development needs assessment to identify MoLF’s immediate and long-term needs in terms of human resource development, 13 organizational development, and institutional and legal framework development; prepare a Capacity Development Program (“CDP”) based on the results of the assessment; validate the CDP through a national consultation workshop; and contribute to the implementation of the CDP at federal and regional levels, and in selected Woredas; and (b) prepare and implement a communication strategy with guidelines for building relationships to promote communications by MoLF and with primary stakeholders and implement said strategy. Sub-component B.2. Policy, Planning and Coordination. The component will aim at: (a) improve monitoring and assessment of the livestock and fisheries sectors, including development and rolling out of a data analysis and monitoring system for the livestock and fisheries sector; acquisition of critical equipment for necessary surveys and training programs for its extension as well as the update of the CSA questionnaires; (b) provide support for: conducting an evidence-based technical review of current policies, laws and regulations and the drafting and/or updating of new ones, stakeholder consultations processes and policy dialogue between public, private and associative actors, and consensus building to ensure that new policies reflect the views and needs of women, youth, smallholder farmers and larger participants in the livestock and fisheries sector; and (c) provide provision to conduct training and awareness campaigns related to various policy aspects, and support pilot operations to test the decentralized implementation of new/upgraded policies. Sub-component B.3. Sustainable Animal Health, Extension, and Advisory Services. Under this sub-component, the project will (a) reinforce the capacity of the public Veterinary Services (“VS”) through the establishment of private animal health services networks and the development of partnerships between the public authorities, the private veterinarians, and the associative actors; and the strengthening of the surveillance and diagnostic capacities of the National Animal Health Diagnostic and Investigation Centre and regional laboratories; and (b) strengthen the Extension & Advisory Services (“EAS”), including by developing a roadmap for improved livestock and fisheries EAS; promoting, introducing and implementing innovative EAS such as the Ethiopian Good Animal Husbandry Practices (GAHP) and Good Aquaculture and Fisheries Practices (GAFP) approach and the Livestock and Fisheries Farmers’ Field School (L&F-FFS). Sub-component B.4. Development of Strategic National Programs. The project will provide support for the preparation and/or finalization and the implementation (in project areas and for the targeted value chains) of the following five priority strategic national programs: (i) Livestock Identification and Traceability System aiming at ensuring the harmonization, integration within the country and at regional level, and coordinated implementation of the animal Identification, traceability and performance recording 14 systems in the country; and support the preparation, and contribute to the implementation, of a roadmap to harmonization and integration of the various systems existing in Ethiopia. (ii) Priority Animal Disease Prevention and Control Program to support the prevention and control of major devastating diseases in the targeted value chains (i.e. the Newcastle Disease (ND) and the Peste des Petits Ruminants), by supporting the preparation of a ND control strategy and the implementation of said strategy in targeted areas; the extension in the highlands of the PPR Control Program currently implemented in the lowlands; and supporting the MoLF’s One Health program. (iii) National Feed and Forage Program. Once adopted, the project will support the implementation of the program contributing primarily to the development of the forage component of the program in the project areas. The project will support the MoLF in finalizing the overall strategy and implementation plan for a National Feed and Forage Development Program and contribute to the implementation of the said program, particularly the development and expansion of the forage component of the program in the project areas. (iv) National Breeding Program. The project will support the MoLF in finalizing the adoption of the National Breeding Policy and co-develop with smallholders and larger farmers’ breeding strategies to implement the policy in the Project areas. It will also support the progressive development in the project areas of a performance recording systems for small-scale dairy cows and ensure the promotion of the use of Animal Genetic Resources adapted to the agro-ecological and socio-economic situation prevailing within the targeted farming systems. (v) Aquaculture and Fisheries Master Plan. The project will support the preparation of an Aquaculture and Fisheries Master Plan3 and its implementation in selected project areas, including the development of sustainable fisheries co-management plans and the strengthening of fish handling and processing facilities to reduce post-harvest losses. The project will contribute to the implementation of the legal framework, rules and regulations on fisheries and aquaculture, and support capacity building in the inland fisheries and aquaculture sub-sectors. Sub-component B.5. Contingent Emergency Response aiming at support immediate and rapid response to an Eligible Crisis or Emergency, as needed. 3 Note that some identified activities and investments in fisheries and aquaculture will be implemented at the beginning of the project and will not depend on the completion of the Aquaculture and Fisheries Master Plan. 15 Component C: Project coordination, monitoring and evaluation, knowledge management (US$17 million) The objective of this component is to support project coordination, management, monitoring and evaluation, and learning needs. Sub-component C.1. Project Coordination. This window aims to support the Project implementation and coordination through financing of consulting services, goods, operating costs and training; Sub-component C.2. Monitoring, Evaluation and Knowledge Management to support the development of a Project progress and results monitoring and reporting system; the development of a Project monitoring and evaluation manual; and capacity development interventions and services, including organizing surveys (households, focus groups, participants of training events), conducting capacity needs assessments, facilitating action learning events, performing studies and analyses in relevant areas; and carrying out regular, mid-term and end of project progress evaluations, and a community and household survey. 2.2. Cost and Financing The total project cost is estimated at US$176 million equivalent, of which US$170 million will be financed through an IDA credit. The largest part of the IDA credit goes towards component A “Linking Farmers to Markets” (US$103 million4, 58.6 percent of total costs), followed by component B “Strengthening National Institutions and Programs” (US$56 million, 31.7 percent of total costs) and component C “Project Coordination, Monitoring and Evaluation and Knowledge Management” (US$17 million, 9.7 percent of total costs). The project reflects lessons learned from the design and implementation of various recent projects in Ethiopia with livestock and fisheries activities, including WB-funded AGP, AGP2, PCDP and RPLRP, and IFC-funded L-MIRA, and on the global knowledge brought by the World Bank Group and its partners in policy and institutional support, good practices in livestock5, fisheries and aquaculture (Box 3, Annex 1), as well as in linking farmers to markets6. Based on the various consultations held during project preparation, and for the livestock sector, intervention areas identified in the LMP, key investments to best contribute to achieving the ambitious goals established in the GTP 2 have been 4 Including price and physical contingencies. 5 Notably the ongoing LIPSAP in Vietnam for its successful GAHP approach 6 World Bank, 2016, Linking farmers to markets through Productive Alliances: an assessment of the World Bank experience in Latin America, Washington DC, USA 16 identified and organized around the proposed three inter-dependent components. The key lessons include the following: Recognizing the need to develop the capacity of the newly established MoLF and to enhance the capacity of national institutions and programs that are key in livestock and fisheries service delivery, the project has a dedicated component (A) focusing on capacity development. However, taking lessons from other projects in Ethiopia, to make capacity development most effective, all capacity building activities in this project will be preceded by rigorous need assessments. Component A is dedicated to strengthening the foundation of livestock and fisheries service delivery and to make the impact of this project sustainable in the long term. To strengthen the project’s ownership and coordination, LFSDP design follows lessons from AGP and AGP2. It will include project coordination units (PCU) up to Woreda level to effectively monitor, implement and evaluate the project. In regions, where other World Bank operations exist, PCUs will be aligned and coordinated with existing ones. Further, the project will establish a steering committee, and to build on existing knowledge and enhance learning, the project technical committees will be linked to existing technical committees from Rural Economic Development and Food Security (RED & FS) Sector Working Groups. Enhancing agribusiness investment and access to finance are necessary conditions to actualize commercialization of the livestock and fisheries sectors in Ethiopia. Lessons from previous projects show that building marketing infrastructures and assisting the formation of cooperatives and farmer groups are not enough to achieve commercialization. Groups are most successful when they have sound business plans, strong market linkages and improved access to finance. In this vein, the LFSDP includes a dedicated component (A) designed to increase agribusiness investment and value adding activities through strengthened commercial partnership. This component offers targeted productive partnership options to various value chain actors at beginning, intermediate and advanced levels. It focuses on building productive partnerships to facilitate the integration of individual/group of smallholder women and men farmers and fishermen and youth in the commercialization process. By bringing lessons from the productive alliance model, which was successfully implemented in Latin America, LFSDP is designed to make commercialization of the livestock and fisheries sectors more inclusive and sustainable. In addition, by engaging and collaborating with the IFC’s Agribusiness Leadership Program to assess and strengthen the entrepreneurial and agribusiness leadership skills of the cooperatives and farmer groups, LFSDP will strengthen capacity of these groups to supply consistently to buyers and to operate as businesses. Finally, when appropriate, the project will support beneficiaries to access micro-finance institutions (MFIs) and commercial banks for loan applications. 17 Lessons from AGP and AGP2 indicate that cross-cutting issues require specific interventions and clear targets to gauge progress. This project aims to have specific interventions targeting women and youth, and will include climate-smart livestock interventions (e.g. animal health, animal nutrition and genetic resources management) to increase productivity while reducing GHG emission intensities. 3. Legal, Policy and Administrative Framework 3.1. Constitution and Relevant Policies 3.1.1. Constitution The constitution of the Federal Democratic Republic of Ethiopia (FDRE) provides the overriding principles for all legislative frameworks in the country. The concept of sustainable development and the environmental rights of the people are protected in the constitution by the articles that stipulate the rights of peoples in the country. The concept of sustainable development and environmental rights are enshrined in article 43, 44 and 92 of the Constitution of FDRE. Article 43: The Right to Development identifies peoples' right to: • Improved living standards and to sustainable development; and • Participate in national development and, in particular, to be consulted with respect to policies and projects affecting their community. Similarly, in Article 44: Environmental Rights, all persons: • Have the right to a clean and healthy environment; and • Who have been displaced or whose livelihoods have been adversely affected as a result of State programs has the right to commensurate monetary or alternative means of compensation, including relocation with adequate State assistance. Moreover, in Article 92: Environmental objectives are identified as follows: • Government shall endeavor to ensure that all Ethiopians live in a clean and healthy environment. • The design and implementation of programs shall not damage or destroy the environment. • People have the right to full consultation and to the expression of views in the Planning and implementation of environmental policies and projects that affect them directly. • Government and citizens shall have the duty to protect the environment. 18 3.1.2. Environmental Policy of Ethiopia The goal of the Environmental Policy of Ethiopia is to improve and enhance the health and quality of life of all Ethiopians and to promote sustainable social and economic development through the sound management and use of resources and the environment as a whole so as to meet the needs of the present generation without compromising the ability of future generations to meet their own needs. For the effective implementation of the Environmental Policy of Ethiopia the policy encourages creation of an organizational and institutional framework from federal to community levels. The Environmental Policy of Ethiopia provides a number of guiding principles that require adherence to principles of sustainable development; in particular, the need to ensure that Environmental Impact Assessment: a) Considers impacts on human and natural environments; b) Provides for early consideration of environmental impacts in projects and programs design; c) Recognizes public consultation; d) Includes mitigation and contingency plans; e) Provides for auditing and monitoring; and f) Is a legally binding requirement. 3.1.3. National policy on pesticides As yet there is no specific policy instrument that deals with the production, storage and distribution and use of pesticides in Ethiopia. However, there is a general provision in the Environmental Policy of Ethiopia that highlight on the need for precaution measures with regard to hazardous chemicals, in which pesticides are also included. The most relevant provisions with regard to pesticides in the Environmental Policy Ethiopia are: a. To provide adequate regulation of agriculture (crop and livestock) chemicals and micro-organisms; b. To formulate and implement a country-wide strategy and guidelines on the management of wastes from the medical, agriculture and other sectors that may use potentially hazardous biological organisms, their fragments or chemicals, and to issue the necessary regulations to enforce them; c. To establish a system for monitoring compliance with land, air and water pollution control standards and regulations, the handling and storage of hazardous and dangerous materials, mining operations, public and industrial hygiene, waste disposal, and water quality; d. To maintain an up-to-date register of toxic, hazardous and radioactive substances, and to make the information available on request; e. To create by law an effective system of control, distribution, utilization and 19 disposal after use of expiry of chemicals, biological organisms or fragments of organisms that could be hazardous but are required for use; f. To hold as legally liable an employer who deploys employees in using or handling hazardous materials without adequately training them on how to deal with the hazard and without adequate equipment to protect each one of them from physical harm or disease that is caused by working conditions whether the harm or disease starts in the place of work or away from it; and g. To foster better understanding of the dangerous effects of chemicals and organisms and their fragments through the provision of information in a form understandable to users, and provide or enforce the provision of information on the appropriate methods and technologies for the treatment and disposal of wastes. Ethiopia has issued a Special Decree on pesticide registration and control (Special Decree no. 20/1990) in order to lay a scheme of control which would make it possible to minimize, to extent realizable, the adverse effect that utilization of pesticides might cause to humans, animals, plants and the environment. This Special Decree requires not only for pesticide registration and control but also promotes safer pesticide handling and use. As per the Special Decree, pesticide importers should obtain, from the MoANR, a license up on fulfillment of certain requirements including trained personnel, proper storage facilities, and safety devices. The Regional agriculture and natural resource Bureaus issue licenses to pesticide dealers and distributors with delegated authority from the Ministry. The Special Decree also requires that pesticide may not be allowed to enter the country unless it is packed and labeled as per the requirement. Furthermore, pesticide samples are taken and analyzed to confirm that the products meet the required quality standard. 3.1.4. Growth and Transformation Plan and Strategic Programs As a vehicle towards the realization of Ethiopia’s vision of becoming lower middle income country by 2025, GTP II is built on Sectoral Policies, Strategies & programs, lessons drawn from the implementation of the first GTP, the post-2015 sustainable development goals. It has also taken into account global & regional economic situations with direct or indirect bearings on the Ethiopian economy. The overarching objective of GTP II is the realization of Ethiopia’s vision of becoming a lower middle income country by 2025. Thus, GTP II aims to achieve an annual average real GDP growth rate of 11 percent within stable macroeconomic environment while at the same time pursuing aggressive measures towards rapid industrialization and structural transformation. GTP II appreciated that Agriculture would remain the major source of growth through increasing productivity within the crop and livestock subsectors. Emphasis will be given for scaling up best practices of model farmers so as to massively enhance agricultural productivity among smallholder farmers and special efforts will be made towards 20 increasing the production of high value crops through increasing productivity. The transformation pathway used by LFSDP is in line with the GTP focus area of transforming product and productivity of smallholder farmers. LFSDP will support the preparation or finalization and the implementation (in the project areas and for the targeted value chains (VCs) of the following five pre-identified priority Strategic National Programs (SNPs) : a) Animal identification, traceability and performance recording (SNP1) b) Animal health program (SNP2) c) National forage development (SNP3) d) Dairy-meat and poultry breeding program (SNP4) e) Sustainable fisheries management and biodiversity conservation (SNP5) 3.1.5. Ethiopia’s Climate Resilient Green Economy Strategy To cope with the prevailing environmental problems such as land degradation and climatic hazards (rainfall fluctuation, increasing temperature, flooding), and speed up its socioeconomic development, the Government of Ethiopia has planned a climate-resilient green economy as a development strategy. This development direction promotes environmental protection, reducing fossil fuel consumption and minimizing GHG emissions. The major share of GHG emission in Ethiopia is occupied by the livestock sector. Implementation of GAHP activities such as improving livestock health, feed quality and the use of artificial insemination (AI) in LFSDP would help improve livestock productivity and in turn contribute in minimizing GHG emissions. This will be monitored and verified further during project implementation through the project’s M&E system. Ethiopia has also committed itself to minimize GHG emissions through signing the Kyoto protocol and other international climate change treaties at Copenhagen and Paris. 3.2. Environmental Proclamations Environmental Protection Organs Establishment Proclamation, No. 295/2002 The proclamation was made to re-establish the federal Environmental Protection Authority (EPA), to establish Sectoral Environmental Units and Regional Environmental Protection Agencies. The authority is recently restructuring as Ministry of environment forest and climate change (MEFCC). The former FEPA was established to formulate policies, strategies, laws and standards, which foster social and economic development in a manner that enhance the welfare of humans and the safety of the environment, sustainable development projects and to spearhead in ensuring the effectiveness of the process of their implementation. The former Federal Environmental Protection Authority, among others, has the powers and duties to: 21 ➢ Coordinate measures to ensure that the environmental objectives provided under the Constitution and the basic principles set out in the environmental Policy of Ethiopia are realized; ➢ Prepare, review and update, or as necessary, cause the preparation of environmental policies strategies and laws in consultation with the competent agencies, other concerned organs and the public at large and upon approval, monitor and enforce their implementation; ➢ Liaise with competent agencies in the field of environmental protection and rehabilitation and support them in capacity development; ➢ Establish a system for environmental impact assessment of public and private projects, as well as social and economic development policies, strategies, laws, and programs; and ➢ Provide advice and support to regions regarding the management and protection of the environment. Sectoral Environmental Units: Every competent agency (sectoral) is required by the Proclamation No. 295/2002 to establish or designate an environmental unit that shall be responsible for coordination and follow up so that the activities of the competent agency are in harmony with this Proclamation and with other environmental protection requirements. Accordingly, some sectoral agencies (e.g., MoANR) have now at least environmentalist to deal with environmental issues. Other ministries like Ministry of Mines and petroleum, Ethiopian Road Authority, and others have environmental unit for the same purpose. As a new ministry, MoLF is expected to establish Environmental and Social units which are currently non-existent. LFSDP will recruit Environmental and Social safeguards experts to oversee Environmental and social issues of the project implementation. Regional Environmental Protection Agencies (REPAs): The Proclamation No. 295/2002 decrees that each national regional state shall establish an independent regional environmental agency or designate an existing agency that shall, based on the Ethiopian Environmental Policy and Conservation Strategy and ensuring public participation in the decision-making process. REPAs currently known as Regional Environment, forest climate change Bureaus REFCCBs are responsible for: ➢ Coordinating the formulation, implementation, review and revision of regional conservation strategies; ➢ Environmental monitoring, protection and regulation; ➢ Ensuring the implementation of federal environmental standards or, as may be appropriate, and issue and implement their own no less stringent standards; and ➢ Preparing reports on the respective state of the environment and sustainable development of their respective states and submits the same to the Authority. Environmental Impact Assessment Proclamation, NO. 299/2002 22 The Environmental Impact Assessment (EIA) Proclamation was decreed in December, 2002 in order to make ESIA a mandatory procedure for projects to be undertaken by the government, public or private entities that require environmental and social impact analysis. The Proclamation elaborates on considerations with respect to the assessment of positive and negative impacts and states that the impact of a project shall be assessed on the basis of the size, location, nature, cumulative effect with other concurrent impacts or phenomena, trans-regional context, duration, reversibility or irreversibility or other related effects of a project. Based on directives or guidelines pursuant to this proclamation, projects will be categorized as: ➢ Projects that are not likely to have negative impacts, and thus do not require environmental impact assessment; and ➢ Projects those are likely to have negative impacts and thus require environmental impact assessment. As per the procedures in the proclamation, a proponent is required to undertake a timely environmental and social impact assessment (ESIA), assess the possible adverse impacts of the proposed project, and propose the means of mitigation, and shall submit the study report to the relevant body (MEFCC or REFCCB) for review and decision. It is also a requirement that ESIA reports be prepared by a consultancy firm that meet the requirements specified under any directive issued by the Authority (regional/federal) and also show certificate issued by MEFCC. Jurisdictions in the Proclamation: The regional environmental agency or REFCCB, in each region shall be responsible for the evaluation and authorization or any ESIA report and the monitoring of its implementation if the project is not subject to licensing, execution and supervision by a federal agency and if it is unlikely to produce trans-regional impact. Rural land Administration and Use Proclamation, No.456/2005 The main aim of the Proclamation is to conserve and develop natural resources in rural areas by promoting sustainable land use practices. In order to encourage farmers and pastoralists implement measures to guard against soil erosion, the Proclamation introduces a Rural Land Holding Certificate, which provides a level of security of tenure. The MoANR is tasked with implementing the Proclamation by providing support and co- coordinating the activities of the regional governments. Regional governments have an obligation to establish a competent organization to implement the rural land administration and land use law. Accordingly, the regional and woreda/district Environmental protection office or equivalents are responsible for rural land administration. The Proclamation states that if a land, that has already been registered, is to be acquired for public works or for investment, compensation commensurate with the improvements made to the land shall be paid to the land use holder or substitute land shall be offered. The Proclamation imposes 23 restrictions on the use of various categories of land, for example wetland areas, steep slopes, land dissected by gullies, etc. Proclamation on Expropriation of Landholdings for Public Purposes and Payment of Compensation: Proclamation 455/2005 Prior to this proclamation, no specific legal framework existed relating to expropriation and compensation. As a result, there have been serious shortcomings in the processes associated with land expropriation, resettlement and associated compensation payments in Ethiopia. The proclamation address issues related to Public Domain Entitlement, Property laws, Land asset classification and valuation, customary laws, Procedures for expropriation, Procedures for grievance redress. The proclamation establishes the legal principles and framework for expropriation and compensation. Regulation for the payment of Compensation for property Situated on Landholdings Expropriated for public purposes: Regulation No. 135/2007 This regulation describes the detail implementation procedures in when settling issues related to Public Domain Entitlement, Property laws, Land asset classification and valuation, customary laws, Procedures for expropriation, Procedures for grievance redress. The regulation provides the procedures for application of Proclamation No 455/2005. Environmental Pollution Control Proclamation, No. 300/2002 The aim of the proclamation is to control and manage possible causes of environmental pollution from hazardous substances, waste and any other forms of pollutants that pose serious environmental, social and health threats. The proclamation has important provisions on environmental standards, inspection procedures, offences and penalties, etc. In its provision to control pollution, the proclamation states that, among others: ➢ No person shall pollute or cause any other person to pollute the environment by violating the relevant environmental standards, ➢ The Authority or the relevant Regional environmental agency may take an administrative or legal measure against a person who, in violation of law, releases any pollutant to the environment. Solid Waste Management Proclamation, No. 513/2007 This proclamation aims to promote community participation to prevent adverse impacts and enhance benefits resulting from solid waste management. It provides for preparation of solid waste management action plans by urban local governments. Ethiopian Water Resources Management Proclamation, No. 197/2000 24 The proclamation is decreed to ensure that the water resources of the country are protected and utilized for the highest social and economic benefits of the people of Ethiopia, to follow up and supervise that they are duly conserved, ensure that harmful effects of water are prevented, and that the management of water resources is carried out properly. It proclaims that all water resources of the country are the common property of the Ethiopian people and the state. It has provisions on general principles of water use and management, inventory of water resources, professional engagement in water resource management and supply. Among other articles, the proclamation clearly indicates requirements on water bank management and prevention of harmful effects on water resources in the articles 24 and 25 of the proclamation. The supervising body (the Ministry Water, Irrigation and Energy), in collaboration and in consultation with the appropriate public body may: ➢ Delimit the boundaries of the banks of certain water bodies; ➢ Prohibit clearing and cutting trees or vegetation and construction of residential houses within the delimited banks of water bodies; ➢ The appropriate public bodies shall, before allowing or causing the founding of towns or villages, request the supervising body for technical advice in order to prevent or avoid damages, adverse impacts or accidents which may occur as a result of floods and other factors related to water. Pesticide Registration and Control Proclamation: Proclamation No. 674/2010 This Proclamation: ➢ Covers agricultural, household, public health, and industrial pesticides; ➢ Provides registration and control responsibilities to the Ministry of Agriculture; ➢ Seeks to promote safer pesticide handling and use in the country; ➢ Requires that all pesticides should be registered on the basis of demonstrated product effectiveness and safety for humans, non-target organisms and the environment; ➢ Prohibits importation of highly hazardous, severally restricted or banned pesticides (including most Organochlorines); and ➢ Obliges that all pesticides must display labels that meet specific Ministry of Agriculture label requirements. Labor Proclamation 377/2003 The Labor Proclamation (which was revised in 2003) provides the basic principles which govern labor conditions taking into account the political, economic and social policies of the Government, and in conformity with the international conventions and treaties to which Ethiopia is a party. The proclamation under its Part Seven, Chapter One, Article 92 of this proclamation deals with Occupational Safety, Health and Working Environment, 25 Prevention Measures and Obligations of the Employers. Accordingly, the Proclamation obliges the employer to take the necessary measure for adequate safeguarding of the workers in terms of their health and safety. Moreover, the Occupation Health and Safety Directive (MOLSA, 2003) provides the limits for occupational exposure to working conditions that have adverse impacts on health and safety. Public Health Proclamation (200/2000) The Public Health Proclamation comprehensively addresses aspects of public health including among others, water quality control, waste handling and disposal, availability of toilet facilities, and the health permit and registration of different operations. The Proclamation prohibits the disposal of untreated solid or liquid hazardous wastes into water bodies or the environment that can affect human health. 3.3. Environmental and Social Impact Assessment Guidelines and Directives MEFCC has published series of ESIA guidelines for the different sectors outlining the key issues, principles, procedures and processes to be adopted and adhered to avoid and/or mitigate potentially negative environmental and social impacts during project planning, implementation and operation by government, public and private entities. Some of the guidelines are generic and applicable in different sectors and there are also sector specific guidelines prepared for key environmental and social issues to adhere during the ESIA analysis in those specific sectors. Environmental Impact Assessment Guideline, May 2000 The guideline provides the policy and legislative framework, the general ESIA process and key sectoral environmental issues, standards and recommendations for environmental management in key sectors such as agriculture, industry, transport, tannery, dams and reservoirs, mining, textiles, irrigation, hydropower and resettlement projects. Environmental and Social Management Plan Preparation Guideline, Nov. 2004 he guideline provides the essential components to be covered in any environmental management plan (e.g., identified impacts, mitigation measures, monitoring, capacity building, etc.) Similar guidelines for the different sectors include the following: ➢ Environmental and Social Impact Assessment Guidelines for Dams and Reservoirs, 2004 ➢ Environmental Impact Assessment Guideline for Fertilizer, 2004 ➢ Guidelines for Social, Environmental and Ecological Impact Assessment and Environmental Hygiene in Settlement Areas, 2004 ➢ Environmental Impact Assessment Guidelines on Irrigation, 2004 26 ➢ Integrated Environmental and Social Impact Assessment Guidelines Livestock and Rangeland Management, 2004 ➢ Environmental Impact Assessment Guideline for Mineral and Petroleum Operation Projects, December 2003 ➢ Environmental Impact Assessment Guideline On Pesticides, May 2004 ➢ Environmental Impact Assessment Guidelines on Road and Railway, 2004 ➢ Environmental Impact Assessment Guidelines on Forestry, 2004 Directive Issued to Determine Projects Subject to Environmental Impact Assessment, Directive No.1/ 2008 The directive was issued to identify and list out those investment projects subject to mandatory Environmental Impact Assessment. The regions are entitled to issue similar directive to their own specific cases based on this directive. Extensive list of project types requiring ESIA are provided in this directive. 3.4. International Conventions Ratified by Ethiopia Ethiopia has ratified several international/multilateral environmental conventions and many of the principles and provisions in those conventions have been well addressed in the national environmental policies and regulations. Some of these conventions include the following: ➢ Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters, Done at Aarhus, Denmark, On 25 June 1998 ➢ Cartagena Protocol on Bio-Safety to the Convention on Biological Diversity ➢ Convention on Biological Diversity, Rio, 5 June, 1992 ➢ Kyoto Protocol to the United Nations Framework Convention on Climate Change ➢ United Nations Convention to Combat Desertification ➢ UN Framework Convention on Climate Change ➢ Convention for the Protection of the World Cultural and Natural Heritage Paris, 23 November 1972 Ethiopia is party to four international conventions, which directly or indirectly deal with pesticides production and use. These include: i. Persistent Organic Pollutants of Stockholm Convention, which tries to completely eliminate organochlorine and other equally dangerous organo- halogen chemicals from the earth. ii. Bamako Convention, which prohibits the importation of hazardous wastes into, and their movement in, Africa. iii. Basel Convention, which strictly regulates the movement of hazardous waste 27 globally. Recently, it has incorporated the prohibition of the importation of hazardous wastes into developing countries from the Bamako Convention. iv. The first Prior Informed Consent or Rotterdam Convention, which tries to ensure that anybody buying a chemical has complete and accurate information about the nature and impacts of that chemical before he/she decides and notifies his/her consent in writing to the exporter. 