Environmental and Social Management Framework Seasn p172479 December 2022 Final

THE FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA
MINISTRY OF AGRICULTURE
STRENGTHEN ETHIOPIA’S ADAPTIVE

SAFETY NET (SEASN)/
PRODUCTIVE SAFETY NET PROGRAMME 5
(PSNP5)
ENVIRONMENTAL AND SOCIAL

MANAGEMENT FRAMEWORK (ESMF)
December 2022
2
LIST OF ACRONYMS
BoA Bureau of Agriculture

BoLSA Bureau of Labour and Social Affairs
CSE Conservation Strategy of Ethiopia
CFSTF Community Food Security Task Force
CFU Counterpart Fund Unit
CHS Community Health and Safety
DA Development Agent
EFCCC Environment, Forest and Climate Change Commission
EHS Environment, Health and Safety
ESAC Enhanced Social Assessment and Consultation
ESCP Environmental and Social Commitment Plan
ESIA Environmental and Social Impact Assessment
ESMF Environmental and Social Management Framework
ESMP Environmental and Social Management Plan
ESOHS Environmental, Social and Occupational Health & Safety
EWRD Early Warning and Response Directorate
FFSCD Federal Food Security Coordination Bureau
FNRMD Federal Natural Resources Management Directorate
FSCD Food Security Coordination Directorate
FSO Food Security Office
FSP Food Security Programme
GAP Gender Action Plan
GBV Gender-Based Violence
GOE Government of Ethiopia
GRM Grievance Redress Mechanism
GSD Gender and Social Development
HFA Humanitarian Food Assistance
IDP Internally Displaced Person
IPM Integrated Pest Management
JSOC Joint Strategic Oversight Committee
KFSTF Kebele Food Security Task Force
LCU Livelihoods Coordination Unit
LH Livelihoods [Project Sub-Component]
LHCU Livelihoods Coordination Unit
LMP Labour Management Plan
MoA Ministry of Agriculture
MoF Ministry of Finance
MoLSA Ministry of Labour and Social Affairs
NRMD Natural Resources Management Directorate
OHS Occupational Health and Safety
PLW Pregnant and Lactating Women
PSNP Productive Safety Net Programme
PW Public Works [Project Sub-Component]
PWCU Public Works Coordination Unit
PWFP Public Works Focal Person
PWFU Public Works Focal Unit
RBEFCC Regional Bureau of Environment, Forest & Climate Change
RFSCO Regional Food Security Coordination Office
RFSSC Regional Food Security Steering Committee
RPWFU Regional Public Works Focal Unit
SARDP SIDA-Amhara Rural Development Project
SEA Sexual Exploitation and Abuse
SEAH Sexual Exploitation, Abuse and Harassment
SEASN Strengthen Ethiopia’s Adaptive Safety Net
SH Sexual Harassment
SOE Statement of Expenditures
ToT Training of Trainers
UPSNP Urban Productive Safety Net Program
USD United States Dollars
VLD Voluntary Land Donation
WCYAD Women, Children and Youth Affairs Directorate
WEPO Woreda Environmental Protection Office
WESP Woreda Environmental and Social Profile
WFSCT Woreda Food Security Case Team
WFSTF Woreda Food Security Task Force
WOA Woreda Office of Agriculture
WOLSA Woreda Office of Labour and Social Affairs
WOFED Woreda Office of Finance and Economic Development
WARDO Woreda Agriculture and Rural Development Office
WLAEPO Woreda Land Administration and Environmental Protection Office
Table of Contents
EXECUTIVE SUMMARY ................................................................................................................... i
PART I: INTRODUCTION ................................................................................................................. 1
1. .............................................................................. Environmental Context and Baseline Conditions
............................................................................................................................................................ 1
2. .................................................................................... Environmental and Social Framework (ESF)
............................................................................................................................................................ 2
2.1 ESS1: Assessment and Management of Environmental and Social Risks and Impacts ..... 2
2.1.1 Public Works Sub-Component ..................................................................................................... 2
2.1.2 Livelihoods Sub-Component ........................................................................................................ 3
2.1.3. Broader Social Issues....................................................................................................................... 3
2.2 ESS2: Labor and Working Conditions ................................................................................ 6
2.3 ESS3: Resource Efficiency and Pollution Prevention and Management .......................... 10
2.4 ESS4: Community Health and Safety ............................................................................... 10
2.5 ESS5: Land Acquisition, Restrictions on Land Use and Involuntary Resettlement ......... 13
2.6 ESS6: Biodiversity Conservation and Sustainable Management of Living Natural
Resources ...................................................................................................................................... 14
2.7 ESS7: Indigenous Peoples/Sub-Saharan Africa Historically Underserved Traditional
Local Communities ....................................................................................................................... 14
2.8 ESS8: Cultural Heritage .................................................................................................... 16
2.9 ESS9: Financial Intermediaries ......................................................................................... 16
2.10 ESS10: Stakeholder Engagement and Information Disclosure ......................................... 16
3. .................................. Institutional Arrangements for Environmental and Social Risk Management
.......................................................................................................................................................... 17
3.1 Institutional Arrangements and Coordination ................................................................... 17
3.2 Federal Level..................................................................................................................... 18
3.2.1 Ministry of Agriculture............................................................................................................... 18
3.2.2 Ministry of Labour and Social Affairs (MoLSA) ....................................................................... 18
3.2.3 Ministry of Health ...................................................................................................................... 19
3.3 Regional Level .................................................................................................................. 19
3.4 Woreda Level .................................................................................................................... 20
3.5 Kebele Level ..................................................................................................................... 21
3.6 Staffing Plan...................................................................................................................... 21
PART II: PUBLIC WORKS ESMF .................................................................................................. 24
4. ................................................................................................................................ PW Background
.......................................................................................................................................................... 24
5. .............................................................................................................. PW Programme Description
.......................................................................................................................................................... 24
5.1 Public Works Subprojects: Eligibility Criteria ................................................................. 24
5.2 Planned Location of Subprojects ...................................................................................... 25
5.3 Climate-Smart Subprojects ............................................................................................... 25
5.4 Types of Subproject .......................................................................................................... 26
5.5 Subprojects in Pastoralist Areas ........................................................................................ 27
5.6 PW Community Planning Process .................................................................................... 28
5.7 Analysis of Alternatives .................................................................................................... 29
5.8 Implementation Challenges............................................................................................... 30
6. ................................................................................................................. Capacity-Building for PW
.......................................................................................................................................................... 32
6.1 Federal Level..................................................................................................................... 32
6.2 Regional Level .................................................................................................................. 33
6.3 Zonal Level ....................................................................................................................... 34
6.4 Woreda Level .................................................................................................................... 34
6.5 Kebele Level ..................................................................................................................... 35
6.6 Training and Technical Assistance ................................................................................... 35
7. ............................................................................. PW Environmental and Social Management Plan
.......................................................................................................................................................... 36
7.1 Principles........................................................................................................................... 36
7.2 PW ESMF Procedures ...................................................................................................... 38
7.2.1 Step (i): Subproject Eligibility Check ........................................................................................ 40
7.2.2 Step (ii): Subproject Screening ................................................................................................... 40
7.2.3 Reviewing Notified Subprojects ................................................................................................. 48
7.2.4 Conducting an ESIA: Guidance for the Woreda ARDO and WEPO ......................................... 48
7.2.5 Subproject Environmental & Social Management Plan (ESMP) ............................................... 49
7.3 Guidelines for Subprojects Requiring a Special Procedure .............................................. 49
7.3.1 Integrated Pest Management (See Annex 1) .............................................................................. 49
7.3.2 Medical Waste Management (See Annex 2) .............................................................................. 50
7.3.3 Subprojects Involving a Dam (See Annex 3) ............................................................................. 50
7.3.4 Subprojects involving Land or Asset Acquisition and loss of Access to Assets/resources (See
Annex 18) ................................................................................................................................................ 51
7.4 Procedures During Implementation .................................................................................. 51
7.4.1 Grievance Redress Mechanism (See Annex 15) ........................................................................ 51
7.4.2 Cultural Heritage Chance-Finds (Annex 4) ................................................................................ 52
7.4.3 Occupational and Communal Health & Safety including Child Labour (Annex 11) ................. 52
7.4.4 Labour Management (Annex 12) ............................................................................................... 53
7.4.5 HIV/AIDS .................................................................................................................................. 53
7.4.6 ‘Alignment of Operations’ Procedure (Annex 6) ....................................................................... 54
PART III: LIVELIHOODS STRENGTHENING ESMF ............................................................... 57
8. ........................................................................................... Livelihoods Strengthening: Background
.......................................................................................................................................................... 57
9. ................................. Rationale for a Cumulative Environmental and Social Assessment Approach
.......................................................................................................................................................... 58
10. .............................................................................................. LH Environmental and Social Issues
.......................................................................................................................................................... 58
11. ................................................................. Procedures for Environmental and Social Management
.......................................................................................................................................................... 59
11.1 Woreda Environmental and Social Profile ........................................................................ 59
11.2 Environmental and Social Guidance for Business Plans .................................................. 60
11.3 Environmental and Social Monitoring ............................................................................... 60
11.4 LH Group Activities.......................................................................................................... 61
PART IV: MONITORING AND REPORTING.............................................................................. 62
12. ................................................................................................Monitoring and Reporting Structure
.......................................................................................................................................................... 62
13. .............................................................................. Monitoring of the PW and LH Subcomponents
.......................................................................................................................................................... 62
14. .......................................................................Monitoring and Reporting on Broader Social Issues
.......................................................................................................................................................... 63
15. ............Proposed Environmental Indicators for the Environmental & Social Management Report
.......................................................................................................................................................... 64
16. ......................... Proposed Social Indicators for the Environmental & Social Management Report
.......................................................................................................................................................... 64
PART V: STAKEHOLDERS CONSULTATION AND PUBLIC DISCLOSURE ...................... 66
17. ..................................................................................................................................... Introduction
.......................................................................................................................................................... 66
18. ........................ Summary of ESAC Phase II PSNP5 Stakeholders and Community Consultations
.......................................................................................................................................................... 67
18.1 Community consultation ................................................................................................... 67
18.2 Consultation with Federal and Woreda Level Stakeholders ............................................. 70
18.3 Summary ........................................................................................................................... 71
19. ............................................................................................................................. Public Disclosure
.......................................................................................................................................................... 72
ANNEXES ........................................................................................................................................... 73
Annex 1: Integrated Pest Management Procedural Guideline .......................................................... 73
Annex 2: Medical Waste Management Guideline ............................................................................ 76
Annex 3: Safety Guidelines for Dams .............................................................................................. 98
Annex 4: Physical Cultural Resources: Chance-Finds Procedure .................................................. 107
Annex 5: Internationally Disputed Areas........................................................................................ 109
Annex 6: ‘Alignment of Operations’ Checklist and Procedure ...................................................... 110
Annex 7: Woreda Environmental and Social Profile: Guidelines .................................................. 112
Annex 8: Environmental and Social Guidance for LH Business Plans .......................................... 114
Annex 9: Environmental and Social Monitoring Plan (ESMP): For the Livelihoods Sub-
Component: Hypothetical Example ................................................................................................ 119
Annex 10: PW and LH ESMF Training Budgets............................................................................ 122
Annex 11: Occupational Health & Safety; Community Health and Safety .................................... 125
Annex 12: Labour Management Procedures ................................................................................... 138
Annex 13: Gender Action Plan ....................................................................................................... 158
Annex 14: Gender-Based Violence Assessment and Action Plan .................................................. 162
Annex 15: Grievance Redress Mechanism ..................................................................................... 210
Annex 16: Stakeholders’ Engagement Plan .................................................................................... 227
Annex 17: ESIRT ............................................................................................................................ 250
Annex 18: Voluntary Land Donation (VLD) Procedure................................................................. 260
Annex 19: Enhanced Social Assessment and Consultation (ESAC) Phase I & II .......................... 270
Annex 20: Public Works Subproject ESMF Screening and ESMP Forms ..................................... 442
Annex 21: COVID-19 Measures..................................................................................................... 497
Annex 22: E-Waste Management Plan……………………………………………………………508
Annex 23: Food transportation, storage, and disposals…………………………………………...515
Annex 24: Security Risk Assessment and Management Plan …………………………….516
Executive Summary
EXECUTIVE SUMMARY
In recent years the Government of Ethiopia has made important progress in laying down the
policy framework for the implementation of social protection interventions in the country.
The country’s National Social Protection Policy (NSPP) from 2014 and accompanying
Strategy and Action Plan for the sector have charted a significant expansion of social
protection. It covers a larger proportion of the population and a wider range of risks, thereby
ensuring that Ethiopia’s strong economic performance is accompanied by a sustained
reduction in poverty and vulnerability. The policy recognizes the contribution of social
protection to the development goals of the country and commits human and financial
resources to reduce poverty and maximize the provision of social protection to its poorest and
most vulnerable citizens.
Ethiopia’s National Social Protection Strategy (NSPS, 2016) builds on the NSPP and
includes transformative elements as well as protective ones, building on the strong foundation
of productive safety nets in Ethiopia. The Social Protection Strategy’s first two focus areas
are (i) Promote productive safety nets and (ii) Promote employment and improve livelihoods.
Under the first focus area, the strategy identifies four instruments including public works,
conditional and unconditional transfers, and shock responsive safety nets. Under the second
focus area, the strategy aims, among others, to link social safety nets beneficiaries to
livelihoods and employment interventions and promotes the provision of
livelihoods/employment and financial services for the poor.
Safety nets account for a large share of social protection spending. The three major safety net
programs in the country are the rural Productive Safety Net Program (PSNP), the Urban
Productive Safety Net Program (UPSNP), and the Humanitarian Food Assistance1 (HFA).
Over recent years (except major drought events years) their average annual cost amounted to
about 1.4 percent of GDP, and between FY 2012/13-2015/16, they accounted for 71 percent2
of social protection spending3. In the past all three programs were predominantly financed by
development or humanitarian partners, although the Government’s financial contribution has
increased significantly over the last couple of years. In the case of PSNP, for example, the
Government share increased from about 3 percent in FY 2015/16 to 20 percent in FY
2018/19 and is projected to increase to 30 percent in FY 2019/20.
Ethiopia has made significant progress towards building a national safety net system. PSNP
was launched in 2005 with the aim of addressing rural food insecurity, building resilience,
and reducing the need for humanitarian appeals. Over the years the program expanded
gradually to cover about 8 million direct beneficiaries from 2.5 million rural households in 40
percent of the country’s districts (woredas).
In order to support the Government of Ethiopia in improving the delivery of an effective and
scalable safety net, PSNP5 will include three components:
Component 1: Adaptive Productive Safety Net
1
HFA provides direct transfers (food or cash) to individuals or households for the purpose of increasing the
quantity and/or quality of food consumption in anticipation of, during, and in the aftermath of a humanitarian
crisis.
2
Due to a significant increase in humanitarian relief related to the drought in 2015/16. Otherwise the average
expenditure on safety nets represents about 60 percent of the total social protection expenditure.
3
Financing Social Protection in Ethiopia: A long-term Perspective © OECD 2019
i
Executive Summary
Building on the experience of previous phases of the PSNP, this component will consist of
four sub-components:
(a) Labour-intensive public works to increase the productivity of the natural resource
base and improve social infrastructure;
(b) A Mother-child package which extends a woman’s exemption from public works to
24 months post-partum, and refocuses previous poorly implemented efforts to
establish Child Care Centres at public works sites on the development of more
permanent Early Childhood Development Centres at central locations in all Sequota
Declaration woredas
(c) Safety net transfers to extremely poor households;
(d) Complementary livelihood services for client households.
The public works carried out under PSNP will continue to build climate change resilience
through watershed rehabilitation, and to be a significant contributor to climate change
mitigation through carbon sequestration.
Component 2: Improve the Shock Responsiveness of the Safety Net System
Component 2 addresses weaknesses in the shock-responsiveness of the safety net system such
as chronically late assistance, unpredictable timing, duration and quality of assistance, and
inefficient provision of assistance through multiple delivery mechanisms. It has five sub-
components:
(a) Expansion of coverage and systems to currently excluded drought-prone woredas and
adjustment of allocation of caseload;
(b) Improvement of Early Warning Systems;
(c) Establishment of triggers and pre-agreed rules for shock-responsive financing;
(d) Integration and strengthening of operations management at federal and subnational
levels;
(e) Contingent Early Response: Financing vertical and horizontal expansion of PSNP
cash transfers and food in case of emergency.
Component 3: Program Management
The third and final component relates to the overall management of the PSNP program. It
includes activities focused on strengthening Government institutions’ ability to manage all
aspects of program implementation and the use of core instruments (such as targeting,
Management Information Systems and Grievance Redress Mechanisms) to assist program
operations, poverty and vulnerability, and full retargeting at the beginning of the program and
every four years.
Component 3 has two sub-components:
(a) Systems Development;

(b) Management and Administration.
This ESMF contains the procedures for addressing the Environmental and Social risks of
PSNP5. These risks fall into three categories:
(a) Risks associated with individual PW subprojects, addressed by a PW ESMF;
ii
Executive Summary
(b) Risks associated with individual LH Strengthening activities, addressed by a LH

Strengthening ESMF;
(c) Broader Social risks not necessarily associated with a single PW site or an individual
LH Activity, addressed by a series of Social Risk Management instruments
These procedures build on similar procedures used, and lessons learned, during the previous
phases of the PSNP.
(a) Public Works (PW) ESMF Procedure
The community-based PW programme is aimed at integrated watershed and rangelands

development, following the Government’s recently updated National Community-Based
Participatory Watershed & Rangeland Guideline. The programme consists of discrete sub-
projects planned, selected and prioritized by the communities and implemented by the PSNP
PW beneficiaries. They are intended to make a major contribution towards environmental
transformation and social infrastructure development, and consequently improved
agricultural productivity and more sustainable livelihoods. Such changes, in conjunction with
other interventions, are expected to support eventual graduation from poverty of the
beneficiary households.
PSNP PW are generally intended to enhance the environment and increase the productive
capacity of the natural resource base. However, some past mass-mobilisation efforts towards
environmental rehabilitation in Ethiopia have failed or have been abandoned, largely due to
inappropriateness of the activity, a top-down approach, a lack of integration between the
activity and the surrounding environment and land use pattern, and a sole focus on the
provision of employment. As a result, the environment returned to its degraded state.
Furthermore, some of the projects, although intended to protect or enhance the natural
resource base, were poorly designed, and ended up doing the opposite, thus having both
environmental and social impacts. The conclusion is that such activities have the potential
for failure and adverse environmental impacts on human populations or the biophysical
environment, if the location or design does not follow good practice.
The PW subprojects are planned, selected and implemented at community level. For
implementation of PW activities both labour and non-labour inputs are required. The non-
labour budget designed to cover the costs of tools, hiring skilled labour, etc.
Where there are subprojects that are numerous, community-based and not identified
beforehand, it is not possible to apply ESIA to each subproject in advance. Instead, the
ESIA requirements of both the Government of Ethiopia and the PSNP donors are addressed
through an ESMF procedure.4
PW subprojects, which are community-based and micro-or small-scale, normally follow

published designs into which good environmental practice has been incorporated, as set out
in the Infotechs of The Ethiopian Government, National Community-Based Participatory
Watershed & Rangeland Guideline, which constitute the technical design specifications for
each type of subproject. Thus, the majority are not expected to have negative impacts.
However, depending on the environmental and social setting, some sub-projects will need
site-specific mitigating measures to be incorporated into the design by the DA in
4
In Ethiopia’s Environmental Impact Assessment proclamation, the term ‘environment’ covers biophysical,
social and cultural heritage impacts.
iii
Executive Summary
consultation with woreda experts, and which are subsequently incorporated into the
construction and operation of the subproject.
Under the ESMF, subproject Screening is the responsibility of woreda-level staff. The actual
Screening is typically delegated to the Development Agent (DA), but supervision and
overall responsibility remains at woreda level.
Some sub-projects will require application of specialized procedures, notably those

involving the use of pesticides (Annex 1), medical waste (Annex 2), and small dam
construction (Annex 3). These are known as ‘Subprojects requiring special attention’.
In exceptional cases it may be necessary for a subproject design to be reviewed at a higher

level. The Screening procedure earmarks such subprojects as being of environmental and
social concern and requiring special attention, and draws them to the attention of the
Regional Bureau of Environment, Forests and Climate Change (RBEFCC) or its equivalent
(originally the Regional Office of the Environmental Protection Authority, the responsible
authority under Ethiopia’s Proclamation on the Establishment of Environmental Protection
Organs (No. 295/2002).The RBEFCC decides if an ESIA is necessary, and if so, the
regional Public Works Focal Unit (PWFU) arranges with the concerned woreda office for
the ESIA to be conducted. Woreda staffs are trained for this eventuality. In such cases, the
RBEFCC is responsible for reviewing the ESIA and making the final decision as to whether
the subproject can proceed.
(b) Livelihoods (LH) ESMF Procedure
The aim of the LH Strengthening sub-component is to foster improved livelihoods through

household-level micro-scale activities, each of which, when examined individually, is
expected to have no significant environmental or social impacts. However, the intention of
this sub-component is to offer services and facilities to large numbers of households over
several years. Thus, there is potential for large numbers of households in a given area to
choose to embark on identical or similar activities.
It is then clear that LH Strengthening could lead to significant cumulative negative

environmental or social impacts. Therefore, the LH Strengthening ESMF procedure
incorporates a cumulative impact approach, which identifies cumulative impacts that might
reasonably be expected to occur. Because it is not possible to predict what activities will be
undertaken, and where, and because of the potentially large number of household-level
activities that might be undertaken, a framework approach is adopted. Thus, this ESMF sets
out procedures for (i) avoiding or mitigating such impacts before they occur, and (ii)
monitoring the implementation of the ESMF procedure and any negative cumulative
impacts.
It occasionally happens that a number of households decide to form a LH Group linked to

one or more PW subprojects. Such a LH Group, which may be formed at the watershed-
level or at the PW subproject-level, may also benefit from the Livelihoods Strengthening
sub-component (Members of such a LH Group Activity may be either PSNP or non-PSNP
clients). In such cases it will be necessary for the LH Group Activity to be Screened for
potential environmental and social impacts using the same approach as the Screening of a
PW subproject. The Environmental and Social Screening of the LH Group Activity will be
conducted by the NRM DA with the support of the woreda PW Focal Unit.
iv
Executive Summary
Implementation of the LH ESMFis conducted at the woreda level, and is the responsibility
of the Extension Unit, with the support of the Livelihoods/NR Expert. Oversight of the
process at regional level is the responsibility of the Extension Case Team with the support
of regional LHCU.
(c) Procedures for Addressing Broader Social Risks
The PW, LH Strengthening, and Transfers sub-components of the project may give rise to
social risks not necessarily associated with a single PW site or an individual LH Activity. The
potential impacts could be related to social exclusion, GBV/SEA, child labor and social
dissatisfaction and conflict. Such risks may include, for example,
• Social conflict arising from inequity due to poor performance, or state capture, of the
PSNP5 beneficiary targeting procedure, social dissatisfaction due to minimal loss of
asset and loss of access to resources
• Unrest or hardship caused by delayed transfers,
• Adverse impacts on historically underserved traditional communities caused by the
delivery of inappropriate transfers or related services,
• Gender-based violence arising from transfers-management issues and capacity gaps,
• Negative social impacts arising from grievances not being heard or settled,
• Gender inequality issues such as Excessive PW workload for women in the
community.
Social risks such as these are addressed by implementation of the Stakeholders Engagement
Plan (SEP) prepared for the project and a number of Social Risk Management instruments,
namely:
• An Enhanced Social Assessment and Consultation Action Plan (ESAC), Social

Development Plan
• A Gender-Based Violence Assessment and Plan (GBV Action Plan),
• A Grievance Redress Mechanism (GRM),
• A Labour Management Plan (LMP),
• Gender Action Plan (GAP)
• Voluntary Land/Asset Donation Procedure
v
Part I: Introduction
PART I: INTRODUCTION
1. Environmental Context and Baseline Conditions
Ethiopia depends principally on agriculture both for its economic growth and food security.
More than 70% of the population live in rural areas with agriculture (crop production and
animal husbandry) as the main source of livelihood. The government has developed a
Climate Resilient Green Economy (CRGE) strategy in support of the Growth and
Transformation Plan (GTP). The vision of the CRGE is to achieve middle-income status by
2025 in a climate-resilient green economy.
The services provided by natural resources including agriculture and livestock play a critical
role for the livelihood of the majority of Ethiopia’s population. Agriculture is the key pillar of
the economy and the most important source of growth. Agricultural production is mostly
rain-fed and dominated by small-scale farmers and enterprises that contribute some 90% of
agricultural production. Although much of the agriculture remains at subsistence level,
smallholders provide a large part of traded commodities, including for exports and about 70%
of the raw material requirements of agro-based domestic industries.
Agriculture, which is the critical element of economic growth and food security of the
country, relies on sustainable management of land and water. The country, however, was
experiencing low and declining agricultural productivity, persistent food insecurity, and rural
poverty largely attributed to land degradation. It was estimated that by the mid-1980s some
27 million ha or almost 50 percent of the Ethiopian highlands, which makes up about 45
percent of the total land area, was significantly eroded. Of this, 14 million ha was seriously
eroded and over 2 million ha were beyond reclamation. It was estimated that some 30,000 ha
were being lost annually as a result of soil erosion, representing over 1.5 billion tons of soil
removed annually by a variety of land degradation processes.
Since 2005 crop yields have been rising steadily, as various government watershed
rehabilitation programs–including the PSNP Public Works program-have been implemented,
and fertilizer and improved seeds have been made available to farmers. The incidence of food
shortages decreased from 31% in 2005 to 10% in 2016. Nonetheless crop yields are still low
by continental standards, millions of Ethiopians still face land degradation, and due to the
pressure on land many farms are now below the size considered sufficient for sustainable
smallholder farming. Thus, there is still much to be done to improve the productivity of the
natural resource base; many smallholder farmers still need income support.
The PSNP5 woredas are located in Tigray, Amhara, Afar, SNNP, Oromia, Somali regions,
and in the rural parts of Dire Dawa and Harari Administrations. The environmental
characteristics of these areas in which PSNP5 will be implemented are most usefully
demarcated by altitude, rather than administrative boundaries. The rural population of the
highlands are for the most part smallholder farmers engaged in mixed settled farming; in the
lowlands (principally Afar and Somali regions, and parts of SNNPR and Oromia), they are
principally pastoralists or semi-pastoralists.
In 2016 the drought-prone lowlands, which include the eastern and southern parts of Oromia
and the southern parts of SNNPR (but do not include pastoral areas of Afar and Somali), had
the highest poverty rate, at 32%. The drought-prone highlands, which include the eastern
parts of Tigray and Amhara, had the lowest poverty rates at 21%. The moisture-reliable
highlands (principally weynadega) accounted for the bulk of the poor (close to 60%), not
1
because they are particularly poor but because the population is concentrated in these
highlands. 58% of the ultrapoor were living in the moisture-reliable highlands; 39% were
living in Oromia. 24% of the ultra-poor were in SNNPR. The project beneficiaries and
activities will be located in eco-climatic zones ranging from very high elevation areas
(>3,200 m) principally in Wello, Gonder and Gojjam dominated by grassland lands.
2. Environmental and Social Framework (ESF)
New projects commencing after 1 October 2018 trigger the World Bank Environmental &
Social Framework (ESF). This section reviews the implications of the ESF for the PSNP5
ESMF.
2.1 ESS1: Assessment and Management of Environmental and Social Risks and
Impacts
2.1.1 Public Works Sub-Component
Although the subprojects (which include, for example, soil & water conservation, area
closure, small-scale irrigation (SSI) and social infrastructure) are aimed at enhancing the
environment and increasing the productive capacity of the natural resource base, they also
have the potential for adverse environmental impacts on human populations or the
biophysical environment if their location, design or construction do not follow good
environmental and social practices. Based on the experience of the PW component in the
previous phases of the PSNP, these environmental risks could arise principally from site-
specific impacts such as (i) disturbance of downstream ecosystems by soil-and-water
conservation (SWC) subprojects, including flood control, which, despite being intended to
improve the environment, might be badly designed or sited; (ii) vegetation removal, erosion
or pollution caused by poorly designed or located social infrastructure such as community
roads or health posts; (iii) salinization, water logging or pollution resulting from small-scale
irrigation sub-projects including the use of agrochemicals; (iv) disruption of water flows by
water subprojects such as small dams or community ponds; (v) occupational health and safety
risks to community workers.
The social risks of individual PW sub-projects are related principally to direct impacts of the
subprojects such as (i) social unrest arising from loss of access to resources under Area
Closure arising from soil-and-water conservation (SWC) subprojects; (ii)loss of assets related
to social infrastructure such as community roads or health posts; (iii) social conflict or impact
on health or safety arising from disruption of downstream water use or inequitable benefits
from small-scale irrigation subprojects including the use of agro-chemicals; (iv) social
conflict over water allocation, or risk to health and safety arising from subprojects such as
small dams and community ponds.
There are also wider-ranging potential indirect and community-level risks arising from the
PW sub-component, such as (i) children failing to attend school because they are required to
carry out tasks that their mothers no longer attend to due to working on PW; (ii) mothers no
longer breast-feeding children due to PW labour; (iii) the use of child labour on PW sites; (iv)
accidents and injuries arising from lack of operational health & safety procedures on site; (v)
gender-based violence arising from PW-related social disruption; (vi) children exposed to
harm on site due to lack of child-care centres; (vii) a reduction in farmers’ availability to
work on their own farms due to excessive or untimely PW workload ; (viii) injuries, ill-health
or social disruption due to excessive PW workload on women; (ix) exposure to harm,
2
unfairness, financial, or other distress arising from the absence of adequate grievance redress
mechanisms (GRM) related to PW; (x) discrimination or social conflict caused by a local-
level perception of the PW work force as a labour pool to be called upon for any labour-
intensive non-PW work required in the kebele; (xi) adverse impacts on historically
underserved traditional communities caused by the delivery of inappropriate services such as
transfers, PW or behavioral change programs; (xii) lack of proper planning of PWs timing in
consultation with the beneficiaries have potential risk of reducing the productivity of the
beneficiary households by reducing the time of main farming season and need to make public
work planning participatory and (xii) children safety and nutrition risks.
2.1.2 Livelihoods Sub-Component
Based on the experience of the Livelihoods component in the previous phases of the PSNP
and the ESAC findings, the environmental risks of the micro-activities of the household-level
Livelihoods sub-component arise principally from the potential cumulative effects of large
numbers of households in the same kebele or woreda all undertaking the same activities.
These environmental risks could be related to impacts such as (i) degradation caused by
overgrazing resulting from animal-fattening; (ii) loss of endemic tree species due to tree-
cutting for the manufacture of furniture or artefacts; (iii) pollution from poultry-keeping using
drugs or chemicals; (iv) deforestation and reduction in local energy sources due to trading in
fuelwood, poles or charcoal; (v) deforestation due to a reduction in energy resources resulting
from the processing of agricultural residues for animal feed production; (vi) soil erosion and
increased surface water impacts resulting from crop-irrigation activities.
Potential social risks of the micro-activities of the household-level Livelihoods sub-

component could include, for example, (i) social conflict arising from degradation caused by
livestock overgrazing resulting from animal-fattening; (ii) health issues arising from pollution
from poultry keeping using drugs or chemicals; (iii) social conflict arising from deforestation
and reduction in local energy sources due to trading in fuelwood, poles or charcoal. Based on
the ESAC phase II findings additional social issues include (iv) absence of livelihoods
support in Afar and Somali regions; (v) unfairness in the livelihood targeting for vulnerable
groups; and (vi) absence of culturally appropriate credit service.
2.1.3. Broader Social Issues
The PW, LH Strengthening, Transfers, program management sub-components of the project

may give rise to social risks not necessarily associated with a single PW site or an individual
LH Activity or shock-responsive or program management. Such risks might include, for
example,
• Unrest or hardship caused by delayed transfers;

• Adverse impacts on historically underserved traditional communities caused by the
delivery of inappropriate transfers or related services;
• Conflicts arising between LH beneficiary and non-beneficiary individuals;
• Social conflict arising from inequity due to poor performance, or state capture of the
PSNP5 beneficiary targeting procedure; minimal loss of asset and loss of access to
resources
• Gender-based violence arising from transfers-management issues and capacity gaps;
• Negative social impacts arising from grievances not being heard or settled;
3
• Children failing to attend school because they are required to carry out tasks that their
mothers no longer attend to due to working on PW;
• Mothers no longer breast-feeding children due to PW labour;
• The use of child labour on PW sites;
• Accidents arising from lack of operational health & safety procedures on PW sites;
• Children exposed to harm on PW sites due to lack of child-care centres;
• Reduced farmers’ availability to work on their own farms due to excessive or
untimely PW workload;
• Gender inequality issues such as Excessive PW workload for women in the
community
• Injuries, ill-health or social disruption due to excessive PW workload on women;
• Social conflict or unrest due to geographic reallocation of, rearrangement of, or
reductions in, the case-load.
• Exclusion and inclusion errors during targeting
• Limited functionality, effectiveness and gender sensitiveness of Kebele Appeals
Committees (KAC)
• Limited project beneficiaries and staffs’ understanding/capacity, implementation and
reporting on GBV
Social risks such as these are addressed during design and by a number of Social Risk
Management instruments and stakeholders engagement, namely:
• An Enhanced Social Assessment and Consultation Action Plan/Social Development

Plan (ESAC) (PART V below),
• A Labour Management Procedure (LMP) (Annex 12),
• A Gender-Based Violence Assessment and Plan (GBV) (Annex 14),
• A Grievance Redress Mechanism (GRM) (Annex 15),
• A Stakeholder Engagement Plan (SEP) (Annex 16)
• Voluntary Land/Asset Donation Procedure, and
• A Gender Analysis and Action Plan (Annex 13) has been produced, which can be
summarised as follows:
Gender Analysis and Action Plan
Advancing gender equality facilitates economic growth and the achievement of development
outcomes. Both food security and social protection programmes across the globe are
increasingly targeting women and girls to address their specific needs. The Gender and Social
Development (GSD) provisions of PSNP in Ethiopia have been evolved particularly since
2008, when the program conducted its gender contextual study. The provisions aimed at
addressing the gender specific vulnerabilities of women. It includes provisions aimed to
address labour and time constraints of women, women’s gendered roles and responsibility for
childcare, their specific vulnerabilities as well as opportunities, and their participation in
household (HH) and community decision making processes. Few examples of the provisions
are, preferential targeting of female headed households and system to ensure the benefit of
women in polygamous HHs, the exemption of pregnant and lactating women from public
work, linkage of pregnant and lactating women to health services, provision of childcare
facilities, and setting quota on women membership in the different community based program
governance structures.
4
The program commissioned a gender analysis to inform the design of PSNP5 and strengthen
the gender equality across the components. The assessment was intended to explore the
status/extent of the implementation progress of the GSD provision of the program as well as
to pin out the unintended outcomes of the program activities on the situation of women as
well as gender relations. It was also used to assess the opportunities for strengthening gender
equality and women empowerment elements across the different components of PSNP and
identified good performance of the program on different components. On targeting of
beneficiaries, there is good understanding of Female Headed Households (FHH) as
vulnerable group deserving priority. Despite the program’s non-specificity on who collects
cash and food transfer in Dual Headed Households (married couple), Harari region has taken
the initiative to make transfers to women and there is good acceptance of such initiative by
men and women believing that the resource is better used for household benefit. Joint client
card usage is appreciated by women and enhanced their sense of contribution to the
household’s wellbeing. Despite the persistent challenge to address women in dual headed
households, targeting of women heads of households for livelihood transfers has shown good
improvement over the years. The translation of the manual and job aide for the ground level
implementers is also an achievement noted in the ongoing PSNP 4.
The following key findings and improvement areas are also identified by the assessment.
i)Husbands often collect cash transfers while in some areas women felt that there is misuse of
the cash transfer collected by men; ii) Existing HH labour cap is disproportionately affecting
female-headed households (FHH) with no able-bodied member/s; iii) Women’s practical
needs are not adequately integrated in PW sub projects, iv)Weak implementation of the GSD
and Nutrition Sensitive PW provisions; and v) Women in general and pastoral women in
particular are taking up more work outside of their house, while the intra household gendered
work norm is unaddressed. The program has developed a Gender Action Plan (GAP) to
address the abovementioned and other gender and women equality issues identified through
the assessment.
The program design considered measures/strategies that aim to address the identified issues.
Such measures are included in the program Gender Action Plan (GAP) (Annex 13). Key
actions of the GAP are:
• Piloting paying HH transfer to women,

• Revising the HH labour cap for labour-scarce FHHs for her to work only her share,
• Expanding PW Subproject Type 9 (Nutrition-Sensitive PW) as Gender and Nutrition-
Sensitive subprojects,
• Amending the list of activities under it to include different care activities which could
be mainly implemented by women but also by men,
• Developing a menu of women-friendly livelihood packages along with clear business
plans that take into account women’s need, realities, and different agro-ecology and
availability of services;
• Exploring modalities that improve the role of Women Affairs Desk of MoA and
MoLSA and the coordination with community-based MoWCA structures,
• Allocating budget for annual regular stand-alone GE training of implementers, and
• Conducting annual Gender and Social Development implementation review.
The implementation progress of GAP will be monitored and reported bi-annually by a multi-
sectoral team to be established and led by FSCD.
5
2.2 ESS2: Labor and Working Conditions
ESS2 applies to PSNP5 principally in respect of able-bodied project beneficiaries who will
work on the Public Works program in return for transfers in the form of cash or food. This
falls within the ESS2 category of “community workers”. ESS2 also applies to:
Supervisors or skilled workers who are (temporarily) employed directly by the local
government office to support the site works. They are also “direct workers”; People
employed by primary suppliers such as those bringing cement and other materials on site.
They fall within the ESS2 category of “primary supply workers”. “Contract workers”
engaged on a site in which the labour-intensive work actually constitutes one component of
the subproject (rather than the entire subproject). Such a subproject might be a small masonry
dam in which the PW labour is employed in clearing the ground, and the government has
hired a contractor to provide the cement.
Where government civil servants, known as Development Agents (DAs) are working in
connection with the project, they will remain subject to the terms and conditions of their
existing public sector employment agreement or arrangement. ESS2 applies to DAs only in
respect of provisions for protecting the work force and occupational health and safety.
The principal potential risks are:
• Minor injuries to workers (community, contractors, etc.) that typically can be treated
on site or at the nearest health post;
• Children or other vulnerable community members either inadvertently on site or in the
vicinity, who are accidentally struck by falling objects such as boulders during hill-
side terracing;
• Community workers being treated incorrectly in terms of workload, work allocation,
or exclusion from their work entitlement.
• Incidents of child labor, GBV/SEA
Although relatively few subprojects involve civil works or anything other than community
labour, accidents could occur on sites involving earth-moving equipment carrying out civil
works, the carrying or use of heavy materials such as stone, cement and sand, and the
carrying of soil during construction of an earth-dam.
The PSNP targeting procedure will ensure that all community workers are engaging in PW
voluntarily. This ESMF includes Occupational Health & Safety (OHS) procedures (Annex
11), and subsequently each subproject ESMP will include OHS measures.
A Labour Management Procedures (LMP) has been prepared (see Annex 12) proportional to
the activities, risks and impacts, setting out detailed procedures to ensure compliance with the
standards of ESS2 for all labour categories involved. It may be summarized as follows:
Labour Management Procedures (LMP)
Like the previous phases, labor-intensive public works (PW) is the major component of
PSNP5. The project is expected to engage about 1.3 million Community Workers every year
throughout the project period. The Project will also employ a total of 1,400 staff at woreda
level and 6,425 DAs based on National Labor Laws and PIM of PSNP5 (see Annex 20)
6
Community Workers (Participants): The Project will deploy community workers who are
able-bodied household members and includes both men and women between the age of 18
and 60. Pregnant women and lactating mothers will be waived from participating in public
works, starting from the date the pregnancy is known and for 24 months post-delivery. The
labor-intensive PW community workers are not covered by the National Labor Laws.
Nonetheless, some of the national terms and conditions like prohibition of child labor,
prohibition of forced labor, prohibition of discriminations and maximum hours of work apply
to community workers.
Direct Project Workers: The Project will employ contract and regular civil servants who
work based on terms and conditions stipulated in the civil service regulations at federal,
regional and local government (Woreda and Kebele) levels.
Short Term Consultants: The Short-Term consultants are engaged by the Project to undertake
short period assignments such as assessment and evaluation for a not more than six months.
These are consultants guided by specific contractual agreements between them and PSNP
Implementing government body at federal or regional level.
Regarding Infrastructure related subprojects, contractors are engaged following the National
Bid standard Terms & Conditions applying construction contracts.
Key Labour Risks: A potential risk that may arise from the nature of activities to be
undertaken includes incidents of child labor, accident and injuries, GBV, and safety and
health hazards. The project will address these risks by certification of laborers’ age by legally
recognized documents, providing safety gears and provision of sanitary and waste disposal
facilities at each subproject site. To avoid the risk of accidents at workplaces, the site will be
planned to have description of all-important area including Emergency Assembly Point. To
prevent and respond to GBV/SEA risk at work place, the beneficiaries will be sensitized on
the risks and prevention of GBV/SEA; furthermore, provision of equal employment
opportunities, promotion of non-discrimination and inclusion of specific and binding clauses
in the codes of conduct and contracts will be applied. PSNP has also provisions aimed at
addressing gender specific vulnerabilities of women, which includes limits for the distance of
public work sites from the village as maximum of 2 hours walking distance as well as
reducing workload of women to 50% that allows them to arrive late and leave early .
Regarding labor legislation: As per Proclamation No.1156/2019, No 89, Article 55, part 1
and 2 of Ethiopia labour law, Part seven, 2019 Occupational Safety and Health have relevant
clauses that support ESS2. Civil Servants from the government at PSNP Woreda level,
Regional PW Focal Unit (RPWFU) and Short-Term Consultants are governed by the
National Civil Service Legislations. Community Workers will be guided by PSNP5 PIM and
CBPWG.
The legislation requirements conform to guidance provided in WB Environmental and Social

Framework (ESF) and Environmental and Social Standard 2 (ESS 2).
Responsible Staff: The followings are Roles and Responsibilities of key players and
stakeholders at Federal, Regions, Woredas, Kebele, and Community levels:
• The Federal-level FSCD, and NRM PW Coordination Unit will prepare guidelines
and all forms needed, capacity building to regional and woreda-level staff and
monitoring; ensure provision of expert advice on labour management, ensure
7
enforcement and monitoring role as stipulated by law, ensure periodical labour and
working conditions environmental audits and facilitate in conducting training for staff
that will carry out LMP at all levels.
• Regional level - The PWFU Technical Team will support the Woreda PW staff and
the Woreda Food Security Task Force and Technical Committees on the
implementation of the LMP. They will also be responsible for training of Woreda
leadership on safety measures to avoid workplace accident.
• Woreda level –The woreda PW staff provide the necessary training to DAs and kebele
level government structures on the labor management procedures. They are
responsible to oversee that the necessary forms are completed at kebele level and then
communicate the same to the regional levels.
• Kebele level –DAs, Keble Administration and Community Watershed Team (CWT)
will be responsible to oversee the management of community workers at sites. This
includes undertaking both compliance monitoring and effects monitoring.
Grievance Redress Mechanism (GRM)
This ESMF contains a detailed PW Grievance Redress Mechanism (GRM) in Annex 15,
which may be summarized as follows:
The objective of the GRM is to ensure that work-place concerns can be voiced, complaints
made about problems arising, and that such issues be expeditiously addressed. A GRM is an
essential tool for improving the effectiveness of program implementation by managing
appeals and complaints that may arise by parties that are affected by the program.
The PSNP has established Kebele Appeals Committees (KAC) in every PSNP program
Kebeles to hear and address complaints on any aspect of the program delivery by project
beneficiaries and non-beneficiaries. As a local structure, KAC perform roles of logging,
investigating and resolving grievances in timely manner. Where needed, the committees refer
unresolved and escalated grievances to the next level of authority; the Kebele and Woreda
Council. The grievances may include appeals about the client selection processes (failure to
enter the program or exit), timeliness of payments and other issues related to public works.
The program uses every opportunity to inform PSNP clients and non-clients of the
availability of the appeals committee and how the GRM process functions. While the
availability of KACs in every PSNP kebele makes the PSNP GRM highly accessible for
stakeholders to raise concerns and grievances, irregular meetings of the committees, a failure
to use standard templates and limited practice of documentation that undermines the
effectiveness of the GRM system. Redesign recommendations of the system are proposed to
enhance the GRM for SEASN.
As a first phase, the rollout of the PSNP MIS will include and is limited to recording appeals
as reported from the KAC. This entails the improvement and standardization of resolution
mechanisms, templates and categorization of grievances. Registration of complaints,
investigation and follow-up and feedback to complainants will also be improved. An ongoing
redesign of the system will also include the development of a GRM module to be integrated
into the second phase of MIS.
8
Regarding labour grievances, community workers will use the community level appeal
system described above. For civil servants and Contract staff5 grievance mechanism for
public sector, handled by committee of the institution their contract is managed under,
described below, will apply.
The Federal Civil Servants Proclamation No. 1064/2017 Article 76 has laid down
mechanisms and procedure for grievance handling within the internal structure of
government institutions. It states that every government institution is expected to establish a
grievance handling committee that investigate complaints lodged by civil servants6 referring
to the relevant laws, regulations and practices and submit recommendations as to how to
resolve it to the Head of the government institution.
The committee is expected to have five members and a secretary comprised of two elected by
civil servants and three assigned by the head of the institution. The committee, however, is
only responsible to hear grievances related to working condition. Other grievances such as
GBV and corruption are to be lodged in or referred to each institution’s Women and Child
affair and anti-corruption directorates, respectively.
Process of Grievance Mechanism
• Civil servant with grievance/appeal submits a completed grievance form to an inquiry

officer that is assigned by the head of institution. The grievance form includes the
below information.
o the name and address of the grievant
o his job titles
o the name of immediate supervisor
o causes of his grievance
o supporting evidences (if any)
o the redress sought
o date and signature
• The inquiry officer will see whether the grievant/petition can be resolved with
discussion. Given that it cannot be resolved with discussion, the inquiry officer will
present the written grievance to the grievance review committee.
• The committee examine the grievance and any appropriate evidence and submit a
report containing its findings and recommendations to the head of the government
office within 15 working days from the date of receipt of the grievance.
• The head of the government office approve the recommendation of the committee,
give a decision different from the recommendation of the committee or instruct the
committee to further review the case within ten working days from the date of receipt
of the committee's report. The decision will be communicated to the petitioner in
writing.
• If a civil servant is not satisfied with the decision of the head of government or if
decision is not given within the time limit, he/she may appeal to the Civil Servants
Administrative Tribunal that has judicial power and is designated by the head of the
institution. Decision made by the Administrative tribunal is considered as orders and
decisions of any civil court.
5 Contract employee are generally employed for a short period, often in peak periods to complete transactional work in permanent positions
6 Civil Servant means a person employed permanently by federal government institution
9
2.3 ESS3: Resource Efficiency and Pollution Prevention and Management
This ESS applies to PSNP5 principally in respect of the potential use of agro-chemicals in
small-scale irrigation subprojects. It is also expected that each year several hundred health
posts will be constructed under the PW sub-component. Although health posts do not
normally generate medical waste, there is a possibility in some cases of improper disposal of
items such as sharps, or discharge of waste into water sources. Therefore, this ESMF contains
a Waste Management Guide for Rural Health Clinics (Annex 2) prepared by the GoE, and for
each health post there will be prepared a Medical Waste Management Plan, which the DA
will trigger during the ESMF Screening procedure.
The PSNP prohibits the use of project funds to purchase pesticides or fertilisers. Nonetheless,
some farmers may choose to purchase and use agro-chemicals, so the ESMF will require
woreda staff to provide information and training on acceptable and unacceptable pesticides
and will encourage farmers to comply with GoE policy and international standards of use and
storage. Thus, this ESMF includes the GoE’s Guide to Integrated Pest Management (Annex
1), which the ESMF Screening procedure will oblige the DA to invoke. This will ensure that
the correct guidance is utilized in all subprojects likely to involve the use of agrochemicals.
The PW ESMF also provides guidance and analysis of other potential impacts from small-
scale irrigation (SSI) subprojects, and if it is identified that these subprojects may have
significant impacts on water quality and quantity, the SSI subprojects will be designed so as
to avoid or minimize significant adverse impacts for communities and the environment,
including technically feasible water conservation measures, the use of alternative water
supplies, etc.
2.4 ESS4: Community Health and Safety
ESS4 applies to the project principally in respect of health and safety arising from the
construction and operation of the PW subprojects. The risks to community health and safety
arise principally from:
• Occupational hazards while working as a community worker on a subproject

construction site;
• Risks to community members inadvertently on, or in the vicinity of, a PW
construction site;
• Risks to all and any community members from accidents or failures of a
subproject during operations, including those caused by extreme weather events.
The risks to community workers and those in the vicinity will be covered by the Occupational
Health & Safety Plan and Community Health & Safety Plan (Annex 11) supplemented by the
provisions of the LMP under ESS2 Labour and Working Conditions. Risks to community
members from accidents or failures of subprojects during operation will arise principally
from:
• Humans and animals falling into community water-harvesting ponds;

