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JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) i
FEDERAL REPUBLIC OF ETHIOPIAN MINISTRY OF MINES
Volume I: Environment and Social Management Framework (ESMF)
(Final Report)
Support to Improve the Economic, Social and Environmental
Sustainability of Artisanal Miners Project on ESMF
Sponsored By: The World Bank
Prepared By:-
Eng. Assefa Bekele, Consultant
P.O.Box. 9834 Addis Ababa, Ethiopia
Tel: +251 -1- 440 02 41
Mob: +251 -9- 51 32 53
E-mail: [email protected]
October 2012
Addis Ababa, Ethiopia
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JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) ii
Acknowledgment
The Consultant, Eng Assefa Bekele, is highly grateful to the Ethiopian Federal Ministry of Mines,
and (Oromiya Regional State Mines and Energy Bureau Offices without the support and
cooperation of whom this study would have not been possible.
Mr.Andre of the World Bank deserves special thanks for his all round cooperation in the course
of the study. I highly appreciate his commitment to the success of this project which he showed
up by closely following up every activity, strictly reviewing the draft reports of ESMF and RPF
document and forwarding valuable comments that helped me to further enrich the final study
documents.
Many thanks go to Mrs. Sofia Mahamed, Gender Mainstreaming Directorate Director and Project
Coordinator (MoM), for her kind cooperation and facilitating the task of the consultation study.
She greatly helped to fine tune the methodology of the study and meticulously reviewing the
draft reports of ESMF and RPF document and forwarding important comments.
I’m grateful to Mr. Tamirat Mojo, Artisanal Mining and Transaction Coordinating Directorate
Director (MoM), for providing current information and giving a precious feedback on issues
concerning the Ethiopian artisanal mining actively operating in different regions of the country.
I would also like to thank Dr.Asferachew Abate (Environmental Specialist) and Mrs. Desta
Solomon (Resettlement Specialist) of the World Bank who has undertaken a strong review and
forwarded precious comments on the ESMF and RPF studies. They generously shared me their
wealthy experience relevant to the environment and resettlement aspects of the study.
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) iii
Table of Contents
EXECUTIVE SUMMARY ............................................................................................................. 1
1 INTRODUCTION .................................................................................................................. 4
1.1 Background ................................................................................................................... 4
1.2 1.3 Objective of the ESMF ......................................................................................... 6
1.3 1.4 Scope of the ESMF ............................................................................................. 6
2 DESCRIPTION OF THE SUPPORT PROJECTS ................................................................. 7
2.1 Background ................................................................................................................... 7
2.2 Components of the Support Project ............................................................................... 8
2.3 Rationale for the ESMF ................................................................................................. 9
2.4 Public Disclosure ......................................................................................................... 11
3 ORGANIZATIONS RESPONSIBLE FOR IMPLEMENTATION OF THE SUBPROJECTs ... 12
3.1 Federal Organizational Responsibilities....................................................................... 13
3.2 Regional Organizational Responsibilities ..................................................................... 14
3.3 Local Governments Responsibilities ............................................................................ 14
4 THE ARTISANAL MINING SITUATION AND ENVIRONMENTAL CONTEXT .................... 15
4.1 Population Engaged in the Artisanal Mining Activity .................................................... 15
4.2 Characteristics of the Artisanal Mining Operators ........................................................ 16
4.3 Type of Artisanal Mining Operation ............................................................................. 17
4.4 Mining Techniques and Tools ...................................................................................... 17
4.5 Gender Mainstreaming ................................................................................................ 18
4.6 Environmental Impacts Associated with Artisanal Mining Activities ............................. 20
5 LEGAL, POLICY AND Administrative Framework .............................................................. 22
5.1 Relevant Legislation and Policy ................................................................................... 22
5.2 Administrative Structure for Environmental Management ............................................ 26
5.3 World Bank Safeguard Requirements ......................................................................... 26
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) iv
6 Description of Significant Adverse Environmental IMPACTS AND Social Risks and
Mitigation Measures ........................................................................................................... 27
6.1 Potential Impacts and Mitigation Measures ................................................................. 27
6.2 Analysis of Alternatives ............................................................................................... 29
7 Environmental and social Management Plan ...................................................................... 31
7.1 Basic Principles ........................................................................................................... 31
7.2 7.2 ESMF Procedures ............................................................................................ 32
7.3 7.2.2 Step2-Screening of the Subprojects ............................................................... 33
7.4 7.3 Guidelines for Subprojects Requiring Special Attention .................................... 37
7.5 7.4 Implementation of Mitigation Measures ............................................................ 38
8. CAPACITY BUILDING ....................................................................................................... 39
7.6 Institutional Capacity for ESMF Implementation .......................................................... 39
7.7 Proposed Training and Technical Assistance Topics................................................... 40
9. MONITORING OF ESMF IMPLMENTATION ..................................................................... 40
7.8 Supervision and Process Monitoring ........................................................................... 40
7.9 Results of Monitoring ................................................................................................... 41
10. PROPOSED IMPLEMENTATION BUDGET ....................................................................... 42
ANNEX 1: SUBPROJECTS SCREENING FORM .................................................................... 44
ANNEX 2: LIST OF CONTACTED PERSONS and Institutions ................................................. 47
ANNEX 3: TERMS OF REFERENCE (TOR) AND SCOPE OF SERVICES ............................... 48
ANNEX 4: REFERENCE .......................................................................................................... 52
v
Environmental and Social Management Framework (ESMF) v
ABBREVIATIONS AND ACRONYMS
AM Artisanal Mining
ASM Artisanal and Small - Scale Mining
EA Environmental Assessment
EIA Environmental Impact Assessment
EPA Environmental Protection Authority
ESIA Environmental and Social Impact Assessment
ESMF Environmental and Social Management Framework
FMoM Federal Ministry of Mines
JSDF Japan Social Development Fund
MoARD Ministry of Agriculture and Rural Development
MoH Ministry of Health
MoM Ministry of Mines
OWMEB Oromia Water, Minerals and Energy Bureau
RPF Resettlement Policy Framework
VIPL Ventilated Improved Pit Latrine
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) 1
EXECUTIVE SUMMARY
Support to Improve the Economic, Social and Environmental Sustainability of Artisanal
Miners Project in Ethiopia financed by the Japan Social Development Fund (JSDF) will
operate in four to six regional governments (Oromiya, Amhara, Tigray, Afar, Benishangul-
Gumuz and SNNPRS) targeting a total of 15 – 20 Artisanal mining communities in these
regional states. The Support Project has the following subprojects (components)
Component 1- Baseline Assessment, Strategy Design and Environmental Safeguards
Management;
Component 2- Capacity Building, Training and Support to Enhance the Sustainability of ASM
Communities;
Component 3- Improvement of Basic Services and Access to Health Facilities to Improve
the Social Sustainability of ASM Communities; and
Component 4- Grant Supervision and Administration by the Ministry of Mines
Component 3 Subproject shall involve small works (provision of safe drinking water,
upgrading/construction of health and sanitary facilities).While these interventions are
expected to enhance safeguard sustainability of the Artisanal miners, they are also expected
to impact the environment, and could possibly carry social risks.
The environmental category assigned for this Project is Category “B”, i.e. the projects cause
lesser impacts, which are often essentially remediable.
Considering the fact that project specific locations are not yet established, this ESMF is
prepared to facilitate identification of the potential positive impacts and adverse
environmental and social risks that are likely to emanate from implementing the project
activities and also to recommend actions to address and mitigate the safeguard risks. At this
point it is important to point out that the ESMF will be amended once the exact locations are
determined, and will become more specific with regard to recommended actions.
The potential possible adverse impacts of the subprojects identified and the corresponding
mitigation measures proposed include the following:
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) 2
Subproject Possible adverse impact Proposed mitigation measures
Water supply
subprojects
Construction of new access road;
Disruption on existing water users including
downstream users;
Increased numbers of water users due to
improvements;
Increased social tensions/conflict over water
allocation;
Possible land acquisition and displacement
of private assets
Ensure drainage controls on new roads
and rehabilitate temporary access
following subproject implementation;
Identify and avoid negative impacts on
existing water users in the system
design
Assess water supply and existing
demands, and manage sustainability;
Avoid occupied land. Prepare
procedures to ensure equitable
resolution.
School,
Health and
Sanitation
Subprojects
Alteration of existing drainage conditions;
Vegetation removal;
Construction materials impact on adjacent
forests/lands;
Sanitation development effects on existing
disposal fields;
Medical waste increase effects on existing
disposal system;
In-migration/settlement induced by facilities
development
Drainage control measures to be
included within construction plans;
Avoid taking construction materials in an
unmanaged manner
Prepare a waste management plan for
major facility upgrades; ensure sufficient
facilities and capacity for medical waste;
Identify and avoid negative impacts on
existing water users in the system
design
All environmental and social safeguards to be followed in the management of the Subproject
are covered by this Environmental and Social Management Framework (ESMF).
The Ministry of Mines (MoM) will have the overall responsibility for implementation of the
Project in close collaboration with regional Bureau of Mines and Energy in the various
selected regions. The regional bureaus will implement the project through the Wereda and
Kebele level offices who will in turn work very closely with the community through ASM
Cooperatives. The JSDF project will ensure that the ASM community is fully consulted
throughout the project life including at the planning, implementation, operation and
maintenance stages.
