Republic of Ethiopia (2004) Guidelines to prepare environmental and social management plan

Republic of Ethiopia (2004) Guidelines to prepare environmental and social management plan


THE FEDERAL ENVIRONMENTAL PROTECTION
AUTHORITY

GUIDELINES TO PREPARE
ENVIRONMENTAL AND SOCIAL

MANAGEMENT PLAN

NOT FOR CITATION

This guidelines is still under development and shall be binding
after consensus is reached between the Environmental
Protection Authority and the Environmental Units of
Competent Sectoral Agencies

NNOVOV. 2004. 2004
ADDIS

ABABA


ETHIO
PIA

Environmental and Social Management Plan Guidelines, FEPA, 2004 2


Table of contents

Page

1. Introduction..................................................................................................................1
2. Contents of the ESMP...............................................................................................1

2.1. Summary of Impacts.................................................................................................1
2.2. Proposed Mitigation Measures.................................................................................2
2.3. Enhancement Measures............................................................................................2
2.4. Monitoring Programs and Parameters.....................................................................2
2.5. Public Consultation Activities..................................................................................2
2.6. Responsibilities.........................................................................................................3
2.7. Preliminary Cost Estimates.......................................................................................3
2.8. Reporting and Reviewing.........................................................................................3
2.9.Work Plan..................................................................................................................4
2.10. Procurement Plan....................................................................................................4
2.11. Cost Estimates........................................................................................................4
2.12. Project Feedbacks and Adjustment.........................................................................4
2.13. Capacity building....................................................................................................4

3. Institutional Environmental Policy........................................................................5
4 Sample Forms...................................................................................................................5

Environmental and Social Management Plan Guidelines, FEPA, 2004 i


1. Introduction

An important objective of environmental assessment is to develop
procedures and plans to ensure that the mitigation measures and
monitoring requirements approved during the environmental
compliance review will actually be carried out in subsequent stages of
the project.

As a result, EPA places strong emphasis on the preparation and proper
implementation of ESMPs.

The environmental assessment proclamation and related procedures
thus require the proponent or their consultants to prepare an ESMP as
a major output of the environmental assessment. Where appropriate,
the key contents of ESMPs are incorporated into the condition of the
approval.

EPA requires that an ESMP be included as part of the EIAs and IEEs (for
schedule I and II projects). The ESMP is carefully reviewed to ensure
environmental safeguard compliance through out the project cycle.

A properly implemented ESMP can also contribute to the achievement
of a number of objectives, including:

 compliance with environmental regulations;
 meeting internal standards and targets;
 improve investor and/or customer satisfaction;
 improve the Institution's public image;
 improve relations with regulatory authorities;
 facilitate permitting process; and
 decrease short- and long-term liabilities.

The purpose of these guidelines is therefore to give guidance on the
design and proper implementation of ESMP.

2. Contents of the ESMP

At the minimum contents of an ESMP should include and describe the
following:

2.1. Summary of Impacts

Under this section positive and negative significant impacts that can

Environmental and Social Management Plan Guidelines, FEPA, 2004 1


be obtained or emanated as a result of the implementation of the
proposed action should be outlined. These impacts can be direct,
indirect, cumulative, synergistic, immediate, long term, temporal or
permanent. It can also be impacts on:

 Human health and safety
 social and economic well being of the

society
 economy of the country,
 occupational health and safety
 physical environmental conditions
 appropriate technology
 Biodiversity resources, etc.

2.2. Proposed Mitigation Measures

This section should set out clear and achievable targets, and
quantitative indicators of the level of mitigation required. Each
measure should be briefly described in relation to the impact and
conditions under which it is required. These should be referred to
designs, development activities, equipment descriptions, and
operating procedures and implementation responsibilities.

2.3. Enhancement Measures

The enhancement measures description should indicate the
arrangement for enhancing the potential positive impacts on a
sustained basis. It should also present a strategy and concrete action
plan to go beyond a mere fixation of the adverse impacts emanated
from the proposed action.

