Addis Ababa Water and Sewerage Authority

Federal Democratic Republic of Ethiopia

Addis Ababa Water and Sewerage Authority

Urban Water Supply & Sanitation Project

Environmental and Social Management Framework

Draft

08 February 2007

Revision 2

AAWSA – Environmental and Social Management Framework

Contents

EXECUTIVE SUMMARY

The Scope of This Document

The Project

Legal Background

The Proposed Screening Process

Impacts, Mitigations, Environmental and Social Management Plan

Capacity-Building and Training

Toolkits for Project Implementers

1Scope of the assignment

2Project DESCRIPTION

2.1Project Objectives and Key Indicators

2.2Project Components

2.2.1Component 1: Addis Ababa Water Supply and Sanitation (USD 82M)

2.2.2Component 2: Secondary City Water Supply and Sanitation (USD 32M)

2.2.3Key Inputs for Components 1 and 2

2.2.4Key Outputs for components 1 and 2

2.2.5Component 3: Project Management and Monitoring and Evaluation

2.3Project Budget

3Legal Framework

3.1overview

3.2Relevant Provisions of the Ethiopian Legislation

3.2.1The Constitution, 1995

3.2.2Environmental Protection Organs Proclamation N° 295/2002

3.2.3Environmental Impact Assessment Proclamation N° 299/2002

3.2.4Environmental Pollution Control Proclamation N° 300/2002

3.2.5Environmental Policy

3.2.6EIA Guideline

3.2.7Institutional arrangements

3.3World Bank Safeguard Policies

3.3.1Applicable World Bank Safeguard Policies

3.3.2World Bank Screening Process

3.4Gaps Between Ethiopian Legislation and Bank Policies

3.4.1Overview

3.4.2Consultation and Disclosure Requirements

3.4.3Social Impacts

3.4.4Environmental and social screening process for small-scale sub-projects

3.4.5Standards and Guidelines

4Potential Project Impacts

4.1Water and Sanitation Systems Considered under the UWSS Project

4.1.1Water Supply Systems

4.1.2Sanitation Systems

4.2potential impacts of Urban Water Supply Systems

4.2.1Beneficial Impacts

4.2.2Adverse Impacts

4.3Potential Impacts of Sanitation Systems

4.3.1Beneficial Impacts

4.3.2Adverse Impacts

5PROPOSED SCREENING AND Environmental Management PROCESS - TYPICAL MITIGATION MEASURES

5.1General

5.2Screening Process

5.2.1Overview

5.2.2Screening Form

5.2.3Assignment of an Environmental Category to a Sub-Project

5.3Category “B” Sub-Projects

5.3.1Category B1 Sub-Projects (Not Requiring Further Environmental Assessment Work)

5.3.2Category B2 Sub-Projects (Requiring Further Environmental Assessment Work)

5.3.3Consultation and Disclosure for All Category “B” Sub-Projects

5.4Category “C” Sub-Projects

5.5Review and Clearance of Environmental Screening Results

5.6Review and Clearance of ESIAs

5.7Typical Mitigations and ESMP

5.8Guidelines for Construction Contractors

6Capacity Building and Training

6.1Developing Awareness of the ESMF Process

6.2Developing Capacity in Public Consultation and Environmental Screening

6.3Training and Technical Assistance to Project Implementers

6.4Summary: Total Cost of Capacity-Building and Technical Assistance

7IMPLEMENTATION RESPONSIBILITIES

8Monitoring and REporting

8.1Monitoring

8.2Reporting

8.2.1Screening Forms

8.2.2Annual Reports

APPENDICES

Appendix 1: LIST OF ACRONYMS

Appendix 2: TYPICAL SCOPE OF WORK FOR AN ESIA

Typical ESIA Scope of Work

Typical Structure of an EIA Report

Appendix 3: PROPOSED ENVIRONMENTAL AND SOCIAL SCREENING FORM

PART A: BRIEF DESCRIPTION OF THE SUB - PROJECT

PART B: BRIEF DESCRIPTION OF THE ENVIRONMENTAL SITUATION AND IDENTIFICATION OF ENVIRONMENTAL AND SOCIAL IMPACTS

PART C: MITIGATION MEASURES

Appendix 4: PROPOSED Effluent Discharge Requirements

Appendix 5: Environmental Guidelines for construction contractors

General: Applicability of These Environmental Guidelines and ESMP

General Environmental Protection Measures

Drilling

Pipelines

Waste Management

Quarries and Borrow Areas

Rehabilitation of Work and Camp Sites

Management of Water Needed for Construction Purposes

Traffic Management and Community Safety

Salvaging and Disposal of Obsolete Components Found by Rehabilitation Works

Compensation of Damage to Property

Contractor’s Health, Safety and Environment Management Plan (HSE-MP)