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) 3
In addition independent NGO(s) who have expertise in the sector and have the experience
of working together with the poorest populations in Ethiopia will be selected to administer
the activities of Component 2 and 3.These arrangements is expected to ensure closer
proximity, availability and monitoring capabilities of the NGOs vis-à-vis the beneficiaries in
the selected areas.
Details on institutional arrangements, project management and coordination are as provided
in the Project Operation Manual (POM).
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) 4
1 INTRODUCTION
1.1 Background
This document provides an Environmental and Social Management Framework
(ESMF) for the Support Project to Improve the Economic, Social and Environmental
Sustainability of Artisanal Miners in Ethiopia. Financing for the Support Project is
provided by the Japan Social Development Fund (JSDF). Participating regional
governments will also provide funds to finance the activities of the projects. The
Ministry of Mines (MoM) is the agency responsible for the overall implementation of
the Support Projects including the provisions of this ESMF. The participating
Regional Governments especially Bureaus of Mines and Energy are the main
authorities responsible for identifying and implementing the Support Projects.
This ESMF document is to be used by all implementing agencies of the Support
Projects in order to ensure that all environmental and social safeguards are
adequately addressed and that the relevant capacity and training needs are
established in order for the recommended measures to be implemented effectively.
1.2 Location
Artisanal mining activities are largely practiced all over the country especially where
the workable minerals and rocks potentials are available.
However, for the study under consideration, the proposed environmental and social
management framework (ESMF) and EPF study will cover the Ethiopian Artisanal
miners in six selected regions including Oromiya, Amhara, Tigray, Afar, Benishangul-
Gumuz and SNNPRS ( See the Location Map ).
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) 5
Figure 1: Location Map Showing the Study of ESMF and RPF on Ethiopian Artisanal Miners
in Six Selected Regional Administrative of Ethiopia
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Environmental and Social Management Framework (ESMF) 6
1.3 Objective of the ESMF
The main purpose of the ESMF is to:
Establish clear procedures and methodologies for the environmental and social
assessment, review, approval and implementation of projects to be financed
under the Support Project;
Specify appropriate roles and responsibilities, and outline the necessary reporting
procedures, for managing and monitoring environmental and social concerns
related to the Support Projects;
Determine the training, capacity building and technical assistance needed to
successfully implement the provisions of the ESMF; and
Provide practical information resources for implementing the ESMF.
A Resettlement Policy Framework (RPF) has been developed and is presented in a
separate document (Volume II).
1.4 Scope of the ESMF
The ESMF will ensure compliance with the relevant requirements of the
Environmental Policy of Ethiopia, legislation and guidelines, including
a) The Environmental Policy of Ethiopia (EPE, 1997);
b) Proclamation to Provide for the Conservation, Development and Utilization of
Forests (Proclamation No. 94/1994);
c) Ethiopian Water Resources Management Proclamation (Proclamation No
197/2000);
d) The Environmental Protection Organization Establishment Proclamation No.
295/2002;
e) Environmental Pollution Control Proclamation No. 300/2002
f) EIA Guidelines (2000); and
Besides the national regulatory regime, the World Bank safeguard requirement is
considered.
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) 7
2 DESCRIPTION OF THE SUPPORT PROJECTS
2.1 Background
The Federal Ministry of Mines through the Grant Support secured from Japan Social
Development Fund (JSDF) designed a program to support improvement of
economic, social and environmental sustainability of Artisanal miners with emphasis
on women employment in selected parts of Ethiopia. The developmental objective of
the program is to significantly reduce the poverty level of Artisanal and small scale
mining communities (ASM) in rural Ethiopia.
The intervention shall involve small works (provision of safe drinking water, health
and sanitary facilities), the adoption of improved mining technologies and
procurement of mining equipment and tools.
Many of these interventions, which constitute community-level activities, are
expected to enhance safeguard sustainability of the Artisanal miners. The
interventions are also expected to impact the environment, and could possibly carry
social risks. Since project specific locations are not yet established, ESMF is deemed
necessary tool identifying the potential positive impacts and adverse environmental
and social risks that are likely to emanate from implementing the project activities
and also to recommend actions to address and mitigate the safeguard risks.
Closely related to ESMF, the project has also triggered the World Bank Operational
Policy for Involuntary Resettlement (OP 4.12), which will require the draft of a
Resettlement Policy Framework (RPF) although the Grant Support doesn’t envisage
supporting any actions that lead to resettlement.
The Ministry of Mines through support from the World Bank, has appointed a
consultant Eng. Assefa Bekele, to carry out an environmental and social
management framework (ESMF) and resettlement policy frame work (RPF) to
provide a framework for taking effective steps and measures to mitigate adverse
environmental and social impacts during project implementation.
The document on Resettlement Policy Framework (RPF) is separately produced.
This ESMF is to be used in conjunction with the Resettlement Policy Framework
(RPF) prepared for this program.
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) 8
2.2 Components of the Support Project
The envisaged Support Project has the following four components:
Component 1- Baseline Assessment, Strategy Design and Environmental
Safeguards Management;
Component 2- Capacity Building, Training and Support to Enhance the Sustainability
of ASM Communities;
Component 3- Improvement of Basic Services and Access to Health Facilities to
Improve the Social Sustainability of ASM Communities; and
Component 4- Grant Supervision and Administration by the Ministry of Mines
Brief descriptions of activities to be involved under each of the components are as
provided below:
2.2.1 Component 1: Baseline Assessment, Strategy Design and Environmental
Safeguards Management
Component 1 will provide a baseline assessment as well as environmental
safeguard management framework, and follow up with a strategy design for 30
Artisanal and small scale (ASM) communities (a total of 159 ASM cooperatives exist
nationwide) in Ethiopia, with a focus on five different minerals, namely Gold,
Gemstones, Tantalum, Construction Minerals and Salt. The communities which will
be selected (based on the baseline assessment) will be among the poorest based in
Oromia, Tigray, Southern NNP, Benshangul-Gumuz, Amhara and Afar regional
states. The assessment will ensure that the poorest communities are selected as well
as the sustainability of the project activities through the establishment of Monitoring
and Evaluation (M&E) Framework.
2.2.2 Capacity Building, Training and Support to Enhance the Sustainability of ASM
Communities
Component 2 will focus on capacity building of ASM miners in ASM communities,
and will put an emphasis on women in case they are significantly disadvantaged in or
even excluded from formal employment. It will provide the selected communities with
mining specific training, for instance economically and environmentally sustainable
mining techniques and basic geological assessments which are to be carried out by
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) 9
an NGO specializing in Artisanal mining. For gemstone mining communities (in the
case of Ethiopia this entails primarily opals, but also other colored gemstones),
training will additionally include teaching and training in lapidary and gemstone
cutting activities, which presents a huge potential for income for their members, and
especially for women. Furthermore, this component will provide business support,
managerial training and facilitate access to markets through the provision of
microfinance and better access to gold trading centers (for gold mining communities)
and thus help to mitigate the factors that so far were responsible for the low
economic opportunities faced by ASM communities. Finally, training sessions will
also be held to make ASM communities understanding the legal framework in which
they operate, i.e. their rights and obligations.
2.2.3 Improvement of Basic Services and Access to Health Facilities to Improve the
Social Sustainability of ASM Communities
Component 3 will address the social infrastructure for reducing poverty and
deprivation, specifically the lack of even basic sanitation and health facilities, which
results in extremely low levels of well-being and social development of Artisanal
miners. Access to potable water and sanitation facilities as well as to mobile
community health centers will be the priority goals in this respect. This component is
expected to diminish the incidence of poor sanitation through the building of standard
latrine systems (where the sewage will be collected in sewage tanks and biologically
decomposed) as well as water tanks to improve access to safe drinking water. In
addition, existing health centers and community extensions services will be upgraded
or mobile public health facilities could be established that could roam between ASM
sites in one region.
2.2.4 Grant Supervision and Administration by the Ministry of Mines
Component 4 will support grant implementation and capacity building for NGOs and
the regional mines and energy bureaus and the Ministry of Mines. The project will be
implemented under the auspices of the Ministry of Mines; selected NGOs that work
with Artisanal miners and in mining techniques and community health will then
directly work with the communities.
2.3 Rationale for the ESMF
Component 3 Subproject shall involve small works (provision of safe drinking water,
health and sanitary facilities), the adoption of improved mining technologies and
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) 10
procurement of mining equipment and tools. The list of eligible investments under
this category of the Subprojects is as provided in Table 2.1 below.
Table 2.1: List of Eligible Investments under Component 3 of the Subproject
No. Type of projects Activities
1 Provision of safe drinking water Construction of water wells
Provision of 60 fresh Water tanks
2 Health facilities Upgrading of community health extension
services
Upgrading of existing health facilities
Construction of mobile health facilities.
3 Sanitation facilities Construction of 135 latrines
Provision of sewerage collection tanks
4 Improved mining technologies Provision of equipment and tools
While these interventions are expected to enhance safeguard sustainability of the
Artisanal miners, they are also expected to impact the environment, and could
possibly carry social risks. The environmental category assigned for this Project is
Category “B”, i.e. the projects cause lesser impacts, which are often essentially
remediable. Considering the fact that project specific locations are not yet
established, this ESMF is prepared to facilitate identification of the potential positive
impacts and adverse environmental and social risks that are likely to emanate from
implementing the project activities and also to recommend actions to address and
mitigate the safeguard risks.