• Humans health being impacted by exposure to polluted water from a PW water
project;
• Humans and animals being drowned or injured, and assets being lost, as a result of
failure of a small dam, for which the FAO Guidelines for Dam Construction are set
out in Annex 3.
10
The risks from poorly designed or poorly implemented water storage facilities such as water-
harvesting ponds, and subprojects supplying water for human consumption, will also be
addressed by:
• The incorporation of good safety practice features in the subproject design, as

contained in the National Community-Based Participatory Watershed & Rangeland
Guideline;
• Supervision of water subproject implementation by woreda technical staff;
• Awareness-creation and training by the DA of the community in the management and
use of the PW subprojects.
ESS4 is also addressed by provisions for gender-based violence (GBV), which are covered by
the Gender-Based Violence Assessment and Action Plan (Annex 14), and may be
summarized as follows:
GBV Risk Assessment and Action Plan
The Ministry of Agriculture (MoA) conducted a GBV risk assessment and action plan as part
of the PSNP5 design process mainly to identify opportunities to ensure that PSNP5 will have
the capacity to minimise any risks of GBV linked to these programs and enhance the
programs’ positive impacts on violence reduction.
At macro level, the GoE through its legal frameworks and institutional arrangement has
demonstrated relatively improved commitment to address GBV issue in the country. When it
comes to translation of the policy and legal frameworks into action weak coordination and
accountability system pose major challenge. GBV prevention and response system requires
strong multi-sectoral engagement. Among others, sector offices such as women and children
affairs, education, health, agriculture, labour and social affairs, and justice (attorney general,
court, and police) are mandated to ensure addressing gender inequality and GBV issues. In
addition to the government structure, all actors including international organizations, as
allowed in the recently revised CSO legislation, and local development stakeholders are
equally responsible to work on gender issues including GBV. Accordingly, despite it is
limited to a few types of GBV and in small parts of the country; Ethiopia in general has made
progress over the past decades in reducing some GBV cases. For instance, child marriage,
with prevalence rates dropping from 59 per cent of females (aged 20-24) married or in union
by age 18 in 2005 to 40 per cent in 20157. However, despite macro level commitment and
progress being achieved in some components of GBV, the general response towards GBV at
national level is still very weak and not to the level of its commitment. Reasons for such less
performance are related to implementation capacity especially at frontline implementers’
level, coordination among stakeholders, monitoring, evaluation and accountability issues.
PSNP implementation woredas are not different from the other part of the country in terms of
existing capacity of the system to prevent and specially to respond to GBV. There is gap in
the overall capacity of PSNP implementers in terms of understanding and integrating
GBV/SEA issues in the program implementation.
The program has incorporated various gender sensitive provisions aimed at addressing the
gender specific vulnerabilities of women. These provisions were based on the findings of a
contextualized Gender Assessment conducted in 2008 and include provisions that consider
7
UNICEF Ethiopia, March 2020 Child Marriage and Ethiopia’s Productive Safety Net Programme: Analysis of Protective
Pathways in Amhara Region
11
the varying labour capacities of men and women, labour shortage of female headed
households, greater time poverty of women, and women’s primary responsibility for child-
care.It also placed a provision that set the maximum walking distance of PW and payment
sites as one measure of reducing women’s vulnerability to potential GBV. Moreover, recent
evidence suggests that as the program continues to construct more Food Distribution Centers
(FDPs) along with the payment modality shift to cash and expansion of e-payment coverage
resulted in significant improvement in travel time and distance, and harassment or robbery on
women rarely reported8.
Apart from this however, there has been gap in PSNP on intentionally exploring whether it
has positive or negative results in relation to gender-based violence (GBV) broadly, and
particularly concerning the potential risk of Sexual Exploitation and Abuse (SEA) on
beneficiaries. According to the overall GBV assessment, the country context shows moderate
risk (below the regional average) for intimate partner violence. There is Lower risk on sexual
violence and High risk for early marriage and higher than the average for norms that justify
wife beating. Specific to the program, the rating is at the lower level of substantial, there is a
risk of GBV which is mainly aggravated by limited awareness of beneficiaries and staff.
Further to this, a lack of trustable reporting and complaints management system is also
identified as a key gap the PSNP5 design needs to fill proactively. There is currently no GBV
tracking in the program monitoring plan and there is no formal referral linkage to related
services providers and existing service providers have limited capacity. Project beneficiaries
‘awareness on available GBV response services and how to report cases is low.
In line with staffing capacity, In PSNP a Senior Gender Technical Assistant (TA) based in
Ministry of Agriculture FSCD, in collaboration with a senior gender expert of Public Work
Coordination Unit oversee the implementation of the program Gender and Social
Development (GSD) provisions in collaboration with its regional counterparts. Further to
this, Regional Food Security Offices in Oromia, SNNP, Tigray and Somali regions were able
to recruit woreda level gender experts. The MoLSA’s team responsible for the
implementation of PSNP 4 related activities has not included a gender expert. The
engagement of the federal and regional level Women and Children Affairs of the two
ministries is close to non-existent. It is recommended the coordination is strengthened, focal
persons reassigned at all level and capacitated to coordinate and oversee GBV related
activities.
For SEASN/PSNP5, a GBV mitigation and response action plan has been developed (see
Annex 14), based on the findings of the GBV assessment. The action plan, whose
implementation progress will be monitored regularly, includes actions such as:
• Organization of consultative meeting with stakeholders to define the scope of GBV

types the program engages on,
• The development of Sexual Exploitation Abuse and Harassment (SEAH) messaging,
• A code of conduct and training package for staff, including communications that
challenge social norms and attitudes that justify wife-beating in the program
behavioral-change communication package,
• Development and rolling out of a plan for woreda risk assessment, a mitigation plan,
referral service mapping, and a potential reporting and referral linkage process.
8
Ange Tingbo, Raya Abagodu and et’als (2019): Evaluation: USAID/Ethiopia Commodity Management Review
of the Food for Peace, Development Food Security Activity (DFSA)/Productive Safety net Program (PSNP). USAID
12
Moreover, GBV and SEAH training will be part of the PSNP capacity building core training.
The implementation of the action plan will be led by a multi-sectoral team which will be
established by PSNP5. The team will consist of experts from Ministry of Agriculture (MoA)
Food Security Coordination Directorate (FSCD), Natural Resource Management (NRM),
Women Affairs Directorate (WAD), Ministry of Women and Children Affairs (MoWCA).
Ministry of Labour and Social Affairs (MoLSA) will also work closely with MoA in the
implementation of the GBV action plan.
2.5 ESS5: Land Acquisition, Restrictions on Land Use and Involuntary Resettlement
ESS5 applies to PSNP5 in respect of minor land acquisition or loss of access to resources
arising from the construction of subprojects such as small dams, community roads, and social
infrastructure. Due to the limited management capacity at kebele level, and the large scale of
the PW program, subprojects involving involuntary loss of assets or access to resources in
any form, or any form of resettlement, will be prohibited under PSNP5, and will be
eliminated at PW ESMF Screening stage.
It is, however, possible that some of the micro- and small-scale subprojects could potentially
involve minor loss of land or other assets, in which case such loss will be permitted only on
the basis that the donation is voluntary, and limited to a maximum of 10% of a HH’s total
asset-holding will not reduce the donor’s remaining land area below that required to maintain
the donor’s livelihood at current levels. For this purpose, there is a Voluntary Land Donation
Procedure (VLD) in this ESMF (Annex 18), to ensure that:
• The donor or donors have been appropriately informed and consulted about the
subproject and the choices available to them;
• Potential donors are aware that refusal is an option, and have confirmed in writing
their willingness to proceed with the donation;
• The amount of land being donated is minor, does not exceed 10% of the donor’s
landholding, and will not reduce the donor’s remaining land area below that required
to maintain the donor’s livelihood at current levels;
• No household relocation is involved;
• The donor is expected to benefit directly from the project;
• For community or collective land, donation can occur only with the consent of
individual using or occupying the land.
It is emphasized that any PW subproject requiring land donation will follow the VLD
procedure; this may be accompanied by provisions of benefits, including compensation in
cash and kind, as agreed on with the donating asset owner/s. In accordance with the VLD, the
subproject implementer will document in writing the voluntary decision of donation, stating
explicitly that the land/asset donor is aware that he or she can refuse to donate the land and
that the land donation is minor so that it does not impact the households ability to continue
their livelihoods and does not lead to adverse impacts on their income situation. The Second
Phase ESAC finding showed that in the consulted woredas, informants unanimously revealed
that there were no involuntary land take, assets loss or loss of access due to PSNP sub-
projects related to PW and LH strengthening.
It is also stressed that considering that PSNP5 does not allow involuntary land or asset
acquisition in any form, any involuntary land or other asset as well as access loss is ruled out.
If this approach were to change in the future, clearance would be sought from the World
13
Bank, in which case the procedure would include the preparation of a Resettlement
Framework (RF) in line with requirements of ESS5.
2.6 ESS6: Biodiversity Conservation and Sustainable Management of Living

Natural Resources
The PW ESMF Eligibility Check is designed to eliminate all PW subprojects within, or that
could affect, sites where ESS6 would be relevant. In addition, the ESMF subproject-related
risk assessment and mitigating measures procedure that follows is designed to further ensure
that any biodiversity impacts are avoided or minimized and mitigating measures are
implemented as appropriate. Based on the experience of the Livelihoods component in the
previous phases of the PSNP, the environmental and social risks of the micro-activities of the
household-level Livelihoods sub-component arise principally from the potential cumulative
effects of large numbers of households in the same kebele or woreda all undertaking the same
activities. These environmental risks are related to impacts such as (i) degradation caused by
overgrazing resulting from animal-fattening; (ii) loss of endemic tree species due to tree-
cutting for the manufacture of furniture or artefacts; (iii) pollution from poultry keeping using
drugs or chemicals; (iv) deforestation and reduction in local energy sources due to trading in
fuelwood, poles or charcoal; (v) deforestation due to a reduction in energy resources resulting
from the processing of agricultural residues for animal feed production. Similarly, the LH
ESMF procedure is designed to eliminate at woreda level any LH activities which, if
conducted at scale, could otherwise have biodiversity impacts. In addition, the Environmental
and social monitoring includes both PW and LH 6-monthly reviews to further ensure that the
requirements of ESS6 are maintained.
2.7 ESS7: Indigenous Peoples/Sub-Saharan Africa Historically Underserved

Traditional Local Communities
It has been determined that some of the people resident in the Project areas meets the criteria
of ESS7. In mid-2018, based on the assumption that all PSNP 4 woredas in Afar and Somali
regions are regarded as meeting the Bank safeguards category ‘indigenous peoples’, it was
estimated that 2.5 million of PSNP beneficiaries, represented by an estimated 0.5 million
households, fell into that category.
The program conducted Enhanced Social Assessment and Consultation (ESAC) to address
well the issues of underserved and vulnerable communities. The PSNP5 ESAC has two
phases. The first phase presents the findings of the studies and consultations conducted before
and during PSNP4 and explain how they have been integrated in the design of PSNP5. The
second phase of the ESAC was conducted between October to November 2020 considering
the Covid-19 Pandemic into account. The community consultations and KII were undertaken
with specific vulnerable and underserved groups in the selected new and old woredas
particularly those new to the PSNP, in order to develop any community-specific or area-
specific adjustments in Project design or implementation and update of instruments that may
be required in order to ensure that the project fully responds to those community needs.
For Phase I assessment, findings of studies, which looked at the impact of interventions of
both PSNP IV and rural safety net projects on the most vulnerable and historically
underserved populations were reviewed and analyzed. Moreover, as part of the program’s and
GBV risk assessment exercises and ESAC second Phase, extensive community consultations
with vulnerable and underserved groups were conducted, and discussions were made with
14
woreda, regional and federal level stakeholders including development partners. As the result,
women in male headed and female-headed households, polygamous households, pastoralist
households, unemployed rural youth, labour-poor households, the elderly, pregnant and
lactating mothers and malnourished children, were identified as the most vulnerable and
historically underserved populations in relation to the project’s implementation.
The first and second phases of PSNP5 ESAC identified potential risks on historically
underserved communities (pastoral communities) and vulnerable people that include the
following prioritized as the key ones,
• Limited access to Muslim friendly financial services: Muslim clients are not accessing
loans due to the interest, which is considered as a breach of religious norms or
‘haram’, and given residents in pastoral regions are predominantly Muslim, the
challenge is more pronounced in pastoral areas;
• Exacerbated Workload of Women especially in pastoral areas: women in pastoral
areas are forced to cover for all PSNP PW requirements of the household particularly
during dry season. This further adds to an already heavy workload on women;
• Remote nature of pastoralist communities and limited access to social services: clients
in most of the pastoral woredas might not benefit out of the project’s effort to link
them with key social services given there are extreme supply side constraint in
availability of these services;
• Exclusion of newcomers in Afar and Somali who may not belong to the extended
family lineage or even the clan which controls the territory: residents or newcomers
who do not belong to the extended family, lineage or even the clan which controls the
territory are often not targeted for a project; and
• Increased unmet demand in pastoral areas for livelihoods support services:
communities and implementers in Somali and Afar regions considered the fact that
the project has not started the implementation of its LH output as unfair.
• The food transfer is not culturally appropriate for clients in pastoral areas of Afar and
Somali regions with preference to the payment in cash because the kinds of grain
provided are not appropriate to their food habits.
• Food and consumption gap is increased household negative coping strategies and
asset depletion
• Mismanagement or misuse of transfers may lead to disagreements and conflicts
between husband and wife
• Exclusion during targeting. The previous phases of the PSNP targeting criterion
exclude landless unemployed rural youths and new residents to woredas for the PSNP
services in general and livelihood support in particular. In polygamous households,
culturally, husband represents all wives with the risk of excluding wives.
• The distance of the payment or food distribution center is inaccessible for elderly-
headed households, people with disability, PLWHA, and labor-poor households
• Health and safety of pregnant woman. In some woredas, it is revealed that culturally
women don’t disclose their pregnancy for non-family members until they are sure of
it, i.e. when they are 4-5 months pregnant. Participation of these women in PWs could
have health and safety issues for them and the fetus.
• Elite captures that may be clan leaders, elders or loudspeaker/orator community
members, leaders of informal local institutions and people with relatively better
economic status might be sources of unfair targeting outcomes.
15
In order to address these and other social issues identified by the ESAC, the project
integrated measures such as a plan to work with financial service providers to develop
Muslim friendly financial services, align the PW implementation with non-migration
season, contribute to the improvement of social services in pastoral areas by
constructing/renovating structures which provides social services using PW labour,
improving accountability and capacity in pastoral areas for implementing the project’s
targeting criteria, and the project will roll out its livelihood strengthening output in the
pastoral regions by contextualizing it to the need and realities of the area. In polygamous
household, there is a need to consider the chance of targeting as per co-wives than a
husband. The mainstreaming of gender in all the components of the PSNP5 has potential
social benefit to scale-up women empowerment.
2.8 ESS8: Cultural Heritage
Since the PW sub-component of PSNP5 can involve excavations, movement of earth,

flooding or other changes in the physical environment, ESS8 applies to the project.
Having a very ancient civilization that has remained in more or less the same geographic area
throughout, Ethiopia is exceptionally rich in tangible cultural heritage, particularly in the
form of both natural and human-made religious sites (such as Christian holy waters and
Moslem tombs) and undocumented as well as documented sites of historical, architectural
and archeological importance. There is thus a risk of PW subprojects involving earth-moving
(such as dam construction, quarrying and small-scale irrigation subprojects) encountering,
disturbing and possibly destroying, cultural heritage.
These risks to cultural heritage will be addressed by the project as follows:
• Subprojects likely to be implemented within, or in the vicinity of, a known cultural

heritage site will be eliminated in the PW ESMF Screening process. The DA will
assess whether the subproject is sufficiently close to affect the cultural site, as part of
the ESMF Screening process.
• Unexpected encounters with cultural heritage during subproject implementation will
be addressed by a Cultural Heritage Chance-Finds Procedure requiring the DA to take
up the matter with the woreda Office of Tourism & Culture, the procedure depending
on the nature of the find. The Cultural Heritage Chance-Finds Procedure forms part of
this ESMF and is attached in Annex 4.
2.9 ESS9: Financial Intermediaries
No financial intermediaries will feature in PSNP5.
2.10 ESS10: Stakeholder Engagement and Information Disclosure
There are basically two types of stakeholders concerned with the project:
• Project-affected parties: principally the communities targeted as PSNP-beneficiary

communities that include vulnerable groups;
• Other interested parties: these include neighbouring communities (whether
beneficiaries or non-beneficiaries), concerned government staff (federal and local),
NGOs involved in PSNP implementation support, and Development Partners
supporting the project.
16
A Stakeholder Engagement Plan (SEP) has been developed (Annex 16), in accordance with
the provisions of ESS10. It may be summarized as follows:
The SEP of PSNP5 aims to establish a systematic approach to stakeholder engagement to

enable PSNP5 project implementers to identify stakeholders and build and maintain a
constructive relationship with them, in particular project-affected parties (that is, beneficiaries
and front-line implementers) and disadvantaged and vulnerable groups. PSNP is already a
highly interactive program, and beneficiaries have frequent opportunities to interact face to
face with program implementers (for example, during PWs, SBCC consultations, livelihood
consultations, and transfer pickups). However, taking into account the large-scale directly
affected population (approximately 8 million), and the fact that the project will extend
support to ‘new’, currently excluded, woredas as well as re-allocate the caseload
geographically, the SEP aims to capture the views of sample communities in: (i) Existing
PSNP-supported woredas where no significant caseload changes are planned; (ii) Existing
PSNP-supported woredas where caseload re-allocation is planned; (iii) ‘New’, currently
excluded woredas in PSNP regions where the PSNP will be introduced for the first time. The
SEP also:
• Identifies the necessary activities that must take place to ensure that appropriate
project information on environmental and social risks and impacts is disclosed to
stakeholders in a timely, understandable, accessible, and appropriate manner and
format.
• Defines the roles and responsibilities necessary for the implementation of the SEP, as
well as the monitoring and reporting measures to ensure its effectiveness.
• Outlines the structure of the project’s GRM, and proposes certain changes to better
ensure that project-affected parties have an accessible and inclusive means to raise
issues and grievances, and project implementers can respond to and manage such
grievances while availing information about the GRM to the full range of project
stakeholders.
3. Institutional Arrangements for Environmental and Social Risk Management
3.1 Institutional Arrangements and Coordination
The implementation of the PSNP5ESMF will be managed through the relevant institutional
arrangements and co-ordinations including various line ministries, bureaus, departments and
offices, taskforces and committees from federal to kebele levels. Implementation of the
ESMF, like any other Project task, will be performed by assigning specific tasks for specific
organizations, taskforces/committee or in coordination with others as indicated below.
Therefore, every organization, taskforce and/or committee at all levels will perform its tasks
according to the mandates given to ensure the effective implementation of ESMF,
maximizing transparency, legal conformity, efficiency and accountability and enhance
sustainability of PW subprojects, LH Activities and other tasks and activities implemented by
PSNP5.
The DA prepares the ESMF Screening Forms, which are reviewed and approved by the
woreda. Details are set out in Section 7.2, including Fig. 1 flowchart. The ESMP format is
part of the Screening Forms, as set out in 7.2.5 and Annex 20. The approval process is shown
in the flowchart EHS training is conducted by staff of the NRMD in collaboration with MoH
and MoLSA. Implemented PW subprojects are overseen as covered in PART IV, Monitoring
and Reporting; woreda staff will conduct on-site inspections. Health posts are operated by the
17
Ministry of Health, and schools by the Ministry of Education. The budgets for this are
covered by the sector ministry concerned.
The importance of implementing the PSNP5ESMF through institutions, taskforces, and/or

committees at all levels with their assigned tasks is to ensure the effective implementation of
the PSNP5ESMF, and enhances sustainability of projects implemented by the program. It
also helps to maximize, environmental and social compliance, efficiency, transparency and
accountability.
3.2 Federal Level
3.2.1 Ministry of Agriculture
The Ministry of Agriculture (MoA) as the principal implementing institution for PSNP5 plays
a critical role in implementation of this ESMF through direct oversight and coordination. It
provides the important technical backstopping to regions and monitors the actual
implementation of ESMF compliance, in coordination with regional, zone and woreda level
organs. The MoA also coordinates with other line ministries (MoLSA, MoH and others) on
implementation of Environmental and Social standards implemented by these ministries. The
MoA will implement ESMF compliance mainly through its directorates and coordination unit
as indicated below:
• FFSCD coordinates and facilitates the ESMF implementation of both PWs and LHs
ESMF.
• The FSCD social development unit will be responsible for coordinating and
overseeing the planning, implementation and monitoring of the social management
instruments (that include Gender Action Plan, ESAC Social Development Action
Plan, Grievance Redress Mechanisms (GRM), SEP) and works in close collaboration
with Women, Children and Youth Affairs Directorate of MoA, MoLSA, and Natural
Resources Management Directorate (NRMD) to address social issues. They will
monitor and ensure compliance with the ESF, the Financing Agreement, and the
ESCP.
• FNRMD-PWCU provides overall coordination with specific tasks including
dissemination of standards, capacity development, planning, monitoring and reporting
of the implementation of PW ESMF in the regions.
• FFSCD-LHCUU provides over all coordination with specific tasks including
dissemination of standards, capacity development, planning, monitoring and reporting
of the implementation of the LH ESMF in the regions.
3.2.2 Ministry of Labour and Social Affairs (MoLSA)
MOLSA has a mandate to support vulnerable members of society including Permanent

Direct Support (PDS) beneficiaries and will play an increasing role in ensuring that labor
and social standards for the project are adhered to. This will entail assessing and providing
technical support to address the social and occupational health and safety related risks of the
project, documenting due diligence during project implementation and taking appropriate
measures to mitigate these risks. Specifically, MoLSA will undertake labor inspections at
PW sites with a special focus on identifying and documenting any child labor cases, perform
case management of families with children at risk of child labor, encourage and assist these
children to enroll in school, support the monitoring and reporting of any incidents of GBV
in relation to the PSNP and implementation of light work and flexible work provisions for
18
women. MoLSA will also monitor and report on the implementation of occupational health
and safety standards. It will further support the strengthening of capacity in its lower level
organs (BoLSA and OLSA) to effectively implement the required ESMF compliance on the
ground. MoLSA will also coordinate with other ministries (MoA and MoH) for effective
and timely implementation of environment and social risk management. MoLSA will
increase its staff capacity at all levels as set out in Section 1.1 of the ESCP. As the
concerned staffs are civil servants, they will be paid by government. There is a
Memorandum of Understanding between the Ministry of Finance, MoA, and MoLSA
covering these arrangements. The Project provides the budget for all ESMF training.
3.2.3 Ministry of Health
This Ministry of Health is responsible for ensuring the effective implementation of health-
related safeguards such as the Medical Waste Management guideline and Community
Health and Safety (CHS). The ministry in consultation with MoA and MoLSA will also
provide the important technical and material supports to the lower level administration
bureaus and offices to ensure that health workers at grassroots level effectively implement
the health-related risk management procedures. This is facilitated by participation and
coordination in the inter-sectoral PSNP Technical Committees at federal, regional, zonal
and woreda levels. At kebele level there are Community Health Workers who work closely
with the DAs.
3.3 Regional Level
The Regional Bureau of Agriculture and Natural Resource Development (BoARD), Bureau
of Environment, Forest and Climate Change Commission (BEFCC) and Bureau of Labour
and Social Affairs (BoLSA), play critical roles in effective and timely implementation of
ESMF compliance. Among other things, regional bureaus are responsible for providing
technical supports and capacity building to zones and woreda level staffs. Regional bureaus
in coordination with the federal ministries are also responsible for channeling the important
material and financial resources needed for ESMF compliance. More specifically regional
level bureaus have the following roles in ESMF implementation:
• BoARD/RNRM involved through the regional PSNP-PW focal unit provides overall
coordination with specific tasks including:
o Dissemination of standards, capacity development, planning, monitoring and
reporting of the implementation of PWs-ESMF in the program woredas.
o RPSNP-PWFU consolidates plans and mobilizes TA from line offices, as
required, that oversee the ESIA process of woredas and notify those projects that
require special attention.
o Coordinate with other relevant regional bureaus (BEFCC, BoLSA, BoH, etc) for
effective and timely implementation of pertinent ES standards.
• BoARD/FSCD/extension directorate involved through the regional LHs focal unit in
the overall coordination of the LHs ESMF with specific tasks including:
19
o The regional Food security coordination bureaus/process/directorate will maintain

exiting eight Gender and social development specialist in eight (8) existing
regions and will assign one (1) in the new Sidama region who will be responsible
for regional level coordination and oversight of social risk related issues including
implementation of the Gender Action Plan, ESAC Social Development Action
Plan, Grievance Redress Mechanisms (GRM), SEP, and will collaborate with
WCYAD of MoA and provide technical support for the implementation of Gender
Based Violence (GBV) action plan.
o Dissemination of standards, capacity development, planning, monitoring and
reporting of the implementation of LHs-ESMF in the program woredas.
o RPSNP-LHFU consolidates plans and mobilizes TA from line offices, as required,
that oversee the LHs ESMF compliance.
• BoEPA/BEFCC/EFCCC or equivalent:
o Ensures the implementation of the ESMF following the ESMF guideline;
o Pass decisions to woredas as to whether PW subprojects notified as “Requiring
Special Attention” requires an ESIA,
o Provides guidance and reviews of woreda ESIA reports.
• The Regional Bureaus of Health (BoH): Provide the important technical and material
supports to PSNP woredas in which health related safeguards like Medical Waste
Management Guidelines and CHS are triggered. BoH works in co-ordination with
BoARD and BoLSA for effective and timely management of health-related risks.
3.4 Woreda Level
• The Woreda NRM directorate/WPSNP-PW Focal Unit is responsible for the

implementation of the PWESMF in program kebeles, in coordination with stakeholder
offices who are represented by the woreda PW Technical Committee (WPWTC).It
also coordinates with other relevant woreda offices (WoEPA, OLSA, health office,
etc.) for effective and timely implementation of pertinent Environmental & Social
standards.
• The WOA oversees implementation of PWs-ESMF including:

o Ensuring that all PW subprojects implemented comply with the ESMF standards.
o Reporting to the RBECC/EPA all planned PW subprojects earmarked “Requiring
Special Attention” by WPWTC.
• WoEPLAU follows up & ensures that the implementation of the PW subprojects

complies with the PW ESMF procedure.
• Similarly, the woreda extension directorate/ WPSNP LH focal unit in collaboration

with the woreda PWs focal unit is responsible for the implementation of the LH
ESMF in the PSNP kebeles.
20
• The Woreda Office of Agriculture will maintain existing 160 Gender and Social
Development specialist in existing woredas and will assign a specialist/focal person
for those new as well old woredas don’t have a focal person from Women Children
and Youth desk of the bureau with clear job description. Those existing GSD
specialists and assigned focal persons will be responsible for regional level
coordination and oversight of social risk related issues including implementation of
the Gender Action Plan, ESAC Social Development Action Plan, Grievance Redress
Mechanisms (GRM), SEP Action Plan, and will collaborate with WCYAD of MoA
and provide technical support for the implementation of Gender Based Violence
(GBV) action plan in their respective woredas
• The woreda OLSA will ensure compliance and monitoring of issues such as child
labour, GBV, OHS, impacts of PW on school attendance, excessive or untimely
workloads, and adequacy of the Grievance Redress Mechanism (GRM).
• Woreda Health Office: Will ensure that PSNP subprojects that involve health-related
risks will be implemented in accordance with the ESMF. In liaising with BoH, the
woreda health office will provide the important safety equipments and facilities to
health stations, health posts and Health Extension Workers (HEW).
3.5 Kebele Level
• The Community Watershed Team are engaged in checking, identification, design and
implementation of projects following ESMF procedures, with the support of the DA.
• KFTFC follow up and supervise implementation of the PW ESMF and LH ESMF
procedures.
• NRM DAs with support of the extension DAs are responsible to ensure the
implementation of the ESMF.
• DAs, in collaboration with Social Workers stationed at Woreda level, address social
issues such as child labour, GRM, excessive workloads issues of the program etc.
3.6 Staffing Plan
The Table below sets out the existing staff involved in implementation of Environmental and
Social safeguards under PSNP4, together with the requirements to implement the new ESF
under PSNP5.
Table 1. Staffing Plan for PSNP5, based on 8 regions, 55 zones, 380 woredas and 6,425 kebeles
Existing Additional Total Staff Staffing arrangement, contract
Staff No. of staff staff needs Required staff to be hired for the project or
in PSNP 4 for PSNP5 for PSNP5 government assigned
1.Federal level * There will be the Social
Development unit under FSCD to
coordinate all social Development
plan/ESAC, gender, GBV, GRM,
SEP related commitments
FSCD Senior Social 1 0 1 FSCD will maintain the existing

Development /risk and nutrition specialist/coordinator
coordinator
FSCD Social risk focal person 0 1 1 FSCD will assign the social risk
specialist /focal person
FSCD GBV specialist 0 1 1 FSCD will assign GBV focal
21

person
FSCD GRM specialist 1 0 1 FSCD will maintain the existing
one
NRMD/PWCU (environmental 3 0 3 NRMD will maintain existing 3
risk specialists) specialists
NRM Social risk specialists 1 0 1 NRM will maintain existing
specialist
Gender and GBV specialist 0 1 1 WCYAD will assign GBV
/focal person expert/focal person
LHs ESMF focal person 1 0 1 FSCD will maintain LH ESMF
focal person
MoLSA Social Affairs 2 0 2 MoLSA will maintain existing 2
Directorate- social specialists experts
MoLSA Harmonious Industrial 0 1 1 MoLSA will assign the Labour
relation directorate- labour specialist/ focal person
specialist focal person
2.Regional level
PWFU ESMF specialists 8 1 9 Will maintain existing specialist in
8 old regions and will assign one
(1) in the new Sidama region
FSO GSD specialists 8 1 9 FSCD will maintain existing
specialist in 8 old regions and will
assign one (1) in the new Sidama
region.
WCYA desk Gender specialist 0 9 9 BoA WCYA desk will assign
/focal person for GBV Gender specialist/focal person for
GBV
LUFU LHs ESMF specialist 8 1 9 RLICU will maintain existing focal
persons in 8 old regions and will
assign one (1) in the new Sidama
region.
BoLSA under Social Affairs 8 1 9 BoLSA Will maintain existing
desk: social workers/risk specialist in 8 old regions and will
specialists or focal persons assign one (1) in the new Sidama
region.
BoLSA under Harmonious 0 9 9 BoLSA will assign a labour
Industrial desk, labour specialist specialist/focal person for each
focal persons region
3. Zonal level
ESMF and social risk specialists 55 0 55 ZFSO will assign focal persons
(NRMD focal)
4.Woreda level
PWs focal persons ESMF 380 0 380 WoA will maintain existing focal
specialists persons
LHs ESMF focal persons 220 160 380 WoA will maintain existing focal
persons in LH implementing
woredas and will assign focal
persons in new woredas
Gender and Social Development 160 220 380 * one in each woreda
specialist/focal person WoA will maintain 160 specialists
in existing woredas and will assign
specialists/focal persons in new and
old woredas without GSD experts.
GBV specialist/focal person 0 380 380 * One in each woreda. They will
work closely with woreda WCYA
office, PSNP GSD expert and
22

MoLSA
WoA WCYA desk will assign

specialist/focal person
Social Affairs and Labour 380 0 380 WoLSA will maintain/assign a
specialist /focal person specialist/focal person. NRM will
maintain assigned focal person for
OHS.
NRM/Crop and Livestock DAs 6,425 0 6,425 Kebele Office of agriculture will
assign NRM, Crop and Livestock
Das for LH ESMF. They will also
manage the social risk component
as well.
Kebele Office of Agriculture will
assign NRM DA for PW ESMF.
They will also manage the social
risk component as well.
Total 7,652 782 8,434
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Part II: Public Works ESMF
PART II: PUBLIC WORKS ESMF

4. PW Background
The major causes of food insecurity in Ethiopia include land degradation, recurrent drought,
population pressure, and subsistence agricultural practices characterized by low input and low
output. The Government policy of community-based participatory watershed/rangeland
development is designed to address some of these issues, with a view to making the
watershed productive and able to sustain the livelihoods of households within the watershed.
The programme of community-based participatory watershed/rangeland development is
achieved by the implementation of an annual PW programme consisting of discrete PW
subprojects. Although the subprojects are aimed at enhancing the environment and social
conditions by increasing the productive capacity of the natural resource base, PW sometimes
also have the potential for adverse environmental impacts on human populations or the
biophysical environment, particularly if their location and design do not follow good
environmental practices.
The procedures set out in this section of the ESMF are designed to identify and mitigate such
potential impacts, and to build on the experience of the implementation of the PSNP4 ESMF.
5. PW Programme Description
5.1 Public Works Subprojects: Eligibility Criteria
PSNP5 PW subprojects are labour-intensive, community-based activities designed to

contribute to watershed and rangelands development, and to respond to the needs of
Ethiopia’s Climate Change, Disaster Risk Management and Nutrition policies. The number of
subprojects is typically 40,000 to 46,000 per year. The number is not fixed or planned in
advance. It depends on the community choices, and how much PW labour is available. A
community might choose for example, 4 very small projects, or 2 larger projects. Recent
years under PSNP4 indicate that a typical range of subprojects would be as shown in the
Table below.
Table 2.Approximate Pattern of PW Subprojects in a typical year of PSNP4

Average subproject
Total person- labour cost ($)
Approx. No of
Type of sub project days = Person-days per
subprojects
(Million) subproject x wage
rate/exchange rate
Biophysical soil and water
17,000 50.1 $ 3,500
conservation
Forestry and agro forestry 6,000 19.1 $ 3,820
Water subprojects 4,000 11.3 $ 3,390
Small scale irrigation new 4,000 4.8 $1,440
Small scale irrigation
2,500 1.5 $ 720
rehabilitation
Rural roads construction new 4,000 13.2 $ 3,960
Rural road rehabilitation 3,000 2.9 $ 1,160
Social infrastructure construction 2,000 2.2 $ 1,320
Total 42,500 105.1 $ 2,940
As can be seen, the subprojects typically average from $700 to more than $3,000, depending
on the size of the labour force. In addition, there is a non-labour component, typically
24
covering the cost of tools, but sometimes also paying for a foreman, or consumables such as
sand or cement. The non-labour and PW administration costs, is typically on average less
than 20% of the labour cost, but it can vary widely.
To be eligible for financing under the PSNP, the subprojects must be environmentally sound
and socially sustainable. They should be based on sound technical advice, and adequate
technical supervision should be available to ensure the quality of work.
Specifically, the PW subprojects are also required to meet the following criteria:
• Labour intensity: Subprojects activities must be labour-intensive and use simple tools
as much as possible.
• Community and household level benefits: The subprojects must benefit the community
as whole or groups of PSNP beneficiary households within a given area.
• Community and PSNP household acceptance: The subprojects must be accepted and
approved by the community and the targeted households. They should have active
community support and commitment.
• Feasibility and sustainability: The subprojects must be technically sound, socially
acceptable and economically feasible. They should be simple and manageable in
implementation and also in ongoing maintenance in order to be sustainable.
• Productive: The subprojects should create durable community assets which should
contribute to watershed development and to the reduction of poverty and food
insecurity.
• Gender sensitivity: Priority should be given to subprojects that are assigned to enable
women to participate and which contribute to reducing women’s regular work burden
and increase access to productive assets.
5.2 Planned Location of Subprojects
Subprojects will be implemented in rural areas, within the identified regions/woredas and
watersheds. In highland cropping areas they are expected to be within one hour from homes
of the intended beneficiaries, or less in areas of steep or difficult terrain. In pastoral areas,
subprojects will be organized at strategic locations such as nearby villages or range lands to
which families can move or send selected able-bodied members.
5.3 Climate-Smart Subprojects
Climate Smart Planning (CSP) is part and parcel of an integrated climate risk management
system that combines climate change, disaster risk reduction and ecosystem management and
restoration. It entails considering and addressing risks associated with disasters and climate
change in assessment, planning, implementation, monitoring and evaluation of watershed and
rangeland management actions to properly deal with people’s vulnerability to climate change
related shocks such as drought, floods, erratic rainfall, human and animal disease, etc.
In the context of PSNP, CSP involves the identification and prioritization of PW and
livelihoods activities that help clients at reducing the impact of weather-related hazards on
their high value resources and/or increasing the quality or availability of resources to render
25
them less sensitive to climate impacts. Thus, CSP emerged in PSNP to achieve three key
inter-related objectives in the face of climate change (CC). These are9:
• Maximizing the contribution of PSNP investments in terms of reducing people’s

vulnerability to climate change; reducing client’s exposure and sensitive to climate
change and focusing on activities that increase their adaptive capacity
• Increasing the resilience and sustainability of PSNP watershed development
investments in relation to climate change, and
• Wherever possible, contribute to climate change mitigation.
This approach entails prioritization and implementation of PW activities that reduce client’s
exposure and sensitivity, and at the same time increase their adaptive capacity to CC shocks.
It needs to be integrated with livelihoods interventions designed following analysis of CC
risk management to maximize outcome of investments to build resiliency of clients and their
environment.
CSP therefore requires the application of integrated approaches, bringing together watershed
management interventions with livelihoods options to maximize impacts of PWs &
Livelihoods investments. This principle is integrated into the National Community-Based
Participatory Watershed & Rangeland Guideline. This Guideline is mandatory for all
programmes and projects undertaking this kind of work, including non-PSNP programs.
5.4 Types of Subproject
The selection of activities to be undertaken under the PW component will be driven by the
local planning process, which will include inputs from both men and women as well as
representatives from vulnerable groups, in order to identify community and PSNP
households’ needs and prioritise activities based on those needs. This will allow a pipeline of
subprojects to be developed.
Priorities, desirable outcomes and connected activities will vary based on location. Table 1
below sets out examples of the types of subproject that may be implemented in settled mixed
farming areas, together with typical outputs and outcomes.
Table 3. Examples of PW Subprojects and Expected Outputs and Outcomes

Typical Subprojects Expected Outputs Expected Outcomes
(Examples) (Examples) (Examples)
Biophysical soil and water Improved land productivity Improved crop production, crop
conservation Increased land availability for yields and livelihoods
Forestry and agro forestry land-poor and landless
soil fertility restoration
Water, small scale irrigation sub Improved access to drinking and Improved crop production and
projects irrigation water livelihoods
Improved health, improved food
production and livelihoods
Vegetative fencing and fodderbelts Increased availability of fodder, Improved crop production,
Conservation measures livestock management and
Fodder seed collection livelihoods
9
These objectives are briefly discussed in the revised CBPW&RDG
26

(Examples) (Examples) (Examples)
Social infrastructure construction and Improved school and health Improved health and education
rehabilitation facilities
. Improved access to health, Improved health, education,
education and farmer training marketing of on-farm and off-farm
services and to markets products, and livelihoods
Rural roads construction and Improved access to roads Market stimulation

rehabilitation
Nutrition sensitive PWs Improved access to childcare Improved mother and childcare,
facilities health and safety
PW clients will be given an option to substitute participation in social service (‘soft

conditionality’) programmes as a substitute for part or all of their PW labour-days. These will
cover options such as the following:
Table 4. Examples of Soft Conditionalities that can be undertaken as an alternative to PW labour-days

Typical Services Expected Outputs (Examples) Expected Outcomes (Examples)
Nutrition classes Improved knowledge of nutrition Improved nutrition status of
community members
Ante-natal classes Improved knowledge of ante- Improved health status of mother
natal care and child
Behavioral Change Communication Improved knowledge of use and Improved community health and
classes benefits of latrines, and of the nutrition status
use of health facilities
Through the PW community-based planning procedure, the PW subprojects automatically

reflect local needs. Thus, the subprojects implemented will depend on the condition of the
natural resource base, local infrastructure, agro-climatic setting, livelihood types, etc.
5.5 Subprojects in Pastoralist Areas
In lowland pastoral and semi-pastoral areas, the PW community planning unit will be the
clan or sub-clan/community rangeland, rather than the community watershed or micro-
watershed. The emphasis will generally be on interventions that reduce risk and increase
the resilience of communities to shocks, such as:
• Development of water points for both human and/or livestock drinking and irrigation
purposes (using both traditional and innovative methods);
• Reclamation and rehabilitation of grazing areas and creation of grazing reserves
through improved water harvesting and conservation-based activities (rainfall
multiplier systems for improved pastures, agro-pastoralist systems, irrigation, etc.);
• Agro-forestry systems in grazing reserves to improve aerial pasture and multipurpose
species, and access to fruits, dyes and gums;
• Other initiatives related to livestock trade and livestock health;
• Development of sustained agro-pastoral systems through rehabilitation of crusted and
desertified areas (use of run-off/run-on systems integrated with dry-land conservation
measures);
• Windbreaks and fodder belts in protected areas; and
• Construction of social infrastructure
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5.6 PW Community Planning Process
Kebele and Community Development Plans will form the basis for all PSNP PW
interventions. PW plans will be developed by the communities following the participatory
planning procedures set out in the National Community-Based Participatory Watershed &
Rangeland Guideline.
This planning process ensures that the prior consultation with all subproject-affected
persons is followed as required by the World Bank’s Environment and Social Framework
(ESF) (ESS10) for all subprojects, as follows:
(a) The community endorses its Community Food Security Task Force Committee
(CFSTF). Each community reviews, and is invited to endorse in a general assembly,
the membership of the CFSTF, which is elected by the community in the first year of
programme operation. This committee is composed of a representative from the
Kebele Food Security Task Force (KFSTF); a DA (if available in the village); two or
three women’s representatives (elected); two or three men’s representatives (elected);
a youth representative (elected); and an elder’s representative (elected).
(b) The CFSTF prepares a list of community needs and priorities. The CFSTF benefits
from the technical support of DAs from different fields/specialization at the kebele
level, to identify and formulate the list of needs and priorities. Once this list is
prepared, it is transmitted to the KFSTF.
(c) The KFSTF prepares a kebele safety net/development plan. The KFSTF consolidates
all lists of needs and priorities prepared by the CFSTF which are part of the kebele,
and prepare a Kebele Safety Net Plan (KSNP). This plan will identify and specify
which activities within the development plan will be undertaken under the Safety Net
Programme. It should pay particular attention, where relevant, to incorporating
management and rehabilitation of the watershed as a key activity for promoting long-
term food security. This means that the plan should properly sequence activities in a
way that ensures that watershed management concerns are addressed as an integral
part of ensuring sustainability of the assets created.
(d) If a Kebele Development Plan has already been developed. A number of kebeles may
already have developed a development plan through the same process as described in
(a) to (c). In such cases, the Kebele Development Plan will be adapted to integrate
new needs and priorities identified by the CFSTF, taking into account the input of
men and women, youth and elderly and other vulnerable groups, and will specify
which activities within the development plan will be undertaken under the Safety Net
Programme.
(e) Presentation to the Communities. Once the Kebele Development Plan has been
established, it will be presented to a general meeting of all communities in the kebele
for review and endorsement by these communities.
The PW component of the kebele development plan will be dispatched to the kebele
Council/ Cabinet for approval, and on up to woreda level, where the plans from all the
kebeles will be consolidated and, after approval, sent to the Regional level.
After approval of the planned activities/subprojects for any one year, ESMF Screening of
the PW subprojects must be conducted by the DA with the support of woreda ESMF expert
and experts from relevant line offices of the woreda to identify possible impacts and to
prepare mitigation plans.
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The following subprojects are ineligible in PSNP5:
Table 5. Subprojects Ineligible as PSNP PW

Ineligible Features Yes No
Subproject is not labour-intensive
Subproject is in, or adjacent to, an internationally disputed area*
Subproject involving the physical relocation of individuals or households,
involuntary loss of land or any other asset or access to asset
Subproject is in, or in the vicinity of, a known cultural heritage site, including
World Heritage sites
Subproject incorporates construction of a Large Dam, i.e., with a height of 15
metres or greater from the lowest foundation to crest, or with a height between 5
and 10 metres impounding more than 3 million cubic metres (See Annex 3 for a
detailed definition of ‘height’).
Subproject incorporates construction of a Small Dam (i.e. not a Large dam, above)
that
(i) could cause safety risks, such as:
a. an unusually large flood-handling requirement
b. location in a zone of high seismicity,
c. foundations that are complex and difficult to prepare
d. retention of toxic materials
e. potential for significant downstream impacts
(ii) is expected to become a large dam during its operating life.
Subproject is located in, or could affect, a Priority Forest Area, or habitat of
significant biodiversity value, or natural habitat, or critical habitat, or legally
protected area of recognised biodiversity value
Subproject involves the procurement of pesticides by PSNP5, or by the local
government
5.7 Analysis of Alternatives
The ESMF is required to assess options for achieving the programme purpose. There are a
number of alternative strategies which the Government could adopt:
(a) No Safety Net Programme
Poverty has long been widespread in both rural and urban areas of Ethiopia, and is
particularly severe in drought-prone rural areas. Before the introduction of the PSNP
millions of Ethiopian required food aid. Given that the major causes of food insecurity
include land degradation, population pressure and subsistence agricultural practices, and
that a significant proportion of the vulnerable people are in a state of chronic food
insecurity, to opt for no Safety Net programme would mean reverting back to emergency
relief coordinated by the Early Warning and Response Directorate (EWRD), and
implemented on an ad hoc basis. While this strategy may enable the beneficiaries to
survive in the short-term, it would failto:
(a) address the cumulative impacts of these factors in drought-prone areas in a

systematic manner; or
(b) Execute PW in a comprehensive manner, incorporating capital and other non-

labour costs, which can be provided for only in a systematic, annual programme.
29
By allowing widespread chronic food insecurity to persist, the resultant downward spiral of
environmental degradation would continue, and by failing to institute satisfactory public
works, the opportunity to correct this vicious cycle would be lost. Thus, from an
environmental, as well as socio-economic and humanitarian viewpoint, the ‘no Safety Net’
alternative would not be preferable.
(b) Safety Net Provision with Centrally-Planned Public Works
Previous Ethiopian governments have experimented with programmes involving food

payments to beneficiaries for providing labour to centrally-planned public works. However,
this approach was generally not effective, equitable or sustainable, as the lack of
meaningful local inputs to the planning process, and lack of ownership by the communities,
meant that in many cases the projects were inappropriately designed and located. The
results were lost opportunities to carry out serious enhancement of the natural resource
base, at considerable human cost. Thus from an environmental viewpoint, this option
would not be a preferred alternative.
(c) Safety Net Provision with No Public Works
If the beneficiaries were to receive their transfers without carrying out a PW programme of
watershed development, there would be few or no prospects for livelihoods improvement.
Since many of the watersheds concerned are still degraded and relatively unproductive, the
basic inputs – water, productive land and energy – would be insufficient to support
improved livelihoods of the resident community.
Experience shows that once a watershed is productive, in the PSNP PW programme the
focus typically moves away from soil & water conservation activities, to more livelihoods-
based PW, often providing livelihoods opportunities for vulnerable groups such as the
landless. However, at present the overwhelming majority of PSNP watersheds still require
PW programmes for watershed development purposes, including infrastructure. In
addition, all watersheds will require additional work to implement sub-projects for
mitigation and adaptation to Climate Change and for Disaster Risk Management purposes.
Thus termination of the PW programme would be premature, and would run the risk of the
watershed sliding back into a degraded state. Thus, at the present time, from an
environmental perspective ‘Safety Net provision with no Public Works’ is not a preferred
option.
5.8 Implementation Challenges
PW are implemented in geographically and agro-climatically diverse regions of the country.

The implementation challenges will therefore vary considerably from location to location.
Challenges which could affect the quality and effectiveness of the environmental standards of
the public works projects could include:
• The federal and regional PWFUs may lack the necessary capacity to ensure
implementation of the ESMF, particularly given the large number of subprojects
(estimated in 2019 to be in excess of 46,000/annum). However, in recent years this
has not been a significant problem, and specific commitments to ensure adequate staff
at these levels have been made and are set out in the Staffing Plan and ESCP.
• There may be challenges/limitations in coordination among the sector offices in
implementation of ESMF at lower levels. Such challenges are typically resolved by
30
the Regional PW Offices ensuring effectiveness of the woreda Technical Committees’

functionality.
• Woreda capacities vary; some may be less able to provide technical assistance for
project design and implementation than others. Moreover, woredas may not have the
required ESMF Expert/focal person for PSNP5 ESMF implementation. This has
occurred in a few woredas in the past, but this can be addressed by making sure that
those woredas without experts will recruit and put in place the relevant staff as shown
in the new staffing plan to which the government is committed.
• Although in most highland areas the participatory planning process is satisfactory,
there is still a need for more awareness-creation and training for some woreda and
kebele officials and communities in the pastoral areas. During 2019 the federal
PWCU has made a particular point of improving the awareness and training of the
concerned staff in pastoral areas, and this process will continue through PSNP5.
• The ESMF screening formats have not always been translated into local languages.
The PWCU will ensure that relevant formats are translated into local languages as has
been done by Somali Region in 2019/20.
• In some communities the capacity for satisfactory operations and maintenance of
assets of PW subprojects constructed is not yet fully developed; The federal PWCU
has launched a programme focused on strengthening the operations and maintenance
of PW subprojects, including revising the existing PW Operation and Maintenance
Guideline. In some regions the RBEFCC, or its equivalent, does not yet have
sufficient capacity, and may not yet be in a position to provide all the services which
may be required of it to ensure that good environmental practices are adopted in the
PW. Such challenges are typically resolved by the regional PWCU office by ensuring
the effectiveness of the Regional PW Technical Committee.
• While woreda development officers and DAs are actively involved with communities
in helping to identify local priorities for investment, in some cases they are over-
stretched and may be at the limit of their capacity to suggest and guide the potential
range of available and suitable subproject options. It is noted that in some woredas the
number of DAs is below the standard level. In addition to entering into the
commitments for provision of DAs as set out in the Staffing Plan and ESCP, a new
scheme is being launched in PSNP5 for unemployed youth in the community to assist
the DAs in the execution of their work in the PW sub-component, thus allowing the
DAs more time to focus on aspects of the work requiring skills such as advising the
communities on potential subproject choices and related Environmental and Social
issues.
• In some pastoral areas there have occurred capacity gaps. In order to address this,
training will be given on the cluster-based approach to PW in pastoral areas, whereby
each woreda will be categorized as to its suitability for a certain level and type of PW,
and clustered accordingly. Secondly, specialized technical support will be provided by
mobile teams.
The resolution of these challenges will be overseen by the FSCD, NRMD and MoLSA.
The requirements for these improvements have been included in the Environmental and
Social Commitment Plan (ESCP) as appropriate, and they will be implemented through the
PSNP capacity-building programmes, including annual cascade training.
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6. Capacity-Building for PW
The institutional structure and staffing plan for managing the environmental and social
aspects of PSNP5 is set out in full in Section 3 above. The DA prepares the ESMF Screening
Forms and ESMP, which are reviewed and approved by the woreda, including subprojects
requiring a special procedure. Details are set out in Section 7.2, including Fig. 1 flowchart.
The ESMP format is part of the Screening Forms, as set out in 7.2.5 and Annex 20. The
approval process is shown in the flowchart. EHS training is conducted by the NRMD in
collaboration with MoH and MoLSA. Implemented PW subprojects are overseen as covered
in PART IV, Monitoring and Reporting; woreda staff conduct the on-site inspections,
supplemented by annual independent PW Reviews on a sampling basis. The woreda PW
Focal Person is responsible for ensuring that community workers on construction sites have
the proper PPE. Health posts are operated by the Ministry of Health, and schools by the
Ministry of Education. The budgets for this are covered by the sector ministry concerned.
Drinking water and SSI subprojects are operated by community committees with the support
of the DA, including the possible use by individual farmers of pesticides, if any, under the
IPM Guideline. However, the Project does not finance the purchase of any pesticides.
Responsibility for the operations phase of PW subprojects, and the budget required, vary. In
the case of primary schools, health posts and community roads, responsibility lies with the
local government, whose budget is allocated by the woreda on an annual basis. In the case of
community water-projects, including SSI, responsibility is with the community water-user
committees under the supervision of the DA (who generate their own funds from the
members), with support from the local government. Responsibility for biophysical, SWC and
area closure subprojects is with the community. The Project does not cover the operations
phase of any of the subprojects.
The principal responsibilities by level are as follows:
6.1 Federal Level
The PWCU will ensure that the guidelines, technical specifications, work norms and
information kits related to implementation of the PW cover the range of potential activities,
summarise the latest knowledge on the various types of interventions, and present this
information in a user-friendly manner that is understandable by zone and woreda staff and
DAs. PW guidelines, technical specifications and work norms are in the Watershed
Development Guideline. Information kits are produced for training as required, coordinated
by the PWCU, produced by the concerned ministry. The mandate of the PWCU 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 PWCU will also organise the delivery of training and/or refresher course for regional
Training of Trainers (ToT), on an annual basis.
The community-based focus of the PW, which has been utilised during the previous phases of
the PSNP will continue drawing on lessons from the National Community-Based
Participatory Watershed & Rangeland Guideline, and will harmonise with similar
programmes such as SLMP, PCDP and AGP. Linkages with these programmes, and the inter-
agency forum that has been established to facilitate collaboration between them, will assist in
strengthening this role. The PWCU also provides support to ensure that the capacities of the
RPWCUs are up to the required level.
32
The PWCU will also ensure that the PW M&E system and PW Mapped Database System,
incorporating the ESMF monitoring and evaluation requirements are fully established, in
consultation with regional, zonal, woreda and kebele staff and at the community level.
For this purpose, The NRMD will increase the number of Environmental Risk specialists in
the PWCU from the present level of two to three. The NRMD will maintain the one Social
Risk specialist in the PWCU who will ensure compliance and monitoring of issues such as
child labour, and untimely workloads, and adequacy.
The FSCD will have the social development unit and it will increase the number of Social
Development/Social Risk and GBV specialist from two (2) to four (4). That is one (1) Gender
and Social Development specialist as coordinator, one (1) GBV specialist/focal person, one
(1) social risk specialist/focal person and one (1) GRM specialist/SEP focal person. The
above mentioned specialists/focal persons will be responsible for their respective thematic
areas and action plans including the Gender Action Plan, ESAC Social Development Action
Plan, Grievance Redress Mechanisms (GRM), SEP Action Plan, and will collaborate with
WCYAD of MoA and provide technical support for the implementation of Gender Based
Violence (GBV) action plan. They will monitor and ensure compliance with the ESF, the
Financing Agreement, and the ESCP.
The Social Affairs directorate of MoLSA will maintain existing two social affair specialists
to implement and oversee PDS management and linkages to social services related issues;
while the Harmonious Industrial relation (Labour) directorate of MoLSA will assign one (1)
Labour specialist/focal person who will jointly be responsible to ensure compliance and
monitoring of issues such as child labour, occupational safety, and impacts of PW on school
attendance. Women, Children and Youth Affairs Directorate of MoA will assign one (1)
GBV expert/focal person who will be responsible to ensure compliance of the Gender Based
Violence (GBV) action issues. It will also collaborate with MoLSA on child labor related
issues.
6.2 Regional Level
The Regional PWFUs are responsible for ensuring PW ESMF implementation. Staff of
these Units receive orientation and training in the PW ESMF process, and the use of the
technical specifications, works norms and information kits. The PWFUs deliver PW ESMF
training to the concerned woreda staff as part of the overall annual PW training programme.
This includes TOT for woreda staff who will in turn train DAs and kebele staff.
The PWFUs also conduct capacity needs assessments and provide support at woreda level to
ensure that all functions relating to PW, including PW ESMF implementation, are carried out
to the required standard. For this purpose, the regional PW Focal Unit (PWFU) will maintain
existing 8 ESMF specialist in 8 existing regions and will assign one (1) specialist/focal
person in the new Sidama region.
The regional Food security coordination bureaus/process/directorate will maintain existing

eight Gender and social development specialist in eight (8) existing regions and will assign
one (1) in the new Sidama region who will be responsible for regional level coordination and
oversight of social risk related issues including implementation of the Gender Action Plan,
ESAC Social Development Action Plan, Grievance Redress Mechanisms (GRM), SEP, and
will collaborate with WCYAD of MoA and provide technical support for the implementation
of Gender Based Violence (GBV) action plan.
33
Regional Women, Children and Youth Affairs desk in BoA will assign one (1) per region
gender and GBV specialist/focal person who will be responsible to ensure compliance of the
Gender based violence (GBV) action issues. The desk will collaborate with the regional food
security directorate/desk, GSD specialist, BoLSA and regional bureau of WCYA to oversee
and monitor GBV action plan.
The regional BoLSA under the Social Affairs desk will maintain existing social affairs
specialist in 8 old regions and will assign one (1) social affairs/risk specialist/focal person in
the new Sidama region. BoLSA under the Labour desk will assign one (1) Labor
specialist/focal person in each region (total 9 specialists/focal persons) will be responsible to
oversee, provide technical support and monitor issues such as child labour, occupational
health and safety, impacts of PW on school attendance as well as PDS management,
respectively.
6.3 Zonal Level
There is a need to establish PWFUs who are responsible for ensuring PW ESMF
implementation in zones that do not have the unit so far. Staff of these Units receives
orientation and training in the PW ESMF process, and the use of the technical specifications,
works norms and information kits. In collaboration with the regional PWFU, the zonal
PWFUs deliver PW ESMF training to the concerned woreda staff as part of the overall
annual PW training programme. This includes TOT for woreda staff who will in turn train
DAs and kebele staff. Zone PWFU should also closely work with woredas in providing
capacity building trainings and technical supports during the implementation of the
programme.
The Zone PWFUs, in collaboration with regional PWFU, also conduct capacity needs
assessments and provide support at woreda level to ensure that all functions relating to PW,
including ESMF implementation, are carried out to the required standard.
6.4 Woreda Level
The capacity of woreda staff to provide timely technical support and guidance to kebeles is
critical. Woreda capacity development supports the design, operation and environmental and
social management of proposed irrigation systems, water harvesting structures and irrigated
agriculture as well as soil and water conservation subprojects. Support for the educational,
roads and health infrastructure will be provided by the concerned woreda desk.
The woreda staff conducts training to DAs and kebele staff as required, ensuring that the
Natural Resources DA in each of the 6,425 PSNP kebeles is trained and able to conduct
subproject Screening and Livelihoods Strengthening support according to ESMF standards
and procedures. Each woreda will also employ a woreda ESMF expert/focal person who will
be responsible for identification, planning, implementation and M&E and reporting of ESMF.
For this purpose, the current PW Focal Persons at woreda level will be supplemented by 380
Woreda Office Labour and Social Affairs (WOLSA) Social Experts/workers, with a
particular focus on PW site emergency-response capability, and oversight of Environmental
and Social Standards compliance and monitoring. The Woreda Office of Agriculture will
maintain exiting 160 Gender and Social Development specialist in existing woredas and will
assign a specialist/focal person for those new as well as old woredas that don’t have a focal
person assign from Women, Children and Youth desk of the bureau with clear job
34
description. Those existing GSD specialists and assigned focal persons will be responsible for
regional level coordination and oversight of social risk related issues including
implementation of the Gender Action Plan, ESAC Social Development Action Plan,
Grievance Redress Mechanisms (GRM), SEP Action Plan, and will collaborate with
WCYAD of MoA and provide technical support for the implementation of Gender Based
Violence (GBV) action plan in their respective woredas. Woreda Office of Labour and Social
Affairs will maintain the existing one (1) Social Affairs specialist in each woreda who will be
responsible for child labor, OHS, and oversight of Environment and Social Standards
compliance and monitoring in PWs.
6.5 Kebele Level
Kebele staffs are involved in orientation and capacity-building in the communities, in

conjunction with the DAs. Areas in which the communities are trained include participatory
watershed planning procedures, and the organisational management of subprojects such as
drinking water systems, irrigation facilities, etc., through the establishment of water-user
committees and watershed committees. The federal PWCU operates cascade training via the
regions, zones and woreda offices for the DAs who do the subproject Screening. This training
is delivered annually. The DAs are trained in EHS by the woreda technical staff for each
specific subproject type, including mitigation measures. Overall, a total of 6,425 DAs will be
available to address Environmental and Social Risks of the PW sub-component.
6.6 Training and Technical Assistance
Capacity-building is needed for implementation of the PW ESMF at all levels. The PSNP
requires training materials, technical specifications, work norms, and information toolkits etc.
These have all been developed. These materials serve to guide the design of PW subprojects,
so they are important in managing potential environmental and social risks. The details of
these capacity building and training needs are set out in the Environmental and Social
Commitment Plan (ESCP), and the PW ESMF annual Training Plan and Budget is set out in
Annex 10.
The DAs, who are included in the Training budget, are the community workers for the PW &
LH programs. Community members who participate in PW planning and implementation,
etc. are trained by the DAs in the course of their work, on site.
Table 6. List of Training Materials for ESMF Implementation in PSNP5