3.5. World Bank Safeguard Policies 3.5.1. World Bank Policies Triggered by LFSDP The ESMF will be required to comply with not only the relevant national policy and legal frameworks but also with the applicable environmental and social safeguard policies of the World Bank. In this section, the Bank's applicable environmental and social safeguards policies and their applicability are discussed. In preparing this ESMF, a consideration of the type investments planned vis-a-vis the baseline data presented previous section above and the requirements of the Bank Safeguard policies, has led to the determination that the following Bank policies are triggered by LFSDP for which brief descriptions of each of the policies is described following the list. ➢ Environmental Assessment (OP/BP 4.01) ➢ Natural Habitats (OP/BP 4.04) ➢ Pest Management (OP/BP 4.09) ➢ Physical Cultural Resources (OP/BP 4.11) ➢ Involuntary Resettlement (OP/BP 4.12) ➢ Underserved People (OP/BP 4.10) Environmental Assessment (OP/BP 4.01): This policy requires environmental assessment (EA) of projects proposed for Bank financing to help ensure that they are environmentally sound and sustainable, and thus to improve decision making. The EA is a process whose breadth, depth, and type of analysis depend on the nature, scale, and potential environmental impact of the proposed investments under LFSDP. The EA process takes into account the natural environment (air, water, and land); human health and safety; social aspects (involuntary resettlement, indigenous peoples, and cultural property). According to the World Bank, projects are classified into three categories (A, B, and C) based on the type, location, sensitivity and potential environmental impacts. This classification of projects also coincides with the Ethiopian classification but naming differently as schedule 1, 2 and 3. The definition of projects or categorization for the World Bank and MEFCC is similar. Environmental assessment should be conducted for projects which fall under the World Bank Category A & B; and also for the schedule 1&2 of MEFCC. 28 Category ‘A’ projects: The project is likely to have adverse environmental and social impacts that are diverse, sensitive and unprecedented affecting broader area than implementation sites. A full ESIA is always required for projects that are in this category, and for which impacts are expected to be ʹadverse, sensitive, irreversible and diverse with attributes such as pollutant discharges large enough to cause degradation of air, water, or soil; large‐scale physical disturbance of the site or surroundings; extraction, consumption or conversion of substantial amounts of forests and other natural resources; measurable modification of hydrological cycles; use of hazardous materials in more than incidental quantities; and significant involuntary displacement of people or other significant social disturbances. Category ‘B’ Projects: The potential environmental impacts on humans and sensitive areas (wetlands, forests, natural habitats, etc.) are less adverse, site specific, few if any are irreversible. Even though an ESIA is not always required, some environmental analysis is necessary and some form of environmental management plan needs to be prepared with recommended measures to prevent, minimize, mitigate or compensate for adverse impacts. Typical projects include renewable energy; irrigation and drainage (small-scale), rural water supply and sanitation, watershed management or rehabilitation projects, rehabilitation, maintenance, or upgrading of projects (small-scale), rather than new construction. Category ‘C’ Projects: There are no or minimal adverse environmental and social impacts. Such projects may not need ESIA other than screening. Typical projects include education, family planning, health, nutrition, institutional development, technical assistance, and most human resource projects. Such projects will not directly cause disturbance of the physical environment and biological components and do not need environmental assessment. LFSDP is assigned as EA Category “B” given that significant adverse environmental and social impacts are not expected to occur due to the nature of the proposed sub-project activities (e.g., institutional development, introduction agricultural productivity enhancement technologies, agri-business development, small/medium abattoirs, fish hatcheries, milk collection centers, etc) as indicted in the project design document. Therefore, this ESMF sets out to establish the Environmental and Social Assessment (ESA) process to be undertaken for implementation of project activities in the proposed LFSDP when they are being identified and implemented. This process requires that LFSDP and its implementing partners screen project activities to identify their potential adverse impacts and thereby determine the corresponding mitigation measures and prepare Environmental and Social Management Plan (ESMP) to mitigate adverse environmental and social impacts. 29 Natural Habitats OP/BP 4.04: This policy is triggered by any project (sub-project) with the potential to cause significant conversion (loss) or degradation of natural habitats (protected or unprotected ecologically valuable habitats), either directly through construction or indirectly through human activities induced by the project. The natural habitats are land and/or water areas where the biological communities are formed largely by native plant and animal species, and human activities have not essentially modified the primary ecological functions. Natural habitats have important biological, social, economic, and existence value. This policy is triggered based on the assumption that there could be sub-projects with the potential to cause significant conversion (loss) or degradation of natural habitats, whether directly (through construction) or indirectly (through human activities induced by the project). The project regions encompass some critical natural habitats/national parks which are protected by law, such as Simian Mountains, Alatish, Bahir Dar Blue Nile river Millennium, Borena saynt (Amhara), Dati Wolel, Yabello, Awash, Bale Mountains and Abijata lakes (Oromia), Omo, Nech sar, Mago, Chebera Churchura, Maze (SNNPR), Kafeta Shiraro (Tigray) and Gambela national parks (Gambella). There are also many more type of natural habitats such as wildlife sanctuaries, wildlife reserves, controlled and open hunting areas and community conservation areas located in the project regions. In addition, one of the major value chains targeted by the project is fishery production which may significantly affect aquatic habitats such as lakes and wetlands which are known to support different organisms including native and migratory bird species. Major aquatic resources in the project regions include lakes (Tana, Abiya, Chamo, Ziway and Shalla), reservoirs (Koka and Fincha-Amerit) and rivers (Wabi Shebele, Abay, Omo and Tekeze). In addition, there are numerous streams and tributaries. It is possible that the project may operate in Woredas that border upon areas such as those mentioned above. The project will not finance any activity in critical natural habitats or those in the periphery likely to negatively affect these terrestrial and aquatic ecological systems. Similarly, the ESMF will include mitigation measures to be in place for protecting even non-critical habitats, in rare cases when there are no alternatives to perform its interventions except the non-critical habitats. Introduction of genetically modified and/or exogenous species of fishes, livestock, poultry and their inputs by the project should be carefully planned and given special attention for minimizing adverse impacts of invasive species on natural habitats. Sub-projects involving significant conversion of natural habitats or if an environmental assessment indicates that a proposed sub‐project would significantly convert or degrade natural habitats, the proposed sub‐project will not be eligible for financing under LFSDP. Pest Management (OP 4.09): The project triggers this policy in two ways: (1) procurement of pesticides or pesticide application equipment is envisaged, and (2) an operation may lead to substantially increased pesticide use. Project funds may be used to purchase and distribute pesticides for control of vectors of livestock /animal diseases and 30 agrochemicals for improved production of forage and feed, and it is likely that more generally support through the project will encourage smallholder farmers, and veterinary service providers to use more pesticides and chemicals. OP 4.09 (pest management policy) requires that the borrower needs to identify pesticides that may be financed under the project and develop appropriate pest management plan. Moreover, Ethiopian legislation requires that all pesticides to be used in the country should be registered by the respective authority (Ministry of Agriculture and natural resource- MoANR) on the basis of demonstrated product effectiveness and safety for humans, non-target organisms and the environment. The ESMF will contains a section on IPMP that elaborates on what actions need to be undertaken including consulting the public to ensure that health and environmental hazards associated with pest management, especially the use of pesticides, are minimized and can be properly managed by the user. In view of this, integrated pest management tools and manuals developed for certain crops and livestock by the Ethiopian MoANR in collaboration with the UN Food and Agriculture Organization (FAO) will be used consulted to prepare IPMP of the project and train chemical users. Physical Cultural Resources (PCRs) OP 4.11: This policy addresses physical cultural resources, which are defined as movable or immovable objects, sites, structures, groups of structures, and natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. The proposed subprojects in selected value chains would be unlikely to involve large scale excavation, construction/rehabilitation or inundation and are thus not likely to significantly affect physical cultural resources. The policy is triggered because LFSDP supports small scale infrastructure sub-projects such as Abattoirs, Milk collection centers, fish hatcheries and many more to be identified and financed through basic and advanced business plans of the four VCs in component B, which may potentially affect PCRs. Cultural heritage resources are normally not fully known during project preparation, but infrastructure subproject as indicated above may be located in the influence area of some sites. Some of the most important PCRs are indicated in the section which describes about baseline environmental and social conditions. This policy requires that whenever physical cultural resources are encountered an investigation and inventory of cultural resources potentially affected need to be carried out. Mitigation measures need to be included where there are adverse impacts on physical cultural resources. Prior identification and protection of these PCRs will be an integral part of Environmental Assessment to be undertaken for each sub-project. This ESMF provides a clear procedure for identification, protection and treatment of PCR discovered. These procedures will be included in the TOR to carry out ESA and ESMP. When ESA is conducted for specific LFSDP subprojects, the regional and Woreda cultural and tourism bureau (at regional level) and/or office (at the Woreda level) should be consulted depending 31 at what level the subproject is implemented. These respective bureau or office shall also comment on the ESA and ESMP reports. Furthermore, for each sub-project public consultation will be undertaken with local people who would give great importance to safeguarding their cultural resources and properties. The Project team and contractors will follow national procedures and guidelines and ESMF procedures for reporting chance finds, in the event of any physical cultural resources are sighted. A national entity for coordinating and facilitating the archiving, safekeeping and documentation of physical cultural resources, ARCCH, has been in existence and operational for a long time and will provide advice to the project, particularly in the event that chance finds are made. It is required by Ethiopian legislation that ARCCH should be aware of and/or approve any developmental activity which may affect physical cultural resources; such resources are found by chance. In the event that there could be potential impact on a physical cultural resource, the project will take the necessary steps of carrying out public consultations, engaging with cultural or religious leaders and notifying local authorities to seek their consent before any decision on and implementation of subproject is made. Involuntary Resettlement OP/4.12: LFSDP may require land for different purposes including placing aquaculture ponds, small scale farms, abattoirs, milk collection centers, fish hatcheries and other sub-projects to be identified further from business plans. These may not necessarily cause large scale involuntary land acquisition and property losses due to their nature and scale OP 4.12 is however triggered by the project since there could be involuntary taking of land that results in direct social and economic impacts such as: relocation Loss of assets or access to asset, Loss of income sources. Since the project sites are not known, therefore, to address potential scope of impacts on loss of economic activities, land acquisition and/or relocation, the project will avoid adverse impacts on people, land and other economic resources and on livelihoods by preparing a Resettlement Policy Framework (RPF). The RPF will be consulted upon and reviewed and cleared by the World Bank before it is disclosed publicly in Ethiopia and the Bank’s Info shop prior to project appraisal. In cases where impacts are known, the project will Resettlement Action Plan, based on the guidance and standards set forth in the RPF, and the RAP will also be reviewed and cleared by the World Bank prior to implementation of any compensation actions or civil works Underserved People policy- OP4.10: In relation to the applicability and the requirements of OP4.10, the policy is triggered because it was expected that the physical and sociocultural characteristics of the proposed sites and some of the people living in the project area meet the policy requirements. This leads to the requirement of conducting social assessment which so far identified that community members living in some project regions such as Amhara, Oromia and Gambella can be considered as historically 32 underserved/vulnerable groups. It is required that free, prior and informed consultation should be held during social assessment process leading to broad community support to the project. The project is also being prepared in the context of the Ethiopian constitution which recognizes the presence of disadvantaged ethnic groups and vulnerable/historically underserved groups in different parts of Ethiopia. Social Assessment: As a requirement of OP4.10 a social assessment is being conducted by GOE to identify major social issues that should be considered in the project cycle management. It included consultations with potential project beneficiaries and project affected peoples (including those identified as vulnerable and historically underserved groups) to seek broad support from these groups. The progress report of the social assessment generally indicates that the project is considered to be relevant and beneficial for selected sites and people. These culturally distinct communities also hope that LFSDP will be designed in their case in such a way that it responds to their peculiar livelihood strategies, livestock and fisheries resource management and exploitation practices and social organization. More specifically, the social assessment conducted so far highlighted the following as the major challenges which may prevent them from fully benefited by the project interventions: (i) Lack of Input resources: the resources considered as major inputs includes water and animal feeds. Lack of potable water supply has been mentioned as a challenge in most target woredas visited during social assessment. The other major challenge mentioned was high cost and poor quality of animal feeds. This may result in higher input costs compared to its final product/output which could discourage farmers being involved in those activities promoted by the project. (ii) Animal Diseases: Animal disease is another challenge mentioned in the visited areas. This is further aggravated by lack of animal health posts, clinics and laboratories, vaccines and drugs. In some areas where these animal health facilities are available, there is a shortage of professionals who would provide the required service to the farmers. (iii) Poor product market network: The project interventions may result in increased productivity of livestock, dairy, poultry and fishery. However, local farmers raised their serious concern over low market demand and poor market network for their products. Many reasons were mentioned for the challenge including traditional market system, increasing product prices (due to input costs) intrusion of illegal brokers and local lifestyles which in which it is uncommon to use these products, unless during special occasions. Other challenges mentioned were (iv) Knowledge and skill requirement for operation and maintenance of aquaculture and (v) Gender Inequality and Workload on Women. In addition, the World Bank Group General Environmental Health and Safety Guidelines as well as Industry Sector Guidelines for Agribusiness/Food Production (Annual Crop Production, Aquaculture, Dairy Processing, Fish Processing, Mammalian Livestock Production, Perennial Crop Production, Poultry Processing and Poultry Production) are also being referenced to and applied in the project. 33 3.5.2. World Bank Policies not triggered by LFSDP World Bank safeguard policies which are not triggered by LFSDP include projects on International Waterways (OP/BP 7.50), Projects in disputed areas (OP/BP 7.60), Forests (OP 4.36) and Safety of Dams (OP 4.37) policies because the project does not support activities with the nature to trigger these policies. . 3.6. Public Disclosure The World Bank procedure requires a public disclosure of the ESMF prior to project appraisal for a project like LFSDP. This process: ➢ Ensures that the public and other stakeholders are allowed to comment on the potential environmental and social impacts of the project, ➢ Enables the Appraisal Team to enhance the ESMF, i.e., its measures and plans to prevent or mitigate any adverse environmental and social impacts As a result of this procedure; the community, the Kebele Development Committee (KDC), the Woreda LFSDP SC and TC; regional LFSDP TC, and other interested parties are consulted during the preparations of this ESMF. The ESMF will be disclosed to all of these stakeholders at their level and at the national level disclosure workshop; and at the ministry’s website (WWW.MoLF.gov.et). The ESMF will also be disclosed at the Bank’s Info Shop prior to project appraisal. The summary of this ESMF will be translated to the local languages of the respective regions targeted by LFSDP and will be disseminated to the general public during the first year of project implementation. Similar disclosure mechanisms will be used to disseminate all safeguard documents, tools, guidelines, audit reports, assessment reports and management plans to be developed further during project implementation. 4. Environmental and Social Baseline Conditions Since LFSDP is implemented in 6 target regional states which are already included under AGP-II, baseline environmental and social conditions described under ESMF of AGP-II was directly adopted to this section of the report. The environmental and social baseline condition of LFSDP intervention is briefly described as below. 4.1. Physical Environment 4.1.1. Climate Lowland LFSDP intervention regions experience high temperature and low precipitation; whereas, highlands experience amiable temperature and ample rainfall. In general, mean annual temperature in the 6 regions varies from less than 100c in high altitudes (cool) to 34 over 300c in tropical lowlands. Generally, the regions experience annual temperature ranging from 100C to 300C, with mean annual temperature of 190C, where the highlands and mountainous areas in the regions receive lowest mean annual temperature, while lowlands and valley bottoms get highest mean annual temperature records. The amount, duration and intensity of rainfall in LFSDP regions vary considerably. The annual rainfall in the regions ranges from 303-2553 mm where the highest rainfall record is observed in the highland areas while the lowest precipitation amount is recorded in the lowland parts of the regions. 4.1.2. Soil and Geology Though there are a number of soil types found in the LFSDP intervention regions, the major soil types includes Nitosols, Vertisols, Cambisols, Acrisols, Luvisols, Lithosols, Aluvisols, Arenosols and Regolsols. In general, most of the soils are of good agricultural potentials. However, soils on the highlands of the regions have been subjected to serious erosion due to human activities (deforestation, over cultivation, poor farming practices, etc). The Precambrian, Palaeozoic, Mesozoic, and Cenozoic rocks are the three main geologic formations found in the LFSDP regions. Proterozoic rock formation is also found in the Tigray regional state. 4.1.3. Water Resources (River Basin and Lakes) LFSDP intervention regions have abundant surface and ground water resources potential. Large areas of the regions are drained by many major rivers, streams and lake basins. The main river basins in the LFSDP regions includes Nile/Abay/Basin, Baro Basin, Gibe/Omo/Basin, Awash Basin, Wabi Shebele Basin, Genale basin, Rift Valley Basin, and Segan Basin all found in Oromia region; Abay River / Blue Nile/, Tekeze River Jema river and Awash River basins which are found in Amhara region; Baro-Akobo, Omo-Gibe, Genale and Rift Valley drainage basins and the Awash basin found in SNNPR regions; and Tekeze, Mereb and Denakil basin found in Tigray region. There are also a number of sub- basins and tributary rivers. There are a number lakes found in LFSDP intervention areas like Lake Tana, Zengena and Haik in Amhara region; lake Abaya-the largest rift valley lake in Ethiopia, Chamo, Awassa, and Rudolf in SNNPR; Ashengie lake in Tigray region; and Ziway/Dembel, Abijata, Shalla, Langano, Beseka, Abaya, Istifani and Awasa (the last three lakes shared with Oromia region) found in SNNPR; lake Chukala, Hora (Kilole), Bishoftu (Babogeya), Hora Oda (Arsede), Megerisa, Wenchi and Dendi in Oromia region. In addition to terrestrial water (rivers and lakes), the regions have also high potential of underground water. Particularly Bacho Plains (in West and South West Shewa of Oromia region) and Rift Valley areas (East Shewa and Borena of Oromia region) have huge underground water potential. Bacho plains and Rift Valley are the 35 second and third largest, respectively at national level regarding their underground water reserve. 4.2. Biological Environment 4.2.1. Forests There are priority forest areas, plantation forests, bushes and shrubs found in these LFSDP intervention regions. Out of the 58 National Forest Priority Areas of the Country, 49 are found in Oromia (some in LFSDP intervention areas and some not). Their areal coverage accounts for about .1% of the total surface area of the Region. The region has forest of rich biodiversity like Harena (Bale), Chilimo (West Shewa,Dendi woreda), Yayu (Ilu Abba Bor), Dindin (West Wellega), Anfarara (Guji), Munessa (West Arsi) and Menagesha Suba (Finfinne Surrounding, Wolmera woreda ) forests. Keffa, Bench Maji and Sheka zones forest are among the few remnant wet Afromontane forests of Ethiopia. The natural forest in Amhara Region is heavily depleted and degraded by intensive human interference, mainly for agricultural purpose and for energy (firewood) production. Currently less than 10% of the total estimated forest area is considered to be natural forest in the Region. To conserve and sustainably utilize the resource the region identified 17 priority forest areas which comprise both natural and plantation that are used for source of seed and commercial. Tigray region has 6 state forests. These are Wujig-Mahgo-Waren natural forest (in Southern zone); Hugumburda-Gratkahassu (Southern), Hirmi (North Eastern), Waldiba (North Western), Asimba (Eastern) and Desia (Eastern zone). 4.2.2. Parks In LFSDP intervention regions, there are a number of national parks, regional parks, sanctuaries, wildlife reserve areas, and controlled hunting areas. In Oromia region there are three national parks (Bale Mountains, Awash and Abiatha Shalla) and regional (Dhera Zilfekar), five sanctuaries (Sankalle, Yabello, Babile, Erer-fafen and Kuni Muktar) and three wildlife reserves (Awash, Bale and Chelbi) and many controlled hunting areas that hosted mammals, birds, grazers, browsers and hunters. Tigray region has one national park which is Kafta-Sheraro national park (in Western and North Western zones). Siemen Mountains National Park and one regional park (Halatish) are found in Amhara regional state. SNNPR encompasses 5 national parks (Mago National Park, Nechsar National Park, Omo National Park, Chebera Churchura, and Maze Park), 2 wild life reserves (Chewbahir, and Tana) and 6 controlled hunting areas (Akobo, Boyo Swamp, Maze sheleko, omo West, Murle, and segen). In Gambella region, Gambella National Park, which is the largest protected area in Ethiopia, is found. 36 4.2.3. Flora The most common tree/shrub species found in the above parks and forests are: Croton macrostachyus, Phonix reclinata, Vepris dainelli, Sapium ellepticum, Pouteria adolfifriedericii, Chionanthus mildbraedii, Draceaena steudneri, Schefflera volkensii,Milletia ferruginea, Chionanthus mildbraedii, Macaranga capensis, and Psychotria orophila, Ole Africana, Juniperous procera, Podocarpus Falcatus, Acacia species, HygeniaAabyssinica, Ximenia American and Ficus. Endemic plants found especially in the Bonga, Bogineda and Mankira forest of the SNNPR include: Erythrina brucei, Milletia ferruginea, Solanecio gigas, Tiliacora troupinii Menispermaceae, Vepris dainelli, Aframomum corrorima, Brillantaisia grotanellii, Satureja paradoxa , Vernonia tewoldei, Mikaniopsis clematoides, Lippia adoensis, Clematis longicauda, Pilea bambuseti ssp aethiopica, Pentas tenuis, Dorstenia soerensenii, Phyllanthus limmuensis, and Cyrtorchis ehrythraeae. 1.2.4. Fauna In Oromia region, Awash National Park alone has 400 species of birds and 46 species of animals like lion, Vervet Monkey, Beissa Oryx, Greater Kudu, Lesser Kudu, Swayne’s Hartebeest, amadryas Baboon, Anubis Baboon, Waterbuck and Salt’s Dik-dik. Bale Mountains National Park, has 200 bird species (like Wattled Ibis, Black-winged, Lovebird, Wattled Crane, Rouget’s Rail, etc) and 46 mammals including Mt. Nyala, Red Fox, Menelik’s Bushbuck, Duiker, Warthog, Leopard, Bohor Reedbuck, Serval Cat, Colobus Monkey and Anubis Baboon. And, Abijata-Shalla Lakes National Park hosts 367 different species of birds (like Great White Pelicans, Greater and Lesser Flamingos and Sacred Ibis) and 31 species of mammals (spotted Hyena, Golden and Black Backed Jackals, Olive Baboon, Grant’s gazelle, etc). In addition, there are elephants, cheetahs, buffalo, Oribi Warthog, Bohor Reedbuck, Civet Cat and various birds and other wildlife species in sanctuaries, reserves and controlled hunting areas in the Region. The major wild animals found in the national parks, wild life reserves, controlled hunting areas and in the water bodies of the SNNPR includes Nubian Giraffe, Elephant, Buffalo, Black Rhinoceros, Hippopotamus, Zebera, Swayn’s Hartbeast (which is endemic), Hartebeest, Eland, Defarsa(waterbuck), Oryx, Lessser kudu, Grants Gazelle, Lion, Cheetah, Warthog, Aardvark, Civet, Caracal, Aardwolf, Hyna, Colobus Monkey, D-Brazza’s monkey, ostrich, Crocodile and other reptiles, Amphibians and Bird species. In Amhara region, Walia Ibex, Simen Fox, Gelada Baboons and different species of birds, most of which are endemic to Ethiopia are found in Semien Mountain National Park. Endangered bird species in Amahara region include Harwood, Francolin and Ostrich. Similarly, In Tigray regions, there are a number of flora and fauna found in the parks, water bodies and forests. The Gambella National Parks help protect the diverse and abundant 37 wildlife, particularly the thousands of White eared Kob that migrated to and from the park each year. 4.3. Physical cultural resources Based on the consultation made with regional cultural and tourism bureaus in each regions and secondary data obtained from the same regions (reviewing AGP II ESMF); and similar consultation held with and secondary data from Authority for research & Conservation of Cultural Heritage (ARCCH) of Ethiopia, the following major PCRs are found in the LFSDP intervention areas. The major PCR in the LFSDP intervention area of Oromia region are: Cafe Tuma the place where Gada laws are drafted and modified; Andode Tuma - the place where Gada laws are publicized or announced; Irecha (where the Oromo people gather on the shore of the lake Hora Harsade to conduct ritual Irecha Ceremony, traditional thanks giving ceremony); mountain Chuqala (Ziquala) where Church of ‘Abo’- an old monastery of over 500 years old, which has a repository of old manuscripts of religious significance written on well prepared goat hides known as ‘birana’; Addis Alem /Ejere/ Church and Museum which is known for its prominent church; Debre Tsiyon Mariam and the museum with historical antiquities of royal families and religious manuscripts; Awash Malka Qunture which is known for its paleontological sites; Adadi Mariam Church which is historic church; Monastery of Debre Libanos which is one of the Ethiopia’s most reputed Orthodox monastic enclaves. The enclave of the monastery consists of villages of nuns and monks, the original monastery (cave) and a modern church of a beautiful architecture; the Portuguese Bridge which is Built in 16th century by the Portuguese and bridge is another historical monument of tourist significance; the Sof Umar Cave and the Dire Sheik Husen Shrine; Faraqasa which is found in Arsi zone and is the site of spiritual belief center where eventful ceremony is held every year being attended by thousands of pilgrims coming from all over the country; the Mosque of Asa Usman and rock inscriptions in Arabic language on the mosque reflect Islamic culture and literature to be visited in the Arsi zone; Mada Walabu which is one of the important places in the history of the Oromo people. It is located in southernmost tip of the Bale Zone. It was a place where rules and regulations were reformed through traditional proclamations. It was also the seat of ritual leaders such as ‘Qalu’ and ‘Aba Gada’, and a place where veneration took place by pilgrims coming from all over Oromia to pray and give thanks to God for His favor, protection, health, happiness, etc. It was a place where power transfer ceremonies took place peacefully from one Gada leader to the other from generation to generation; Abba Jifar Palace found in Jimma Town; Jimma Museum that displays most of the historic materials of King Abba Jifar, his kingdom and cultural objects of the local Oromo people and that of the other ethnic groups around Kafa; and Wallagga Museum and Dej. Kumsa Moroda Palace found in Nekemte Town: The museum exhibits varieties of traditional household furniture that reflect the culture of the Oromo people and 38 that of various ethnic groups in the area. The first script of translation of the Holy Bible in Afan Oromo, and the Holy Qur’an and other religious books are also found here in. The SNNPR is endowed with a number of physical cultural resources such as Hot and Natural hot spring; Monasteries and Churches; Historical mosques; Stelae; Caves and forts; Pale anthropological sites; and Cultural and Ethnic attraction. The major PCR are briefly mentioned below. Hot and Natural hot spring: the region has a number of hot and cold springs as well as holly and mineral waters which are attractive and curative. Wondo Gent and Gidabo hot spring in sidama, Dadibewn hot spring in Keffa Loqe and Taju hot spring in Guragae, Wejitem and Usinka Hot springs in Bench Maji zone. Monasteries and Churches: there are more than six ancient Monasteries and churches in the region. At present Muhur Eyesus and Abune Gebremenfes Kidus in Guragae zone are used as educational center of orthodox churches. St. Michael in Dawro,Beha Gorigis and Anderach Medahni-alem in Keffa zone. Historical mosques: Tongola in keffa; Alkeso and Haji Alye in Silte; Qatbare, Aberaet and Zembemola in Guraghe zone are the most common mosques in the region. Dila mosques is also very well-Known recent in their architectural design and attracts many tourists. Stelae: Stelae are among the oldest cultural heritages found in most parts of the region mainly in Gedeo Gurage, Silite zone and Yem special woreda. These stelae attract the interest of archeologist and potential for tourism development. Tiya stelae registered as one of the world heritage sites of the country. Caves and forts: the most amazing caves include Diabeten Caves of Bench maji and Sheksheko cave in sheka zone. The long defense Hallal walls which cover 175.5 Km in length found in Dawro zone. Paleanthropological sites: the lower Omo valley Paleanthropological sites are registered by UNESCO as the world Heritage sites. Cultural and Ethnic attraction: the region has typical ethnical cultural diversity comprising more than 56 distinct nationalities living in different agro-ecology all having their own culture, farming system, indigenous knowledge of managing natural resources. In Tigray region, there are several archaeological places in Laelaymaichew Woreda around and in Axum*- town. There are also religious and beautiful landscape places all over the region that have tourism values. In Benishangul Gumuz region, several archaeological sites such as the palace of Sheikh Khojele in Assosa Benishangul and in Mankush; and several Rock art and Cave sites were identified. 4.4. Socio-economic conditions The major economic sector for existence of the people of LFSDP regions, like that of other regions in the country, is agriculture in majority being mixed farming. That is the farmers exercise both crop farming and animal husbandry at the same time. Ox farming is 39 implemented by the smallholders covering the majority of the farmers. Livestock serves as a source of manure and fuel, pay land tax, fertilizers and as a saving to buffer bleak seasons of food/seed shortage. Due to the high complexity and strong inter-linkage between crop production and livestock tending, it is difficult to consider the two livelihoods separately. Over 90% of the people of LFSDP intervention regions live in the rural area and agriculture has been remained the source of livelihood for the overwhelming majority of the people of the regions. Livestock plays a significant role in the economy of the country as well as the regions in general and the farmers and households in particular. In general, they provide food (milk, meat, egg, hides and skins, etc), draught power for cultivation, serve as a means of transportation and as a saving or hoarding. They are also kept for prestige as an indication of social status and wealth in the society. 