The respective Local Governments are encouraged to focus on projects that will
contribute directly to improving social sustainability of the Artisanal miners specially
women Artisanal miners.
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Environmental and Social Management Framework (ESMF) 11
2.4 Public Disclosure
For the envisaged types of projects the World Bank procedures require that the
ESMF and RPF are prepared and publicly disclosed prior to project appraisal. This
allows the public and other stakeholders to comment on the possible environmental
and social impacts of the project, and for the World Bank’s Appraisal Team to
strengthen the frameworks, particularly measures and plans to prevent or mitigate
any adverse environmental and social impacts.
To this end, this document will, when agreed between the GoE Ministry of Mines and
the World Bank, be publicly released through the World Bank’s Info Shop, and in
public locations in the selected six regional governments prior to project appraisal.
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Environmental and Social Management Framework (ESMF) 12
3 ORGANIZATIONS RESPONSIBLE FOR IMPLEMENTATION OF THE
SUBPROJECTS
Immediately after project appraisal, an exercise will be carried out to review existing
capacity of all implementing agencies (procurement, financial management, contract
management, design & supervision, planning, environmental assessment,
resettlement & compensation, etc) to identify:
Any human resource gaps and the means of and deadline for filling gaps;
Any other gaps in office space, equipment, etc; and
Any financial needs/resources that need to be included in the indicated budget
year and subsequent budgets.
A simple guideline will be prepared by the Federal Ministry of Mines to guide the
Regions in carrying out and reporting back on this exercise which will aim to ensure
that all project implementation capacity and resources required are identified and
secured.
Table 3.1: Support Project Management Organizational Arrangements
Federal Ministry of Mines
Regional Bureaus of Mines and Energy
Zonal Offices of Mines and Energy
Woreda Offices of Mines and Energy, Concerned
Sectoral Offices (health, water, Environment) and
Selected NGOs
Kebele Administration and the Mining
Cooperatives
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Environmental and Social Management Framework (ESMF) 13
The following section describes the organizational responsibilities for the Support
Project implementation. The two main project management systems required for
Support Project implementation are:
a) For overall project management – led by the Federal Ministry of Mines only those
responsibilities relating to the implementation of the ESMF and RPF are included.
Full details of overall project management responsibilities are to be contained in
the Support Project Operational Manual(POM);
b) For transfer of funds, financial management and reporting – led by JSDF.
Organizational responsibilities relating to transfer of funds, financial management
and reporting are excluded from this ESMF document as they are to be covered
in Support Project Operational Manual(POM).
3.1 Federal Organizational Responsibilities
At the federal level, the Ministry of Mines in general, and the corresponding regional
mines and energy bureaus in particular, will be responsible for the Support Project as
a whole. The Ministry of Mines will have overall responsibility for the oversight,
coordination, and monitoring and evaluation of project activities. It will ensure the
overall quality and timeliness of project implementation, including compliance with all
aspects of the Support Project Operational Manual. It would also be responsible for
determining reallocations between regions based on assessments of performance.
The Ministry will be responsible for:
a) Ensuring that the Support Projects operate according to the operational manual,
b) Preparing annually for the Government and IDA review of the Support Projects
performance,
c) Consolidating annual plans and budgets based on the pipeline of support
activities and proposals received from the Regional Government,
d) Supervising and monitoring the activities of the Support Projects (including
compliance with the operational manual and environmental safeguards
frameworks), and reporting on a quarterly basis to oversight authorities and IDA,
e) Determining re-allocations of the Support Grant for the selected six regional
governments, and
f) Proposing changes to the operational manual in consultation with regions and
Grant Task Team Leader.
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) 14
The Ministry of Mines will assign specific task team preferably the ASM Desk for day
to day management of the Support Project. The task team will serve as the
coordinating body across federal, regional and local agencies. If needed, additional
staff may be recruited to complement or strengthen existing capacity for supervising
the implementation of the ESMF and RPF.
3.2 Regional Organizational Responsibilities
At the regional level, the Bureau of Mines and Energy will be responsible for
a) coordinating project implementation, and providing technical assistance to zones
and woredas were Artisanal mining communities are found in the preparation of
proposal for fund support ,
b) ensuring the overall quality and timeliness of the Support Project implementation,
c) supporting and motivating mining cooperatives to meet their performance
targets,
d) determining reallocations between zones and woredas with mining cooperatives;
e) reviewing and consolidating annual plans of zones, and
f) Ensuring that the local governments (woreda and kebele were mining
communities are being supported follow the requirements of the operational
manual and ESMF and RPF.
The Regional Bureau of Mines and Energy shall execute the above responsibilities
through its structure found at zonal and woreda levels.
3.3 Local Governments Responsibilities
The operational framework for planning and implementing the Support Projects will
be through a consultative process with the appropriate stakeholders at the local
government level. The woreda office of Mines and Energy will have the overall
responsibility for the Support Project implementation. The major stakeholders include
the office of health, environment and water supply. The woreda office of Mines and
Energy in consultation with the Council of the Woreda Administration has the
responsibility to coordinate implementation of the support project.
The woreda administration council will provide a review role and provide political and
administrative support for the implementation of ARAPs while the regional bureau of
mines/zonal office will ensure that there is compliance with the ESMF and RPF and
national legislation, and that information is gathered in one place for overall Support
Project monitoring and progress reporting.
JSDF Grant Project for Support to Improve the Economic, Social and Environmental Sustainability of Artisan Miners in Ethiopia
Environmental and Social Management Framework (ESMF) 15
4 THE ARTISANAL MINING SITUATION AND ENVIRONMENTAL CONTEXT
This part is produced mainly based on the findings of the Artisanal Mining Sector
Study of 2006 conducted by Wardell Armstrong. Additional information is also
included based on the review of other documents and current experience of the
consultant on related studies.
4.1 Population Engaged in the Artisanal Mining Activity
Although it is impossible to determine the actual number of workers in the artisanal
mining sector, data from the Ministry of Mines indicate that more than 1,000,000
people are engaged in Artisanal gold, gemstone and salt and other mining activities.
The number of women Artisanal miners is estimated to be about 10%. Among these
about 200,000 to 250,000 miners are engaged in gold and gemstone Artisanal
mining. However, total direct and indirect beneficiaries from this Artisanal mining
sector could reach up to 7-10 million people. At present a total number of 75,000 -
100,000 Artisanal miners are organized in to 500 cooperatives, the number of
cooperatives is expected to increase in the near future.
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Environmental and Social Management Framework (ESMF) 16
4.2 Characteristics of the Artisanal Mining Operators
The following extract from baseline survey conducted in 2006 shows characteristics
of the Artisanal mining operators:
Abject poverty – most are subsistence miners who live in an increasingly vulnerable environment
and are faced with dwindling livelihood choices;
Seasonality - although in some AM areas water availability is year round, many miners (including
gold and salt) work seasonally returning to their subsistence farms when agricultural work is required
in order to supplement their meager incomes. Others (e.g., in Benshagul Gumuz and Tigray regions)
can only mine in the rainy season when there is sufficient water to properly wash and concentrate the
ore.
Labour Intensive – most AM operations are labour intensive and employs semi or un-skilled
workforce with low levels of mechanization, production levels, income, productivity, recovery and
inefficiency.
Rushes/Migratory Miners – Some Ethiopians (and neighboring Somalis) have been suddenly drawn
into mining following the discovery of new mineral reserves especially gold and gemstones.
Illegality – the vast majority of miners, sponsors and mineral traders are operating informally without
a valid license and an increasing number of Artisanal miners have illegally invaded legal concessions.
Lack of Mineable Deposits – there is distinct lack of available land with mineral reserves appropriate
for AM. For instance most near surface shallow placer deposits have now been exhausted.
Remoteness – most AM sites are found scattered throughout the country and except for construction
mineral producers who are mainly located in the vicinity of large towns/cities, the others are located in
remote rural areas.
Technology/Capital Constraints – there is a distinct lack of access to appropriate technology,
equitable credit schemes to finance the mining ventures or fair markets to sell mineral produce
Rural Education – there are declining levels of education in mining regions - poor educational
facilities and low quality of education.
Rural Health – there are deteriorating health conditions in mining areas - (including malaria and the
growing threat of HIV/AIDS that has already ravaged other parts of the continent)
Vulnerable Groups – the sector includes a sizeable proportion of female mine workers and child
labour is prevalent particularly with the migrant gold and gemstone miners.
Environmental Damage – the sector operates in a clandestine manner with little regard or respect for
the local environment or ecosystem.
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4.3 Type of Artisanal Mining Operation
Currently, various mineral products including gold, gemstones, industrial minerals,
construction materials and salt are extracted by Artisanal miners within the country
in general and the six selected regions of Ethiopia. Artisanal mining is nearly the
same all over the country except the depth and size of the area under mining which
varies from place to place. Artisanal mining operation involves female, women and
children miners.