Environmental & Social Training Materials for the following
Status of Training Materials
levels: Federal, Zonal, Regional, Woreda and Kebele
1. Public Works (PW) sub-component Environmental and Social Developed and in use; due to be
Management Framework (ESMF) training materials consisting of updated
17 modules, including Special Procedures (Integrated Pest
Management, Medical Waste, and Small Dam Safety)
2. Livelihoods sub-component ESMF training materials, covering Developed and in use; due to be
developing the Woreda Environmental & Social Profile, Impact updated
Assessment and Mitigating Measures, Developing the Business
Guidance (exclusion list), and Monitoring plan.
3. Grievance Redress Mechanism (GRM) Manual training Developed; due to be updated
4. Mainstreaming GSD mainstreaming Developed; due to be updated
5. Social and Behavioral Change Communication (SBCC) training Developed; due to be updated
course
6. Community Health and Safety (CHS) training Under preparation jointly by FSCD,
PWCU and TASC
35
Environmental & Social Training Materials for the following

Status of Training Materials
levels: Federal, Zonal, Regional, Woreda and Kebele
7. Child Labour and Labour Management Procedures (LMP) Under preparation jointly by MOLSA,
FSCD, PWCU and TASC
8. Occupational health and safety (OHS) and Gender-Based Under preparation jointly by MOLSA,
Violence (GBV) FSCD, PWCU and TASC
9. Incident Monitoring and Reporting (ESRIT) training Under preparation jointly by MOLSA,
FSCD, PWCU and TASC
10. PSNP GBV Prevention Manual training Under preparation jointly by WCYAD,
FSCD and MoLSA
Note: MOLSA: Ministry of Labour and Social Affairs; FSCD: Food Security Coordination Directorate, Ministry
of Agriculture; PWCU: Public Works Coordination Unit, Natural Resource Management Directorate, Ministry
of Agriculture; WCYAD: Women, Children and Youth Affairs Directorate, Ministry of Agriculture; TASC:
Specialist Training Consulting firm retained to support capacity-building in PSNP4 and PSNP5.
7. PW Environmental and Social Management Plan
7.1 Principles
The PSNP Environmental and Social Management Plan is based on the following principles:
• The PSNP PW sub-component will consist of micro- or small-scale subprojects

whose environmental and social impacts cannot be predicted at this time since the
subprojects have not yet been selected or designed. The potential impacts will be
assessed and managed by this PW ESMF procedure.
• The PW subprojects will be designed, implemented and managed at the kebele level
using standardised published guidance, and with the assistance of woreda and kebele
staffs as required. The National Community-Based Participatory Watershed and
Rangeland Guideline is basically for planning and design. Guidance on PW impact
mitigation is covered by the ESMF in terms of procedure, in further detail in the
training sessions. Guidance on monitoring is provided in woreda training sessions and
in the ToR for the 6-monthly PW & LH Reviews.
• Environmental and social management will be integrated into project planning, design
and implementation.
• Subprojects will be adopted in the kebele PSNP plan on the basis of selection criteria
and screening designed to eliminate projects with major or irreversible environmental
or social impacts. In particular, the following subprojects are not admissible as PSNP
PW:
o Subprojects that are not labour-intensive;
o Subprojects in, or adjoining, internationally disputed territories;
o Projects requiring the physical relocation of residents or any form of involuntary
asset loss;
o Subprojects that incorporate a dam of more than 10 meters in height, or that could
cause safety risks, or that is expected to exceed 10 metres in height in the future
o Subprojects located in, or which could affect, a Priority Forest Area, or modified
habitat of significant biodiversity value, or natural habitat, or critical habitat, or
legally protected area of recognised biodiversity value.
• The PW subprojects selected by the communities fall into the following nine
categories:
o 01: Biological and Physical Soil & Water Conservation
36
o 02: Forestry, Agro-forestry and Forage Development

o 03: Water Projects: Community and Micro-level (including drinking-water
subprojects)
o 04: SSI: Construction or Expansion
o 05: SSI: Rehabilitation
o 06: Community Earth, road, gravel & footpaths: Construction
o 07: Community Earth, road, gravel & footpaths: Rehabilitation
o 08: Social Infrastructure (primary schools and health posts)
o 09: Gender- and Nutrition-sensitive subprojects
• The design of community PW subprojects will be guided by technical design
standards that incorporate recommended measures designed to minimise adverse
impacts and encourage positive environmental effects. For watershed subprojects,
(including SSI, water subprojects and community roads, the guideline is the National
Community-Based Participatory Watershed and Rangeland Guideline. For Health
Posts the standard is the Ministry of Health standard specification of the day. For
Primary School extensions and rehabilitation, the guideline is the Ministry of
Education standard specification of the day.
• Subprojects likely to involve medical waste disposal will trigger application of the
Government’s Medical Waste Management guidelines (Annex 2).
• Subprojects likely to involve the use of agrochemicals will trigger the Government’s
Integrated Pest Management (IPM) procedures (Annex 1) and will lead to the
development and implementation of an IPM Plan.
• Subprojects involving a low-risk small dam will trigger application of the Guideline
for the Safety of Small Dams (Annex 3).
• The execution of all PW subprojects will also conform to the required standards for
GRM (Annex 15), labour management (Annex 12), Occupational and Community
Health and Safety (Annex 11) and cultural heritage chance-finds (Annex 4).
• Capacity building in environmental and social safeguards management will be
provided by the Project as and when required.
• The instructions for the staff working at community level are produced separately as
training modules in local languages, as required.
• Approval of subprojects with environmental or social concerns, which will be
earmarked ‘Subproject of Environmental or Social Concern’, will involve the
Regional Bureau of Environment, Forest and Climate Change (RBEFCC), or its
equivalent, which will have the right to reject a project on environmental or social
grounds, or arrange for an ESIA prior to approval. Such subprojects will include:
o Any subproject identified as having high or unknown potential negative impacts
during Screening,
o Any subproject involving a dam,
o Any subproject located in the vicinity of a National Park or other designated
wildlife area, or within a buffer zone of such a park or area
• Supervision of subproject implementation will be at kebele and woreda levels, with
technical backstopping from the PWFU or line bureau. The DA, with assistance if
required from the woreda line office concerned, will ensure that the specified
mitigating measures are implemented.
37
• The implementation of the recommended mitigating measures will be monitored by

the PSNP Public Works M&E system using the new PW Mapped Database
Information System (PWMDIS). The first data input was organized jointly by a
consulting firm together with regional and woreda staff. Regular annual updates will
utilize the DAs as the basic data-collection function.
7.2 PW ESMF Procedures
The steps in the subproject Screening and Approval procedure are set out in Figure 1
overleaf. The normal planning process is shown in the left of the diagram. The right side of
the diagram shows the subproject Screening and Approval steps.
38
Figure 1: Flowchart Showing Subproject Screening and Approval Procedures
Regional PW Focal Unit Regional Bureau of

(PWFU) Environment, Forest &
Consolidates woreda plans Climate Change
and (RBEFCC)
PWFU informs RBEFCC
of any PW of Decides if ESIA is
Environmental or Social required, and notifies
Concern PWFU
Woreda Council/Cabinet
Approves plans
Woreda Food Security Desk
Woreda NR Expert
(NR Case Team) or
Woreda NR Case Woreda Valuation &
Team Woreda
Compensation
(Review & Consolidate NR Expert
Committee take
plans) (EnvProt.
action on Subprojects
Case Team)
Requiring Special
Liaison
Attention
Kebele Food Security Task Force

Drafts Kebele Annual Safety Net Plan
DA
Step (i): PW Eligibility
Check
Community/Kebele/DA Step (ii): PW Screening
Identification and Design of
PW
39
The Screening procedure, which is conducted by the DA under the supervision of the Woreda
NR Expert in the NR Case Team, is set out below.
7.2.1 Step (i): Subproject Eligibility Check
Following selection by the community, the DA checks each subproject/activity for eligibility:
Table 7. Subprojects Ineligible as PSNP PW
Subproject is in, or adjacent to, an internationally-disputed area*
Subproject involving the physical relocation of individuals or households,
involuntary loss of land or any other asset or access to asset
Subproject is in, or in the vicinity of, a known cultural heritage site, including
World Heritage sites
Subproject incorporates construction of a Large Dam, i.e., with a height of 15
metres or greater from the lowest foundation to crest, or with a height between 5
and 10 metres impounding more than 3 million cubic metres.
Subproject incorporates construction of a Small Dam (i.e. not a Large dam, above)
that (i) could cause safety risks such as:
(ii) is expected to become a large dam during its operating life.
Subproject is located in, or could affect, a Priority Forest Area, or habitat of
significant biodiversity value, or natural habitat, or critical habitat, or legally
protected area of recognised biodiversity value
Subproject involves the procurement of pesticides by PSNP5, or by the local
government.
If a subproject has the answer ‘Yes’ to any of the above, the DA should try to modify the
design or change the location of the subproject to avoid the feature of concern. If the DA is
unable to do so, the DA must reject the subproject.
7.2.2 Step (ii): Subproject Screening
If the subproject has any of the following four features it must be referred to the Regional
BEF for review, to ascertain whether an ESIA is required:
Table 8. Subprojects of Environmental or Social Concern

Yes No
Subproject located in the vicinity of a National Park or other designated wildlife area, or
within a buffer zone of such a park or area.
Any subproject identified as having high or unknown potential negative impacts during
Screening
Subprojects incorporates construction of a dam, (regardless of size)
If there is any ‘yes’ the project must to be referred to the regional BEF for review and
detailed ESIA
40
Whether or not referral is required, the DA should continue the Screening process by
checking if the subproject requires a special procedure to be followed. There are five such
special procedures. The reason for identifying the requirement at this stage is to alert the
woreda staff, early on in the Screening process, to the fact that a special procedure will need
to be followed, in addition to the outcome of the regular Screening process. These five
procedures are as follows:
Table 9. Subprojects Requiring a Special Procedure

Feature Requiring a Special Procedure Yes No
Subproject likely to involve generation and disposal of medical waste
Subproject likely to use pesticides or other agro-chemicals
Subproject incorporates construction of a dam (regardless of size) or is dependent on an
existing dam, or on a dam already under construction
Subproject that might involve Voluntary Land /Asset Donation
Sub-project inside a Commune Center or close enough to a CC to have any potential
direct or indirect impact on it or on the people in a CC.
It should be noted that these special procedures are cross-cutting; they not related to any
specific subproject types. The DA will bring any subproject with ‘Yes’ in the Special
Procedure Table above to the attention of the Woreda NR Expert in the NR Case Team, who,
in liaison with the Woreda Environmental Expert in the WEPO, will ensure that the necessary
procedures are followed. Then the DA can continue with the Screening. The Screening is
done on the appropriate Table below, according to the type of subproject concerned.
The presentation in this section of the PW ESMF covers the basic principles involved in
Screening subprojects and mitigating potential impacts. In addition, all DAs and woreda staff
involved in the Environmental & Social Screening and mitigating of PW subprojects will be
trained on an annual basis. The techniques involved in the Screening methodology, including
the method of assessing whether potential impacts are likely to be low, medium or high, and
the design of mitigating measures all form part of the training process, and are not reproduced
here.
It should be noted that the lists of examples of typical impacts in the Tables in the Screening
forms in Annex 20 are not checklists. They are merely examples to suggest to the Screener
the sort of potential impact that the DA should be anticipating, because every subproject is in
a different environmental and social setting, and will have unique impacts. It is expected that
regional PWFUs will modify these lists to reflect regional or even woreda-specific issues. In
particular, it is expected that the lists of examples for lowland woredas will be tailor-made by
the regional PWFUs and updated regularly as experience is gained during the implementation
of PSNP5.
During the annual DA training it is emphasized that these lists of typical impacts are intended
only as a guide, and that DAs should be alert to the possibility that the subproject may well
have impacts which are not listed here. The DA should consult the Environmental Expert in
the WEPO if s/he is not sure.
If the Screening shows that the subproject is likely to have impacts ranging from low to
moderate, or has only one high potential impact, the DA must try to determine (with the
assistance of woreda experts if necessary) if it is possible to incorporate suitable mitigating
measures into the design or management plan to overcome the problem. Suggested mitigating
41
measures that can be built into subproject designs can be found in the design specifications in
the National Community-Based Participatory Watershed & Rangeland Guideline. The DA
incorporates all required mitigating measures into the ESMP (see Annex 20),
If the DA finds that the subproject is expected to cause more than one high potential impact
that cannot be avoided by a simple change in the design, or will have impacts that are
difficult to predict (i.e., ticks under “Unknown”), then the subproject will need to be referred
to the RBEFCC. The RBEFCC then decides whether a full-blown ESIA is required, and if so,
develops the necessary ToR. Please refer to 7.2.3 and 7.2.4.
Examples of Typical Mitigating Measures
The Tables below contain typical mitigating measures which may be required to help avoid
or reduce the potential adverse impacts, using grouped subproject categories. These measures
may sometimes be necessary in addition to the measures built into the project designs in the
National Community-Based Participatory Watershed & Rangeland Guideline. In addition,
the RBEFCC may be able to provide region-specific lists of typical mitigating measures.
Finally, this list is for guidance. Ultimately all mitigating measures need to be developed on a
subproject-specific basis.
The DA completes the Screening procedure, which includes filling in the Screening Form.
The concerned woreda staff oversees the Screening procedure and approves it, by
countersigning the Screening Form. (See Annex 20). The lists of typical mitigating measures
presented here are as standardized as possible, for each subproject type. The concerned DA in
each kebele is trained in doing this Screening and ESMP. To ensure due diligence, each
subproject needs its own site-specific Screening and ESMP. Typically, around 30% of
subprojects require identified mitigating measures, but of course this varies.
Table 10. Examples of Typical Negative Impacts of Public Works that Can Occur, together with Typical
Mitigating Measures
1. Soil and Water Conservation (SWC) and Rangeland Management
Typical Potential Impacts Mitigation Measure
Creation or expansion of gullies Ensure measures and appropriate infrastructure are in place to avoid
erosion leading to gullies
Introduction of toxic fodder Develop sustainable measures for vegetative fencing, paddocks, fodder
production and protection belts, fodder seed collection; measures should take account of pastoral
and agricultural land use, as well as local communities’ agreements
regarding community land; ensure a local grievance redress system is
in place
SWC structures such as bunds could Support physical SWC activities with biological grasses such as vetiver
be breeding places for rodents which is repellant to rodents
Damage to downstream residents as a Design and construct such structure with quality and conduct proper
result of poorly constructed structures periodic maintenance
(e.g. checkdams, gabions)
Reduction in the size of cultivated Benefit owners of the land from the reshaped and rehabilitated gullies
lands as a result of gully reshaping
Restriction of access to human and Allow user right for the community from the rehabilitated watershed
animal in area closures
Wet season soil disturbance Schedule activities for the dry season
Potential for debris flows or Prepare a watershed plan that identifies and address drainage/slope
landslides instability
Sensitive downstream ecosystems Identify and avoid effects of diversion or dams on downstream
42
ecosystems
Removal of native plant/tree species Protect and encourage regeneration of endemic species
Introduced plant/tree species invasion Local species should be planted. When necessary to plant, non-native
of native species species, they should be compatible with native species
Wildlife habitats or populations Identify and avoid effects on habitats and migration routes of key
disturbed species
Environmentally sensitive areas Identify and avoid activity in forest, riparian and wetland habitats with
disturbed particular biodiversity
Acquisition of land or other assets Re-design to avoid land-take or loss of other assets. If not possible,
ensure that any asset loss is voluntary and meets the criteria of the
Voluntary Asset Donation procedure. Otherwise the subproject must be
rejected.
Informal land-users displaced or Avoid interference with informal land users, and take measures to
access restricted provide them access to alternative lands or resources. Ensure that the
Grievance Redress Mechanism is in place.
Insufficient capacity to manage Establish a water users committee, where appropriate, and/or kebele
catchment ponds bylaws and provide training to water users
Accidents to humans or livestock Conduct awareness-creation and ensure that all hazardous areas are
during operations fenced.
Insufficient capacity to prohibit or Establish a watershed committee, where appropriate, and/or kebele
control open grazing bylaws and provide alternative sources of fodder
Insufficient capacity to manage new Establish a local committee, where appropriate, and/or kebele bylaws
plantations/pastures and provide appropriate controls
Hillside terracing Capacity-building in sound terracing measures to minimize erosion or
collapse of the terrace
Cultural sites disturbed Identify and avoid all known cultural sites. If excavation encounters
cultural artifacts, the Cultural Heritage Chance-finds procedure should
be followed.
Accidents to site workers and local Ensure that all workers have appropriate Personal Protective
communities during construction or Equipment, and that there are no children and other non-workers on
operations site, that precautions are taken against possible falling rocks and
landslides during terracing, and that first-aid equipment is available on
site. Ensure implementation of the OHS and CHS Guidelines.
2. Catchment, Forestry, Grasslands Projects

Typical Potential Impacts Mitigation Measure
Wet season soil disturbance Schedule activities for the dry season
Potential for debris flows or landslides Prepare a watershed plan that identifies and address drainage/slope
instability
Sensitive downstream ecosystems Identify and avoid effects of diversion or dams on downstream
ecosystems
Removal of native plant/tree species Protect and encourage regeneration of endemic species
Introduced plant/tree species invasion Local species should be planted. In those cases, where it is necessary
of native species to plant, non-native species, they should be compatible with native
species
disturbed species
Environmentally sensitive areas Identify and avoid activity in forest, riparian and wetland habitats with
disturbed particular biodiversity
Users conflict from afforestation Form watershed users association and right
programmes
Voluntary Asset Donation procedure. Otherwise the subproject must
be rejected.
Informal land users displaced or access Avoid interference with informal land users, and take measures to
restricted provide them access to alternative lands or resources. Ensure that the
Grievance Redress Mechanism is in place.
Insufficient capacity to manage Establish a water users committee, where appropriate, and/or kebele
43
catchment ponds bylaws and provide training to water users

Insufficient capacity to prohibit or Establish a watershed committee, where appropriate, and/or kebele
control open grazing bylaws and provide alternative sources of fodder
Insufficient capacity to manage new Establish a local committee, where appropriate, and/or kebele bylaws
plantations/pastures and provide appropriate controls
Accidents to site workers or local Ensure that all workers have appropriate Personal Protective
community during construction and Equipment, and that there are no children and other non-workers on
site. Ensure implementation of the OHS and CHS Guidelines
3. Water Projects
Potential Impacts Typical Mitigation Measure
Existing water sources supply/yield Assess water supply and existing demands, and manage sustainability;
depletion consider local cumulative impacts of digging several wells in one area
Existing water users disrupted Identify and avoid negative impacts on existing water users in the
system design; ensure a local grievance redress system is in place
Downstream water users disrupted Identify and avoid effects of diversion or extraction on downstream
users in the system design; ensure a local grievance redress system is
in place
Increased numbers of water users due Assess water supply and existing demands, and manage sustainability
to improvements
Prevalence of vector-borne diseases Ensure all measures to control water-borne diseases are implemented,
and restrict communities from collected such water for drinking
purposes
Increased social tensions/conflict over Establish a water users committee through the kebele and equitable
water allocation rules for water allocation; ensure a local grievance redress system is in
place
Uncontrolled access of livestock to Controlled the movement of livestock to these structures
these structures may affect cropping
lands
Accidents especially children as a Conduct awareness-raising and fence the structures after their
result of unprotected structures completion
Sensitive ecosystems downstream Identify and avoid effects of diversion or dams on downstream
disrupted ecosystems
be rejected.
be followed.
restricted provide them access to alternative lands or resources
Accidents to site workers or local Ensure that all workers have appropriate Personal Protective
community during construction or Equipment, and that there are no children and other non-workers on
site. Ensure implementation of the OHS and CHS Guidelines
Local incapacity/inexperience to Establish a local committee, where appropriate, and/or kebele bylaws
manage facilities and provide appropriate controls
4/5. Small scale Irrigation Construction and Rehabilitation (including stream diversion, development of
wells and springs, small dams, ponds, drainage and water canals, and seepage control measures)
Existing water sources supply/yield Assess water supply and existing demands, and manage
depletion sustainability; consider local cumulative impacts of digging several
wells in one area
Existing water users disrupted Identify and avoid negative impacts on existing water users in the
44
system design; ensure a local grievance redress system is in place

Downstream water users disrupted Identify and avoid effects of diversion or extraction on downstream
users in the system design; ensure a local grievance redress system is
in place
Water storage requirement and viability Test the soil percolation and ensure an impermeable layer in the
(soil permeability) structure design
Vulnerability to water logging (poor Assess soil characteristics and either avoid or provide drainage
drainage) measures/infrastructure for areas prone to waterlogging; ensure
proper design for water diversion, infiltration pits, etc.
Vulnerability to soil and water Irrigation expert to assess the potential for high salinity and ensure
salinization appropriate irrigation practices to minimize impacts
Sensitive downstream habitats and Identify and avoid effects of diversion or extraction on downstream
waterbodies ecosystems that depend on the surface or groundwater supply
Environmentally sensitive areas Identify and avoid forest, riparian and wetland habitats with
disturbed particular biodiversity.
Risks to humans and property from Implement measures for managing all dam safety risks as prescribed
collapse or malfunction of the Dam in the Small Dam Safety Guidance
Prevalence of vector borne diseases Ensure all measures to control water-borne diseases are
implemented, and restrict communities from collected such water for
drinking purposes
Accidents to site workers and local Ensure that all workers have appropriate Personal Protective
communities during construction and Equipment, and that there are no children and other non-workers on
operations site, that precautions are taken against possible accidents, and that
first-aid equipment is available on site. Ensure implementation of the
OHS and CHS Guidelines
Deterioration of productivity of Improve drainage and irrigation method
cultivated lands as a result of salinity
Favorable place for breeding of Disturb continuously the harvested water and spray chemicals
mosquitos
Cultural or religious sites disturbed Identify and avoid cultural or religious sites. If disturbance
unavoidable, agreement on mitigating measures must first be reached
with stake holders (e.g. Community, mosque, church). If excavation
encounters archaeological artifacts, halt construction and notify
relevant authorities.
Increased agricultural chemicals Develop an Integrated Pest Management (IPM) Plan and provide
(pesticides, etc.) loading training to the farmers in line with the IPM Guidelines.
be rejected.
restricted provide them access to alternative lands or resources
cultural artifacts, the Cultural Heritage Chance-finds procedure
should be followed.
Increased social tensions/conflict over Establish a water users committee through the kebele and equitable
water allocation rules for water allocation; ensure a local grievance redress system is
in place
Local incapacity/inexperience to Establish an operations and maintenance manual, authority and
manage facilities provide training to persons responsible for operating the system
Local incapacity/inexperience with Provide training to farmers on sustainable irrigated agriculture,
irrigated agriculture including maintenance of infrastructure
6/7. Community Road Construction and Rehabilitation

Potential Impacts Typical Mitigation Measures
New access (road) construction Ensure drainage controls on new roads and rehabilitate temporary access
following subproject implementation
Soil erosion/flooding concerns Drainage control measures to be included within construction plans
Number of stream Minimize water crossings in road location and alignment
45
crossing/disturbances
Wet season excavation Schedule construction for the dry season
Quarry sites/borrow pits created Re-contour and rehabilitate sites/pits and avoid collection of standing
water; avoid creating large borrow pits.
Vegetation removal Minimize temporary or permanent removal of natural vegetation
disturbed species
Environmentally sensitive areas Identify and avoid forest, riparian and wetland habitats with particular
disturbed biodiversity
Landslides and slumps Design and construct roads especially in sloppy areas with all drainage
and compaction of soils
Possibility of spreading Increase awareness communities about these communicable diseases
communicable diseases
Traffic safety of children and Awareness-creation and provision of warning signs
animals
Voluntary Asset Donation procedure. Otherwise the subproject must be
rejected.
Informal land users displaced or Avoid interference with informal land users, and take measures to
access restricted provide them access to alternative lands or resources
be followed.
Accidents to site workers or local Ensure that all workers have appropriate Personal Protective Equipment,
communities during construction and that there are no children and other non-workers on site, that
and operations precautions are taken against possible accidents, and that first-aid
equipment is available on site. Ensure implementation of the OHS and
CHS Guidelines
New settlement pressures created Ensure road development is coordinated with local land use plans and
discuss with the kebele
Market yards and storage Ensure that yards and storage areas include safety measures, as well as
procedures for managing waste and avoiding placement in areas that are
used for pastoralism, farming, etc.
8. Social Infrastructure Projects Such as School and Health Post

Potential Impacts Typical Mitigation Measures
Alteration of existing drainage Drainage control measures to be included within construction plans
conditions
Wet season soil disturbance Schedule construction for the dry season
Construction materials impact on Avoid taking construction materials from adjacent forests/land; if local
adjacent forests/lands communities agree to such take, it should be done in a sustainable manner
Quarries and borrow pits created Re-contour and rehabilitate sites/pits and avoid collection of standing water
Construction impacts Construction sites should include procedures for managing waste; local
communities should be informed about temporary disturbance, noise, dust,
etc.
Water supply development Identify and avoid negative impacts on existing water users in the system
effects in available supply design
Sanitation development effects Ensure the necessary facilities and capacity for upgraded facilities,
on existing disposal fields consistent with health department design standards
Medical waste increase effects Prepare a waste management plan for major facility upgrades; ensure
on existing disposal system sufficient facilities and capacity for medical waste in accordance with the
Medical Waste Guideline.
Spread of communicable Adopt and apply the right ration of classroom to number of students as per
diseases in schools as a result of the standard of the country
not maintaining no of students in
classrooms
46
Latrine construction Ensure facilities are constructed according to health department design
standards; latrines should be properly sited to avoid contamination of food
and water
Acquisition of land or other Re-design to avoid land-take or loss of other assets. If not possible, ensure
assets that any asset loss is voluntary and meets the criteria of the Voluntary Asset
Donation procedure. Otherwise the subproject must be rejected.
Cultural sites disturbed Identify and avoid all known cultural sites. If excavation encounters cultural
artifacts, the Cultural Heritage Chance-finds procedure should be followed.
Informal land users displaced or Avoid interference with informal land users, and take measures to provide
access restricted them access to alternative lands or resources
equipment is available on site. Ensure implementation of the OHS and CHS
Guidelines
In-migration/settlement induced Control unplanned settlement near the facilities through an effective
by facilities development communications strategy and local enforcement
Local incapacity/inexperience to Establish/strengthen local committees, where appropriate, through the
manage facilities kebele and provide appropriate procedures and training to maintain the
facilities
9: Nutrition based PW activities Potential for Adverse Impacts (e.g. childcare centers, community
shower, kitchen gardens, traditional pit latrine)
New access (road) construction Ensure drainage controls on new roads and rehabilitate temporary access
following subproject implementation
Alteration of existing drainage Drainage control measures to be included within construction plans
conditions
Wet season soil disturbance Schedule construction for the dry season
Construction materials impact on Avoid taking construction materials from adjacent forests/land; if local
adjacent forests/lands communities agree to such take, it should be done in a sustainable manner
Quarries and borrow pits created Re-contour and rehabilitate sites/pits and avoid collection of standing
water
cultural artifacts, the Cultural Heritage Chance-finds procedure should be
followed.
Water supply development effects Identify and avoid negative impacts on existing water users in the system
in available supply design
Effect of sanitation development on Ensure the necessary facilities and capacity for upgraded facilities,
existing disposal sites consistent with health department design standards
Spread of communicable disease in HEW should regularly monitor the childcare centers and care givers of
childcare centers the children should get all awareness
Loss of life especially children as a Construct pits with all the technical standards
result of poorly constructed pit
latrines
Effects of medical waste on Prepare a waste management plan for major facility upgrades; ensure
existing disposal system sufficient facilities and capacity for medical waste
equipment is available on site. Ensure implementation of the OHS and
CHS Guidelines
Local incapacity/inexperience to Woreda office to capacitate Health Extension Workers (HEW) and clients
manage facilities
The mitigating measures presented in the Guideline Infotechs, supplemented by the DA

following the general guidance provided in this ESMF, provide the primary means of
47
implementing environmental and social management of the PW subprojects. Three aspects

will be important in applying and monitoring the effectiveness of these measures during the
implementation phase:
• The Kebele or community proponent will designate a person who will be responsible
for ensuring the mitigation measures are effectively implemented as specified before,
during and after construction. This will normally be the DA.
• The Woreda EPO will designate a staff member who will be responsible for
inspection and oversight of the implementation of the mitigation measures as
required.
• The PWFU in collaboration with RBEF in conjunction with the woreda focal person
responsible for environmental and social safeguards will assess the application of the
prescribed mitigation measures in monitoring and evaluating environmental and
social performance of the public works, through the PW M&E system.
The DA should ensure that a list of any subprojects earmarked as being of environmental
and social concern accompanies the subproject files forwarded to the Woreda NR Expert in
the NR Case Team.
7.2.3 Reviewing Notified Subprojects
When the Regional PWCU reviews a Screened subproject that has been listed by the woreda
as being of Environmental or Social concern, it should be noted that not all of these
subprojects necessarily need an ESIA. That decision rests with the PWCU.
For each listed PW, the Regional PWCU specialist should prepare for the PWFU the
following:
• Your decision as to whether an ESIA is required:

• If an ESIA is required, the recommended scope of the ESIA, indicating aspects to be
focused on, skills required, and likely duration of the ESIA. These will constitute ToR
for the ESIA.
• If an ESIA is not required, guidance regarding any special needs such as technical
guidelines or an environmental and social management plan, including any
recommended mitigating measures.
7.2.4 Conducting an ESIA: Guidance for the Woreda ARDO and WEPO
The Woreda Agriculture Office (WAO) & EPO are responsible for ensuring that the required
ESIA is conducted, in liaison with the RPWFU. Normally the WAO will establish a team
drawing upon woreda environmental and social sector experts, DAs and others as
appropriate. The woreda experts concerned will have received basic training in ESIA in the
annual PSNP PW training sessions.
The cost of conducting the ESIA will be covered by the PSNP, from the PSNP administration
fund 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 ESIA will be based on the recommendations of the RBEFCC, in compliance
with the World Bank ESF, and specifically ESS1.
48
The ESIA report should consist of an environmental and social baseline, environmental and
social impact assessment, socio-economic impacts, mitigating measures, and
recommendations for implementation and monitoring of the mitigating measures.
ESIA guidelines will be available from the RBEFCC, supplemented by PSNP PW training
material.
The RBEF will review the ESIA report, and either approve the PW, recommended re-design,
or reject. Reviews should be conducted as quickly as possible, to avoid delay in the PSNP
PW programme. The results of the review should be notified immediately to the RPWFU.
Every effort should be made to provide advice to modify a project to enable it to become
environmentally and socially sustainable if at all possible, rather than reject it.
7.2.5 Subproject Environmental & Social Management Plan (ESMP)
Each subproject will have an ESMP, which will form part of the ESMF Screening Form
completed by the DA, to enable monitoring and follow-up of subproject implementation, and
rectification of shortcomings as required. See Annex 20. However, the operation of social
infrastructure is the responsibility of other sectors, i.e. Education and Health, and these
operations are not covered by the DA Screening procedure. They follow the operations
manuals of the sectors concerned.
7.3 Guidelines for Subprojects Requiring a Special Procedure
Projects that require a Special Procedure need to be monitored, evaluated and reported by the
DA and Woreda experts regularly through the M&E systems of the PSNP PW. These special
procedures do not refer to subproject types. They are Bank requirements which are cross-
cutting for any subprojects with certain characteristics.
7.3.1 Integrated Pest Management (See Annex 1)
The Government supports the use of biological or environmental controls and other measures
to reduce reliance on agricultural chemicals. Integrated Pest Management (IPM) refers to a
mix of farmer-driven, ecologically based pest control practices that seek to reduce reliance on
synthetic chemical pesticides. It involves (a) managing pests (keeping them below
economically damaging levels) rather than seeking to eradicate them, (b) relying, to the
extent possible, on nonchemical measures to keep pest populations low; and (c) selecting and
applying pesticides, when they have to be used, in a way that minimises adverse effects on
beneficial organisms, humans, and the environment.
The following strategy addresses the use of agricultural chemicals and to promote IPM in the
PSNP.
• Public works project funds will not be used for the purchase of pesticides or
fertilizers.
• Information on acceptable and unacceptable pesticides will be provided to farmers
and Woreda staff to encourage compliance with government policy and international
standards.
• Training in agricultural activities on pest and fertilizer applications, safe chemical
handling and IPM will be provided to communities’ as required.
49
• The basic Guide for IPM in the PSNP covers techniques including:
o Pest-resistant crop varieties
o Use of disease/weed-free planting stock
o Farming practices that increase resistance to pests (proper soil preparation,
spacing, planting, watering, etc.)
o Farming practices that suppress pest populations (crop rotation, cover crops,
intercropping, etc.)
o Traditional manual control of pests (weeding, removing insect pods, etc.)
o Biological controls (predators, pathogens, pheromones, etc.)
o Targeted chemical use (pest scouting/selective treatments)
• Based on the Guide, an IPM Plan will be produced for each agricultural activity
which likely utilize agrochemicals.
7.3.2 Medical Waste Management (See Annex 2)
A medical waste management plan is required for all subprojects financed under PNSP5
which include the construction or rehabilitation of health facilities, irrespective of their size.
Therefore, project proposals involving the construction of rural health clinics should include
provisions for the safe management of medical wastes. The following strategy addresses
medical waste issues in the PSNP:
• A Medical Waste Management Guide has been prepared by Government and

disclosed, to assist subproject design and operations;
• 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:
o The quantity and quality of wastes generated
o The available disposal and treatment options at the site
o Methods to segregate medical waste from general waste
o Internal rules for waste handling, collection and storage
o Clinic responsibilities for waste management
o Proposed landfill development and operations
7.3.3 Subprojects Involving a Dam (See Annex 3)
Subprojects requiring the construction of dams falling outside the category of subproject for
which the PSNP5 PW program is designed will not be approved. Small dams may be
approved, subject to a qualified engineer being responsible for the design and supervision of
construction, and the construction being carried out by a qualified contractor, following the
guidelines set out in Annex 3 of this ESMF. “The definition of small and large dams is
included in Section 5.6 PW Community Planning Process, Table: Subprojects ineligible
as PSNP PW”.
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7.3.4 Subprojects involving Land or Asset Acquisition and loss of Access to

Assets/resources (See Annex 18)
While subprojects potentially involving voluntary land donation will be eligible, it must be
emphasized that any subproject with involuntary loss of land/asset or access to asset will be
ineligible. During implementation of Voluntary Land Donation (VLD), if it is
household/family land, consultation with family members (including spouses) must be made
and family must be aware that refusal is an option; If the land is communal land individuals
using or occupying the land must be identified and consulted to minimize the risk of settlers
and local communities losing their livelihood due to the land donation decision. If the land
that may be donated is household/family land the proportion of the land must not exceed 10%
of the total land holding of the donor and must not be the donor's main source of income; this
is not significantly affecting the donors' livelihood. Moreover, VLD should not occur if it
requires physical relocation, loss of structures or fixed assets on affected portion of land. A
formal statement or minutes for all consultation and discussion with the land holders, their
interest and agreed actions including schedule should be signed and documented at kebele
and woreda agriculture offices and should be reported for enhanced transparency. Project
affected person shall freely sign the VLD without any imposition.
7.4 Procedures During Implementation
7.4.1 Grievance Redress Mechanism (See Annex 15)
Grievance Redress Mechanism (GRM): GRM is one of the requirements and most important
element in managing the environmental and social risks. As the GRM includes grievance
redress related to PW, it is important for the DA to ensure that the system is in place.
The project grievance system currently in place for the ongoing rural safety net project will
be strengthened to address complaints of targeted households and public work participants at
community, local level. The GRM will also be extended to the national level and be
expanded to handle all types of grievances arising from implementation of all the project
components. It will have dedicated focal person at the federal Ministry of Agriculture level
responsible for the grievances. The community will use the program GRM at local /kebele
level for related complaints.
The overall process for the GRM at local level is comprised of five steps.
Step 1: Uptake. At the Kebele level, project stakeholders will be able to provide feedback
and submit complaints through the Kebele Appeal Committee (KAC), which is comprised of
several focal persons. A member of the KAC will be available at kebele office once a week
(e.g., Monday afternoons) to receive grievances in person resolve. Standardized intake forms
for acknowledgement receipt and grievance listing will also be developed and distributed.
Step 2: Sorting and processing. Complaints and feedback will be compiled by the
Development Agent (DA) or an assigned KAC member and recorded in a register. Cases
should be resolved within one month of being heard. The project will support the
development, translation, and program-wide distribution of a GRM manual. Cases will
initially be sorted and processed into the following four categories: i) appeals (disagreement
with decisions passed by program implementers); ii) implementation concerns
(dissatisfaction with the quality of implementation); iii) program design (procedures and
parameters set by the National level or the Region that requires changes to the program); iv)
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transparency and right based (cases that filing and investigating must ensure greater delicacy
and anonymity).
Step 3. Acknowledgement and follow up. During PSNP4, it was found that a weak use of
pre-determined acknowledgement and follow up was prevalent among KACs, and if follow
up occurred, it happened orally. The project will establish literate youth community
facilitators as members of the KAC, so that in lieu of their PW hours, they can facilitate
timelier and more proactive follow up of cases. Standardized intake forms for
acknowledgement receipt and grievance listing will also be developed and distributed.
Step 4. Verification, investigation and resolution. The KAC will be responsible for
collecting additional information and investigating through field visits, consultation with
community elders and residents and cross-checking documents (PIM, PSNP GRM Manual).
When relevant, the KAC will reach out to confer with the social worker at Woreda Office of
Labour and Social Affairs (WoLSA). A template document will be provided to the KAC so
that they can document their verification, investigation and resolution process.
The KAC will give resolution to the appeals and send a listing of the cases to the Kebele and
Woreda Council, who in turn will validate the recommendation and forward the appeal to the
Woreda Food Security Task Force for implementation.
Step 5. Feedback and Monitoring and Evaluation. The KAC will inform the grievant
about the resolution of their appeal and their right to escalate the appeal if they are not
satisfied with the decision. Within four weeks of the complaint being heard, the KAC will
report and provide a listing of all the grievances heard and resolved to the Kebele Council,
who in turn will share the list to the Woreda Council. In woredas where the MIS system is
operational, the Woreda Food Security Desk will be responsible for inputting the grievances
into the system. In woredas where the MIS is not yet operational, the Woreda Food Security
Desk will forward the appeals listing to the regional GRM focal person, and they in turn will
forward it to FSCD.
For GBV/SEA related cases, the focal persons will report to their respective woreda and
region which reaches the federal level MoA then to the World Bank. Moreover, the focal
persons will refer the survivors to relevant service providers. Detail GBV referral pathways
are indicated in the GBV assessment report.
7.4.2 Cultural Heritage Chance-Finds (Annex 4)
Regardless of whether or not any potential impacts on physical cultural resources (PCR) have
been identified, all subprojects must be monitored for unexpected encounters with PCR,
using the Chance-Finds procedure for which guidance is provided.
7.4.3 Occupational and Communal Health & Safety including Child Labour (Annex
11)
During implementation on site, the DA and any foremen/women involved should ensure that
the Occupational and Community Health & Safety guidelines are followed. The OHS
requires ensuring that all required measures for health and safety are effective on site,
including labour management, the exclusion of child labour, site housekeeping, on boarding
of workers, the provision of first-aid boxes and the timely and routine reporting of accidents
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and injuries. The woreda Labour and Social Affairs staff are responsible for overall
supervision and monitoring.
7.4.4 Labour Management (Annex 12)
The Project has prepared a Labor Management Procedure (LMP), which also incorporates a
summary of the OHS guideline to be implemented under the PSNP5 with the objective of
ensuring compliance with the standards of ESS2 for all labour categories involved. This
includes the plan to ensure that no community workers are overburdened with PW either in
terms of potential damage to health or in terms of having to do PW at the expense of working
on their own farms.
7.4.5 HIV/AIDS
PSNP5 poses both challenges and opportunities regarding the prevention and control of
HIV/AIDS. The PW activities could have negative impacts through increasing mobility of a
large number of people, thereby creating favorable conditions for the spread of HIV/AIDS.
To mitigate the potential negative impacts of Safety Net activities, it will be essential to
continue effective & participatory HIV/AIDS prevention and control measures in the design
of the programme.
Mainstreaming HIV/AIDS Prevention and Control
The existence of organized structures which coordinate the planning, implementation,

monitoring and evaluation of the PSNP at federal, regional, woreda and community levels,
provides an opportunity to mainstream HIV/AIDS prevention, and to control activities in the
PSNP. The interface between local government (woreda, kebele) and local community
governance structures is strong, and these structures can be used as a basis on which the local
response of HIV/AIDS can be built.
Training
Training for CFSTFs will include a component addressing the prevention and control of
HIV/AIDS. The CFSTF will work in close collaboration with Anti-AIDS committees,
wherever they exist, to raise the awareness of the community and prevent the spread of
HIV/AIDS.
Protection and Involvement of Women and Girls
As women and girls are more vulnerable to HIV/AIDS risks than other members of the
community, it is imperative to emphasize the protection and role of women and girls in the
prevention and control activities that will be planned.
Avoidance of Discrimination
It is also essential to ensure chronically food insecure households which are affected by
HIV/AIDS will benefit from SNP without being exposed to any stigma and discrimination.
In addition, if a household cannot provide labour to participate in the public works because of
illness associated with HIV/AIDS, it should be eligible to receive direct support from PSNP5.
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7.4.6 ‘Alignment of Operations’ Procedure (Annex 6)
In 2014-15 a procedure for proactively managing the interface between the Government of
Ethiopia’s Commune Development Program (CDP) and Bank-financed projects was
developed and agreed with government. The procedure, developed under the title
“Supporting Results and Alignment of Operations in Ethiopia’s Rural Areas” is designed to
address the interface between Commune Centres (CC) and Bank-financed projects or sub-
projects in, or in the vicinity of, the CC.
The procedure will enable the World Bank to support such sub-projects wherever possible,
by:
• managing the operational interface,

• being able to demonstrate that it has taken all reasonable steps to consider the
implications of the interface,
• while avoiding getting involved with non-viable or seriously deficient situations.
The procedure is simple and is designed to be embedded within the ESMF. It involves
gathering basic data on the CC and classifying it in terms of its viability. Based on the
classification, the Bank determines whether, and how, the Bank-financed project or sub-
project should proceed. The procedure for the DA is set out in Annex 6.
Step 1: Screening
The CC is screened by the DA as part of the normal ESMF screening procedure of the Bank-
supported sub-project. The DA must now address an additional question: “Will this sub-
project be inside a Commune Centre or close enough to a CC to have any potential direct or
indirect impacts on it or on the people in a CC?”
• If ‘Yes’, a checklist will be completed by the Screening staff member.