5. Environmental and Social Impacts and Mitigations After Environmental and social screening of sub-projects and business plans to be financed by LFSDP, it is a requirement to prepare ESMP so as to address possible environmental and social issues of the project’s interventions. At current stage of project preparation, it is not possible to prepare ESMP, since type and significance level of Environmental and social impacts cannot be exclusively identified and quantified attributed to lack of information on the scope of specific interventions of the project and exact locations of such interventions. Once such information is available, each sub-project will pass through ESMF screening process described under the previous section. This section of ESMF is a generic tool designed to guide project implementing and coordination units in identifying the possible environmental and social impacts of LFSDP implementation and mitigation measures. The possibility of occurrence of the environmental and social impacts identified in this section depends on the environmental and social conditions of the specific sites and scope of project interventions both to be identified during the implementation stage through Environmental and social screening of each sub-project and business plan under LFSDP. Therefore, the impacts and mitigation measures identified in these sections are not site specific and do not replace those to be identified from the environmental and social screening and ESMPs which are site and project specific. Besides, ESMP would be different from this section since it will identify not only the impacts and mitigation measures but also monitoring parameters, responsible bodies, schedule, budget requirement and source to implement the mitigation measures at different stage of sub- project cycle. An ESMP must contain the necessary sections as outlined below. ➢ Brief description of the subproject, ➢ Summary of impacts, ➢ Description of mitigation measures, 40 ➢ Description of monitoring program, ➢ Institutional arrangements, ➢ Implementation schedules and reporting procedures, and ➢ Cost estimates and sources of funds 5.1. Potential Environmental and Social Impacts of LFSDP LFSDP is designed to support MoLF strategy of transforming small holder farmers into small investor/producer cooperatives as displayed in the project’s transformation pathway. LFSDP will obviously have various socio-economic and environmental benefits. In contrast, LFSDP could also result in adverse environmental and social impacts, as it is expected from any developmental activity. The most important point is therefore to develop and implement strategies for enhancing beneficial impacts and preventing, minimizing and compensating adverse impacts. The ultimate goal of this ESMF and other safeguard tools and documents prepared for LFSDP is to integrate environmental and social sensitivity within the project cycle so as to ensure sustainability of developmental outputs. The positive and negative impacts of LFSDP are described in the following sections. 5.2. Potential Positive Impacts Additional positive environmental and social impacts could be further identified during project implementation stage. The major positive impacts of LFSDP are described below. ➢ Improve the capacity of MoLF and its human resource to enable it develop and review policies and strategies for sustainable animal health and extension service delivery, well organized livestock and fishery data management as well as communication ➢ Provision of extension service provision to farmers in most of the program implementation areas will be improved because of various capacity building activities implemented by the program thereby increased the production and productivity of smallholder farmers; ➢ Clear and measurable benefits in terms of productivity, household income, production diversification, and increasing the availability of varied household diets can be achieved through implementation of GAHP/GAFP at various beneficiary levels of LFSDP ➢ GAHP/GAFP interventions (improved livestock and fishery health, breeds and feed quality) on level 1 beneficiaries (poor subsistence farmers) would significantly minimize the amount of greenhouse gas that could have been produced otherwise ➢ Enhancing and Promotion of livestock products and productivity would result in better nutritional status, health, mental development and productivity of citizens 41 ➢ Improve the safety and shelf-life of livestock food products produced by cooperatives and thereby maximize marketing periods and sector profits ➢ Minimize livestock diseases and deaths through supporting national priority animal disease prevention and control strategic program ➢ Expand market opportunities of livestock and fishery commodities through demand creation and construction of critical market and commercialization infrastructures ➢ Generate job opportunities and income primarily for women and youth through creating small investor producers and cooperatives ➢ Public private partnership will enhance the quality and competitiveness of the services delivered by the private sector to bridge accessibility gaps of public service delivery ➢ Promote knowledge and technology transfer among farmers through enhancing livestock and fishery extension and advisory services using farmers field schools ➢ Increase the social value of water resources (rivers, lakes, ponds and dams) and in turn create environmentally responsible society who exercise better water resource protection (ex: from pollution) and overall management ➢ Enhance community participation and decision making capacity through promoting community level participatory project planning, implementation, monitoring and evaluation ➢ Improve the project management capacity of implementing agencies from kebele to national level in the livestock and fishery sector 5.3. Potential Negative Impacts Generally, various adverse environmental and social impacts could result from LFSDP interventions, if appropriate measures and procedures are not implemented to identify and manage the impacts. The major environmental issues in livestock, fisheries and poultry production activities include7 among other things, Waste management, wastewater, Air emissions, Hazardous Materials Management, Ecological impacts and Animal diseases waste. Based on the WBG Industry sector EHS guidelines for agribusiness/food production, the main anticipated negative impacts are outlined below. Negative impacts associated with poultry operations Solid waste generated during poultry production includes waste feed, animal waste, carcasses, and sediments and sludge from on-site wastewater treatment facilities (which may contain residual amounts of growth enhancers and antibiotics, among other hazardous constituents). Other wastes include various kinds of packaging (e.g. for feed and 7 www.ifc.org/ifcext/enviro.nsf/Content/EnvironmentalGuidelines 42 pesticides), used ventilation filters, unused / spoilt medications, and used cleaning materials. Poultry operations may generate effluents from various sources including runoff from poultry housing, feeding, and watering; from waste storage and management facilities. Waste management activities such as land application of manure, may generated non-point source effluents due to runoff. Both types of effluents have the potential to contaminate surface water and groundwater with nutrients, ammonia, sediment, pesticides, pathogens, and feed additives, such as heavy metals, hormones, and antibiotics.16 Effluents from poultry operations typically have a high content of organic material and consequently a high biochemical oxygen demand (BOD) and chemical oxygen demand (COD), as well as nutrients and suspended solids (TSS). Air emissions from poultry production include primarily ammonia (e.g. management of animal waste), odors (e.g. animal housing and waste management), and dust (e.g. feed storage, loading and unloading, and waste management activities). Effective waste management, as described above, is critical to minimizing emissions of air pollutants. In addition, the management techniques discussed below are recommended to further reduce the impacts of air emissions from poultry operations. Pesticides may be applied directly to birds or to structures (e.g. barns and housing units) and to control pests (e.g. parasites and vectors) using dipping vats, sprayers, and foggers. Pesticides can also be used to control predators. The potential pollutants from pesticides include the active and inert ingredients, diluents, and persistent degradation products. Pesticides and their degradation products may enter groundwater and surface water in solution, in emulsion, or bound to soil particles. Pesticides may, in some instances, impair the uses of surface waters and groundwater. Some pesticides are suspected or known to cause chronic or acute health hazards for humans as well as adverse ecological impacts. Animal disease-causing agents can spread rapidly, especially in intensive livestock operations. Animal diseases can enter a facility with new animals, on equipment, and on people. Some diseases can weaken or kill large numbers of animals at an infected facility. Both poultry manure and carcasses contain pathogenic organisms which can infect humans, for example viruses such as Avian Influenza (strain HN51), and parasites such as parasitical worms Occupational Health and Safety hazards related to the daily operations of the poultry sector can be grouped into four categories: · Physical hazards · Exposure to chemical hazards · Exposure to organic dust 43 · Exposure to biological agents Workers in poultry production facilities may become exposed to a series of physical hazards related to equipment and vehicle operation and repair, trip and fall hazards, and lifting heavy weights, which are common to other industries. Potentially hazardous substances used in poultry production activities may include pesticides, disinfecting agents, minerals, antibiotic and hormonal products Workers may be exposed to a range of pathogens such as bacteria, fungi, mites and viruses (including “bird flu”) transmitted from live birds, excreta, carcasses and parasites and ticks. Workers may also be exposed to skin sensitizers, such as dander from bird feathers. If antibiotics are used in feed, antibiotic resistant micro-organisms might develop in the gastrointestinal tract of birds. Resistant bacteria can potentially infect humans on or in the vicinity of the farm Negative impacts associated with mammalian livestock operations Solid waste generated during mammalian livestock production includes waste feed, animal waste, and carcasses. Other wastes include various kinds of packaging (e.g. for feed and pesticides), used ventilation filters, unused / spoilt medications, used cleaning materials, and sludges from wastewater treatment if present (which may contain residual amounts of growth enhancers and antibiotics, among other hazardous constituents). Livestock operations most commonly generate non-point source effluents due to runoff from feed (including silage) storage, loading, and unloading, livestock housing, feeding, and watering, waste management facilities, and areas of land application of manure. Depending on the type and intensity of the operation, as well as the nature of storm water management features, some facilities may also include point sources which typically require collection and treatment prior to final discharge. In either case, effluents have the potential to contaminate surface water and groundwater with nutrients, ammonia, sediment, pesticides, pathogens and feed additives, such as heavy metals, hormones, and antibiotics. Effluents from livestock operations typically have a high content of organic material and consequently a high biochemical oxygen demand (BOD) and chemical oxygen demand (COD), as well as nutrients and suspended solids (TSS). Air emissions from mammalian livestock production include ammonia (e.g. management of animal waste), methane and nitrous oxide (e.g. animal feeding and waste management), odors (e.g. animal housing and waste management), bioaerosols, and dust (e.g. feed storage, loading, and unloading, feeding, and waste management activities). Effective waste management, as described above, is critical to reduce the emission of air pollutants. 44 Pesticides may be applied directly to livestock or to structures (e.g. barns and housing units) and to control pests (e.g. parasites and vectors) using dipping vats, sprayers, and foggers. Pesticides can also be used to control predators. The potential pollutants from pesticides include the active and inert ingredients, diluents, and persistent degradation products. Pesticides and their degradation products may enter groundwater and surface water in solution, in emulsion, or bound to soil particles. Pesticides may, in some instances, impair the uses of surface waters and groundwater. Some pesticides are suspected or known to cause chronic or acute health hazards for humans as well as adverse ecological impacts. Animal disease-causing agents can spread rapidly, especially in intensive livestock operations. Animal diseases can enter a facility with new animals, on equipment, and on people. Some diseases can weaken or kill large numbers of animals at an infected facility. In some cases, the only remedy available to an operation is to sacrifice an entire group of animals to prevent the spread of the disease to other parts of the facility or to other facilities. Hazardous materials are used throughout the beef, milk, and pork production cycles (e.g. disinfecting agents, antibiotic and hormonal products). Workers may be exposed to disease-agents such as bacteria, fungi, mites, and viruses transmitted from live animals, manure, animal carcasses, and parasites and ticks (zoonoses). Workers may also be exposed to skin sensitizers such as animal proteins from urine that can cause an allergic reaction. Because of the use of antibiotics in feed, antibiotic-resistant microorganisms might develop in the gastrointestinal tract of animals. Resistant bacteria can potentially infect humans on or in the vicinity of the farm. Negative impacts associated with aquaculture fishery operations Aquaculture activities could be threats to biodiversity. Threats to biodiversity are mainly associated with conversion of natural habitats during construction; potential release of alien species into the natural environment during operations; potential loss of genetic resources due to collection of larvae, fry, or juveniles for aquaculture production; potential release of artificially propagated seed into the wild (e.g. there are more farmed than wild Atlantic salmon in existence); sustainability of fish meal and fish oil ingredients for fish and crustacean feeds; and development of antibiotic resistance in pathogenic bacteria that can then spread from farms to wild stock. Earth excavation and moving activities conducted during construction of some types of aquaculture projects may result in soil erosion and the subsequent sedimentation of nearby water bodies. Sedimentation of aquatic resources may contribute to eutrophication and overall degradation of water quality. The effluent released from aquaculture systems typically contains a high organic and nutrient load, suspended solids, and may also contain 45 chemical residues including feed supplements and antibiotics. The possible impacts include contamination of groundwater and surface water from release of effluents or communication to receiving water from unconfined process and storage tanks (such as ponds and lagoons). Impacts on aquatic systems include creation of eutrophic zones within receiving waters, increased fluctuation of dissolved oxygen levels, creation of visible plumes, and accumulation of nutrients within the receiving waters. Variety of chemicals may be used in the operation of an aquaculture facility to treat and / or control disease organisms or to facilitate production (e.g. lime, diluted chlorine, or salt). Fertilizers are also generally caustic materials and care should be taken in their application. Workers may be directly or indirectly exposed to water-borne diseases due to frequent contact with water (ponds) and the close proximity of living quarters to surface water bodies. The potential for transmission of water-borne disease should be addressed as part of the occupational health and safety program including specific additional medical screening for the labor force and implementation of preventive measures (e.g. mosquito nets in living quarters). 5.4. Impact Mitigation measures LFSDP could have both beneficial and adverse impacts. So as to avoid, minimize, and/or compensate adverse impacts it is necessary to formulate mitigation measures. The mitigation measures identified in this section may not suffice to address the adverse impacts of all sub-projects of LFSDP. This section would only support IAs and project units during identification of mitigation measures for impacts of each sub-project or business plan. Moreover, the mitigation measures identified here would help responsible bodies to develop ESMPs for each sub-project/business plan. The mitigation measures are also organized in such a way to separately address adverse impacts from interventions in the four value chains (red meat/ dairy, Poultry and fishery/aquaculture) targeted by LFSDP. Since red meat and dairy value chains have similar nature and scope of intervention, the impact identification and mitigation measures for these VCs are described together. In addition to VCs, levels of beneficiaries and scope of interventions (basic vs advanced business plans) for each level were considered to formulate the mitigation measures. The mitigation measures for infrastructure related interventions are separately described in this section. The most updated versions of the World Bank Group Environmental, Health, and Safety Guidelines 8related to mammalian livestock production and dairy industry; aquaculture and 8 www.ifc.org/ifcext/enviro.nsf/Content/EnvironmentalGuidelines 46 were referred while developing table 2-7. These guidelines will be annexed to the ESMF document so that the end users will have a clear information about the environmental issues associated with the proposed agribusiness and mitigation measures. According to the World Bank Group Environmental, Health, and Safety Guidelines, environmental issues in mammalian livestock and poultry production, primarily include the following: o Waste management o Wastewater o Air emissions o Hazardous Materials Management o Ecological impacts o Animal diseases The World Bank Group Environmental, Health, and Safety Guidelines also describe the environmental issues associated with the aquaculture sector include the following: o Threats to biodiversity o Contamination of aquatic systems o Hazardous Materials Diary, fish and poultry processing activities also have environmental issues which include solid waste and by-products, wastewater, water consumption and management and emissions to air and energy consumption. The mitigation measures for infrastructure related interventions are separately described in this section. The following are the mitigation measures formulated for the environmental issues in LFSDP. The World Bank Group Environmental, Health, and Safety Guidelines related to the agribusiness will be annexed with the EMSF. 47 Table 2: Possible Environmental and Social Impacts and mitigation measures in relation to level 1 beneficiaries9 1. Introducing GAHP/GAFP (Health, Feed, Breed) on Level 1 beneficiaries Activities Impacts Mitigation Measure Identification of Marginalization of the poor, landless, • Improve access to critical inputs for poor and landless farmers level 1 Beneficiaries minority groups, women, old and youth • Integrate with the regular common interest groups (CIGs) formation by the government to for creating collective capacity • Develop objective and clear checklist for level 1 beneficiary identification • Refer to the social assessment findings so as to identify potentially marginalized groups during beneficiary selection at each Woreda Access Health • Occupational health and safety issues • Industry-specific recommendations are presented below. to and that may be specifically associated • Maintain walking and working surfaces clean and dry and provide critical safety with dairy processing operations workers with anti-slip footwear; inputs issues include the following: • Provide workers with training in the proper use of equipment • Physical hazards (including the proper use of machine safety devices • Biological hazards • Avoid dust- and aerosol-generating activities (e.g. use of compressed • Chemical hazards air or high-pressure water for cleaning) and, where they cannot be avoided, provide proper ventilation of enclosed or semi-enclosed areas to reduce or eliminate exposure to dust and aerosols; • Install exhaust ventilation equipped with filters and / or cyclones, at sources of dust; • Replacement of the hazardous substance with a less hazardous substitute • Implementation of engineering and administrative control measures to avoid or minimize the release of hazardous substances into the work environment keeping the level of exposure below internationally established or recognized limits • Keeping the number of employees exposed, or likely to become exposed, to a minimum 9 Based on WBG Industry Sector Guidelines for Agribusiness/Food Production. 48 Waste Solid waste generated during mammalian To maximize the efficiency of the operation and minimize waste, the Manage livestock production includes waste feed, following measures are recommended: ment animal waste, and carcasses. Other • Promote efficient storage, handling and use of feed by maintaining wastes include various kinds of records of feed purchases and livestock feed use; packaging (e.g. for feed and pesticides), • Use covered or protected feeders to prevent feed from exposure to rain used ventilation filters, unused / spoilt and wind; medications, used cleaning materials, and • Maintain feeding systems in good working condition to prevent spills sludges from wastewater treatment if and feed contact with the ground; present (which may contain residual • Consider mixing of waste feed with other recyclable materials amounts of growth enhancers and destined for use as fertilizer, or else consider incineration or land antibiotics, among other hazardous disposal options, based on an assessment of potential impacts of each constituents) option to air, soils and surface water / groundwater • Match feed content to the specific nutritional requirement of the birds in their different production / growth stages; • Use low-protein diets, supplemented with amino acids-; • Use low-phosphorus diets with highly digestible inorganic phosphates (e.g. for poultry, a total phosphorus reduction of 0.05 to 0.1 percent [0.5 to 1 g/kg of feed] can be achieved) • Use quality, uncontaminated feed materials (e.g. where concentrations of pesticides and dioxins are known and do not exceed acceptable levels) that contain no more copper, zinc, and other additives than is necessary for animal health; • Ensure production and manure storage facilities are constructed to prevent manure contamination of surface water and ground water (e.g. use of concrete floors, use of roof gutters on buildings to collect and divert clean storm water, and covering manure storage areas with a fixed roof or plastic sheeting • Reduce mortalities through proper animal care and disease prevention; • Store carcasses until collection, using cooling if necessary to prevent putrefaction; • Use a reliable collection company approved by local authorities that disposes of carcasses by rendering or incineration, depending on the cause of fatality. 49 • Incineration should only be conducted in permitted facilities operating under international recognized standards for pollution prevention and control; The recommended measures to reduce methane generation and GHG emission emission: • Improve the productivity and efficiency of livestock production (thus lowering the methane emissions per unit of livestock) through improvements in nutrition and genetics; • Supplement livestock diets with nutrients, as necessary (e.g. increasing the level of starch and rapidly fermentable carbohydrates, use of urea supplements). Production of feed supplements, may also, however, result in production of GHGs. • Increase the carbon to nitrogen ratio in feeds to reduce methane and nitrous oxide production; • Environmental and human health • Maintain structures to keep out pests (e.g. plug holes, seal gaps impacts of insecticides around doors and windows); • Use mechanical controls (e.g. traps, barriers, light, and sound) to kill, relocate, or repel pests; • Use predators to control pests. Protect natural enemies of pests by providing a favorable habitat (e.g. bushes for nesting sites and other indigenous vegetation) that can house pest predators; • Use good housekeeping practices in barns and other facilities to limit food sources and habitat for pests; · Improve drainage and reduce standing water to control mosquito populations; • Consider covering manure piles with geotextiles (which allow water to enter the pile and maintain composting activity) to reduce fly populations; • If pesticides are used, identify in the IPM plan the need for the pesticide and evaluate their effectiveness, as well as potential environmental impacts, to ensure that the pesticide with the least adverse impact is selected (e.g. non-leachable pesticides). • Prepare pest management plans for all project interventions involving pesticides 50 • Promote non-chemical pest management options • Select less toxic insecticides (as identified by WHO) to be used by project beneficiaries • Awareness creation about the hazards and safe handling of insecticides Feed • Environmental pollution from • Promote growing and use of household garden plants as animal feeds fertilizers, heavy metals and other • Avoid using feed formulations with toxic or unknown contents toxic chemicals contents in • Follow feed preparation instructions forage/feed • Safe handling and disposal of feed leftovers Introduc • Increased feed requirement and its • Closely monitor behavior and adverse impacts of introduced breeds tion of cost because of introduction of new • Report unusual and unexpected adverse impacts of new breeds exotic/i breeds mprove • Loss of local breeds and important d breeds genetic traits (drought and disease tolerance) • Introduction of new pathology 51 Table 3: Possible Environmental and Social Impacts and mitigation measures of basic and advanced business plans (Levels 2 and 3)10 2. Business Plans and other intervention on Level 2 and 3 beneficiaries Activities Impacts Mitigation Measure Identification of level 2 and Marginalization of the poor, landless, minority groups, • Financial support for unemployed youth and women 3 Beneficiaries women, old and youth graduates (from Colleges, Universities) • Develop objective and clear checklist for level 2 and 3 beneficiary identification • Refer to the social assessment findings so as to identify potentially marginalized groups during beneficiary selection at each Woreda Access Health and • Occupational health and safety issues that may be • Industry-specific recommendations are presented below. to safety issues specifically associated with dairy processing • Maintain walking and working surfaces clean and dry and critical operations include the following: provide workers with anti-slip footwear; inputs • Physical hazards • Provide workers with training in the proper use of equipment • Biological hazards (including the proper use of machine safety devices • Chemical hazards • Avoid dust- and aerosol-generating activities (e.g. use of compressed air or high-pressure water for cleaning) and, where they cannot be avoided, provide proper ventilation of enclosed or semi-enclosed areas to reduce or eliminate exposure to dust and aerosols; • Install exhaust ventilation equipped with filters and / or cyclones, at sources of dust; • Replacement of the hazardous substance with a less hazardous substitute • Implementation of engineering and administrative control measures to avoid or minimize the release of hazardous 10 Based on WBG Industry Sector Guidelines for Agribusiness/Food Production 52 2. Business Plans and other intervention on Level 2 and 3 beneficiaries substances into the work environment keeping the level of exposure below internationally established or recognized limits • Keeping the number of employees exposed, or likely to become exposed, to a minimum Waste Solid waste generated during mammalian livestock To maximize the efficiency of the operation and minimize waste, Management production includes waste feed, animal waste, and the following measures are recommended: carcasses. Other wastes include various kinds of • Promote efficient storage, handling and use of feed by packaging (e.g. for feed and pesticides), used ventilation maintaining records of feed purchases and livestock feed use; filters, unused / spoilt medications, used cleaning • Use covered or protected feeders to prevent feed from materials, and sludges from wastewater treatment if exposure to rain and wind; present (which may contain residual amounts of growth • Maintain feeding systems in good working condition to enhancers and antibiotics, among other hazardous prevent spills and feed contact with the ground; constituents) • Consider mixing of waste feed with other recyclable materials destined for use as fertilizer, or else consider incineration or land disposal options, based on an assessment of potential impacts of each option to air, soils, and surface water / groundwater Match feed content to the specific nutritional requirements of the birds in their different production / growth stages; • Use low-protein diets, supplemented with amino acids-; • Use low-phosphorus diets with highly digestible inorganic phosphates (e.g. for poultry, a total phosphorus reduction of 0.05 to 0.1 percent [0.5 to 1 g/kg of feed] can be achieved) • Use quality, uncontaminated feed materials (e.g. where concentrations of pesticides and dioxins are known and do not exceed acceptable levels) that contain no more copper, zinc, and other additives than is necessary for animal health; • Ensure production and manure storage facilities are constructed to prevent manure contamination of surface water and ground water (e.g. use of concrete floors, use of 53 2. Business Plans and other intervention on Level 2 and 3 beneficiaries roof gutters on buildings to collect and divert clean storm water, and covering manure storage areas with a fixed roof or plastic sheeting • Reduce mortalities through proper animal care and disease prevention; • Store carcasses until collection, using cooling if necessary to prevent putrefaction; • Use a reliable collection company approved by local authorities that disposes of carcasses by rendering or incineration, depending on the cause of fatality. Incineration should only be conducted in permitted facilities operating under international recognized standards for pollution prevention and control; The recommended measures to reduce methane generation and GHG emission emission: • Improve the productivity and efficiency of livestock production (thus lowering the methane emissions per unit of livestock) through improvements in nutrition and genetics; • Supplement livestock diets with nutrients, as necessary (e.g. increasing the level of starch and rapidly fermentable carbohydrates, use of urea supplements). Production of feed supplements, may also, however, result in production of GHGs. • Increase the carbon to nitrogen ratio in feeds to reduce methane and nitrous oxide production; • Environmental and human health impacts of • Maintain structures to keep out pests (e.g. plug holes, insecticides seal gaps around doors and windows); • Use mechanical controls (e.g. traps, barriers, light, and sound) to kill, relocate, or repel pests; • Use predators to control pests. Protect natural enemies of pests by providing a favorable habitat (e.g. bushes for 54 2. Business Plans and other intervention on Level 2 and 3 beneficiaries nesting sites and other indigenous vegetation) that can house pest predators; • Use good housekeeping practices in barns and other facilities to limit food sources and habitat for pests; • Improve drainage and reduce standing water to control mosquito populations; • Consider covering manure piles with geotextiles (which allow water to enter the pile and maintain composting activity) to reduce fly populations; • If pesticides are used, identify in the IPM plan the need for the pesticide and evaluate their effectiveness, as well as potential environmental impacts, to ensure that the pesticide with the least adverse impact is selected (e.g. non-leachable pesticides). • Prepare pest management plans for all project interventions involving pesticides • Promote non-chemical pest management options • Select less toxic insecticides (as identified by WHO) to be used by project beneficiaries • Awareness creation about the hazards and safe handling of insecticides Feed • Environmental pollution from fertilizers, heavy metals • Promote growing and use of household garden plants as and other toxic chemicals contents in forage/feed animal feeds • Avoid using feed formulations with toxic or unknown contents • Follow feed preparation instructions • Safe handling and disposal of feed leftovers Introduction of • Increased feed requirement and its cost because of • Closely monitor behavior and adverse impacts of introduced exotic/improved introduction of new breeds breeds breeds • Loss of local breeds and important genetic traits • Report unusual and unexpected adverse impacts of new (drought and disease tolerance) breeds 55 2. Business Plans and other intervention on Level 2 and 3 beneficiaries • Introduction of new pathology Artificial • Loss of local breeds and important genetic traits • Work closely with Ethiopian biodiversity institute for Insemination (drought and disease tolerance) importing and promoting exotic species (AI) service • Introduction of new pathology • Notify concerned authorities during unexpected adverse providers consequences of using exotic species • Thoroughly research new species of livestock. Determine their grazing/browsing preferences and compare them to those of current livestock species • Pilot-test new breeds and species before introducing them in a broad program, and monitor their impacts over time • If local breeds can meet specified needs, strongly consider their use. In particular, even if local breed is a relatively low producer, weigh this drawback against the breed’s disease resistance and hardiness in the local environment, • Evaluate the risks of introducing new diseases that might be transferred to wildlife Feed processors • Environmental pollution waste from feed processing • Ensure the safety of imported and processed feeds importers and and packaging wastes • Avoid use of toxic chemicals in feed formulation and feed distributors • Environmental and human health hazards of toxic additives u chemical inputs for feed production • Appropriate management of waste from feed processing and packaging 56 2. Business Plans and other intervention on Level 2 and 3 beneficiaries Socio-economic • Lack of access to markets for increased productivity; • Develop market information and communication system Impacts corruption risks among Union and cooperative • Supporting contractual agreement between leaders producer/processer cooperatives and potential buyers • Increased feed consumption and cost of rearing • Invest on livestock feed production to increase the supply animals • Selecting livestock species with efficient production • Competition over land water (intra and inter woreda) (reasonable feed consumption for good product yield) and pasture aggravated by absence of feeds with • Identify occupational hazards and breaches and apply good good quality and reasonable cost occupational health and safety procedures and practices • Pressure on public utilities and services (water, • Awareness creation about legal implications of forced and electricity, etc) child labor, importance of child education, women • Forced labor, child labor and poor safety and health participation measures • Ensuring ways of revolving and reinvesting profits so as to • Consume time of child education prevent abuse on women • Risk of abuse and physical violence on productive women farmers by men to share revenues Input • Feed concentrates may contain phytotoxic heavy • Protect feed concentrates from intentional and unintentional production metals such as copper (Cu), zinc (Zn) and cadmium contamination by toxic chemical (seeds, feed (Cd) which accumulate in the soil and vet medicines • Proper livestock feed waste management and forage) persist in dung, affecting its fauna and potentially the dependent bird populations. • Biodiversity erosion mainly as a consequence of • Avail adequate livestock feeds to prevent overgrazing expansion of pasture lands at the expense of forests • Adopt rotated grazing activities and other land use types • Afforestation programs to compensate degradation 57 Table 4: Major Impacts and mitigation measures for activities in Dairy Production Value chain11 Impacts Mitigation Measures Due to the presence of milk solids (e.g. protein, fat, carbohydrates, and • Avoid milk, product, and by-product losses ( e.g. from spills, leaks, excessive lactose), untreated wastewater from dairy processing facilities may have changeovers, and shut downs) through the adoption of good manufacturing a significant organic content, biochemical oxygen demand (BOD), and procedures and facility maintenance; chemical oxygen demand (COD). Whey may also contribute to high • Separate and collect product waste, including rinse waters and by-products, organic loads in wastewater. Salting activities during cheese production to facilitate recycling or further processing for subsequent use, sale, or may result in high salinity levels in wastewater. Wastewater may also disposal (e.g. whey and casein); contain acids, alkali, and detergents with a number of active ingredients, • Install grids to reduce or avoid the introduction of solid materials into the and disinfectants, including chlorine compounds, hydrogen peroxide, and wastewater drainage system; quaternary ammonia compounds. Wastewater may have a significant • Process and foul drains should be separate in process areas and should microbiological load and discharge directly to a treatment plant and / or municipal sewerage system; may also contain pathogenic viruses and bacteria. • Pipes and tanks should be self–draining, with appropriate procedures for product discharge prior to, or integral with, cleaning procedures; Solid organic waste in dairy processing facilities mainly • Subject to sanitary requirements, recycle process water, including condensate originates from production processes and includes nonconforming from evaporation processes, for preheating and heat-recovery systems for products and product losses (e.g. milk spillages heating and cooling processes, to minimize water and energy consumption; liquid whey and buttermilk), grid and filter residues, sludge from • Adopt best-practice methods for facility cleaning, which may involve manual centrifugal separators and wastewater treatment, and packaging or automated Clean In Place (CIP) systems, using approved chemicals and / waste (e.g. discarded cuts, spent ripening bags, wax residues or detergents with minimal environmental impact and compatibility with from cheese production) arising from incoming raw materials subsequent wastewater treatment processes. and production line damage. • Recommended carcass management practices include: • Reduce mortalities through proper animal care and disease prevention; • Store carcasses until collection, using cooling if necessary to prevent putrefaction; • Use a reliable collection company approved by local authorities that disposes of carcasses by rendering or incineration, depending on the cause of fatality. Incineration should only be conducted in permitted facilities operating under international recognized standards for pollution prevention and control; 11 Based on WBG Industry Sector Guidelines for Agribusiness/Food Production. 