According to the type of deposit under exploitation, there are four types of Artisanal
mining operations activities:
Alluvial precious metal (gold & platinum) mining;
Alluvial metal (tantalum) mining;
Gemstone (opal, olivine, etc) mining;
Hard rock quarrying/ mining (industrial minerals and construction materials).
4.4 Mining Techniques and Tools
The common tools and equipment used for the major mining and processing
operations in each of the above indicated types of artisanal mining are as briefly
described below:
a) Artisanal gold, platinum & tantalum mining tools and activities
For on - the - surface artisanal gold, platinum and tantalum metal bearing ores
mining, the commonly used working equipment and tools at the sites under
consideration include: picks – axe, pan (batea-made of wood, plastic or metal),
spade, chisels, spear headed tools, metallic detector, water pump and generators,
sluice boxes with rubber templates).
Similarly, for the sub-surface or underground artisanal workings the major hand tools
usually utilized include extraction: chisels, spade, spear headed tools, buckets, rope
ladders, plastic bags, pan and torches.
The main activities of an AM operation of alluvial gold and platinum and tantalum
deposits include mining, mineral processing, beneficiation and marketing of the final
product. The ore is treated by gravity concentration method.
Alluvial and delluvial placer gold mining and processing (panning) are often
undertaken by artisanal miners in different parts of the country using much similar
operations consisting of the following:
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Clearing of bushes and removing of over burden years, one can perform this task
together with transporting of the fine ore particles for panning);
Digging for gravel/metal bearing soil material/up to 20 m deep. Once the gravel
layer containing gold particles is struck and transported to the surface it is taken
directly for panning if it comes from the alluvial soil.
In case of primary gold and tantalum ore deposits the pieces of metal bearing
rock dug out of pits are crushed using hammers and milled into fine particles
before panning the pulp (pulp is metal bearing soil + water).
Regarding the technology of artisanal methods of digging earth and gold washing
process is gradually being shifted to the use of more capital intensive equipment
such as water pumps, metallic detector, generators, sluice boxes ,etc. by group of
artisanal miners. This trend shows that currently the mineral production of the
country still relies heavily on artisanal mining operation.
b) Industrial minerals and construction materials tools and quarrying activities
Artisanal hard rock quarrying/mining activities include (a) industrial minerals
(dolomite, pumice, diatomite, clay, etc.) and (b) construction materials (limestone,
scoria, basalt, ignimbrite, and silica sand, gypsum).
For quarrying/mining these minerals (gypsum, dolomite, pumice, tantalum, silica
sand, ignimbrite, clay, etc) activities, the Artisanal miners use very simple hand tools
including: shovel/ spade for earth moving, dibble/ wedge iron for splitting the hard
materials, pick with wedge for digging and breaking and lifting the block as fulcrum,
sledge hammer for driving/ breaking the hard rock, mattock for losing the compacted
material.
Most of these hard rock minerals are mined /quarried manually in a small open – pit
like workings. The artisanal quarrying operations involves clearing – digging –
breaking- sorting for quality and cutting / sizing processes using shovel; dibble/wedge
iron; pick with wedge; sledge hammer and mattock. The dimension stone can be
carved/ trimmed into manageable geometric shapes for use in building construction.
4.5 Gender Mainstreaming
“Gender mainstreaming is the multifaceted project of using gender analysis in
addressing the mainstream agenda and of getting gender-related issues on to the
mainstream agenda” (Ackerly, 2004:290)
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Gender mainstreaming is not an end in itself; rather it is the means that calls for
incorporating gender perspectives through gender analysis and the promotion of the
goal of gender equality. According to the United Nations definition, “Mainstreaming a
gender perspective is the process of assessing the implicationsfor women and men
of any planned action, including legislation, policies or programmes, in all areas and
at all levels. It is a strategy for making women’s as well as men’s concerns and
experiences an integral dimension of the design, implementation, monitoring and
evaluation of policies and programmes in all political, economic and societal spheres
so that women can benefit equally and inequality is not perpetuated.
The ultimate goal is to achieve gender equality. ’’Macdonald et al. add that gender
mainstreaming requires gender planning to be applied to all development operations
and projects, and allows women to be factored into economic and development
policy. Gender mainstreaming does not imply that women no longer require special
attention in projects since their interests are “mainstreamed” and all project inputs are
equally accessible to men and women. Until women reach a stage when they can
truly become equal partners with men in development, special attention to address
their needs and concerns will be required.
Important progress is being made, as attested to by this Compendium.
In Ethiopia women’s involvement varies from around none in Gambela, 30% in the
Oromiya (Adola), 40% in SNNPRS (Benssa), 70-80% in Tigray, and up to 95% in
some areas in Benshagul-Gumuz (e.g., Kuttaworke or Menge) where women have
traditionally been more exploited. In most instances the women and girls are
compelled to undertake the poorly paid ancillary operations including manual
transport, ore crushing, washing, sorting and mineral dressing. For instance in many
sites, women’s low status means that they are only permitted to treat the tailings
(shofa) from the abandoned operations or from after the primary panning by men. In
other sites they only work for part of the day to enhance the earnings of their
husbands. In general, for those women who are forced to work long and arduous
hours they receive far less pay (e.g., at the Kokobe gold site they received between a
third to a half of the average male) than their male counterparts whilst also being
expected to fulfill all their primary care-giving roles and also undertake the traditional
domestic duties of fetching firewood, water cooking, cleaning, etc. The fact that
women are often limited to engaging in lower status and lower paid activities stems
from cultural perceptions and traditional beliefs of appropriate work for men and
women.
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The Ethiopian national policy on women was issued in March 1993 and emphasis
that all economic and social programs and activities should ensure equal access of
men and women to the country’s resources and in the decision making process so
that they can benefit equally from all activities carried out by the central and regional
institutions.
On many AM sites in Ethiopia there are numerous collateral activities that employ
women and young girls. The main activities that attract this vulnerable group include
selling locally produced goods (e.g., women petty traders selling tella/ ferso, injera,
daadhii, kaatikaalaa, firewood, etc) and working/serving in bars and restaurants. In
fact many young girls migrate to AM sites from far (including other countries
especially Somalia and Sudan) in the hope of making some money in the apparently
‘booming’ AM settlements. They usually arrive on site with the expectation of working
in the local market or bars or just petty trading. Unfortunately many young women
find it difficult to sustain and survive through such activities and their hosts or peers
often encourage, or even force them to seek extra cash through prostitution.
Prostitution, abuse, family violence and even rape can be a major social and health
problem that is perpetuated by a lack of morality that infests many migrant AM sites.
The nomadic nature of many miners in Ethiopia also has a direct and damaging
effect on the traditional extended family structure, and women’s role in particular.
Traditionally the extended family is a very important and strong social security
institution, taking care of orphans, the elderly and widows. However, this crucial
structure often disintegrates particularly when the male miners have to travel far from
home and are away for indefinite periods of time. The remaining female- headed
households have to cope without their husbands for long periods and live in hope
that they will send money back or return themselves soon. Often such households’
struggle and the children are forced to work in the fields.
4.6 Environmental Impacts Associated with Artisanal Mining Activities
The major adverse environmental impacts associated with mining/ quarrying
activities of Artisanal and small scale mining operations and the source of the
pollution are as summarized in the Table 4.1 below.
Table 4.1: Summary of environmental and health and safety impacts of Artisanal and
small scale precious metals mining and construction materials quarrying
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Activity Environmental/social/health
and safety factors
Environmental/social/health and
safety effects
Excavations, wells and
underground galleries
Landscape, soil and
vegetation
Health and safety
- Land degradation
- Loss of soil
- Loss of vegetation
- Erosion
- Land subsidence, landslide
Open pit development
Forest clearing
Soil, landscape and
vegetation - Landscape degradation
- Loss of soil and vegetation
- Erosion
- Loss of habitat
River diversion to
ponds for panning
Water resources
Health and safety
- Flow alteration
- Sedimentation of rivers
- Potential malaria sources
Surface water removal
for processing
operations
Water resources - Flow alteration of surface water
Surface water removal
for water supply
Community and infrastructure - Drinking water to local community
- Flow alteration of surface water
Permanent
employment and
housing
Community and infrastructure
- Changes in the local socio-economic
conditions
Quarry development Soil, landscape and
vegetation
Animal life
Health and safety
- Landscape degradation
- Loss of soil and vegetation
- Erosion
- Loss of habitat
- Landslides, subsidence
- Block slide
Run-off from
overburden and rock
dumps
Water resources - Sedimentation
River diversion Water resources
Aquatic life - Flow alteration
- Sedimentation of rivers
- Loss of habitat
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5 LEGAL, POLICY AND ADMINISTRATIVE FRAMEWORK
5.1 Relevant Legislation and Policy
5.1.1 The Constitution of Ethiopia
The 1994 Constitution of Ethiopia proclaims that all citizens shall have a right to live
in a clean and healthy environment. It states that Government and citizens have a
duty to protect the environment, and the design and implementation of programs and
projects shall not damage or destroy the environment. The Constitution incorporates
a number of other provisions relevant for the protection, sustainable use and
improvement of the environmental resources of the country. It reflects a view of
environmental concerns in terms of fundamental human rights, and provides a basis
for the formulation of national policies and strategies on environmental management
and protection. It assures that no development activity shall be disruptive to the
ecological balance, and that people concerned shall be made to give their opinions in
the preparation and implementation of environmental protection policies and
programs.
