Purpose of Forms and Templets Anexes in the ESMF and screening checklists Main Screeing check lists n: Form 1 Form 2 Form 3 Form 4 How to use impact rating for categorization Sample Template for S.S ESMPs

1. Ministry of Agriculture
Regional Fund for Strengthening Drought Resilience in
Ethiopia, DRSLP
Practically filling of Screening forms in SDR Projects
Gulelat Teshome – Nat. ESMF Spp
( Tel: +251911143915, Email : gulelatt@gmail.com)
Sept 7, 2021
Semera Logia

2. Screening forms
to be used for
ES Compliance & Sample
Templets for ESMPS

3. Outline
• Purpose of Forms and Templets
• Anexes in the ESMF and screening checklists
• Main Screeing check lists n:
 Form 1
 Form 2
 Form 3
 Form 4
• How to use impact rating for categorization
• Sample Template for S.S ESMPs

4. Purpose of Forms and Templets
• They are integral parts of the implemetation
of all DRSLP/SDR-KfW Sub projects
And HENCE
• They should be filled and approved by the
competent Authority at various levels ( mostly
at woredas)
for
ES Compliance of our projects

5. SCREENING CHECKLISTS , in the ESMF
 The ESMF – is guidance doc- about 168 pages
 Has 8 chapters in it :
Introduction, Policy & Legal framework . . . The ESMF Process(
Chapter 5), Implementation Arrangement ( Ch 7) . . . Annexes(
Ch 8).
 Chapter 8 : ANNEXES – it contains 11 items or Annexes :
• Annex 1 Minutes of Stakeholder Consultations
• 8.2 Annex 2: Screening Checklists
• 8.3 Annex 3: Definition of Critical Habitat .

6. • Annex 4: Voluntary Land Donation Form
• 8.5 Annex 5: Sample Templates for site specific
ESMPs
• 8.6 Annex 6: Small Works Construction ESMP
Guidance
• 8.7 Annex 7: Structure and Contents for ESIA
Reports
• 8.8 Annex 8: E&S Reporting Form
• 8.9 Annex 9: Sample Clauses for Bidding
Documents
• 8.10 Annex 10: Grievance Mechanism Forms
• 8.11 Annex 11: Serious Incident and Accidents
Reporting Form

7. Annex II of the ESMF for DRSLP/KfW-SDR
• Form 1: Sub-project eligibility checklist for DAs at the
Kebele level
• Form 2: Sub-project environmental and social
concerns screening checklist for FPs/WC/WTC at
Woreda level
• Form 3: Sub-project impact significance checklist at
Woreda level
• Form 4: Environmental and Social Checklist( this is one
is for reference and furthur guidance and not a must)

8. FORM 1
• Sub-project eligibility checklist, for DAs at the
Kebele level . . .
• Sub-project: ___________________________
• Region: ___________________________
• Woreda: ___________________________
• Kebele: ___________________________
• Date: _________ Signature: __________

9. Non-eligibility Feature Yes No
Sub-project is in, or next to, internationally-disputed territory
Sub-project requires involuntary land acquisition, relocation
of residents, or relocation of property
Sub-project involves involuntary land use change, typically to
the wet-dry grazing pattern in pure pastoralist areas
Sub-project involves construction of a dam more than 4.5 m
high
Sub-project would cause degradation of critical natural
habitats

10. • Recommendations:
Sub-project is eligible and approved:
..........................................................................................................
• Sub-project is not eligible and is rejected (unless re-designed):
.................................................................
Persons/DAs who did the eligibility check and their responsibility:
1. ___________________________________________
2. ___________________________________________
3. ___________________________________________
• Approved by Kebele Development Committee/Kebele
Administrator:
• Name………………..…................................ Position:
……….................................
• Signature: .................... Date: ……................................................
• Reasons for rejection:
..............................................................................................................
..............................................................................................................
.........

11. FORM 2
Sub-project environmental and social concerns
screening checklist for FPs/WC/WTC at Woreda
level
• Sub-project: ___________________________
• Region: ___________________________
• Woreda: ___________________________
• Kebele: ___________________________
• Date: ___________________________
Signature: _________________________

12. Feature of Concern Yes No
Sub-project would involve voluntary changes in access to
resources used by two or more different groups
Sub-project is in, or next to, a protected area
Sub-project is in, or next to, a cultural heritage site
Sub-project is likely to result in use of pesticides (for example,
some irrigation schemes)
Sub-project would involve construction in or near a river or
wetland (for example, bridge construction)
Sub-project would involve significant earthworks and/or changes
to drainage systems (for example, road construction)

13. • Recommendations:
Sub-project is not of environmental concern and is
approved without conditions:
.......................................................
• Sub-project is of environmental concern and should be
referred to Regional agency to determine if ESIA required:
.................................................................................................
.......................................................................................
• Sub-project does not require ESIA but does require ESMP:
.............................................................................................
• Sub-project is rejected:
.................................................................................................