• The completed checklist will be forwarded via the federal ESMF focal person to the
Bank Task Team.
• If ‘No’, there is nothing additional to be done.
The checklist consists of a one-page data checklist on the CC. It is completed by the local
government staff member who normally conducts the regular ESMF Screening. This is
normally done at the same time as the rest of the ESMF.
Step 2: Managing the Interface
The Bank Task Team classifies the CC based on the completed checklist (See Annex 15).
This classification indicates to the WB what strategy to adopt.
The factors used to classify the CC as set out in the checklist, and their significance, are as
follows:
• Mandatory Factors: Sufficient and suitable land and water supply based on
regional/woreda government standards. If they cannot be provided, the CC cannot be
viable.
• Access to Basic Services: Education, Health, Water. Even if absent, these services
could be provided in future.
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• Prior Conditions: Consultation, voluntariness, relocation distance and potential for

conflict. These issues should have been addressed at the planning stage. However,
shortcomings may not necessarily mean that the CC is non-viable.
• Operations and Maintenance: Good management & supervision, resource
allocation, and grievance redress. These can only be provided by government
Based on these factors, the CC is categorized by the Bank Task Team as follows:
• Category I: Broadly satisfactory in all respects (but not necessarily meeting WB

standards)
• Category II: Deficient in some notable respects but could be rectified.
• Category III: Non-viable because fundamentally flawed. Very difficult or impossible
to rectify.
The principles of CC classification as are follows:
• This procedure is concerned with “live” CCs. A CC ceases to be regarded by the Bank
as a live project one year after the last registered household has settled. Such CCs are
treated like any other regular community. Thus Bank-supported sub-projects in, or in
the vicinity of such a CC may proceed regardless of the fact that the concerned
community started life as a CC.
• “Live” CCs are categorized in the following manner:
o If any of the Mandatory Resources are not available and cannot be provided, the
CC is classified as Category III.
o If all Mandatory Resources are available and there are no shortcomings in Access
to Basic Services, Prior Conditions or Operations & Maintenance, the CC is
Category I.
o All other CCs are Category II.
The Bank-supported sub-project may proceed as follows according to the category of the CC:
For Category I CCs:

• The Bank-supported sub-project may proceed as usual, with no special regard to the
concerned CC.
For Category II CCs:
• If there are rectifiable shortcomings in Mandatory Resources:
o The WB-supported sub-project can proceed subject to a written commitment from
the concerned Regional government office that the essential resources will be
provided to the CC within 1-2years.
• If there are shortcomings in Basic Services:
o The Bank-supported sub-project may proceed subject to the concerned Woreda
(District) Development Plan showing that all necessary basic services will be
provided to the CC within a reasonable time-frame to be specified by the Bank;
o The Bank may support sub-projects designed to provide basic services to the CC.
• If there are shortcomings in Prior Conditions:
o The Bank’s Risk Management Assessment (SoRT) must note any social or other
risks likely to arise from systemic problems inherited from these past
shortcomings.
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For Category III CCs:

• The Bank may not proceed to support the concerned sub-project.
• The Client must select an alternative sub-project not associated with the concerned
CC.
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Part III: Livelihoods Strengthening ESMF
PART III: LIVELIHOODS STRENGTHENING ESMF

8. Livelihoods Strengthening: Background
PSNP5 incorporates a Livelihoods Strengthening component which will provide mentoring

and coaching to support aspiration development, improved access to appropriate financial
services, a focus on savings for all households, livelihoods transfers, and credit for the credit-
ready. It will support livelihoods strengthening through three pathways:
• Agricultural production, supported by improved extension for increased agricultural

production;
• Off-farm income generating activities, supported by business and technical skills
training;
• Workforce development and linkages to employment
Some of the activities chosen for support under Strengthening Livelihoods will be traditional;
others will be innovative, and may be designed as off-farm income-generators. Some may
involve introducing crops not traditionally grown in the location concerned; some may
involve introducing new techniques such as micro-scale irrigation for crops previously only
rain-fed.
Typical livelihoods investment activities under this component could include, but may not be
limited to, the following:
• Poultry keeping
• Ox fattening
• Sheep fattening
• Sheep production
• Goat fattening
• Goat production
• Beekeeping
• Micro-scale irrigation for cash crop production (e.g. Vegetables, fruit, enset, coffee
and trees for fuelwood or poles)
• Off-farm activities such as petty trading
• Others
This list is not exhaustive and will be determined on a site-specific basis through the Value
Chain Analysis in the various regions, woredas and livelihood zones. It should also be noted
that some households may select to undertake activities not listed here, and in some regions
and woredas, area-specific activities that are not found in other parts of the country may arise.
For this reason, no attempt is made here to forecast the likely cumulative impacts of the
programme. Instead, the focus of this ESMF is on providing an environmental and social
management framework that will enable the regional and woreda authorities to anticipate
environmental and social issues, track cumulative impacts, if any, and takes corrective action
as required. This is carried out by the regular update of the Woreda Environmental & Social
Profile, which identifies any new or emerging Environmental or Social issues. In each
woreda or kebele an Activities exclusion list is developed, which becomes part of the
Woreda/kebele Business Guidance, specifying which Activities may not be undertaken,
including new conditionalities or mitigating measures required. This is updated on an annual
basis.
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9. Rationale for a Cumulative Environmental and Social Assessment Approach
Individual HH-level LH activities typically have insignificant environmental and social

impacts. However, since the PSNP has around 1.5 million beneficiary households, the
potential negative impacts of large-scale adoption of new LH Activities, such as livestock
ownership, micro-scale irrigation, export crop cultivation, etc., may be considerable.
Furthermore, the impact of a large number of households taking up the same activity in a
given area is often ‘greater than the sum of the parts. Such impacts, usually known as
‘cumulative impacts’, can best be addressed at a strategic level, rather than the site-specific
approach of Environmental and Social Impact Assessment (ESIA). Thus, the objective of the
LH ESMF is to:
• Identify the type of household-level activity that might give rise to significant
potential impacts if adopted at scale;
• Assess the possible nature and extent of such impacts;
• Based on the likely impacts, develop environmental and social guidelines for the
selection of LH Activities;
• Produce a woreda-level procedure for monitoring, managing and mitigating impacts,
should they arise.
10. LH Environmental and Social Issues
The environmental and social impacts of the Livelihoods Strengthening sub-component will
be influenced by:
• The nature, condition and resilience of the biophysical and social setting
• The LH Activities selected
• The rate of take-up of the LH Activities
• The PSNP Public Works and other community projects in the watersheds concerned.
PSNP woredas are all to a greater or lesser extent environmentally degraded, and even those
that have been partially rehabilitated have fragile eco-systems. Thus, given the relatively high
population densities, when a particular type of household micro-scale Activity becomes
popular and is adopted on a wide scale, there is the potential for the Activities to have
impacts on the biophysical and social environment, for example:
• Animal production and/or fattening leading to (a) uncontrolled use of drugs or

chemicals, leading to chemical pollution, and (b) an increase in animal numbers and
uncontrolled grazing, leading to increased environmental degradation;
• Poultry-keeping leading to uncontrolled use of drugs or chemicals, leading to
chemical pollution;
• Crop-irrigation using surface water (in water-harvesting ponds), causing (a) reduced
river-flows, (b) increased safety risk for children and livestock; and (c) an increased
risk of malaria;
• Crop-irrigation using groundwater (e.g., shallow wells), leading to (a) a lowering of
the water-table, (b) soil salination, and (c) uncontrolled use of agrochemicals,
resulting in ground water pollution, and subsequent health hazards for human and
animal life;
• Micro-processing of agricultural residues for animal feed production, thereby
reducing local energy sources, leading to deforestation;
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• Trading in fuelwood or poles or charcoal, leading to deforestation and a reduction in

local energy sources;
• Introducing new crop varieties could lead to a narrowing of the genetic base by
eradicating land races, which could mean, for example, that in the event of an
outbreak of disease, there is no alternative, disease-resistant strain available;
• If the cultivation of cash crops becomes so popular that cash crops come to displace
food crops to a significant extent, this could produce an imbalance that might lead to
food shortages within, or outside, the woreda;
• Area Closure for growing bee forage crops might oblige cattle to seek marginal
grazing lands;
• For households receiving loans for fisheries activities, the use of inappropriate nets
and poor fishing practices may have negative environmental impacts such as stock
depletion.
When conducted at scale, HH-level LH Activities could involve social risks. For example:
• Social conflict arising from degradation caused by livestock overgrazing resulting

from animal-fattening Activities;
• Health issues arising from pollution from poultry-keeping Activities using drugs or
chemicals;
• Hardship and unrest created for downstream users due to water abstraction for
vegetable-growing;
• Social conflict arising from deforestation and reduction in local energy sources due to
trading Activities in fuelwood, poles or charcoal;
• GBV arising from empowerment of women undertaking LH Activities.
11. Procedures for Environmental and Social Management
For practical purposes, cumulative environmental impacts will be monitored at woreda level.
Since woredas differ widely in terms of agro-climatic condition, so the likely impacts of an
activity will depend on where it is implemented. Therefore, procedures are set out here for
each woreda in order to:
• Predict the major impacts, if any, likely to arise from the (expected) most popular
activities,
• Identify suitable mitigating measures that can be adopted at household, woreda, zone
or regional level, as appropriate.
• Identify activities which if adopted at scale would lead to serious environmental
impacts that it would be difficult or impossible to mitigate.
• Monitor the implementation of the mitigating measures and do the necessary follow-
up.
11.1 Woreda Environmental and Social Profile
In each PSNP woreda, a Woreda Environmental and Social Profile will be drawn up by the
Woreda Extension Case Team NR Expert and Sociologist, in conjunction with the PW Focal
Person, the Woreda Environmental Expert, the Woreda Natural Resources Case Team NR
Expert, Woreda Sociologist/Social Expert.
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The Woreda Environmental and Social Profile is required to be succinct, clear and
comprehensive. It should cover:
• All the basic features of the woreda that can have a bearing on the environmental and
social status and resilience of the woreda such as geography, soils, population,
demography, culture, language, social infrastructure including education, health and
water, land use, flora, fauna, communications, human and animal health, cultural
heritage;
• Key environmental and social issues in the woreda.
Guidance on developing a Woreda Environmental and Social Profile is set out in Annex 7.
Woreda Environmental and Social Profiles should be updated on an annual basis.
11.2 Environmental and Social Guidance for Business Plans
The Woreda Extension Natural Resources and Sociologist jointly identify the Livelihoods
activities considered most likely to have significant potential negative cumulative
environmental and social impacts in the woreda concerned if adopted by large numbers of
households. These potential impacts are identified, covering medium-term impacts (up to 5
years ahead) and long-term impacts (more than 5 years).
Mitigating measures, if necessary, are also developed. These will fall into the following
groups:
• Measures to be adopted at household level as either conditions of the credit/loan or

recommended good practice;
• Measures to be adopted at kebele or woreda level.
A specimen list of Activities and potential impacts is set out in Annex 8. This includes
identification of the cumulative impact, if any, of the combination of activity-specific
impacts.
The Woreda Extension Case Team NR Expert and Woreda Sociologist are responsible for
ensuring that any mitigation measures are implemented. If this requires actions outside the
NRMD and Social sectors they coordinate as required with the concerned sectors through the
Woreda Technical Committee. The mitigating Measures are set out in an Environmental and
Social Monitoring Plan as shown in Annex 9,
Livelihoods activities that have potential significant negative impacts which cannot be easily
mitigated are ineligible for the Livelihoods Strengthening component, and are identified on a
short-list in the Woreda Environmental and Social Guidance for Business Plans, which is
updated on an annual basis.
An indicative specimen draft of a Woreda Environmental and Social Guidance for Business
Plans is set out in Annex 8.
11.3 Environmental and Social Monitoring
In order to ensure that the requirements set out in the Woreda Environmental and Social
Guidance for Business Plans are implemented, the Woreda Extension Case Team NR Expert
and Woreda Sociologist follows an Environmental and Social monitoring procedure,
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identifying indicators to be measured and recorded at given intervals, as set out on an

Environmental and Social Monitoring Plan.
The Woreda Extension Case Team NR Expert and Woreda Sociologist will submit the data
required in the Environmental and Social Monitoring Plan to the Regional Extension staff
dealing with the Livelihoods Strengthening component, and the NR ESMF and Social
Specialists in the PWFU. Any requirements for rectification will be sent to the DA.
A specimen indicative draft Environmental and Social Monitoring Plan in Annex 9

represents an example for the three most common types of LH Activity. The Woreda
Extension Case Team NR Expert and Woreda Sociologist jointly develop such a matrix for
the activities in their own woreda. Normally this is done once, when an Activity is first
introduced. The data is accumulated; if and when a new LH Activity is introduced that might
have potential negative impacts if adopted at scale, a new version of Table 4 in Annex 8 is
compiled. Also, whenever a new Woreda Environmental & Social Profile is developed, Table
4 is reviewed updated, in case the features and risks in the Woreda Environmental & Social
Profile have changed.
Coordination, oversight and support to this process will be the responsibility of the federal
Livelihoods Strengthening Technical Team at federal level.
11.4 LH Group Activities
It occasionally happens that a number of households decide to form a LH Group linked to one
or more PW subprojects. Such a LH Group, which may be formed at the watershed-level or at
the PW subproject-level, may also benefit from the Livelihoods Strengthening sub-
component. Members of such a LH Group Activity may be either PSNP or non-PSNP clients.
Examples of such LH Group Activities include, for example:
• A Bee-keeping Group which needs to utilize a PW Area Closure subproject nearby

for growing the required bee-forage plants;
• An Export Crop Cultivation Group requiring shallow wells, which in turn need
adequate groundwater made available by PW subprojects;
• An Animal-Fattening Group utilizing a PW Area Closure subproject to ensure an
adequate supply of forage;
• A Vegetable Production Group set up to benefit from PW SWC activities in the
vicinity.
Such LH Group Activities will need to be Screened for potential environmental and social
impacts, in a manner similar to the Screening of a PW subproject. The Environmental and
Social Screening of the LH Group Activity will be conducted by the NRM DA with the
support of the woreda PW Focal Unit using the approach utilized for Screening PW
subprojects.
The PW program in a community watershed will influence which income-generating LH

Activities will be viable for the beneficiary households (both an individual HH- and Group-
level), and in some cases will be a condition for granting the concerned LH credits. For this
reason, PSNP5 is designed to strengthen the linkages between the PW and PH sub-
components.
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Part IV: Monitoring and Reporting
PART IV: MONITORING AND REPORTING

12. Monitoring and Reporting Structure
Reporting on Environmental and Social Risk Management will be in the form of an

Environmental & Social Management Report, issued twice per year. The report will include
Environmental & Social indicators covering the PW and LH subcomponents and the
implementation of the instruments designed to manage the broader social risks, namely the
GBV, OHS/CHS, GSD, SEP and LMP procedures, and the functioning of the GRM.
Environmental and Social issues will also be reported in the Quarterly and Annual Project
Reports.
Reporting will also include any significant social, labour, health and safety, security or
environmental incident, accident, or circumstance involving the Project, including,
explosions, spills; any workplace accidents that result in death, serious or multiple injury, or
material pollution; or any violent labor unrest or dispute between the Borrower or security
forces assigned to protect the Project and local communities; or any project related gender-
based violence, sexual exploitation or abuse suffered by beneficiaries receiving health
services at a health facility under the Project; or any other event or circumstance having, or
which could reasonably be expected to have, a material adverse effect on the implementation
or operation of the Project in accordance with the ESF. Sufficient detail will be provided
regarding the Significant Event, indicating immediate measures taken or that are planned to
be taken to address it, and any information provided by any supervising entity, as appropriate.
Subsequently, as required, a report will be prepared on the incident or accident and propose
any measures to prevent its recurrence.
13. Monitoring of the PW and LH Subcomponents
Monitoring of the implementation of the PW ESMF and the Livelihoods Strengthening

ESMF is an important aspect of ensuring that the commitment to environmental and social
sustainability of the PSNP is being met. The regular monitoring of the implementation of the
ESMF will be overseen at regional and zonal levels.
The ESMF Specialists in the regional Public Works Focal Unit (PWFU) and regional
Livelihoods Strengthening teams will receive the relevant information from each Woreda
ESMF Expert that is based in the woreda PW team/unit.
Direct supervision of project implementation will be at kebele, woreda, zonal and regional
levels, and this data will be inputs to the regular PW M&E system and the PW Mapped
Database System:
• The DAs, with assistance if required from the woreda line office concerned, will
ensure that the specified mitigating measures for the PSNP PW subprojects are
implemented, and that the Livelihoods Strengthening ESMF procedure is
implemented in the concerned woreda;
• The Woreda ESMF Expert and Social expert will verify that the proper procedures are
being followed for all the PSNP PW and Livelihoods Strengthening activities in the
woreda, and that no significant negative environmental and social impacts are taking
place. Where such impacts may occur, the Woreda EPO will provide advice on
actions to be taken.
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• At Regional level the ESMF Specialist(s) and Social Specialists in the PWFU will
monitor, in conjunction with the REPA:
o Implementation of the PW ESMF and of the procedures triggered by it, including
the PW Subprojects Screening procedure, the Integrated Pesticide Management
Guidelines, the Medical Waste Guidelines, the Dam Safety Guidelines and the
Physical Cultural Resources Chance-Finds Guideline.
The ESMF Specialist in the federal Livelihoods Strengthening Technical Unit will monitor:
• Overall implementation of the Livelihoods Strengthening ESMF, and

• The effectiveness of the Woreda Environmental and Social Guidance for Business
Plans in avoiding or minimizing adverse impacts, and the nature and extent of any
such impacts.
The PWCU, FSCD and MoLSA will also jointly ensure that the implementation of the
recommendations in the Enhanced Social Assessment and Consultation are monitored,
ensuring that all prescribed measures for under-served and particularly vulnerable groups
have been implemented.
In addition, targeted in-depth monitoring will be conducted annually by PW and LH

Reviews, supplemented by regular Spot-checks, in which sample woredas in the regions will
be visited in order to verify the implementation of the PSNP5 PW and LH ESMF procedures.
The need for rectification of any negative Environmental, Health, Safety or Social impacts or
non-compliance is detected and documented by the woreda staff during their verification
examinations of the PW subprojects and Livelihood activities. Rectification is the
responsibility of the woreda government, though they may call upon Project resources if
required in the form of a rectification or rehabilitation subproject.
14. Monitoring and Reporting on Broader Social Issues
Implementation of the Social Development Plan, Gender and GBV action plans as well as the
Stakeholders Engagement Plan will be reviewed bi-annually by the Social Development
Team based in FSCD in collaboration with the multisectoral Gender and Social Development
(GSD) team comprised from MOA - FSCD, Women Affairs Directorate(WAD), and NRM
and MOLSA. The SD taskforce10 will also provide support in the processes. Key social issues
at region and woreda level will be regularly monitored by MoA and MoLSA structures from
national to local level. Voluntary Land /Asset Donation related activities will be monitored
by FSCD and NRM ESMF experts from national to local level. MoA FSCD will compile
overall social progress reports that incorporates the implementation of the above-mentioned
plans.
10
The Program SD Taskforce comprised from both government and development partners; chaired by FSCD
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15. Proposed Environmental Indicators for the Environmental & Social

Management Report
Responsible for
No Indicator Source
Collection
PW ESMF
1 Percentage of PW subjects screened, by Region Quarterly and Annual NRMD
reports, PW Reviews, and
Percentage of subprojects with existing Mapped Database System
environmental problems or issues
Percentage of Subprojects referred to the Region

as being of Environmental or Social Concern”.
2 Percentage of subprojects for which required Quarterly and Annual NRMD
mitigating measures have been implemented, by reports, PW Reviews, and
Region Mapped PW Database
System
Percentage of PW subprojects with unmitigated PW Reviews NRMD
environmental impacts or risks.
3 Quality of ESMF Screening PW Reviews NRMD
Occupational Health and Safety (OHS)
4 Percentage of PWs participants with access to Kebele Cabinet/ KFSTF MoLSA
personnel protective equipment (PPE) where
required
5 Number of occupational accidents, occupational Spot Check MoLSA
diseases, dangerous occurrences, and
incidents categorized by fatal, non-fatal loss-time
injuries, and all other injuries
Livelihoods ESMF
6 Percentage of woredas with a woreda Quarterly Reports, Annual FSCD
Environmental & Social Profile reports, Livelihood reviews
7 Percentage of kebeles with Environmental & Quarterly Reports, Annual FSCD
Social business Guidance reports, Livelihood reviews
8 Percentage of kebeles in which the Quarterly Reports, Annual FSCD
Environmental & Social business Guidance is reports, Livelihood reviews
being used by the DA
ESOHS Training
9 Percentage of PSNP NRM DAs trained in Annual Reports NRMD
ESOHS
10 Percentage of PSNP Crop/Livestock DAs trained Annual Reports FSCD
in ESOHS
16. Proposed Social Indicators for the Environmental & Social Management
Report
Responsible for
No Indicator Source
Collection
Grievance Redress Mechanism
1 Number of Monitoring and Evaluation (M&E) Woreda Council FSCD
carried out by Woreda Council on the KAC
2 Number of grievances logged by MIS FSCD
• Type
• Gender of grievant
• Resolution status
• Implementation
3 Number of grievances escalated from KAC by Woreda Council FSCD
• Type
64
Responsible for
No Indicator Source
Collection
• Gender of grievant
• Implementation
Voluntary Land/Asset Donation (VLAD)
4 Number of HHs that provided VLAD by Project report and MoA, FSCD,
• region and Review, Woreda NRM
• subproject type
Gender Based Violence
5 Number of GBV reported cases by Review report MoA, MoLSA
• Type
• Status of actions taken
• Referral to appropriate response
services
Child Labour
6 Spot Check, review MoLSA
Number of child labour incidents
Gender and Social Development (GSD)
7 Number of pregnant women transitioned to Review MoA
TDS disaggregated by at or before 4 months,
and beyond 4 months of pregnancy
8 Number of labour constrained FHHs
received PW labour support
Stakeholder Engagement Plan

9 Number of public consultations held by Review/Report/ FSCD
woredas on beneficiary entitlements (annually)
10 Number of communications materials on Review/report/Spot Check FSCD
beneficiary rights developed and disseminated
to beneficiaries
11 Number of press materials Review/report/Spot Check FSCD

published/broadcasted in the local, regional,
and national media
Labour Management Procedure (LMP)

12 Percentage of Community Watersheds Teams Woreda Agricultural and MoLSA
that are aware of LMP Natural Resource Office
13 Percentage of PW participants who are not Kebele Administration/ MoLSA

below the age 18 and above 60 KFSTF
14 Percentage of watersheds sites with temporary Kebele Cabinet/ KFSTF MoLSA
or permanent childcare centers
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Part V: Stakeholders Consultation and Public Disclosure
PART V: STAKEHOLDERS CONSULTATION AND PUBLIC

DISCLOSURE
During the preparation of first phase enhanced social assessment, review has been conducted
based on mainly the existing consultation and studies before and during the course of PSNP4,
and explains how they have been integrated in the design of PSNP5. Since PSNP5 does not
involve any fundamental changes in the design, these findings have been adopted as entirely
relevant for the preparation of PSNP5. This was further complemented by the primary data in
second phase enhanced social assessment and consultations conducted with relevant
stakeholders and community representatives. The findings of phase I and II analyzed the
impacts of interventions on the ongoing rural safety net program on the most vulnerable and
historically underserved populations. Moreover, as part of the program’s Gender Analysis
and GBV risk assessment exercises, extensive community consultations with vulnerable
groups were conducted, and discussions were made with federal level stakeholders including
development partners which became part of the first and second phases of enhanced social
assessment and consultations.
The second phase of the ESAC, which has been conducted from October to November, 2020
with consideration of the Covid-19 Pandemic, has covered community consultations with
specific vulnerable groups, particularly those new to the PSNP, in order to develop any
community-specific or area-specific adjustments in Project design or implementation that
may be required in order to ensure that the project fully responds to those community needs.
The main objective of the Enhanced Social Assessment and Community Consultations
(ESAC), which is annexed here as Annex 19, is to ensure that the design of the PSNP5 is
inclusive and equitably supports the most vulnerable and historically underserved populations
in Ethiopia through assessing their specific needs and realities, identifying the potential
impact of the proposed interventions of PSNP5 on their sociocultural, economic and political
wellbeing. Thus, in the annex section both Phase one and Phase two reports were included,
but the Social Development Plan of the two phases were merged in the ESAC II so to avoid
repetition although reports of phase I and II are annexed.
17. Introduction
The constitution of Ethiopia recognized that citizens have a right to full consultation and
expression of their views in the planning and implementation of environmental policies and
projects that directly affect them. Likewise, the World Bank Environmental & Social
Standards (ESS 10) recognizes the importance of open, transparent and effective stakeholder
engagement plan to improve the environmental and social sustainability of projects, enhance
project acceptance, and make a significant contribution to successful project design and
implementation. The World Bank’s Environmental and Social Framework (2016) recognizes
the importance of early and continuing engagement and meaningful consultation with all
stakeholders. One among the eligible category is the communities living in the project
catchment area who are historically underserved, vulnerable and marginalized groups. The
other unit of interest of the stakeholder engagement deliberation includes the key
stakeholders, which have a significant contribution to the successful project design,
implementation and monitoring and evaluation activities. These stakeholders include main
implementing agencies or government offices, NGOs or other development partners.
The overall moral of the stakeholder consultation and participation activities is in order to
understand the concerns of affected people, and how the Borrower (FDRE) addresses such
66
concerns in project design and mitigation measure. Hence, as part of the comprehensive
ESAC, the stakeholder consultation –particularly the community consultation is to assess the
various social concerns and issues, which enable to understand the views/opinions and
recommendation of community members.
In line with the requirements of the ESS7, underserved people’s representative and
organizations were involved in the consultations. Accordingly, community consultations
were conducted with vulnerable and disadvantaged people and implementing bodies in the 8
sample woredas consulted in the six regions. The primary sources of data depended on
consultations conducted with key informants at federal, regional, woreda, NGOs and
development partners as well as beneficiaries, vulnerable and disadvantaged groups. Overall,
97 implementing stakeholders from all involving Regional Bureaus, Woreda Sector Offices
and Kebele level program implementers were participated in the consultation. Moreover,
consultations were conducted with 164 individuals representing the vulnerable, underserved
communities and beneficiaries of the program and in total 269 individuals participated.
18. Summary of ESAC Phase II PSNP5 Stakeholders and Community Consultations
18.1 Community consultation
Community consultation participants comprised project beneficiaries (PW clients, TDS

clients, PDS clients and PSNP emergency response clients) of the kebele selected from the
respective sampled PSNP woredas. Issues related to awareness, targeting, transfers, public
works, livelihood support, nutrition, and program impacts (positive and negative) were raised
to guide the discussions during community consultation. The participants stated that they are
aware of the objectives and components of the PSNP. Nevertheless, they expressed their
active participation in the planning of each component of the PSNP is very much minimal.
The social issues, concerns, gaps identified with their corresponding recommended actions
are summarized under the table below.
Table 11. Summary on Key Issues Raised and Recommended Actions

Social Issues, Concerns and Gaps Identified during
Recommended Actions
Community Consultations
Low participation of vulnerable or underserved Continues and timely participation before and during
communities the implementation of the project
Exclusion and inclusion errors during targeting, which • Ensure at least 30% of women members in FSTF
is higher for underserved and vulnerable groups due to and KAC.
lack of fair and transparent selection process, lack of
proportional representation and active involvement of • Provide annual awareness raising and technical-
women in FSTF and KAC, lack of awareness and based training for FSTF and KAC on gender
technical skills by FSTF and KAC members on sensitive PSNP provisions so as to express the
community-based selection process, acts of nepotism, interest of women for fair inclusion during
favoritism, abuse of power and corruption by DAs and targeting process and throughout the
kebele administrators, elite captures and none implementation period of the PSNP as well as to
responsive appeal system enhance their capacity for effective targeting and
mechanisms of handling complaints.
Serious supervision and follow-up measures and

actions on those members of the FSTF, DAs and
kebele administers engaged in acts of nepotism,
favoritism, abuse of power and corruption
Provide training for informal and traditional leaders to

strengthen their positive role in the targeting process
67

Recommended Actions
and devise a system to check the subjective or unfair
decision
Delay in transfers caused household asset depletion Ensure timely commodity movement from federal to
and other negative coping strategies. region and from region to PSNP woredas.
Avoid delay in budget release from federal to region
and from region to PSNP woredas.
Ensure on time payment request form submission and
preparation of payroll by woreda to region.
Promote e-payment system in PSNP woredas and
Inaccessibility of the location of payment and food kebeles with poor road infrastructure transport
distribution center, particularly for vulnerable groups commodities before the rainy season. Make the
payment and food distribution center accessible to all
by constructing a new center (as part of PW) at
relatively short distance.
Potential risk of mismanagement or misuse of transfer Ensure joint-client card ownership by wife and
when received by men and, thus, potential risk on husband for equal access of program resources or
household food security and ensuing disagreements transfers
and conflicts between husband and wife. Promote awareness creation among the PSNP clients
on the importance of women ownership over program
transfers and household resources
The type of food transfer may not always appropriate

to the food habit of the pastoral communities. Consult the preference of the pastoral communities
over payment modality or provide the kind of food
transfer that is appropriate to the food habit of the
pastoral clients.
Household consumption gap due to high inflation
rate/the eroded value of the cash transfer combined
with the inadequacy of transfer may increase risk of Review and adjust the compensation for the eroded
negative coping strategies and asset depletion. value of the cash wage rate should be made as per the
high rate of inflation annually.
Lack of participatory planning of PWs, increased Ensure the active participation of the beneficiary
workload especially for women, mismatch between households in the Kebele PSNP PW watershed
the timing of PWs activities and clients’ annual planning committee to prioritize PW activities and
farming/pastoral calendar. deciding on convenient timing of PWs. during annual
PSNP PW planning and verified during annual PW
review. Besides, consider the specific contexts of
household livelihood in the highland and lowland
areas
Some PSNP woredas, pregnant women participate in

Ensure effective participation of women in the
PWs until several months of their pregnancy. That
planning process of PWs to properly reflect and
may expose pregnant women and the fetus to serious
prioritize their special needs of labour engagement;
health and safety problems.
consider reduction of the working hour, number of
days or share of the household labor; and assign
women to light works to reduce the physical
exhaustion of labour-work.
Health and Safety risks associated with participation
of pregnant women in PWs in some woredas. Awareness raising for pregnant women to begin early
ante-natal follow-up for exemption from PWs
Children safety and nutrition risks for those women participation during SBCC sessions.
who left the kinds behind without having no adult
person at home for proper care or taking kids to do
PW activities by caring on their back. Construct daycare centers as part of PWs and facilitate
with the necessary equipment in pilot woredas.
68

Recommended Actions
Health and safety as well as equity issues arising from

disruption of downstream water users and the use of Create mutual understanding among up and down
agro-chemicals and pesticides by upperstream stream users of irrgation water users anually and set
households functioning water users group to address health, safety
and equity issues raised from irrigation water usage
PSNP livelihood support sub-component has not been Launch the livelihood support sub-component in Afar
commenced yet in Afar and Somali regions that and Somali regions as per the plan in design document
generated discontent.
For male-headed households, encourage women for the
In some regions where the livelihood component has targeting of livelihood support. For polygamous
been implemented for years, women in male-headed household, consider the chance of targeting for
and polygamous households are not targeted. livelihood support per co-wives.
There are serious complaints related to the unfair Re-consider previous PSNPs targeting criterion for the
targeting of livelihood support for the disadvantaged inclusion of vulnerable groups such as landless
and vulnerable groups. unemployed rural youth and new residents to woredas.
Provide affirmative action to fairly target for elderly-
headed households and disabled/persons affected by
chronic diseases as deemed necessary.
Access to basic adult education, Community Based Pay special attention to link the needs of TDS and
Health Insurance (CBHI) and legal services to PDS PDS clients to locally available social services such as
and TDS are basically limited in all PSNP woredas. health and nutrition, education, Community based
Health Insurance and legal services. Sign, implement
and monitor a tripartite MoU between MoA, MoH and
MOLSA, which clarifies roles and responsibilities and
reporting mechanisms.
Constraints related to financial supports: inadequacy Facilitate cultural appropriate credit service, increase
of livelihood grant, mismatch between demand and the amount of the livelihood grant and expand the
supply of micro-credit, pre-conditions put for load and access of micro-credit service as the mitigation
absence of cultural appropriate credit service measures.
The existing early warning system lack effective and Strengthening the existing early warning system for
easily accessible means of delivering warning effective and easily accessible means of delivering
messages to alert the potentially affected communities warning messages to alert the potentially affected
and among the key stakeholders for pro-active communities and initiate the key stakeholders for pro-
measures. active measures to avoid, reduce or properly mitigate
the impacts.
Targeting • Introduce use of PMT for exiting

• Inclusion and Exclusion errors • Strengthen downward and upward accountability
• Exclusion of newcomers in Afar and Somali of the project to ensure that people feel secure
who may not belong to the extended family, about their rights and entitlements (Social
lineage or even the clan which controls the Accountability tools)
territory • Create awareness among traditional authority
• The gender provisions related to targeting of structures and undertake information campaign to
polygamous HHs is not properly ensure that purpose and principles of PSNP5 are
implemented understood, including targeting procedures, etc.
• There is limited project beneficiaries and • Design targeting structures with careful
staffs’ understanding/capacity, consideration to the balance between formal and
implementation and reporting on GBV informal traditional authority structures
• Some clients specifically old people that • Implement and monitor the actions included in the
should be eligible to participate in DS are GAP and GBV action plans related to targeting,
targeted for PW GBV and GRM
• Conduct annual GRM review and include the
recommendations of the review in the project
69

Recommended Actions
GRM annual plan and reporting
• Limited functionality, effectiveness and • Capacity development and awareness raising for
gender sensitiveness of Kebele Appeals KAC members and traditional leaders concerning
Committees (KAC) the objectives of PSNP
• Coordinate with ESAP 3 to implement social
Exit from the program accountability mechanisms which creates the
• People may graduate before they are ready environment that enables beneficiaries to demand
Capacity better responsiveness and accountability from
• Low capacity at woreda and kebele levels implementers and managers. KACs should also
• Lack of staff and staff turnover as a result of receive adequate training on social accountability
poor motivation and remuneration resulting principles and the PIM in order to function
in the aggravation of the problem related to effectively
project implementation • Design and implement evidence-based project
• Weaknesses in monitoring and evaluation exit strategy
• Regular and focused capacity building trainings
for members of the various PSNP-related
grassroots committees
• Carry out spot checks
• Revise reporting templates to make space for
reporting on challenges related to participation in
PWs and Gender and Social Development PIM
provisions
Please see annex 5.3 of ESAC II findings for the detailed social issues, concerns and
identified gaps and recommended actions of community consultations.
18.2 Consultation with Federal and Woreda Level Stakeholders
The key issues raised during consultation with federal and woreda level stakeholders were
related to awareness, targeting, transfers, public works, livelihood support, shock-responsive
safety net and institutional arrangements as well as capacity gaps.
Table 12. Federal and Woreda Level Consultation Summary with Recommended Actions
Recommended Actions
Program implementers, particularly those at the Proper awareness raising training for these responsible
woreda and kebele level lack awareness of the shift of frontline staffs on the overall design changes of the
the targeting criteria in PSNP5 and what facts PSNP5 should be given well before the
necessitates the change. When probing for the commencement of the new targeting exclusion and
targeting criteria in PSNP5, these program inclusion errors
implementers still referred to the criterion of “chronic
food insecurity” that has been used for the previous
phases of the PSNP instead of the new selection
criteria of “extreme poverty” and “extreme
vulnerability to shock” for PSNP5. As woreda and
kebele level program implementers are responsible
frontline staffs, lack of awareness on the design
changes of the PSNP5 may have the risk to use the
earlier selection criteria while targeting for PSNP5
Exclusion and inclusion errors during targeting, which Ensure proportional representation and active
is higher for underserved and vulnerable groups due to involvement of women in FSTF and KAC
lack of fair and transparent selection process, lack of
proportional representation and active involvement of Provide training and technical supports to enhance the
women in FSTF and KAC, lack of awareness and capacity of the FSTF and KAC members on gender
technical skills by FSTF and KAC members on sensitive PSNP provisions, GBV, and mechanisms of
community-based selection process, acts of nepotism, effectively handling complaints
70

Recommended Actions
favoritism, abuse of power and corruption by DAs and
kebele administrators, elite captures and none Serious supervision and follow-up measures and
responsive appeal system actions on those members of the FSTF, DAs and
kebele administers engaged in acts of nepotism,
favoritism, abuse of power and corruption
Provide training for informal and traditional leaders to

strengthen their positive role in the targeting process
and devise a system to check the subjective or unfair
decision
Woreda level stakeholders identified several reasons Ensure timely commodity movement from federal to
for the delay of transfers including: delay of region and from region to PSNP woredas.
commodity movement from federal to region and from Avoid delay in budget release from federal to region
region to PSNP woredas; delay of budget release from and from region to PSNP woredas.
federal to region and from region to PSNP woredas; Ensure on time payment request form submission and
delay in request form submission by woreda to region preparation of payroll by woreda to region.
and related offices works; delay in submission of Promote e-payment system and in PSNP woredas and
payment request form and payroll preparation; and kebeles with poor road infrastructure transport
inaccessibility of some PSNP woredas and kebeles due commodities before the rainy season.
to poor road and communication network
infrastructure.
PSNP livelihood support sub-component has not been Launch the livelihood support sub-component in Afar
commenced yet in Afar and Somali regions that and Somali regions
generated discontent.
Poor capacity of monitoring and predication of sources Put in place the automation of the collection,
of shock management and access of early warning data to
enhance the existing poor capacity of monitoring and
prediction of short- and long-term sources of shock
providing adequate training for early warning staffs at
all levels on the automation system is necessary for
enhancing the capacity of monitoring and prediction of
shocks
Lack of awareness and proper functioning of KAC and Provide awareness training strong follow up for the
GRM functionality of the KAC ad GRM
High turnover of experienced staff particularly at the Re-structuring the salary and incentive payment
woreda and kebele level due to lack of salary system
increments, lack of incentives and large pay gap short-term training and update on PSNP provisions
between PSNP and similar channel 2 projects regarding the aforesaid issues is highly important to
seriously impede to effectively implement the program mitigate the problem
Please see annex 5.1 and 5.2 of ESAC II findings for the detailed
18.3 Summary
In summary, the first Phase PSNP5 ESAC identified the following main social issues and
challenges (i) limited access to Muslim-friendly financial services; (ii) PW plans may not
necessarily prioritize projects identified by women or alleviate their work burden; (iii)
possible negative impacts on children of parents working on PWs in the limited access to
child care services; (iv) remote nature of pastoralist communities and limited access to social
services; (v) resentment among PSNP clients caused by differing transfer value between
PSNP and humanitarian food assistance (HFA); (vi) limited aspiration by landless and food
insecure youths; (vii) health, safety and child labor on PW construction sites; (vii) limited
awareness and access to GBV prevention and response services; (viii) exclusion of new
71
comers in Afar and Somali who may not belong to the extended family, lineage or even the
clan which controls the territory; (x) mistrust towards the program GRM system; (xi)
increased demand in pastoral areas for livelihoods support services.
The outcomes of both phases- I and II assessment and consultations have been incorporated
into various aspects of the PSNP5 design and implementation guidelines. Detailed actions
proposed include, but are not limited to i) using Proxy Means Testing as a means of
strengthening targeting ii) Conduct proper awareness raising training for the program
implementers on the design changes of the PSNP5 and targeting criteria, iii) annual GRM
review and integrating the recommendation of the review in annual program plan to improve
the functionality and impartiality of the kebele appeal committees and its linkage to the wider
government grievance system; iv) considering the engagement of poor and landless qualified
youth as community facilitators; v) vi) revision of key GSD provisions such as participation
of women in PW planning process as well as reducing women’s burden and making the PW
timing convenient for women; vii) piloting and gradual expansion of early childhood
services; viii) extension of lactating women’s PW exemption to 24 months; vii) the necessary
measures are considered to implement scalable safety net; ix) expanded role of MoLSA
structures at all level to support the program to ensure linkage to social services including
GBV responses and child labour; x) implementation of the livelihood strengthening
component in selected woredas of pastoral areas as well as committed to work with financial
service providers to avail Muslim-friendly financial services. Oversight of the roll-out and
monitoring of the implementation of the ESAC recommendations will be the responsibility of
the FSCD in conjunction with MoLSA as appropriate.
19. Public Disclosure
The World Bank ESF requires that the government of Ethiopia and the WB to disclose the ESAC
and updated ESMF. The ESAC phase I and ESMF were disclosed as per the Bank requirements
and ESAC Phase II was initiated to address the gaps of consultation due to COVID 19 Pandemic
in the initial preparation. The disclosure is both in GoE where it can be accessed by the public,
including affected groups and at the World Bank external website.
The MOA, FSCD will make copies of the ESAC and updated ESMF accessible in selected
public places perhaps at national levels at the MOA and at applicable Regional government
offices for information and comments. The sub-projects will be publicized via various means of
communications. The notice will contain a short explanation of the programs alluded to where
and when the ESAC and ESMF can be viewed, period of the display, and contact information for
comments.
For meaningful consultations between the MOA, FSCD and potential project affected groups and
beneficiaries, the MOA, FSCD with the relevant body shall provide a relevant material in a
timely manner before consultation and in a form and language that are understandable and
accessible to the groups being consulted. In this respect, all concerned entities shall
prepare/compile the requisite materials beforehand.
To meet the consultation and disclosure requirements of the Bank, the Government of Ethiopia
will issue a disclosure letter to inform the Bank of,
• The Government’s approval of the ESAC;
• The actual disclosure of these documents to all relevant stakeholders and potentially
affected persons in Ethiopia; and
• The Government’s authorization to the Bank to disclose these documents in its Info
shop.
72
Annex 1: Integrated Pest Management Procedural Guideline
ANNEXES
The following guideline is the Government of Ethiopia Integrated Past Management

Guideline. It emphasizes the importance of IPM and stresses that the use of pesticides should
be only a last resort.
PSNP5 does not permit the procurement of pesticides, and the local government does not
purchase pesticides for use of PSNP PW subprojects. However, in the event that individual
farmers purchase pesticides, in order to ensure that World Bank standards are followed, the
following supplementary procedures must also be undertaken:
If and when a farmer on a PSNP subproject considers the purchase of pesticides, the DA will:
• Advise the farmer according to this IPM Guideline and in the event that the farmer
decides to use pesticides, assess the nature and degree of risks involved and advise the
framer on the necessary steps;
• Ensure that such pesticides are limited to those that comply with the World Bank
Environment, Health and Safety Standards and Ethiopia’s Pesticides Registration and
Control Decree No. 20/1990.
• Ensure that such pesticides do not contain ingredients restricted under applicable
international conventions.
• Ensure that such pesticides do not include those that have impacts on non-target
species.
In the event that in future the regulations of PSNP5 should change to permit procurement of
pesticides by the Project or by any associated agency, the woreda PWCU will ensure that a
risk hazard assessment and emergency response plan is developed and implemented for the
subproject concerned.
The Federal Democratic Republic of Ethiopia

Guidelines on the Implementation of Integrated Pest Management (IPM) for Small-
Scale Irrigation Schemes in the Productive Safety Net Programme
Introduction
At present, agricultural development is an area of top priority in Ethiopia, as is demonstrated

in the Government's commitment to attain self-sufficiency in crop production, so as to
sustainable ensure food security for the ever-increasing population of the country, and to
ensure that food security efforts are made to intensify grain production through the utilization
of agricultural input such as high yielding crop varieties, fertilizers and irrigation. Moreover,
recognizing the intolerable magnitude of losses due to pests and the need to introduce
ecologically preferable, socially acceptable, cost effective, rational and sustainable pest
management technologies to farmers, IPM has been accepted as a strategy for tackling the
problem.
73
Principles of IPM Implementation in Ethiopia
• The basic need for IPM implementation in the country is to increase yields in a
sustainable manner, and attain clean environment, safe food and healthy citizens.
• The emphasis of the IPM programme is on the reduction of or wherever possible, the
elimination of the use of pesticides to avoid the misuse of pesticides and to prevent or
at least to delay the breakdown of the agro-ecosystem through good crop management
decisions. This condition will enable the prevention of unnecessary stockpiling of
pesticides and their inevitable consequences of accumulating obsolete pesticides.
Implementation of IPM also helps the country to produce acceptable products for the
international market.
• The basis of good crop management decisions is a better understanding of the crop
ecosystem including that of pests, their natural enemies and the surrounding
environment.
• Traditional and indigenous crop protection methods that encourage the building up of
natural enemies, such as crop rotation, intercropping, host plant resistance,
appropriate planting time and planting density, use of local botanicals are highly
encouraged.
• Pesticides should be used only as a last resort.
• Where pesticide use is unavoidable, it is desirable to select locally registered
pesticides which are both effective at controlling pests and cause minimal damage to
the environment.
• The registered pesticide should be used according to Good Agricultural Practice
(GAP) only when absolutely necessary for the right crop at recommended dose and at
the right time.
• Farmer should use pesticide safety gear whenever they apply pesticides.
• Farmers should get training on safe use, handling and proper storage of pesticides.
• Creating awareness among the general public about the potential risks associated with
pesticide use is highly essential
Contents of an IPM Plan
In order to ensure that the above principles are followed, each small-scale irrigation scheme
should have an IPM Plan.
The IPM Plan may form part of the Irrigation Project Document.
The IPM Plan should, at a minimum, contain the following components and activities:
• Technical Assistance: The Woreda Crop Production and Protection Expert contacts
the Plant Health Clinic/Crop Protection Section of the Regional Bureau of Agriculture
and Rural Development (BoARD) for technical assistance;
• Training and Awareness-Creation: The Crop Protection Section of the Regional
BoARD arranges an IPM Training and Awareness-Creation workshop for the
members of the scheme, incorporating the above-mentioned principles;
• Pest-Resistant Varieties: The Development Agent (DA) and woreda Crop Production
and Protection Expert provide advice to the members on pest-resistant crop varieties
based on expertise and knowledge at regional, zone and woreda levels;
74
• Supervision: During scheme operations, the DA visits the members, on at least a

weekly basis, to ensure that the scheme is being operated as intended, to monitor the
presence or absence of pests, and provide advice on the management options.
Management should be in accordance with the IPM components favouring traditional
and indigenous pest management practices and conservation of natural enemies.
• Technical Information: The DA ensures that information is made available to the
members regarding the management of pests expected in the location concerned. In
the event that the need for pesticides arises, the DA provides advice on the
recommended pesticides and their usage, within the list of allowable pesticides as
established by the Pesticides Registration and Control Decree No. 20/1990 of
Ethiopia, and any other relevant legislation or regulations.
• Safety and Storage of Pesticides: The DA and Woreda Crop Production and
Protection Expert will develop and implement arrangements for the safe use, handling
and storage of pesticides, and the proper use, maintenance and storage of pesticide
spraying equipment. Storage should follow the instructions provided. Pesticides
should be kept separately, away from humans and animals in a closed, dry and secure
place. Any surplus or unwanted pesticides should be reported to the DA for disposal.
• Regular Monitoring: The Woreda team of Experts will conduct monthly visits to the
scheme, to monitor as follows:
Expert Responsible Indicators Monitored
Crop Production and Protection Compliance with IPM good
practice guidelines
Natural Resources, in conjunction with the Environmental impacts
Regional Environmental Protection Authority including human health, soil and
(EPA) water pollution
Livestock Hazards to animals, bees and
aquatic life, etc.
• Reporting: The Woreda team will report to the Regional BoARD (in some regions,
reporting will be to the Zonal office), which will take action, if required, to rectify any
shortcomings arising from the use of pesticides.
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Annex 2: Medical Waste Management Guideline
The Government of Ethiopia Guidelines for Waste Handling and Disposal in Health Facilities
(1998 International Calendar) are set out below in this Annex. In addition to these guidelines,
the following procedures are also required in order to ensure that the Health Posts built by the
PSNP5 Public Works programme meet the World Bank standards ESS3 and ESS4:
Health Care Facilities (HCF) Design Considerations: The design and functional layout of
an HCF should ensure the following:
• Separation of clean/sterilized and dirty/contaminated materials;

• Development and inclusion of adequate disinfection / sterilization procedures and
facilities;
• Design of water systems to provide adequate supplies of potable water to reduce risks
of exposure to Legionella and other waterborne pathogens;
• Provision of hazardous material and waste storage and handling areas; and
• Selection of easily cleaned building materials that do not support microbiological
growth, are slip-resistant, nontoxic, and non-allergenic, and do not include volatile
organic compound (VOC)-emitting paints and sealants.
Waste Minimization, Reuse, and Recycling: Facilities should consider practices and
procedures to minimize waste generation, without sacrificing patient hygiene and safety
considerations, including:
• Source reduction measures:

o Consider options for product / material substitution to avoid products containing
hazardous materials that require the product to be disposed as hazardous or special
waste and preferring products with less packaging or products that weigh less than
comparable products that perform the same function
o Use of physical rather than chemical cleaning practices (e.g. using microfiber
mops and cloths), where such practices do not affect disinfection and meet
relevant standards for hygiene and patient safety
• Use of efficient stock management practices and monitoring (e.g. for chemical and
pharmaceutical stocks), including:
o Small / frequent orders for products that spoil quickly and strict monitoring of
expiry dates
o Complete use of old product before new stock is used
• Maximization of safe equipment reuse practices, including:

o Reuse of equipment following sterilization and disinfection (e.g. sharps
containers)
On-site Handling, Collection, Transport and Storage: Unless refrigerated storage is

possible, storage times between generation and treatment of waste should not exceed the
following:
• Temperate climate: 72 hours in winter, 48 hours in summer

• Warm climate: 48 hours during cool season, 24 hours during hot season
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Treatment and Disposal Options: Facilities receiving hazardous health care waste should
have all applicable permits and capacity to handle specific types of health care waste:
• Chemical disinfection involves the addition of chemicals to kill pathogens in health

care waste. Waste should be mechanically shredded prior to treatment. Treatment
involves the use and handling of hazardous chemicals, in addition to disposal of
hazardous residues following treatment.
• Wet thermal treatment disinfects waste by exposing shredded waste to high
temperatures/pressure steam inside an exposure tank. Wastewater discharges and odor
may result. Autoclaving is a type of wet thermal disinfection process typically used to
sterilize reusable medical equipment. Dry thermal disinfection involves the shredding,
heating, and compacting waste in a rotating auger. Air emissions and wastewater may
be generated, and residues require disposal.
• Microwave irradiation involves the destruction of microorganisms through the
microwave heating action of water contained within the waste. Following irradiation,
waste is compacted and disposed of as part of the municipal waste stream.
Contaminated wastewater may also be generated.
77
GUIDELINE
FOR WASTE HANDLING AND DISPOSAL IN HEALTH FACILITIES
Prepared by:
Industrial and other Health Institutions

Hygiene Control Team Department of
Hygiene and Environmental Health
Ministry of Health
Sept. 1990 E.C. [1998]
Addis Ababa
Note:
The Guide is translated from Amharic into English for The World Bank
78
1. Introduction
As the result of advancement of the knowledge of prevention and control of communicable

diseases, better curing of the sick, man's average life expectancy is increasing from time to
time. This is the effect mainly of advancement of science, technology and modem treatment
systems.
Although the aim of establishing examination and medical service delivery system is to
provide medical care, yet if these facilities are not up to the desired standard, maintained
clean and safe they could pose high risk to the health care workers, patients, visitors and to
the surrounding community.
For example at present it has been identified in Canada, Japan and North America that
infectious wastes discharged from hospitals are becoming great concern as source of HIV and
Hepatitis B infections for health workers (doctors) nurses, health assistants, custodial and
maintenance workers) who are directly involved in handling infectious wastes. During the
last ten years medical wastes disposed from health institutions have become worldwide
political, social and economic issues.
Since the 1960s the quantity of wastes disposed from health institutions have increased
tremendously.
Because of the growth and wide distribution of plastic technology, disposables (use and
throw) medical supplies such as syringes, needles, plastic gloves etc. the wastes disposed
from research and health facilities, research laboratories etc. have increased both in quality
and quantity.
According to studies done in some countries it is known that a patient on average contributes
about 6.5 to 9 pounds (LB) of waste per day. Looking at Ethiopia's situation, according to a
study done in 1985 E.C by the Department of Hygiene and Environmental Health (MOH), in
46 hospitals and 76 health centers, up to 178,000 pounds (Lb.) of waste generated and
disposed per day. Similarly, a feasibility study carried out in 16 health centers and 48 clinics
revealed that most of the health facilities had no satisfactory liquid and solid wastes disposed
systems.
Furthermore, the situation became worse because most of the health facilities are old and did
not have adequate budget nor functioning technologic etc.
Therefore, giving due attention to the problems and moving towards action is timely question
of the day.
2. Objectives for the Development of the Guideline
2.1 To enable health professionals to protect themselves against health – hazards, which
might be encountered as result of their occupation.
2.2 To create awareness among workers in health facilities about the importance of safe
disposal of wastes generated from health facilities according to this guideline.
2.3 To prevent and control environmental pollution by wastes carelessly disposed from health
facilities.
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2.4 To provide technical support to health professionals and environmental health workers
engaged in day to day health inspection and control activities.
2.5 Comparing to the present faulty and indiscriminate infectious waste disposal pattern, this
guideline may seem to be unrealistic. However, it would indicate the future direction to
remedy. The situation and would lead towards establishing infectious and other wastes
disposal system that would meet heath safety and hygienic standard.
3. Definitions
3.1 Health Facilities (Institutions)
Places in which examination and treatment, medical investigation, microbiological, chemical,

toxicological, laboratory examination etc. are carried out.
3.2 Infectious Agent
An organism (usually microscopic). Such as bacteria, protozoa, fungus, rickettsia) virus

helminths that is capable of causing infection or infectious diseases in man.. The emphasis of
PSNP 4 on improved cash-food parity (a new food basket with 15 kg of grain and 4 kg of
pulses) is in line with the concerns raised by communities. Communities expressed the
importance and interest in being consulted regarding their preference during PSNP 4
3.3 Disinfection
Destroying and eliminating infectious agent through chemical or physical processes.
4. Some Major Types of Wastes Disposed from Health Facilities
4.1 Medical Waste
Any waste discharged from health facilities during work process, excluding nonhazardous
waste.
4.2 Non-hazardous Wastes
Wastes which are dangerous to health such as produced from food preparation (kitchen Taste
or garbage) offices, bathroom etc.
4.3 Pathological Waste
Wastes from blood and blood products, surgical remains of body parts, tissues, dead animals
etc.
4.4 Radioactive Waste
Liquid or solid wastes disposed from research laboratories nuclear treatment unit etc.
Containers of radioactive products, needles, syringes, gloves etc. used in radioactive

treatment processes.
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4.5 Chemical Waste
Wastes resulting after usage such as antiseptic, disinfectants, chemicals of acid and alkaline
nature, inflammables, corrosives, reactive etc. which are capable of causing danger to the
skin, or reproductive organ.
4.6 Infectious or Biological Waste
Type of waste that contains viruses, bacteria, intestinal worms, etc. mostly disposed from
research laboratory, surgical unit. Wound treatment room, delivery room etc.
4.7 Sharps
Includes stitches, sucher, needle, syringe needle, broken bottle and the like.
4.8 Pharmaceutical Waste
Includes discarded or expired medicines, supplies, pharmaceutical contaminated by

microorganisms.
4.9 Pressurized Containers
Containers of gases under pressure such as oxygen cylinder etc.
5. Health Facilities, Their Units, and Research Institutes which Generate and Disposed
Infectious and Other Waste During their Work Processes
• Hospitals, Health Centers and Clinics

o Surgical department
o Internal medical department
o Obstetrics department
o Genecology department
o Microbiology laboratory
o Nuclear medicine unit
o Emergency department
o Isolation and recovery unit
o Orthopedic department
o Pediatric department
o Morgue
• Research institutes
o Microbiological laboratory
o Toxicological laboratory
o Chemical laboratory
• Animal Examination and Treatment Institution
• Pharmaceutical Factories
6. Basic Precautionary Measures To Be Considered Before Storage of Infectious Waste
• Packaging condition of waste
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• Temperature level of the storage place and storage time. During storage it is
preferable that the storage time be four days at below 0 to 10 degree centigrade. This
is because higher temperature level increases bacterial multiplication rate thus
accelerated decomposition followed by emission of foul smell.
• Storage location and adequacy of the design
• Suitability of the storage place for making it free from microorganisms, and
conduciveness of pickup site
• Ensuring that storage place is inaccessible to insects and rodents
• Ascertaining that the containers of waste, cold storage place etc. have clearly visible
International Biohazard label or mark.
7. Waste Storage
One of the first job should be proper collection and storage of wastes generated during work
processes. The wastes collected from different workplaces or department must be segregated
or sorted out and must be stored properly arranged in temporary container or storage tanks.
The job of proper collection and storage of wastes produced from different work units require
the director indirect participation of most of the doctors, nurses, laboratory technicians, health
assistants, custodial workers etc. If these professionals participate in proper management of
waste disposal, then:
• It is possible to maintain cleanliness of the inside and outside of the health facility.
• It is possible to follow up the health status of the workers engaged in moving waste
from place to place.
• The cost of treating the waste can be minimized.
7.1 Waste Segregation and Storage Method

Then wastes discharged from different units must be segregated and placed in leakage roof,
noncorrosive iron sheet barrel or plastic containers. This alone is not adequate; hence, the
inside of the container should have plastic sheet, cover in order to avoid possibility of
leakage.
For example, wastes collected from administration, doctors or nurses’ offices should not be
stored with wastes disposed from - the delivery and operation rooms. In addition, infectious
waste should not be put in any container but stored in leakage proof strong plastic' bag or
plastic jar properly sealed or tied up.
Workers directly involved in handling wastes should identify each kind of waste carefully
and put in easily identifiable different colour plastic bag or container. This will enable to
collect and dispose hazardous wastes. This can be done us follow:
7.2 Black Plastic
This bag must be used to store wastes discharged from food preparation area and officers.
7.3 Yellow Plastic Bag
The yellow plastic bag should be used to store waste discharged from:
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• Surgical unit
• Internal medical unit
• Delivery room
• Isolation unit
• Recovery unit
• Infectious wastes produced from examination and treatment unit etc.
• Instruments like sharps must be stored in bags not likely to be torn or pierced.
For example, used blade, stitching needle, syringe etc. are contaminated, hence if one
carelessly or accidentally cut or pricked by these sharps, it will expose one to HIV and other
infections.
7.4 Red Plastic Bag
Chemicals and the related medicines should be stored in red plastic bag properly tied or
sealed.
• The plastic bag should be stored in leakage proof and noncorrosive plastic or iron
sheet barrel.
• The storage capacity of the barrel preferably be of 100kg for solid waste and 50 liters
for liquid waste.
• Each unit should have (as needed) of similar kind and capacity waste collection
barrel.
• All units, except the isolation word, should have place for placing non-dangerous
items.
• For tying or sealing it is not necessary to wait until the bag is full to the brim.
• Even though it is necessary to treat-disinfect infectious as soon as possible, yet if it is
not possible for various reasons the follow steps should be taken:
o Protect the waste from wind and rain.
o First dispose the waste which can decompose quickly
o If the waste storage place is outside the house, it should be placed in a reliable and
secure container.
o The waste should be protected from access to flies, rodents and similarly from
scavengers.
8. Handling
• The plastic containers in operation room and recovery word should be emptied at least
to twice daily into the main collection tank and new clean plastic bag be replaced
immediately.
• The waste should be handled only by the person who is assigned for the job.
• In case the waste is accidentally scattered spilled in the rooms or in other places. it
should be cleaned immediately and carefully be disinfected by disinfectant meant for
the purpose.
• It is possible to dispose non-hazardous waste through the municipal management
system or to transport by vehicle to the final disposable site.
• In order to safeguard the health, and to avoid accident such as cuts by sharps etc. the
porter must be provided with acceptable work clothes, gloves, protective eyeglasses,
muffles for mouth and nose and work shoes.
83
• It is necessary to assure that reusable or multiple use examination and treatment

supplies and other items should be properly cleaned and sterilized.
• For transporting the waste container or barrel from place to place there must be
trolleys or carts. The trolleys should be carefully handled to avoid tipping off the
content.
• All wastes produced from health facilities, except those from offices, kitchen,
compound cleaning, should be transported by specially designed closed containers.
9. Need for Treating Sold Infectious Waste
9.1 Need for Disinfection Infectious Waste Before Disposal
Wastes generated during work processes from health facilities must be made free from
microbial contamination before transporting to the find disposal site for the following
reasons:
• Treating the waste by chemicals, holding under high temperature heat, exposing to
radiation energy or burning the waste can destroy microorganism in the waste.
• Thus, the risk to human health and environment pollution can be prevented.
• Breaking into smaller pieces or shredding the waste can reduce the bulk volume of the
waste
• Body parts removed during surgical operation should be shredded before disposal to
avoid aesthetically unacceptable contrition.
• To avoid problem which might arise from disposable supplies such as needles,
syringe etc. after they have been used
9.2 Waste Treatment Facility
Selecting and setting up processes of waste treatment facility depends on the following
factors:
• Type and quantity of infectious waste to be disposed.