58 Impacts Mitigation Measures Recommended measures to reduce and manage solid waste include the following: • Where possible and subject to sanitary requirements, segregate solid process waste and non-conforming products for reprocessing into commercial products and byproducts (e.g. butter oil, processed cheese, animal feed, soap stock, or other technical-grade materials); • Optimize product filling and packaging equipment to avoid product- and packaging-material waste; • Optimize the design of packaging material to reduce the volume of waste (e.g. by using recycled materials and by reducing the thickness without compromising food safety criteria). If PET bottles are blown on site, plastic waste cuttings can be reused, or should be sorted as plastic waste for off-site recycling or disposal; • Use uncontaminated sludge from on-site wastewater treatment for agricultural fertilizer or production of biogas. Air Emissions Ammonia and Odor • Air emissions from dairy production include ammonia (e.g. • Consider the siting of new facilities taking into account distances to management of animal waste), methane and nitrous oxide (e.g. neighbors and the propagation of odors; animal feeding and waste management), odors (e.g. animal housing • Control the temperature, humidity, and other environmental factors of and waste management), bioaerosols, and dust (e.g. feed storage, manure storage to reduce emissions; loading, and unloading, feeding, and waste management activities) • Consider composting of manure to reduce odor emissions; • Ammonia gas (NH3) has a sharp and pungent odor can act as an • Reduce emissions and odors during land application activities by applying a irritant when present in high enough concentrations. Ammonia gas few centimeters below the soil surface and by selecting favorable weather deposition into surface waters may contribute to their conditions (e.g. wind blowing away from inhabited areas); euthrophication. Green House Gases • Release of ammonia gas also reduces the nitrogen content and, • Improve the productivity and efficiency of livestock production (thus therefore, the fertilizer value of the manure. lowering the methane emissions per unit of livestock) through improvements • The livestock account for 9 percent of anthropogenic CO2 in nutrition and genetics (which is already planned under LFSDP); emissions (mostly from deforestation / land use changes for grazing • Supplement livestock diets with nutrients, as necessary (e.g. increasing the and pasture for feed crops), 37 percent of anthropogenic methane level of starch and rapidly fermentable carbohydrates, use of urea emissions, mostly from enteric fermentation by ruminants, and 65 supplements). Production of feed supplements, may also, however, result in percent of anthropogenic nitrous oxide emissions, the majority of production of GHGs. which from manure. • Increase the carbon to nitrogen ratio in feeds to reduce methane and nitrous • Methane has 23 times the global warming potential (GWP) of CO2, oxide production; while nitrous oxide has 296 times the GWP of CO2. 59 Impacts Mitigation Measures • Methane can also be produced from microbial action in manure. • Implement balanced feeding (e.g. optimizing proteins and amino acids to • Air emissions from poultry production include primarily ammonia correspond to requirements of particular animal groups) (e.g. management of animal waste), odors (e.g. animal housing and • Consider various techniques to manage methane emissions from manure waste management), and dust (e.g. feed storage, loading and including controlled anaerobic digestion (to produce biogas), flaring / unloading, and waste management activities). burning, use of biofilters, composting, and aerobic treatment. Use of • There could also be odor production during poultry processing. anaerobic digestion may also reduce emissions of nitrous oxide; Major process odor sources include scalding, live bird handling, • Minimize the amount of manure production through the implementation of wastewater treatment, and rendering. Other sources of odors animal waste management approaches; include by-products, blood collection tanks, manure piles, and fat • Control the temperature, humidity, and other environmental factors of traps. manure storage to reduce methane and nitrous oxide emissions. This may involve use of closed storage tanks, or maintaining the integrity of the crust on open manure storage ponds / lagoons. • Implement pasture / grazing management techniques to reduce nitrous oxide and methane emissions, including not overstocking pastures, avoiding late fall and winter grazing, improving soil drainage, and avoiding soil compaction from grazing to maintain the anaerobicicity of the soil. Dust • Install dust-collection systems at dusty operations, such as feed grinding; • Prevent overgrazing of pastureland; • Implement fugitive-dust-control measures, such as wetting frequently traveled dirt roads, as necessary. Pesticides • Maintain structures to keep out pests (e.g. plug holes, sea gaps around doors • Pesticides may be applied directly to livestock or to structures (e.g. and windows); barns and housing units) and to control pests (e.g. parasites and • Use mechanical controls (e.g. traps, barriers, light, and sound) to kill, vectors) using dipping vats, sprayers, and foggers. Pesticides can relocate, or repel pests; also be used to control predators. The potential pollutants from • Use predators to control pests. Protect natural enemies of pests by providing pesticides include the active and inert ingredients, diluents, and a favorable habitat (e.g. bushes for nesting sites and other indigenous persistent degradation products. vegetation) that can house pest predators; • Pesticides and their degradation products may enter ground water • Use good housekeeping practices in barns and other facilities to limit food and surface water in solution, in emulsion, or bound to soil particles. sources and habitat for pests; Pesticides may, in some instances, impair the uses of surface waters • Improve drainage and reduce standing water to control mosquito and groundwater. populations; • Some pesticides are suspected or known to cause chronic or acute • Consider covering manure piles with geotextiles (which allow water to enter health hazards for humans as well as adverse ecological impacts. the pile and maintain composting activity) to reduce fly populations; 60 Impacts Mitigation Measures • If pesticides are used, identify in the IPM plan the need for the pesticide and evaluate their effectiveness, as well as potential environmental impacts, to ensure that the pesticide with the least adverse impact is selected (e.g. non leachable pesticides). Good Management Practices • Train personnel to apply pesticides according to planned procedures, while using the necessary protective clothing. • Where feasible or required, pesticide application personnel should be certified for this purpose • Review the manufacturer’s instructions on the maximum recommended dosage and treatment, as well as published experiences on the reduced rate of pesticide applications without loss of effect, and apply the minimum effective dose • Avoid the use of pesticides that fall under the World Health Organization Recommended Classification of Pesticides by Hazard Classes 1a and 1b • Avoid the use of pesticides that fall under the World Health Organization Recommended Classification of Pesticides by Hazard Class II if the project host country lacks restrictions on distribution and use of these chemicals, or if they are likely to be accessible to personnel without proper training, equipment, and facilities to handle, store, apply, and dispose of these products properly • Avoid the use of pesticides listed in annexes A and B of the Stockholm Convention, except under the conditions noted in the convention; • Use only pesticides that are manufactured under license and registered and approved by the appropriate authority and in accordance with FAO’s International Code of Conduct on the Distribution and Use of Pesticides; • Use only pesticides that are labeled in accordance with international standards and norms, such as the FAO’s Revised Guidelines for Good Labeling Practice for Pesticides; • Select application technologies and practices designed to reduce unintentional drift or runoff, only as indicated in an IPM program, and under controlled conditions • Maintain and calibrate pesticide application equipment in accordance with the manufacturer’s recommendations; 61 Impacts Mitigation Measures • Store pesticides in their original packaging, and in a dedicated location that can be locked and properly identified with signs, with access limited to authorized persons. No human or animal food should be stored in this location • Mixing and transfer of pesticides should be undertaken by trained personnel in ventilated and well-lit areas, using containers designed and dedicated for this purpose • Used pesticide containers should not be used for any other purpose (e.g. drinking water) and should be managed as a hazardous waste • Disposal of containers contaminated with pesticides also should be done in a manner consistent with FAO guidelines and with manufacturer's directions • Purchase and store no more pesticide than needed and rotate stock using a “first-in, first-out” principle so that pesticides do not become obsolete. Additionally, the use of obsolete pesticides should be avoided under all circumstances; • A management plan that include measures for the containment, storage and ultimate destruction of all obsolete stocks should be prepared in accordance to guidelines by FAO and consistent with country commitments under the Stockholm, Rotterdam and Basel Conventions • Implement groundwater supply wellhead setbacks for pesticide application and storage; • Maintain records of pesticide use and effectiveness. Ecological Impacts • Prevent animals’ access to surface water bodies using fences, buffer strips or • The most significant potential ecological impacts resulting from other physical barriers; dairy production are associated with water and air emissions. • Prevent overgrazing of pastureland through use of: • In addition, livestock with access to creeks, rivers, and other • Rotational grazing systems based on seasonal and local ecosystem resilience natural water sources may cause environmental damage by (e.g. riparian zones) contaminating the water with animal waste, destroying riparian • Use of livestock trails to reduce soil trampling and gully formation / erosion habitat, and eroding the stream banks. near streams • In addition overgrazing, may contribute to soil losses because of The following actions should be taken to help maintain regional biodiversity: severe erosion, and a reduction in soil productivity caused by • Before converting land to livestock production, survey the project area to alteration of the vegetation composition and associated organisms identify, categorize, and delineate natural and modified habitat types and in rangelands. ascertain their biodiversity value at the regional or national level; 62 Impacts Mitigation Measures • Ensure that any natural or modified habitat to be converted to livestock production does not contain critical habitat, including known habitat of critically endangered or endangered species, or important wildlife breeding, feeding, and staging areas; • Be aware of the presence of critically endangered or endangered species in the areas already used for livestock production and consider them during management processes; • Provide for minimum disturbance to surrounding areas when managing livestock. Health and Safety Industry-specific recommendations are presented below. • Maintain walking and working surfaces clean and dry and provide workers with anti-slip footwear; • Provide workers with training in the proper use of equipment (including the proper use of machine safety devices • Avoid dust- and aerosol-generating activities (e.g. use of compressed air or high-pressure water for cleaning) and, where they cannot be avoided, provide proper ventilation of enclosed or semi-enclosed areas to reduce or eliminate exposure to dust and aerosols; • Install exhaust ventilation equipped with filters and / or cyclones, at sources of dust; • Replacement of the hazardous substance with a less hazardous substitute • Implementation of engineering and administrative control measures to avoid or minimize the release of hazardous substances into the work environment keeping the level of exposure below internationally established or recognized limits • Keeping the number of employees exposed, or likely to become exposed, to a minimum • Control farm animals, equipment, personnel, and wild or domestic animals entering the facility (e.g. quarantine periods for new animals, washing and disinfecting crates, disinfection and coverage of shoes before entry into bird housing zones, providing protective clothing to personnel, and closing holes in buildings to keep out wild animals); • Vehicles that go from farm to farm (e.g. transport of veterinarians, farm suppliers, buyers, etc.) should be subject to special precautions such as 63 Impacts Mitigation Measures limiting their operation to special areas with biosecurity measures, spraying of tires and treating parking areas with disinfectants; • Sanitize animal housing areas; • Identify and segregate sick animals and develop management procedures for adequate removal and disposal of dead animals 64 Table 5: Major Impacts and mitigation measures for activities in Poultry production and Processing Value chain12 Impacts Mitigation Measures Solid waste generated during poultry production includes waste Recommended measures to maximize the efficiency of the operation and minimize feed, animal waste, carcasses, and sediments and sludge from wasted feed include the following: on-site wastewater treatment facilities (which may contain • Protect feed from exposure to rain and wind during processing, storage, residual amounts of growth enhancers and antibiotics, among transport and feeding. other hazardous constituents). Other wastes include various • Maintain feed storage, transport and feeding systems in good working kinds of packaging (e.g. for feed and pesticides), used condition; ventilation filters, unused / spoilt medications, and used cleaning • Maintain records of livestock feed use; materials. • Consider mixing of waste feed with other recyclable materials destined for use as fertilizer; and Feed can become unusable waste material if spilled during storage, • For waste feed, which cannot be recycled due to potential biosecurity issues, loading, and unloading or during animal feeding. Waste feed, alternative disposal methods should be secured in consultation with local including additives, may contribute to contamination of storm health authorities. water runoff, primarily due to its organic matter content. The following management measures are recommended to minimize the amount of Poultry carcasses should be properly and quickly managed as they are a manure produced, to facilitate handling of animal wastes, and to minimize significant source of disease and odors, and can attract vectors. migration of contaminants to surface water, groundwater, and air: • Implement a Comprehensive Nutrition Management Plan, including a nutrient mass balance for the entire farm. The plan should ensure that manure application does not exceed the nutrient uptake by vegetation and should include record-keeping of nutrient management practices6; • Match feed content to the specific nutritional requirements of the birds in their different production / growth stages; • Use low-protein diets, supplemented with amino acids-; • Use low-phosphorus diets with highly digestible inorganic phosphates (e.g. for poultry, a total phosphorus reduction of 0.05 to 0.1 percent [0.5 to 1 g/kg of feed] can be achieved); 12 Based on WBG Industry Sector Guidelines for Agribusiness/Food Production. 65 Impacts Mitigation Measures • Use quality, uncontaminated feed materials (e.g. where concentrations of pesticides and dioxins are known and do not exceed acceptable levels) that contain no more copper, zinc, and other additives than is necessary for animal health; • Ensure production and manure storage facilities are constructed to prevent manure contamination of surface water and ground water (e.g. use of concrete floors, use of roof gutters on buildings to collect and divert clean storm water, and covering manure storage areas with a fixed roof or plastic sheeting); • Keep waste as dry as possible by scraping wastes instead of or in addition to flushing with water to remove waste, minimize amount of water used during cleaning (for example, by using high-pressure, low-flow nozzles) Poultry Carcasses • Reduce mortalities through proper animal care and disease prevention; • Collect carcasses on a regular basis to prevent putrefaction; • Compost only disease-free carcasses and ensure that the composting process is managed to prevent leachate and odors (e.g. sufficient cover material, proper temperature and moisture content); • Use reliable commercially available options approved by local authorities that dispose of carcasses by rendering or incineration; • Use onsite burial where there is no collection and rendering services Wastewater • Reduce water use and spills from animal watering by preventing overflow of Poultry operations may generate effluents from various sources watering devices and using calibrated, well-maintained self-watering devices; including runoff from poultry housing, feeding, and watering; • Install vegetative filters to trap sediment; from waste storage and management facilities. Waste • Install surface water diversions to direct clean runoff around areas containing management activities such as land application of manure, may waste; generated non-point source effluents due to runoff. Both types • Implement buffer zones to surface water bodies, as appropriate to local of effluents have the potential to contaminate surface water and conditions and requirements, and avoiding land spreading of manure within groundwater with nutrients, ammonia, sediment, pesticides, these areas. pathogens, and feed additives, such as heavy metals, hormones, and antibiotics. Air Emissions Ammonia and Odor • Air emissions from poultry production include primarily ammonia • Consider the siting of new facilities taking into account distances to neighbors (e.g. management of animal waste), odors (e.g. animal housing and the propagation of odors; 66 Impacts Mitigation Measures and waste management), and dust (e.g. feed storage, loading and • Control the temperature, humidity, and other environmental factors of manure unloading, and waste management activities). storage to reduce emissions; • There could also be odor production during poultry processing. • Consider composting of manure to reduce odor emissions; Major process odor sources include scalding, live bird handling, • Reduce emissions and odors during land application activities by applying a wastewater treatment, and rendering. Other sources of odors few centimeters below the soil surface and by selecting favorable weather include by-products, blood collection tanks, manure piles, and fat conditions (e.g. wind blowing away from inhabited areas); traps. • Maintenance of clean live bird handling areas by removing fecal matter and dead birds on a daily basis; • Emptying and cleaning fat traps frequently; • Reducing the inventory of raw carcasses, waste, and byproducts and minimizing any storage to short periods of time in a cold, closed, well- ventilated area. Dead birds, waste, and byproducts should not be stored in open spaces, where possible; • Sealing off animal by-products during transport and transporting blood in insulated containers to reduce temperature increase; Dust • Install dust collection systems (including use of misters) in areas with dusty operations (e.g. feed grinding); • Implement fugitive dust-control measures (e.g. wetting vehicle parking lots and frequently traveled dirt roads, as necessary); • Ensure the prevention of bioaerosols emissions, which may contain disease- causing agents, through the application of the above-reference dust and emissions control measures in manure production and storage facilities. • Animal disease-causing agents can spread rapidly, especially in • Establish sound biosecurity protocols for the entire poultry operation that intensive livestock operations. Animal diseases can enter a facility control animals, feed, equipment, and personnel, entering the facility (for with new animals, on equipment, and on people. Some diseases can example, quarantine periods for new animals, washing and disinfecting weaken or kill large numbers of animals at an infected facility. equipment, showering and protective clothing and footwear for personnel, and Both poultry manure and carcasses contain pathogenic organisms keeping out stray animals, rodents and birds); which can infect humans, for example viruses such as Avian • Control farm animals, equipment, personnel, and wild or domestic animals Influenza (strain HN51), and parasites such as parasitical worms. entering the facility (e.g. quarantine periods for new animals, washing and disinfecting crates, disinfection and coverage of shoes before entry into bird housing zones, providing protective clothing to personnel, and closing holes in buildings to keep out wild animals); 67 Impacts Mitigation Measures • Prevent the interaction of wild birds with feed, as this interaction could be a factor in the spread of avian influenza from sparrows, crows, etc. • Vehicles that go from farm to farm (e.g. transport of veterinarians, farm suppliers, buyers, etc.) should be subject to special precautions such as limiting their operation to special areas with biosecurity measures, spraying of tires and treating parking areas with disinfectants; • Sanitize bird housing areas; • Establish a detailed animal health program supported by the necessary veterinary and laboratory capability. Identify and segregate sick birds24 and develop management procedures for adequate removal and disposal of dead birds). • Where possible establish all in- all out systems with only one age group per farm; • Workers on multiple age bird farms should always work with the youngest birds first before moving on to the older birds; • Train workers in the application of animal health products. 68 Table 6: Major Impacts and mitigation measures for activities in Fishery/aquaculture Value chain13 Impacts Mitigation Measures Threats to Biodiversity • Survey the project area before land and water conversion to aquaculture Threats to biodiversity are mainly associated with conversion of production is undertaken to identify, categorize, and delineate natural and natural habitats during construction; potential release of alien modified habitats and ascertain their biodiversity importance at the national or species into the natural environment during operations; potential regional level; loss of genetic resources due to collection of larvae, fry, or • Ensure that the area to be converted to aquaculture use does not represent a juveniles for aquaculture production; potential release of habitat that is unique or protected (such as mangrove areas), or includes high artificially propagated seed into the wild; sustainability of biodiversity value, such as known sites of critically endangered or endangered fish meal and fish oil ingredients for fish and crustacean feeds; species, or important wildlife breeding, feeding, and staging areas; and development of antibiotic resistance in pathogenic bacteria • Be aware of the presence of critically endangered or endangered species in the that can then spread from farms to wild stock. areas already used for aquaculture production, and implement management Conversion of natural habitats processes that take them into account; • Construction and operation of an aquaculture facility may require • Design facilities so that as much as possible of the natural vegetation habitat is conversion of the natural environment including, for example, the left intact (e.g. through the use of vegetated buffer zones and habitat corridors) removal of mangroves for excavation of ponds, or alteration of and that conversion and degradation of the natural habitat is minimized the natural hydrology of lagoons, basins, rivers, or wetlands. • Design and implement mitigation measures to achieve no net loss of • Operational phase issues may also include alteration of aquatic biodiversity where feasible, for instance through post-operation restoration of habitats and substrates habitats; offset of losses through the creation of ecologically comparable • . area(s) managed for biodiversity; and compensation to direct users of • High seepage rates can also pollute groundwater required for biodiversity; other purposes in the vicinity with use for drinking water a • Avoid the need to frequently abandon and replace improperly designed and major concern. built aquaculture ponds: • Assess soil properties prior to pond construction to ensure that the bottom- sealing layer of the soil with percolation rates/porosity low enough to satisfactorily hold pond water. If there is not enough clay, then the ponds may demonstrate high seepage rates and require additional expenditure (e.g. pumping in water, or relining with clay-rich or possibly bentonite-rich topsoil from other sites) or eventual abandonment. • Assess the soil pH and the presence of pesticide and pollutant residues (especially on land that was previously used for intensive agriculture), as well 13 Based on WBG Industry Sector Guidelines for Agribusiness/Food Production. 69 Impacts Mitigation Measures as the natural occurrence of pyrite, prior to construction as the presence of anthropogenic or natural pollutants may hinder the viability of the pond. Introduction of Alien, Selectively Bred, or Genetically • Management measures to reduce the risks from introductions of alien, Engineered Species selectively bred, or genetically modified species include the following: • Interactions with the wild, including escapes from farms, or • Application of codes and guidelines; open systems • Farming of sterile fish; • Disturb the existing ecological balance; cause loss of species • Preventing the escape of species from pond-based biodiversity; cause loss of genetic diversity of the wild aquaculture systems, using the following: populations; reduce fitness of wild population through breeding ✓ Installation and maintenance of screens with a mesh that is small with genetically altered escapees; and result in the transmission enough to prevent the entry and potential escape of aquatic species in or spread of fish diseases. the drainage channels connecting production ponds to sedimentation ponds, as well as those connecting sedimentation ponds to the receiving water ✓ Installation and maintenance of gravel filtration on pond discharge structures ✓ When necessary, consider chemical treatment of water released from hatcheries (e.g. with chlorine at acceptable concentrations for the receiving waters) to destroy escaping larvae or juveniles ✓ Consider the hydrology of the region in the design of the pond system and ensure that the pond embankments are high enough to contain the pond water and prevent escape of the species during periods of heavy rainfall and potential flooding ✓ Establish a contingency plan if there is an escape of the species being cultivated into the wild • Preventing the escape of species from open water aquaculture systems, using the following: ✓ Regularly inspect the cage and pen netting for holes (e.g. before crowding of the harvest and at intervals during the operation) ✓ Design and construct cage and pen units, including choice of nets, to deal with the worst weather and environmental conditions likely to occur on the site ✓ Provide for containment during periods of storm surges and excessively high tides 70 Impacts Mitigation Measures ✓ For cage culture in open waters, use submersible cages that can be submerged during storms below damaging wave action ✓ Provide adequate marking of the fish farm system to warn navigators of the potential obstruction and reduce the risk of collision ✓ Establish a contingency plan for harvest of escapees of the species being cultivated into the wild Impacts of Harvesting on Ecosystem Functions • Breeding of stock material in captivity. • The practice of capturing females, eggs, fry, juveniles, or even • Careful harvesting of hatchlings/ and or fry (less than 3 cm) that are still at a fingerlings from the wild for the purpose of stocking stage of expected high mortality can result in relatively little impact on the aquaculture systems may threaten ecosystem biodiversity. overall population as compared to collecting larger fingerlings from a smaller • Fry and larvae may be gathered from fresh or brackish water population for grow-out. using very fine meshed nets resulting in considerable by-catch, as well as the removal of large number of larvae, fry, and juveniles from the food chain. • Effects on pelagic fish stocks from which fish meal and fish oil • Incorporating the use of alternatives to supplies of fish feed are derived. produced from fish meal and fish oil. • Alternatives for fish feed ingredients may include use of plant material substitutes [e.g. soya for bulk protein and single-cell protein (yeast for lysine and other amino acids)] and biotechnology options (e.g. biofermentation products). Source Water quality • Selecting water with good quality • The water itself can affect the health of the organism as well as • Regular checkup of water quality contribute to the accumulation of substances or pathogens toxic to consumers. Soil Erosion and Sedimentation • Construct pond and canal levees with a 2:1 or 3:1 slope (based on soil type) as • Earth excavation and moving activities conducted during this adds stability to the pond banks, reduces erosion, and deters weeds. Avoid construction of some types of aquaculture projects may result in pond construction in areas that have a slope of more than 2 soil erosion and the subsequent sedimentation of nearby water percent, as this will require energy-intensive construction and maintenance; bodies. • Stabilize the embankments to prevent erosion; • Sedimentation of aquatic resources may contribute to • Reduce excavation and disturbance of acid sulfate soils during construction; eutrophication and overall degradation of water quality. • Carry out construction work during the ‘dry’ season to reduce sediment runoff that may pollute adjacent waters; • Install temporary silt fences during construction to slow down and catch any suspended sediments. Silt fences can be made of woven plastic or fabric, or hay bales. 71 Impacts Mitigation Measures • The effluent released from aquaculture systems typically contains Feed a high organic and nutrient load, suspended solids, and may also • Ensure that pellet feed has a minimum amount of “fines” or feed dust. Fines contain chemical residues including feed supplements and are not consumed and add to the nutrient load in the water; antibiotics. • Match the pellet size to the species’ life-cycle stage (e.g. smaller pellets should • Causes contamination of groundwater and surface water from be fed to fry or juvenile animals to reduce the unconsumed fraction); release of effluents or communication to receiving water from • Regularly monitor feed uptake to determine whether it is unconfined process and storage tanks (such as ponds and being consumed and adjust feeding rates accordingly. Feed may be wasted due lagoons). to overfeeding or not feeding at the right time of day; • Creation of eutrophic zones within receiving waters, • Where feasible, use floating or extruded feed pellets as they allow for • Increased fluctuation of dissolved oxygen levels, creation of observation during feeding time; visible plumes, and accumulation of nutrients within the receiving • Store feed in cool, dry facilities and ideally for no longer than 30 days to avoid waters reduction in vitamin contents. Moldy feed should never be used as it may • Pond ecosystems have a limited capacity to recycle organic cause disease; matter and nutrients, and increasing the stocking rate removes • Spread feed as evenly as possible throughout the culture system, ensuring that this capacity, resulting in the build-up of organic matter, as many animals as possible have access to the feed. Some species are highly nitrogenous waste, and phosphorus both in the water mass and territorial, and uneaten feed adds to the nutrient load; on the bottom of the pond or pen / cage. • Feed several times a day, especially when animals are young, allowing better • Contamination by suspended solids from particulate organic access to food, better feed conversion ratios and less waste; matter and erosion of pond floor, walls, and discharge channels. • Halt feeding at a suitable interval before harvest to eliminate the presence of food and / or fecal material in the animal’s gut; • During harvesting, contain and disinfect blood water and effluent to reduce the risk of disease spread and to contain effluent matter. Other organic materials: • Perform slaughter and processing in an area where the effluent is contained; • Prevent effluent leakage from harvest rafts and bins by using harvest bins in good condition with sealed bin liners and secure lids and bindings; • Equip off-loading bays with a waterproof apron and surround with a bund to contain potential spills and prevent contamination with effluent. Suspended solids: • Avoid discharging waters from ponds while they are being harvested with nets, as this will add to the suspended solids in the effluent drainage; • If feasible, use partial draining techniques to empty ponds that have been harvested. The last 10–15 percent of pond water contains the highest quantities of dissolved nutrients, suspended solids, and organic matter. After harvest, 72 Impacts Mitigation Measures hold the remaining water in the pond for a number of days before discharge, or transfer to a separate treatment facility Fertilizers: • Plan the rate and mode of application of fertilizers to maximize utilization and prevent over-application, taking into account predicted consumption rates; • Increase the efficiency of application and dispersion through such practices as dilution of liquid fertilizers or solution of granulated fertilizers prior to application. Other options include the use of powdered fertilizers or the placement of powdered fertilizer bags in shallow water to allow solution and dispersion; • Consider the use of time-released fertilizer in which resin coated granules release nutrients into the pond water, with the rate of release corresponding to water temperature and movement; • Avoid the use of fertilizers containing ammonia or ammonium in water with pH of 8 or above to avoid the formation of toxic unionized ammonia (NH3) • Depending on the system (e.g., freshwater aquaculture), grow organic fertilizer (e.g. natural grass) in the pond basin after harvest; • Initiate pond fertilization only in static ponds with no pond water overflow that can impact downstream waters and watersheds; • Conduct pond fertilization to avoid or minimize consequences of potential runoff due to floods or heavy rain and avoid application to overflowing ponds. • Prevent pond effluent from entering surrounding water bodies: • In some fish systems, avoid automatic drainage of ponds at the end of the production cycle as the same pond water may be used to cultivate several crop rotations of certain species (e.g. catfish); • Reuse water from harvested ponds by pumping it into adjacent ponds to help complement their primary productivity, provided that the level of BOD is controlled; This process is called “bloom seeding,” and requires careful timing of harvests; • Consider the hydrology of the region in the design of the pond system and ensure that the pond embankments are high enough to contain the pond water and prevent loss of effluent during periods of increased rainfall and potential flooding. 