The Constitution also:
Maintains land under the ownership of the Ethiopian people and the government
but protects security of usufruct tenure;
Reinforces the devolution of power and local participation in planning,
development and decision taking by regions and woredas;
Ensures the equality of women with men; and
Ensures the appropriate management as well as the protection of the well-being
of the environment.
5.1.2 Ethiopian National Policy on Women
Apart from being a signatory of major conventions that protects women from
discrimination and other, the Ethiopian Government has also expressed its
commitment to gender equity and equality by issuing a national Policy on Ethiopian
Women.
The policy, which was issued in 1993, has the following objectives:
Facilitating conditions conductive to the speeding of equality between men and
women so that women can participate in political, social and economic life of
their country on equal terms with men and ensuring that their right to own
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property as well as their other human rights are respected and that they are not
excluded from the enjoyment of their fruits of their labor or from performing
public functions and being decision makers;
Facilitating the necessary conditions whereby rural women can have access to
basic social services and to ways and means of lightening their work load; and
Eliminating step by step, prejudices as well as customary and other practices
that are based on the idea of male supremacy and enabling women to hold
public office and to participate in the decision making process at all levels.
5.1.3 The Environmental Policy of Ethiopia (EPE, 1997)
The policy provides a number of guiding principles that indicate and require a
strong adherence to sustainable development, and a high commitment to, among
other things, the need:
to ensure that environmental impact assessments consider not only physical and
biological impacts but also address social, socio-economic, political and cultural
conditions;
to ensure that public and private sector development programs and projects
recognize any environmental impacts early and incorporate their containment
into the development design process;
to recognize that public consultation is an integral part of EIA and ensure that
EIA procedures make provision for both an independent review and public
comment before consideration by decision makers; and
to ensure that an environmental impact statement always includes mitigation
plan for environmental management problems and contingency plans in case of
accidents;
5.1.4 Proclamation to Provide for the Conservation, Development and Utilization of
Forests (Proclamation No. 94/1994)
The proclamation states the conservation, development and sustainable utilization
of forests play a decisive role in combating the grave and alarming situation in soil
erosion and in arresting the expansion of desertification and ecological imbalance.
It also states prior consultation and approval is required from the Ministry of Natural
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Resources Development and Environmental Protection or the appropriate regional
body in order to conduct large scale farming, mining operation, construction of
roads, water drilling, irrigation and dam works and other similar activities, or to give
license for such operation within state or regional forests.
5.1.5 Ethiopian Water Resources Management Proclamation (Proclamation No
197/2000)
Article 11 of this proclamation states that without prejudice to the exceptions
specified under Article 12 of this Proclamation, no person shall perform the
following activities without having obtained a permit from the Supervising body
(Ministry of water and Energy or delegated bodies): construct waterworks; supply
water, whether for his own use or for others; transfer water which he/she
abstracted from a water resource or received from another supplier; and release or
discharge waste into water resources unless otherwise provided for in the
regulations to be issued for the implementation of this Proclamation.
Any person shall be required to discuss his/her proposal with the supervising body
prior to applying\ for a permit for the purposes specified in Sub-Article (I) of this
Article. Article 12 states any person shall utilize water resources for the following
purposes without holding a permit issued by the Supervising body: dig water wells
by hand or use water from hand-dug wells; use water for traditional irrigation,
artisanal mining and for traditional animal rearing, as well as for water mills.
5.1.6 The Environmental Protection Organization Establishment Proclamation No.
295/2002
The proclamation establishes a system that enables coordinated but differentiated
responsibilities among environmental protection agencies at Federal and Regional
levels. The proclamation stipulates the need for the establishment of Sectoral and
Regional Environmental Units and Agencies. The principal organization responsible
for environmental protection is the Environmental Protection Authority (EPA), which
operates at both Federal and Regional levels. In addition, the Ministry of Mines has
a Sectoral Unit specializing in the mining sector.
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5.1.7 Environmental Pollution Control Proclamation No. 300/2002
This Proclamation states "No Person or establishment shall pollute or cause any
other person to pollute the environment by violating the relevant environmental
standards.” Environmental standards specified in the proclamation include:
Standards for the discharge of effluents into water bodies and sewage systems;
Air quality standards that specify the ambient air quality and give the allowable
amounts of emission for both stationary and mobile air pollution sources;
Standards for the types and amounts of substances that can be applied to the
soil or be disposed of on or in it;
Standards for noise providing for the maximum allowable noise level taking into
account the settlement patterns and the availability of scientific and
technological capacity in the county; and
Waste management standards specifying the levels allowed and the methods
to be used in the generation, handling, storage, treatment, transport and
disposal of the various types of waste.
The ESMF/ESIA includes several management plans to address standards
specified in the Proclamation and to mitigate the impacts of the project on the
environment.
5.1.8 EIA Guidelines (2000)
The purpose of the EIA guidelines is to ensure that development projects integrate
environmental considerations in the planning process as a condition for their
approval. The EIA process includes:
Application
Pre-screening
Screening
Scoping
EIA and submission of EIA report
Review of the EIA and decision by the Competent Authority
The EIA guidelines cover industrial, mining, agriculture and infrastructure
development, all of which are likely to impact the environment in a significant
manner.
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5.2 Administrative Structure for Environmental Management
While the overall responsibility for setting environmental policies, regulations and
standards and the administration of EIA requirement at federal level rests on the
Federal EPA, the regional EPA bureaus operate similar activities at regional level
independently. Other institutions that will have stake in the activities of the
envisaged project include the following:
Ministry of Mines and the Regional Bureaus of Mines and energy;
Ministry of Agriculture and Natural Resource Development and the regional
bureaus;
Ministry of Water Resource Development and the regional bureaus;
Ministry of Health and the regional bureaus;
Woreda and Kebele level corresponding structures.
5.3 World Bank Safeguard Requirements
The Grant Support will finance small works that will involve construction of drinking
water supply, education, health and sanitary facilities.
The environmental and social risks associated with these kinds of infrastructure or
services can be, but will in most cases, not be significant. It is therefore possible
that the Subprojects fall into OP 4.01 Category B.
EIAs and Environmental Management Plans (EMP) will be prepared as necessary,
in line with the ESMF, once the exact nature and locations of the Subprojects have
been identified. Subprojects screening checklist, possible adverse environmental
and social impacts of the subprojects and suggested mitigation measures are
included in this ESMF to be used by concerned Regional and Woreda staff. The
ESMF will be submitted for Bank review and publicly disclosed through Info Shop
of the World Bank prior to appraisal.
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6 DESCRIPTION OF SIGNIFICANT ADVERSE ENVIRONMENTAL IMPACTS AND
SOCIAL RISKS AND MITIGATION MEASURES
6.1 Potential Impacts and Mitigation Measures
The proposed Sub-projects (construction of water wells, latrines, upgrading of rural
clinics and schools) have remarkable positive social impacts, and will frequently be
designed to, create many beneficial impacts related to environmental and social
sustainability of the artisanal miners. However, they may also have various
potential adverse impacts and social risks, if good practice is not followed in their
planning, design and implementation.
Table 6.1 below outlines possible potential impacts and social risks of the
Subprojects and mitigating measures recommended to offset adverse impacts for
specific types of projects.
Table 6.1: Potential Environmental Impacts of the Subprojects and Proposed
Mitigation Measures
Water Supply Subprojects
Potential Impacts Mitigation Measure
New access (road) construction Ensure drainage controls on new roads and
rehabilitate temporary access following subproject
implementation
Existing water sources supply/yield
depletion
Assess water supply and existing demands, and
manage sustainability
Existing water users disrupted Identify and avoid negative impacts on existing
water users in the system design
Downstream water users disrupted Identify and avoid effects of diversion or extraction
on downstream users in the system design
Increased numbers of water users due to
improvements
Assess water supply and existing demands, and
manage sustainability
Increased social tensions/conflict over
water allocation
Establish a water users committee through the
kebele and equitable rules for water allocation
Sensitive ecosystems downstream Identify and avoid effects of diversion or dams on
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disrupted downstream ecosystems
Land Acquisition Avoid occupied land. Prepare procedures to
ensure equitable resolution.
Private assets displaced Avoid occupied land. Prepare procedures to
ensure equitable resolution.
Informal land uses displaced or access
restricted
Avoid interference with informal land users, and
take measures to provide access to alternative
lands or resources
Local incapacity/inexperience to manage
facilities
Establish a local committee, where appropriate,
and/or kebele bylaws and provide appropriate
controls
Other (specify):
School, Health and Sanitation Subprojects
Potential Impacts Mitigation Measure
Alteration of existing drainage
conditions
Drainage control measures to be included within
construction plans
Vegetation removal Minimize temporary or permanent removal of natural
vegetation
Wet season soil disturbance Schedule construction for the dry season
Construction materials impact on
adjacent forests/lands
Avoid taking construction materials in an unmanaged
manner
Quarries and borrow pits created Re-contour and rehabilitate sites/pits and avoid
collection of standing water
Water supply development effects in
available supply
Identify and avoid negative impacts on existing water
users in the system design
Sanitation development effects on
existing disposal fields
Ensure the necessary facilities and capacity for
upgraded facilities, consistent with health department
design standards
Medical waste increase effects on
existing disposal system
Prepare a waste management plan for major facility
upgrades; ensure sufficient facilities and capacity for
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medical waste
Land Acquisition Avoid occupied land. Prepare procedures to ensure
equitable resolution.