HSE Reporting

Training of Contractor’s Personnel

Appendix 6: Consultation Meeting Form

Tables

Table 1: World Bank Safeguard Policies and How They Are Addressed by the UWSS Project

Table 2: Physical Components of Sub-Projects Potentially Considered under the UWSS

Table 3: Potential Adverse Environmental (Bio-Physical) Impacts of the Different Components of Urban Water Supply Systems

Table 4: Potential Adverse Social Impacts of Urban Water Supply Systems

Table 5: Potential Environmental and Social Impacts of Sanitation Systems

Table 6: Categorization of Sub-Projects That May Be Considered under the UWSS Project according to the Ethiopian EIA Classification

Table 7: Environmental and Social Management Plan

Table 8: Environmental Management Process – Implementation Responsibilities

EXECUTIVE SUMMARY

The Scope of This Document

This Environmental and Social Management Framework (ESMF) has been prepared to ensure that the future investments under the Urban Water Supply and Sanitation Project (UWSSP) in Addis Ababa and a number of secondary citiesare implemented in an environmentally and socially sustainable manner. The ESMF outlines an environmental and social screening process that will be applied by qualified personnel at the planning stage of future investments.

The ESMF has been prepared, because the actual sub-project sites and their potential adverse environmental and social impacts could not be identified prior to appraisal. Instead, the environmental and social screening process outlined in the ESMF will be applied by qualified project personnel to ensure that potential negative environmental and social impacts are identified and mitigated at the planning stage of the planned sub-projects. A Resettlement Policy Framework (RPF) has been prepared separately to enable sub-project implementers to address potential adverse social impacts due to land acquisition.

This screening process is consistent with both Ethiopian environmental procedures and the Bank’s OP 4.01 “Environmental Assessment” as regards the preparation of Environmental Impact Assessments (EIAs). However, Ethiopia’s procedures do not make provisions for the screening of smaller scale investments which would not necessarily require an EIA, but would require screening under OP 4.01. Thus, the purpose of this ESMF is, amongst others, to ensure that potential adverse environmental and social impacts as well as potential localized impacts of future investments and related construction and rehabilitation activities are identified and mitigated at the planning stage.

This ESMF has been prepared in consultation with AAWSA in Addis Ababa, with the Town Water Boards of Jimma and Awassa, two secondary cities that would potentially benefit from the UWSS, with the Environmental Protection Agency (federal level) and with the World Bank country office. Staff involved in the operation of water systems in Addis, Awassa and Jimma have also been interviewed.

The Project

The project is designed to (i) produce and distribute more water to reduce the alarming gap between the supply and demand for water in Addis Ababa and four other secondary cities; (ii) improve operational efficiency in all five cities by reducing non-revenue water, and improving financial management, billing and collection, and customer management; and (iii) improve governance by the water boards and to introduce performance incentives for operators. The project has the following components:

-Component 1: Addis Ababa Water Supply and Sanitation

• Component 1A: Increased access to water supply and sanitation, with an increase in water production from 200,000 to 300,000 m3/day to meet basic services. Thiswill be obtained through capacity expansion at the Legedadi reservoir and water treatment plant, and deep boreholes at selected sites within Addis Ababa, as well as a new well field located northwest of the city. Distribution networkswill be expanded to serve currently unserved areas. Particular attention will be given to low-income areas by involving communities in the planning process and improving drainage to control septage flows. The sewer system in the Kalite catchment will be extended, and public sanitation facilities, managed by local service providers who charge a user fee, will be constructed.
• Component 1B: Improved operational efficiency and demand management: This component will mainly aim at reducing “non-revenue water” and improve operational efficiency; it will furthermore convey the importance of water conservation to the consumers. AAWSA’s financial management, billing/collection, and customer management system will also be improved, and awareness for water conservation will be created.
• Component 1C: Institutional Reform, which will include:
• sector policy development and revisions in the legal and institutional framework for water supply and sanitation,
• developing policies and measures for enhanced private sector participation and financing in this sector,
• improving utility governance and efficiency.