• Availability of waste treatment technology nearby or around the surrounding area.
• Having financial capability to procure necessary equipment.
• Availability of professional to operate and maintain the equipment.
• The equipment and work process should satisfy the requirement of the area.
• Opinions and goodwill of the community where the waste treatment activity is to be a
carried out.
9.3 Methods of Disinfecting Waste
Before final disposal the waste must be disinfected in order to avoid health risk to man and
environment pollution.
The infectious waste collected from different activity units must be treated beforehand to
prevent spread of microorganisms in the waste by applying chemical treatment, radiation
energy or other similar treatment method.
Provided the treatment is reliable, the treated waste can be disposed with municipal disposal
system, if no such system the waste can be transported by sucking truck to the selected final
disposal site.
84
However, discarded materials such as syringe, needle etc. must be disposed carefully in case
they might fall in the hands of scavengers to be sold for reuse.
9.3.1 Chemical Disinfection
Chemical treatment is a process of destroying microorganisms in the waste by using liquid

chemical disinfectants.
To disinfect using chemicals:
• Select appropriate chemical for the job.

• Determine the concentration level of the chemical selected.
• Determine the contact time of the chemical with the waste
• Reduce the bulk volume of solid waste by grinding, shredding or similar method.
• This will help to avoid reuse of such material at syringes, needles etc.
• Some strains of pathogens may be resistant to chemicals, hence medical wastes
treated by chemicals should be considered as hazardous to health and be handled
carefully.
Therefore, it is necessary to make bacteriological test on the waste treated to ensure its safety.
Method of disposing the chemical used for the treatment should be planned because the
chemical mixed with the liquid waste could create health hazard (see Annex 2)
9.3.2 Thermal Sterilization
Thermal sterilization is a method of treating waste by applying steam at 160-degree

centigrade temperature level in autoclave.
Autoclave is used for sterilizing surgical and bacteriological equipment and supply.
In order to ensure the effective functioning of the autoclave:
• Large and solid material like syringes, needles etc. should be reduced to small size by
breaking and compacting.
• Capable person be assigned for operation and maintenance of autoclave.
• The amount of waste produced and the capacity of the autoclave must compatible.
9.3.3 Sterilization by Microwave
This is a disinfecting method of waste produced during work processes by burning in

microwave oven.
• Small size of microwave oven can be applied for relatively small amount of waste
discharged from laboratory, while larger quantity of waste produced from health
facility require larger size microwave oven.
• Large and solid waste can be reduced to smaller size by shredding the waste.
• The waste must be held in the microwave oven for at least 30 minutes at 100 degree
centigrade.
• The disinfected waste bailed out from the microwave oven must be disposed
carefully.
85
9.3.4 Electromagnetic Radiation
This is a method of destroying microorganism in the waste by applying gamma ray or

electron beam. In order to destroy effectively the microorganisms in the wastes large and sold
waste have to be reduced to smaller size by grinding and compacting:
• Using electron magnetic beam or gamma ray for treatment method is relatively more
effective than other methods, however the cost is too high.
• The waste after disinfection must be carefully transported and buried.
9.3.5 Incineration
This is a method of destroying microorganisms. By incinerating or burning the waste in a

high temperature heat.
• If the health facility does not have its own incinerator, it is necessary to transport the
waste to the nearby unit which has incinerator and do the job carefully.
• If the facility has its own incinerator, ensure that the combustion of the waste in the
incinerator takes place at 1000 degree centigrade heat in order to reduce the smoke
and foul smell emitted.
• The incinerator must be designed and constructed with scrubber or cyclone device
which serves to control floc gas emitted during combustion process.
The purpose of the scrubber or cyclone is to filter out the floc gas emitted into the air.
Nowadays simple type of incinerators are designed and constructed at low cost. However,
since these incinerators function at relatively low temperature (heat), they emit smoke and
foul smell, thus contribute to environment.
When building small scale incinerator, it is necessary to take into consideration the height of
the chimney and wind direction for the purpose of reducing smoke and foul smell emission.
In places where high combustion calorific value, such as paper and the like are scarce, it is
possible to use kerosene oil etc. to facilitate combustion process.
• However, using radioactive material, pressurized gas in containers etc. should not be
used to start combustion.
• For small health facility a 200-liter capacity iron barrel or similar design can be set up
and used (Annex 4)
• Ashes drawn from the incinerator can be disposed in places designated by the
municipal or town administration.
9.3.6 Mechanical Treatment
This method involves the process of such as cutting or slicing to pieces the' removed body
parts into smaller size, compressing discarded syringes etc. and then disinfecting by applying
steam or disinfecting chemicals. Care should be taken not to spill blood or body fluid while
cutting or shredding process in order to avoid contaminating the workers or the surrounding.
Special care must be taken also white shredding such things as syringes and needles because
the bacteria-load fluid content can spread in aerosol form and contaminate the air.
86
10. Treatment of Fluid Waste
10.1 For Small Health Facilities Waste
Infectious wastes disposed from various treatment units are:
• Blood and blood product

• Biological culture
• Urine and stool
• Sputum and nasal discharge
• Wastewater from washing floors, walls and latrines.
The infectious waste from the above sources should be disinfected by applying chlorine
solution, phenol, creosol, Lysol etc. disinfectants and then must discharged into septic tank.
The amount of disinfectant applied should not be more than needed to do the job; otherwise it
will interfere with the decomposition process in the septic tank. Similarly, disposable (single
use) medical supplies, after use should be disinfected by chlorine solution etc. and then be
disarranged into the septic tank prepared for this purpose. The disinfected waste can be
collected and discharged into municipal system, if there is such, or can be transported by suck
truck to the final disposed site.
10.2 For Larger Health Facilities
10.2.1 Sewage Screening and Treatment Method
The treatment system can be small or large, depending on the volume of liquid waste to be
treated. Nevertheless, there must be provision for liquid waste treatment.
The liquid waste clarification process includes the following:
10.2.2 Screening for Removal of Large Size Solid Waste
This is a process in which liquid waste collected from different units before entering into the
sedimentation tank, is lead to pass through screen for retaining relatively large size solid
waste. In this screening process:
The Purpose of Screening is:
• To reduce workload on the next process of treatment steps.

• To avoid blockage of the flow pipeline for removal of sludge.
• To reduce solid material which can be collected in the aeration and sludge digester
tanks.
The wet solid material collected during screening process be placed in plastic bag sealed and
disposed carefully by burning at selected place.
10.2.3 Floating Mechanical Aerator
The aeration process is one of the steps of the biological treatment system.
Aeration process helps to decompose organic and floating waste component and to reduce
bacterial multiplication in liquid waste.
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10.2.4 Sedimentation Tank
The liquid waste coming from the floating mechanical lank is lead to the sedimentation lank.
Here floating and organic parts in the waste is made to sediment by adding ferrous sulphate to
accelerate the process. This process is assumed to reduce about 60% of solid and floating
waste and decrease the pollution rate of the waste by about 35%. However, after this process
chemical treatment is needed
10.2.5 Sludge Trickling and Driving Bed
The sludge collected in the sedimentation tank is bailed out by pumping and spread over the
sludge truckling and drying bed. The sledge trickling and drying basin contains gravel over
which the wet sludge is spread and made to trickle. After this the liquid component is
returned to the mechanical aeration and floatation chamber. The sludge that is collected over
the basin is dried by sunlight or electric drier and disposed by burning.
10.2.6 Chlorination Tank
The liquid waste (effluent) discharged after sedimentation process must be disinfected by
applying calcium hypochlorite solution through automatic feeder.
10.2.7 The Chemically Treated
Liquid waste (in 10.2.6 above) is made to flow slowly in a zigzagging tank to ensure proper
disinfection before discharging to the environment.
11. Disposal Method for Other Kinds of Toxic Waste Which Require Special Attention
11.1 Drugs That Can Cause Serious Damage to Human Tissues
Drugs for cancer control i.e. anticoplastic or thermotupuetic drugs, similarly empty containers
of drugs like vials and bottles, needles and syringes used for injections, gloves, bandages and
other items related to the drugs must be incinerated by professionals, disposed after
detoxified by chemicals. However, diluting the drugs with water and discharging to sewer
line must be recognized as a dangerous act.
11.2 Radioactive Materials
• Radioactive wastes discharged from examination and treatment facilities generally

have low radioactivity and short shelf life. Therefore, it is possible to store them and
hold until the radioactivity level is drastically reduced to zero or eliminated before
disposal.
• Items such as gloves, syringes, gauze and other items which had contact with, after
their service is over should be disposed of after holding them for adequate period.
However, for items in which radioactive was brought, or empty containers, the
Radiation Control Authority should be consulted.
11.3 High Pressure Contained Disposal
When there is need to dispose containers, which hold air under pressure, they should be
buried in a prepared deep pit or they should be returned to the dealer who provided them.
However, it should not be forgotten that burning these items is very dangerous act.
88
12. Solid Waste Disposal
Before transporting and disposing the waste collected from the health facility, in designated
place, the following factors must be considered:
• Wastes disposed from health facilities under conditions which are injurious to human
health, and pollute the environment; such wastes as syringes, needles drug container
and bottles, plastic dextrose bags, gauze, bandage and other items, disposed from
health facilities under dangerous conditions pose high risk to human health and the
environment. Furthermore, special care should be taken because these items can be
puked up by illegal scavengers and could be sold for other use.
• Improperly stored waste provides breading place for flies and harborage for rodent.
• In addition, it can create conditions favorable for spread of commutable diseases.
• It also spoils the aesthetic condition of the environment.
• The smoke emitted as result of burning the waste can contaminate the surrounding
with carbon monoxide, particulate and impart foul smell. In addition, it can contribute
to the transmission of respiratory illness.
• Solid waste contains pollutants of chemical and biological nature and when discharge
into rivers or water body, they are dangerous to aquatic organisms.
Furthermore, discarded items, such as needle, syringe and similar items of medical waste can
be carried by water flow to the coastline and could create health hazard to people recreating
in the water.
Therefore, in order to prevent and control the above listed problems as well as to prevent
danger that might arise from hazardous waste, health facilities preferably have compounds
with adequate space from proper disposal of waste.
However, if the area allotted to the health facility is inadequate, then the waste can be
incinerated or treated by chemical and can be buried in accordance to the guideline
requirement.
12.1 For Small Health Facilities
12.1.1 Incineration
Solid wastes (such as syringes, needles, sharps, bandages, discarded blood bags etc.) can be
incinerated in incinerators and the resulting ashes can be buried in the composed in pits
designated for the purpose (See Annex 4)
12.1.2 Disposal of Waste Inside the Health Unit Compound
If the health facility has adequate space, a circular or rectangular pit can be dug and prepared
for disposal of waste by burial method.
The depth of pit must be adequate for the waste generated. The walls and floor of the pit be
made of stone, the base should be raised from ground cover. The pit should have an openable
slab cover made of reinforced (with iron bar) concrete slab. The concrete slab cover serves to
prevent access of children, scavengers or animals to the buried waste (See Annex 5)
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13. Maintaining Cleanliness of Medical Supplies, Clothing and Rooms
• Various non disposables (multiple uses) medical supplies after service, must be
cleaned, by immersing in chlorine solution or phenol compounds before sterilizing in
autoclave in addition:
• Instruments which can stand high temperature heat can be sterilized by holding at 160
degree centigrade for one hour in the autoclave.
• Instruments sensitive to high temperature heat can be disinfected with chlorine
solution or phenol compounds before reuse. In addition, they can be effectively
disinfected (if possible) with gamma ray or ethylene oxide gas before reuse.
• Enamels made of iron or plastic, or beds painted in various colours; carts, drawers and
items of plastic covers must be properly washed with savelon or similar chemicals.
• Materials meant for single use (disposables) must be disposed immediately after use.
• When patients are discharged after cure or expired, the room and all medical and
other items used by the patient should be cleaned with chemicals and then sterilized
before use by new admission.
• Work clothes, gowns, especially those which had contact with infectious waste must
be sterilized in autoclave before sending to the laundry. The inside and outside of
shoes should be cleaned with phenolic compounds and be disinfected at least once per
day and sterilized in autoclave.
• The floor, walls and ceiling must be made of cleanable materials and be cleaned with
phenolic compounds at least once per day.
• It is necessary to use wet vacuum or filter dry mopping method for cleaning the floor.
But dry mopping or sweeping of floor raise dust, hence is strictly forbidden.
• The mop should be cleaned with soap and water and then be immersed in Phoenolic
compound and kept in it for a reasonable time.
• All lavatory seats, fittings, wash hand basins, bathtubs etc. must be washed with
powder detergent and then cleaned by savelon.
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References
1. WHO. Manaoinz medical Waste in Developing Countries, Geneva 1994.
2. G.C. Gibson. Infection in Hospitals. 2nd edition, Churchill Livingstone, London, 1974,
3. WHO, Management of Waste from Hospitals, Geneva 1984.
4. EPA, Medical and institutional waste incineration, seminar pub. Washington DC., 1991
5. EPA, Operation and maintenance of Hospital medical waste incinerator Cincinnati, 1990.
6. Franklin H.Top, Control of infectious diseases in zeneral hospital, American. PH. Ass.
New York, 1968
7. Doan J. Hansen, The Work environment, Vol. 2., Flored 9, 1993.
8. Bascett W.H, clayis Hand Book, of Environmental Health 16th edition.
9. Ehlers, victorm., Municipal and rural sanitation, 6th edition McGraw Hill, inc., New
York, 1965.
10. Holmes, Gwendolyn, Hand Book of Environmental Management and Technology Wiley
interscience pub., New York, 1993
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Categories of Institutions' Waste
1. General Waste
• Paper
• Wood
• Ashes
• Cardboard
• Cartons
• Plastics
• Rags
• Wood scraps
• Empty Cans
• Food Remains
• Vegetable remains
• Toilet Waste
2. Infectious Waste
• Isolation Room Waste

o Waste from patients with diseases considered communicable (blood, excretion,
exudes, secretions)
• Cultures
o Culture and stocks of infectious agent from clinical and research laboratories
o Disposable culture dishes,
o Devices used to transfer, inoculate and mix culture
o Discarded live and attenuated vaccines
• Animal Waste
o Contaminated animals carcasses
o Body parts
o Beddings of animal that were known to have been exposed to infectious agent
o Human Blood and Blood Products
o Waste blood
o Serum
o Plasma
o Blood products
o Fluids. /residuals
o Containers which were used in patient care, testing, laboratory, analysis,
intravenous bugs.
• Pathological waste (removed during surgery, autopsy & biopsy)
o Tissue
o Organs
o Body Parts Limbs
o Blood
o Body fluid and their containers
o Obstetrical Waste (Placenta, Still birth)
• Contaminated equipment (Medical & Surgical)
o Blood transfusion sets
o Catheters
o Colostomy bags
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o Examination gloves
o Surgeon gloves
o Ryle's tubes
o Sputum Container
o Needles
o Syringes
o Spigots
o Oxygen mask
o Iv. Cannulae & infusion sets
o Urine, drainage bags and tubs
o Spatulae renal tubes
o Tracheostomy sets
o Scalpel blades
o Pasteour pipettes
o Blood vials (Slides and Convers Slips)
o Broken and unbroken glass ware
o Swabs, absorbants
o Tougne depressers
o Beddings, Shavings, Feacal Matter
o Gauze, pads, bandages and garments
o Plastics, etc.
o Bed Pan covers
o Dressing towels
3. Laboratory and Pharmaceutical Chemicals (care should be taken in handling)
• Alcohols
• Disinfectants
• Antineoplastic agent
• Heavy metals
• Insecticides
4. Radioactive Waste
• Nuclear medicine diagnostic and therapeutic

• Contamination of radioactive spills
• Solid, Liquids and gases from analysis procedure, body organism imaging and tumors
localization, and treatment
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Annex 3: Safety Guidelines for Dams
Definition of the Height of a Dam

A Large Dam is one with a height of 15 metres or greater from the lowest foundation to crest,
or with a height of between 5 and 10 metres impounding more than 3 million cubic metres
The “lowest foundation” means the lowest elevation of the dam’s body after foundation
excavation. This does not consider additional foundation excavation and treatment, such as
cutoff wall, in some local areas.
The example below refers to a concrete gravity dam. As highlighted in yellow, you can see
that the dam crest elevation is 186.5 masl (metres above sea-level), and its foundation
elevation is 115.2 masl.
Since the height is vertical distance between the dam crest and the lowest foundation, the
height of this dam is 186.5 masl – 115. 2masl, i.e. 71.3 m.
The structural stability of the dam under various loading condition needs to be examined
based on this profile.
A. Existing Dams
If the subproject involves depending on an existing dam or a dam already under construction
(regardless of size), arrangements must be made for one or more independent dam specialists
to:
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• inspect and evaluate the safety status of the existing dam, or dam under construction,
its appurtenances, and its performance history;
• review and evaluate the owner’s operations and maintenance procedures;
• provide a written report of findings recommendations for any remedial work or
safety-related measures necessary to upgrade the existing dam or dam under
construction to an acceptable standard of safety.
B. Construction of Dams
Where the PW subproject involves construction of a Low-Risk Small Dam (i.e. not a Large
Dam, and not a High-Risk Small Dam, which are ineligible), the following guidelines apply:
The dam safety measures must be designed by qualified engineers in accordance with Good
International Industrial Practice, which will be adopted and implemented.
All small low-risk dams will require an Environmental and Social Impact Assessment (ESIA)
determining that there will be no, or negligible, risk of significant adverse impacts, due to
potential failure of the dam structure to local communities and assets, including assets to be
financed as part of the proposed subproject.
For small dams with low risks, the DA is encouraged to consider possible participation of
community organisations or water user groups for dam safety assurance, such as basic
surveillance, monitoring, reporting, repairs, emergency preparedness, etc.
For small dams with low risks the following guideline should be followed:
C. Latest Ethiopian Small Dam Safety Guideline
1. Introduction
Benefits which will accrue from the promotion and achievement of adequate dam safety
practices include environmental protection, public confidence, and the commercial benefits to
the owner of constructing and maintaining in a safe and insurable condition, what is usually a
significant investment.
The owner of a dam is responsible for:
• safely operating and maintaining the dam;

• giving appropriate warnings if the operation or failure of the dam could cause
damage;
• compensating damage caused by the operation or failure of the dam.
The overarching dam safety objective is to protect people, property and the environment from
the harmful effects of mis-operation or failure of dams and reservoirs. To ensure that dams
and reservoirs are operated and that activities are conducted so as to achieve the highest
standards of safety that can reasonably be achieved, measures have to be taken to achieve the
following three fundamental safety objectives:
• to control the release of damaging discharges downstream of the small dam,

• to restrict the likelihood of events that might lead to a loss of control over the stored
volume and the spillway and other discharges,
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• to mitigate through onsite accident management and/or emergency planning the

consequences of such events if they were to occur.
These fundamental safety objectives apply to dam and activities in all stages over the lifetime
of a dam, including planning, design, manufacturing, construction, commissioning and
operation, as well as decommissioning and closure.
2. Parties Involved
The main parties that are involved in dam are the owner or developer, the supervising body,
the technical adviser/engineer, the contractor, and the public, who may be affected directly or
indirectly by the dam. The dam owner for small dams to be constructed by PSNP5 is the
Ministry of Agriculture. Small Dam owners are responsible for the safety and the liability of
the dam and for financing its upkeep, upgrade, and repair. The common legal understanding
is that the dam owner is the developer of the dam, and is therefore responsible for the
potential impacts, which the impoundment of water may have on upstream or downstream
life, property and environment. It is the owner who holds the various legal permits for the
dam and is legally responsible for maintaining the dam in a safe condition and for operating it
safely. For the detail of the parties involved and their roles and responsibilities, please consult
the dam safety guideline.
3. Legal and Regulatory Framework
Ethiopian policies and legislation related to dams and dam safety issues are as follows:
• Ethiopian Water Resources Management Policy (1999)

• Ethiopian Water Resources Management Proclamation (Proclamation No. 197/2000)
• Water Resources Management Regulations
• Environmental Laws: The environmental laws related to the dam construction are:
Environmental Policy of Ethiopia (1997), National Conservation Strategy,
Environmental Pollution Control (No.295/2002), Environmental Impact Assessment
(No 299/2002), EIA Assessment Guideline Document in 2002 and EIA Procedural
Guideline in 2003.
• Occupational Health and Safety law (Proclamation No.42/1993).
4. Dam Failure and Dam Hazard Classification
Dam Failure
If a dam fails, the owner is likely to be held legally liable for all associated damage. To
minimize the possibility of failure and the attached liability, the owner should use the
services of a suitably qualified engineer to design and construct the dam; make periodic
visual inspections of the dam; monitor conditions that may affect the safety of the dam;
perform regular maintenance; carry out repairs where and when required to meet current
design and construction standards; and have an experienced dam engineer investigate any
unusual conditions which could result in partial or total failure.
The three major failures modes of small dams in Ethiopia are:
• Sedimentation behind dam: sediments deposited clog outlet and intake structures
• Seepage loss through foundation and embankment
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• low catchment yield and low volume of stored water in dams
The most common causes for failure of small dams in Ethiopia would be as follows:
• Design is not adequate (hydrological, geotechnical, hydraulic).

• Very limited site investigations are undertaken and consequently understanding of site
• conditions is poor.
• Embankment placement methods are substandard e.g. soil compaction methods.
• lack of watershed management practices
• Maintenance or inspection frequencies are inadequate.
To avoid or minimize the problem, the dam owner is responsible for safety inspection of the
dam periodically during all phases of the dam design, construction, and operation and
maintenance.
Dam Hazard Classification
The destructive force unleashed by an uncontrolled escape of water stored behind a dam has
the potential to harm people, property and the local environment. The consequential losses
can include loss of life, socio-economic, financial and environmental losses. Measures can be
taken to reduce the risk to an acceptable level and that is what dam safety is about. For this
ESMF, three dam hazard classification levels are adopted as low, significant, and high, listed
in order of increasing adverse incremental consequences. Dams assigned the low hazard
potential classification are those where failure or mis-operation results in no probable loss of
human life and low economic and/or environmental losses. Losses are principally limited to
the owner’s property. Dams assigned the significant hazard potential classification are those
dams where failure or mis-operation results in no probable loss of human life but can cause
economic loss, environmental damage, disruption of lifeline facilities, or can impact other
concerns. Significant hazard potential classification dams are often located in predominantly
rural or agricultural areas but could be located in areas with population and significant
infrastructure. Dams assigned the high hazard potential classification are those where failure
or mis-operation will probably cause loss of human life. The small dam safety guideline is
intended for the owner of dams with hazard potential classification of Low.
5. Planning of Small Dams
There are some fundamental principles which should be applied through the investigation,
design, construction and commissioning stages to achieve an adequate level of safety. The
principles are:
• the competence and experience of the owner’s agents relative to the nature and dam
hazard category of the dam, must be appropriate in all areas;
• there must be a cooperative and trusting relationship between the owner and technical
advisers, and the designers must be given full control over decision making in critical
areas;
• the owner must agree to apply the appropriate level of funding for investigations,
design and construction to reduce the chances of critically important issues
(particularly related to foundations) being not sufficiently well assessed or under
protected;
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• the designer/technical adviser has a duty not to compromise unduly due to financial
pressures from the owner, developer or contractor;
• continuity of key technical advice should be maintained throughout all stages of the
dam from development, through design, construction and commissioning, to reduce
chances of critical points of design philosophy and intent being misinterpreted during
construction or commissioning.
Dam Site Investigation
Selecting the Dam Site
When choosing the location and size, the dam owner should consider what would happen if
the dam failed suddenly and whether it would result in loss of life, injury to persons or
livestock, damage to houses, buildings, roads, highways or railroads. The owner of the dam
should ensure to avoid locating the dam where run-off from houses, dairies or septic systems
can pollute the water.
Considerations at Investigation Stage
Technical Consideration
Site selection and site investigations are critical components to the success or failure of a
dam. Regarding the technical consideration the following important aspects should be
considered:
• The catchment is the area of land from which run-off is to be collected. If it is the
main source of water supply, make sure that it can yield enough water to maintain
both, the supply in the dam and the required releases over all periods of intended use.
The catchment area however should not be too large, as it will then require a big and
expensive overflow system (or spillway) to safely pass excess run-off from heavy
rainfall without overtopping the dam.
• Topographical features such as slope, width and height of dam, as well as reservoir
capacity will influence construction costs.
• Conducting site tests to establish the material properties for the embankment and
foundation.
• A good location for a spillway that will effectively handle runoff and minimize
erosion.
• Watershed activities that can affect the water quality or quantity of runoff.
Environmental Considerations
Dams with their associated reservoirs can have substantial environmental effects and any
existing dam or new project must comply with the Ethiopian environmental legislations and
associated licensing or permit requirements. It also complies with World Bank ESF ESS4 . It
should be recognized at the outset that dam developments have effects extending beyond the
immediate confines of the dam and inundated areas. For example:
• Reservoir slope stability may become a dam safety issue due to the risk of
overtopping caused by large volumes of reservoir water being displaced by slope
failures.
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• Sitting of the dam/reservoir must take into consideration the local earthquake and
faulting activity which may cause breaching of the dam
• Groundwater level changes may affect stability and land use around the reservoir
margins and possibly adjacent to the downstream river, as a result of changed water
levels.
• Trapping of sediments in the reservoir can result in upstream shoaling and loss of
reservoir storage.
• Flora/fauna effects may occur in storage basin, downstream, and in passage around
and through the dam.
• Minimum flow maintenance downstream of the dam to ensure the survival of flora
and fauna, and to reduce causes of stream bed deterioration.
• Social development/changes to downstream use given the changed flood situation.
Dam Design
Embankment Dams Design
The single most common cause of earthen dam failures is overtopping of the embankment.
An undersized spillway will lead to overtopping; therefore, spillway design is critical to
reservoirs. The spillway must be located such that discharge will not erode or undermine the
toe of the dam. If the banks of the spillway are made of erosive material, provision must be
made for their protection. Consideration must be given to the hazard to human life and
potential property damage that may result from the failure of the dam or excessive flow rates
through the spillway. Further consideration must be given to the likelihood of downstream
development that may result in an elevation of the hazard classification.
Extreme Events
Large earthquakes, storm/flood activity and failure of upstream dams can be considered
extreme events. The risk of failure from these events is minimized by using engineering
design standards and relevant guidelines incorporating adequate margins of safety.
Emergency preparedness set up well in advance is the only available measure of reducing the
impact when a dam failure is about to happen.
Sedimentation
The effective life of many of small dams is reduced by excessive siltation – some small dams
silt up after only a few years. This issue is poorly covered in the many small dam design
manuals that are available, as they mostly focus on the civil engineering design and
construction aspects. Appropriate methods/tools have to be chosen to predict, and where
possible reduce, siltation rates in small dams.
6. Construction of a Dam
The quality of construction is all-important to dam safety. As far as construction is

concerned, the following requirements are necessary from the dam safety viewpoint:
• the contractors must be suitably experienced and committed to achieving the

standards of work specified;
• the level of supervision of the works, quality assurance procedures and designer
continuity, must be appropriate to the scale and complexity of the dam;
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• the owner must recognize that inherent uncertainties may remain after design
investigations and only be revealed during construction, and have funding in place to
deal with costs arising from additional requirements identified during construction;
• any area identified in the design process as requiring confirmation by the designer
during construction, must be totally under the designer’s control, and no design
change, however small, shall be made without the designer’s review and formal
approval;
• a suitably detailed design report and drawings showing the as-built structure of all
components of the dam and foundation shall be developed as an on-going and integral
part of the construction supervision process, and be prepared after completion of each
component so that there is a reliable record to refer to at all times in the future.
Therefore, the dam owner should ensure all the above-mentioned requirements are fulfilled
and complied.
Selecting the Contractor
The use of inexperienced contractors and/or inadequate supervision can develop into an
expensive liability. Nothing can take the place of a reputable contractor, using appropriate
equipment and experienced machine operators and working under supervision of an
experienced engineer.
Construction Supervision
Construction supervision is an important phase of dam construction. Supervision is meant to

ensure that the design factors and specification requirements have actually been included in
the final product. If foundation preparation, material selection, outlet/spillway installation and
embankment compaction are not properly carried out then the safety of the dam will be
compromised. So, for all small dam types (both earthen and rock fill) expected to be
constructed, all the dam safety requirements applicable should be considered accordingly.
7. Safety Surveillance
Purpose of Regular Inspection
The purpose of a dam safety surveillance program is to avoid failure of the dam, by giving
early warning of any kind of symptom of trouble as early as possible. It is the most
economical and effective means an owner has of maximizing the long-term safety and
survival of the dam. Its primary purpose is to monitor the condition and performance of the
dam and its surroundings.
Frequency of Inspections
The frequency of inspection required for an effective program of surveillance depends on a

variety of factors including:
• Size or capacity of the dam;

• Condition of the dam; and
• Potential for damage resulting from failure of the dam (represented by the hazard
category).
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Adoption of the inspection frequency for a particular dam is the responsibility of the owner,
though professional advice should be sought for large dams or those categorized under
significant and high hazard dams. According to the dam safety guidelines prepared for PSNP,
the suggested inspection frequencies for small dams of less than 15 m height for the two
levels surveillance (quick visual inspection and comprehensive examination) is presented in
the table below and should be followed critically.
Quick Visual Inspection

Dam Hazard Potential classification
High Twice weekly
Significant Weekly
Low Fortnightly
Comprehensive Examination
Dam Hazard Potential classification
High Monthly
Significant 3-monthly
Low Twice-yearly
Special Inspections
Special inspections will be required after unusual events such as earthquakes, major floods,
rapid drawdown or volcanic activity. Special inspections should enable the dam owner to
become aware of faults before partial or total failure occurs. Times when inspections
additional to those above are recommended are:
• before a predicted major rainstorm (check embankment, spillway and outlet pipe);
• during and after severe rainstorms (check embankment, spillway and outlet pipe);
• after any earthquake, whether directly felt on the owner's property or reported by local
news media (check all aspects of the dam).
Inspections should be made during and after construction and also during and immediately
after the first filling of the storage.
Dealing with Problems
A systematic program of safety surveillance should maximize the likelihood that any
developing conditions likely to cause failure would be found before it is too late. Surveillance
will also help early detection of problems before they become major repair bills. As identified
earlier typical problems (many of which are treatable if found early enough) are most likely
to fall into one of the following categories: seepage/leakage; erosion; cracking;
deformation/movement; concrete structure defects; and spillway blockage.
Instrumentation and Monitoring
Instrumentation at a dam furnishes data to determine if the completed structure is functioning

as intended, provides a continuing surveillance of the structure, and is an indicator of
developments which may endanger its safety. Typical items instrumented or monitored
include:
• profiles and condition, deformations, seepages or damp areas (visual)

• reservoir water levels which relate to dam loads and flood behavior
• local rainfall which relates to background seepages
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• drainage and distinguishable seepages which relate to control of leakage water flow
• clarity of seepage flow which relates to potential erosion of embankment or
foundation material.
• water pressures within the dam and foundations which relate to structural behavior
• movement or deformation of the dam surface and internal structure which relates to
structural behavior
• stresses within the dam which relate to structural behavior
• seismic acceleration which relates to structural behavior
8. Operation and Maintenance of Dams
Effective and ongoing operation, maintenance and surveillance procedures are essential to
ensure the continued viability and safety of a dam and its appurtenant structures. Poor
operation, maintenance and surveillance will invariably result in abnormal deterioration,
reduced life expectancy and possibility of failure. The proper operation, maintenance and
surveillance of a dam provide protection for the owner and the general public. Furthermore,
the cost of good operation, maintenance and surveillance procedures is small compared with
the cost and consequences of a dam failure which could include major repairs, loss of life,
property damage and litigation. Because many small dams fail through lack of maintenance,
it is prudent to have a definite and systematic maintenance plan. The maintenance plan
should be decided upon when the construction work on the dam is completed. It will affect
the life of the storage if it is not maintained properly. A good plan should include the
practices to be used, as well as the approximate time of the year when they are applicable.
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Annex 4: Physical Cultural Resources: Chance-Finds Procedure
A. Individual Small Artefact
If PW subproject excavation or construction encounters an individual small item of movable

physical cultural resource (PCR) such as a coin, work can proceed but the artefact should be
handed to the DA. The DA will then perform the following tasks:
• The DA will take the artefact to the Woreda Office of Tourism and Culture, together
with a brief written Chance Finds Report (copied to the Woreda ESMF Focal Person)
containing:
o The date and time of discovery
o Location of the discovery
o Description of the PCR
o Estimated weight and dimensions
• The DA will then arrange for the work force to resume work as before.
• If further artefacts are found in the same or similar location, the DA will follow
procedure (B) below.
B. PCR Site or Cluster of Artefacts
If PW subproject excavation or construction encounters substantial PCR such as an

archeological site, a historical site, a group of cultural or historic artefacts, a graveyards or
individual grave(s) or any apparently human remains, the DA will perform the following
tasks:
• The DA will stop the construction activities in the immediate area of the chance find,
and proceed with alternative works elsewhere within the subproject;
• The DA will delineate the discovered site or area;
• The DA will secure the site to prevent any damage or loss of removable objects. In
cases of removable antiquities or sensitive remains, the DA will arrange for day and
night guards until the Woreda Office of Tourism and Culture can take over;
• The DA will submit to the Woreda Office of Tourism and Culture and the Woreda
Environmental ESMF Focal Person a brief written Chance Find Report, containing:
o The date and time of discovery
o Location of the discovery
o Description of the PCR
o Estimated weight and dimensions
o Temporary protection measures implemented.
• The Woreda Office of Tourism and Culture and/or Woreda Environmental
Environmental/ESMF Focal Person will notify other concerned local authorities if
necessary (e.g. Church, police, etc.);
• The Woreda Office of Tourism and Culture will be in charge of protecting and
preserving the site before deciding on the appropriate procedures. This may require a
preliminary evaluation of the findings to be performed by the archeologists or other
experts of the Woreda Office or the Regional Bureau of Tourism and Culture, who
will ascertain the significance and importance of the findings, according to the various
criteria relevant to cultural heritage;
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• As soon as possible the Woreda Office of Tourism and Culture should notify the DA
what measures are being taken to safeguard or remove the PCR, and whether, and
when, work can resume in the concerned area. This notification may require the DA
to change the design or layout of the subproject.
• Implementation for this decision shall be communicated in writing to the Woreda
ESMF Focal Person and DA by the relevant local authorities. Construction or
excavation work in the concerned area may be resumed only after such permission is
received.
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Annex 5: Internationally Disputed Areas
Annex 5: Internationally Disputed Areas
The PSNP5 ESMF disallows any PW activities within disputed areas.
The disputed areas in question were close to the Ethiopia-Eritrea border. Four such areas are
identified on the sketch map below, which is based a map of the disputed areas provided to
The World Bank by UNMEE in October 2004. Since there may still be residual issues in
connection with these areas, and to err on the side of caution, the PSNP5 ESMF procedure
will retain these areas as internationally disputed until further notice.
The disputed areas are four in number:
• Irob (in Irob Woreda)

• Marta (in Gulomahda Woreda)
• Quinto (in Gulomahda Woreda)
• Ora (in Gulomahda Woreda)
It is essential that no Public Works activities whatsoever (including SWC) are carried out in,
or adjacent to, these disputed areas. Therefore, if there are PSNP PW beneficiaries living in
these areas, their PW activities should be organized outside the disputed area.
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Annex 6: ‘Alignment of Operations’ Checklist and Procedure
When the DA (or woreda expert) screens a sub-project, he or she is now required to answer
an additional question: “Will this sub-project be inside a Commune Centre, or close enough
to a Commune Centre to have any potential direct or indirect impacts on it, or on the people
in the Commune Centre?” Yes/No
• If ‘No’, there is nothing additional to be done. Proceed with the ESMF Screening as
usual.
• If ‘Yes’, the checklist on page 2 should be completed by the DA (or woreda expert),
then proceed with the ESMF Screening.
• The completed checklist should be forwarded, together with a copy of the completed
ESMF Screening Form, to the Regional PWFU for onward transmission to the federal
ESMF focal person.
• The package should then be forwarded to the PSNP World Bank Safeguards Team
Member.
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Annex 7: Woreda Environmental and Social Profile: Guidelines
Typical Contents of a Woreda Environmental & Social Profile
1. General Description 2. Natural Resource Base

• Location • Terrain
• Total Area • Soils
• Number of kebeles • Rainfall
• Population • Flora and Fauna
• Altitude • Cultural Sites
• Road Network
3. Agriculture 4. Existing Biophysical Issues
• Farming systems Characteristics of ecosystems: Is it in balance? Is it
• Principal crops in decline? Is it stable or unstable? Fragile?
• Cash: Food crops • Temperature
• Cropping Seasons • Human health
• Plot sizes • Water Supply/water-table/waterlogging
• Methods of Cultivation • Health issues for livestock
• Livestock systems • Pressure on Land
• Grazing areas • Land productivity
• Sources of Energy • Vegetation cover/overgrazing
• Erosion hazards
• Flooding hazards
• Species diversity
• Alien plant species
5. Existing Social Issues 6. Current and Planned Interventions that
• Social aspects of health issues for humans might affect the Environment
• Social infrastructures including school, (Biophysical and Social)
health, market, electric and water services, For example:
access road, economic situation • NRM programs
• Community conflicts • Agro- industrial projects
• Community attitude and acceptance • Villagisation programs
towards various IGA • Resettlement schemes
• Reduced community access to resources • Other large-scale projects
• Social Pressures
• Negative impact on gender issues
including GBV
• Negative impact on especially vulnerable
groups (i.e. HIV/AIDS and others)
• Negative impact on cultural heritage
Example of a Woreda Environmental & Social Profile
Environmental and Social Baseline
Exemplar Woreda, with an estimated 2008 population of 150,000 consists largely of a valley
running between two ranges of small, undulating mountains which are very steep and have
low vegetative cover. The population consists of two distinct subsistence-farming ethnic
groups. One group lives mainly to the east of the valley; the other to the west.
Some 75% of the woreda is covered by an alluvial floodplain consisting of silt deposition
from seasonal rivers running in mountain gulleys, forming a relatively fertile, loamy soil.
However, most of the topsoil from the mountains of the surrounding woredas is eroded. To
the west is a ‘peninsular’ of mountainous, intermediate highland landscape.
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The main road from Town One (to the north) and Addis Ababa (to the south) runs through
Exemplar town, the principal town of the woreda, in which the two ethnic groups are equally
represented. Traffic presently using the northern section of this road will in due course be
diverted to a highway presently being reconstructed to the west of the woreda. All other roads
in the woreda are secondary dirt roads linking areas in the east and west to the main road.
The farmers of both ethnic groups cultivate largely cereals (principally teff and sorghum) and
vegetables and keep cattle and sheep. The woreda is drought-prone and the farmers
traditionally employ only surface water and spate irrigation. The woreda is classified as
chronically food insecure. Paradoxically, the annual run-off has led to a steadily increasing
volume of unutilized ground water, resulting in a high water-table.
Household energy fuel is mainly sorghum residue. When not available (in the dry season),
animal dung is often used.
There are no natural forests in the woreda. Vegetation on the mountain slopes consists mainly
of bushes and shrubs. Acacia woodlands are found in some parts of the alluvial plain.
Fauna is limited mainly to the mountainous areas.
Cultural sites are principally churches, mosques and burial grounds. There may also be
significant unregistered cultural sites in the woreda.
Environmental and Social Issues
There are six significant environmental and social issues in this woreda:
• Exemplar woreda is located in a low-lying area surrounded by mountains to the north

and west, in adjoining woredas. This has made it vulnerable to flooding, and
consequently potential issues: (a) Danger to human life; (b) conflict over land
between the two ethnic groups, since fertile croplands can become covered by silt;
and (c) Newly built roads and bridges are being damaged.
• Within the woreda, the steep slopes of the mountain slopes are being continually
suffering loss of top-soil and vegetation, particularly from free-ranging livestock such
as goats. Remedial actions taken so far have focused mainly on limited area-closure to
enable revegetation, and basic soil & water conservation measures. However, some of
these area closures have created difficulties for households not yet able to practice
zero-grazing.
• Malaria and bilharzia have in recent years become increasingly common in the
woreda, due largely to (a) the increasing stagnant water in the wetlands, and (b) the
increasing number of water-harvesting ponds.
• Expansion of the wetlands has been accompanied by the appearance of plants and
toxins in the water both of which have proved injurious to livestock, with consequent
reduction in milk yield and water quality.
• Although salinity has not typically been a problem in the woreda, due to recent
evidence of salinity in areas now used for cotton newly coming under irrigation, there
have been complaints. Steps are now being taken to investigate the problem and come
up with suitable solutions.
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Annex 8: Environmental and Social Guidance for LH Business Plans
Developing Woreda Environmental Guidance for Business Plans:

Suggested Templates
Region ------------------ Zone------------ Woreda----------- Year------
Table 1. Activities not permitted by Regional/Woreda Authorities (global decisions)
Table 2. Activities Disapproved (derived from table 9)
Table 3. Eligible Activities Requiring Mitigating Measures - The following livelihood activities may be
implemented. However, the specified mitigating measures must be implemented.
Mitigating Measures/Conditions
Livelihood Activity
Kebele or Woreda Level Household Level
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Table 4. Cumulative Impact Assessment of Potentially Popular or Potentially Damaging Livelihood

Activities
Overall
Activity Activity Activity Activity Activity
Name of Activity Activity 1 Combined
2 3 4 5 6
Impact
Likely Cumulative
Environmental &
Social Impacts
Likely Cumulative
Impacts of the
Environment on the
Activity
Practical Mitigating
Measures at Household
level
Practical Mitigating
Measures at woreda and
Kebele level
ESMF Guidance status:
Approved
Disapproved
Signed: Livelihoods Woreda Focal Person
Name Signature Date
115
Example of Environmental & Social Guidance
1. Livelihoods Activities Likely to Lead to Negative Cumulative Impacts
Of the activities available under the Livelihoods Strengthening component in Exemplar

Woreda, the following are considered likely to prove popular, and likely to give rise to
cumulative impacts if adopted by a large number of households:
• Cash-crop cultivation, typically using water-harvesting ponds, shallow wells, or river

or lake water;
• Cutting and mixing sorghum reside as animal feed (an income-generating scheme,
utilizing a simple piece of equipment);
• Animal purchase and fattening.
For each of these activities, potential negative environmental impacts have been identified.
These impacts and recommended mitigating measures are as follows:
Matrix of Potential Environmental and Social Impacts and Mitigating Measures

(Indicative Example)
Animal Feed Animal Purchase
Activities Development of Irrigation Potential
Production and Fattening
Potential (i) Extensive use of irrigation may result in The reduction in the (i) Careless use of
Impacts salinisation and consequent soil encrustation. availability of veterinary chemicals
(ii) Extensive use of irrigation may result in sorghum residue for can pollute the
depletion of ground water and consequent social household energy groundwater,
unrest. may cause a resulting in health
(iii) Shallow wells and water harvesting ponds significant increase hazards for human
may pose a hazard to human and animal life, in the use of animal and animal life.
especially children. dung or fuelwood, (ii) Uncontrolled
(iv) Uncontrolled or careless use of with subsequent loss grazing can cause
agrochemicals may pollute the groundwater, of dung for environmental
resulting in health hazards for human and animal fertilizer, and degradation.
life, and may pose a hazard for bees. deforestation.
Mitigating (i) Where drip and sprinkler irrigation are used, The likely depletion (i) A Drugs and
Measures there are not expected to be major issues. of household energy Chemicals
However, in other areas measures will include supply will be Management Plan
balanced surface water use, choice of salinity- determined by the will be drawn up and
tolerant crops, and spate irrigation for flushing woreda agricultural implemented,
as appropriate. office, which is covering acquisition,
(iii) It is intended that there should be water- engaged in a parallel application,
table reduction, to reduce the extent of programme to accidents, storage and
waterlogged land. Water-table levels will be propagate the use of disposal of livestock
monitored by woreda agric. office. energy-saving veterinary drugs and
(iii) For shallow wells there should be cover or stoves. chemicals.
protection, and designs enabling anyone who (ii) This activity will
falls in to climb out. For ponds: protection, and New fuelwood and be allowed only if
safer designs. multipurpose crops there is adequate
(iv) An Integrated Pesticide Management (IPM) will be introduced, forage available from
plan covering use of a combination of natural to provide additional Area Closure or from
methods and agrochemicals will be drawn up household energy the animal feed plant.
and implemented, covering acquisition, sources to the extent
application, accidents, storage and disposal of that proves
agrochemicals. In addition, the location of use necessary.
will take into account proximity to PAs
dependent on apiculture.
116
2. Examples of Potential Longer-term Environmental and Social Impacts
2.1 Lowering of Water-Table
Widespread success of the growing of irrigated crops can result in high water-extraction,
leading to a significant reduction in the water-table and resultant human and animal suffering.
In such cases the woreda agricultural office will closely monitor the water-table and will
control any further establishment of shallow wells, etc., by informing the Woreda Extension
Unit so as to avoid an undesirable reduction in ground-water levels.
2.2 Ratio of Cash: Food Crop Production
If the cultivation of cash crops becomes so popular that cash crops come to displace food
crops to a significant extent, this could produce an imbalance that might lead to food
shortages within, or outside, the woreda. However, the Woreda Agriculture Office and the
Regional Food Security Office have planning systems to address such a trend before it
becomes a problem.
2.3 Loss of Species Diversity
Uncontrolled adoption throughout the woreda of a newly introduced crop species could lead
to a situation whereby the genetic base of the crop concerned is unduly narrowed. This could
mean, for example, that in the event of an outbreak of disease, there is no alternative strain
available.
It is thus recommended that the regional or woreda agricultural office should monitor
production rates of new crop varieties, and should liaise with the Biodiversity Institute to
ensure that the gene banks contain alternative varieties.
2.4 Urban Zero-Grazing
Although the Project is not promoting zero-grazing in high-density urban areas, the zero-
grazing being promoted (which by reducing grazing and often livestock numbers is generally
environmentally beneficial) in the less-dense area may eventually lead to uncontrolled
adoption of zero-grazing in urban areas, with resultant health hazards, noise and smell
pollution. To avoid this happening, the Woreda Extension Unit will liaise with the urban
Public Health authority to ensure that any regulations controlling the keeping of cattle in the
urban areas are recognized and enforced.
3. Possible Effects of the Environment on the Project
3.1 Rising Water Table
The most likely effect of the environment on the project would be a rising water-table, which
would continue to have an increasingly detrimental impact on human and animal health and a
reduction in cultivatable land. However, with expanded use of irrigation particularly for
cotton, will help to reduce the water-table, this impact is not expected to occur.
117
3.2 Drought
Extended periods of drought would reduce the availability of surface water for irrigation of
the small-scale cultivation of fruit and vegetables. However, the encouragement of individual
shallow wells is designed to offset such eventualities.
3.3 Flood and Change of Course by Seasonal Rivers
Much of Exemplar Woreda is situated in the lowlands where flood water deposits silt from
the surrounding mountains. As a result, fertile soils in the bottomlands of the woreda are
being silted, affecting productivity of many farmlands. Although the woreda uses a lot of the
flood water as a source of spate irrigation, when the intensity of the floods increases the
floods make river courses to change and hence make a significant amount of farmlands out of
production. It is expected that the surrounding woredas will enhance their watershed
management schemes so that flood water affecting Exemplar is substantially reduced.
4. Ineligible Subprojects
Given the current environmental issues in the woreda, the following Livelihoods activities
will not be eligible under the PSNP Livelihoods Strengthening component:
• Charcoal production
• Fuelwood production and trading
• Manufacture of traditional stools.
118
Annex 9: Environmental and Social Monitoring Plan (ESMP): For the Livelihoods Sub-Component:
Hypothetical Example
Annex 9: Environmental and Social Monitoring Plan (ESMP): For the Livelihoods Sub-
Component: Hypothetical Example
The following Table sets out indicators for monitoring the implementation of mitigating
measures designed to address potential environmental and social impacts
119
Annex 9: Environmental and Social Monitoring Plan (ESMP): For the Livelihoods Sub-Component: Hypothetical Example
Environmental and Social Monitoring Plan (Exemplar Woreda - Indicative Example)