Private assets displaced Avoid occupied land. Prepare procedures to ensure
equitable resolution.
Cultural or religious sites disturbed Identify and avoid cultural or religious sites. If
disturbance unavoidable, agreement on mitigating
measures must first be reached with stakeholders
concerned (e.g. Community, mosque, and church). If
excavation encounters archaeological artifacts, halt
construction and notify relevant authorities.
Informal land uses displaced or
access restricted
Avoid interference with informal land users, and take
measures to provide access to alternative lands or
resources
In-migration/settlement induced by
facilities development
Control unplanned settlement near the facilities
Local incapacity/inexperience to
manage facilities
Establish/strengthen local committees, where
appropriate, through the kebele and provide
appropriate procedures and training to maintain the
facilities
Other (specify):
6.2 Analysis of Alternatives
Two alternatives could be considered:
Alternative 1 (No option). This means that no implementation of these potential
Sub-projects as because Japan Social Development Fund (JSDF) will be
financed only upon the acceptance and approval of the ESMF study document by
the World Bank. As the result the potential regional governments to be selected
could not be funded means no implementation of the sub - projects.
Alternative 2 (“Immediate implementation”). This option is necessarily to be
carried out as because the this ESMF document is to be used by all implementing
agencies of the Sub-Projects in order to ensure that all environmental and social
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safeguards are adequately addressed and that the relevant capacity and training
needs are established in order for the recommended measures to be
implemented effectively. Funds will be released consequently; the implementation
of the potential sub-projects will be realized.
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7 ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN
7.1 Basic Principles
The Environmental and Social Management Plan for the Subprojects is designed
based on the following principles:
a) The Subprojects involve small works( construction of latrines, water wells,
upgrading of health and education service facilities) that can be designed,
implemented and managed at Artisanal mining community level using
standardised published guidance, and with the assistance of woreda staff as
required;
b) Environmental management will be integrated into project planning and
implementation.
c) Subprojects will be adopted in the woreda plan for the mining sector on the basis
of selection criteria and screening designed to eliminate projects with major, or
irreversible environmental or social impacts. Subprojects that may require
physical relocation of residents or the involuntary loss of assets or access to
assets are not admissible as eligible Subproject;
d) The design of the Subprojects will be guided by technical design standards that
incorporate recommended measures designed to minimise adverse impacts and
encourage positive environmental effects.
e) Capacity building in environmental and social management will be provided by
the Subproject as and when required.
f) Approval of Subprojects with environmental concerns will involve the Regional
Environmental Protection Agency (REPA), or its equivalent, which will have the
right to reject a project on environmental or social grounds, or to conduct an
assessment of likely impacts prior to approval.
g) Special attention will be given to the impacts of water supply,
rehabilitation/construction of clinics and schools and Subprojects involving
possible voluntary loss of assets or access to assets. The Woreda Office of
Mines and Energy will notify these to the Regional Bureau of Environment who
will decide whether an EIA is required. Following such EIA, the Regional Bureau
may modify the Support project, call for a management plan, or reject the
Subproject.
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7.2 ESMF Procedures
Steps in ESMF implementation within the Subprojects planning process are as
depicted in Figure 7.1 below:
Fig 7.2: Steps in ESMF Implementation within the Subprojects Planning
Process
Regional Bureau of Mines & Energy consolidates Woreda plans and Informs Regional Environment Authority (REPA) on Support projects of environmental concern
Regional Environmental
Protection Authority (REPA
decides if EIA is required or
the Support Project
modified/rejected
Woreda Council/Cabinet
Approves plans
Woreda Office of Mines and
Energy compiles plan from
kebele/ Artisanal mining
communities
Artisanal Mining Community/ Kebele
Identification and Design of Support Projects
Woreda Office
of Health
Woreda office
of Education
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7.2.1 Step 1-Subproject Eligibility Check
Following the selection of the Subproject by the Artisanal mining communities,
check the eligibility of the identified project in the manner indicated in the Table 7.1
below:
Table 7.1: Subprojects Ineligible
Feature of Concern Yes No
The Subproject may involve the physical relocation of residents, or
involuntary loss to any household of assets, or access to assets
The Subproject is located in a Priority Forest Area, or involves major
land-use change such as draining of a wetland
If any project has an answer, ‘Yes’, try to modify the design of the project to avoid
the feature of concern. If you are unable to do so, you must reject the project.
7.2.2 Step2-Screening of the Subprojects
After identifying the eligible Subprojects, carry out a screening of each one, in order
to identify any that are of environmental concern.
Table 7.2: Subprojects Requiring Special Attention
Description Yes No
Subproject likely to involve disposal of medical waste
Subproject might involve voluntary loss of assets, or access to
assets
Bring any Subproject with ‘Yes’ to the attention of the Woreda office of Environment
and Natural Resource who will ensure that the necessary procedures are followed.
Subject to this notification, the subproject may proceed.
Secondly, fill in the screening checklist provided in Table 7.3 below. The checklist
identifies potential impacts which may require the design to be modified.
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Table 7.3: Subproject Screening
School , Health & Sanitation Facilities
Potential for Adverse Impacts
None Low Med High Unknown
New access (road) construction
Alteration of existing drainage conditions
Vegetation removal
Wet season soil disturbance
Construction materials impact on adjacent
forests/lands
Quarries and borrow pits created
Cultural or religious sites disturbed
Water supply development effects in available
supply
Effect of sanitation development on existing
disposal sites
Effects of medical waste on existing disposal
system
In-migration/settlement induced by facilities
development
Local incapacity/inexperience to manage facilities
Other (specify):
Water Supply Potential for Adverse Impacts
None Low Med High Unknown
New access (road) construction
Existing water sources supply/yield depletion
Existing water users disrupted
Downstream water users disrupted
Increased numbers of water users due to
improvements
Increased social tensions/conflict over water
allocation
Sensitive ecosystems downstream disrupted
Local incapacity/inexperience to manage facilities
Other (specify):
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If your assessment shows that a Subproject is likely to have impacts ranging from
low to moderate, or has only one high potential impact, try to determine if it is
possible to incorporate suitable mitigating measures into the design to overcome the
problem. Suggested mitigation measures are provided in Table 6.1 above.
The following Subprojects should be earmarked as a Subproject of Environmental
Concern:
Any Subproject to cause more than one high potential impact that cannot be
easily corrected by a simple change in the design;
Any Subproject with impacts that is difficult to predict, i.e. several ticks under
“unknown”.
In addition, check whether the Subproject falls into any of the following categories:
Table 7.4: Features of Environmental Concern
Feature of Concern - For All Types of Subprojects Yes No
Subproject located within National Park or other designated
wildlife area or buffer zone
Subproject located within a recognised Cultural Heritage site,
or World Heritage site
If there is an answer, ‘Yes’, try to modify the design of the Subproject to avoid the
aspect of concern. If you are unable to do so, the Subproject file should be marked
‘Subproject of Environmental Concern’.
Make sure that a list of any Subprojects in a given Artisanal mining community that
you have earmarked as being of environmental concern accompanies the Subproject
files forwarded to the Woreda Office of Environment and Natural Resource.
7.2.3 Step 3-Taking Action on Subprojects Requiring Special Attention
For any project with a feature checked in Table 7.2 above, refer to the relevant
procedure in Section 7.3 of this ESMF, and take the necessary action.
7.2.4 Step 4- Notification of Subprojects of Environmental Concern
The Woreda Council should ensure that the plans forwarded to the regional Bureau
of Mines, are accompanied by each Artisanal mining community list of Projects of
Environmental Concern, if any. The Regional Environment Protection Authority will
decide if the Subproject will require EIA or to be rejected.
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7.2.5 Step 5- Reviewing Notified Subprojects
When reviewing a planned Subproject that has been listed by the woreda Office of
Mines and Energy of as being of environmental concern, the Regional Environment
Protection should note that:
The Subprojects involve small works and most of them do not necessarily need
an EIA;
Those Subprojects that involve land acquisition, or voluntary loss of land-based
assets or access to assets are subject to special procedures or a management
plan. These Subprojects will have been earmarked for special attention by the
Woreda Office of Environment and Natural Resource;
For each listed Subproject, the Regional Environment Protection Authority should
prepare the following;
Decisions passed concerning environmental eligibility of the Subproject;
Guidance regarding any special needs such as technical guidelines or an
environmental management plan, including mitigating measures.
7.2.6 Step 6-Conducting an EIS
In cases of Subprojects that require EIS, the Woreda Office of Environment and
Natural Resource is responsible for ensuring that the required EIA is conducted, in
liaison with the Woreda Office of Mines and Energy. Normally the Office of Mines and
Energy will establish a team drawing upon woreda sector experts. The woreda
experts concerned will have received basic training in EIA in the Subprojects training
course.
The cost of conducting the EIA should be covered from the Support Project Grant for
that woreda. The cost will normally be modest, covering expenses above normal
daily work, such as travel and field expenses.