14. Reasons for rejection:
1)
______________________________________________________________________
_______________
2)
______________________________________________________________________
_______________
• Completed by:
• Name: _______________________________
• Position: _____________________________
• Date: ________________________________
•
• Certification (for all approved sub-projects): I certify that all the potential adverse
effects of the sub-project have been thoroughly examined, and the sub-project
does not have any impact and/or the mitigation measures in the plan are
adequate to avoid or minimize all adverse environmental and social impacts.
• Reviewed and approved by Woreda EPA :
• Name: ______________________________
• Position: ____________________________
• Date: _______________________________

15. Some mental jims
• A boy and a Doctor are fishing. The boy is the
doctors son. However,the doctor is not the
boy’s father. Who is the doctor?
• I am an odd number. Take away a letter and I
become even. What number am I?

16. FORM 3
Sub-project impact significance checklist, by
WFPs
• Form 3.1: For roads
• Form 3.2: For water harveststructures
• Form 3.3: For Rehabilitation of degraded land
• Form 3.4: Other projects

17. FORM 3
Sub-project impact significance checklist, by WFPs
Sub-project: ___________________
Region: ________
Woreda: ______________
Kebele: ____________
• Date:________________ Signature: _____

18. Sub-project Types
Potential Impact Significance
None Low Med High Unknown
Road construction may cause:
Soil erosion and gullying
Flooding, water pollution
Sedimentation of water courses, reservoirs
Destruction of wildlife habitats through land
disturbance (earthworks)
Damage to cultural, religious and historical sites
Opening of quarry/borrow sites
Voluntary land acquisition and loss of property
Involuntary land acquisition and loss of property
Other potential impacts (add here)

19. Water harvesting structures may cause:
Deforestation
Competing claims for water use and
social tension
Disturbance/destruction of wildlife
habitats
Disturbance to cultural or religious sites
New settlement pressures
Waterlogging and increased soil salinity
Increased use of pesticides and other
agrochemicals
Risk of vector-borne diseases
Loss of access
Land acquisition and loss of property
Other potential impacts (add here)

20. Degraded land rehabilitation may cause:
Restriction of human and livestock
mobility
Risk of introduction of invasive exotic
species
Restriction of access to communal lands
Risk of rodents and other pests
Risk of mono-cropping (resorting to
exotics)
Loss of biodiversity due to clearing of
lands
Temporary land acquisition (loss of land,
assets)
Environmentally sensitive areas disturbed
Risk of wildlife attack on domestic
animals
Other potential impacts (add here)

21. Other sub-projects (nursery establishment, FTC, etc.) may cause:
Destruction of natural habitats
Create quarry sites
Construction of access roads
Land acquisition, loss of assets / property
Other potential impacts (add here)

22. Recommendation ( tick one ) :
• Category : C B
• No ESIA required: Partial ESIA required:
• Special plans should be prepared independently –
mark [√] in the box below ESMP:
RAP: PMP:
• Others (specify): . . . . . . . . . . . . . . . . . . . . . . .

23. If the recommendation is to prepare ESMP or
PMP or others, environmental and social
assessment (initial environmental and social
examination) is required by the implementing
agency/proponent, and reviewed by the
regulatory body.
Completed by(WFP/RFP, may review or support ) :
Name . . . . . signature: . . . . .
Position: . . . . . .. . . . . . Date: . . . . . . .

24. Decision from Regulatory Agency(Woreda EPA) :
Reviewed and approved by EPA :
Name: _________Position: ____________
Date: ____________ OR Stamp
( Regional /Zone/woreda) Environmental
Protection organ
Accepted: Rejected:
If rejected : reason for rejection:
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25. Some warm up activities
• Q1: Forward I am heavy, but backward I am
not. What am I?
• Q2: What can you hold in your left hand , but
not in your right hand?
• I am an odd number. Take away a letter and I
become even. What number am I?

26. How to use
impact rating for
categorization

27. Rating and classification of potential impacts:-
Cat “C”
For sub-projects with
no impact (All
impact rating becomes
‘None’)
These subprojects should also be
labeled as ‘subprojects of
no environmental and social
concern’ (category C). Approval by
Woreda or Regional EFCCA.

28. Cat “B”
For sub-projects with
low, medium
and/or one or two
high impact
These subprojects should also be
labeled as ‘subprojects of
medium environmental and social
concern’ (cat B). Incorporate potential
mitigation measures into the design of
the subprojects. ESMP should be
prepared.