-Component 2: SecondaryCity Water Supply and Sanitation:

• Component 2A: Increased access to water supply and sanitation: This component will finance increased water production as well as the extension of the distribution network, particularly in unserved areas and for new connections. Selected low-income areas will receive special attention by involving communities in the planning process for water distribution and public sanitation facilities. Financing will also be available for the construction/expansion of wastewater treatment ponds and piped sewerage in higher density commercial areas.
• Component 2B: Improved operational efficiency: Operational efficiency will be improved by reducing “non-revenue water” and improving financial management, billing and collection, and customer management. Under this sub-component the materials, equipment and costs associated with establishing pressure zones and leak detection areas will be provided, as will leak repais in the distribution network and at service connections. Financial management, billing/collection, and customer-management can also be improved.
• Component 2C: Institutional Reform: Enabling legislation will be developed to provide more autonomy to the Water Boards and to develop procedures and codes of conduct. Operator contracts with performance targets and performance incentives would also be developed and tested.

-Component 3: Project Management and Monitoring and Evaluation: The project management will involve sector institutions at federal and regional levels, city administrations and utilities. Funding would be provided for costs associated with project implementation, to synthesize existing water and sanitation access data to determine baseline figures and to monitor progress under this project and in meeting the overall water supply and improved sanitation access goals under the MDGs. This component also includes training, workshops and other capacity building measures and support for environmental and social management.

Chapter 2 of the ESMF provides a more detailed Project Description.

Legal Background

The Ethiopian legislation pertaining to environmental impact assessment and environmental management mainly includes:

-The Constitution, 1995, which states broad principles, such as :

• “Everyone has the right to a clean and healthy environment.”
• The responsibility of the State to ensure a clean and healthy environment for all Ethiopians,
• No development activity should be disruptive to the ecological balance,
• People concerned should be consulted in matters pertaining to environmental protection;

-The Environmental Protection Organs Proclamation N° 295/2002, which establishes the Environmental Protection Agency (federal level) and states its responsibilities, and establishes the responsibilities of regional Environmental Protection Agencies;

-The Environmental Impact Assessment Proclamation N° 299/2002, which establishes the requirement of an Environmental Impact Assessment (EIA) procedure for all projects, and provides the processes and procedures to be followed by project proponents with respect to EIAs.

The EPA has issued in July 2000 a “Guideline Document” for Environmental Impact Assessments, which states the objectives of the EIA process and details the process and procedures related with EIAs. These mainly include the screening of all projects against potential environmental impacts, and categorization in three “schedules”:

-Schedule 1 includes “projects which may adverse and significant environmental impacts, and may therefore require a full EIA”, as well as “projects in environmentally sensitive areas irrespective of their nature”;

-Schedule 2 includes “projects whose type, scale or other relevant characteristics have potential to cause some significant environmental impacts, but not likely to warrant an environmental impact study”; and

-Schedule 3 includes “projects which would have no impact and do not require an environmental impact assessment”.

Most of the sub-projects likely to be included in the UWSS are categorized in Schedules 2 or 3. The results of the environmental and social screening process will indicate the required level of environmental work for each sub-project consistent with Ethiopian legal requirements as well as those of the Bank’s safeguard policies. Since the Ethiopian legal requirements do not include provisions for the screening of sub-projects of a smaller scale which may have negative localized impacts requiring mitigation, this ESMF has been prepared to assist sub-project implementers in the identification and mitigation of potential adverse environmental and social impacts at the planning stage of future investments. This screening process is consistent with the Bank’s safeguard policies and will respond to the requirements of Ethiopia’s environmental procedures.

The following World Bank safeguard policies pertaining to environmental and social management are triggered by the UWSS Project due to its planned construction and rehabilitation activities:

-OP 4.01 (Environmental Assessment),

-OP 4.12 (Involuntary Resettlement),

-OP 4.11 (Management of Cultural Property),

-OP 4.37 (Safety of Dams), and

-OP 7.50 (International Waterways).

Per OP 4.01 definitions, the UWSS project has been categorized as Category B.

Chapter 3 of the report presents details related with the Legal Background.