The TOR for the EIA will be based on the recommendations of the Regional EPA.
The EIA report should consist of a brief environmental baseline, impact assessment,
mitigating measures, and recommendations for implementation and monitoring of the
mitigating measures.
7.2.7 Reviewing EIA Report
The Regional EPA will review the EIA report, and either approve the Subproject
recommended re-design, or reject. Reviews should be conducted as quickly as
possible, to avoid delay in the Subproject implementation. Every effort should be
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Environmental and Social Management Framework (ESMF) 37
made to provide advice to modify a project to enable it to become environmentally
sustainable if at all possible, rather than reject it.
7.3 Guidelines for Subprojects Requiring Special Attention
7.3.1 Medical Waste Management
Subprojects involving the rebuilding of rural health clinics should include provisions
for the safe management of medical wastes. The following strategy addresses
medical waste issues in the Subprojects:
A Waste Management Guide for Rural Health Clinics prepared by the Ministry of
Health should be used to assist the Subproject design and operation
A preliminary environmental audit of clinic rehabilitation proposals will be
undertaken by a qualified professional;
All proposals will undergo environmental screening to identify environmental
concerns and environmental assessment and mitigation requirements associated
with waste;
All proposals will be required to prepare a Waste Management Plan following
approval of the project by Woreda Council and before implementation. This plan
will be based on the Waste Management Guide. The Medical Waste
Management Plan addresses:
The quantity and quality of wastes generated
The available disposal and treatment options at the site
Methods to segregate medical waste from general waste
Internal rules for waste handling, collection and storage
Clinic responsibilities for waste management
Proposed landfill development and operations
7.3.2 Projects Involving Asset Acquisition or Loss of Access to Assets
While noting that, there will be no projects potentially requiring involving relocation,
or involuntary loss of assets or access to assets. It may nonetheless occur that a
Subproject may involve, for example, voluntary loss of use of a piece of a farmer’s
plot, or voluntary loss of access to a limited area of grazing land. In such cases,
compensation is normally received in the form of benefits and services from the
Subproject. Alternatively, if appropriate, the member may receive in-kind
compensation such as a piece of replacement land. In all cases of voluntary asset
(or access to assets) loss, a Voluntary Loss of Assets procedure will be followed, as
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set out in the Resettlement Policy Framework document separately produced for
this project.
7.4 Implementation of Mitigation Measures
The mitigating measures presented in the Technical Materials to be prepared by the
Federal Ministry of Mines, supported by the general guidance provided in this ESMF
provide the primary means of implementing environmental management of the
Subprojects. Three aspects will be important in applying and monitoring the
effectiveness of these measures during the implementation phase:
The Kebele or the artisanal mining community will designate a person who will be
responsible for ensuring the mitigation measures are effectively implemented as
specified before, during and after construction. The relevant DA in the kebele can
be nominated for this task.
The Woreda Office of Environment and Natural Resource will designate a staff
member who will be responsible for inspection and oversight of the
implementation of the mitigation measures as required.
The ASM Desk of the Federal Ministry of Mines in collaboration with the Regional
Environment Protection Authority will assess the application of the prescribed
mitigation measures in monitoring and evaluating environmental performance of
the Subprojects.
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8. CAPACITY BUILDING
8.1 Institutional Capacity for ESMF Implementation
The institutional structure for managing the environmental aspects of the Subprojects
involves four levels:
8.1.1 Federal Level
The Federal Ministry Mines, ASM Desk will ensure that the technical specifications
and work norms and information related to implementation of the Subprojects cover
the range of potential activities, summarize the latest knowledge on the various types
of interventions, and present this information in a user-friendly manner that is
understandable by woreda staff and Artisanal Miners Community. The mandate of
the Desk includes further development and field testing of these specifications and
kits, as required, including those relating to the design and implementation of the
ESMF.
The ASM Desk will also organize the delivery of training and/or refresher course for
the concerned staffs of regional bureau and woreda offices of Mines and Energy and
other concerned sectors.
8.1.2 Regional Level
The focal unit in charge of ASM within the Regional Bureaus of Mines and Energy is
responsible for ensuring ESMF implementation. Staff of this Unit receives orientation
and training in the ESMF process, and the use of the technical specifications, works
norms and information kits. The unit delivers ESMF training to the concerned woreda
staff as part of the overall annual Subproject training programme. This includes TOT
for woreda staff who will in turn train the local Artisanal mining communities.
The Regional Bureau of Mines and Energy also conduct capacity needs
assessments and provide support at woreda level to ensure that all functions relating
to the Subprojects, including ESMF and RPF implementation, are carried out to the
required standard.
8.1.3 Woreda Level
The capacity of woreda staff to provide timely technical support and guidance to the
Artisanal mining community is critical. Woreda capacity development supports the
design, operation and environmental management of the proposed Subprojects. The
woreda staff conducts training to selected members of Artisanal miners and
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Development Agents who will have stake on the issues of natural environment
conservation and implementation of the Subprojects.
8.1.4 Mining Community Level
Selected members of the Artisanal mining communities are expected to involve in
orientation and capacity-building. The training may include organizational
management of the Subprojects and the like.
8.1.5 Proposed Training and Technical Assistance Topics
Concerned regional and woreda staff receives training in the ESMF procedures,
including:
EIA and mitigation case studies;
Assessment of impacts and design of site-specific monitoring measures which
also takes into account social issues and impacts;
Incorporation of mitigation measures in Subproject designs and construction
documents;
Review and approval of Subproject proposals;
Public consultations in the EIA process which includes women and other
vulnerable groups
Training on waste management; and
Environmental Audit/ monitoring training
Training in ESMF implementation will not be conducted in isolation. It will be based
on the ongoing Subproject capacity needs assessment, and will be included as an
integral part of the capacity-building programme currently being designed and
budgeted for the Subprojects, and budgeted for and delivered within the Subproject
awareness-creation and training programme.
9. MONITORING OF ESMF IMPLMENTATION
9.1 Supervision and Process Monitoring
Supervision of project implementation will be at the Artisanal mining community,
woreda and regional levels:
The woreda office of Mines and Energy in consultation with line office concerned,
will ensure that the specified mitigating measures for the Subprojects are
implemented;
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The Woreda Environment and Natural Resource Office (through the coordinating
role of office of mines and energy) will verify that the proper procedures are being
followed for all the Subprojects in the woreda, and that no significant negative
environmental impacts are taking place. Where such impacts may occur, the
Woreda Office of Environment and Natural Resource will provide advice on
actions to be taken.
The Regional Bureau of Mines and Energy will monitor, in conjunction with the
Regional Environment Protection Authority:
Implementations of the procedures set out in ESMF and RPF of the Subprojects;
Eeffectiveness of the mitigation measures in avoiding or minimizing adverse
impacts, and the nature and extent of any such impacts.
9.2 Results of Monitoring
Monitoring of the implementation of the Subprojects is an important aspect of
ensuring that the commitment to environmental and social sustainability of the
Projects is being met. The regular monitoring of the implementation of the ESMF and
RPF will be managed at regional level and reported to the Federal Ministry of Mines
on regular basis.
It will be the responsibility of the Regional Bureau of Mines and Energy to receive the
relevant information from each woreda mining community through its woreda
counterpart.
The monitoring plan has two components:
Monitoring of the compliance and effectiveness of the ESMF and application of
the recommended Subprojects standards; and
Impact monitoring: measuring the contribution of the Subprojects in terms of
ensuring social, economic and environmental sustainability of the Artisanal
mining community.
This monitoring will be coordinated and overseen by the ASM Desk of the Federal
Ministry of Mines who will also be responsible for ensuring that adequate training of
woreda staff is conducted each year at regional level, and that the training materials
and modules are kept up-to-date.
Additional monitoring will be conducted annually by the ASM Desk of the Federal
Ministry of Mines in which sample woredas in each region will be visited and spot-
checks made on the implementation of the ESMF and RPF.
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10. PROPOSED IMPLEMENTATION BUDGET
The proper implementation of the ESMF requires training and capacity building. The
costs for putting the ESMF into operation include the costs of providing the capacity
building and training set out in section 7 above. The total cost for mainstreaming
environment into the Subprojects is estimated at about USD 105,000, consisting of:
USD 25,000 for the preparation of ESMF and RPF training materials;
USD 60,000 for delivery of ESMF and RPF training as described in Section 7
USD 20,000 for printing and distribution of the ESMF and RPF documents plus
training materials.
The above costs will be covered from Component 2 of the Subproject Grant Fund.
Costs related to the required mitigation measures for the Subprojects are not set out
in the budgets presented here. These will be assessed by Regional Bureaus of
Mines and Energy as part of the proposal for accessing grant support.
At this stage it is extremely difficult to estimate the proportion of project costs that can
be expected to be devoted to mitigation measures. However, a rough rule of thumb is
that they should be expected to cost between 2% to 5% of the total Subproject
implementation cost.
Compensation and resettlement costs, if any, will be borne by the respective regional
governments.
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ANNEXES
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ANNEX 1: SUBPROJECTS SCREENING FORM
Region: ……………… Zone -------------------- Woreda: ………………………………….
Kebele: ………………… Artisanal Mining Community: ……………………………..