73 Impacts Mitigation Measures Chemical Pollution • Malachite green is banned in most countries and must not be used. • The chemical residues may include the remains of veterinary • Formalin should only be used under controlled conditions (e.g. in dipping drugs (e.g. antibiotics) that may have been applied to the containers) and with proper care – it should not be introduced directly into cultivated species, and toxic substances such as formalin and production systems malachite green, a cancer causing agent, that may have been used • Design the pond depth to reduce the need for chemical control of aquatic to treat finfish for parasites and their eggs for fungal growth. weeds and reduce thermal stratification; • Do not use antifoulants to treat cages and pens. The chemically active substances used in antifouling agents are very poisonous and highly stable in an aquatic environment. Clean nets regularly Drowning • Provide lifejackets and harnesses with safety clip (karabiners) that lock on to • The risk of drowning is present in almost all aquaculture lines or fixed points; operations and, especially, in cage aquaculture at sea. • Ensure that personnel are experienced swimmers; • Train personnel in safety at sea, including procedures for supervision of personnel; Water borne Disease • Occupational health and safety measure • Workers may be directly or indirectly exposed to water-borne • Medical screening for the labor force and diseases due to frequent contact with water (ponds) and the close • Implementation of preventive measures (e.g. mosquito nets in living quarters). proximity of living quarters to surface water bodies. 74 Table 7: Possible Environmental and Social Impacts and mitigation measures for Market and commercialization Infrastructures 3. Enabling Environment: Market and Commercialization Infrastructures Infrastructure type Impacts Mitigation Measure All Infrastructures • Impact on cultural and historical places (protected • Cognizance must be taken of any cultural resources or artifacts areas, religious sites, traditional places, within close proximity of a proposed infrastructure site archeological and historical sites – old buildings • Reference should be made to the results of social assessment and houses, graveyards, religiously enclosed areas, document of LFSDP and public consultation findings to be religious leaders houses) conducted for each infrastructure • Resettlement Impacts: Impact on livelihood or • Avoiding settlement sites, recreational areas and access roads access to livelihoods when siting • For unavoidable resettlement; develop appropriate RAP to identify the affected community, when and how to resettle them and the responsible body based on the procedures described in the RPF • During construction loss of vegetative habitats will • Site selection to avoid sites of nature conservation value occur, while physical site disturbance and noise ensuring adequate survey of flora and fauna of the proposed from construction activities will cause the infrastructure location and surrounding area and include temporary displacement of most fauna from the consideration of potential impacts from new access roads. vicinity of the construction site and adjacent areas. • Good site design and good management during construction to minimize pollution potential. • Provision of wildlife corridors and buffer zones • Soil erosion due to increase runoff or earth • passive spill protection and impermeable hard standing; movement, during construction / site restoration / • appropriate designs for buildings / structures on site; clearing of vegetation / site grading; • appropriate screening and planted buffer zones to reduce • Compaction of soil due to vehicle movements, visual impacts; causing reduced infiltration of water and difficulty • use of drip trays under stationary machinery to prevent oil / of penetration by plant roots; greases • Land slips and landslides due to poor embankment grading; • Ground contamination from the spillage of materials such as vehicle fuel, or the release of contaminants already present in the land / soil; 75 3. Enabling Environment: Market and Commercialization Infrastructures Infrastructure type Impacts Mitigation Measure • Risk of collapse and subsidence • The principal noise sources associated with construction activities include heavy equipment such as bulldozers, scrapers, and trucks. However, these noise sources will only have a temporary impact for the duration of the construction. Slaughter houses • The waste water from slaughterhouses contains • Water usage should be minimized; large amounts of organic material and nitrogen as • All contaminated water is collected prior to treatment; well as remains of cleaning agents. The high • Hazardous or potentially polluting materials such as fuel, oil concentration of pollutants in the wastewater can or wastes going to landfill must be sited on an impervious base largely be traced to the tripe-dressing plants and to away from water, kept locked when unattended; the treatment of blood waste. The pollutants in the water consist of dissolved and emulsified organic substances. • Impact to fresh water flora and fauna can occur as a result of the discharge containing BOD and COD. • Increased nutrient concentrations in the receiving water body can result in a shift in normal phytoplankton populations and algal blooms. • A significant amount of bacteria and viruses will be discharged with the effluent. • Operations at slaughterhouses may cause problems • Good housekeeping: prompt removal of dung, spilt body with unpleasant odors. Discharges of unpleasant contents or by-products such as blood and fats; odors come primarily from the disposal of offal • Bio-filtration to remove odorous compounds and waste, but can also come from parts of the • All odor producing processes to be performed within buildings internal waste water treatment and the holding so atmospheric releases can be controlled. pens. 76 5.5. Pesticide Impacts and Management Pesticides in particular insecticides will be used to control vector-born animal diseases. IPM approaches in the mammalian livestock and poultry industry, based on the World Bank Group Environmental, Health, and Safety Guidelines for Mammalian Livestock and Poultry Production, is presented under this section. Detailed procedures that need to be followed in IPM planning, design and implementation are presented in Annex 13. In mammalian livestock production and poultry production, pesticides may be applied directly to livestock or to structures (e.g. barns and housing units) and to control pests (e.g. parasites and vectors) using dipping vats, sprayers, and foggers. Pesticides can also be used to control predators. The potential pollutants from pesticides include the active and inert ingredients, diluents, and persistent degradation products. Pesticides and their degradation products may enter groundwater and surface water in solution, in emulsion, or bound to soil particles. Pesticides may, in some instances, impair the uses of surface waters and groundwater. Some pesticides are suspected or known to cause chronic or acute health hazards for humans as well as adverse ecological impacts. By reducing pesticide use, mammalian livestock production operators may reduce not only the environmental impacts of their operations, but also production costs. Pesticides should be managed to avoid their migration into off-site land or water environments by establishing their use as part of an Integrated Pest Management (IPM) strategy and as documented in a Pesticide Management Plan (PMP). The following stages should be considered when designing and implementing an IPM strategy, giving preference to alternative pest management strategies, with the use of synthetic chemical pesticides as a last option. IPM uses an understanding of the life cycle of pests and their interaction with the environment in combination with available pest control methods to keep pests at a level that is within the economically damaging threshold with a minimum of adverse environmental and human health impacts. Recommended IPM approaches in the mammalian livestock and poultry industry include the following: · Maintain structures to keep out pests (e.g. plug holes, seal gaps around doors and windows); · Use mechanical controls (e.g. traps, barriers, light, and sound) to kill, relocate, or repel pests; · Use predators to control pests. Protect natural enemies of pests by providing a favorable habitat (e.g. bushes for nesting sites and other indigenous vegetation) that can house pest predators; · Use good housekeeping practices in barns and other facilities to limit food sources and habitat for pests; 77 · Improve drainage and reduce standing water to control mosquito populations; · Consider covering manure piles with geotextiles (which allow water to enter the pile and maintain composting activity) to reduce fly populations; · If pesticides are used, identify in the IPM plan the need for the pesticide and evaluate their effectiveness, as well as potential environmental impacts, to ensure that the pesticide with the least adverse impact is selected (e.g. non-leachable pesticides). Good Management Practices If the application of pesticides is warranted, spill prevention and control measures consistent with the recommendations applicable to pesticides and other potential hazardous materials as noted in the General EHS Guideline should be followed. In addition, the following actions specific to mammalian livestock production should be taken to reduce environmental impacts: Train personnel to apply pesticides according to planned procedures, while using the necessary protective clothing. Where feasible or required, pesticide application personnel should be certified for this purpose. Review the manufacturer’s instructions on the maximum recommended dosage and treatment, as well as published experiences on the reduced rate of pesticide applications without loss of effect, and apply the minimum effective dose Avoid the use of pesticides that fall under the World Health Organization Recommended Classification of Pesticides by Hazard Classes 1a and 1b Avoid the use of pesticides that fall under the World Health Organization (WHO) Recommended Classification of Pesticides by Hazard Class II if the project host country lacks restrictions on distribution and use of these chemicals, or if they are likely to be accessible to personnel without proper training equipment, and facilities to handle, store, apply, and dispose of these products properly Avoid the use of pesticides listed in annexes A and B of the Stockholm Convention, except under the conditions noted in the convention; • Use only pesticides that are manufactured under license and registered and approved by the appropriate authority and in accordance with Food and Agriculture Organization’s (FAO’s) International Code of Conduct on the Distribution and Use of Pesticides; • Use only pesticides that are labeled in accordance with international standards and norms, such as the FAO’s Revised Guidelines for Good Labeling Practice for Pesticides; • Select application technologies and practices designed to reduce unintentional drift or runoff, only as indicated in an IPM program, and under controlled conditions 78 • Maintain and calibrate pesticide application equipment in accordance with the manufacturer’s recommendations; • Store pesticides in their original packaging, and in a dedicated location that can be locked and properly identified with signs, with access limited to authorized persons. No human or animal food should be stored in this location • Mixing and transfer of pesticides should be undertaken by trained personnel in ventilated and well-lit areas, using containers designed and dedicated for this purpose • Used pesticide containers should not be used for any other purpose (e.g. drinking water) and should be managed as a hazardous waste as described in the General EHS Guidelines. Disposal of containers contaminated with pesticides also should be done in a manner consistent with FAO guidelines and with manufacturer's directions; • Purchase and store no more pesticide than needed and rotate stock using a “first -in, first-out” principle so that pesticides do not become obsolete. Additionally, the use of obsolete pesticides should be avoided under all circumstances; A management plan that includes measures for the containment, storage and ultimate destruction of all obsolete stocks should be prepared in accordance to guidelines by FAO and consistent with country commitments under the Stockholm, Rotterdam and Basel Conventions. • Implement groundwater supply wellhead setbacks for pesticide application and storage; • Maintain records of pesticide use and effectiveness 79 6. ESMF Process for LFSDP Subprojects This section outlines general environmental and social screening procedures, approval, implementation and reporting systems (Figure 3). To avoid or minimize the adverse environmental and social impacts of subprojects, in all the ESMF processes, the KDC including the DA, the Woreda and regional implementing agencies (IAs) are required to use the environmental and social screening checklists indicated in Annex 1 and 2. The community will participate in subproject identification and business plan development through Community Level Participatory Planning (CLPP) approach. The KDC and DAs will participate in the environmental and social screening process. The ESMF process is consistent with the applicable national Environmental assessment procedures and the World Bank safeguard policies. The type and location of the sub-projects are not identified at this stage and their impacts cannot be fully determined until project planning is started. Therefore, each sub-project and business plan should pass through environmental and social screening process so as to identify project specific and site specific impacts, the sub-project category and the level and type of environmental and social work required for avoiding minimizing, and also compensating for adverse impacts. 6.1.Subproject Screening Process The objective is to assess any potential safeguard issues early in the design and preparation process, and classify the sub-projects either as B or C, depending on the level and nature of potential detrimental environmental and social impacts. The screening of LFSDP subprojects will be conducted by completing the designated subproject screening checklist as indicated in Table 3 below & in Annex 1, and 2. Step 1: Sub-project Identification The initial step will be sub-project or business plan identification. Sub-projects and business plans will be identified by the beneficiaries at community and Kebele level which will be integrated into the Kebele development plan and finally consolidated into the Woreda development plan. 80 Figure 3: Flow chart of LFSDP's ESMF procedure 81 The project staffs at Woreda level will initiate and facilitate the sub-project identification and planning processes at community level. The plans at Woreda level has to be reviewed and checked for appropriateness by the technical committees of the project (at woreda, zone, region federal) before approved by steering committees at different levels. This process of identification, planning and endorsing of sub-projects/business plans will be repeated every year. The following are some of the sub-projects to be financed by LFSDP: • Primary Milk Collection Points (MCP) • Milk Collection Center (MCC) • Milk processing centers (MPC for pasteurized whole and skimmed milk, butter and ghee production) • Small-scale dairy/small ruminants fattening cooperatives • Small-scale chicken abattoirs • Chicken cooperative of small scale specialized poultry producers for broilers production • Broiler production and grilling • Tilapia or catfish production in 300m2 fish ponds • Small/medium size commercial infrastructure • Small and medium scale building, storage room, fences and watering systems • Medium scale abattoir for poultry including cooling corridor and building for packaging and food storage Step 2: Checking Eligibility of subprojects and Business plans Once the local communities identified small scale subprojects and prepare basic business plans; DAs and KDCs screen these subprojects against the following environmental and social screening checklist to check their eligibility for LFSDP financing. Eligibility of some sub-projects with wider scope such as Abattoirs, fish hatcheries and milk collection centers as well as advanced business plans to be financed under LFSDP will be checked by WAT at woreda level using the same screening checklist displayed below. Table 8: Checklist to check subprojects eligibility for LFSDP financing Will the sub-project or business plan: Yes No Cause significant involuntary displacement of people or social disturbances, involuntary loss of assets? The Bank does not provide specific categorization criteria relating to OP 4.12, Involuntary Resettlement. Generally, projects with significant resettlement-related impacts should be classified as Category A. Application of judgment is necessary in assessing the potential significance of resettlement-related impacts, which vary in scope and scale from project to project. Projects that would require physical relocation of residents or businesses, as well as projects that would cause any individuals to lose more than 10 percent of their productive land area, often are classified as Category A. Scale may also be a factor, even 82 when the significance of impacts is relatively minor. Projects affecting whole communities or relatively large numbers of persons (for example, more than 1,000 in total) may warrant classification as Category A, especially for projects in which implementation capacity is likely to be weak. Involve removal or conversion of forests and other natural resources? A project with the potential for significant conversion or degradation of natural forests is classified as Category A. Natural forests are forest lands and associated waterways where the ecosystem’s biological communities are formed largely by native plant and animal species and where human activity has not essentially modified the area’s primary ecological functions. disrupt the quality or quantity of water in a waterway shared with other nations Cause degradation of critical natural habitats cause any loss of biodiversity? Cause any large-scale physical disturbance of the site or the surroundings The project is classified as Category A if the screening indicates the potential for significant conversion or degradation of critical or other natural habitats. Significant conversion is the elimination or severe diminution of the integrity of critical or other natural habitats caused by a major, long-term change in land use or water use. Significant conversion may include, for example, land clearing; replacement of natural vegetation; permanent flooding; drainage, dredging, filling, or channelization of wetlands; or surface mining. Conversion can result directly from the action of a project or through an indirect mechanism (e.g., through induced settlement along a road). Degradation is modification of a critical or other natural habitat that substantially reduces the habitat’s ability to maintain viable population of native species. affect important physical and cultural resources (historical, religious, archaeological sites and monuments) Physical Cultural Resources, as defined under OP 4.11, are movable or immovable objects, sites, structures, groups of structures, and natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. A project that will likely have significant adverse impacts on PCR is classified as Category A. affect any vulnerable or underserved groups The Bank does not provide specific categorization criteria relating to OP 4.10, Indigenous Peoples. Though the policy applies whenever a group meeting the Bank’s definition of Indigenous Peoples is present in the project area, categorization typically reflects the potential significance of any adverse impacts upon such groups. Projects that would require relocation of Indigenous Peoples, that would restrict their access to traditional lands or resources, or that would seek to impose changes to Indigenous Peoples’ traditional institutions, are always likely to be classified as Category A. Implemented in or around non-viable commune centers (CCs) 83 likely to use pesticides or other agro-chemicals Projects that include the manufacture, use, or disposal of environmentally significant quantities of pest control products are classified as Category A. Environmental significance takes into account the impacts, including benefits, on human health. If the answer to any one of the questions indicated in the table above is ‘Yes’, then the subproject or business plan should be rejected unless the features can be avoided by change of design or location. If on the contrary, the answer is ‘No’ for all of the above questions, then proceed to the next step. Once subprojects or basic business plans screened at kebele level, the subproject will be sent as part of the woreda development plan and sent to Woreda relevant IAs such as Office of Livestock and fisheries/Agriculture, cooperatives office, Office of Water/Irrigation development, etc. for further screening. If the eligibility screening is done for advanced business plans at Woreda level, then it will be sent to the regional IAs or RPCUs for further Environmental and social screening at regional level. If there is a live commune development program being undertaken in LFSDP target areas, federal and regional ESS experts should collaborate and check the viability of all CCs located within or in proximity to the target Woredas. A procedure (Annex 3) is prepared to check the viability of CCs so as to enable LFSDP identify non-viable CCs in advance and avoid financing sub-projects or business plans, in such sites. A list of viable and non-viable CCs will be developed in the first year by the safeguard experts to assist project implementation. Step 3: Environmental and Social Screening Once the subprojects and basic business plans are designed and screened at Kebele level, they should further be screened at Woreda level by relevant Woreda Implementing Agencies (IAs) to which the subproject refers to as indicated above in step 1. The screening of sub-projects by the implementing agency at the Wereda level should be done using the checklist provided in Annex 2. Similarly, advanced business plans and some of the sub-projects designed and screened at woreda level should pass through a similar environmental and social screening procedure using the same checklist at regional level. ESS expert at RPCUs should collaborate with the regional IAs to do the screening at regional level. The following sections explain the steps that should be followed in screening sub-projects or business plans at all levels. First, the Woreda expert (for woreda level screening) or the safeguard expert in RPCU (for regional level screening) would check the eligibility criteria for all the subprojects as per table 3 above. The Bank and the Safeguards Unit of the PIU will have a more direct and proactive role in the screening process during the first 2 years of project implementation as MolF is a newly established ministry. If any of the LFSDP subprojects or business plans fall under the above category, the Woreda IA (for Woreda level screening) or regional safeguard specialist and/or regional IA (for regional level 84 screening) should include all the necessary measures before approval of the subproject. For example, if the subproject is likely to use pesticides, pest management plan (PMP) should be prepared. Similarly, if the subproject involves land acquisition, or loss of assets, or access to assets on the land, the Woreda IA (for Woreda level screening) or regional safeguard expert (for regional level screening) should prepare a resettlement action plan (RAP) or Abbreviated Resettlement Action Plan (ARAP). As there may be capacity problem by Woreda IAs in carrying out environmental and social screening, Regional ESS expert would provide the Woreda IAs with technical support on these matters. For difficulties faced in screening at regional level, the federal ESS specialists should provide the required trainings. For subprojects, which require PMP preparation before approval, the main responsible IA is Woreda office of Agriculture/livestock and fisheries. Regional bureau of Agriculture/livestock and fisheries provide technical support regarding PMP preparation and related issues. The regional plant health clinics may also have role on giving technical support in this regard. Integrated Pest Management (IPM) is an integral part of the PMP. Best practices related to IPM found in the country like farmer field schools and others can be explored during PMP preparation and implementation. Further, the potential impacts and significance should be assessed using environmental and social impact rating checklist which provided under annex 2. The checklist provides potential environmental and social impacts for LFSDP subprojects or supported business plans with different rate of potential impacts. Go to the relevant section of the checklist and mark (√) each potential impacts listed as None, Low, Medium, High or Unknown. Once the checklist is filled, count the number of potential impacts marked as None, Low, Medium, High and Unknown. The table below (table 4) helps you to determine what to do after filling the impact rating checklist. It also describes further actions need to be taken at this stage before proceeding to the next level based on the results. Table 9: Rating and classification of potential impacts of LFSDP subprojects or business plans For sub-projects with no impact (All These subprojects should also be labeled as ‘subprojects of impact rating becomes ‘None’) no environmental and social concern’. Approval by Woreda or Regional EFCCA For sub-projects with low, medium These subprojects should also be labeled as ‘subprojects of and/or one high impact medium environmental and social concern’. Incorporate potential mitigation measures into the design of the subprojects. ESMP should be prepared. Refer to the potential mitigation measures listed for each potential impact in this ESMF Subprojects cause more than one high These subprojects should also be labeled as ‘subprojects of potential impact plus more than two high environmental and social concern’ because changing unknown impacts the design may not avoid the anticipated adverse impacts. ESMP should be prepared and/or additional assessment (partial ESIA) may be required. 85 Subprojects where it is difficult to These subprojects should also be labeled as ‘subprojects of predict the potential impacts, i.e., unknown environmental and concern’ because of the many subprojects which have two or more unpredictable potential impacts. ESMP should be prepared unknown potential impacts and/or additional assessment (partial ESIA) may be required. Subprojects labeled as ‘subprojects of no environmental and social concern’, environmental and social clearance (ESC) will be given by Woreda environment, forest and climate change (EFCC) office or equivalent and sent to concerned Woreda implementing agencies which the project refers to, or to Woreda Office of Livestock and fisheries or equivalent for financing. Similar ESC will be given at regional level (for the sub-projects screened to have no Environmental and social concern). Details of sub-project/business plan review and approval at all levels can be found in the following sub-sections. For sub-projects labeled as ‘unknown’ and/or ‘high’ environmental and social concern, the need to conduct additional assessment (partial ESIA) should be decided through discussion among federal and regional safeguard specialists and regional EFCCA. The discussion and final decision should be guided by project scheduling described under Ethiopian EIA guideline, 2000 and the World Bank OP/BP 4.01. 6.2.Review and Approval A. Subproject review and approval at Woreda level Subprojects which are not labeled as ‘subprojects of environmental concern’, will be cleared by the respective Woreda EFCC office or equivalent Woreda implementing agencies which the project refers to, or to Woreda Office of Livestock and fisheries or equivalent for financing. The environmental and social screening reports and ESMP prepared by the Woreda relevant LFSDP implementing agencies (or WATs) for those subprojects and basic business plans which are labeled as subprojects of environmental concern should be reviewed by the Woreda EFCC office or by the respective Regional EFCCA. In doing so, the Woreda EFCC office follows two appraisal steps to appraise/review subprojects of which are labeled as subprojects of environmental concern. Desk appraisal of subprojects The Woreda EFCC office or the regional EFCCAs check the environmental and social screening checklist and impact rating checklist completed by the Woreda implementing agency to see whether or not it is done correctly and as per the requirement of the ESMF guideline. The regional EFCCA or Woreda EFCC office also review the ESMP including PMP and RAP/ prepared to check whether all the necessary information are included; and is done according to this ESMF guideline, and separate RPF document prepared for LFSDP. 86 Field Appraisal If the desk appraisal indicates that the proposed subproject may have environmental or social concerns that are not adequately addressed in the application or if the application meets certain criteria but the review authority requires field appraisal before the application can be considered further. For the field appraisal, the Woreda EFCC office use the field appraisal form indicated in Annex 4 of this ESMF guideline. After carrying out desk review and field appraisal, the Woreda EFCC office gives environmental and social clearance (ESC) to the Woreda relevant IAs to which the subproject is to be financed by LFSDP. The subprojects should not be financed and implemented by the Woreda IAs before ESC is obtained from the Woreda EFCC office. Business plan review committees (BPRCs) at Woreda level should verify fulfillment of the ESS requirements and issuance of ESC letter prior to approval of basic business plans. The finance section/unit of the Woreda IAs should not process any payment without the ESC letter is attached with the request for payment. For sub-projects and basic business plans screened at woreda level and labeled as ‘subprojects of high or unknown environmental and social concern’ proceed to the next step. B. Sub-project review and approval at regional level Notification of subprojects LFSDP sub-projects and basic business plans labeled as ‘subprojects of high or unknown environmental and social concern’ should be communicated from Woreda offices to regional line bureaus which the subproject refers and project coordination office. The RPCU communicates the subprojects with ‘high environmental and social concerns’ to the regional EFCC. Regional EFCC will handle safeguard review and approval of such sub-projects and business plans together with other wider scope LFSDP sub-projects and advanced business plans already screened at regional level. Review of subprojects by regional EFCC Authorities The regional EFCC Authorities should make note of the following points when reviewing/appraising any of the sub-projects/business plans submitted to it. LFSDP subprojects which involve the use of pesticides, land acquisition or loss of land assets or access to assets do likely require special arrangements such as the development of PMP and RAP/ARAP. Under this situation, the regional EFCC Authorities makes sure that these management plans are in place for these kinds of subprojects, and give technical support for the concerned implementing agency on the matter. The regional LFSDP ESS expert facilitate the process and provide technical support for the regional LFSDP IAs. 87 For LFSDP subprojects, which do not involve the use of pesticides, land acquisition or loss of land assets or access to assets, and which do not require partial ESIA, the regional EFCCA ensures that ESMP is prepared by regional PCU and concerned LFSDP IAs. The REFCCA may advice the concerned regional implementing agency on the following points: 1. Communicate the decisions for each of subprojects of ‘high environmental and social concern’ with regard to the need for partial ESIA. 2. If a partial ESIA is required, advice the concerned regional implementing agency and RPCU defines the scope with emphasis on the required skills, areas of focus and duration of ESIA. In other words, the regional EFCCA advice the regional LFSDP RPCU and IAs prepare TOR for partial ESIA and submit to regional EFCCA for review. Incorporating its comment, the regional EFCCA returns the TOR without delay to the LFSDP RPCU/IA to carry out the ESIA. In this regard, the regional and federal LFSDP ESS specialists will prepare the ToR, with technical support from the World Bank. The TOR for ESIA should also be submitted to the World Bank country office and the REFCCA for final review and no objection. 3. If a partial ESIA is not required, the regional EFCCA provides LFSDP RPCU/IA with guidelines in connection to technical matters, and ESMP. The concerned implementing agency should prepare and submit the ESMP to regional EFCCA for review. The regional EFCCA review and give ESC as soon as possible to avoid implementation delay. Similar to the Woreda level review and appraisal, the regional EFCCA may follow both the desk and field appraisal procedure to appraise subprojects submitted to it and which do not require partial ESIA. Conducting ESIA study If a sub-project and a business plan to be financed by LFSDP fulfill both of the following criteria, then it requires full scale ESIA before implementation: 1. Labeled as ‘subprojects of high or unknown environmental and social concern’ plus 2. Identified by regional EFCC office that it needs partial ESIA For sub-projects that require partial ESIA, LFSDP RPCU is responsible to coordinate carrying out of ESIA. ESIA should be done by an independent consultancy firm which is licensed by MEFCC or regional EFCCA. The responsibility of EFCCA at regional level is to review the TOR for the ESIA study, and later the ESIA reports. The ESIA TOR and reports should also be submitted to the World Bank country office for final review and no objection. In any case, the cost of the ESIA study is part of the budget of LFSDP subprojects. Similarly, the cost of any ESS assessment, screening, field appraisal, report preparation at any level (From kebele to region) is part of the sub- project cost for which the ESS document is prepared and it should be manifested in the project proposal of each sub-project or business plan. 88 Reviewing ESIA report by REFCCA/REFPA The final step in this ESMF process is the review of the ESIA reports produced for LFSDP subprojects of high/unknown environmental concern. This review should be conducted by the regional EFCC office in the shortest possible time to avoid delaying LFSDP subprojects from implementation. The ESMP including RAP/ARAP and PMP prepared by the LFSDP regional IAs/RPCU should be reviewed by the regional EFCCA/EFPA. Both field appraisal and desk review can be conducted by the REFCCA or REFPA as required. Criteria for ESIA approval The following two decisions can be made by the REFCCA/REFPAs and the World Bank on the LFSDP ESIA documents. 1. If the ESIA is in conformity with the applicable Operational Policies of the World Bank and the environmental and social guidelines of Ethiopia, the subprojects will be granted an ESC 2. On the other hand, if the ESIA does not fulfill the Banks Environmental and social requirements and the country’s environmental guidelines, the decision will be one of the following: ➢ Request for supplementary or new ESIA report; or ➢ Redesign of the sub-project ➢ Approval of the implementation of the subproject with condition; or ➢ Rejection of the sub-project The regional EFCC office should communicate the decision of the review of the ESIA report to concerned regional IAs and regional LFSDP coordination unit as soon as possible. The RPCUs/IAs should not implement the subprojects unless they get ESC from the regional EFCC office. Business plan review committees (BPRCs) at regional level should verify fulfillment of the ESS requirements and issuance of ESC letter prior to approval of advanced business plans. For subprojects that have high/unknown environmental and social concern and are required to prepare ESMP/ESIA report, the finance unit of each LFSDP RPCU IAs should not issue any payment unless the ESC is attached with the request of payment. 