2.4. Monitoring Programs and Parameters

This section should outline the specific monitoring protocols,
parameters, and expected frequencies. It should identify objectives
and specify methods, the type of monitoring required; describes
parameters as well as environmental performance indicators which
provide linkages between impacts and mitigation measures identified
in the EIA/IEE report.

It should further elaborate, sampling location, techniques and frequency of
measurements detection limits and definition of thresholds to signal the need for
corrective actions and description of post decommissioning monitoring.

2.5. Public Consultation Activities

The ESMP should include a plan for meaningful public participation and

Environmental and Social Management Plan Guidelines, FEPA, 2004 2


communication mechanisms during the finalization and
implementation of the ESMP. The degree of consultation will depend on
the project and local situation, but will normally include (i) notification
of local communities when project activities are going to take place; (ii)
disclosure of the results of emergency plan or monitoring programs to
local communities and other stakeholders; and (iii) provision for
independent third party monitoring, where and when necessary.

Projects with potential for significant adverse impacts may require
public consultation on the design of mitigation measures and provide
for public participation in environmental monitoring. Stakeholder
consultation is also recommended during the preparation of final
monitoring reports.

2.6. Responsibilities

This section should specify the institutional arrangements for
implementation -taking into account the local conditions.
Responsibilities for mitigation and monitoring shall be defined along
with arrangements for information flow, and for coordination between
agencies responsible for mitigation. ESMP should specifies the
organizations and individuals that will be responsible for undertaking
the mitigating and monitoring measures, e.g., for enforcement of
remedial actions, monitoring, training, and financing. A third party may
be contracted in case the local authorities’ capacity is limited. The
ESMP may propose institutional arrangements including establishment
of appropriate organizational arrangements, appointment of key staff
and consultants; and arrangements for counterpart funding when
necessary.

2.7. Preliminary Cost Estimates

To ensure that mitigation measures and monitoring are adequately funded, the
ESMP should contain preliminary cost estimates. During implementation, the
ESMP should be revised once construction and operational activities are well
defined. Information should also be provided on the responsibilities for reporting,
work plan, procurement plan, cost estimates and mechanisms for corrective
action.

2.8. Reporting and Reviewing

This section should specify institutional responsibilities and roles for
preparing, submitting, receiving, reviewing, and approving the reports.
An implementation schedule detailing the timing, frequency and
duration of mitigation measures, monitoring, and reporting of the

Environmental and Social Management Plan Guidelines, FEPA, 2004 3


progress should be prepared, showing phasing and coordination with
procedures in the project operations manual. Recipients of such reports
should include those with responsibility for ensuring timely
implementation of mitigation measures and for undertaking remedial
actions. In addition, the structure, content and timing of reporting
should be specified.
2.9.Work Plan

This section should specify staffing chart and proposed schedules of
participation by the project team members, and activities and inputs of
related government agencies. The responsibilities and requirements of
contractors should be clearly addressed to ensure integration ESMP
into legal requirements and bidding/contract documents.

2.9. Procurement Plan

This section should include 2 sections: (i) the plan for procurement of
the specific items and equipment required to implement of the
mitigation and monitoring programs in the ESMP, and (ii) a description
of procedures to ensure consistency of all project procurement with the
principles and practices of environmentally responsible procurement of
goods and services.

2.10. Cost Estimates

This section should provide the detailed costs of implementation.
These should be specified for both the initial and recurring expenses
for implementing all measures defined in the ESMP, integrated into the
total project costs. All costs, including administrative design and
consultancy, and operational and maintenance costs— resulting from
meeting required standards or modifying project design should be
captured. A budgeting plan should be attached to cover the necessary
costs.

2.11. Project Feedbacks and Adjustment

The section should outline the procedures and mechanisms that will be
used to modify and reshape the project in the light of monitoring
results as well as to report on environmental performance and the
occurrences of unforeseen circumstance to the Interested and affected
parties on regular basis.