Subproject Name: ………………
Subprojects that are not Eligible Yes No
Subproject may involve the physical relocation of residents, or
involuntary loss to any household of assets, or access to assets
Subproject is located in a Priority Forest Area, or involves land-use
change such as draining of a wetland
.
Subprojects Requiring Special Attention
Yes No
Subproject t likely to involve disposal of medical waste
Subproject might involve voluntary loss of assets, or access to assets
Subproject Screening
Water Supply
Potential for Adverse Impacts
None Low Med High Unknown
New access (road) construction
Existing water sources supply/yield depletion
Existing water users disrupted
Downstream water users disrupted
Increased numbers of water users due to
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Feature of Concern - For All Types of Subproject Yes No
Subproject located within National Park or other designated wildlife area or
buffer zone
Subproject located within a recognised Cultural Heritage site, or World
Heritage site
improvements
Increased social tensions/conflict over water
allocation
Sensitive ecosystems downstream disrupted
Local incapacity/inexperience to manage
facilities
Other (specify):
Infrastructure such as School and Health
Facilities
Potential for Adverse Impacts
New access (road) construction
Wet season soil disturbance
Sensitive downstream ecosystems
Introduced plant/tree species invasion of native
species
Wildlife habitats or populations disturbed
Environmentally sensitive areas disturbed
Insufficient capacity to manage Area Closure
Insufficient capacity to prohibit or control open
grazing
Insufficient capacity to manage new
plantations/pastures
Other (specify):
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Approved Unconditionally: Approved subject to Special Attention:
Notify to REPA for Review: Rejected:
Screening conducted by:
Name……………..………. Position: ………………..Signature:………... Date:……
Screening supervised by:
Name………………..……. Position: ………………..Signature:………... Date:……
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ANNEX 2: LIST OF CONTACTED PERSONS AND INSTITUTIONS
No Consulted Personnel Position Address
1 Mrs. Sofia Mahamed Head, Gender Mainstreaming Directorate Director
and Project Coordinator, MoM
0911 683363
2 Mr. Tamirat Mojo Artisanal Mining and Transaction Coordinating
Directorate Director, MoM
0913 371497
3 Mr. Melkamu Kifetew Environment and Communities Directorate Director,
MoM
0912 619447
4 Mr. Mekonen Asrat Process Owner, Mining Operation Support and
Inspection Process, OWMEB
0911 388549
5 Mrs. Shitaye Lemma Process Owner, Gender Mainstreaming Performer 0911 417292
6 Dr.Asferachew Abate Environmental Specialist, WB 0911 243043
7 Mrs. Desta Solomon Resettlement Specialist, WB 0911 748023
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ANNEX 3: TERMS OF REFERENCE (TOR) AND SCOPE OF SERVICES
Support to Improve the Economic, Social and Environmental Sustainability of
Artisanal Miners Project in Ethiopia
The TOR for the Preparation of an Environmental & Social Management
Framework (ESMF)
1. Introduction
The Ministry of Mines of the Government of Ethiopia has received a Grant of under
the Japan Social Development Fund (JSDF) to support improvement of economic,
social and environmental sustainability of Artisanal miners with emphasis on women
employment in selected parts of Ethiopia. Grant funds will be used: (i) to provide a
baseline assessment as well as an environmental safeguard management
framework; (ii) to provide capacity building to ASM miners, particularly women in
ASM communities, in economically and environmentally sustainable mining
techniques and basic geological assessments; (iii) to address the social infrastructure
needs, specifically the lack of even basic sanitation and health facilities, by providing
better access to potable water and sanitation facilities and to mobile community
health centers as well as the provision of a Small-Grants Program; and (iv) to provide
grant support and capacity building for NGOs, the Federal Ministry of Mines and its
regional Mines and Energy Bureaus. The project will be implemented under the
auspices of the federal Ministry of Mines and through selected NGOs and the
regional bureaus for mines and energy to better ensure sustainability of the projects.
2. Objective of the Assessment
While this project is expected to enhance safeguard sustainability, the need to
develop an environmental and social management framework (ESMF) at this stage
of the project is predicated on the fact that grant funds will be used in supporting
activities which might impact the environment, and could possibly carry social risks.
These activities with potential risks include small civil works (provision of safe
drinking water, health and sanitary facilities), the adoption of improved mining
technologies and procurement of mining equipment and tools. Possible social
conflicts could include disagreements over land access and / or land use, as well as
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influx of people to communities that are being supported. ESMF is the appropriate
instrument because project-specific locations are currently unknown and the nature
and type of site-specific activities remain undetermined. The environmental category
assigned for this Project is Category B. The objective of the assignment is to identify
the potential positive impacts and adverse environmental and social risks that are
likely to emanate from implementing the project activities and also to recommend
actions to address and mitigate the safeguard risks. Thus, the study will also
consider time-bound and costed preventive and remedial measures, institutional
arrangements and capacity improvements needed to enhance implementation of the
mitigation actions.
3. Scope of Assignment/Work
The consultant’s work would entail, but not exclusively, a review of the potential
environmental impacts and social risks likely to be associated with the project
activities. Specifically, for those interventions areas outlined in the project, he/she
would assess the level of procedural due diligence that need to be upheld during
execution of outstanding sub-projects to ensure optimal utility benefits. Working
directly with the World Bank and the Client staff as well as with the project
implementing agencies, the consultant is expected to cover the following:
Identify any aspects of the proposed components and interventions that may
pose any potential environmental impact and/or social risks;
Identify any sub-projects that may pose environmental impacts and/or social
risks;
List those significant environmental and social impacts that are likely to manifest
because of the project. Quantify the magnitude and severity of these impacts;
Determine what remediation measures would be appropriate to be applied and
what success levels are likely to be obtained;
Clarify what roles should be taken by the various actors and players within and
outside the sector to ensure effective implementation of the project and
mitigations measures;
Assess the mechanisms to ensure effective and sufficient levels of participation
and consultations during project implementation, including sufficient disclosure
and information dissemination.
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4. The ESMF Report
The consultant will provide an ESMF report that is concise, identifies potential
significant adverse safeguard risks and makes recommendation on how effectively to
execute remedial actions. It should be structured as follows:
- Executive Summary
- Policy, Legal and Administrative Framework
- Description of the Proposed Project
- Description of Significant Adverse Environmental Impacts and Social Risks
- Analysis of Alternatives
- Environmental & Social Management Plan, incl. mitigation, monitoring, capacity
development and training and implementation schedule and costs
- List of References
- Appendices (to include (i) Terms of Reference; (ii) List of people/institutions met;
(iii) References, etc)
5. Consultant Qualification
The consultant should have at least a Masters degree in Natural Resource
Management, Environmental Studies, Mining Engineering, Community/ Rural
Development, Anthropology/Sociology and other related disciplines. The consultant
will have significant experience in the field of environmental and social assessment of
Artisanalal mining related type operations in Africa. He/ She is expected to be
familiar with the safeguard policies/guidelines and regulations of the Government of
Ethiopia and the World Bank. It is expected that an individual consultant will be hired
to undertake this work and he/she will be an environmental and/or social safeguards
specialist and have extensive local knowledge of customs and practices in those
regions to be supported by the project. The World Bank will hire the consultant to
conduct the study. The consultant will be selected under Individual consultant
selection method.
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6. Schedule
The duration of the consultancy will be 20 man-days. The work is expected to
commence on or before May 15. An interim report on preliminary findings will be
prepared for discussion with the Ministry of Mines and the World Bank task team
within 2 weeks of the start of the consultancy. The consultant will plan to submit a
draft final report by July 20. A revised final report will be submitted no later than one
week after receipt of all final comments.
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ANNEX 4: REFERENCE
Annual Reports 2004 Budget Year MoM, and results obtained by ASM in the last five
consecutive years.
Energy Access Project (Mineral Component) Artisanal Mining Sector, –
Characterization Baseline Survey, June 2006.
EPA Environmental Impact Assessment Guidelines for Mineral and Petroleum
Operation Projects, December 2003.
Hentschel, Thomas, Felix Hruschka and Michael Priester (2002) Global report on
Artisanalal and small-scale mining, IIED and WBCSD.
Hollaway, J. 1997. Policies for Artisanalal and small scale mining in the developing
world – a review of the last thirty years, pp. 35-42, in Mining on a Small and Medium
Scale (ed. A.K. Ghose), Intermediate Technology Publications, UK.
ILO (1999) Social and labour issues in small-scale mines: Report for discussion at
the Tripartite Meeting on Social and Labour Issues in Small-scale Mines, Sectoral
Activities Programme, TMSSM/1999, ILO: Geneva.
International Labour Office Sub Regional Office: "Child Labour in Mining Areas of
Benishangul Gumuz, SNNP and Oromia Regional States, May 2008";
Ministry of Water Resources, Ethiopia SANITATION AND HYGIENE, Issues Paper,
Volume I (Main Report and Volume II (Annexes): Final, June 2003
Proclamation No. 147/1998: A Proclamation to Provide for the Establishment of
Cooperative Societies as mining cooperatives
United Nation Development Programme (UNDP) and United Nations Department of
Economic and Social Affairs (UNDESA) " Poverty Eradication and Sustainable
Livelihoods: Focusing on the Artisanalal Mining Communities in Ethiopia, October
2002"