Animal Feed
Activities Development of Irrigation Potential Animal Purchase and Fattening
Production
Likely Extensive Shallow wells Uncontrolled or careless use of The reduction in Uncontrolled or careless use may As a result of
Impacts use of and water agrochemicals leading to pollution of the availability of pollute groundwater, leading to health increased
irrigation harvesting groundwater, leading to health sorghum residue hazards for human and animal life. livestock
may result ponds may pose hazards for human and animal life for household purchases and
in a hazard to and social unrest. energy may cause a improved health,
salinisation human and significant increase numbers may
and animal life, in the use of animal increase, leading
consequent especially dung or fuelwood, to overgrazing.
soil children. with subsequent
encrustation. loss of dung for
fertilizer, and
deforestation
Mitigating Drip and Recommend for Draw up an Impleme Take into Propagate the use Draw up a Drugs and Implemen Free grazing to
Measures sprinkler shallow wells Integrated nt IPM account of energy-saving Chemicals Management t DCM be prohibited.
irrigation cover or Pesticide plan proximity stoves and plant (DCM) plan, covering Plan Forage should
should be protection, and Manageme to kebeles multipurpose trees acquisition, application, come from area
encouraged designs nt (IPM) dependent (MPTs). accidents, storage and closure, to ensure
enabling plan. on disposal of livestock sustainable
anyone who apiculture, veterinary drugs and livestock
falls in to climb when chemicals. production.
out. For ponds: determini
protection, and ng
safer designs. location of
use
Indicator Area under Number of Existence IPM plan Coverage Number of stoves Existence of DCM Plan DCM plan DAs and WoA
drip/sprinkle shallow wells of IPM being of topic in distributed and being used are promoting
r irrigation with plan used by location MPTs planted by DAs these initiatives
cover/safely DAs and plan. and in FTCs, and
designed ponds; farmers farmers they are being
enforced
Who WoA WoA WoA WoA WoA WoA WoA WoA WoA
collects the
data?
120
Annex 9: Environmental and Social Monitoring Plan (ESMP): For the Livelihoods Sub-Component: Hypothetical Example
Animal Feed
Activities Development of Irrigation Potential Animal Purchase and Fattening
Production
How? Collect data Planning office Check Make Check Reports from Check whether DCM Make spot Check FTC
from RDO reports/Visits whether spot activity Planning office plan is published checks curriculum, and
IPM plan is checks design physical
published on site document observation.
When? Annual Annual Annual Annual Before Annual Annual11 Annual Annual
activity
starts
Where? WoA/RDO WoA WoA/RDO Activity RDO/IPM WoA IPMS Office Activity Woreda FTC
site S sites Office
11 Once publication of the DCM plan has been verified, subsequent annual checks should record reprints, updates, etc.
121
Annex 10: PW and LH ESMF Training Budgets
In order to effectively implement the ESMF requirements, capacity building training needs to
be conducted for relevant government staffs from implementing partners including MoA,
MoLSA and MoH. The capacity building training should be cascaded down to relevant
regional bureaus, zone and woreda offices and to DA (Kebele level).
The thematic areas of capacity building training will cover both the Public Work (PW) and
Livelihood (LH) related ESMF requirements. This ESMF Training Budget is therefore
prepared based on the assumptions that the capacity building training will be delivered to the
relevant staff from federal to kebele levels, considering the past experience and taking in to
account the revised per diem rates of PSNP staffs at all levels.
Details of budget requirements are summarized in Table 1 for PW-ESMF and Table 2 for
LH-ESMF.
Table 1. Training Budget for PW-ESMF

Expense
No. No. Per day/ Total Expense
Description Assumptions
Trainees Days Unit (Birr)
(Birr)
TOT for federal &
regional Stakeholders (62
trainees)
Travel expense 48 - 5000.00 240,000.00 6 participants each
from 8 regions
Perdiems (for 5 training 66 8 1000.00 528,000.00 14 federal, 48
days & 3 travel days) regional, & 4 support
staff (finance,
drivers)
Overhead costs (lump sum) 93,000.00 Includes hall rent,
refreshment,
stationery & others at
two training locations
Sub Total 861,000.00
ToT at regional level for

zone & woreda staff (1805
trainees)
Travel expense 1,805 - 200 361,000.00 5 trainees each from
350 woredas and 1
trainee each from 55
zones
Perdiems (for 5 training 1,853 7 1000.00 12,971,000.00 1,805 trainees and 48
days & 2 travel days) trainers
Overhead costs (lump sum) 2,779,500.00 Includes hall rent,
refreshment,
stationery & others at
8 training locations at
8 zones
Sub Total 16,111,500.00
Training for NRM DAs

and social workers (7,125
trainees)
122
Expense
No. No. Per day/ Total Expense
Description Assumptions
Trainees Days Unit (Birr)
(Birr)
Travel expense 6,425 - 200.00 1,285,000.00 6425 NRM DAs from
all PSNP Woredas
Perdiems (for 5 training 7825 5 450.00 17,606, 250.00 6425 NRM DAs, 700
days) Social Workers and
700 Trainers
Overhead costs (lump sum) 1,956,250.00 Includes refreshment,
stationery & others
Sub Total 20,847,500.00
Grand Total Training 37,820,000.00

cost for PW-ESMF (Birr)
Equivalent US $ @ 34 $ 1,112,353
birr
Table 2. Training Cost for Livelihoods Strengthening ESMF
Expense
No.
No. Per Day/ Total Expense
Description Day Assumptions
Trainees Unit (Birr)
s
(Birr)
Perdiems for federal and 34 6 1000.00 204,000.00 10 participants from
regional level participants federal and 24
participants from regions
(2 each from 8 regions)
Perdiem for zone level 55 6 1000.00 330,000.00 1partcipants from 55
participants zones
Perdiem for woreda level 700 6 1000.00 4,200,000.00 2 participants each from
participants 350 woredas
Fuel for federal level - - - 15,000.00 For two vehicles
participants/Lump sum
Fuel for regional level - - - 90,000.00 For 8 vehicles
participants/Lump sum
Travel cost for zone and 755 - 400.00 302,000.00 For 55 participants from
woreda level participants zone and 700
participants from woreda
Refreshment expense for 789 3 300.00 710,100.00 For all participants from
federal and regional level federal, regional, zone &
training woreda level
Per diem for DA (extension 6,425 3 450.00 8,673,750.00 For Extension DAs from
DA) 6,425 PSNP Kebeles
Per diem for Kebele level 700 3 1000.00 2,100,00.00 2 trainers each from 350
trainers woredas
Sub Total 16,624,850.00
Contingency 5% 831,242.50
Grand total (Birr) 17,456,092.50
Equivalent US $ @ 34 Birr $ 513,415
123
Table 3. Summary of ESMF Training Budget

Budget Title Birr US $
Total PW-ESMF Training Budget 37,820,000.00 1, 112,353
Total LH-ESMF Training Budget 17,456,092.50 513,415
Grand Total 55,276,092.50 1,625,767
124
Annex 11: Occupational Health & Safety; Community Health and Safety
Introduction
20. Brief Project Overview
Productive Safety Net Program (PSNP), supported by the parent project Strengthen
Ethiopia’s Adaptive Safety Net, aims to provide predictable, adequate and appropriate safety
net support (food or cash) to people in extreme poverty and vulnerability situation. The
clients are selected into the project through a community-based targeting process. Labor-
constrained households will receive unconditional all year-round transfers as Permanent
Direct Support Clients (PDS) and are linked with complementary social services where
possible. Households with able-bodied adult members will be asked to work on community
planned Public Works (PW) in exchange for their transfers which they receive for six months
of the year12. These adults participate in PWs that rehabilitate the natural resource base, build
health posts and schoolrooms, construct and rehabilitate roads, and build other public
infrastructure as prioritized by the community.
PSNP has people employed or engaged specifically in relation to the project. These project
beneficiaries are food insecure male and female community members, contractors who are
engaged on infrastructure-related sub-projects following national bid standard and agreement
and regular and contract employees. In addition, project affected community is people living
around the project implementation areas who are negatively and positively affected by project
activities.
The project workers, both clients and contractors including the communities’ health and
safety are expected to be protected as per the National Policy and Strategy on Occupational
Health and Safety (OHS) which was endorsed by the Federal Democratic Republic of
Ethiopia (FDRE) Council of Ministers in July 2014. The OHS policy and strategy was
prepared to implement the rights of Labour as stipulated in article 42(2) of the Constitution
and implement the requirements of International Conventions on Occupational Health and
Safety (No.155) to which Ethiopia is a signatory, and the national OHS policy and strategy is
applicable to all types of workplaces and economic activities in Ethiopia.
The involvement of project workers also triggers the World Bank’s required application of
ESS2 which focuses on the labor and working conditions of workers and ESS3 and ESS4 that
sets out measures to avoid, minimize or mitigate impacts on the general community and the
environment. As a result, the Occupational and Community Health and Safety (OCHS)
guideline was prepared following the above stated legal frameworks for the design of
SEASN.
12
Please note, there are no public works planned in the Second Additional Financing of the SEASN project,
125
21. The need for Updating the OCHS
A Second Additional Financing (AF2) is being processed for SEASN to address the multiple
concurrent crises the country is facing, such as consecutive inadequate rainy season and
locust infestation on local production resulting in continuing drought, the impacts of the
Coronavirus Disease 2019 (COVID-19), and the war in Ukraine, which has created
implications on cereal availability and prices in Ethiopia. In addition, high inflation and the
ongoing conflict in Tigray and the spread of the conflict to Afar and Amhara in late 2021 has
impacted food security in affected areas and has impeded the delivery of humanitarian
assistance with access constraints.
The legal covenants of the AF2 requires the government of Ethiopia to update and disclose
some of the instruments of the Environmental and Social Management Framework (ESMF)
in the context of the current situation in the country. Thus, the OCHS is modified as part of
the ESMF prior to effectiveness of AF2.
The parent project’s OCHS, with minor changes and edits, will continue to apply to project
implementation areas not categorized as as High Risk of Ongoing Conflict Affected Areas
(HROCA). However, for areas that are categorized as HROC (Tigray and some post-conflict
woredas in Afar and Amhara) a Third-Party Implementer (TPI) will be responsible
developing the OCHS according to the assessment that will be done for the HROCA. Thus,
the document will outline guideline for developing OCHS in HROCA and post conflict areas.
It should be noted that the AF2 will only finance temporary food or cash support and
not public works. This means the occupational health and safety of the document for
HROCA will only include project workers hired by the TPI and not community workers.
This document is separated in three sections. The first and second section part will outline the
Occupational Health and Safety (OHS) and Community Health and Safety (CHS) for regular
PSNP woredas and the final section will outline the OHS and CHS for HROCA and post
conflict areas.
Section One
Occupational Health and Safety for Regular PSNP Woredas
The objective of the OHS is to protect the health and safety of project workers (PW and
Livelihoods Strengthening participants, regular and contract workers) from injury, illness or
impacts associated with exposure to hazards encountered in the workplace or while working
through establishment and maintaining a safe working environment.
Comprehensive job safety or job hazard analyses13 were made for the key activities identified
under both the PW and livelihoods subproject activities. And the potential hazards to project
workers and community is presented on the below table.
13
A job hazard analysis is a technique that focuses on job tasks as a way to identify hazards before they occur.
It focuses on the relationship between the worker, the task, the tools, and the work environment. Identified
uncontrolled hazards will be eliminated or reduced to an acceptable risk level (U.S. Department of Labor
Occupational Safety and Health Administration)
126
Sub-projects/activities Types of potential safety risks

1. Soil and water conservation such as • Injuries and illnesses from labor intensive activities
stone bunds, roads, small scale • Slips and Falls due to wet surface and hillside activities
irrigation, small dams construction • Dust pollution (which affect eyes, and other respiratory problems for
of flood control structures, bridges, Public Work clients and children at childcare centers)
etc • Minor cuts
• Muscle spraining
2 Construction of latrines, shallow • Limited access or outlet
wells, ditches and trenches • Land slide
• Injuries
• Dust pollution
3 Small rainwater harvesting ponds • Waterborne diseases such as malaria
• Slip and fall of children and animals unless protected by fence
4 Water sub projects (drinking water) • Waterborne diseases unless treated
• Injuries
5 Area closure • Beekeeping activities can cause Bee Sting
6. Construction /rehabilitation of • Risks related to construction (e.g. waste disposal, injuries)
education and health facilities
7 Off-farm income generating • Gender Based Violence while traveling to and from markets
activities • Increased workload on girls
8 Implementation of all PW sub • Engagement of underage children replacing their parents
projects
The project also conducted 14Risk Ranking to Classify worker hazard scenarios based on
likelihood and consequence which the below table demonstrates.
Likelihood Consequences Remark
Insignificant Minor Moderate Major Catastrophic
(In) (Mi) (Mo) (Ma) (Ca)
Almost Certain (A) Eyes and

respiratory
disease
Likely (L) Bee sting Slips and

Fall
Minor Cut
Increased
workload on
girls
Moderately likely (M) Muscle Malaria

sprain
Water
borne
diseases
Unlikely (U) Child15 GBV16
14 The risk ranking table will be updated regularly to include other potential risks and hazards as it is identified
15
Detail guideline is expected to be elaborated in Labour part
16
Detail guideline is expected to be elaborated in GBV part
127
lab our
Rare (R) Injuries Fall into

from unfenced
Land ponds
slide
Fatalities from
landslide
Legend-Please read the legend below by following Likelihood versus consequences included in the table
above. E.g. E (extreme risk will be defined as risks which Likely happen always (A) versus with
Moderate consequences (M)-(AvsMo)
E (AvsMo, AvsMa, AvsCa, LvsMa, LvsCa, MvsMa, MvsCa, UvsCa): Extreme risk; immediate action required
H (LvsMo, MvsMo,UvsMa, RvsMa) : High risk; senior management attention needed
M (UvsMo, RvsMo): Moderate risk; management responsibility should be specified
L (EvsIn, EvsMi, RvsIn, RvsMi): Low risk; manage by routine procedures
Preventive and Protective Measures
Article 92 of the Ethiopian constitution clearly spells out the fundamental obligations of an
employer with regard to putting in place of all the necessary measures in order to ensure,
workplaces are safe, healthy and free of any danger to the wellbeing of workers. Although the
program is not an employer, in line with the ESS2 and the national OCH policy, it will
implement the following measures to respond to the identified potential safety and health
hazards and risks due to the implementation of PSNP 5 activities:
• Woreda OCH focal person: Assign and train woreda level OHS focal person preferably
from the Natural Resource Management (NRM) of Bureau of Agriculture (BoA). The focal
person will have clear roles and responsibilities regarding OHS and these responsibilities
would be part of her/his performance assessment indicators
• Safety officer: Assign forewoman/man as safety officer and train on how to perform first aid
during minor injuries
• First aid kits: provide first Aid kits with required materials at each watershed to treat
workers during minor injuries
• Training for Frontline Implementers: Provide training for Development Agents (DAs),
Health Extension Workers (HEWs) and Social Workers (SWs) on Health and safety hazards
and how to prevent/minimize these risks.
• Training for community workers: Develop/adopt training materials tailored to PSNP
program clients’ level of understanding complemented by interactive materials like detail
pictorial illustration of “DOs” and “DO NOTs” regarding accident prevention, response and
reporting, and role playing.
• OHS committee: Establish an OHS committee with clear ToR which states their roles and
responsibilities. This can be a joint committee comprised with regular staff DAs, SWs and
HEWs and the community workers with the role of following up the implementation of the
OHS measures enacted by the program
• Provide regular information to participants on appropriate actions to be taken to avoid
accidents, communicable diseases etc
o Training for the PW clients on lifting and handling materials17
17
Please refer diagrams inserted the section below for sample recommended ergonomics practices to include
during the trainings
128
o Placement of weight limits

o The process of reporting potential hazards and misses
• Putting in place administrative control: Implementing appropriate administrative controls
into work processes, such as gender and social development provisions which include
provisions for pregnant and lactating women, assignment of light works for women and
people with HIV/AIDS, job rotations, etc.
• Put in place environmental safety practices: For the prevention of slips and falls, ensure
the implementation of good house-keeping practices such as
o Sort and place loose construction materials or demolition debris in established areas away
from foot paths
o Clean up excessive waste debris
o Dust suppression techniques such as applying water during road-construction particularly
where childcare centers are located near the PW sites
o Use of excavation dewatering, side-walls support, and slope gradient adjustments that
eliminate or minimize the risk of collapse, entrapment, or drowning (e.g. dam, pond,) Provide
safe means of access and outlet from excavations such as graded slopes, graded access route,
or ladders
o For watershed related hazards, design must provide flat floors to the extent possible or
ladders where appropriate to allow anyone who may fall into extricate themselves. The
watershed should be fenced
• Refresher information sharing: Provide regular information to participants on appropriate
actions to be taken to avoid accidents, communicable diseases etc.
• Personal Protection Equipment (PPE): Provide personal protection equipment when
required. Such PPE will be identified during micro-planning stage when subprojects activities
will be firmed up
• Contracted workers: ensure contractors abide by the program OHS guideline through
integrating it into their contracts. Contractors should be contractually required to submit to
Woreda Office of Food Security adequate training documentation before start of their
assignment
Example of Pictorial Illustration on Safe Weightlifting to be considered during the

preparation the program’s OHS training materials
Figure 1. Weightlifting
129
Figure 2. Maximum Weight Limit
Reporting Potential Work Rik at the Workplace: process for Community workers (PW
and LH)
• PW and LH strengthening participants and semi-skilled laborers will report immediately to

foreman/woman any situation they believe presents a serious danger to life or health of
participants.
• The foreman/woman notifies the situation to the responsible DA immediately and the DA
examines the situation and provides guidance to address the issue if it is under his/her
capacity.
• In case of potential risks which require more comprehensive interventions, the work should
be stopped until further notice is given by the DA.
The OHS focal person in close collaboration with the woreda Health and Labor office, will
develop and implement appropriate solution for the reported risk.
Responding to Emergencies in the Workplace
• In case of PW related accidents, the foreman/woman will notify the case to the responsible
DA and the two will take the victim of the accident to the nearest Health Post or Health
Center for treatment or further referral.
• In case of minor injury, the forewoman/man will carry out first aid procedures.
• Every accident and misses will be recorded on the remark column of the attendance sheet.
• In case of serious injury or fatality, the livelihoods impacts will be addressed properly.
• While the DA with close support from the kebele level HEWs, SWs-wherever available and
CFSTF identify measures necessary to prevent a recurrence of registered accident or misses,
the OHS focal person will report the total incidents reported and investigated in the woreda
and this will be integrated in the quarterly program implementation report at region and
federal level.
The following reporting format will be used
130
Format 1: Quarterly Occupational safety and health Accident Reporting*
Type and number of Fatality Number of Days required Measure taken to limit
Accident to recover for non-fatal reoccurrence
injuries
*Proper documentation will be made regarding addressing of impacts on livelihoods due to

the serious injury or fatality. Post fatality report include age of the deceased and documents
on compensation.
Responsibility of implementers at Federal, Regional, Woreda and Kebele level
The safety and health of PW clients require close monitoring, follow up, support,
documenting and reporting of occupational accidents, diseases and incidents by Federal,
Regional, Woreda and Kebele coordinators and implementers.
Roles and responsibilities of Government stakeholders
• The Federal and Regional coordinators and implementers: Ministry of Labor and Social
Affairs in close coordination with Ministry of Agriculture are responsible to build the
capacity of project implementers at all level, monitor, evaluate, report and document health
and safety incidents.
• Woreda OHS focal person: is selected at the program initial stage based on an agreed set of
criteria by the WoA (NRM) and WoLSA, and in collaboration with the woreda Office of
Health. She/he will receive an initial intensive training and follow up refresher trainings on
occupational health and safety.
• SW/DA18: She/he will summarize all reported occupational accidents, occupational diseases,
dangerous occurrences, and incidents together with near misses monthly and investigated
with the assistance of the woreda OHS focal person. Participate during planning and can
ensure integration of health and safety issues in the annual PW plan. This can ensure the
PSNP5 PWs sub project activities to be safe and provide healthy work environment for its
clients in general, women particularly, and for the community.
Roles of the PW and LH clients, semi-skilled laborer and contractors
As per the Ethiopian constitution’s Article 93, workers are obliged to co-operate and put in to
practice of the regulation and instruction given by the program in order to ensure safety
health and working conditions at workplaces. The following are the major obligations set by
the law for workers to abide with.
18
wherever SW is not available, this task will be carried out by DA. In areas where SW deployed, the
DA will take supportive role
131
• To inform the employer (following the work process that the program establishes) of any
defects related to the appliances used and injury to the health and safety of workers, he/she
discovers
• Report to the responsible person as per the work process any situation, which he/she may
have reason to believe could present a hazard and which he/she cannot avoid on his/her own
or any accident or injury to health which arises in the course or in connection with work
• To make proper use of all safeguards, work processes for the protection of the health and
safety of others
• To obey all the health and safety instructions issued by the program
Section two
Community Health and Safety (CHS) for Regular PSNP Woredas
PSNP V of the AF2 will be implemented in 485 woredas in located in nine regional states
and one city administration. The communities located in/around the PSNP PWs site will be
directly or indirectly, positively or negatively affected by the implementation of the different
PW sub projects. The Community Health and Safety requirements in ESS4 sets out the
measures to avoid, minimize or mitigate these unintended negative risks and impacts from the
PW sub-projects. Further to these measures to avoid or minimize impacts on human health
and the environment due to existing or potential pollution are set out in ESS3. These
measures are integrated into the project design and implemented throughout the life cycle of
the project. This Guideline is prepared following the above stated legal frameworks.
Taking the above stated requirements into consideration in general and recognizing the
potential increase in community’s exposure to health risks and unintended negative impacts,
the program assessed the different risk level of the sub projects and set out measures to avoid
or minimize the risks and impacts in the table below. Due focus was given during the process
to see the possible risk and impact on vulnerable groups like women and people with
disability and HIV/AIDS.
Sub-projects/activities Types of potential safety risks Mitigation Measures Identified
Soil and water conservation • •

Slips and falls due to wet surface and Fence or put clear sign on projects sites with
such as stone bunds, roads, hillside activities potential risk
small scale irrigation, small
dams construction of flood • Dust can affect eyes, and •
other Implement dust suppression techniques
control structures, bridges, etc respiratory problems
• Integrate strategies/measures to mitigate
potential risk of sub projects in the project
ESMF
•
Sub-projects associated with Water borne and vector borne diseases • Operation and Maintenance plan to ensure
community earth ponds, hand- regular maintenance and maintain protection
dug well, shallow wells • Slip and fall
• Allocate budget to treat drinking water
Construction of •
community •
Sources of disease if it is not maintained Awareness raising events on hygiene and
latrines cleaned sanitation
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Small rainwater harvesting• Can cause health hazards like malaria • Integrate specific measures that could help
ponds using labor-based minimize their incidence such as fencing as
construction • Safety of children and animals unless part of the subprojects
protected by fence
•
Water sub projects (drinking Waterborne disease unless treated • Awareness raising events on hygiene and
water) sanitation
• Train the water committee members on how

to avoid contamination
Construction /rehabilitation of • Inaccessibility to people with disability• Consider universal access as part of the
education and health facilities project design
• Operational accidents when the new
•
buildings are accessed by public due to Put clear and visible signs on different
debris functions before opening to public access
•
Income growth due to program Increased access to alcohol which • Regular consistent messaging and awareness
transfer results in violence (both domestic and raising activities
community) and increased health risk
• Gender equality topics including GBV/SEAH
integrated in the SBCC sessions
In addition to the specific preparedness measures included in the table above, the program
will implement/establish the following key mechanisms to ensure community health and
safety which aims preventing/minimizing risks.
• Assess PSNP5 PWs related community health and safety risks to get input for planning
• Plan for training and awareness creation on community health and safety hazards and
possible protection measures for coordinators and implementers at all levels and for the
communities
• Integrate community health and safety issues in the plan of the project activities
• Allocate budget to treat Water projects such as protected springs providing potable water for
human consumption which need to be fenced in order to keep out cattle, which can
contaminate the water, and which can result in serious public health hazards to protect water
borne diseases (SLMP experience)
• Design, construct, operate, and decommission the structural elements of the project in
accordance with national legal requirements (e.g bridges, drainage ditches, roadways, water
and irrigation channels and dam)
• Get approval for design of infrastructures from responsible authorities
• Assign experts to monitor and support the sub projects like SWC, bridge, dam, etc which can
create health and safety risks on the community
• Develop, implement and monitor appropriate mitigation measures during the design,
construction and operation of projects which can affect community health and safety
• Plan for continuous awareness creation activities on avoiding/minimizing communicable
diseases for communities
• Supervise the design and construction of dams
• Monitor, evaluate and report community health and safety implementation status and
challenges according to the set timeframe
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The following reporting format will be used to report Accidents.
Format 2: Quarterly Community Safety and Health Accident Reporting19
Type and number of Fatality Number of Days required Measure taken to limit
Accident to recover for non-fatal reoccurrence
injuries
In case of accidents, there needs to be documentation on addressing the impacts on

livelihoods due to fatality or serious injury.
Emergency Preparedness and Response
The subproject design and implementation will primarily focus on prevention from injuring
the health and safety of the community; and minimize, mitigate for any impacts that may
occur based on the provisions in the ESMF and local laws and regulations. In addition to the
preparedness and response requirements described in the table above, the program will also
assist and collaborate with the affected Communities, and stakeholders, in their preparations
to respond effectively to emergency situations.
Section Three
Occupational and Community Health and Safety for High Risk of Ongoing Conflict
Areas (HROCA) and Post Conflict Areas
High Risk of Ongoing Conflict Areas (HROCA)
Occupational Health and Safety (OHS)
OHS is aimed at protecting project workers from injurie, illness or impacts encountered at
workplace or while working.
The AF2 will benefit vulnerable households affected by drought shocks as well as households
in Tigray affected by both conflict and drought. It will only finance food or cash support thus
does not include any PW activities. As the AF2 does not fund any physical activities and only
engages project workers under the TPI for HROCA or direct or contract workers in post
conflict areas, the below guideline will only focus on
• TPI to conduct assessment to identify the potential hazards to project workers particularly
those that may be life-threatening and develop response plan as part of the overall assessment
19
Reporting and documentation process will be similar to OHS work process
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• Prepare emergency prevention and preparedness and response to emergency situations and
effective communication of information
• Accommodation and other facilities (hygiene, canteens) provided must be in
nondiscriminatory manner and protect the health, safety and well-being of the project
workers.
• Document and maintain incidents related to the project and in the event of occupational
fatality or serious injury, report to the Bank.
• Identify corrective actions and implement in response to project-related incidents or
accidents.
• Where TPI engages contracted third-party workers, must ensure the legitimacy and reliability
of the third party and have contractual agreement labor management procedure, and establish
procedures for managing and monitoring performance of such third parties.
• Provide grievance mechanism for the project workers
• In relation to primary supply workers, TPI must ensure no child labor or forced labor cases
arise related to the project, introduce procedures and mitigation measures to address safety
issues
• TPI must provide OHS training at the start of engagement
• Work environments must have adequate first aid facilities with relevant training for the
project workers
• TPI must conduct regular review of OHS procedures and working environment
Community Health and Safety (CHS)
The objective of this guideline is for TPI to anticipate and avoid adverse impacts on the
health and safety of project-affected communities from both routine and nonroutine
circumstances. The TPI must set out appropriate measures to avoid, minimize or mitigate
potential risks and impacts related to the operation of the project as well as external risks that
may impact the project.
• TPI conduct assessment to evaluate the risks and impacts of the project on the health and
safety of the affected community as part of the overall assessment
• Conduct an Area-Specific Security Risk Assessment (ASSRA)) as part of the assessment.
The intervention has a high potential to encounter emergency events thus the ASSRA must
identify potential risks to community health and safety that are caused by emergency events
(fire, explosion, etc…). The ASSRA describes the measures to be put into place to address
the emergency and protect those at risk.
• Based on the ASSRA, the TPI will prepare Emergency Response Plan (ERP). This includes
failure to implement according to design, notification procedures for emergency responders
etc…
• Identify individual groups considered to be vulnerable because of their circumstances
• Include community health and safety issues in the intervention (targeting, food distribution
etc)
• Develop strict protocol for interaction with local communities including code of conduct to
avoid risks of service providers exploiting beneficiaries particularly vulnerable groups
• Put in place road and vehicle safety measures to avoid or minimize community exposure to
project related road safety risks
• Develop measures and actions for food transportation, storage and distribution
• Ensure safeguarding of personnel and property is carried out in a manner that avoids or
minimizes risks to the community
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• Take measures to avoid or minimize the potential for community exposure to communicable
and non-communicable diseases, water-related, and vector-borne diseases that could result
from project implementation
• Monitor, evaluate and report community health and safety implementation status and
challenges
Post Conflict Areas
• Conduct Third-Party Monitoring (TPM) in areas that are considered as post conflict
• Based on the findings of the TPM, the implementer that is the government will use the
requirements of both OHS and CHS set in this document.
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Reference
1. Environmental & Social Framework for IPF Operations ESS4 Community Health and Safety
World Bank
2. Occupational Health and Safety world bank
3. Annex 13: PSNP IV Draft Guidelines for Health, Safety and Child Labour on PSNP PW
Construction Sites
4. Environmental and Social Systems Assessment (ESSA) Ethiopia Climate Action through
Landscape Management
5. (CALM) Program for Results (P170384) Addis Ababa, May 2019
6. Occupational Safety and Health profile for Ethiopia, Ministry of Labour and Social Affairs,
October 2016
7. Environmental and Social Management Framework, The FDRE SLMP, Sept.2013
8. FDRE Constitution
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Annex 12: Labour Management Procedures
1. Overview of Ethiopia’s Adaptive Safety Net (SEASN) project
The World Bank financed Strengthen Ethiopia’s Adaptive Safety Net (SEASN) project is
designed to support the Government of Ethiopia (GoE) implement its fifth phase of the PSNP
(PSNP5). The proposed program has three components. The first component focuses on the
delivery of safety net operations for core program clients. It includes: the delivery of core
transfers; the implementation of the public works sub-projects by which most beneficiaries
earn their safety net benefits; services for children between 2 and 5 years old; and,
complementary livelihood services to enable PSNP beneficiaries to enhance and diversify
their incomes. Component 2 will enhance PSNP capacity to function as an integrated shock
responsive social protection program, building on the Government of Ethiopia’s recent
decision to consolidate the operational management of humanitarian food assistance and
PSNP under the Food Security Coordination Directorate (FSCD). The third component
relates to the overall management of the PSNP. It includes activities focused on strengthening
Government institutions’ ability to manage all aspects of program implementation and the use
of core instruments (such as targeting, Management Information Systems and Grievance
Redress Mechanisms) to assist program operations, poverty and vulnerability; and full
retargeting at the beginning of the program and every four years.
The project’s proposed Second Additional Financing (AF2) will allow the Government of
Ethiopia’s flagship safety net to meet increasing and critical food security needs, both by
switching core transfers from cash to food in selected woredas, and by allowing the program
to vertically and horizontally expand to drought and conflict affected households through the
shock responsive component of the project. Financing from the AF2 will also allow the
reestablishment of critical implementation capacity in districts of Tigray, Afar, and Amhara
affected by recent conflict. The AF2 also includes a Level II restructuring to revise
implementation arrangements so that third-party agencies will implement and monitor this
Second Additional Financing operation in Tigray and other conflict-affected areas.
Current projections suggest that 20.4 million people are in urgent need of food assistance (in
cash or in kind) many of which live in areas categorized by the Integrated Food Security
Phase Classification as in Crisis (IPC3) or Emergency (IPC4).
The proposed Additional Financing will be processed under the Bank Policy for Investment
Project Financing, Paragraph 12.00, Projects in Situations of Urgent Need of Assistance or
Capacity Constraints. A project is eligible under this policy exception when the
borrowers/recipients are deemed to: (i) be in urgent need of assistance because of a natural or
man-made disaster or conflict; or (ii) experience capacity constraints because of fragility or
specific vulnerabilities (including for small states). The proposed AF2 meets both criteria:
(a) Urgent need of assistance because of a natural or man-made disaster or conflict:

Ethiopia’s food security situation is deteriorating as a result of a combination of aggravating
factors including flooding, the COVID-19 pandemic, desert locusts, conflict and drought.
(b) Capacity constraints: The multiple crises (the COVID-19 pandemic, desert locusts,
conflict and drought) currently facing Ethiopia are a drain on its limited capacity. In
particular, the ability to achieve progress at district level in crisis-affected regions is currently
severely hampered. The use of condensed procedures will reduce the burden on Government
counterparts and allow them to focus on the delivery of safety net services in the current
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fragile political and security context.
22. The need for Updating the LMP
Multiple concurrent crises such as consecutive inadequate rainy season and locust infestation
on local production resulting in continuing draught, the impacts of the Coronavirus Disease
2019 (COVID-19), and the war in Ukraine has created implications for cereal availability and
prices in Ethiopia. In addition, high inflation and the conflict in Tigray and the spread of the
conflict to Afar and Amhara in late 2021 has impacted food security in affected areas and has
impeded the delivery of humanitarian assistance with access constraints. As a result, a
Second Additional Financing (AF2) was processed for SEASN. The legal covenants of the
AF2 requires the government of Ethiopia to update and disclose some of the instruments of
the Environmental and Social Management Framework (ESMF) in the context of the current
situation in the country. Thus, the LMP is modified as part of the ESMF prior to effectiveness
of the AF2.
The LMP with minor changes and edits will continue to apply. A Third-Party Implementer
(TPI) will be responsible in customizing the updating LMP in according to the assessment
that will be done for the HROCA. AF2 will only finance temporary food or cash support and
not physical work.
These Labor Management Procedures (LMP) have been developed to:
• Promote safety and health at work;
• Promote the fair treatment, non-discrimination and equal opportunity of project workers;
• Protect project workers, including vulnerable workers such as women, persons with
disabilities, youth (of working age, in accordance with Ethiopian legal provisions and
WB’s ESF-ESS2);
• Prevent the use of all forms of forced labor and child labor;
• Support the principles of freedom of association and collective bargaining of project

workers in a manner consistent with Federal law; and
• Provide project workers with accessible means to raise workplace concerns.
2. OVERVIEW OF LABOR MANAGEMENT OF THE PROJECT
Number of project workers: The labor-intensive public works (PW) are envisaged to create
productive assets at community level and provide temporary employment opportunities to
beneficiary households, mainly people living under the food poverty in geographically
targeted woredas in Ethiopia. However, the AF2 is mainly focusing on, and investing in,
improving shock responsiveness of the Rural Safety Net, and the AF2 will not finance public
works activities that engage labor.
The Project will maintain the same level of employment which was indicated in the parent
project (a total of 4,367 staff in 485 woredas on a contractual basis based on National Labor
Laws and Project Implementation Manual (PIM) of PSNP 5).
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Characteristics of project workers
Community Workers (Participants): Because of the aforementioned reasons (as the AF2
objective is shock response), under the AF2, the Project will not deploy community workers,
unlike the parent project.
The Project will employ contract and regular staff who are working based on terms and
conditions stipulated in the civil service regulations. In addition, the civil servants at the local
government level will be involved in the project implementation on full time or on a part-
time basis. These include PSNP Food Security Head, Public Work and Livelihoods
Coordinators and Technical Assistance (TA) specialists on Infrastructure, M&E, Gender and
Social Development (GSD), as well as TAs at the Regional and Woreda levels, PSNP
Accountants, and Sector Experts of various sectors such as from Ministry of Agriculture,
Ministry of Labour and Social Affairs (social workers), and Ministry of Health (Health
Extension Workers). The Woreda Government Administrations and sector staff are civil
servants whose salaries are financed through the local government.
Timing of labour requirements: Direct Project workers are eligible to work for a fixed
contract period that could be renewed as required.
Short Term Consultants: The Short-Term consultants are engaged by the Project to
undertake short period assignments such as assessment and evaluation. These are consultants
guided by specific contractual agreements between them and Ethiopia PSNP Food Security
Coordination Directorate or NRM (Natural Resource Management) PW Coordination Unit at
National level and the same Agreement could be made at Regional Food Security, PW and
Livelihoods coordination units.
Timing of labour requirements: Short Term Consultants are engaged under short term
period of not more than six months and the labour requirement including the time schedule
and deliverables are stipulated in their respective contracts. Regarding Infrastructure related
subprojects, contractors are engaged following the National Bid Standard Terms &
Conditions applying to construction contracts.
3. ASSESSMENT OF KEY POTENTIAL LABOR RISKS
Project components and activities:
Component 1 – Adaptive Productive Safety Net (US$14.875 million AF2)
This proposed AF2 will allow the SEASN project to finance the purchase of cereal
(wheat) which will enable the government to switch core Permanent Direct Support
Transfers to food in selected woredas in light of the severe drought, escalating food
prices and dysfunctional markets. Three months of transfers (with a benefit level of 15 kg
per beneficiary per month) for approximately 300,000 core beneficiaries in food and
associated transportation costs will be financed out of this component. Woredas where the
preferred transfer modality is food, or cash and food, woredas which have recently emerged
from conflict and woredas badly affected by the current drought will be targeted for this
switch. There will also be alignment between woredas in which Permanent Direct Support
(PDS) transfers are made in food and woredas targeted for shock responsive transfers to
ensure economies of scale with regard to the transportation of food.
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In addition, the proposed AF2 will allow the Government to restore the purchasing
power of cash transfers which have been severely hit by high food price inflation. The
severe budget constraints faced by the program have risked Government plans to annually
adjust benefit levels in line with inflation, resulting in a Government proposal to delay benefit
level adjustments or limit the size of the change. Financing from AF2 will cover the cost of
an adjustment in line with Food Price Inflation for the period of three months, to enable such
an adjustment to be rolled-out during the peak of Ethiopia’s annual hungry season. This
adjustment will both restore the purchasing power of the cash transfers to core PDS
beneficiaries (who are amongst the poorest) and improve the adequacy of shock responsive
transfers which are indexed against core transfer benefit levels.
Component 2 – Improve Shock Responsiveness of the Rural Safety Net (US$242.940

million AF2)
The food cereal purchased through this AF2 will also allow the government to scale up
shock responsive transfers to drought and conflict affected communities. Approximately
5.5 million beneficiaries in Afar, Amhara, Dire Dawa, Harari, Somali, Oromiya, Sidama,
South-West and SNNP will receive three months of shock responsive transfers as
programmed through an update to the Food Security Coordination Directorate’s Drought
Response Assistance Plan (DRAP). The DRAP draws data on food assistance needs from the
Government’s Early Warning System and matches, through a prioritization process, these
needs with the resources available. The DRAP will identify both the planned horizontal
(additional beneficiaries) and vertical (additional support for core PSNP beneficiaries)
expansion under Component 2. The DRAP will also determine which areas will receive
benefits in food and in which areas cash will remain the preferred payment modality. This
determination will be informed by analysis looking at availability and access. The DRAP will
also allocate financing from the AF2 to facilitate the administration of shock responsive
transfers at woreda level.
Implementation in non-High Risk of Ongoing Conflict Areas of Afar, Amhara, Dire

Dawa, Harari, Somali Region, Oromia, Sidama, South-West Region and SNNP will
follow the modalities already laid out in the Government’s Shock Responsive Safety Net
Operational Annex to the Program Implementation Manual. This Operational Annex
describes how households will be targeted using already established community targeting
committees, the ability of households to submit complaints to existing Kebele Appeals
Committees and the use of the PSNP payment software for the beneficiary registry and to
facilitate payroll generation. A separate module exists in the PSNP’s Payroll and Attendance
Sheet Software (RPASS) to manage clients temporarily enrolled into the PSNP as shock
responsive beneficiaries. Food distributions should both enable direct beneficiaries to meet
immediate food needs and increase availability of food, reducing inflationary pressures in
markets serving the wider communities.
A further 1.5 million beneficiaries in High Risk of On-going Conflict Areas will also be
supported through the Additional Financing under Component 2 with implementation
contracted out to a Third-Party Implementer (TPI). Implementation in Tigray will follow
streamlined procedures (to be documented and shared by the TPI) and will provide support to
households identified as in need regardless of whether or not they were previously enrolled in
the PSNP. The TPI will submit its distribution plans to Government, but will be given
flexibility to adapt to changing circumstances in real-time given the potentially dynamic
nature of the conflict. The AF2 will finance the provision of 15 kg of cereal per month for
three months for each beneficiary. This may be supplemented by pulses and oil from other
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sources depending on resource availability from humanitarian donors.
Component 3 - Systems, Capacity Development, and Program Management Support

(US$42.185 million AF)
The proposed AF2 will also support the re-establishment of critical implementation
capacity in districts of Afar, Amhara, and – as appropriate – Tigray affected by recent
conflict. The widespread conflict in Tigray and incursions by Tigray forces into Afar and
Amhara have resulted in significant damage to and losses of Information and
Communications Technology (ICT) equipment, vehicles and other physical capacity; and the
weakening of community project management structures that play a key role in certain
aspects of program implementation. Although some ICT equipment and vehicles have been
purchased and are in the process of being distributed, financing constraints made it
impossible to address all the capacity gaps resulting from this conflict. The Government has
undertaken a damage and loss assessment in woredas affected by the conflict in Afar and
Amhara. A portion of the AF2 will be used to support capacity restoration efforts including
the purchase of additional ICT equipment, vehicles (including motorcycles) and office
furniture. The AF will also be used to support any training needed to restore community
structures and woreda capacity.
The TPI will conduct an assessment to inform any investments on re-establishment of

capacity in Tigray. As part of their assignment, the TPI will undertake a capacity assessment
in Tigray to obtain evidence on the level of damage inflicted on the implementation capacity
of the PSNP at various levels, and will estimate the amount of investment needed to restore
these capacities. Implementation in Tigray would take an adaptive approach by identifying
and deciding on the level of investment while conducting timely conflict and security
assessments.
Key Labour Risks: Potential risks that may arise from the nature of activities to be
undertaken include incidents of child labor, accident and injuries, GBV/SEA and safety and
health hazards.
The risk of child labour will be mitigated through certification of labourers’ age. This will be
done by using the legally recognized documents. In circumstances where these documents are
not available, the Affidavit of Birth will be used. Further, awareness-raising sessions will be
conducted regularly to the communities to sensitize on prohibition and negative impacts of
Child and Forced Labour.
The risk of Sexual Exploitation and Abuse (SEA) will be mitigated through sensitization of
beneficiaries and the community on the risks and prevention of Gender Based Violence
(GBV), Sexual Exploitation and Abuse. Furthermore, provision of equal employment
opportunities, promotion of fair treatment and non-discrimination and inclusion of specific
and binding clauses in all the codes of conduct and contracts will be applied to mitigate the
risks. PSNP has also provisions aimed at addressing gender-specific vulnerabilities of
women, which includes limits for the distance of public work sites from the home as
maximum of 1 hour’s walking distance as well as reducing workload of women to 50% that
allows them to arrive late and leave early.
To avoid the risk of accidents at work places, the site will be equipped with information and
directions on all important areas, including Emergency Assembly Points; additionally, the
site will have Sign Boards located in appropriate places, providing information on
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precautions and appropriate actions to be taken t avoid accidents including mandatory

wearing of protective equipment.
4. BRIEF OVERVIEW OF LABOUR LEGISLATION: Terms and Conditions
The labor law is applied to govern all aspects of employment relations based on a contract of
employment that exists between a worker and an employer. The government of Ethiopia
labour laws include the following:
• Labor Proclamation No. 42/1993 (replaced by Labor Proclamation No. 377/2003)
• Labor Proclamation No. 377/2003
• Federal Civil Servants Proclamation 1064/2017
• Labor Proclamation No.1156/2019 (complements (does not replace, Labor Proclamation No.
377/2003).
• Proclamation No. 632/2009, Employment Exchange Service Proclamation
• Proclamation No. 568/2008 Rights to employment for Persons with Disabilities:

The labour law covers formation of contract of employment defining the rules and conditions
of employment, nondiscrimination, equal opportunity for women workers, the right to form
trade unions (workers organizations), working conditions of young labor setting the minimum
age for child labour to be 15 and working conditions, and arbitration/conciliation mechanism
to handle grievances and disputes of workers in relation to employment. The labour law also
covers occupational health and safety, and work environment aspects. Proclamation No.
568/2008 Rights to employment for Persons with Disabilities makes void any law, practice,
custom, attitude and other discriminatory situations that limit equal opportunities for persons
with disabilities.
Further, Ethiopia is a signatory to the international UN conventions and has ratified the major
international human rights instruments. Ethiopia has also ratified the following ILO
conventions:
• Forced Labor Convention No. 29/1930;
• Freedom of Association and Protection of the Right to Organize Convention, No. 87/1948;
• Employment Service Convention, No. 88/1948;
• Right to Organize and Collective Bargaining Convention, No. 98/1949;
• Abolition of Forced Labor Convention, No.105/1957;
• Minimum Age Convention No. 138/1973;
• Occupational Safety and Health Convention, No. 156/1981;
• Termination of Employment Convention, No. 158/1982;
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• The Rights of the Child Convention, 1989; and
• The Worst Forms of Child Labor Convention No. 182/1999.
The labor law largely fulfills the requirements of ESS 2. In case of differences between the
national legislation, regulations, and the World Bank Environmental and Social Standards,
the more stringent provision will be applied.
As mentioned above various laws, policies, systems, standards and international codes of
practice are applicable to the implementation of this Plan. These laws include Employment
and Labour Relations. As per Proclamation No.1156/2019, No 89, Article 55, part 1 and 2 of
Ethiopia labour law, Part seven, 2019, Occupational Safety and Health have relevant clauses
that support ESS 2. Although community workers are not covered by the labour laws, Project
workers will be provided with information that is clear and understandable regarding their
terms and condition of employment.
The employment and labor relations as mentioned above is the main legislation that guide
labor practices in Ethiopia. Terms and conditions provided by this Act includes prohibition of
child labor, prohibition of forced labor, freedom of association, prohibition of
discriminations, employment standards i.e. maximum hours of work, night work standards,
right to break during working day, leave and fair terminations. The above terms and
conditions apply to the long-term consultants. However, some of these terms and conditions
applies to community workers i.e. prohibition of child labor, prohibition of forced labor,
prohibition of discriminations and maximum hours of work.
The legislation requirements conform to guidance provided in WB Environmental and Social

Framework (ESF) and Environmental and Social Standard 2 (ESS 2).
5. BRIEF OVERVIEW OF LABOUR LEGISLATION: Occupational Health and Safety

(OHS)
Ethiopia has legal frameworks on Occupational Health and Safety (OHS). The Constitution
(1995) under Article 42/2 stated the Rights of Labor as “workers right for healthy and safe
work environment” Proclamation No. 4/1995. There are also different legal frameworks on
OHS which include: the National Occupational Health Policy and Strategy, Occupational
Health and Safety Directive (2008), Occupational Health and Safety Policy and Procedures
Manual, and On Work Occupational Health and Safety Control manual for Inspectors
(2017/18) which will apply to this Project. Occupational Health and Safety promotion is also
included as priorities in the National Health Policy Statement (1993). Ministry of Labour and
Skills (MOLS) and its regional counterparts are responsible for OHS at Federal and Regional
levels.
According to ESS2, the OHS measures will be designed and implemented to address: (a)
identification of potential hazards to project workers, particularly those that may be life
threatening; (b) provision of preventive and protective measures, including modification,
substitution, or elimination of hazardous conditions or substances; (c) training of project
workers and maintenance of training records; (d) documentation and reporting of
occupational accidents, diseases and incidents; (e) emergency prevention and preparedness
and response arrangements to emergency situations; and (f) remedies for adverse impacts
such as occupational injuries, deaths, disability and disease.
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6. Workplace occupational health and safety (OHS) processes to protect public workers
health and safety
Detailed OHS procedures for the PW program are set out in the PSNP 5 ESMF Annex 11,
Occupational Health and Safety (OHS) and Community Health and Safety (CHS). The
provisions may be summarized as follows:
Identification of Potential Occupational Health and Safety risks
PW and LH related sub-projects and activities which can cause health and safety risks on
participants were identified. Qualitative comprehensive job safety or job hazard analyses
were made for the key activities identified as potential hazards.
Implementation of Preventative and Protective Measures
Safety measures to respond to the identified potential safety and health hazards and risks due
to the implementation of PSNP 5 activities were established. This includes but not limited to
assigning and train OHS focal person, developing simplified community level training and
IEC materials, assigning community level safety officer who are trained on how to perform
first aid during minor injuries, providing regular awareness raising to the communities using
the simplified training and IEC materials, establishing an occupational, safety and health
committee, implementation of good house-keeping practices, providing first aid kits with
required inputs and providing personal protection equipment.
Establishing Workplace procedure for PW and LH clients and Semi-skilled workers to

report and respond to potential work risks and emergencies
Clear workplace procedure was established for community workers and semi-skilled laborers
to report immediately any situation they believe presents a serious danger to life or health of
participants as well as occurrence of emergencies. The workplace procedures, work
instructions and formats also include clear steps/measures which needs to be implemented
and the responsible parties for responding to reported risks and emergencies.
Following implementation of Safety Procedures
Emergency incidents will be identified and reported. The workplace procedures as set out in
Annex 15 of the PSNP 5 ESMF will be followed for responding to emergency incidents.
Responsibility of implementers at all level
The roles and responsibilities of project stakeholders at all level in relation to the
implementation of the OHS guide were discussed, agreed and included in the OHS guide.
7. RESPONSIBLE STAFF
To ensure successful management of project workers there is a need to clearly define roles
and responsibilities of key players and stakeholders at Community, Kebele, Woredas,
Regions, and Federal levels:
• The Federal-level Food Security Directorate, and NRM PW Coordination Unit will prepare
guidelines and all forms needed, capacity building to regional and woreda-level staff and
monitoring; ensure provision of expert advice on labour management, ensure enforcement
and monitoring role as stipulated by law, ensure periodical labour and working conditions
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environmental audits and facilitate in conducting training for staff that will carry out LMP at
all levels.
• Regional level - The Public Works Focal Unit (PWFU) Technical Team will support the
Woreda PW staff and the Woreda Food Security Task Force and Technical Committees on
the implementation of the LM procedures. They will also be responsible for training of
Woreda leadership on safety measures to avoid workplace accident.
• Woreda level –The woreda PW staff provide the necessary training to DAs and kebele level
government structures on the labor management procedures. They are responsible to oversee
that the necessary forms are completed at kebele level and then communicate the same to the
regional levels.
• Kebele level –DAs, Keble Administration and Community Watershed Team (CWT) will be
responsible to oversee the management of community workers at sites; this include
undertaking both compliance monitoring and effects monitoring.
• Third Party Implementer:
As the AF2 does not fund any physical activities and only engages project workers under the
TPI for HROCA or direct or contract workers in post conflict areas, the below guideline will
only focus on
• TPI to conduct assessment to identify the potential hazards to project workers particularly
those that may be life-threatening and develop response plan as part of the overall assessment
• Prepare emergency prevention and preparedness and response to emergency situations and
effective communication of information
• Accommodation and other facilities (hygiene, canteens) provided must be in
nondiscriminatory manner and protect the health, safety and well-being of the project
workers.
• Document and maintain incidents related to the project and in the event of occupational
fatality or serious injury, report to the Bank.
• Identify corrective actions and implement in response to project-related incidents or
accidents.
• Where TPI engages contracted third-party workers, must ensure the legitimacy and reliability
of the third party and have contractual agreement labor management procedure, and establish
procedures for managing and monitoring performance of such third parties.
• Provide grievance mechanism for the project workers
• In relation to primary supply workers, TPI must ensure no child labor or forced labor cases
arise related to the project, introduce procedures and mitigation measures to address safety
issues
• TPI must conduct regular review of LMP procedures and working environment
8. POLICIES AND PROCEDURES
The participants of the Program will be enrolled through a community-based participatory

approach, which will entail the following activities:
i. PW staff and Woreda level extension personnel during village assemblies will introduce the
Project, explaining thoroughly the components and the mode of its operations to the
prospective participants.
ii. Furthermore, during the community Assembly meeting, the DAs will elaborate on the nature,
146
type and eligibility of community driven labor.