29. Cat “B +”
Subprojects cause more
than two high
potential impact plus
more than two
unknown impacts
These subprojects should also be
labeled as ‘subprojects of
high environmental and social
concern’ (cat B) because changing
the design may not avoid the
anticipated adverse impacts.
ESMP should be prepared and/or
additional assessment (partial
ESIA) may be required.

30. "A" High E&S Risk "B+" Substantial E&S Risk "B" Moderate E&S Risk "C" low E&S Risk
Projects with high adverse
impacts and risks that are
diverse, irreversible and
unprecedented.
The impacts may extend
beyond the project site, the
areas of construction and/or
the direct project area and
require specific mitigation
measures that go beyond
standard solutions and state
of the art technologies.
Example safeguard
instruments include
Resettlement Action Plans
(RAPs), Process Frameworks
(PFs), Indigenous Peoples
Plans or Frameworks
(IPP/Fs) etc.
Projects with substantial
impacts and risks are those
where impacts occur in single
areas that show a higher risk
than category B projects but
not as diverse and
unprecedented as for A
Projects. Example safeguard
instruments include
Resettlement Action Plans
(RAPs), Process Frameworks
(PFs), Indigenous Peoples
Plans or Frameworks (IPP/Fs)
etc.
Moderate adverse impacts
and risks are usually limited
to the Project site and
manageable with standard
solutions and state of the
art technology as part of
ESMPs or, for very small
works, Environmental and
Social Codes of Practice
(ESCOPs) based on E&S site
risks.
No or insignificant
adverse impacts or
risks.
No particular
management plans
required.
Follow-ups can be
done with the
checklist filled

31. SOME IMPORTANT TIPS
DRSLP/SDR-KfW Sub projects
• Are mostly categorized as Moderate and low
risk projects , from their nature ( acc to the
feasibility study conducted (2016) and the
ESMF .
• Due to this most of them are category “c”
and very few can be Cat “B” .

32. • (Page 62 , ESMF) : Note: all sub-project
environmental and social approvals will need
to be forwarded through the RPCU to
the FPCU as part of the sub-project
documentation package prior to release of
funds.

33.  ESMP ( Page 63) : . . . it is expected some sub-projects
e.g. soil conservation, nursery man
agement and fodder production, will not need any
further scrutiny and will be approved. For other sub
projects such as water schemes construction, rural
roads and small water dams an ESMP may be
required.
* In general, the low degree of complexity of the sub-
project indicates that ESIA will not be conducted.
* The Woreda Environmental regulatory body & the
Regional PCUs, will play a major
role in screening and eventually categorizing the
subprojects.
* The FPCU will assist also in evers technical aspects

34. THE ESMF ( Chapter 5 , Page 57-60) :
In particular, the following subprojects will not
be eligible:
 Sub-projects in or adjoining internationally-
disputed and/or internally-disputed
territories;
 sub projects requiring the involuntary
relocation of residents or exclusion from
resources

35. • projects incorporating dams higher than 5m
• Sub projects located in protected areas or
affecting critical natural habitat
• Projects affecting key dry season grazing and
mobility corridors

36. Categorization of projects
 A – will not be funded
 B+
- such projects with significant impacts on
the environment and social aspects are not
incorporated in SDR projects ( Feasibility study
,2016)
 B – very few projects may need simplified
ESMPs
 C – this is where most projects of SDR fall

37. FORM 4 (Section 8.2; Page 109)
• The ESMF( Pages: 109-111)
• Please use this table only as guidance.

38. Sample Template for S.S ESMPs
 Site Specific ( S.S) – to adress unique features of
sites ( e.g- topography, soil type, . . . )
 ESMPS should adequately answer the what, who,
when and how of implementations of MEMs(
Mitigation or enhancement measures
 a very simple( clear) templet is presented , in
the next slide

39. Project Stage
Project
Activity
Potential
Environmental
Impacts
Proposed
MEM
Institutional
Responsibilities
Cost
Estimates
Pre-
Construction
Phase
Construction
Phase
Operation &
Maintenance
Phase

40. Ideal ESMP Format, . . . Can be used
S.No Impacts Mitigation
Measures
Responsible
body
Schedule of
Implementation
Stage ( Examples)
Cost of
Mitigation
measure
Monitoring
and
Reporting
1 Aggravated
soil erosion
SWC
activities,
planting trees
& appropriate
construction
measurs
NRM office /
contractor
preconstruction Monthly or
2 S Waste in
construction
area
simplified
laterienes
Contractor construction Quarterly Or
3 Operation and
maintenance
Every two
months or
Every 6
month

41. THANK YOU