6.3. Disclosure of Subprojects Information Before the approval of LFSDP subprojects, the relevant LFSDP IAs/PCUs at all level should prepare the ESIA, ESMP, PMP and RAP, as required, and make available for public review at a place accessible to local people and in a form, manner and language they can understand. The general public will be invited to comment on these reports prior to their approval. The general public should also participate and be consulted at all levels of environmental and social assessments including eligibility checks, screening, scoping, impact identification and rating. The instruments will be available at the relevant institutions at all levels and be publicly disclosed both in country and at the World Bank’s Info Shop. The IAs will make copies of the instruments available in 89 selected public places in English and working language of the country in compliance with the World Bank’s Public Consultation and Disclosure Policy. This will ensure record keeping of all activities implemented under the ESMF and ensure that third party audits, if required, have adequate information when undertaking annual environmental and social audits. It is proposed that the locations of copies are announced through pubic relation sections of relevant IAs, radio announcement in addition to press releases, as applicable. 7. Implementation Arrangement and Capacity Building Effective implementation of ESMF requires technical capacity in the human resource base of implementing institutions and logistics. Implementers need to understand inherent social and environmental issues and values and can clearly identify their indicators. For this reason, international, national, regional and local level environmental and social safeguards short courses, trainings, and awareness creation and sensitization workshops are planned for LFSDP. Environmental and social safeguard experts, subject matter specialists, other experts from implementing agencies will be the major targets of the capacity building. In addition to capacity building, annual environmental and social safeguards implementation and reviews and auditing (internal and external) as well as general and sub-project specific technical assistances is crucial for proper implementation, monitoring and evaluation of the environmental and social safeguard procedures of LFSDP. 7.1. Institutional Capacity Assessment Prior assessment at these levels indicated that there is a capacity gap in fully implementing safeguard issues. Similarly, absence of separate environmental and social safeguards units at the ministry level is identified as a capacity gap. To minimize the risk of safeguard issues being neglected or undermined and ensure proper compliance; recruited safeguard experts, engineers and other project staffs as well as woreda and zonal level government staffs will furthermore be trained on the Environmental and social management procedures, World Bank’s environmental and social policies and government safeguard regulations. As indicated in the institutional arrangement part of this ESMF, all the institutions at national, regional, Woreda and local (Kebele) level are responsible for the implementation of the ESMF. However, lessons learnt from the implementation of ESMF in other projects so far indicated that there are significant shortcomings in the abilities of local, Woreda and regional level project implementers to effectively implementing ESMF. All implementing agencies at Woreda level except Woreda EFCC or equivalents and most of regional level implementing agencies do not have staff directly trained and dedicated for environmental management purposes within these institutions. In many institutions, staffs have been retained for core activities. As a result, the environmental and social issue is handled by staff members not adequately familiar with it. In some cases, environment personnel are present but level of training and technical capacity on environmental principles and tools of management is 90 not sufficient. Currently, MoLF restructuring itself to establish different directorates from which Environmental directorate is proposed. 7.2. Institutional and Implementation Arrangements for Safeguards MoLF and Livestock and Fisheries Bureaus/offices at regional and Woreda level will be responsible for implementing Environmental and Social Safeguard (ESS) requirements for the project. Depending on the sub-project level and scope, safeguard assessments, documentations and approvals can be undertaken at Federal, regional or Woreda levels. Federal and regional Project Coordination Units (PCUs) will recruit Environmental and Social Safeguard experts to oversee ESS planning, implementation, monitoring, evaluation and reporting activities of the project. MolF will assign qualified and experienced Social Development Officer (one) and Environmental Officer (one) during implementation. Each Woreda will assign relevant expert who will be responsible for the implementation environmental and social safeguard issues in this project. Woreda level implementation structures will include WATs to be established for each LFSDP Woreda with membership from the Woreda Offices of Livestock and Fisheries, Agriculture, Health, Cooperatives, Women and youth, etc. WAT should be separate from the technical committee discussed above so that its members have no facilitation responsibilities under the project and can maintain a certain measure of independence. WAT will be established to appraise and review sub-projects, particularly from the perspective of ESS, technical soundness, gender equity, consistency with the Woreda Development Plan, compliance with rules, and any issues raised by the community audit and supervision committees. Other responsibility of WAT is to check readiness of community institutions for implementation of sub-projects, and as implementation proceeds, the achievement of milestones at different stages of sub-project implementation. Approval of ESS procedures and documents as well as conducting annual environmental and social audits will be the responsibility of Environment, forest and climate change offices or equivalents at all levels. 7.3. Training Awareness creation (A), training (T) and sensitization (S) will be required at different levels of implementation. These levels are federal implementing agencies experts, regional decision- making bodies, regional TC members, regional implementing agencies experts, regional LFSDP coordination unit’s specialists, Woreda SC & TC, Woreda sector experts, Kebele development agents and grassroots stakeholders. The training, awareness creation and sensitization will be customized according to the levels of each of these groups to ensure adequacy in implementation of the ESMF. Focus of the training ➢ National environmental and social legal, policy and administrative requirements; 91 ➢ The World Bank environmental and social safeguard policies and how to comply them; ➢ ESMF process, procedures, and institutional arrangement to implement the ESMF, ➢ Environmental and social screening of subprojects and ESMP preparation; ➢ ESIA methodologies; ➢ Reporting, monitoring and follow-up of ESMF ➢ Pest Management Plan including IPM concept, principle, approaches and applications; ➢ RPF and RAP/ preparation, implementation and monitoring. Due emphasis will be given to training topics related to the screening process of subprojects while Woreda level experts and DAs. Proposed approaches to training and Capacity building Prior to conducting the required trainings, detail training need assessment will be conducted in all project target regions. Such need assessment would come up with the required knowledge, skill and attitude gap to implement ESMF at all levels. Federal and when feasible regional ESS specialists would be trained through national and international level training workshops organized by the World Bank, Ethiopian government and/or national and international training institutions, universities, consultancy firms, etc. To reduce cost and duplication of effort, trainers will be trained to train others. The federal LFSDP coordination unit will organize a TOT to regional level participants. Regional participants of the TOT will cascade the training to zone and Woreda experts including Woreda SC and TC; and Woreda and zone trainees provide the training to Development Agents (DAs). The DAs provide the ESMF and other related trainings, awareness creation and sensitization to KDCs. Independent consultants also participate in providing specific skill training like ESIA processes and methodologies. Resources persons from FAO Ethiopia country offices, MoANR, and others together with ESS specialists of LFSDP can be used in providing PMP and IPM trainings. Training on PCR assessment and management will be provided by resources persons from ARCCH. 92 Table 10: ESMF Capacity building requirement for LFSDP Training Topics Trainer/ Training Targets Number Schedule Remark institution Land acquisition, resettlement and University of Groningen ESS Specialists 8 Year III International social sustainability Conflict sensitivity and prevention IGAD or international ESS Specialists 8 Year I International consultancy firms TOT on Environmental and Social Assessment (ESA); LFSDP national PCU Regional ESS 24 Year I and IV National ESMP, PMP Specialists and preparation, RPF and RAP/ preparation, project staffs implementation, monitoring and reporting TOT on Environmental and health hazards of pesticides FAO, MoANR Regional ESS and 24 Year I and IV National and preparation of PMP/IPMP subject matter Specialists Awareness creation on ESMF process, procedures, LFSDP project • IAs 720 Year I to Year Local/Woreda institutional arrangements, environmental and coordination units at • Project staffs VI level social screening and review; legal and policies regional and national level • Community requirement both the national and World Bank • Woreda experts requirements; environmental and social screening. Special emphasis will be given to training topics related to screening of subprojects to address capacity gaps. Training on health and safety issues, ex. in relation to FAO, MoANR • IAs at all levels 300 Once in a year National/Local management of abattoirs • Operators throughout the project cycle Environmental and Social Screening World Bank • IAs 720 Year 1 to Year Local/Woreda • Project staffs VI level • Community Woreda experts Management of environment and social impacts during MoLF in collaboration • IAs at all levels 200 Once in each National/Local construction with the World Bank • Contractors and year (before consultants commencement of construction) 93 7.4. Technical Assistance For effective implementation of the ESMF, technical assistance is required at region, Woreda and local (Kebele) level. To ensure that local communities, DAs, Woreda and region government authorities and experts carry out their responsibilities as set out in this ESMF to implement the ESMF at all level, a general technical assistance will be given from federal and regional LFSDP ESS Specialists, Woreda and regional EPLAUA. Regional LFSDP IAs provides technical assistance to Woreda line offices. Similarly, Woreda LFSDP IAs, SC and TC provide technical assistance to local level LFSDP IAs. This assistance includes assessment of training effectiveness; monitoring of the implementation and effectiveness of the mitigation measures identified and planned in the ESMP, RAP and IPMP; assessment of using the ESMF checklist; monitoring and supervision of the ESMF implementation. This will be done in quarterly basis and when it is required. Besides the general technical assistance, a specific technical assistance will be given for local communities & DAs, Woreda and region government authorities and experts if specific technical knowledge is required when preparing, studying, designing and approving more challenging subprojects; preparing ESMP, PMP, and RAP/; and other assistance as required. The budget for specific technical assistance is part of the subproject whereas the budget for general technical assistance is planned and included in the ESMF implementation budget in table 12. 7.5. Required Budget Prior assessment at all levels indicated that there is a capacity gap in fully implementing safeguard issues. Most importantly, absence of separate environmental and social safeguards units in MoLF is identified as a major capacity gap. To minimize the risk of safeguard issues being neglected or undermined and ensure proper compliance; recruited safeguard experts, and other project staffs as well as woreda and regional level government staffs will furthermore be trained in the Environmental and social management procedures, World Bank’s environmental and social policies and government safeguard regulations. The ESMF implementation budget for the training & workshops, general technical assistance, and environmental and social review is estimated and presented in table 12 below. The budget for the specific technical assistance in the implementation of the ESMF is part of the subproject cost and is not included here. Similarly, the budget required for conducting environmental and social screening, develop, implement and monitor ESMP, prepare safeguard reports for specific sub- projects, review, field appraisal and approval costs will be covered from the cost of the sub-project for which these safeguard activities are done. Such sub-project related safeguard activities will be part of the sub-project proposal in which the required cost will be estimated. The total budget required for capacity building, annual reviews, auditing and general technical assistances is estimated to be 20,072, 800 (twenty million and seventy-two thousand eight hundred birr) or 873,870 USD (eight hundred seventy-three thousand and eight hundred seventy dollars). The estimated budget for environmental and social safeguards is only 0.58% of the total project cost. 94 Table 11: Budget requirement for capacity buildings, annual reviews and General technical assistances Activities Target Groups No. / (frequency) Budget in ETB (‘000) Year Year Year Total Budget 1-2 3-4 5-6 Recruitment of ESS specialists/experts Federal level ESS specialists 2 960 960 960 2880 Regional level ESS experts 6 2160 2160 2160 6480 Sub-Total I 3120 3120 3120 9360 Trainings Land acquisition, resettlement and ESS Specialists at federal 14 (1) 1564 1564 social sustainability level Conflict sensitivity and prevention ESS Specialists at all levels 5 (1) 506 506 TOT on Environmental and Social Assessment (ESA); Regional ESS Specialists, 5 (2) 200 200 400 ESMP, PMP project staffs at regional and preparation, RPF and RAP/ preparation, Woreda level implementation, monitoring and reporting TOT on Environmental and health hazards of pesticides Regional ESS and subject 5 (2) 200 200 400 and preparation of PMP/IPMP matter Specialists Awareness creation on ESMF process, procedures, LFSDP project coordination 2 (48) 720 720 720 2160 institutional arrangements, environmental and units at Woreda, regional and social screening and review; legal and policies national level requirement both the national and World Bank requirements; environmental and social screening Training on health and safety issues, ex. in relation to Safeguard specialists and 2 300 150 50 500 management of abattoirs plant operators Management of environment and social impacts during Safeguards specialists and 2 350 100 50 500 construction Contractors plus consultants Subtotal II 2276 2534 1220 6030 95 Annual environmental and At national level (regional 2 (6) 600 600 600 1800 social review workshop LFSDP safeguard specialists and IAs experts and EFCC experts are the target group) Subtotal III 600 600 600 1800 General Technical Assistances Federal to Region 30 (12) 162 162 162 486 Region to Woreda 30 (12) 162 162 162 486 Woreda to Kebele 30 (12) 162 162 162 486 Subtotal IV 486 486 486 1458 Annual Environmental & Social Review Review to be done At all levels 6 documents 200 200 200 600 (independent consultant) Sub-Total V 200 200 200 600 Grand Total = Subtotals I + II + III + IV+V = 9360+5030+1800+1458+600= 18248 + 10% contingency 21072.8 96 8. Monitoring and Evaluation of the implementation of ESMF After the required safeguard instruments (it can be either ESIA, and/or ESMP, and/or PMP, and/or RAP/ARAP prepared, reviewed and approved, and environmental and social clearance received from regional or Woreda EFCC offices, the relevant IAs (either at Woreda or regional or both level) which the subproject refers to are the main responsible bodies to implement and ensure the implementation of the mitigation measures identified and planned in the ESMPs and/or ESIAs, RAPs/s, and PMP. The community has also contribution in the implementation of mitigation measures in sub-projects which are implemented either in cash, or labor or both. The objectives of ESMF monitoring and follow up are: ➢ To alert project managers by providing timely information about the success or otherwise of the environmental and social management process outlined in this ESMF in such a manner that changes can be made as required ensuring continuous improvement to LFSDP environmental and social management process. ➢ To make a final evaluation in order to determine whether the mitigation measures incorporated in the technical designs and the ESMP & other safeguard instruments have been successful in such a way that the pre-project environmental and social condition has been restored, improved upon or is worse than before and to determine what further mitigation measures may be required. 8.1. Process monitoring The purpose of environmental and social process monitoring is to check whether the different safeguard instruments (ESMP ESIA, RAP/ARAP, and PMP) are prepared, reviewed, and approved; the quality of the safeguard instruments prepared; the implementation of the mitigation measures identified and planned in the safeguard instruments; the participation of the community and other stakeholders in all these process; capacity building processes; reporting; and others. The monitoring is done by LFSDP IAs at Woreda and regional level implementing the ESMP, RAP/, and PMP; Woreda and regional EFCC offices; regional and federal LFSDP environmental and social safeguards specialists; and the community. Monitoring will be carried out in accordance with the ESMP and other safeguard instruments prepared for each subproject. 8.2. Result monitoring The results monitoring plan has two components: i) monitoring of the compliance and effectiveness of the ESMF and application of the recommended standards; ii) impact monitoring, i.e., measuring the socio-economic impacts of the Project interventions All stakeholders undertaking process monitoring above conduct result monitoring. The purpose of result monitoring is to support compliance with safeguard policies, to identify the emergence of any unforeseen safeguard issues, to determine lessons learnt during project implementation; to provide 97 recommendations for improving future performance; and to provide an early warning about potential cumulative impacts. Besides, the World Bank, as necessary, will periodically conduct reviews of the implementation of the ESMF, RPF, and other safeguard instruments under LFSDP. The woreda and regional EFCC offices also conduct environmental and social audit periodically. Moreover, final evaluation will be done by independent consultant in order to determine whether the mitigation measures designed into the sub-projects and household interventions have been successful in such a way that the mitigation measures are properly in placed and environmental and social condition positively maintained. 8.3. Environmental and Social Monitoring Indicators A number of environmental and social monitoring indicators and parameters can be used to track the performance of the ESMF of LFSDP. Some of these indicators and parameters include: 1. Number and type of target groups participated on the ESMF training and awareness creation program; 2. Number and percentage of subprojects for which environmental and social issues are integrated in to the project cycle; 3. Environmental and social screening checklist filled or not; 4. Environmental and Social Management Plan (ESMP) was prepared or not; 5. Environmental enhancement and adverse impact mitigation measures mentioned in Environmental and Social Management Plan have been incorporated and considered during project planning, design and site selection; 6. Implementation of the mitigation measures identified and planned in the ESMP; 7. Type, amount and safety measures of storing and handling pesticides 8. Disposal method, site of spoil and construction wastes disposal and its environmental and social consequences; 9. Increase in landslide, soil erosion and slope instability due construction activities; 10. Impact on water quality and disruption of natural water courses, drainage work and its consequences; 11. Provision of appropriate compensation for land acquisition and property loses, and their proper documentation; 12. Conflict in water use right between the upstream and downstream water user community during water source selection (check whether balance is done or not, sufficient water is allocated for both community and ecological services); 13. Documentation of community consultation both the upstream and downstream including their opinions; 14. Water quality is suitable or not for irrigation purpose, water can be supplied or not as per irrigation demand; regular supply of water as per the capacity of the irrigation project; 15. Impact on aquatic life in downstream of the water source from which water is diverted for irrigation purpose; and 98 16. Water logging and salinity problem because of irrigation subprojects; 8.4. ESMF Reporting Local authorities are normally required to report quarterly and annually on their subproject activities during the preceding quarter and year, respectively. These quarter and annual reports should capture the experience with implementation of the ESMF procedures. The purpose of these reports is to provide: ➢ Information on the safeguards provision compliance/adherence ➢ A record of the subproject transactions; ➢ A record of experience and issues running from quarter-to-quarter/year-to-year throughout the subproject that can be used for identifying difficulties and improving performance; and ➢ Practical information for undertaking an annual review. In view of the significant nature of the impacts of some of the activities of LFSDP, a robust system of compliance monitoring and reporting should be in place. Quarter and annual reports should be prepared at Woreda, regional and federal levels. Quarter and annual ESMF reporting format for Woreda, regional, and federal PCUs set out in Annex 5. At a Woreda level, quarter and annual report will be prepared by Woreda PCU. The objective of the report is to provide a feedback on the activities and/or observations on the implemented LFSDP subprojects over the review period in the Woredas. This report will be submitted to regional PCU. Similarly, at regional level, quarter and annual report will be prepared by regional PCU to provide a feedback on the activities of and observations on the implemented LFSDP subprojects over the review period in the region. The regional PCU ESS expert will prepare quarter and annual ESMF performance reports to be submitted to the federal LFSDP coordination unit. At the federal level, the quarterly and annual reports will be compiled by the Environmental and Social Safeguard Specialists of federal PCU and will be submitted to the World Bank. Annual Review The objectives of annual reviews of ESMF implementation are two-fold: ➢ to assess project performance in compliance with the ESMF procedures, learn lessons, and improve future performance; and ➢ to assess the occurrence of, and potential for, cumulative impacts due to project-funded and other development activities The annual reviews are intended to be used by project management to improve procedures and capacity for integrating natural resources and environmental/social management into project operations. They will also be a principal source of information to Bank supervision missions. Annual reviews should be undertaken after the annual ESMF report has been prepared and before Bank supervision of the Project, at the closing of each year of the project. It is expected that each 99 review would require 3-4 weeks of field work (interviews, examination of subprojects), and that the review report would be completed within 2 weeks of completing the field work. The principal output is an annual review report that documents the review methodology, summarizes the results, and provides practical recommendations. Distinct sections should address a) ESMF performance and b) cumulative impacts. It is expected that these reviews will be carried out by an independent local consultant, NGO or other service provider that is not otherwise involved in the project. Copies of the annual review report should be delivered to project management, to Woreda relevant offices responsible for appraisal, approval and implementation of subprojects, and to the Bank. Project management (federal, regional or Woreda) may also host federal, regional or Woreda workshops to view and discuss the review findings and recommendations. 8.5. Environmental Auditing Environmental auditing can be defined as “a systematic, periodic, documented and objective review of project activities related to meeting environmental requirements". An audit should assess the actual environmental impact, the accuracy of prediction, the effectiveness of mitigation and enhancement measures, and the functioning of monitoring mechanism. Further, the review should be systematic and objective. The objectives of environmental audits are to: ➢ Verify compliance with environmental requirements; ➢ Evaluate the effectiveness of environmental and social management plan prepared; and ➢ Assess risk from regulated and unregulated practices. Environmental auditing has been universally accepted as one of the components of ESMP and should be undertaken after construction, during operation, and upon the completion of the project decommissioning as well in the entire life of the project. The environmental and social audit will be carried out an independent qualified entity every other year. Environmental and Social audit can be done every other year, which means a total of 3 audits will be conducted throughout the 6 year LFSDP period. The audit report should be communicated to the IAs which the subproject refers to and to the regional PCUs. The regional PCU should submit the audit report to the federal PCU. The federal PCU should submit the audit report to World Bank country office. 100 References 1. ARCCH, Cultural Heritage Research Directorate (March 2012). Archeological and Paleontological Research Sites in Ethiopia, Addis Ababa, Ethiopia. 2. DEAT (2004) Environmental Management Plans, Integrated Environmental Management, Information Series 12, Department of Environmental Affairs and Tourism (DEAT), Pretoria. 3. Environmental policy of Ethiopia (1997). 4. www.ifc.org/ifcext/enviro.nsf/Content/EnvironmentalGuidelines, World Bank Group 5. Ethiopian EIA guideline (May 2000). 6. Guideline on community level participatory planning. MOA – AGP 7. MoANR. AGPII, Environmental and Social Management Framework 8. Ministry of federal and pastoral affairs. PCDP-III (September 2013). Environmental and Social Management Framework 9. MoLF. (April 2016). RPLRP, Environmental and Social Management Framework 10. MoLF. (February 2017). LFSDP, Government project design document 11. MoLF. (April 2016). RPLRP, Integrated pest Management Framework 12. Regional BoFED Annual statistical reports 13. SLMP–II (September 2013). Environmental and Social Management Framework 14. USAID (January, 2007). Environmental guideline for small scale activities in Africa, environmentally sound design for planning and implementing development activities. 15. Various relevant Proclamations, policies and guidelines in Ethiopia 16. World Bank. Environmental assessment sourcebook, Volume I and II 17. World Bank (February 2008). Environmental and Social Management Framework for World Bank Projects with Multiple Small-Scale Subprojects, A Toolkit, Africa Region, The World bank 18. World Bank (1999) Environmental Management Plans, Environmental Assessment Sourcebook Update, November 25. Environment Department, World Bank, Washington D.C. 19. EAR/MoEPP (March, 2009) Strengthening Environmental Management, Sectorial EIA Guidelines - Slaughterhouse 20. FAO Animal Production and Health Division (2009). P. Gerber, C. Opio and H. Steinfeld. Poultry production and the environment – a review. 21. Addison, J.B. 1984. Antibiotics in sediments and run-off waters from feedlots. Residues Rev. 92: 1–28. 22. Social impacts of fisheries, aquaculture, recreation, tourism and marine protected areas in marine plan areas in England 23. Soto, D., White, P. & Isyagi, N. 2013. Report on the training workshop on Environmental Management and Environmental Impacts Assessment for Aquaculture Managers. Report/Rapport: SF-FAO/2013/19. October 2013. FAO-SmartFish Programme of the Indian Ocean Commission, Entebe, Uganda. 101 Technical Annexes Annex 1: Subproject or business plan Eligibility Screening Checklist Subproject Name: ____________________ Region: ____________; Zone: _____________; Woreda: __________; Kebele: ____________ Will the sub-project or business plan: Yes No Cause significant involuntary displacement of people or social disturbances, involuntary loss of assets? The Bank does not provide specific categorization criteria relating to OP 4.12, Involuntary Resettlement. Generally, projects with significant resettlement-related impacts should be classified as Category A. Application of judgment is necessary in assessing the potential significance of resettlement-related impacts, which vary in scope and scale from project to project. Projects that would require physical relocation of residents or businesses, as well as projects that would cause any individuals to lose more than 10 percent of their productive land area, often are classified as Category A. Scale may also be a factor, even when the significance of impacts is relatively minor. Projects affecting whole communities or relatively large numbers of persons (for example, more than 1,000 in total) may warrant classification as Category A, especially for projects in which implementation capacity is likely to be weak. Involve removal or conversion of forests and other natural resources? A project with the potential for significant conversion or degradation of natural forests is classified as Category A. Natural forests are forest lands and associated waterways where the ecosystem’s biological communities are formed largely by native plant and animal species and where human activity has not essentially modified the area’s primary ecological functions. disrupt the quality or quantity of water in a waterway shared with other nations Cause degradation of critical natural habitats cause any loss of biodiversity? Cause any large-scale physical disturbance of the site or the surroundings The project is classified as Category A if the screening indicates the potential for significant conversion or degradation of critical or other natural habitats. Significant conversion is the elimination or severe diminution of the integrity of critical or other natural habitats caused by a major, long-term change in land use or water use. Significant conversion 102 may include, for example, land clearing; replacement of natural vegetation; permanent flooding; drainage, dredging, filling, or channelization of wetlands; or surface mining. Conversion can result directly from the action of a project or through an indirect mechanism (e.g., through induced settlement along a road). Degradation is modification of a critical or other natural habitat that substantially reduces the habitat’s ability to maintain viable population of native species. affect important physical and cultural resources (historical, religious, archaeological sites and monuments) Physical Cultural Resources, as defined under OP 4.11, are movable or immovable objects, sites, structures, groups of structures, and natural features and landscapes that have archaeological, paleontological, historical, architectural, religious, aesthetic, or other cultural significance. A project that will likely have significant adverse impacts on PCR is classified as Category A. affect any vulnerable or underserved groups The Bank does not provide specific categorization criteria relating to OP 4.10, Indigenous Peoples. Though the policy applies whenever a group meeting the Bank’s definition of Indigenous Peoples is present in the project area, categorization typically reflects the potential significance of any adverse impacts upon such groups. Projects that would require relocation of Indigenous Peoples, that would restrict their access to traditional lands or resources, or that would seek to impose changes to Indigenous Peoples’ traditional institutions, are always likely to be classified as Category A. Implemented in or around non-viable commune centers (CCs) likely to use pesticides or other agro-chemicals Projects that include the manufacture, use, or disposal of environmentally significant quantities of pest control products are classified as Category A. Environmental significance takes into account the impacts, including benefits, on human health. Recommendations: • Sub-project/business plan is not eligible and rejected: • Sub-project/business plan is eligible and approved: Name, telephone and signature of members who did the eligibility check 1_____________________________ 2_____________________________ 103 3______________________________ 4______________________________ 5______________________________ Annex 2: Environmental and Social Screening Checklist Subproject Name: ____________________ Region; ____________; Zone: _____________; Woreda: __________; Kebele: ____________ 1. Brief Description of Sub - Project • Please provide information on the type and scale of the sub-project (area, required land, approximate size of total building floor area, etc.). • Provide information about actions needed during the construction of facilities including support/ancillary structures and activities required to build it, e.g. need to quarry or excavate borrow materials, laying pipes/lines to connect to energy or water sources, access roads, etc. • Describe how the sub-project will operate, including support/activities and resources required operating it e.g. roads, disposal sites, water supply, energy requirement, human resources, etc. 2. For sub-projects that need special attention Feature of Concern: Subproject or business plan Yes No likely to use pesticides or other agro-chemicals involves land acquisition, or loss of assets, or access to assets on the land Recommendations Sub-project needs special attention: Sub-project does not need special attention: 3. For subprojects of environmental and social concern Will the Sub-project or business plan: Yes No located within National Park or other designated wildlife area or buffer zone located in a Priority Forest Area involve draining of or disturbance to a wetland located within a recognized Cultural Heritage site or World Heritage site incorporates a dam involve use of hazardous laboratory chemicals involve pollution of or abstraction of significant volume of water from international waterways 4. Checklist for environmental and social impact identification and rating 104 Environmental and Social Feature Impact Rating None Low Medium High Unknown Social Issues reduce other people access to their economic resources, like land, pasture, water, public services or other resources that they depend on Interference with access routes for people, livestock and wildlife or traffic routing and flows Result in resettlement of individuals or families or require the acquisition of land (public or private, temporarily or permanently) for its development? Result in the temporary or permanent loss of crops, fruit trees and household infra-structure (such as granaries, outside toilets and kitchens, etc.)