iii. The eligibility criteria of program participants will be established and agreed upon during the
community meeting based on set of criteria. Some of common criteria include:
a) Extreme poor households identified in community-based targeting and verified through Proxy
Means Test – these are households that do not meet daily consumption needs, have limited
assets, high family size, elderly, orphans and child headed households, people with chronic
illness and other forms of vulnerability.
b) For PWP, in addition to common criteria mentioned in a) above, there should be at least one
able-bodied person who can provide labor on behalf of the Households, age 18-60.
c) Pregnant and lactating mothers will be exempted from participation in PW implementation as
stipulated in the PIM.
d) All child-headed households will receive direct support, and will not participate in Public
Works
ESS2 paras. 24-30 on Occupational Health and Safety will be complied with through a
provision of PPE to every worker at all working site where beneficiaries undertake PW
activities for the SEASNP. Such PPE will be identified during Micro-planning stage when
subprojects activities will be firmed up. Different PPE will be supplied and used in
subprojects depending subprojects activities. PW Implementation manual also covers
provisions of occupational health and safety at the project sites which includes but not limited
to provision of sanitary facilities, solid waste collection and disposal points, use of
appropriate PPE with respect to project implemented and provision of First Aid Kit in all
sites. The cost for procuring PPE will be included in the PW non-labour budget. Woreda
office of agriculture will be responsible for procurement of these inputs. Kebele Admin will
maintain a stores ledger book where all tools procured will be recorded.
9. AGE OF EMPLOYMENT
10. As mentioned above, the AF2 will not involve PW activities due to the reason that the project
is intended only to address the shock response. However, under the parent project, the project
will target eligible households having at least one adult of working age of 18 to 60 years only
to work in PW subprojects. The age of participants will be verified during subproject
community based participatory planning. Such tools as the Registration Client Card (RCC)
and National ID will be used to verify age of participants and validated in the Kebele
Assembly meeting. In the same circumstances where these documents are not available, the
Affidavit of Birth or Birth certificate will be checked. Further, awareness raising sessions will
be regularly conducted to the community to sensitize on prohibition and negative impacts of
Child and forced Labor.
11. TERMS AND CONDITIONS
There are three types of workers in the SEASN Project:
(i) Civil Servants from the government at PSNP Woreda level and Regional PW Focal Unit
(RPWFU) who have contracts that are governed by the National Civil Service Legislations
and;
(ii) Short Term Consultants.
(iii) Community workers who will be working in the Project following rules as agreed in the
respective PW Implementation Manual, including payment amount, method of payment and
147
hours of work for the SEASNP.
The government officials at the regional and Woreda levels are civil servants and their terms
and conditions of employment are guided by National Civil Service Legislation.
The community workers will work on PW subprojects using guidance provided in the
Community-Based Participatory Watershed Development Guideline (CBPWDG). The
manual stipulates among others the eligibility criteria to participate in the PW. Community
workers must be targeted and enrolled as a poor household participating in the PSNP.
Eligible members must be resident in the respective community and the age ranges as
mentioned above.
Working conditions will be made clear to the community members prior to commencement
of the work. During community planning of PW, the Woreda Facilitators will explain to
beneficiaries and entire community the PW objectives and working conditions.
Overall, although in the AF2 for SEASN there will be no PW activities, the parent project
involves various works and workers. Thus the project will depend on various laws such as: (i)
Labor Proclamation No. 42/1993 (replaced by Labor Proclamation No. 377/2003), (ii) Labor
Proclamation No. 377/2003, (iii) labor Proclamation No.1156/2019 (complements (does not
replace, Labor Proclamation No. 377/2003), (iv) Proclamation No. 632/2009, Employment
Exchange Service Proclamation, and (v) Proclamation No. 568/2008, Right to Employment
of Persons with Disability. Further, Ethiopia is a signatory to the international UN
conventions and has ratified the major international human rights instruments. Ethiopia has
also ratified the following ILO conventions:
• Forced Labor Convention No. 29/1930;
• Freedom of Association and Protection of the Right to Organize Convention, No. 87/1948;
• Employment Service Convention, No. 88/1948;
• Right to Organize and Collective Bargaining Convention, No. 98/1949;
• Abolition of Forced Labor Convention, No.105/1957;
• Minimum Age Convention No. 138/1973;
• Occupational Safety and Health Convention, No. 156/1981;
• Termination of Employment Convention, No. 158/1982;
• The Rights of the Child Convention, 1989; and
• The Worst Forms of Child Labor Convention No. 182/1999.
12. GRIEVANCE REDRESS MECHANISM
PSNP has established a Grievance Redress Mechanism (GRM) for PSNP5, set out in detail in
PSNP 5 ESMF Annex 15, Grievance Redress Mechanism (GRM). In summary, the GRM
addresses concerns and complaints at local level to improve performance and hold on the
148
program accountable. Since the implementation of the program activities involved interaction
with the wider community, to enhance transparency and accountability, awareness creation
concerning the GRM will be conducted through sensitization during the community sessions
to clients and non-clients and through posters placed at public places. At federal level, focal
person is assigned at Ministry of Agriculture, FSCD, to oversee and follow up on grievances
that also come to national level in line with different components.
At the community level, grievances about the program will continue to be received and
resolved through the established structure: the Kebele Appeals Committee (KAC) although
the nature of grievance reported might necessitate involvement of higher level bodies in
decision making such as the woreda, Region and Federal. Records of grievances and
complains including occurrence date, grievance and date submitted; action taken and
resolution dates, minutes of discussions, recommendations and resolutions as well as follow
up to be made will be maintained at all levels and recorded in the newly established MIS
system. For incidents such as GBV/SEA, the focal persons will report to their respective
woreda and region which reaches the federal level MoA then to the World Bank. Moreover,
the focal persons will refer the survivors to relevant service providers. Detail GBV referral
pathways is indicated in the GBV/SEA assessment report.
Regarding labour grievances, community workers will use the community level appeal
system described above. For civil servants and Contract staff20 grievance mechanism for
public sector, handled by committee of the institution their contract is managed under,
described below, will apply.
The Federal Civil Servants Proclamation No. 1064/2017 Article 76 has laid down
mechanisms and procedure for grievance handling within the internal structure of
government institutions. It states that every government institution is expected to establish a
grievance handling committee that investigate complaints lodged by civil servants21 referring
to the relevant laws, regulations and practices and submit recommendations as to how to
resolve it to the Head of the government institution.
The committee is expected to have five members and a secretary comprised of two elected by
civil servants and three assigned by the head of the institution. The committee, however, is
only responsible to hear grievances related to working condition. Other grievances such as
GBV and corruption are to be lodged in or referred to each institution’s Women and Child
affair and anti-corruption directorates respectively.
Process of grievance mechanism
• Civil servant with grievance/appeal submits a completed grievance form to an inquiry officer
that is assigned by the head of institution. The grievance form includes the below
information.
o the name and address of the grievant
o his job titles
o the name of immediate supervisor
o causes of his grievance
149
o supporting evidences (if any)

o the redress sought
o date and signature
• The inquiry officer will see whether the grievant/petition can be resolved with discussion.
Given that it cannot be resolved with discussion, the inquiry officer will present the written
grievance to the grievance review committee.
• The committee examine the grievance and any appropriate evidence and submit a report
containing its findings and recommendations to the head of the government office within 15
working days from the date of receipt of the grievance.
• The head of the government office approve the recommendation of the committee, give a
decision different from the recommendation of the committee or instruct the committee to
further review the case within ten working days from the date of receipt of the committee's
report. The decision will be communicated to the petitioner in writing.
• If a civil servant is not satisfied with the decision of the head of government or if decision is
not given within the time limit, he/she may appeal to the Civil Servants Administrative
Tribunal that has judicial power and is designated by the head of the institution. Decision
made by the Administrative tribunal is considered as orders and decisions of any civil court.
13. CONTRACTOR MANAGEMENT
The work will be undertaken by the Community workers with technical supervision of
Community facilitators and DAs. The Woreda technical experts will provide overall
supervision to ensure sector norms and standards are followed. The Community facilitators
will enter into contracts with Kebele Council (KC) prior to PW subproject implementation.
There will be contractors engaged to work in the Program activities for those Activities
needing industrial material and beyond labor and need high skill work. The National standard
terms of condition construction of contract Agreement document will be used for contract
management.
14. CODE OF CONDUCT
Code of conducts aim at preventing and/ or mitigating social and related risks within the
context of the project. The social risks that may arise include GBV/SEA, child labor, as well
as community health and safety risks. The PIM has detailed information and a respective
code of conduct for workers at different levels.
15. COMMUNITY WORKERS
The program will engage the enrolled participants in the Program to work as community
workers stipulated in the PIM. The community workers will be working based on the
CBPWD Guideline, PIM and PW manual.
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Annex 1: Community driven PW subprojects implementation arrangement
1. Implementation Arrangements
To begin the actual implementation of the PW, RPSNP PWU will disburse 25% as non-
wages cost into RPSNP PWU Bank Account for procurement of non-wages inputs such as
tools, equipment and administrative costs to make sure that implementation starts as planned.
This will be done at least one month prior to start date of implementation.
The CWT will liaise with the Kebele Council (KC) and with the KFSTF to ensure proper
storage of working tools, equipment and materials. The storekeeper will use store ledger to
issue tools to the group leader who will issue to individual workers under their charge and
similarly collect and return to the store by the same person.
Day-to-day management of public works at kebele level is the responsibility of the DAs and
Community facilitator and Community Watershed Team (CWT) who plan and decide on
activities to be carried on daily basis. Community facilitators contracted provide full time
supervision. The DAs will be handed over the following documents that will guide
implementation.
• The Community-Based Participatory Watershed and Rangeland Guideline (CBPWRG) on

which most of the Technical drawing of the subproject holds detailing lay out plan,
dimensions and cross sections
• Operational Bills of Quantities showing tasks to be accomplished and work norms.
• Environmental and Social Management Plans showing the identified impacts and proposed
mitigation measures.
• Client card generated from targeted beneficiaries names of household’s and a substitute.
• A list of tools that has been procured and be used for subproject implementation.
Orientation on the fundamental principles of public works, participation, rules for attendance,
cooperation, payment schedule and safety precautions will be given to all participants before
starting the work.
A first aid kit will be availed to each public works work site.
1.1 Age of the participants.
The PW subprojects will be implemented by participants aged 18 to 60 years. The age of

participants will be ascertained during the enrolment and through other means as Client cards
and community assemblies. Participants under 18 years old will not be eligible to participate
in subprojects activities.
Article 36 (1e) states that children are entitled to be protected from social or economic
exploitation and shall not be employed in or required to perform work that is likely to be:
➢ Hazardous
➢ To interfere with their education
➢ Harmful to their health or physical, mental, spiritual, moral or social development.
➢ It does not allow children below the age of 18 years to be employed on any of the PW
subproject sites.
151
1.2 Formation of work teams
Beneficiaries participating in public works will be organised in work teams. A work team
consists of between 15 to 25 members and work is assigned to the work team, which they
must complete. The Team members elect their leader, a Group Leader (GL) and if possible,
the assistant group leader. These act as a link between the Development Agent (DA),
Community Facilitators (CF) and Community Watershed Team (CWT) on daily planning and
execution of work. If the selected Group Leader is male, the assistant should be a female and
vice versa where possible. Group Leader will communicate to their members on the time and
location of the public works activities and are responsible for sharing the work within the
team. This arrangement helps to ensure cooperation within the teams, monitoring each other’s
attendance and ensuring each other arrive at work on time. The team will have balanced
composition taking account of gender, age, skills ability and strength.
1.3 Work site management
Management of the worksites is the key part of implementation of a public works subproject.
It will entail organization of labour, management of attendance, payment of beneficiaries,
provision of required materials and other inputs, physical execution of works, technical
support and resolving issue that might arise during execution.
Prior to the start of implementation, the Woreda Watershed Team (WWT) team will carry out
the following tasks:
i. Train the DA and CF at the site on interpretations of technical designs and putting on ground
their sketch, work norms, setting out works so that work allocated correspond to the available
labour.
ii. Plan what activities needs to be accomplished in a month of slack (farming operation
relatively Less) period, and allocation of tasks based on the number of beneficiaries. These
should be document into the site instruction book and should be agreed among the CWT,
DAs and Kebele Watershed Team (KWT).
iii. Organize a Group of work groups into 15-25 beneficiaries to carry out specific tasks of the
subprojects. The Group will elect a Group leader who will receive work orders from DAs. It
is the task of the Group leader to ensure that the assigned task is completed for a day and
community facilitators will follow day to day implementation
iv. Due consideration will be given to women’s needs.
Pregnant and lactating mothers will be exempted from participation in PW implementation as

per the PIM.
Note: Allocation of light works for women is considered:
Team composition and assigning of teams for different activities should take into
consideration the needs to allocate light duties for women. The definition of light can vary
according to the specific activity. For example, watering of seedlings in a tree nursery if
water is available near the site can be taken as light work. However, if water is not available
in the nearby site, it will no longer be taken as light work, since beneficiaries will need to
travel long distance to fetch water.
v. The technical team must ensure that enough tools are available for the working group. The
team will ensure that enough materials are available at the worksites to create quality of
152
assets
vi. Inform participants that payment of community works will be based on the achievements of
completed task. It is the duty of DAs and CF with the CWT and the Kebele Food Security
Task Force (KFSTF) to plan and organize work to be undertaken based on targets.
After completion of a daily task, DAs, CF and CWT with KFSTF will check completeness of
the work by measuring actual work done and records. Attendance sheets will also be prepared
and filled at site level.
1.4 Technical Supervision and Management
During implementation of the subproject, technical supervision will be provided by WWT

specific sector experts and Woreda Development staff. They will provide technical guidance
and inspect the works to be carried out to ensure that works are carried out to acceptable
standards and is of good quality. The supervision team will be required to check work
progress, fill in and sign the site instruction book for any recommendations towards
adherence to norms, standards and specifications and any other social issues. Supervision
team will also be required to receive and document complaints and grievances, date occurred
and redress mechanism. The team will also recommend specific actions to redress pending
issues.
After the end of months working days, the DAs and CWT will prepare attendance sheet
indicating the number of days a household has worked. All attendance sheets and Job cards
will be signed by the DA, and must be sent to the Woreda Coordinator for review and
approval within five days after completing the round of 30 days. The Woreda public works
and livelihoods coordinators collect report from each Woreda Watershed technical team and
Technical Assistants (TAs). The Woreda Food Security Desk Monitoring and Evaluation
expert will also prepare a monthly report showing achievements against planned targets. Note
that 30 working days will be completed in the fifth day of the month. Using the Work-norms
following the CBPWDG depending on the type of work, the work executed in person-days
will be calculated and multiplied by the wage rate. Finally, payroll will be prepared by
woreda Finance Office, and the payment will be carried out.
Woreda Agricultural Offices (WAO) enter the information into the PW Management
Information System (MIS) to enable them generate the pay list. Site visits by WWT sector
technical team is a must to ensure that works is of good quality. Sectors are encouraged to
coordinate within and across the sectors in the supervision, information and report sharing of
progress of works. On monthly basis progress for each subproject will be discussed in the
CWT meeting.
1.5 Measurement of Works
The objective of implemented subprojects under PSNP PW subprojects is to create durable

assets and strengthening the livelihood resource base of the communities. A substantial
amount of funds is used to pay participants labor and other inputs. Thus, if well implemented
by following sector norms and standards, these subprojects have the potential of transforming
the lives of many communities but also results in substantial infrastructural development and
addressing land degradation. It is therefore paramount to ensure good quality and durability
of the assets being created.
153
WWT technical staff will make measurements of the works after completing each round of
30 working days and make a joint plan of the next round of 30 days. Should any deviation
occur, this has to be corrected and communicated to the Kebele Council. The WWT technical
staff should strictly monitor the quality of works on four major aspects: Measurements,
Specification, Workmanship and end Outcomes of each subproject.
Annex 1: Community driven PW Subprojects Implementation Arrangement
1. Implementation Arrangements
To begin the actual implementation of the PW, RPSNP PWU will disburse 25% as non-
wages cost into RPSNP PWU Bank Account for procurement of non-wages inputs such as
tools, equipment and administrative costs to make sure that implementation starts as planned.
This will be done at least one month prior to start date of implementation.
CMT will liaise with KC with KFSTF to ensure proper storage of working tools, equipment
and materials. The storekeeper will use store ledger to issue tools to the group leader who
will issue to individual workers under their charge and similarly collect and return to the store
by the same person.
Day-to-day management of public works at kebele level is the responsibility of the DAs and
Community facilitator and CWT who plan and decide on activities to be carried on daily
basis. Community facilitators contracted by provides full time supervision. The DAs will be
handed over the following documents that will guide implementation.
• CBPW and Range land Guideline on which most of the Technical drawing of the
subproject holds detailing lay out plan, dimensions and cross sections
• Operational Bills of Quantities showing tasks to be accomplished and work norms.
• Environmental and Social Management Plans showing the identified impacts and
proposed mitigation measures.
• Client card generated from targeted beneficiaries names of household’s and a
substitute.
• A list of tools that has been procured and be used for subproject implementation.
Orientation on the fundamental principles of public works, participation, rules for attendance,
cooperation, payment schedule and safety precautions will be given to all participants before
starting the work.
A first aid kit will be availed to each public works work site.
1.1 Age of the Participants.
The PWP subprojects will be implemented by participants aged 18 to 60 years. The age of
participants will be ascertained during the enrolment and through other means as Client cards
and community assemblies. Participants under 18 years old will not be eligible to participate
in subprojects activities.
Article 36 (1e) states that children are entitled to be protected from social or economic
exploitation and shall not be employed in or required to perform work that is likely to be:
154
• Hazardous
• To interfere with their education
• Harmful to their health or physical, mental, spiritual, moral or social development.
• It does not allow children below the age of 18 years to be employed on any of the PW
subproject sites.
1.2 Formation of Work Teams
Beneficiaries participating in public works will be organised in work teams. A work team is
comprised of between 15 to 25 members and work is assigned to the work team, which they
must complete. Team elect their leader, a Group Leader (GL) and if possible, the assistant
group leader. These act as a link between DAs, CF and CWT on daily planning and execution
of work. If the selected group Leader is male, the assistant should be a female and vice versa
where possible. Group Leader will communicate to their members on the time and location of
the public works activities and are responsible for sharing the work within the team. This
arrangement helps to ensure cooperation within the teams, monitoring each other’s
attendance and ensuring each other arrive at work on time. The team will have balanced
composition taking account of gender, age, skills ability and strength.
1.3 Work Site Management
Management of the worksites is the key part of implementation of a public works subproject.
It will entail organisation of labour, management of attendance, payment of beneficiaries,
provision of required materials and other inputs, physical execution of works, technical
support and resolving issue that might arise during execution.
Prior to start implementation the WWT Technical team will carry out the following tasks:
• Train DA and CF at the site on interpretations of technical designs and putting on

ground their sketch, work norms, setting out works so that work allocated correspond
to the available labour.
• Plan what activities needs to be accomplished in a month of slack (farming operation
relatively Less) period, and allocation of tasks based on the number of beneficiaries.
These should be document into the site instruction book and should be agreed among
the CWT, DAs and KWT.
• Organize a Group of work groups into 15-25 beneficiaries to carry out specific tasks
of the subprojects. The Group will elect a Group leader who will receive work orders
from DAs. It is the task of the Group leader to ensure that the assigned task is
completed for a day and community facilitators will follow day to day implementation
• Due consideration will be given to women’s needs.
Pregnant and lactating mothers will be exempted from participation in PW implementation as

per the PIM.
Note: Allocation of light works for women is considered:
Team composition and assigning of teams for different activities should take into
consideration the needs to allocate light duties for women. The definition of light can vary
according to the specific activity. For example, watering of seedlings in a tree nursery if
water is available near the site can be taken as light work. However, if water is not available
155
in the nearby site, it will no longer be taken as light work, since beneficiaries will need to
travel long distance to fetch water.
• The technical team must ensure that enough tools are available for the working group.
The team will ensure that enough materials are available at the worksites to create
quality of assets
• Inform participants that payment of community works will be based on the
achievements of completed task. It is the duty of DAs and CF with CWT and KFSTF
to plan and organize work to be undertaken based on targets.
After completion of a daily task, DAs, CF and CWT with KFSTF will check completeness of
the work by measuring actual work done and records. Attendance sheet will also be prepared
and filled at site level.
1.4 Technical Supervision and Management
During implementation of the subproject, technical supervision will be provided by WWT

specific sector experts and Woreda Development staffs. They will provide technical guidance
and inspect the works to be carried out to ensure that works are carried out to acceptable
standards and is of good quality. The supervision team will be required to check work
progress, fill in and sign the site instruction book for any recommendations towards
adherence to norms, standards and specifications and any other social issues. Supervision
team will also be required to receive and document complaints and grievances, date occurred
and redress mechanism. The team will also recommend specific actions to redress pending
issues.
After the end of months working days, the DAs and CWT will prepare attendance sheet
indicating the number of days a household has not worked. All attendance sheet and Job
cards will be signed by DA, TA Officer must be collected to Woreda Coordinator for review
and approval within five days after completing the round of 30 days. The Woreda public
work and livelihood coordinator collect report from each Woreda Watershed technical team
and TAs. The Woreda Food Security Desk Monitoring and Evaluation expert will also
prepare a monthly report showing achievements against planned targets. Note that 30
working days will be completed in the fifth day of the month. Using the Work-norm
following the CBPWDGL depending on the Work executed in person-days will be Calculated
and multiplied by wage rate. Finally, payroll will be prepared by woreda Finance Office and
the payment will be carried out.
WAOs enter the information from the into the PW MIS to enable them generate pay list. Site
visits by WWT sector technical team is a must to ensure that works is of good quality.
Sectors are encouraged to coordinate within and across the sectors in the supervision,
information and report sharing of progress of works. On monthly basis progress for each
subproject will be discussed in the CWT meeting.
1.5 Measurement of Works
The objective of implemented subprojects under PSNP PW subprojects is to create durable

assets and strengthening the livelihood resource base of the communities. A substantial
amount of funds is used to pay participants labor and other inputs. Thus, if well implemented
by following sector norms and standards, these subprojects have the potential of transforming
the lives of many communities but also results in substantial infrastructural development and
156
addressing land degradation. It is therefore paramount to ensure good quality and durability
of the assets being created.
WWT technical teams will make measurements of the works after completing each round of
30 working days and make a joint plan of the next round of 30 days. Should any deviation
occur, this has to be corrected and communicated to the Kebele Council. The WWT
Technical Team should strictly monitor the quality of works on four major aspects;
Measurements, Specification, Workmanship and end Outcomes of each subproject.
157
Annex 13: Gender Action Plan
158
PSNP5 Gender Action Plan

Overarching Entry Points Proposed Action Responsible Body
Awareness and Community • Developed and disseminate IEC materials on GSD provisions in local FSCD, Regional FSBs
Sensitization language Regional FSBs
• Establish partnership with local radio stations as well as NGO
sponsored radio programs/community listening groups to transfer Regional FSBs and Woreda GSD
messages on the GSD provisions experts, women machineries at all
• Establish linkage with women affairs offices to include the issue of levels
GSD into their different community mobilization
Capacity Building, Community • Introduce experience sharing and establish networks among FSCD, Regional FSBs
Knowledge implementers and women’s groups at all levels Regional FSBs, Woreda GSD
Management • Organize annual training on gender to all members of committees experts
• Organize bi-annual training on life skill to women committee Regional FSBs
members Regional FSBs, Woreda GSD
• Design appropriate incentives to kebeles with strong women’s experts, women machineries at all
participation in committees levels
• Map NGOs working in women empowerment in implementation
woredas and link women clients to their program
Implementors • Plan 2 days annual GSD and Nutrition Consultation workshop with all FSCD
regional and woreda GSD experts and Allocate budget FSCD, Regional FSBs
• Revise the PSNP 4 GSD training materials to reflect PSNP5 Regional FSBs
• Allocate budget in annual plan to reach all local level implementers FSCD, CD facility
with GSD training FSCD, Regional FSBs
• Conduct technical support mission quarterly
• Develop two pagers on the GSD provisions on local language to be
distributed to grass root level implementers
Strengthen System • Revise the routine monitoring tool indicator example to reflect sex FSCD and Regional FSBs
M&E disaggregation, hence all monthly and quarter reports mandatorily Regional FSBs
reflect that Use revised planning and reporting template FSCD and SDTF
• Conduct annual GSD and nutrition specific monitoring mission FSCD and SDTF
• Organize briefing session to all RRM participants on how and what to
address GSD and Nutrition issues included in the RRM ToR FSCD and SDTF
• Ensure the participation of woreda and regional GSD experts in FSCD and SDTF
regional and federal JRIS respectively
159

• Organize biannual extra ordinary SDTF meetings to allow different
pilots do their presentation
Accountability • Ensure the emplacement with follow up capacity development of Regional FSBs
woreda GSD experts FSCD, Regional FSBs
• Revise the ToR/job description of staff to include mainstreaming GSD
issues as one of their responsibility which will be looked at during FSCD and SDTF
performance assessment
• Coordinate with the ESAP 3 to identify/modify, and implement social
Accountability tools that measure the satisfaction of women
• Integrate annual gender case audit in the annual GRM review and
disseminate learning in local language to KACs.
• Ensure the engagement of MoWCA structures at all level through
signing an MOU
Behavioral • Pilot the approaches identified in one woredas on each region to see FSCD, SDTF
Communication whether the approaches contribute for women equally benefit from
Change transfers and compile knowledge on intra-household dynamics FSCD, SDTF, RFSBs
regarding transfers and PWs
• Revise the program BCC to strengthen the gender equality sessions
• Use women nutrition champions as key to facilitate discussion within
the community on gender equality FSCD, RFSBs
• Include the role of mobilizing women particularly during planning RFSBs
process in the ToR of youth community facilitators
Setting Standards • Clarify the provision of targeting Polygamous HH in Afar context FSCD, PWCU, SDTF
• Revise the GSD provisions to reflect findings related to FHHs
workload FSCD, PWCU, SDTF
• Expand PW sub project nine to include more gender sensitive and care FSCD, PWCU, SDTF
related activities PWCU, RFSBs
• Allocate 3 percent of capital budget for implementation of sub-project
nine
• Monitor the implementation on ECD pilot
Strengthen Linkage Government • Ensure the directive sent out to regional BoH reaches woreda and MoH, FSCD, RBOHs, RFSBs
Stakeholders kebele level health structures
• Train 2 women PW clients in each “got” as women nutrition MOH, FSCD, SDTF, RFSBs
champions to deliver gender and nutrition related regular BCC
activities FSCD, SDTF
• Adopt the format to linkage to social service from PSNP 4 pilots and RFSBs, RBOH, MOLSA, BOLSAS
160

NGO implementation learning MOLSA
• Roll out the format
TFS And TCS • Negotiate with all TCs to have one joint meeting with SDTF whereby FSCD, SDTF, TCs
TCs will present GSD related progress and challenges
NGOs • Map the NGOs operating in the PSNP woredas FSCD, RFSBs
• Design potential approaches of partnership regarding GSD and FSCD, SDTF
Nutrition issues
Improve Access to • Develop gender and nutrition sensitive LH package FSCD/SDTF, LICU, MOLSA
Services Access to Livelihoods • Design Appropriate technical support (including coaching and
Services And mentoring) for female clients in business skills (women from both
Opportunities MHH and FHH)
•
Improved • Select one gender related learning agenda and work with NGO FSCD, SDTF, RFSBs, NGOs
Implementation of the implementers to document and disseminate learning
Gender Action Plan • Establish a gender unit and multi sectoral team which oversee the FSCD, SDTF
implementation of the GAP and GBV action plan
• Review the implementation status of the Gender Action plan bi- FSCD, SDTF
annually FSCD, SDTF, May/June JRIS SD and
Nutrition Working group
161
Annex 14: Gender-Based Violence Assessment and Action Plan
1. Background
1.1 Introduction
The Productive Safety Net Program (PSNP) is the largest social protection program in
Ethiopia and aims to improve the food security status of male and female members of food
insecure households (HHs). It provides predictable support to chronically food insecure
households in the form of cash and/or food transfers in exchange for labour on public works
or directly to those households without able-bodied members. The fourth phase of the
program targets 8 million people in 349 food-insecure woreda in 8 regions.
The World Bank is currently preparing the Strengthen Ethiopia’s Adaptive Safety Net
(SEASN) project to support the Government of Ethiopia (GoE) implement its fifth phase of
the PSNP (PSNP5). Environmental and social issues related to the proposed project will be
assessed using the World Bank’s Environmental and Social Standards (ESS) set out under its
new Environment and Social Framework (ESF). Under the ESF, the project is required to
have in place safeguards and reporting mechanisms to guard against the risk of the program
being a source of Gender Based Violence (GBV).
This report provides an overview of the findings of a recent GBV Assessment undertaken by
Food Security Coordination Directorate (FSCD) and makes recommendations based on its
findings that will feed into an action plan that will build the program’s capacity to monitor
and report on incidents of GBV and SEA. To date, the program has incorporated various
gender sensitive provisions aimed at addressing the gender specific vulnerabilities of women.
These provisions were based on the findings of a contextualized Gender Assessment
conducted in 2008, and include provisions that consider the varying labour capacities of men
and women, labour shortage of female headed households, greater time poverty of women,
and women’s primary responsibility for child-care. Despite all these provisions however,
PSNP is not a program designed specifically to prevent and/or respond against gender-based
violence. It goes without saying that the program is enormous, with diverse interests and
institutional arrangements that make drastic changes impossible.
However, PSNP, as a flagship program on social protection and food security, has the burden
and honor of learning from and transforming gendered risks and vulnerabilities that affect its
implementation. Ethiopia’s PSNP is categorized as a Transformative Social Protection
program where social risks are integrated in the social protection design22. Another study on
gender and social risks that looked at PSNP in Ethiopia and India concluded that the
programs implemented a limited number of modalities, hence reducing the potential impact
they might have on gender equality in intra-household and at the community level. 23 The
same study stressed that transformativeness must be supported by explicit interventions to
protect victims of domestic violence and discrimination (among others) or at least provide
explicit linkages to complementary interventions such as micro-credit services, right
awareness campaigns and skills training.
22
FAO (2016). Social Protection for Rural Poverty Reduction. Rural Transformations Technical Papers Series #1.
Stephen Devereux – Centre for Social Protection, IDS. (page 9)
23 Rebecca Holmes and Nicola Jones (2011). Gender inequality, risk and vulnerability in the rural economy:
refocusing the public works agenda to take account of economic and social risks. Overseas Development
Institute.
162
For the most part, PSNP has not intentionally explored whether the program has positive or
negative results in relation to GBV broadly and nor specifically about the potential risk of
Sexual Exploitation and Abuse (SEA) on beneficiaries. The aspect of staffs’ behavior
towards certain forms of exploitative situations such as procuring sex, engaging in sexual
relationship with a child under 18 years or sexual harassment are not mentioned in any of the
program documents. The program has yet to navigate how to address Protection against
Sexual Exploitation, Abuse and Harassment (PSEAH).
The 2008 PSNP evaluation was designed to include the extent to which PSNP has addressed
issues of gender-based violence. However, the published report did not include any reporting
on this issue. A 2011 study further disproved the assertion the program made about linkages
it has with other range of broader interventions such as community awareness training
through women development package on early marriage and other issues as very weak on the
ground. Until the 2017 study that suggested that the program has contributed positively in
delaying the marriage of adolescent girls, there wasn’t much to link PSNP either positively or
negatively with gender-based violence.
This, however, does not mean that PSNP design has not paid attention to the global learning
on safe programming. Despite the implementation challenges, examples of safe programming
range from the attention given to the distance to and from food or cash payment/collection
centers, watersheds, and availability of kebele appeal committees. This is an issue of
responding to risks of violence- broadly for all beneficiaries but more particularly to address
the need of women beneficiaries. Despite commendable improvements made to have food
distributions centers closer, food payments still tend to be made through fewer distribution
points with the result that clients have to travel longer distances, and longer waiting times
were reported as major concern by recipients. There is also evidence to suggest that women
who travel longer hours carrying children are exposed to harassment and robbery, but recent
evidence suggests that as the program continues to construct more Food Distribution Centers
(FDPs) along with the payment modality shift to cash and expansion of e-payment coverage
resulted in significant improvement in travel time and distance, and harassment or robbery is
rarely reported.
There is an enormous interest from the different stakeholders to learn more about the role of
the program either negatively or positively on gender-based violence (and particularly
violence against women and girls-VAWG). It is with this background that Ministry of
Agriculture (MoA) commissioned a GBV Assessment recognizing that PSNP5 provides an
opportunity to prevent for GBV to happen in some circumstances.
1.2 General and Specific Objectives
Under World Bank’s ESS1, borrowers must assess risks related with gender including
gender-based violence; equally, it requires health and safety of communities and individuals
as outlined in ESS4. Accordingly, Ministry of Agriculture (MoA) is required to conduct
GBV/SEA risk assessment for its Productive Safety Net Program (PSNP5) based on an in-
depth understanding of the country context with a focus on its Public Works (PW), and
Livelihood (LH) components. This includes an outline of the relevant risks, stakeholders
related to it (including referral services) and develop a system for the project to handle
respective risks (and incidents, if occurring) on different levels.
The overall objective of this assessment is to identify opportunities to strengthen PSNP5’s

capacity in order to reduce any risks of GBV/SEA linked to this program.
163
The assessment’s specific objectives are to:
• Assess and analyze risks of GBV/SEA in PSNP5

• Conduct a stakeholder mapping of government and civil society actors that are
currently working to address GBV/SEA in the program implementation areas;
• Assess the capacity of the implementers to address GBV/SEA risks in program
implementation and operation
• Develop appropriate risk mitigation measures together with applicable and cost-
effective implementation GBV action plan to address the identified GBV/SEA risks in
the project
1.3 Scope of the Work
This report incorporates the findings of the broader GBV Assessment commissioned by
FSCD and based on qualitative research, and a GBV Risk Assessment Tool extracted from
the Environmental and Social Framework (ESF) good practice note. The GBV Assessment
focused primarily on the following forms of GBV: (i) Intimate Partner Violence (IPV),
including physical, sexual, emotional and economic violence; and (ii) forms of GBV
experienced outside of the household such as sexual harassment, exploitation or abuse at
point of service or delivery of benefits, or in other situations resulting from participation in
the program activities. Understanding these types of major GBV context is covered through
secondary material. Moreover, the following questions were incorporated in the assessment
guide to illicit responses on GBV and SEA24.
• Any experience or heard of experience by PSNP participant on SEA perpetrated by

PSNP implementing people (government personnel or volunteers) as it relates to
targeting (entry to the program) or targeting for any benefit from the program or
implementation of any of the components of the program?
• Any experience or heard of experience of sexual or physical abuse traveling to, while
or coming back from public works, transfer/distribution centers?
• Any experience or heard of experience on household conflict as a result of
participating or benefiting in the program?
• Any experience or seeing of children under 18 engaging in public works? What
situations prompted their engagement?
• Perception- Has the program brought about change in enhancing enrolment of and
keeping children (boys and girls) in school?
• Perception – has the program contributed for reduction of early marriage?
1.4 Methodology
The qualitative GBV Assessment started with consolidating gendered findings through a desk
review. An inception report was submitted detailing areas of exploration for the assignment
and draft data collection tools. Upon agreement with the technical team overseeing the
assignment (the Gender and Social Development Taskforce), field work was conducted from
early March to Mid-April 2020. Out of the 8 regions initially planned for field work Amhara,
Somali, Tigray, Oromia, Dire Dawa and Harari were covered as per plan. Due to the COVID
19 pandemic, the field work in Afar and SNNP was cancelled. Instead, these regions were
24
Sexual Harassment differs from SEA in that it occurs between personnel/staff working on the project and not
between staff and project beneficiaries or communities
164
covered using key informant interviews with key government staff through telephone only.
Only 2 KIIs were available for telephone interview in Afar.
Key informant interviews (KIIs) with government and non-government stakeholders and
experts were held at federal, regional, woreda and kebele level using interview guides/tools.
Focus group discussions (FGDs) were conducted with male-only, female-only and mixed
groups. In Amhara, Somali, Tigray and Oromia two woredas and 4 kebeles in each region
were visited. In Dire Dawa and Harari one woreda and 2 kebeles in each city
administration/region were visited. Federal level KIIs were conducted with government
staffs25 and development partners. Ministry of Labour and Social Affairs (MoLSA) KII were
contacted repeatedly but were not able to be available for telephone interview. A total of 417
male and 303 women participated in one way or another. Forty-seven FGDs were conducted
with 20 women only, 19 with men only and 8 mixed groups. Summary of the number of KIIs
and FGDs is presented below.
To complement the GBV Assessment, a GBV Risk Assessment Tool extracted from the
Environmental and Social Framework (ESF) good practice note26 on GBV was used to
provide a rating of the risk level of the program. The project involves distribution of cash and
livelihood opportunities to 8 million people who live in draught prone woredas as well as and
in areas affected by humanitarian crises, where the majority of the community members are
in dire need of assistance. In addition to implementation in humanitarian and rural settings,
the potential risks of GBV/SEA increases in relation to the need to be targeted/registration by
the project. Similarly, the distance of the food distribution points as well as that of the PW
sites also pose SEA risks to women and children. Gap in capacity of implementers and the
system in place contributes to the risk. Despite the project put in place systems such as
community based-targeting and appeal mechanism which aim to hold service providers
accountable, such systems are not well-equipped or sensitized to dealing with GBV/SEA
cases. Accordingly, the project’s risk level falls under ‘Substantial’ category. The result is
primarily to inform the program to develop risk mitigation action plan.
KIIs Mixed (# of
Female FGD Participant
Region Woreda Kebeles Male FGD
M F s)
DHH FHH M F
Tigray Qola Dr. Ataklty 37 24 # of groups= 4 # of groups= 4 3 7
Temben Bega Sheqa 11 18 41
Tanqa Lemlem
Abergele Hadinet
Amhara Tewledere Itecha 44 17 # of groups= 4 # of groups= 4 5 5
Bededo 18 15 39
Habru Sirinka
Gosh Wuha
SNNP - - 5 3 - - - - -
Afar - - 1 1 - - - - -
Oromia Kombe 23 11 # of groups= 4 # of groups= 3 38 16
Gugsa
Boset Sifa Bate 14 28 28
Hura Agemsa
Sire Koloba Bale
25
FSCD and NRM directorates of Ministry of Agriculture (MoA)
26
World Bank (2018). Good Practice Notes- Addressing Gender Based Violence in Investment Project Financing
Major Civil Works. Annex 4
165
KIIs Mixed (# of
Female FGD Participant
Region Woreda Kebeles Male FGD
M F s)
DHH FHH M F
Somali Kebribeya Denebe 41 7 # of groups= 4 # of groups= 4 - -
h Gerbi 25 9 30
Harshin Lanqar
Ara’ari
Dire NA Lega Oda 9 3 # of groups= 2 # of groups= 2 9 7
Dawa Dujuma 15 7 22
Harari NA Sofi 11 7 # of groups= 2 # of groups= 2 9 8
Kile 12 8 17
Federal NA NA 5 7 - - - - -
Total -sub 176 80 95 85 177 64 43
256 180 107
Total Female 303
Total male 417
Total # of groups 47
Total assessment participants 720
1.5 Challenges and Limitations
The interview guide was very cumbersome mainly because the project includes wide range of
activities. Further to this, the amount of information needed by different stakeholders in the
process has expanded the interview guide given the GBV risk assessment for the project is
being done for the first time. This exercise was carried out after 5 years of the last gender and
PSNP study. The information needed by different stakeholders in the process has expanded
the interview guide. It has to some extent affected the depth of information gathered.
The assessment was done at the early stage of the COVID 19 pandemic time. Telephone
interview of SNNP and Afar KIIs was difficult to get the depth of the information listed in
the interview guide. Getting participants in all locations was difficult. Mixed groups were
conducted to validate/verify only when the men and women groups have different
perspectives on any given issue. Participant’s fatigue was vivid. KIIs mentioned that PSNP
participants are ‘used’ by government for all sorts of meetings and studies.
2. Findings of the GBV Assessment
2.1 National Context: Overview and Prevalence of GBV in Ethiopia
It is a difficult task to summarize all aspects of gender-based violence during the life cycle of
women for a country like Ethiopia which has hugely diverse culture and norms, ethnicity,
demography, and religion. At best, this assessment can only highlight those already identified
as major violence types in different studies for women in general and for rural resident girls
and women. The review has focused on intimate partner violence (IPV), child marriage and
other harmful traditional practices- mainly Female Genital Mutilation/Cutting. In addition,
the country context rating as per the World Banks’s Risk Assessment Tool pre-populated is
available27.
One element that is rarely covered in program review in Ethiopia is incidence of Sexual
Abuse, Exploitation and Harassment (SEAH). To date, there is no data in Ethiopia on
27
Annexed with this report
166
magnitude or occurrence of SEAH in aid sector or linked with development interventions.

There is no study or data does not, however, mean that the abuse is not happening. In recent
years organizations are being challenged to look into their programming and organizational
culture due to shocking founded allegations of using aid as bargaining chip to engage in
sexual relation with children, rampant use of money in exchange for sex with community
members they serve (in effect increasing the demand and supply for sex work in localities
where aid workers are in large number).
Intimate Partner Violence (IPV)
Domestic violence is the most common form of violence perpetrated against women.
Estimates of domestic violence in Ethiopia ranged from 9%-78% across the different studies
reviewed28. Over the years Ethiopian Demographic and Health Survey has been tracking
different aspects of domestic violence (knowledge of laws on domestic violence and belief
about justifiable acts of violence). In 2016 EDHS, 27% of married women have experienced
one or more type of violence by their partner 12 months prior to the data collection29. Afar
and Somali have the lowest IPV reported, 6% and 4% respectively while Oromia has the
highest reported IPV.
EDHS (2016) shows that women who participate in three or more household decisions and
who do not agree with any reason for wife beating have a lower prevalence of spousal
violence than women who participate in no household decisions and women who agree with
most reasons for wife beating. This is an entry for programs not specifically designed for
gender-based violence to look into IPV. IPV is one of the barriers to achieve project goals.
The 2015 Ethiopian Poverty Assessment30 has some discussion on how certain deprivations
can contributed for poor wellbeing31. It took two violence related indicators- domestic
violence (particularly IPV) and female circumcision and argued broadly that it is concerning
that Ethiopia has the highest rate of men and women justifying domestic violence which is
correlated with women who believe that a husband is justified in hitting his wife tend to have
lower sense of entitlement, self-esteem and status and such perception acts as barrier to
accessing health care for themselves and their children, and affects their attitude to family
planning utilization32. The discussion does not include whether these conclusions vary by
region or other factors such as urban/rural residency.
There is no formal data on whether PSNP has contributed to the decline or increase in IPV
incidence in households supported by the program. Anecdotal information however indicates
the prevalence of domestic violence in some areas due to disagreement between spouses on
how to use program transfer. The program’s 2018/19 annual Grievance Redress Mechanism
(GRM) review revealed that that 58% (33% male and 25% female) of the respondents
informed they decided on the use of the transfer jointly with spouse.
Child Marriage and Other Harmful Traditional Practices (HTPs)
28
Systematic Literature Review Gender-Based Violence in Ethiopia
29
Central Statistical Agency (CSA) [Ethiopia] and ICF. 2016. Ethiopia Demographic and Health Survey 2016.
Addis Ababa, Ethiopia, and Rockville, Maryland, USA: CSA and ICF. Page 294
30
World Bank (2015). Poverty Global Practice Africa Region: Ethiopia Poverty Assessment.
31
Citing Carranza, E. and J. Gallegos (2013). Ethiopia Trends of Wellbeing 2000–2011. Poverty Reduction and
Economic Management, Africa Region, World Bank.
32
Ibid
167
Gender inequality is a result of many compounded life-time deprivations. Child marriage is