2.12. Capacity building

Successful environmental supervision requires a mechanism to (i)
determine whether the proponent is carrying out the project in

Environmental and Social Management Plan Guidelines, FEPA, 2004 4


conformity with the ESMP, (ii) identify problems, and (iii) develop plans
for corrective action.

The need and mechanism for capacity building required for proper
implementation of ESMP and continual improvement in the
environmental management performance of the firm should be
described.

In some cases, technical assistance may be required to build capacity,
including technical support, equipment and financial resources, for
strengthening of the proponent. In general, institutional strengthening
should:

 help the proponent to supervise the implementation of the ESMP
including supervision and evaluation of the work to be undertaken
with respect to the mitigation measures and monitoring
requirements;

 provide on-the-job training to staff or top management team of the
organization in order to build awareness and technical expertise in
the environmental and social aspects of environmental
management;

 instruct the organization personnel in the proper techniques of
project inspection, monitoring, use of field monitoring equipment,
and data collection; and

 assist the firm to coordinate and consult with other government
agencies, local communities, NGOs, and other stakeholders
concerned with the environmental aspects of the project.

3. Institutional Environmental Policy

Under this section the firm should state its commitment to work
towards realizing the objectives of sustainable development and
continual improvements in its environmental performance. The firm
should also indicate its firm conviction to adhere at the minimum to
the country's environmental Policy goals and principles as well as
applicable legal environmental requirements. This section elaborates
on the firm or corporate social and environmental responsibilities.

4 Sample Forms
The development of mitigation measures, the monitoring program,
institutional arrangements and scheduling can be aided by the use of
the matrices presented in Tables 1 to 4 herein under. These matrices
should be included in the ESMP document.

Environmental and Social Management Plan Guidelines, FEPA, 2004 5


Table 1: Template for summarizing Mitigation /enhancement
Measures (MEM)

Project
Stage

Project
Activit

y

Potential
Environment
al Impacts

Propose
d MEM

Institutional
Responsibiliti

es

Cost
Estimate

s
Pre-
Construction
Phase
Construction
Phase
Operation
and
Maintenanc
e Phase

Table 2: Template for summarizing Monitoring Requirements

Mitigatio
n

Measure

Parameters
To be

Monitored

Location Measurement
s

Frequ
ency

Responsib
ilities

Cost

Pre-
Construction
Phase

Construction
Phase

Operation
and
Maintenance
Phase

Environmental and Social Management Plan Guidelines, FEPA, 2004 6


Table 3: Template for summarizing Institutional capacity
I. Strengthening

Activity
Position Strengthening Schedule Cost

(Responsibilities
)

Program Estimate

Mitigation

Monitoring

II. Training
Activity

Participants Cours
e

Conten
t

Schedul
e

Cost
Estimate

1. ESMP
Implementatio
n
Re-design
Conflict
Resolution
2.
Environmental
Processes,
Methods and
Equipment
3.
Environmental
Policies and
Programs

Table 4: Template for Scheduling and Reporting

Year 1 Year 2 Year 3 …

Activity
Q
1

Q
2

Q
3

Q
4

Q
1

Q
2

Q
3

Q
4

Q
1

Q
2

Q
3

Q
4

Environmental and Social Management Plan Guidelines, FEPA, 2004 7


Mitigation
Measures
……………………..

Monitoring
………………
Institutional
Strengthening
………………
Training
………………

Environmental and Social Management Plan Guidelines, FEPA, 2004 8


1. Introduction
2. Contents of the ESMP
2.1. Summary of Impacts
2.2. Proposed Mitigation Measures
2.3. Enhancement Measures
2.4. Monitoring Programs and Parameters
2.5. Public Consultation Activities
2.6. Responsibilities
2.7. Preliminary Cost Estimates
2.8. Reporting and Reviewing
2.9.Work Plan
2.9. Procurement Plan

2.10. Cost Estimates
2.11. Project Feedbacks and Adjustment
2.12. Capacity building

3. Institutional Environmental Policy
4 Sample Forms