? Effect on historical, archaeological or cultural heritage site? Effect on vulnerable people and underserved groups (e.g., elderly poor pensioners, physically challenged, women, particularly head of households or widows, etc.) Living in the area? Environmental Issues Effect on river, lake and wetland ecology Effect on plant, livestock or fishery or any other aquatic biodiversity Effect on protected areas designated by government (national park, national reserve, world heritage site) Effect on soil and water (surface or ground water) contamination and pollution Effect on aesthetic attractiveness of the local landscape Effect on the surrounding background noise level result in emission of copious amounts of dust, hazardous fumes Generate solid and/or liquid wastes (including human excreta/sewage and/or/ livestock waste) Generate air pollutants and/or greenhouse gases Human Health Issues Occupational Health effects/ accidents and injuries to workers during construction or operation Health effects (communicable disease such as Malaria, TB, HIV/AIDS or non-communicable diseases –from toxic chemicals), Specify___________________ Recommendation Approved without condition Partial ESIA required Special plans should be prepared independently – mark [√] in the box below ESMP RAP PMP Others (specify): 105 If the recommendation is to prepare ESMP or RAP or PMP or others, environmental and social assessment (initial environmental and social examination) is required by the implementing agency/proponent, and reviewed by the regulatory body (Regional EFCC office). Rejected Reason for rejection [type here] Completed by: [Name – type here] Position: [type here] Date: [type here] Annex 3: Procedure to check LFSDP’s interface with and viability of CCs Summary In 2014-15 a procedure for proactively managing the interface between the Government of Ethiopia’s commune development program (CDP) and Bank-financed projects was developed and agreed with government. The procedure, developed under the title “Supporting R esults and Alignment of Operations in Ethiopia’s Rural Areas” is designed to address the interface between CCs and Bank-financed projects or sub-projects in, or in the vicinity of, the CC. Henceforth the term “sub-project” is used to denote the intervention planned to be implemented within, or in the vicinity of, a CC. The procedure will enable the Bank to support such sub-projects wherever possible, by: • managing the operational interface, • being able to demonstrate that it has taken all reasonable steps to consider the implications of the interface, • While avoiding getting involved with non-viable or seriously deficient situations. The procedure is simple and is designed to be embedded within the regular ESMF and or other safeguards instruments (RPF, RAP, SA, ESIA) already in use by such sub-projects. It involves gathering basic data on the CC and classifying it in terms of its viability. Based on the classification, the Bank determines whether, and how, the Bank-financed project or sub-project should proceed. The Procedure Step 1: Screening The CC is screened by a local government staff member as part of the normal ESMF, RPF, RAP, SA, and ESIA screening procedure of the Bank-supported sub-project. The regular ESMF (and other safeguards instruments: RPF, RAP, SA, ESIA) sub-project Screening procedure will now contain an additional question: “Will this sub-project be inside a CC or close enough to a CC to have any potential direct or indirect impacts on it or on the people in a CC?” 106 • If ‘Yes’, a checklist will be completed by the Screening staff member. • The completed checklist will be forwarded via the federal Environmental and Social focal person to the Bank Task Team. • If ‘No’, there is nothing additional to be done. The checklist consists of a one-page data checklist on the CC. It is completed by the local government staff member who normally conducts the regular Safeguards Screening. This is normally done at the same time as the rest of the ESMF. Step 2: Managing the Interface The Bank Task Team classifies the CC based on the completed checklist (See Appendix 1). This classification indicates to the WB what strategy to adopt. The factors used to classify the CC as set out in the checklist, and their significance, are as follows: • Mandatory Factors: Sufficient and suitable land and water supply based on regional/woreda government standards. If they cannot be provided, the CC cannot be viable. • Access to Basic Services: Education, Health, Water. Even if absent, these services could be provided in future. • Prior Conditions: Consultation, voluntariness, relocation distance and potential for conflict. These issues should have been addressed at the planning stage. However, shortcomings may not necessarily mean that the CC is non-viable. • Operations and Maintenance: Good management & supervision, resource allocation, and grievance redress. These can only be provided by government. Based on these factors, the CC is categorized by the Bank Task Team as follows: • Category I: Broadly satisfactory in all respects (but not necessarily meeting WB standards) • Category II: Deficient in some notable respects, but could be rectified. • Category III: Non-viable because fundamentally flawed. Very difficult or impossible to rectify. The principles of CC classification as are follows: • This procedure is concerned with “live” CCs. A CC ceases to be regarded by the Bank as a live project one year after the last registered household has settled. Such CCs are treated like any other regular community. Thus Bank-supported sub-projects in, or in the vicinity of such a CC may proceed regardless of the fact that the concerned community started life as a CC. • “Live” CCs are categorized in the following manner: o If any of the Mandatory Resources are not available and cannot be provided, the CC is classified as Category III. o If all Mandatory Resources are available and there are no shortcomings in Access to Basic Services, Prior Conditions or Operations & Maintenance, the CC is Category I. o All other CCs are Category II. 107 The Bank-supported sub-project may proceed as follows according the category of the CC: For Category I CCs: • The Bank-supported sub-project may proceed as usual, with no special regard to the concerned CC. For Category II CCs: • If there are rectifiable shortcomings in Mandatory Resources: ▪ The WB-supported sub-project can proceed subject to a written commitment from the concerned Regional government office that the essential resources will be provided to the CC within 1-2 years. If there are shortcomings in Basic Services: ▪ The Bank-supported sub-project may proceed subject to the concerned Woreda (District) Development Plan showing that all necessary basic services will be provided to the CC within a reasonable time-frame to be specified by the Bank; ▪ The Bank may support sub-projects designed to provide basic services to the CC. • If there are shortcomings in Prior Conditions: ▪ The Bank’s Systematic Operations Risk-rating Tool (SORT) must note any social or other risks likely to arise from systemic problems inherited from these past shortcomings. For Category III CCs: ▪ The Bank may not proceed to support the concerned sub-project. ▪ The Client must select an alternative sub-project not associated with the concerned CC. 14 Screening Checklist Type of First Question Response Second Question Response Criteria Mandatory Is suitable and sufficient land available based Yes Would it be possible Yes Resources on regional/woreda government standard? to provide suitable No and sufficient land? No Is suitable and sufficient water supply available Yes Would it be possible Yes based on regional/woreda government to provide suitable standard? No and sufficient water? No Basic Are there adequate education services in line Yes Services with GoE standards? No Are there adequate health services in line with Yes GoE standards? No 14 If possible the checklist is supplemented by information on the community livelihood system, chronology and size of the CC, the extent of relocation to date, and whether or not residents are free to return to their former location. 108 Is the amount of water available in line with Yes GoE standards? No Type of First Question Response Criteria Prior Was the physical relocation viable for the Yes conditions majority of settlers? No Were the consultations adequate? Yes No Was the relocation voluntary? Yes No Is the commune center free of potential serious Yes social conflicts? No Operations Is the supervision and management of the Yes and commune center basically satisfactory? No maintenance Are resources being allocated in a satisfactory Yes manner? No Is there a fair and viable grievance redress Yes procedure? No 109 Annex 4: Environmental and Social Field Appraisal Form Part 1: Identification 1. Project Name: 2. Project Location: 3. Reason for Field Appraisal: 4. Date(s) of Field Appraisal: 5. Field Appraisal Officer and Address: 6. DA Representative and Address: 7. KDC Representative and Address: Part 2: Description of the Project 8. Project detail: Provide details that are not adequately presented in subproject application. Part 3: Environmental and Social Issues 9. Will the project: Yes No Need to acquire land? Affect an individual or the community's access to land or available resources? Displace or result in the involuntary resettlement of an individual or family? If "Yes", tick one of the following boxes: The RAP/ included in the subproject application is adequate. No further action required. The RAP/ included in the subproject application must be improved before the application can be considered further. A RAP/ must be prepared and approved before the application can be considered further. 10. Will the project: Yes No Encroach onto an important natural habitat, forest? Negatively affect ecologically sensitive ecosystems? If "Yes'', tick one of the following boxes: The Environmental Management Plan (EMP) included in the subproject application is adequate. No further action required. The ESMP included in the subproject application must be improved before the application can be considered further. An ESMP must be prepared and approved before the application can be considered further. 11. Are there vulnerable groups living in the subproject area that could benefit from, or be adversely affected by, the subproject? 110 Yes NO If 'Yes", tick one of the following boxes: A plan for the vulnerable group included in the subproject application is adequate. No further action required. A plan for the vulnerable group included in the subproject application must be improved before the application can be considered further. A plan for the vulnerable group must be prepared and approved before the application can be considered further. 12. Will this project involve or introduce pesticides? Yes NO If "Yes", tick one of the following boxes: The Pest Management Plan (PMP) included in the subproject application is adequate. No further action is required. The PMP included in the subproject application must be improved before the application can be considered further. A PMP must be prepared and approved before the application can be considered further. 13. Will the project involve? Yes No Provision of laboratory chemicals/reagents Construction and/or rehabilitation of latrines, septic or sewage systems Production of waste (e.g. slaughterhouse waste, medical waste, etc.)? Application of fertilizer? If 'Yes", tick one of the following boxes: The application describes suitable measures for managing the potential adverse environmental effects of these activities. No further action required. The measures described in the application for managing the potential adverse environmental effects of these activities are not adequate. The application need to be prepared and improved before the application is considered further. The application does not describe suitable measures for managing the potential adverse environmental effects of these activities. An Environmental Management Plan must be prepared and approved before the application is considered further. 14. Will the project involve or result in: Yes No Provision of laboratory chemicals/reagents Construction and/or rehabilitation of latrines, septic or sewage systems Production of waste (e.g. slaughterhouse waste, medical waste, etc.)? Application of fertilizer? Introduction of exotic species/artificial insemination activities Construction of new infrastructures If 'Yes", tick one of the following boxes: 111 The application describes suitable measures for managing the potential adverse environmental effects of these activities. No further action required. The measures described in the application for managing the potential adverse environmental effects of these activities are not adequate. The application need to be prepared and improved before the application is considered further. The application does not describe suitable measures for managing the potential adverse environmental effects of these activities. An Environmental Management Plan must be prepared and approved before the application is considered further. 15. Will this project require the construction of aquaculture pond, water tank, or weir? Yes NO If "Yes", tick one of the following boxes: The application demonstrates that the structure(s) will be designed by qualified engineers, and will be built by qualified and adequately supervised contractors. No further actions are required. The application does not demonstrate that the structure(s) will be designed by qualified engineers, and will be built by qualified and adequately supervised contractors. The application needs to be amended before it can be considered further. 16. Will the project involve? Yes No Animal fattening? Poultry production? Dairy farm? Dairy processing? Aquaculture development? Fishery processing and hatching? Others, specify If 'Yes", tick one of the following boxes: The application describes suitable measures for managing the potential adverse environmental effects of these activities. No further action required. The measures described in the application for managing the potential adverse environmental effects of these activities are not adequate. The application need to be prepared and improved before the application is considered further. The application does not describe suitable measures for managing the potential adverse environmental effects of these activities. An Environmental Management Plan must be prepared and approved before the application is considered further. 17. Are there any other environmental or social issues that have not been adequately addressed? Yes NO 112 If "Yes", summarize them ………………………………………………………………………………………………… ………………………………………………………………………………………………… ………………………………………………………………………………… and tick one of the following boxes: Before it is considered further, the application needs to be amended to include suitable measures for addressing these environmental or social issues. An Environmental and Social Management Plan needs to be prepared and approved before the application is considered further. Part 4: Field Appraisal Decision The subproject can be considered for approval. Based on a site visit and consultations with both interested and affected parties, the field appraisal determined that the community and its proposed project adequately addresses Environmental and/or social issues as required by the Project's ESMF. Further subproject preparation work is required before the application can be considered further. The field appraisal has identified environmental and/or social issues that have not been adequately addressed. The following work needs to be undertaken before further consideration of the application: …………………………………………………………………………………………… …………………………………………………………………………………………… All required documentation such as an amended application, ESMP, RAP/, or PMP will be added to the subproject file before the subproject is considered further. Name of field appraisal safeguard specialist (print): ……………………………………… Signature: ..................................................... Date: ....................................... 113 Annex 5: ESMF Quarter and Annual Reporting Form 1. General Woreda/Region/Federal: [Type here] Reporting Quarter/Year: [type here] Date of the report: [Type here] 2. Report summary (narrative): Here the narrative of the ESMF implementation during the reporting period is summarized. The figures in the report table are discussed. The ESMF implementation monitoring activities carried out including aspects monitored, issues identified, proposed solution and follow up activities are summarized here. 114 3. In the table below, fill and tick for a number of subprojects/activities (screened, reviewed and approved) Type of sub- No. of subproject Approved Application Sub-projects or business plans for which Re projects/business subprojects location this included mar plan/activities in (Kebele or quarter/year ESMF k this Woreda or checklist Desk Field ESMP RAP/ PMP Partial category region) (Annex 2) review/ appraisal prepared prepar prepared ESIA appraisal undertaken ed Carrie undertaken d out 1.Good animal husbandry practices (GAHP) Improve feed quality Livestock health Artificial insemination 2.Good aquaculture and fishery practices (GAFP) Improve feed quality Fish health Artificial insemination 3.Basic business Plans Dairy basic business plan Poultry basic business plan Dairy beef fattening Small ruminants basic business plan Fishery basic business plan Aquaculture basic business plan Basic business plan on input production (eg. Seeds, feed and forage) Unemployed youth graduated (men and 115 Type of sub- No. of subproject Approved Application Sub-projects or business plans for which Re projects/business subprojects location this included mar plan/activities in (Kebele or quarter/year ESMF k this Woreda or checklist Desk Field ESMP RAP/ PMP Partial category region) (Annex 2) review/ appraisal prepared prepar prepared ESIA appraisal undertaken ed Carrie undertaken d out women between 18 and 35 years old) Advanced Business Plans Dairy advanced business plan Small-ruminants advanced business plan Dairy-beef fattening business plan Fishery advanced business plan Aquaculture advanced business plan Poultry advanced business plan Critical Market and commercialization infrastructures Peri-urban small/ medium abattoirs Commercial Farms Fish Hatcheries Milk collection centers 116 4. Have communities been consulted and involved in the identification of all subprojects? Tick [√] Yes NO If No, provide detail: for which sub-projects at which kebele/ woreda or region. Explain the reason for not involving the community? 5. Were there any unforeseen environmental or social problems associated with any subprojects approved and implemented this quarter or year? If so, please identify the subprojects and summarize the problem(s) and what was or will be done to solve the problem(s). Use a summary table like the one below. Sub-project Key gaps or areas of non- Key action taken Follow up activities compliance(problems) recommended (action to be taken) 6. Is LFSDP positively contributing to the environment in the kebele/ Woreda/region? Yes NO Too early to say Please explain [type here] 7. Did the subproject improve the welfare of women and youth in the Kebele/ Woreda/Region? Yes NO Too early to say Please explain [type here] 8. Has there been any analysis of cumulative environmental and social impacts of LFSDP projects in the Kebele/ Woreda/Region? [ ] Yes [ ] No If yes, describe: [type here] 9. Have there been any environmental and/or social analyses undertaken in the Kebele/ Woreda/Region in connection to LFSDP projects? 117 [ ] Yes [ ] No If yes, describe: [type here] 10. Training Please specify the types of ESS training given at your Woreda/Region in the reporting quarter or year. [type here] Please list the types of training needed to ensure the effectiveness of the ESMF in your Woreda/region. [type here] 11. Completed by: [Name] Position: [type here – positions of all contributors] Date: [type here] 118 Annex 6. Guideline for ESMP Preparation The ESMP should be formulated in such a way that it is easy to use. References within the plan should be clearly and readily identifiable. Also, the main text of the ESMP needs to be kept as clear and concise as possible, with detailed information relegated to annexes. The ESMP should identify linkages to other relevant plans relating to the project, such as plans dealing with resettlement or indigenous peoples issues. The following aspects should typically be addressed within ESMPs. Contents of Environmental and Social Management Plan 1. Description of the subproject The subproject description should be based on the project feasibility study. Not all the detailed subproject information needs to be included as much of it is unnecessary for the environmental review. The subproject description should present a condensed description of those aspects of the subproject likely to cause environmental effects. The subproject should be described in terms of its basic activities-series of activities to carry out laboratory analysis, location, layout, and schedule (in terms of the project life cycle). This subproject description section of the report should furnish sufficient details to give a brief but clear picture of the following: ➢ Type and nature of the subproject. ➢ Need for the subproject. ➢ Location (use maps showing general location, specific location, subproject boundary and subproject site layout). ➢ Size or magnitude of operation, including any associated activities required by or for the subproject. ➢ Description of the subproject, including drawings showing subproject layout, activities of subproject, etc. 2. Description of the environment A clear description of the organization delineation of the study area is important to define the area within which impacts must be considered. Once the study area is well defined, studies to gather the baseline conditions for valued environmental components must be developed. These components and values include, to the extent applicable (but are not necessarily limited to): ➢ Physical components: topography, soils, climate, surface water, groundwater, rangeland, and etc… which are relevant to the subproject nature and type. ➢ Ecological components: fisheries, aquatic biology, wildlife, forests, rare or endangered species, wilderness or protected areas. ➢ Human and economic development: population and communities (numbers, locations, composition, employment, etc.), industries, infrastructural facilities (including water 119 supply, sewerage, etc.), institutions, transportation (roads, harbors, airports, navigation), land use mineral development, and tourism components. ➢ Quality of life values: socioeconomic values, public health, recreational components and development, aesthetic values, archaeological or historical treasures, and cultural values. It is not necessary to gather information on all the components listed in such environmental component checklists. The baseline studies should concentrate on identifying those environmental components that may be significantly impacted by the project. In addition to the basic physical features and infrastructure of the study area, it is valuable to have maps identifying vegetation types/communities, animal habitat, and major population centers. 3. Description of the adverse impacts: The predicted adverse environmental and social impacts for which mitigation is required should be identified and briefly summarized. Cross-referencing to the environmental and social assessment report or other documentation is recommended, so that additional detail can readily be referenced. 4. Description of mitigation measures: The ESMP identifies feasible and cost effective measures to reduce potentially significant adverse environmental and social impacts to acceptable levels. Each mitigation measure should be briefly described with reference to the impact to which it relates and the conditions under which it is required (for example, continuously or in the event of contingencies). These should be accompanied by, or referenced to, designs, equipment descriptions, and operating procedures which elaborate on the technical aspects of implementing the various measures. Where the mitigation measures may result in secondary impacts, their significance should be evaluated. 5. Description of monitoring program Environmental performance monitoring should be designed to ensure that mitigation measures are implemented, have the intended result, and that remedial measures are undertaken if mitigation measures are inadequate or the impacts have been underestimated within the ESA report. It should also assess compliance with national standards and World Bank requirements or guidelines. The monitoring program should clearly indicate the linkages between impacts identified in the ESA report, indicators to be measured, methods to be used, sampling locations, frequency of measurements, detection limits (where appropriate), and definition of thresholds that will signal the need for corrective actions, and so forth. Although not essential to have complete details of monitoring in the ESMP, it should describe the means by which final monitoring arrangements will be agreed. Responsibilities for mitigation and monitoring should be clearly defined. The ESMP should identify arrangements for coordination between the various factors responsible for mitigation. 120 6. Implementation schedule and reporting procedure The timing, frequency, and duration of mitigation measures should be specified in an implementation schedule, showing links with the overall project implementation plans (PIP). Where implementation of mitigation measures is tied to the project legal agreements, these linkages should be outlined. For example, some mitigation measures may be made conditions for loan effectiveness or disbursement. Procedures to provide information on the progress and results of mitigation and monitoring measures should also be clearly specified. 7. Cost estimates and sources of funds These should be specified for both the initial investment and recurring expenses for implementing all measures contained in the ESMP, integrated into the total project costs. Where practicable, decisions regarding appropriate mitigation measures should be justified by an economic evaluation of potential environmental impacts, aimed at: ➢ Measuring the cost-effectiveness of different mitigation options where a project is required to meet a set of environmental standards or achieve specific environmental objectives ➢ Determining the appropriate level of mitigation where there is scope for a trade-off between environmental quality and the costs (and benefits) of achieving it ➢ Internalizing the economic value of residual impacts or intended environmental improvements into the final economic appraisal of the project. It is important to capture all costs—including administrative, design and consultancy. The ESMP table should look as follows: Table 12: Environmental and social Management Mitigation Plan format for LFSDP Projects Subproject Potential Proposed Institutional When to Cost Comments activities for Environ Mitigation Responsibiliti implement? Estimates (e.g. each mental Measure(s) es (schedule of secondary phases of the and (Incl. (Incl. mitigation impacts) subproject Social legislation & enforcement plan Impacts Regulations) & implementati coordination) on) Pre- construction Construction Operation and Maintenance 121 Table 13: Environmental and social Management Monitoring Plan format for LFSDP Projects Phases Identif Proposed Param Locati Measurement Frequency Responsibilit Cost ied Mitigation eters on s (Incl. of ies (equipment Impact Measure to be methods & Measurem (Incl. review & s Monit equipment) ent and individuals) ored reporting) Pre- construction Construction Operation and Maintenance Annex 7: TOR for ESIA An environmental and social impact assessment (ESIA) report for an infrastructure project should focus on the significant environmental and social issues of the proposed project, whether it is/or includes new construction or rehabilitation. The report’s scope and level of detail should be commensurate with the project’s potential impacts. The ESIA report should include the following items: A. Executive summary: Concisely discusses significant findings and recommended actions. B. Policy, legal, and administrative framework: Discusses the policy, legal, and administrative framework within which the ESIA is carried out. Identifies relevant international environmental agreements to which the country is a party. C. Project description: Concisely describes the proposed project and its geographic, ecological, social, and temporal context, including any offsite investments that may be required. Indicates the need for any resettlement plan. Normally includes a map showing the project site and the project’s area of influence. D. Baseline data: Assesses the dimensions of the study area and describes relevant physical, biological, and socioeconomic conditions, including any changes anticipated before the project commences. Also takes into account current and proposed development activities within the project area but not directly connected to the project. Data should be relevant to decisions about project location, design, operation, or mitigation measures. The section indicates the accuracy, reliability, and sources of the data. E. Environmental and social impacts: Predicts and assesses the project’s likely positive and negative impacts, in quantitative terms to the extent possible. Identifies mitigation measures and any residual negative impacts that cannot be mitigated. Explores opportunities for environmental enhancement. Identifies and estimates the extent and quality of available data, key data gaps, 122 and uncertainties associated with predictions, and specifies topics that do not require further attention. F. Analysis of alternatives: Systematically compares feasible alternatives to the proposed project site, technology, design, and operation—including the “without project” situation—in terms of their potential environmental impacts; the feasibility of mitigating these impacts; their capital and recurrent costs; their suitability under local conditions; and their institutional, training, and monitoring requirements. For each of the alternatives, quantifies the environmental impacts to the extent possible, and attaches economic values where feasible. States the basis for selecting the particular project design proposed and justifies recommended emission levels and approaches to pollution prevention and abatement. G. Environmental and Social management plan (ESMP): Covers mitigation measures, monitoring, budget requirements and funding sources for implementation, as well as institutional strengthening and capacity buildings requirements. H. Appendixes • List of EIA report preparers – individuals and organizations • References - written materials both published and unpublished, used in study preparation. • Record of interagency and consultation meetings, including consultations for obtaining the informed views of the affected people and local nongovernmental organizations (NGOs). The record specifies any means other than consultations (e.g., surveys) that were used to obtain the views of affected groups and local NGOs. • Tables presenting the relevant data referred to or summarized in the main text. • List of associated reports (e.g., socio-economic baseline survey, PMP, RAP/ARAP) 123 Annex 8: Environmental and Social Guidelines for Contractors General In addition to these general conditions, the Contractor shall comply with any specific ESMP for the works he is responsible for. The Contractor shall inform himself about such an ESMP, and prepare his work strategy and plan to fully take into account relevant provisions of that ESMP. If the Contractor fails to implement the approved ESMP after written instruction by the Supervising expert to fulfill his obligation within the requested time, the Owner reserves the Right to arrange through the Supervising expert for execution of the missing action by a third party on account of the Contractor. Notwithstanding the Contractor’s obligation under the above clause, the Contractor shall implement all measures necessary to avoid undesirable adverse environmental and social impacts wherever possible, restore work sites to acceptable standards, and abide by any environmental performance requirements specified in an ESMP. In general, these measures shall include but not be limited to: ➢ Minimize the effect of dust on the surrounding environment resulting from earth mixing sites, vibrating equipment, temporary access roads, etc., to ensure safety, health and the protection of workers and communities living in the vicinity dust producing activities. ➢ Ensure that noise levels emanating from machinery, vehicles and noisy construction activities (e.g. excavation, blasting) are kept at a minimum for the safety, health and protection of workers within the vicinity of high noise levels and nearby communities. ➢ Ensure that existing water flow regimes in rivers, streams and other natural or irrigation channels is maintained and/or re-established where they are disrupted due to works being carried out. ➢ Prevent bitumen, oils, lubricants and waste water used or produced during the execution of works from entering rivers, streams, irrigation channels and other natural water bodies/reservoirs, and also ensure that stagnant water in uncovered borrow pits is treated in the best way to avoid creating possible breeding grounds for mosquitoes. ➢ Prevent and minimize the impacts of quarrying, earth borrowing, piling and building of temporary construction camps and access roads on the biophysical environment including protected areas and arable lands; local communities and their settlements. In as much as possible restore/rehabilitate all sites to acceptable standards. ➢ Upon discovery of ancient heritage, relics or anything that might or believed to be of archeological or historical importance during the execution of works, immediately report such findings to the Supervising expert so that the appropriate authorities may be expeditiously contacted for fulfillment of the measures aimed at protecting such historical or archaeological resources. ➢ Discourage construction workers from engaging in the exploitation of natural resources such as hunting, fishing, and collection of forest products or any other activity that might have a negative impact on the social and economic welfare of the local communities. 124 ➢ Implement soil erosion control measures in order to avoid surface run off and prevents siltation, etc. ➢ Ensure that garbage, sanitation and drinking water facilities are provided in construction workers camps. ➢ Ensure that, in as much as possible, local materials are used to avoid importation of foreign material and long distance transportation. ➢ Ensure public safety, and meet traffic safety requirements for the operation of work to avoid accidents. ➢ The Contractor shall indicate the period within which he/she shall maintain status on site after completions of civil works to ensure that significant adverse impacts arising from such works have been appropriately addressed. The Contractor shall adhere to the proposed activity implementation schedule and the monitoring plan / Strategy to ensure effective feedback of monitoring information to project management so that Impact management can be implemented properly, and if necessary, adapt to changing and unforeseen conditions. Besides the regular inspection of the sites by the Supervising expert for adherence to the Contract conditions and specifications, the owner may appoint an Inspector to oversee the compliance with these environmental conditions and any proposed mitigation measures. State environmental authorities may carry out similar inspection duties. In all cases, as directed by the Supervising expert, the Contractor shall comply with directives from such inspectors to implement measures Required to ensure the adequacy rehabilitation measures carried out on the bio-physical environment and compensation for socio-economic disruption resulting from implementation of any works. Work site/Campsite Waste Management All vessels (drums, containers, bags, etc.) containing oil/fuel/surfacing materials and other hazardous Chemicals shall be bonded in order to contain spillage. All waste containers, litter and any other waste Generated during the construction shall be collected and disposed of at designated disposal sites in line with applicable government waste management regulations. All drainage and effluent from storage areas, workshops and camp sites shall be captured and treated before being discharged into the drainage system in line with applicable government water pollution control regulations. ➢ Used oil from maintenance shall be collected and disposed of appropriately at designated sites or be re-used or sold for re-use locally. ➢ Entry of runoff to the site shall be restricted by constructing diversion channels or holding structures: Such as banks, drains, dams, etc., to reduce the potential of soil erosion and water pollution. ➢ Construction waste shall not be left in stockpiles along the road, but removed and reused or disposed of on a daily basis. 