The Proposed Screening Process

The screening process aims at categorizing the sub-projects into one of the following environmental and social categories:

-Category A (Schedule 1) due to one or more major adverse impacts, therefore this sub-project cannot be funded under the UWSS Project. It will be either re-designed and re-submitted to the environmental screening process after re-design, or abandoned.

-Category B (Schedule 2) due to potential environmental issue identified which can be mitigated as follows:

• Category B1: No further Environmental Assessment work required; application of mitigation measures as outlined in the ESMF.
• Category B2: Further Environmental Assessment work required: Preparation of a separate Environmental and Social Impact Assessment to get a better understanding of the potential environmental and social issues that have been identified in the screening process and develop a specific Environmental and Social Management Plan.

-Category C: No significant environmental issue identified, no specific mitigation required; sub-project implementation can proceed. Environmental Guidelines for Construction Contractors shall be appended to construction contract and applied.

An Environmental and Social Screening Form (Appendix 3) has been prepared to formalize field investigations intended at identifying any environmental issue that may require specific attention and supplemental Environmental Assessment work. All sub-projects will undergo the screening process. The field personnel in charge of the screening will propose an environmental category for every sub-project.

A sub-project categorized as “B” will either implement mitigation measures as outlined in this ESMF and based on the recommendations of the environmental and social screening process (Category B1), or, a separate ESIA report will be prepared (Category B2). Generic ESIA terms of reference have been developed as an Appendix to this ESMF; they will have to be adapted to the specific requirements of the sub-projects.

A sub-project categorized as “C” will not require any further environmental and social assessment work and implementation can proceed immediately.

All sub-projects, whether B or C, will be applied the Environmental Guidelines for Construction Contractors prepared in the framework of this ESMF and presented in Appendix 5.

The further steps of environmental assessment for Category “B” sub-projects will include public consultation in compliance with OP 4.01. Environmental assessment reports will also be disclosed in concordance with OP 4.01 requirements.

In conformance with Ethiopian EIA guidelines, environmental screening results will be reviewed and cleared by the “Competent Agency”, which is in principle the regional EPA, or where this latter does not exist, the federal EPA.

ESIAs will similarly be reviewed by the Competent Agency and by the World Bank.

Details about the ESMF Process can be found in Chapter 5 of this ESMF.

Impacts, Mitigations, Environmental and Social Management Plan

Positive environmental and social impacts of the UWSS Project will include:

-Gain of time, especially for women and girls, that may be used for other, productive activities, and resulting gains in overall economic productivity;

-Better comfort and domestic hygiene,

-Employment at construction phase,

-Employment at operation phase,

-Capacity building and training in the town, and resulting enhancement of organizational, financial and technical capacities of town, particularly for smaller towns.

-Reduction in water-borne diseases such as dysenteria,

-Reduction in the potential for outbreaks of epidemic infectious diseases such as cholera.

The following table presents most likely negative impacts and associated mitigations:

Component / Sub-Project / Activity / Potential Issues/Impacts / Mitigations
Components 1A (Addis) and 2A (secondary cities): Construction and operation of new drilled wells / -Groundwater contamination by the drilling works
-Groundwater contamination at operation phase by infiltration from the surface / -Application of Environmental Guidelines for Construction Contractors (Appendix 5)
-Proper siting of the well to avoid infiltration of waste water, avoidance of low points, avoidance of sites with poor drainage, or prone to water retention or floods; location of the well at a safe distance from: (i) latrines, cattle pens, refuse pits (50 m); (ii) soak pits, trenches and sub-surface sewage disposal (100 m); and (iii) cesspools; sanitary land fill areas, and graves (150 m);
-Use of biodegradable drilling fluids and mud additives
-During the drilling, recycling of drilling muds in a pit near the drilling site as per usual drilling practice
-After completion of drilling, disposal of the drilling fluids in an agreed landfill
-Fencing of the surroundings of the well to avoid undesirable activities around the well
-Drainage of the immediate surroundings of the water well to avoid infiltration of contaminated water
-Construction of properly designed and water tight well head and proper sealing of pump to well head
-The pump and other equipment submerged into the well need to be disinfected, initially then at each extraction
-Avoidance of any leak above-ground at the well-head
-Initial chlorination of the well, after pumping test and pump installation, then periodic chlorination
-Well-head and its surroundings to be cleaned and cleared during operation. Infiltration pits to be maintained and replaced if needed
-Ensure reliable operation and maintenance of the well