125 If disposal sites for clean spoil are necessary, they shall be located in areas, approved by the Supervising Expert, of low land use value and where they will not result in material being easily washed into drainage channels. Whenever possible, spoil materials should be placed in low-lying areas and should be compacted and planted with species indigenous to the locality. Material Excavation and Deposit The Contractor shall obtain appropriate licenses/permits from relevant authorities to operate quarries or borrow areas. The location of quarries and borrow areas shall be subject to approval by relevant local and national authorities, including traditional authorities if the land on which the quarry or borrow areas fall in traditional land. New extraction sites: ➢ Shall not be located in the vicinity of settlement areas, cultural sites, wetlands or any other valued ecosystem component, or on high or steep ground or in areas of high scenic value, and shall not be located less than 1km from such areas. ➢ Shall not be located adjacent to stream channels wherever possible to avoid siltation of river channels. Where they are located near water sources, borrow pits and perimeter drains shall surround quarry sites ➢ Shall not be located in archaeological areas. Excavations in the vicinity of such areas shall proceed with great care and shall be done in the presence of government authorities having a mandate for their protection. ➢ Shall not be located in forest reserves. However, where there are no other alternatives, permission shall be obtained from the appropriate authorities and an environmental impact study shall be conducted. ➢ Shall be easily rehabilitated. Areas with minimal vegetation cover such as flat and bare ground, or areas covered with grass only or covered with shrubs less than 1.5 m in height, are preferred. ➢ Shall have clearly demarcated and marked boundaries to minimize vegetation clearing. ➢ Vegetation clearing shall be restricted to the area required for safe operation of construction work. Vegetation clearing shall not be done more than two months in advance of operations. ➢ Stockpile areas shall be located in areas where trees can act as buffers to prevent dust pollution. ➢ Perimeter drains shall be built around stockpile areas. Sediment and other pollutant traps shall be located at drainage exits from workings. ➢ The Contractor shall deposit any excess material in accordance with the principles of these general conditions, and any applicable EMP, in areas approved by local authorities and/or the Supervising expert. 126 ➢ Areas for depositing hazardous materials such as contaminated liquid and solid materials shall be approved by the Supervising expert and appropriate local and/or national authorities before the commencement of work. Use of existing, approved sites shall be preferred over the establishment of new sites. Rehabilitation and Soil Erosion Prevention ➢ To the extent practicable, the Contractor shall rehabilitate the site progressively so that the rate of rehabilitation is similar to the rate of construction. ➢ Always remove and retain topsoil for subsequent rehabilitation. Soils shall not be stripped when they are wet as this can lead to soil compaction and loss of structure. ➢ Topsoil shall not be stored in large heaps. Low mounds of no more than 1 to 2m high are recommended. ➢ Re-vegetate stockpiles to protect the soil from erosion, discourage weeds and maintain an active population of beneficial soil microbes. ➢ Locate stockpiles where they will not be disturbed by future construction activities. ➢ To the extent practicable, reinstate natural drainage patterns where they have been altered or impaired. ➢ Remove toxic materials and dispose of them in designated sites. Backfill excavated areas with soils or overburden that is free of foreign material that could pollute groundwater and soil. ➢ Identify potentially toxic overburden and screen with suitable material to prevent mobilization of toxins. ➢ Ensure reshaped land is formed so as to be inherently stable, adequately drained and suitable for the desired long-term land use, and allow natural regeneration of vegetation. ➢ Minimize the long-term visual impact by creating landforms that are compatible with the adjacent landscape. ➢ Minimize erosion by wind and water both during and after the process of reinstatement. ➢ Compacted surfaces shall be deep ripped to relieve compaction unless subsurface conditions dictate otherwise. ➢ Re-vegetate with plant species that will control erosion, provide vegetative diversity and, through succession, contributes to a resilient ecosystem. The choice of plant species for rehabilitation shall be done in consultation with local research institutions, forest department and the local people. Water Resources Management ➢ The Contractor shall at all costs avoid conflicting with water demands of local communities. ➢ Abstraction of both surface and underground water shall only be done with the consultation of the local community and after obtaining a permit from the relevant Water Authority. ➢ Abstraction of water from wetlands shall be avoided. Where necessary, authority has to be obtained from relevant authorities. 127 ➢ Temporary damming of streams and rivers shall be done in such a way avoids disrupting water supplies to communities downstream, and maintains the ecological balance of the river system. ➢ No construction water containing spoils or site effluent, especially cement and oil, shall be allowed to flow into natural water drainage courses. ➢ Wash water from washing out of equipment shall not be discharged into watercourses or roads drain. ➢ Site spoils and temporary stockpiles shall be located away from the drainage system and surface runoff shall be directed away from stockpiles to prevent erosion. Chance finds procedure for culturally significant artefacts The Contractor is responsible for familiarizing themselves with the following “Chance Finds Procedures”, in case culturally valuable materials are uncovered during excavation, including: ➢ Stop work immediately following the discovery of any materials with possible archaeological, historical, paleontological, or other cultural value, announce findings to project manager and notify relevant authorities; ➢ Protect artefacts as well as possible using plastic covers, and implement measures to stabilize the area, if necessary, to properly protect artefacts ➢ Prevent and penalize any unauthorized access to the artefact ➢ Restart construction works only upon the authorization of the relevant authorities. Requirements for chance finds are also outlined in the Act. Article 41 which states that: “Any person who discovers any cultural heritage in the course of excavation connected with mining, explorations, building works, road construction or other similar activities shall report to the Authority and protect and keep same intact until the Authority takes delivery thereof”. The Authority shall take all appropriate measures to examine, take delivery and register the Cultural heritage so discovered. Where the Authority fails to take appropriate measures within 6 months, the person that discovered the cultural heritage may be released from the responsibility by submitting a written notification with a full description of the situation to the Regional Government official. Cost of Compliance It is expected that compliance with these conditions is already part of standard good workmanship and state of art as generally required under this Contract. The item “Compliance with Environmental Management Conditions” in the Bill of Quantities covers these costs. No other payments will be made to the Contractor for compliance with any request to avoid and/or mitigate an avoidable Environmental and social impact. 128 Annex 9: Grievance Redress Mechanism (GRM) According to Article 17 of Proclamation on EIA (proclamation no., 299/2000); any person dissatisfied with the authorization or monitoring or any decision of the Authority or the relevant regional environmental agency regarding the project may submit a grievance notice to the head of the Authority or the relevant regional environmental agency, as may be appropriate. The decision of the head of the Authority or relevant regional environmental agency shall, as provided above, be issued within 30 days following the receipt of the grievance. The World Bank will also require the Borrower to provide a grievance mechanism, process, or procedure to receive and facilitate resolution of stakeholders’ concerns and grievances arising in connection with the project, in particular about the environmental and social performance of the client. Grievance redress mechanisms provide a way to provide an effective avenue for expressing concerns and achieving remedies for communities, promote a mutually constructive relationship and enhance the achievement of project development objectives. GRMs are increasingly important for development projects where ongoing risks or adverse impacts are anticipated. They serve as a way to prevent and address community concerns, reduce risk, and assist larger processes that create positive social change. GRMs provide a formal avenue for affected people or stakeholders to engage with the project implementers or owners on issues of concern or unaddressed environmental and social impacts. People adversely affected (or about to be affected) by a development project will raise their grievances and dissatisfactions about actual or perceived environmental and social impacts in order to find a satisfactory solution. Not only should affected persons (APs) be able to raise their grievances and be given an adequate hearing, but also satisfactory solutions should be found that mutually benefit both the APs and the project. It is equally important that APs have access to legitimate, reliable, transparent, and efficient institutional mechanisms that are responsive to their complaints. Objectives of Grievance Redress Mechanism The objective of the GRM is to ensure that the views and concerns of those affected by the project activities are heard and acted upon in a timely, effective and transparent manner. Principles of GRM: • Protect beneficiaries’/partners rights to comment and complain; • Neutrality and equity while handling complaints; • Timing: short cycle, quick response to the critical complaints; • Transparency: Partners will be aware of the procedures; understand its purpose, have sufficient information on how to access it and understand how it works; • Confidentiality: Create an environment in which people are more likely to raise concerns, complain or stand in witness. Confidentiality assures that any information given is restricted 129 to a limited number of people and that it is not disseminated wider, therefore offering an element of protection and security to the complainant; • Accessibility: The GRM will be easily accessed by as many people as possible within any stakeholder in the place where projects/subprojects are being implemented; • Mutual responsibility between the project and complainants to insure fair, accurate, and responsible behavior. Grievance Handling Procedure Woreda Level If the community/project affected people or other interested parties have compliant on the unaddressed environmental and social impacts/damage/injuries as a result of LFSDP subprojects implemented at Woreda level/capacity, they submit their issues to the Woreda Environmental protection office or equivalent. The Woreda Environmental protection office, having filed checking/verification of complaints, will provide response effectively and in transparent manner. If the compliant are not satisfied with the response from the Woreda office, they go to regional Environmental protection offices. Woreda EPA also refers the cases if the issues are beyond its capacity to resolve. Regional Level If there are compliant from the community/project affected people or other interested parties due to LFSDP subprojects which are implemented by regional project implementing offices/agencies; or if the cases are referred from Woreda Environmental protection office, the Regional equivalent will give response to the community and other interested parties within 15 days after conducting field investigation. Federal level Since most of LFSDP sub-projects are implemented mainly at regional and Woreda levels, the grievance cases will also be handled at these levels. If there are cases, for example cross regional subprojects which may cause grievance, they will be handled by the federal LFSDP PCU. The federal LFSDP PCU will give response to the compliant within 30 days after conducting field investigation. Complainants may also pursue their cases through the court system, if they are not satisfied with the Grievance Redress System. 130 Annex 10: Monitoring and Evaluation of the implementation of ESMF For the effective implementation of the ESMF a regular and period follow up is required. The objective of this is to: 1. Alert project authorities (i.e. primarily) by providing timely information about the success or otherwise of the environmental management process outlined in this ESMF. This will ensure continuous improvement to LFSDP environmental and social management process (even beyond the project’s life). 2. Make a final evaluation in order to determine whether the mitigation measures incorporated in the technical designs and the ESMP have been successful. 1. Monitoring of Environmental and Social Indicators The goals of monitoring are to: ➢ measure the success rate of the project ➢ verify the accuracy of the environmental and social impact predictions ➢ determine the effectiveness of measures to mitigate adverse effects of projects on the environment. ➢ determine whether interventions have resulted in dealing with negative impacts ➢ determine whether further interventions are needed or monitoring is to be extended in some areas. Monitoring indicators will be very much dependent on specific project contexts. Two opportunities will be taken to build a simple system for the monitoring and evaluation of environmental and social impacts: A. Initial proposals The key issues to be considered in the LFSDP subprojects include monitoring of water quality, soil erosion, land degradation, vegetation removal, soil acidification and salinization, genetic biodiversity, anti-biotic resistance, wetland drainage, occupational health & safety for those working in animal health clinic/post and soil testing laboratory, health problem, agricultural production, pest management, land acquisition, income generation and livestock health care and population influx. Monitoring and surveillance of subprojects will take place on a spot check basis. The spot checks consist of controlling the establishment of mitigation measures. It is not recommended to collect large amounts of data, but rather to base monitoring on observations of project technicians and stakeholders to determine the trends in indicators. 131 B. Monitoring of participation process The following are indicators for monitoring of the participation process involved in the project activities. ➢ Number and percentage of affected households consulted during the planning stage ➢ Levels of decision-making of affected people ➢ Level of understanding of project impacts and mitigation ➢ Effectiveness of local authorities to make decisions ➢ Frequency and quality of public meetings ➢ Degree of involvement of women and youth or disadvantaged groups in discussions Monitoring of implementation of mitigation plans lists the recommended indicators for monitoring the implementation of mitigation plans. 2. Evaluation of Results The evaluation of results of environmental and social mitigation can be carried out by comparing baseline data collected in the planning phases with targets and post-project situations. A number of indicators would be used in order to determine the status of affected people and their environment (land being used compared to before, how many irrigation subprojects than before, etc). In order to assess whether these goals are met, the IAs at Woreda and regional level will indicate the following in the ESMP. The Woreda and regional EFCC offices, and the LFSDP regional ESS expert will review/check these issues based on the institutional arrangement indicated in this ESMF. The regional and federal LFSDP safeguard specialist will give technical assistance for IAs in doing so. The following are some pertinent parameters and verifiable indicators/questions to be used to measure the ESMF process, mitigation plans and performance. ➢ Have the LFSDP coordination units at federal and regional level in collaboration with the regional and Woreda EFCC offices trained a local social and environmental specialist, and IAs focal person in charge of LFSDP activities in considering the social and environmental issues? ➢ Have the ESMP’s and final subproject designs been cleared by the EFCC offices at Woreda and regional level as indicated in the institutional arrangement indicated in this ESMF? ➢ At what rate are the IAs monitor ESMF implementations? ➢ How many RAPs/s have been fully executed before physical displacement of people? ➢ How many recorded grievance cases have been settled within one year? 3. Monitoring of ESMF implementation In addition to the Project Reports and ESA studies required under the Ethiopian Environmental legislation, an Audit on ESMF implementation will be done every other year and report prepared by the Woreda EFCC office for those projects executed by the Woreda IAs and delivered to its office. 132 Again, the regional EFCC will conduct auditing for those LFSDP subprojects executed by the regional IAs. The audits conducted both at regional and Woreda level should be sent to the LFSDP FPCU. All implementing agencies should conduct their own regular internal ESMF implementation audit and submit to EFCC office at their respective level. The regional and federal LFSDP safeguard specialists facilitate and supervise the execution of the audit, and also provide technical support in doing so. 4. Monitoring Roles and Responsibilities LFSDP coordination units and IAs at Woreda and regional level have the lead responsibility to monitor the implementation of the ESMP including the PMP and the RAP that they prepare. EFCC offices at Woreda and regional level have also the responsibility to verify the monitoring report prepared by the IAs at their respective level. Woreda EFCC office will be required to prepare periodic monitoring reports and submit it to regional EFCC office where periodic monitoring report prepared and submitted to regional coordination unit of LFSDP to be compiled and submitted to FPCU. ESS specialists at Regional and federal PCUs will facilitate and provide technical supports for the monitoring activities to be done by the regional and Woreda IAs and EFCC offices. They also carry out their monitoring activity to track the progress of the implementation of the mitigation measures prepared Woreda and regional IAs/PCUs. Development agents (DAs), KDCs and local community have also the responsibility to follow up the implementation of the ESMF at their locality. Donor representatives, independent consultants, Woreda TC, Zone TC and IAs have a role of giving support for the monitoring program. 5. Supervision Supervising the implementation of ESMPs, which include ESMP, PMP and RAP/, will be the responsibility of EFCC offices at Woreda and regional level. Environment and Social safeguard specialists at Regional and federal PCUs of LFSDP will provide technical supports, and facilitate the process. Supervision of the ESMPs covers monitoring, evaluative review and reporting. Generally, it is designed to: ➢ determine whether the subproject is being carried out in conformity with environmental safeguards and legal agreements, ➢ identify problems as they arise during implementation and recommend means to resolve them, ➢ recommend changes in project concept/design, as appropriate, as the project evolves or circumstances change and ➢ Identify the key risks to project sustainability and recommend appropriate risk management strategies. It is vital that an appropriate environmental and social supervision plan by ESS experts in collaboration with environmental protection offices is developed with clear objectives to ensure the successful implementation of an ESMP. 133 Annex 11: LFSDP target Woredas Oromia Regional Amhara Regional SNNPR Regional Tigray Regional state Benshangul Gumuz Gambela Regional No state (23) state (15) state (13) (4) Regional state (2) state (1) 1 Haramaya Gubalafto Dale Kiliteawlaelo Assosa Abobo 2 Combolch Dabat Dilla zuriya Hintalowejerat Oda 3 Tulo Libokemekem Kededa Gamela Thanqabergele 4 Deksis Bahirdar zuriya Meskan Adwa 5 Robe Mecha Silti 6 Kore Dewachefa Lemo 7 Daber libanos Moretina Jiru Halaba 8 Kersa Basona Werena Konso 9 Limu kosa Dese zuriya Humbo 10 Bacho Qalu Demba Gofa 11 Mako Fageta Lekoma Arbaminch zuriya 12 Hawa gelan Gozamin Loma 13 Najo Fogera Hawassa town 14 Sibu sire Lay Armacho 15 Leka dulacha Dahna 16 Abay choman 17 Meta robe 18 Jaldu 19 Adama 20 Dawo 21 Dinsho 22 Bore 23 Abaya Annex 12: IPM planning, design and implementation Livestock and livestock fodder are generally infested, attacked and damaged by pests and weeds to varying degrees, often causing economic loss. The damage from pests and weeds is potentially serious to fodder and livestock. If uncontrolled, or not controlled effectively, livestock and fodder loss can occur as a result of pest infestation, posing serious obstacles to the achievement of the objectives of the LFSDP. It is expected that pesticide usage would be embedded within IPMPs, which stress alternative practices to pesticides as well as safety and decision guidelines for their effective usage. Fodder production will however not use chemical pest control method other than application of fertilizers for boosting productivity. The scope of pesticide definition in this document includes any synthetic compound used to kill or inhibit growth and reproduction of pests (such as insects, microorganisms, invasive species, etc). The term may include livestock insecticides, vaccines, drugs and or additive chemicals used in animal feed. World Bank’s pest management policy (OP 4.09) is triggered for LFSDP, since the project would promote and/or procure insecticides, vaccine and drugs to improve the overall livestock health conditions. On the other hand, project operations may lead to substantially increased pesticide use and subsequent increase in health and environmental risk. The LFSDP promoted activities such as household based fodder production and feed formulation are likely to use fertilizers and/or chemicals to increase productivity and improve feed quality. At the same time, livestock health interventions (including quarantine systems, vaccines, drugs etc.) are likely to use pesticides and biological products (vaccines, acaricides) for control of pests normally associated with diseases to livestock. It is therefore a requirement to proactively Identify pesticides, vaccines, drugs, feed additives or any other chemicals that may be financed under the project and develop appropriate pest management plan to address potential human health and Environmental risks. Other requirement of the policy includes ensuring that general public is well aware about the potential risks of these pesticides as well as its safe handling, storage, use and disposal methods. Integrated Pest Management Framework (IPMF) IPMF is the principal tool and instrument to ensure initial project safeguards as regards pesticide use at this stage principally because the exact locations, scope, designs and nature of the proposed investments remains unknown. This IPMF is aimed at ensuring that implementing institutions in this project use it in order to ensure that the WB’s pest management safeguard policies as outlined in Operational Policy (OP) 4.09 are adequately complied with. The purpose of this section is to provide a strategic framework for the integration of pest management considerations in the planning and implementation of the activities to be implemented within the LFSDP specifically on sub projects that will involve use of fertilizers and pesticides for fodder production and treatment of livestock. Use of pesticides specifically in livestock health disease control and in livestock fodder production can constitute increased risks to human health and environment for reasons including the following: ➢ Lack of effective pesticide regulation and enforcement; ➢ Scarcity of, and or lack of Personal Protective Equipment (PPE); ➢ Failure to implement good plant health, soil health, and water management practices; ➢ Little or no understanding of IPM theory or principles; ➢ Inability to read or comprehend pesticide labels and safety warnings due to illiteracy; ➢ Inability to properly identify pests, their population levels, and economic thresholds; ➢ Inadequate knowledge about pesticides and their dangers; ➢ Porous national borders likely to encourage illicit entry and trade in pesticides These are among the reasons that World Bank requires preparation of and compliance with an IPMF containing restrictions on the pesticides procured or facilitated recommendations for IPM, and specific recommendations for safety training and use of safety equipment. The primary goals are to reduce risk and to change attitudes and behaviors toward a more comprehensive approach to GAHP/GAFP. Environmental and Socioeconomic Impacts of Pesticides The potential adverse effects of pesticide use within the related sub projects under the LFSDP will include among others: • Pollution and contamination of surface and underground water bodies • Pollution and contamination of soil • Impact on aquatic life due to pollution of water resources • Impact on terrestrial fauna due to contamination • Human and animal health related hazards due to indiscriminate exposure to pesticides All the pesticides banned or under restriction in Ethiopia will not be used in the LFSDP. Wherever possible, non-chemical means of pest control will be exercised, in keeping with the policy of the bank to promote Integrated Pest Management (IPM). IPM can in some cases facilitate livestock and feed pest protection without the application of chemical based pesticides. Some IPM tactics that could be considered by LFSDP sub projects that reduce pest risk includes: • Biological control methods • Natural physical methods, such as picking of ticks • Mechanical/manual control of pests • Breeding of pest resistant livestock IPM Planning, Design & Implementation This sub-section describes the typical methodologies that should be used by the LFSDP when preparing sub project Integrated Pest Management Plans (IPMPs) for sub projects specifically when environmental and social screening determines that pesticides will be utilized and or their use will be promoted in the specific sub project. The likelihood and potential for application of pesticides in the LFSDP sub projects triggers the OP 4.09 which requires the preparation of sub project specific IPMPs. Designing an IPMP IPM is a sustainable approach to managing pests by combining cultural, physical/mechanical, biological, and chemical tools in a way that keep pests below their economic injury levels and minimizes economic, health and environmental risks. Fundamentally, IPM aims to maximize the use of biological control; other control measures especially chemicals play a supportive rather than a disruptive role. Every sub project under the LFSDP that triggers OP 4.09 will require the preparation of an IPMP and the sections below outlines the proposed approach in developing IPMPs. The LFSDP will utilize its safeguard specialists and trained professionals with expertise in livestock science and pest management to prepare these IPMPs. a) The following are key preconditions for an IPM approach, which will be adopted by all the sub projects within LFSDP that will be screened and found to require pesticide use: b) Understanding of the ecological relationships within a farming system (livestock, crop, plant, pests’ organisms and factors influencing their development c) Understanding of economic factors within a production system (infestation: loss) Understanding of socio-cultural decision-making behavior of the farmers (traditional preferences, risk behavior) d) Involvement of the farmers in the analysis of the pest problems and their management e) Successive creation of a legislative and agricultural policy framework conducive to a sustainable IPM strategy (plant quarantine legislation, pesticides legislation, pesticide registration, price policy) This IPMF for LFSDP has been developed following and applying the key elements of IPM program namely: 1. Ensuring that sub projects under LFSDP use available, suitable, and compatible methods which includes resistant varieties, cultural methods, biological control, safe pesticides etc. to maintain pests below levels that cause economic damage and loss 2. Ensuring that sub projects under LFSDP conserve the ecosystem to enhance and support natural pollinators 3. Ensuring that sub projects under LFSDP integrate the pest management strategies in the farming system 4. Ensuring that sub projects under LFSDP conduct analysis based on pests and crop loss assessments Setting up an IPM Program Planning is at the core of any IPM program. Every livestock has pests that need to be considered. Waiting until problems arise will end up increasing reliance on pesticides more and more. A good Integrated Pest Management program has four parts and all the IPMPs that will be prepared under LFSDP will have to follow these parts: a) Identifying problems; b) Selecting tactics; c) Considering economic and environmental factors; and d) Evaluating the program. A. Proper Identification of Problems The correct IPM approach promotes “proactive” rather than “reactive” management. Correct identification is the first and most important step in controlling a problem. This first step is critical to future success, since an incorrect diagnosis leads to mismanagement. Scouting is, in fact, the key feature of any IPM program. By scouting, the ability to detect potential problems early is increased. The earlier a problem is discovered, the better you chances are of avoiding economic losses. Primary beneficiaries of LFSDP from Level 1 to Level 4 (Small holder Farmers, cooperative producers and small investors) who will use pesticides or promoted to use pesticides because of other LFSDP interventions will be trained on scouting techniques to identify pests early to promote the proactive approach in pest management as described above. To scout effectively, the abovementioned primary beneficiaries of LFSDP will be encouraged and trained to: ▪ Identify the cause of the problem to know what kind of pest they are dealing with. ▪ Contact agricultural extension officers or DAs if they encounter something that they cannot identify. ▪ Determine the stage of growth of the pest and livestock. This is essential for proper timing of control methods. ▪ Decide whether the infestation is increasing or decreasing. ▪ Assess the condition of the livestock. ▪ Map out problem areas. It may be possible to limit the area that needs treatment. ▪ Use the right scouting method for the specific pest. B. Select Tactics Once the problem has been identified, considerations on how to control it will have to be made. The goal in selecting control tactics is to use methods that are effective, practical, economical, and environmentally sound. To select the best control tactics, there will be need to: ▪ Understand the life cycle and habits of the pest. Some control methods will work only if they are used at the right time. ▪ Decide whether the infestation is serious in terms of economic loss. ▪ Compare the costs and benefits of various control methods. ▪ Make plans for the future. Not every part of an IPM program can be put into effect immediately. Sampling to determine the extent of the problem Once the pest is correctly identified, the next question which that will need to be answered will be; Is there a risk of significant loss? Is the problem occasionally seen? Localized? Or commonly found throughout? What is the extent of the damage? Is the problem a growing threat? Correct sampling will help to eliminate the guesswork in pest control by providing a means to quantify an old problem or discover a new one. Sampling knowledge and information on pest and crop biology should be used to make better management decisions. Analysis to assess problem importance This step in the pest management process entails analyzing the identification and sampling information and evaluating the need for a pest control action to make a determination on how bad the problem really is. There is need to assess whether the potential control measure are more costly than the damage potential? There is need to weigh economic, environmental, and times concerns and assess the impact of the current pest control decision on future management decisions? Selection of appropriate management alternative The action plan needed must entail a strategy that fits with the short- and long-term plans, labor force, capital, equipment, and finances of the farm. Therefore, an evaluation of the costs, benefits, and risks of employing various management options is needed. Opportunities to integrate different pest control strategies must be considered. C. Choosing controls There is no such thing as a completely safe and natural pesticide. Pesticides can vary greatly in their level of toxicity to non-target organisms such as people, pets or beneficial insects. Even organically approved pesticides can pose a danger to people and the environment if they are not used properly. Pesticides are grouped into various types or categories. For example, there are fungicides, insecticides, herbicides (for weeds), nematicides (for nematodes) and miticides (for mites). While many pesticides control specific problems, there are still some broad-spectrum controls. In addition, there are many products that are only effective if they are used at a specific growth stage of the pest, so timing is critical. It is never wise to use blanket applications of pesticides on large areas or to use them based on a calendar alone. The improper use of pesticides can pose a risk to the applicator, family, plants, beneficial organisms and the environment. There are times when pesticides are needed to prevent major losses. The judicious and proper use of pesticides can occur with a sound IPM program. The following are examples of management tactics, which can be employed; • Biological - Parasites, predators, pest • Chemical - Pesticides, pheromones, baits, attractants • Physical Consider Economic Factors: Know When It Pays to Use a Pesticide Despite efforts to avoid using chemicals, there are times when only pesticides can control the damage. Even so, it may not pay to use them. Pesticides should be used in an IPM program only when the benefits (yield, quality, aesthetic value) exceed the costs of control. Otherwise time and money are wasted. It’s not easy to figure out when it pays to use pesticides. There are many variables: the pest population, variety, and growth stage, weather, and cost of the control. D. Evaluate IPM Program Evaluation means deciding how effective a program is and whether any changes are needed. All sub projects that will prepare IPMPs will have to evaluate the IPM program, and should: ▪ Monitor fields and keep records: Each time field visits are made, a note of livestock and pest conditions—record yields and quality and record any counts on pest populations. ▪ Record control measures: Records should include dates, weather conditions, pest levels, application rates and timing, and costs. Good records are a guide if the same problem occurs. ▪ Compare effectiveness: Whatever control tactics are chosen, use a different method on some strips. That way comparison can be made; which worked better, taking into account costs and environmental impacts. Reporting and Performance Review Requirements The MoLF through the FPCU will integrate pesticide use activities within the regular project specific quarterly progress safeguards reports for all sub projects, including Integrated Pesticide Management Plans (IPMPs) for submission to the Bank specific for identified sub projects during the feasibility study phase of the project following detailed screening. Environmental and Social Safeguards Technical Assistance to the LFSDP in regard to pesticide use and application will be provided by the FPCU’s Social and Environmental specialists (to be recruited under the project) who will screen all sub-projects to determine if they trigger the need for IPMPs and prepare ToRs when such determinations are made. These reports will be submitted to the LFSDP and the World Bank’s implementation support missions. Annex 13: Community Consultations Attendance Sheet Annex 12: Sample Photos of Community Consultations and site visits Debre Libanos Woreds, North Shoa Zone of Oromia Asossa Woreda, Benishangul-Gumz Consultations with Diary Cooperative Members Consultations with Community Representatives Abobo Woreda, Asossa Zone of Gambella Mecha Woreda, West Gojjam (Amahara) Consultations Fishers Cooperative members Consultations with Organized Youth Group