more common among certain population groups, including girls who are poorer, less
educated, or live in rural areas33, which reflect the typical PSNP beneficiary household. Focus
group discussions in rural communities in Amhara and Oromia indicated that child marriage
is more rampant in wealthier households rather than the traditional narrative that women from
poor households are married off early. 34 This finding seems to be supported in recent policy
document, that while the traditional narrative may be true for some poor households,
consolidating and demonstrating wealth rather than poverty is becoming an important
consideration. 35
According to UNICEF, Ethiopia has the 15th highest prevalence rate of child marriage in the
world and the fifth highest absolute number of child brides. 40% of girls in Ethiopia are
married before the age of 18 and 14% are married before their 15th birthday. The lowest
median ages of marriage are in Afar and Amhara, these are one of the eight regions where
PSNP is being implemented.
Out of the 49 early marriage hot spots nationally36 8 are woredas where PSNP is
implemented. The hot spots range from 53% prevalence in Tselemti (in Tigray) to 38% in
Argoba Special (Afar).
Region Woreda
Tigray Tselemti
Amhara Misrak Belesa and Shebel Berenta
Oromia Babile, Fedis and Meyu Muluqe
SNNP Girja
Afar Argoba Special37
However, Ethiopia has made significant progress over the past decades in reducing child
marriage, with prevalence rates dropping from 59 per cent of females (aged 20-24) married or
in union by age 18 in 2005 to 40 per cent in 201538.
Several factors have brought about the decline in child marriage at least with more significant
reduction for under 15-year old. The government’s commitment to make policy revisions
including the revision of the minimum age of marriage (lifted to 18) 39 and enacting more
stricter criminalization of the practice and penalty for those who facilitate or participate in the
act in any significant capacity (elders, witnesses, parents) and the progressively increasing
33
FDRE Ministry of Women, Children and Youth (2019). National Costed Roadmap to End Child Marriage and
FGM/C 2020 -2024.
34
Michelle Gamber (2018). Strengthening PSNP 4 Institutions and Resilience, Development Food Security
Activity. World Vision, ORDA, CARE
35
Ibid, note 12
36
Elizabeth Presler and et.al. (2015). Child Marriage in Ethiopia: a review of the evidence and an analysis of
prevalence of child marriage in hot-spot districts.
37
In the hot-spot analysis paper Argoba Special is listed under Amhara region while it is listed under Afar in the
PSNP woredas list FY2012.
38
UNICEF Ethiopia, March 2020 Child Marriage and Ethiopia’s Productive Safety Net Programme: Analysis of
Protective Pathways in Amhara Region
39
Except in Afar and Somali regions who did not revise their family law and still apply the civil code of 1960
which sets the minimum marriageable age at 15 years.
168
expansion of education infrastructure in rural community have major contribution for the
decline. 40
Social protection, especially cash transfers, have increasingly been advocated globally as a
method to reduce child marriage, however the existing evidence is both limited and mixed on
this topic. A previous study by Hoddinott and Mekasha in Ethiopia found that the
government’s social protection program, PSNP delayed the marriage of adolescent girls.
However, the pathways of this promising impact are poorly understood. Nonetheless, the
burden of child marriage in Ethiopia in general remains high with approximately 4 in 10
young women41 getting married or in union before their 18th birthday42.
An emerging issue for girls in rural area in recent years has been migration of domestic
workers to Arab countries43. Same report highlights that the major drivers are poverty,
limited opportunity for employment and lack of access to formal education for rural women.
Girl’s migration specific study in Ethiopia corroborates the finding and has included another
factor, which is intra-household abuse or violence is as a driving factor44. Women from poor
families often end up in exploitative work and end up with lifelong vulnerability45. The
gender disparity in rural areas widens starting the secondary cycle of primary education
(grades 5-8) which are widely attributed to gender roles and tasks at household level46.
Young women face time poverty like their mothers. A qualitative study47 that evaluated a
PSNP-Plus project cautioned that when mothers are engaged intensively on income
generating activities, the girl child often is limited in her participation in school and her
school performance is challenged. There has not been study to understand these vulnerability
variables for girls (and boys) in PSNP households.
Many girls are experiencing deprivations on multiple level- they are poor, are not in school
and have (or will undergo) female circumcision48. In the past 16 years FGM/C on women in
reproductive age has dropped from 80% (2000 EDHS), to 74% (in 2005 EDHs) and to 65%
(in 2016 EDHS). The practice is showing decline for different age groups. Accordingly, in
2016 EDHS, 47% of age 15-19 are circumcised. According to mother’s report of FGC/M on
girls age 0-14 is 16% (EDHS, 2016). This is a significant decrease. However, this has to be
read with caution that mothers may be reluctant to report the truth knowing that the practice
is outlawed. Knowledge of the negative consequences of FGM/C for women is very high
nationally but more so in Afar and Somali (100%).
In all regions (except Gambella and Somali), there is a decline in the practice. However,
some declines are insignificant such as Afar (92% in 2005 versus 91% in 2016) and Harari
(85% in 2005 versus 82% in 2016). The most significant decline is in Dire Dawa (92% in
2005 versus 75% in 2016). It is unclear how to interpret figures from Afar, which show a
40 Ibid, note 12
41
Defined as the percentage of women aged 20-24 years who were first married or in union before age 18.
42
UNICEF Ethiopia, March 2020: March 2020 Child Marriage and Ethiopia’s Productive Safety Net Programme:
Analysis of Protective Pathways in Amhara Region
43 UN Women (2014). Preliminary Gender Profile of Ethiopia. Page 12
44 Marina de Regt (2016). Time to look at Girls: Adolescent Girls Migration in Ethiopia.
45 UN Women (2014). Preliminary Gender Profile of Ethiopia. Page 28
46 Ibid.
47 CARE (2015). Gender Lessons from the PSNP-Plus. unpublished
48
Ibid
169
sharp increase in the incidence of cutting (from 61% in 2011 to 78% in 2016), other than to
highlight that data quality issues are often larger with pastoralist communities. 49
The percentage of women who believe that female circumcision should continue has
decreased (31% in 2005 to 18% in 2016 EDHS). Women who believe that circumcision is
required by religion, who believe that the practice should continue are mostly not educated
and are amongst the lowest wealth quintal. This shows that there is more work needed to
change social norms that accept the practice. The KII and FGD discussions however did not
provide any correlation (both positive and negative) between the implementation of the
program and the prevalence of HTPs.
2.2 Legal Frameworks
There is no single, consolidated law on GBV or VAWG, but there are various provisions
related to specific forms of GBV. The government of Ethiopia had taken extensive revisions
of laws for the last 2 decades. Revision of the marriageable age from 15 (under the civil code
of 1960) to 18 in the family laws of regions except those who have not revised their family
law- Afar and Somali. Accordingly, Art 648 and 647 of the Criminal Law provides
consequence of the marriage (annulment) and whoever participated in the ceremony
(officiating, witnessing, being sent as elder, etc.) are punishable offenses. Under the revised
Criminal Law (2005), domestic violence is recognized as a crime explicitly (Art 564).
However, sexual violence within marriage is not criminalized. Female Genital
Mutilation/Cutting is criminalized (Art 565-566) including participation and incitement for
people to confirm to harmful traditional practices (Art 569-570).
The criminal code (Article 625) prohibits sexual exploitation of women: “Whoever procures
from a woman sexual intercourse or any other indecent act by taking advantage of her
material or mental distress or of the authority he exercises over her by virtue of his position,
function or capacity as protector, teacher, master or employer or by virtue of any other like
relationship”. Until recently sexual harassment was not recognized in local legal instruments.
The revised labor law governing all non-civil servants (private organization, government
enterprises, non-governmental organizations) recently included prohibition of sexual
harassment. Under the labor law sexual harassment is defined broadly, does not give example
of specific acts and has included consent as a determining factor: “to persuade or convince
another through utterances, signs or any other manner to submit for sexual favour without
his/her consent) 50.
The Civil Servants Proclamation 1016/2017 under Article 2(13) provides extensive definition
of sexual harassment unlike the labor law as an “act of unwelcome sexual advance or request
or other verbal or physical conduct of a sexual nature and includes unwelcome kisses, patting,
pinching or making other similar bodily contact; following the victim or blocking the path of
the victim in a manner of sexual nature; put sexual favour as prerequisite for employment,
promotion, transfer, redeployment, training, education, benefits or for executing or
authorizing any human resource management act”.
Different laws and different code of conducts govern employee-employer relations in various
sectors and organizations. Private sector and NGOs are governed by the labor law while
government employees are governed by the civil servant law. In addition to the national law,
49
EDHS 2016
50
Proclamation no 1156/2019 (art 2 (11)
170
different international organizations have separate code of conduct for their staffs. Some have
strictly prohibited any romantic relationship with a beneficiary while others put it as ‘strongly
discouraged’. Some organizations expect their employees not to purchase sex while they face
strong challenge from their employees who see that the practice is acceptable in their culture
and that the organization has no business in governing what they do after work hours51..
Sexual relations with a minor (child under 18 years old) is clearly prohibited under the
criminal law (Art. 626). However, the reporting system to the organization and from the
organization to the formal authorities is a very sensitive matter. Reporting obligations (legal
and/or organizational) and confidentiality or survivor-centered-approach are key issues that
need attention and clear guidance before implementing a GBV and PSEAH procedure for a
program.
The CEDAW committee52 has expressed concern over the pervasive prejudice and
discrimination and sexual harassment against women in the work force. The Committee was
not convinced that the provision in the labor law was enough and additional measures to
effectively implement the provision were necessary. There is no data on extent of sexual
harassment, pattern of reporting and measures taken in any sector.
Additionally, the Ethiopian government has established institutions, federally and regionally,
such as the Ministry of Women, Children, Youth Affairs Offices (MOWCYA), special police
units aimed at protecting children and women, and a Special Bench within the federal
criminal court specifically for cases that relate to violence against women.
The 2010 Strategic Plan, and operation plan for an Integrated and Multi-Sectoral Response to
VAWC and child justice in Ethiopia emphasize that to effectively combat GBV, cooperation
between the justice, health, education and social welfare sectors is needed. It Plans to scale up
the GBV response system, including coordination mechanisms, referral pathways, and one-
stop centers. Despite the different legal frameworks have not included any GBV specific
principles, the Federal Attorney General’s Office in collaboration with civil society
stakeholders and MoWCA regularly facilitate trainings on survivor centered investigative
techniques and key principles such as maintain confidentiality and the available integrated
GBV response services to public prosecutors and judges, justice sector officials and police.53
On the other hand, further to the formal legal systems at the national and local levels, there
are community-based and religious legal structures which often are the primary system to
mitigate the impact of GBV issues. These systems do not operate in tandem which
complicates the enforcement of GBV laws.
However, despite the fact that the government has passed laws and implemented policies
declaring gender equality and the protection of women’s rights, the GBV prevalence
indicates that they are not effectively bringing an end to this violence in some cases due to
the gaps in the laws while others are so poorly implemented and enforced that they fail to be
effective.
2.3 Multi-sectoral Prevention and Response
51
ICSMAC (2019). Committing to Change, Protectiong People: Towards a more accountable Oxfam.
https://independentcommission.org/wp-content/uploads/2019/06/Oxfam_IC_Final_Report-EN.pdf [Accessed
on April 16, 2020]
52
CEDAW (2019). CEDAW/C/ETH/CO/8 Committee on the Convention for the Elimination of All Forms of
Violence against Women [accessed on 13 April 2020] https://uhri.ohchr.org/
53
Civil Society Joint Report on VAW in Ethiopia, 2018
171
The types of services vary with the different type of gender-based violence. There are
different entry points for the project depending on the type of violence the project wishes to
address. A recent mapping of GBV services in relation to primary health care providers
conducted in Amhara, Oromia, SNNP and Tigray54 was reviewed to fill in the gap to some
extent. This study could serve as a basis to show the gaps in the system with caution that no
two woredas have the same situation. Woreda specific mapping needs to be done at the outset
of PSNP5. The study concluded that capacity and resource constraint on the side of health
care providers, lack of psychosocial service and weak multi-sectoral links has created a
disjointed pathway of care for survivors of violence. It also added that norms that foster
stigma for survivors and normalization of violence are big obstacles for survivors of violence
to seek help.
EDHS 2016 confirms what was already known that most survivors (65%) of violence do not
tell anyone about the abuse. Among those who told anyone, majority rely on neighbors and
friends. Same study shows that women are more likely to report when the violence is severe
(physical and sexual). In most cases, they seek services from police than other service
providers (such as medical, psychosocial, etc.). Since 2013 a Standard of Operation (SOP)
was developed under the leadership of Ministry of Health (MoH) to establish referral system
for sexual abuse cases.
The formal service providers that are reported by the assessment participants (community and
government stakeholders) related to reporting GBV are the police and women’s affairs
bureaus. The role of elders and religious leaders in arbitrating IPVs strongly came out in the
assessment. Wherever available, the Community Care Coalition55 structure also plays a
critical prevention and mitigation role by identifying victims and linking them to legal and
health services.
One-stop centers are available only in major regional towns. Women, Children and Youth
Affairs at kebele56 and woreda level are involved in receiving reports and have taken a
coordination role however limited capacity in terms of budget and skilled human resource has
negatively affected the coordination role of the machinery57. Criminal cases are investigated
and managed by police supervised by the public prosecutors in Attorney Generals’ offices
from Federal to woreda level. Before 2014, the Ethiopian Human Rights Commission used to
run 111 free legal aid support clinics around the country. The coverage is mostly in urban
areas mostly around main roads. Currently, the service is limited to 4 regional main towns
and the Commission is undergoing an extensive reform process to identify the most
vulnerable groups and areas where the need is high to avail the service in a most meaningful
way. In 2013 a Legal Aid Providers Network for child rights related issues was established
under the Supreme Court of Ethiopia, however currently the project is discontinued, and the
54
Encompass LLC (2019). Gender Based Violence Landscape Analysis. USAID/Ethiopia Transform: Primary
Heath Care Project (Contract No. AID-663-A-17-00002)
55
According to the National Social Protection Strategy of Ethiopia, CCC is community based social support
mechanism which are formed by groups of individuals and/or organizations that join together for common
purpose of expanding and enhancing care for HIV/AIDS infected, most vulnerable children in communities, and
social safety net. They typically include representatives of churches, volunteers and other faith based
organizations, the government, businesses, and other local NGOs or CBOs in the community. The service they
provide ranges from material, financial to physical support.
57
FAO. 2019. National gender profile of agriculture and rural livelihoods – Ethiopia. Country Gender
Assessment Series, Addis Ababa. 84 pp. Licence: CC BY-NC-SA 3.0 IGO
172
formal referral linkage is discontinued except the legal aid service in Addis Ababa. The
referral linkage is mostly driven by informal communications and is barely covering victims
who have suffered severe physical and sexual violence and does not cater for needs of other
survivors of violence. Up to date and functional woreda specific service providers mapping is
required by all programs irrespective of their GBV risk rating before responding to GBV58.
In Ethiopia, a PSEA network is established (UN Women-network chair) and trying to fill data
gap on SEAH (at least in emergency interventions and camp setting) and DFID is in the
process of setting up an online resource Hub which compiles nationally available researches,
tools and service providers, in addition to providing technical support to smaller
organizations. The Hub is also intended to serve as convener for community of practice. The
Ethiopian Hub will be live around May 2020. There is no single complaints reporting system.
2.4 Mapping of Stakeholders and Services Available to Survivors of GBV
A number of institutions and individuals have a stake in one or another way to work on the
prevention and mitigation59 of GBV against women and girls. At regional and local levels,
there is a formal platform called the Harmful Traditional Practices Eradication Committee
(HTPEC) led by Bureau of Women, Children Affairs (BWCA) and where other sectors like
justice, labour and social affairs, education, agriculture, schools, administration, police, and
health bureaus are represented. Teachers, health extension workers, development agents,
schools, parents-teachers associations, police, courts, individual households (parents and
guardians), traditional and religious institutions are playing key roles as members of the
HTPEC (MoE, 2013).
In addition, national and international UN agencies like UNFPA are also working with
government sector offices like Women and Children Affairs and other members of the
platform, both on the prevention and mitigation aspects of GBV issues through system
strengthening, awareness raising, and provision of legal aid and safe houses for survivors.
Safe houses (shelters) are only located in the capitals of the regional states making them
inaccessible to the vast majority of rural women. Most of the shelters are understaffed and
underequipped. In terms of the availability of comprehensive services, only some of the
shelters provided healthcare services, economic empowerment initiatives, counseling and
therapeutic activities, and referral to legal aid services.
Thus, local NGOs, CBOs working on common objectives on Sexual, Reproductive Health
and Gender Based Violence (SRGBV) have also been identified as important players to
address the issue of gender-based violence. The platform is closely working with law
enforcement bodies, mainly the justice bureaus, together with the police who are among key
stakeholders enforcing the law of the country that can protect girls and women from GBV
risks and provide legal support for survivors. However, despite their mandate and
responsibility, in most areas the platform is not active enough, members have capacity gaps
on how to handle the issues, and highly influenced by traditional factors. The sectors like
58
World Bank (2018). Good Practice Notes- Addressing Gender Based Violence in Investment Project Financing
Major Civil Works, page 30
59
There is a distinction made between ‘prevention’ and ‘mitigation’ of GBV. While there will inevitably be
overlap between these two areas, prevention generally refers to taking action to stop GBV from first occurring
(e.g. scaling up activities that promote gender equality; working with communities, particularly men and boys,
to address practices that contribute to GBV; etc.). Mitigation refers to reducing the risk of exposure to GBV
(e.g. ensuring that reports of ‘hot spots’ are immediately addressed through risk-reduction strategies; ensuring
sufficient lighting and security patrols are in place from the onset of establishing displacement camps; etc.)
173
WCYA confirmed that their implementation capacity, budget shortage, loose coordination,
weak accountability and monitoring system are among key challenges to work on the issue of
GBV. They suggested that given the depth of the issue and deep-rooted nature of GBV
problem in the society, it needs to strengthen stakeholders’ collaboration, address capacity
gaps and resource/budget issues, and ensure strong accountability among responsible bodies
so that they can reach out to larger communities and significantly minimize the issue of GBV.
2.5 Capacity of PSNP Implementers in Prevention from and Response to GBV
At macro level, the GoE through its legal frameworks and institutional arrangement has
demonstrated relatively improved commitment to address GBV issue in the country.
When it comes to translation of the policy and legal frameworks into action weak
coordination and accountability system pose major challenge. GBV prevention and response
system requires strong multi-sectoral engagement. Among others, sector offices such as
women and children affairs, education, health, agriculture, labour and social affairs, and
justice (attorney general, court, police) are mandated to ensure addressing gender inequality
and GBV issues. In addition to the government structure, all actors including international
organizations, as allowed in the recently revised CSO legislation, and local development
stakeholders are equally responsible to work on gender issues including GBV. Accordingly,
despite it is limited to a few types of GBV and in small parts of the country, Ethiopia in
general has made progress over the past decades in reducing some GBV cases. For instance,
child marriage, with prevalence rates dropping from 59 per cent of females (aged 20-24)
married or in union by age 18 in 2005 to 40 per cent in 201560.
However, despite macro level commitment and progress being achieved in some components
of GBV, the general response towards GBV at national level is still very weak and not to the
level of its commitment. Reasons for such less performance are related to implementation
capacity especially at frontline implementers’ level, coordination among stakeholders,
monitoring, evaluation and accountability issues. PSNP implementation woredas are not
different from the other part of the country in terms of existing capacity of the system to
prevent and specially to respond to GBV. Big flagship programs like PSNP, in contrary to the
mandate vested on them, and their extensive reach, they remain blind and focus mainly on
“do no harm” aspect.
In PSNP a Senior Gender Technical Assistant (TA) based in FSCD, in collaboration with a
senior gender expert of Public Work Coordination Unit oversee the implementation of the
program Gender and Social Development (GSD) provisions in collaboration with its regional
counterparts. Further to this, Regional Food Security Offices in Oromia, SNNP, Tigray and
Somali regions were able to recruit woreda level gender experts. The MoLSA’s team
responsible for the implementation of PSNP 4 related activities has not included a gender
expert. The engagement of the federal and regional level Women and Children Affairs of the
two ministries is close to non-existent. Similarly, MoWCA has never been engaged in the
program, despite the near nationwide presence of their kebele level women machinery, which
is actively engaged in the different program governance structures/committees (at the kebele
level, Women, Children, and Youth Affairs has an assigned (and paid) focal person who
60
UNICEF Ethiopia, March 2020 Child Marriage and Ethiopia’s Productive Safety Net Programme: Analysis of Protective
Pathways in Amhara Region
174
organizes and leads the kebele’s women association. This focal person is also a member of
the Kebele Food Security Task Force (KFSTF).
So far no specific capacity development specific to GBV has been provided to program staff
responsible to implement the GSD provisions mainly because the program’s focus on GBV
was not explicitly defined. It is the same with other members of the program at all level. The
overall capacity of PSNP implementers in terms of understanding and integrating GBV/SEA
issues in the program implementation is very weak.
The assessment confirmed that at local level, women machineries are relatively stronger in
terms of doing prevention works, including awareness raising events on gender in general and
GBV in particular, in coordination with community care coalition wherever available (Tigray
for instance). However, the referral pathway for GBV survivors is close to nonexistence.
Similarly, the program staff’s awareness on GBV and SEA is very blurry, and the program
has not in placed any system for both GBV and SEAH prevention and redress.
2.5.1 Grievance Redress Mechanism to Respond to GBV in PSNP
As it is indicated in the section above, the program does not put any mechanism to respond to
program implementation related GBV and SEA. The Kebele Appeals Committee (KAC) is an
important local level PSNP focused core Grievance Redress Mechanism (GRM) to hear and
resolve appeals regarding the program in a timely and impartial manner. A well-functioning
GRM is crucial to ensure that the rights of the local community (beneficiaries and non-
beneficiaries) are not violated due to the PSNP. To ensure the committees’ sensitiveness
towards issues related to the needs of women, 50% women representation in membership is
expected; however, despite this, this provision has so far not been consistently reflected in the
implementation61. Looking at inter-regional representation of women in KACs, the EFY
2010/11 GRM review reported that the highest proportion of females in KACs is recorded in
Tigray region (60.0%), followed by Oromia (33.6%), and then SNNPR (31.2%) and Amhara
(27.7%) and Harari (27.3%) and Somali (25.6%).
The KAC is one of the key frontline program structures /bodies that function at the
operational level of PSNP. It is established in every safety net kebele to improve the overall
operational efficiency and effectiveness of PSNP activities. The main responsibility of KAC,
as clearly stated in PSNP-4’s PIM (Program Implementation Manual), is related to hearing
any program implementation related appeals in program entry and exit62. The roles played by
KAC in the overall processes of the GRM ranges from complete documentation and transfer
of records of appeals disaggregated in gender and resolution to the role of providing a
decision to at least 95 percent of submitted appeals that fall within its jurisdiction.
Accordingly, RPSNP has committed to conducting annual external reviews in addition to the
program administrative M&E tool to assess the performance of the KAC and the
effectiveness and functionality of the PSNP GRM.
Their potential role in terms of addressing program implementation caused GBV/SEA

however is not explicitly included under the role and responsibilities of the PSNP4 GRM and
in the roles of KACs. Similarly, the members have never been trained in how to address GBV
related complaints, existing referral pathway for survivors and the sensitiveness of the issue
including confidentiality. Further to this, the program has not developed any format to collect
61
PSNP GRM Manual (MoA, 2016)
62 Program Implementation Manual (PIM) - Productive Safety Net Programme Phase IV (MOA, 2014: 10-3)
175
and report GBV and SEA cases. Despite all these gaps however, as a matter of fact
experiences from annual conducted GRM reviews showed KACs have received, investigated
and made decisions in various forms of complaints including GBV/SEA issues raised in
relation to the program in the kebele level and resolved it when it is operational issue. There
are cases whereby wives lodged complaints with KACs on domestic violence incidents
caused by disagreement on use of transfer. In such cases, as there is no clear guidance
included in the program the process is not standard. Some KACs try to resolve the issue by
deciding individual payment (contrary to HH payment of the program) for the two spouses
while the others refer/escalate the case to legal system as it is not their mandate to play a
judiciary role. The program is in the process of developing the program MIS and indicators in
relation to number and type of cases the KACs received are included in the MIS prototype.
Therefore, the program in the future is expected to be able to integrate details of grievances in
its regular reports.
2.6 Prevalence, Reporting and Handling of Cases of GBV Related to PSNP

Implementation
Sexual Exploitation, Abuse and Harassment (SEAH) has been in the aid world discussion
more intensively after the Oxfam scandal in 2018. There is currently a growing movement to
embed the risk awareness of programs by awakening them to the reality that programs are not
implemented in vacuum. They are implemented in contexts where power imbalance is
embedded in the organizational and social norm and as such it can be put to misuse
intentionally or unintentionally.
The findings of this assessment show that the problem is not felt as eminent for most
participants (more so at the community level and non-gender personnel at federal level). All
key informants and beneficiaries mentioned that they have never heard about SEA case,
except in one of the woredas in Tigray. It is widely known case (all key informants in the
woreda mentioned the case in the interview). Five women complainants -one female head of
household as primary target of SEA and 4 victims for being witnesses. They alleged that they
were all targeted for PSNP 4 in the initial listing but were removed from the list later due to
‘improper request’ from a kebele administrator on the primary complainant. They claimed
that the kebele manager has on numerous occasions ‘indicated’ that he has the power to help
or remove help. A woreda team was composed of different sectors including women,
Children and Youth Affairs Office to investigate. Although the kebele administrator denied
using his power – he said he was ‘joking’, the investigation concluded that all the 5 women
deserved to be in the beneficiary list and decided to include them back in the list. No
administrative measure was taken on the administrator. Key informants indicated that there is
no standard guideline in the program or nationally how to receive reports of such kind or how
to manage. No protocol is set in place after that incident too.
All respondents (both key informants and beneficiaries) have never seen or heard of any
abuse while traveling to or while at and returning to public works. They, however, have heard
of cases of violence against women and girls happening during traveling to some place
around the kebele, but very rare. Most key informants (in Amhara, Tigray, Oromia) indicated
that although not verbally articulated by women, reluctance of women to use the late arrival
and early departure might have been influenced by fear of risk for their safety. Federal level
key informants also made similar assertion. Fear of violence was not expressed in any of the
discussions with the beneficiaries. In Amhara, Tigray and Oromia, FGD participants
mentioned that the distance to public works site is different for different residents of the
kebele. For some the travel can take up to 2 hours walking time one way (about 2.5hrs for
176
women). Rarely heard about multiple public work sites selected to accommodate the distance
challenge. In most cases, whether there is a violence case reported or not, there public work
continues even if the distance is far. When risk mitigation plans in the PIM are violated, no
accountability follows the inaction.
Although no incidence of violence is reported, remoteness of distribution centers was

mentioned as key factor whether women or men collect transfers. Cash transfers and e-
payments are paid closer to the locality requiring no over-night stay (mostly paid within the
kebele).
Fear of violence (theft) was mentioned after collection of transfers in Tigray, Tanqa Abergele
woreda where women mentioned that women are vulnerable to robbery by daily laborers who
are paid to carry the food outside and to load on the donkey. Participants have heard of cases
where the laborer runs off with their food, if they don’t pay attention and don’t run parallel
with him to their loading area.
Regarding potential domestic violence related to decision on use of transfer, all focus groups
beneficiaries mentioned that they are informed by the kebele people repeatedly that the
resource is given by the government to keep the whole family from starving. Beneficiaries
stressed that both spouses jointly make decisions and they have never heard of cases of
physical violence particularly on this resource but there are some cases of domestic violence
on different issues, although rare, in the community. This was stressed in all areas,
irrespective of location. Key informants mentioned that they may not be aware of the cases
because these cases are managed by police and women’s affairs.
Domestic conflicts are often handled outside of the PSNP structure in all the regions. The
social norm around family conflict management is still strongly gravitated to elders. Note
here that until the revision of the family law in different regions (2001 -2004), arbitrators had
a huge role in family cases and arbitration was a mandatory pre-condition before going to
court. The family law revisions had made arbitration optional. Family arbitrators which can
be elders (relatives of both spouses or not) and religious leaders (mostly mentioned in Tigray
and Amhara). There appears to be no variation of responses on this across regions. The
variation is mostly around the steps taken after the marriage ends formally through divorce or
lengthy separation.
Participants reported different avenues of reporting in different regions and woredas with in
the same region. In Somali and Dire Dawa, community elders (appears different from the
KAC) and the kebele chairperson or development agent look at the case and settle the
division of the PSNP transfer. In Oromia, Amhara and Tigray, it appears it is reported to
Kebele Food Security Taskforce. There is no data about how many cases and whether the
conflicts have escalated to physical violence or not.
It appears unanimous in all regions that the transfer division is settled mostly by who has the
custody of the children often women are child custodians after divorce. This assessment did
not inquire and has no information about the fairness of the household’s property division.
Couples who agreed on the division amicably, the kebele gives the client card to the woman
and both go to collection center and take their share there. For those who have not managed
to reach agreement or accept the decision of the kebele, the client card is kept at the kebele
and during distribution assigned person will collect their share and give each their respective
share. This continues until the annual re-targeting time where each will get separate card.
177
Anecdotal cases suggest loophole in the system. Lack of specific process for reporting may
create challenge for women, who often are less aware than men on the different structures in
the kebele. In Amhara (Habru woreda) and Tigray (Tanqa Abergele woreda) women focus
group discussants mentioned that after two years of their divorce the client card was still in
the name of their ex-husband. They have been complaining to the KAC but no result.
The PIM provides general guidance that a beneficiary can only continue to benefit from the
program while he/she is resident there. Key informants at kebele level indicated that after
divorce, often younger women leave the area either to their family or in search of work. Older
women who have been married for longer years and have gained some fixed asset (house or
share of the land) through the property division tend to stay in the locality and hence keep
their support from the program. The woman who left the area have no guarantee that the
kebele she goes to will target her. It all depends on the level of case load in the area and the
wealth variance. In Dire Dawa, some kebele elders use this analysis to ‘push’ couples who
have come to separate and divide their PSNP resource share to settle their difference and
maintain the marriage. The assessment is not in a position to identify what type of
disagreements were settled this way and whether this arrangement has contributed (albeit
unintentionally) to keep women in abusive relationship or not.
In terms of livelihoods intervention putting women at risk, this assessment found no evidence
of intervention that puts women at risk. Although there is no formal violence risk assessment
for the livelihood interventions, it appears almost all interventions are on small ruminant
rearing (shoat – sheep and goat fattening). It is not clear whether the program discourages it
because of risk vulnerability, but it appears that in some areas (example in Tigray – Kola
Temben, Hadinet Kebele) some women suggested that they were more interested in local
liquor (tella) making and selling but they were asked to do small animal rearing instead. They
thought the animal rearing is labor intensive (searching for feed) and it requires traveling to
the woreda market more than once when they choose to sell. They also mentioned the local
liquor making has faster returns and good profit margin. Albeit some debate amongst the
women discussants whether local liquor has a good profit or not, they all concluded that such
intervention is not generally supported by the program and financial institutions.
Although only one reported incident in relation to the program implementation has come to
light, this finding needs to be taken seriously by the program considering that the most
vulnerable households targeted in the program are female headed households. EDHS 2016
has indicated that divorced/separated/widowed women are more vulnerable to sexual
violence and older women who have more than 5 children are likely to have experienced
sexual violence. This merits further investigation and attention from the program to at least
track incidence of violence in relation to the program implementation in PSNP supported
households. Sexual relation with project beneficiary especially when the beneficiary is
engaged in commercial sex work needs to be a high-risk concern for the program.
Key Findings
• One incident (with 5 complainants) reported

• Distance of food distribution centers raises significant risk on women
• Cash payment compared to the food payment (either direct by government or through
e –payment (through agents paid directly in cash or deposited in account of
beneficiaries) have reduced perceived or actual risk of violence on women
178
• Except the Gender and Social Development(GSD) provisions63 of the program

(developed in 2008) there is no formal tool/process in the program to explore the
impact of specific interventions (such as during public work site selection, livelihood
interventions) to aggravate existing power inequality or create new form of inequality
• No accountability is in placed when risk mitigations (GSD provisions) are violated
such as when distribution center or when the public works sites is not within the
recommended space
• PSNP 4 did not have any protocol in place to confidentially receive SEAH
complaints, respond to allegations and respond appropriately. In the absence of a
trusted system, it is very hard to conclude the absence of SEAH
• Misuse of PSNP provided cash/food by one person in the family is taken seriously
and is reported to the kebele but through different points of contact
• No formal referral pathway is available to victims of IPV in the PSNP households
• The existing program GRM is not preferred by women for SEA related complaints
reporting and redress as they feel they do not have the capacity to enforce their
decisions
• No mapping of woreda level multi-sectoral GBV service providers
• Limited capacity of multi-sectoral GBV service providers to support reporting GBV
survivors in line with the GBV guiding principles
• Lack of training on relevant GBV topics for relevant government and community
stakeholders
• Lack of standardized approach to address GBV related complaints across the program
implementation areas; and the Kebele Appeal Committees are under the influence of
elders and religious leaders particularly in pastoral areas
• Lack of understanding of basic terms such as SEA and SH among relevant project
stakeholders.
2.7 Beneficiaries Knowledge on GBV and Related Services
The term SEA/GBV is not understood by the program clients at first or is perceived as ‘rape’.
It is understood after giving examples. The number of examples to explain the question
increases when we go to grass root level and from key informants to community participants.
The first response often starts with denying that such exists in the area because ‘people are
religious’ (all regions in this assessment and both key informants and beneficiaries) or ‘it is
suicidal to do that’ (in Tigray- where they felt that most of the people are/were ‘fighters’ and
they know their rights). After a bit of dialogue about social norms particularly how easy/hard
it is for an adult woman to be single and live alone in rural areas, there is more realization and
acknowledgement of the risk and the response shifts to ‘it could happen but we have never
heard about it’.
Women only focus groups were asked if they would report such incident and to who.
Response from women focus groups in almost all regions ranges from ‘women won’t report
this to no one’(majority) to ‘women definitely will report this to women affairs in their
kebele’ (few) and very quiet (no response for the question) within the same group. Women
discussants in Oromia had a more detailed discussion on this. The response varied in the two
woredas we visited. In one woreda, women said they do not trust the formal structure for
responding confidentially and in fair manner. In the other woreda, majority of the women
mentioned that they will talk to only men officials in the kebele (particularly the development
63
PSNP GSD provisions are annexed
179
agent and kebele administrator) and not to women officials due to fear that women officials
will share the information with others and at the end they have no power to resolve the issue
by themselves. None of the women participants mentioned using the Kebele Appeal
Committee for this.
Participants reported different avenues of reporting in different regions and woredas with in
the same region. In Somali and Dire Dawa, community elders (appears different from the
KAC) and the kebele chairperson or development agent look at the case and settle the
division of the PSNP transfer. In Oromia, Amhara and Tigray, it appears it is reported to
Kebele Food Security Taskforce. There is no data about how many cases and whether the
conflicts have escalated to physical violence or not.
It appears unanimous in all regions that the transfer division is settled mostly by who has the
custody of the children, and often women are child custodians after divorce. This assessment
did not inquire and has no information about the fairness of the household’s property
division. Couples who agreed on the division amicably, the kebele gives the client card to the
woman and both go to collection center and take their share there. For those who have not
managed to reach agreement or accept the decision of the kebele, the client card is kept at the
kebele and during distribution assigned person will collect their share and give each their
respective share. This continues until the annual re-targeting time where each will get
separate card.
Anecdotal cases suggest loophole in the system. Lack of specific process for reporting may
create challenge for women, who often are less aware than men on the different structures in
the kebele. In Amhara (Habru woreda) and Tigray (Tanqa Abergele woreda) women focus
group discussants mentioned that after two years of their divorce the client card was still in
the name of their ex-husband. They have been complaining to the KAC but no result.
The PIM provides general guidance that a beneficiary can only continue to benefit from the
program while he/she is resident there. Key informants at kebele level indicated that after
divorce, often younger women leave the area either to their family or in search of work. Older
women who have been married for longer years and have gained some fixed asset (house or
share of the land) through the property division tend to stay in the locality and hence keep
their support from the program. The woman who left the area have no guarantee that the
kebele she goes to will target her. It all depends on the level of case load in the area and the
wealth variance. In Dire Dawa, some kebele elders use this analysis to ‘push’ couples who
have come to separate and divide their PSNP resource share to settle their difference and
maintain the marriage. The assessment is not in a position to identify what type of
disagreements were settled this way and whether this arrangement has contributed (albeit
unintentionally) to keep women in abusive relationship or not.
Key Findings
• limited understanding on sexual exploitation, abuse and harassment (SEA) by both

staff and community. The risk of SEA is present – moderate risk
• Women have limited information on where to lodge their compliant regarding SEA
• Lack of trust in formal institutions to manage and address complaints safely.
• PSNP does not have a system to routinely track incidence of IPV-if any- among PSNP
beneficiaries
2.8 Assessment of Risk Level of GBV
180
This section summarizes the results of the GBV Risk Level Assessment for SEASN/PSNP5.
The project’s risk level falls under the category of ‘Substantial’.
The program’s main risk of GBV is mainly aggravated by the limited awareness of
beneficiaries and staff. Further to this, lack of trustable reporting and complaints management
system is also identified as a key gap the PSNP5 design that needs to fill proactively. There is
no GBV tracking in the program monitoring plan and no formal referral linkage to services
set up. Existing service providers also have limited capacity.
PSNP5 developed a GBV mitigation and response action plan (Annex 14) based on the
findings of this assessment. The action plan, whose implementation progress will be
monitored regularly, includes activities such as developing SEAH messaging, code of
conduct and training package for staff, including communication materials in the program
behavior change communication package that challenge social norms and attitudes that
justify wife beating. The action plan will also include activities that will support the rolling
out of woreda risk assessment and mitigation plan, referral service mapping and potential
reporting and referral linkage process. Moreover, GBV and SEAH training will be part of the
PSNP capacity building core trainings.
GBV Risk Assessment Tool64

Section A: Country Context
1. "Prevalence of intimate partner violence (select the country then in the 0 Lower than regional average.
‘Common Indicators’ tab and scroll to “Physical or sexual violence by a Spousal violence: 34% of ever-
husband/partner)" married women age 15-49 have
experienced spousal physical,
sexual, or emotional violence.
(EDHS, 2016). Regional
average to 66 % (WHO,2013)
2. "Prevalence of any form of sexual violence (select the country then in the 0 Lower than regional average.
‘Complete List’ tab and click the “Domestic Violence” tab. Select the High levels of women and girls
“Experience of sexual violence” option, then select “Women who ever have been subjected to violence
experience sexual violence” option)" 26% of women aged 15 to 49
report either physical or sexual
violence, or both (EDHS,
2016).
3. Prevalence of child marriage (defined as marriage before exact age 18 1 High prevalence ,40.3 % of
reported by women) women and 5 % of men were
married before the legal age of
18 (EDHS, 2016)
4. State Department Trafficking in Persons report (Tier 1-3, with one low and 0.25 The exact magnitude and
3 high risk) extent of trafficking in Ethiopia
has not yet been systematically
documented
5. Presence of Peace-keeping mission 0 Not present – key Informants
from Attorney General
6. "Laws on domestic violence (click on the “domestic violence” tab, scroll 0 Low risk. The Criminal Code
to the given country and in the second column, see the response to “Is there of Ethiopia also hosts a number
domestic violence legislation”)" of provisions, which
criminalize GBV and its
different forms. The Code,
unlike the previous Penal Law
64
The questions are meant only as a starting point and are not intended to be exhaustive. As multiple forms of
GBV have the same risk factors and drivers, the tool can be used to understand the overall context and how the
project may interact with this context in relation to multiple forms of GBV, not just SEA/SH
181
of 1957, clearly criminalizes

many of the GBV types and has
also improved the punishments
in some of the offenses
committed against women.
Article 561 to 570 criminalizes
harmful traditional practices,
including domestic violence
(564), and female circumcision
(565, 566).
7."Laws on marital rape (click on the “marital rape” tab, scroll to the given 1 High risk
country and in the first column, see the response to “Does legislation
explicitly criminalize marital rape?”)"
8. "Laws on sexual harassment (click on the “sexual harassment” tab, scroll 0 Low risk, Criminal code not
to the given country and in the first column, see the response to “Is there included
legislation that specifically addresses sexual harassment”)"
Public service –yes
9. "Justification of wife beating (Select Country in ""Country"" menu, --> 0.5 High risk, the data shows
click on Indicator box -->Complete List-->Select ""Women's 70% of women and 31% of
Empowerment"" category--> Select indicator ""Attitude toward wife men in rural areas agreeing that
beating"" --> select ""Wife-beating justified for at least one specific wife beating is justified
reason""" compared with 39% of women
and 15% of men in urban areas.
(EDHS, 2016)
10.Help seeking to stop violence (Select Country in "Country" menu, --> 1.High Risk Help seeking:
click on Indicator box -->Complete List-->Select "Domestic Violence" About one-quarter of women
category--> Select indicator "Help-seeking to stop violence" --> select 25% who have experienced
"Sought help to stop violence" or "told someone about the violence" physical or sexual violence has
sought help. (EDHS, 2016).
11. National level capacity to respond to Gender-based violence 0.5 Moderate Risk, even if
there is legal instruments and
institutional mechanism
including one stop services and
safe house, implementation,
availability and quality of
services needs strengthening
12. GBV working group (national and regional working group) 0 High Risk
13. National referral pathway protocol 0 Low risk

Section B: Project Context
Indicator Score and Comments
1. Is project in a humanitarian area of the country? 2 High risk – most PSNP
[Scoring: Yes = Higher risk is humanitarian or emergency situation in project woredas are drought prone
area = 2; No = Lower risk is no presence of humanitarian or emergency areas with recurrent emergency
situation in project area = 0] situation
2. How much infrastructure construction, upgrading or rehabilitation does 0.5 Medium Risk– Livelihoods-
your project entail? based subprojects such as
[Scoring: Higher risk is major rehabilitation and construction = 1; Medium small-scale irrigation
risk is moderate rehabilitation and construction = 0.5; Lower risk is low
rehabilitation and construction = 0]
3. According to the guidance from the labor influx note, rate your project as 0 Low risk, the program uses
high, medium or low risk related to the level of labor influx. If there is no labor from the location – food
labor influx, choose the low risk option. This determination is a self- for work program
judgement based on project parameters, using the labor influx note
guidelines.
[Scoring: Higher risk can be associated with large number of workers, small
remote community (low absorption capacity) context with pre-existing social
conflicts, high prevalence of GBV, weak law enforcement, presence of
specific marginalized, vulnerable, ethnic groups, etc. = 0 or 1 or 2]
4. During project preparation, consultation was undertaken with women’s 0 Focus group discussions
182
groups, groups that advocate for children and adolescent rights, and other (FGDs) were conducted with
stakeholders. (Please note consultations should have provided a safe enabling male-only, female-only and
environment for open conversation by women, recognizing that power mixed groups on gender and
dynamics in communities often limit women’s full participation). GBV issues during preparation.
[Scoring: Higher risk is no engagement with women’s children’s and
adolescents’ rights groups = 1; Lower risk is engagement with women’s,
children’s and adolescents’ rights groups = 0; Unknown = 0.5]
5. During community consultations and project appraisal, issues related to 2 some risk mentioned during
GBV and GBV-related concerns about the project have arisen in the this gender analysis and GBV
community engagement discussions. risk Assessment.
[Scoring: Higher risk is Yes = 2; Lower risk is No = 0; Unknown = 1]
6. Are military or paid security forces being contracted as part of the project? 0.5 Medium, May be some
[Scoring: Higher risk is Yes = 1; Lower risk is No = 0; Unknown = 0.5] security accompanying money
payment
7. Poverty in the project area is in bottom quartile of country? 1 High Risk, Project Target
[Scoring: Higher risk is being in the bottom quartile of poverty = 1; Lower poor rural areas
risk is not being in the bottom quartile of poverty = 0; Unknown = 0.5]
8. Project in hard-to-supervise areas? (For instance, very remote or 2 High Risk, Some of the areas
geographically diffuse projects) could be hard to supervise for
[Scoring: Higher risk is hard-to-supervise areas = 2; Lower risk is compact or instance pastoralist areas
easily accessed project areas = 1]
9. Urban, peri-urban or rural? 1 High Risk, Targets rural areas
[Scoring: Higher risk is rural = 1; Medium risk is peri-urban = 0.5; Lower
risk is urban = 0]
10. Project construction near school route or other pedestrian access that 0 Low Risk, No major
women and girls use for their daily activities? construction
[Scoring - Higher risk is Yes = 1; Lower risk is No = 0]
11. Project able to monitor GBV and SEA risks across the full span of the 2 High Risk, Project covers
work? geographically wide areas
[Scoring: Higher risk is No = 2 Lower risk is Yes = 0; Unknown = 1]
12. Female workers in close proximity to male workers with limited 1
supervision?
[Scoring: Higher risk is Yes = 1; Lower risk is No = 0; Unknown = 0.5]
Sub-total score = 12.0
TOTAL = 16.75
Risk Tier Lower risk Moderate risk Substantial Risk High Risk
0-12.25 12.5-16 16.25-18 18.25-25
3. Conclusion and Recommendation
3.1 Conclusion as It Relates to Identification of Key GBV Issues
3.1.1 Key Findings
• The project has substantial risk scoring. The country context shows moderate risk
(below the regional average) for intimate partner violence. Lower risk on sexual
violence. High risk for early marriage and higher than the average for norms that
justify wife beating.
• No GBV tracking in the program monitoring plan.
• There is limited understanding of what sexual, exploitation, abuse and harassment is
by project beneficiaries and staffs
3.1.2 Recommendation
• PSNP5 needs to work closely with MoA-WAD or MOLSA to design a clear protocol
defining what SEAH is and in local language, develop code of conduct to be signed
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by all PSNP implementing personnel without considering their employment status

(long term, contract, government recruited, placed, volunteers). Moreover, ensure
codes of conduct are publicly disclosed in local languages and are widely accessible
to all workers and all groups of people in project areas.
• Include GBV risk assessments into key processes, including environment and social
management plans (ESMPs).
3.1.3 Suggested Action Plan
• Support MoA-WAD at federal and regional level to develop SEAH messaging, code
of conduct and training package for staffs.
• The program will revise its SBCC materials to integrate session that challenge social
norms and attitudes that justify GBVH to be part of the behavior change
communication of the program.
3.2 Conclusion as It Relates to Addressing and Responding to GBV/SEAH
3.2.1 Key Findings
• Project beneficiaries have limited information on available GBV response services

and how to report cases
• There is no woreda level service mapping of GBV service providers
• There is no clear and trusted reporting complaints mechanism for SEA and
beneficiaries do not know where to go.
• PSNP does not have a system to routinely track reported GBV incidence among
PSNP beneficiaries
• No formal referral linkage to services is set up and existing service providers have
limited capacity.
3.2.2 Recommendations
• MoLSA to conduct mapping of multi-sectoral GBV service providers. WoLSA should

be trained on service mapping tools and methodology.
• Assign Gender/GBV specialist at national level MoLSA and MoA, and focal persons
at regional and woreda level
• Set up trusted system for reporting. Generally, Women and Children Affairs or
affiliates at kebele level such as the Community Coalition network seems to be trusted
by communities on violence issues. The system needs to have a trusted point of
contact (different in different set ups) (who needs to be trained on creating safe
space), information flow protocol and safe and confidential referral pathways. All
PSNP staff including social workers need to be informed of the principles of process
and protocol set in place and multiple avenues can be available to survivors of
violence. Recommended if training packages and resources are available
electronically and using audio-visuals (IRC has video for easy training on SEA) Skill
training which is beyond the basics training will be provided for those who will
directly handle reported complaints.
• All beneficiaries to be made aware of the reporting and complaints management using
different communication channels (community meetings organized for other PSNP
activities –such as payment/distribution time, beneficiaries’ rights posters, or separate
poster on SEA, etc.)
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• SEA related indicator to be part of the routine data monitoring plan. The indicator
could be ‘number of GBV grievances that have been referred to GBV service
provider’. Number of staffs/personnel connected with the program trained on GBV-
SEAH would also be very useful.
• WAD, in collaboration with FSCD and MOLSA to develop a GBV and PSEAH
training schedule to be part of all PSNP core trainings and PSNP to facilitate the
availability of adequate time for the trainings. Attendance of the training of staffs on
GBV/SEA at least once in the project lifetime to be mandatory for all staffs in the
program.
• Strengthen the implementation of the Gender and Social Development provision of
the program regarding women representation in the different community level
governance structures including the Kebele Appeal Committee
• Support MoA and other actors in strengthening of confidential grievance reporting for
complaints arising in the context of activities financed under the project
3.2.3 Suggested Action Plan
• Support MoA-WAD, FSCD, and MoLSA to develop roll out plan for woreda risk
prevention and mitigation plan, GBV service mapping and potential reporting and
referral linkage process in line with PSNP5. This plan should start with training about
tools, methodologies and processes.
• Make GBV and SEAH training part of the PSNP capacity building core trainings.
Develop at least half a day with the following contents (minimum) 65
o Definition of types of violence and more particularly SEAH and how the project
can diminish these.
o Roles and responsibilities of staffs (code of conduct)
o Confidential case reporting mechanism, accountability structures and referral
procedure for staffs and for community members to report cases related to staffs;
o Services available to survivors of violence
• Include GBV and SEAH indicators in the program result framework
• Ensure that assessment of gender and safety risks will be included in bidding process
for contractors.
65
A half day training schedule is available on World Bank (2018). Good Practice Notes- Addressing Gender
Based Violence in Investment Project Financing Major Civil Works
185
4. GBV Action Plan
Introduction
PSNP targets the extreme poor and most vulnerable in the community. While there is
increasing evidence that cash transfer (CT) programs decrease intimate partner violence
(IPV) there is also probability that it may create intrafamily conflict i.e. Intimate Partner
violence in households. Women traditionally have more limited access to resources like land,
finance, and training opportunities than men. Social norms often restrict women’s mobility
and decision-making, as well as their access to education, employment, and means of
livelihood. These limitations increase women’s vulnerability and create greater barriers to
social protection benefits. This cycle of deprivation exacerbates women’s risk of IPV and can
also hinder their ability to access available services for survivors of violence. These risks
should be mitigated.
The World Bank requires borrowers under Environmental and Social Standards ESS1 to
assess risks related with gender including Gender Based Violence (GBV) and the health and
safety of communities and individuals as outlined in ESS4. Accordingly, Ministry of
Agriculture (MoA) updated GBV risk assessment to identify gendered risks and
vulnerabilities associated with the PSNP and developed risk mitigation action plan. The
assessment highlighted the already identified major violence types in different studies for
women in general and for rural resident girls and women. It primarily focused on Intimate
Partner Violence (IPV), child marriage and other harmful traditional practices and GBV
experienced outside of the household such as sexual harassment, exploitation, or abuse at
point of service or delivery of benefits, or in other situations resulting from participation in
the program activities.
Major findings of the assessments are:
• Even though the project has put in place systems such as community based-targeting
and appeal mechanism which aim to hold service providers accountable, such systems
are not well-equipped or sensitized to dealing with GBV/SEA cases. The SEA/SH
continues to be substantial for the second AF. GBV action plan developed for the
parent project is under implementation. The main findings of the parent project
assessment included potential SEA risks linked to awareness gap on SEA/SH and gap
in implementation capacity of the borrower, lack of procedure for complaints related
to SEA/SH, sexual favors for registration and domestic violence due to disagreement
between spouses on how to use program transfer. Though there has been some
progress in strengthening the capacity by assigning Gender expert, providing
orientation to staff and preparation of service mapping, the second additional
financing has added potential risk of SEA/SH because of program implementation in
conflict affected areas that pose risk both to the project workers and the beneficiaries.
The assessment for the PSNP GBV risk only highlight those already identified as
major violence types in different studies for women in general and for rural resident
girls and women. The review has focused on intimate partner violence (IPV), child
marriage and other harmful traditional practices- mainly Female Genital
Mutilation/Cutting. Thus, to prevent and mitigate SEA/SH risks in conflict affected
areas, specific update will be made in the GBV action plan in line with third party
implementation arrangement, capacity building activities, any other relevant
prevention and response measure
• Limited understanding on sexual exploitation, abuse and harassment (SEAH) by both
staff and community (beneficiaries and non-beneficiaries).
• Project beneficiaries have limited information on available GBV response services
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and how to report cases

• Lack of trust in formal institutions to manage and address complaints safely
• There is no woreda level service mapping of GBV service providers
• PSNP does not have a system to routinely track reported GBV incidents among PSNP
beneficiaries and there is no tracking in the program monitoring plan
• No formal referral linkage to services is set up and existing service providers have
limited capacity.
The GBV risk assessment established that the project risk level fall under category of
‘substantial’ since it provides direct support (cash and livelihoods) to marginalized people in
rural areas. As a result, PSNP V developed GBV mitigation and response action plan based
on the findings of the assessment. This action plan is under regular implementation and
monitoring by the Linkages to Available Social Services (LASS) Technical Committee (TC).
Objectives of the GBV / SEA and SH Prevention and Response Action plan
The Action Plan details the measures that will be put in place to assess and mitigate the risks
of GBV/ SEA/SH that are project-related. This includes procedures for mitigating GBV risks,
responding to GBV cases reported in the project area, and ensuring effective management of
GBV related grievances.
The need for updating the Action Plan
Multiple concurrent crises; consecutive inadequate rainy season and locust infestation on
local production resulting in continuing draught, the impacts of the Coronavirus Disease
2019 (COVID-19), the implications of the war in Ukraine on cereal availability and prices in
Ethiopia, inflation and the ongoing conflict in Tigray and the spread of the conflict to Afar
and Amhara in late 2021 has impacted food security in affected areas and has impeded the
delivery of humanitarian assistance with access constraints. The intersectionality of all these
issues contribute to the poverty and vulnerability of communities and expose them to more
GBV risks which requires the update.
Current projections suggest that 20.4 million people are in urgent need of food assistance (in
cash or in kind) many of which live in areas categorized by the Integrated Food Security
Phase Classification as in Crisis (IPC3) or Emergency (IPC4). This puts Ethiopia in urgent
need of assistance because of a combination of aggravating factors mentioned above.
In addition, Ethiopia was included in the FY22 List of countries affected by Fragility,
Conflict and Violence (FCV) for the first year since the World Bank started releasing annual
lists in 2006. The FCV strategy aims to support countries in addressing the drivers and
impacts of FCV and strengthening their resilience, especially for the most vulnerable and
marginalized people. Specifically, the project supports two of the Strategy’s four pillars:
Pillar 2: Remaining Engaged during Conflicts and Crisis Situations by continuing to operate
in areas affected by conflict situations; and Pillar 4: Mitigating the spillovers of Fragility,
Conflict and Violence. The FCV strategy highlights the role of safety nets in promoting
equity and building resilience and opportunity and that can both ensure the welfare of
affected populations in the short term and inject resources into local economies in the
medium term. The strategy also recognizes the importance of restoring social contract
through safety net programs, which in turn contributes to mitigating grievances and conflict
situations.
As a result, a Second Additional Financing (AF2) was processed for SEASN and the legal
covenants of the AF2 for SEASN requires borrower to update and disclose some of the
187
instruments of the ESMF which the GBV action plan is one of it. The updated GBV Action
plan will be cleared as part of the ESMF prior to effectiveness of AF2.
The Action plan with minor edits will remain as is for project implementing areas that are
considered ‘normal’ (non-ongoing conflict areas or post conflict areas). However, for High-
Risk Ongoing Conflict Areas (HROCA), and post conflict areas, there will be significant
change which will be mentioned below.
High Risk Ongoing Conflict Areas (HROCA) and Post-Conflict Areas

At present, the High-Risk Ongoing Conflict Area (HROCA) is Tigray where GBV is more
likely to occur due to the heightened vulnerability of the people and culture of impunity. As
PSNP implementation in the region is currently suspended because of lack of Federal
Government access, AF2 will contract Third-Party Implementer (TPI) for one year. The TPI
is responsible to ensure there are clear communication tools on the project at all levels on
what this project is and what it is not; what and where it is operating.
Given that the use of a Third-Party Implementer will be a temporary shift in the program’s
implementation arrangement and because of the higher risks of delivering the program in
HROC areas, it has been agreed that an independent firm will be contracted to undertake third
party monitoring in HROCAs s and post-conflict woredas. Independent monitoring will pay
specific attention to the heightened risk of Gender Based Violence (GBV), Sexual
Exploitation and Abuse (SEA) and Sexual Exploitation (SE) and will both seek to provide an
indication of the level of risk and review the functionality of systems through which incidents
can be reported and addressed.
The project’s potential SEAH risks continues to be substantial for the AF2 related to targeting
and security for frontline project workers and most importantly for the community and the
PSNP clients. On the other hand, the AF2 has added potential risk of SEAH because of
project implementation in conflict affected areas that pose risk both to the project workers
and the beneficiaries. The potential risks could be associated with Sexual Exploitation and
Abuse (SEA) related to targeting, security and SEA risks for the project workers and the
community during the implementation in conflict affected areas. Thus, to prevent and
mitigate SEAH risks in conflict affected areas, specific update has been made, prior to project
effectiveness, to the GBV action plan in line with third-party implementation arrangement,
capacity building activities, any other relevant prevention and response measures
Furthermore, the TPI operating in HROCAs will be required to put in place appropriate
Grievance Redress Mechanisms for the context including mechanisms to address the
heightened risk of GBV/SEA.
In post-conflict areas, the linkages to available social services component of the PSNP
program will provide more emphasis to linkage to GBV protection and prevention services.
Improved coordination and collaboration with regional humanitarian protection clusters is
also being pursued.
For conflict affected areas where the TPI will be engaged, the borrower will also ensure that
implementing partners assign three Environmental and Social (E&S) specialists (namely one
environment, one social and one gender specialists) to support E&S implementation of the
Project and undergo training as needed; and (2) commit to implement their activities in
accordance with this ESCP and all E&S instruments and be accountable to MoA in this
respect.
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Existing Legal and Policy Framework on Gender-Based Violence

The Federal Democratic Republic of Ethiopia has ratified international and regional treaties
and commitments to ensure gender equality and prevention of GBV as part of all programs,
projects and plans of the country.
Internationally and Regionally: Ethiopia has ratified a number of international human
rights treaties, including the Convention on the Rights of the Child (ratified by Ethiopia in
1991), the African Charter on the Rights of the Child (1999), and the Convention on the
Elimination of Discrimination against Women (CEDAW).
Universal Declaration of Human Rights: According to the Universal Declaration of Human
Rights, attaining equality between women and men and eliminating all forms of
discrimination against women are fundamental human rights and United Nations values.
Women around the world nevertheless regularly suffer violations of their human rights
throughout their lives, and realizing women’s human rights has not always been a priority.
Achieving equality between women and men requires a comprehensive understanding of the
ways in which women experience discrimination and are denied equality so as to develop
appropriate strategies to eliminate such discrimination. Thus, the Universal Declaration of
Human Rights (1948) stipulates;
Article 1: that “all human beings are born free and equal in dignity and rights” that
“everyone is entitled to all the rights and freedoms set forth in this Declaration,
without distinction of any kind, such as race, colour, sex, language, religion.
Article 2: all rights and freedoms equally to men and women and prohibits
discrimination on the basis of sex. These freedoms and rights include equal pay for
equal work, the right to health and the right to an education for all
Article 7: all are equal before the law and are entitled without any discrimination to
equal protection of the law.
Article 16: Men and women of full age, without any limitation due to race, nationality
or religion, have the right to marry and its dissolution, and to found a family;
marriage shall be entered into only with the free and full consent of the intending
spouses; and the family is the natural and fundamental group unit of society and is
entitled to protection by society and the State.
Article 25: everyone has the right to a standard of living adequate for the health and
well-being of himself and of his family, including food, clothing, housing and
medical care and necessary social services, and the right to security in the event of
unemployment, sickness, disability, widowhood, old age or other lack of livelihood
in circumstances beyond his control.
African Charter on Human and People’s Rights: The Protocol to the African Charter on
Human and Peoples’ Rights on the Rights of Women in Africa (the Maputo Protocol) is the
main legal instrument for the protection of the rights of women and girls in Africa. It stated
that:
Article 14.1.a), b) and c): the right to exercise control over one’s fertility, decide one’s
maternity, the number of children and the spacing of births, and choice of
contraceptive methods
Article 14.1.f): the right to family planning education: State parties are required to
provide complete and accurate information which is necessary for the respect,
protection, promotion and enjoyment of health, including the choice of contraceptive
methods.
Article 14.2 a): the right to adequate, affordable health services at reasonable
distances, including information, education and communication programs for women,
especially those living in rural areas
189
Article 14.2 c): the right to safe abortion in cases of sexual assault, rape, incest and
when the pregnancy endangers the mental and physical health of the mother or the life
of the mother or the fetus
Article 15.1.b) of international Covenant on Economic, Social and Cultural Rights
(ICESCR) states that every individual must benefit from scientific progress and its
applications. Women see themselves denied the right to benefit from the fruits of this
progress as soon as they are denied the means to interrupt an unwanted pregnancy
safely, using effective modern services
Article 5 of the African Charter prohibits cruel, inhuman and degrading treatments, a
prohibition reiterated in Article 4 of the Protocol. State parties must ensure that
women are not treated in an inhumane, cruel or degrading manner when they seek to
benefit from reproductive health services such as contraception/family planning
services or safe abortion care, where provided by national law and Specific
obligations of the State
Nationally: The Constitution of the Federal Democratic Republic of Ethiopia (1995) includes
articles on rights, including rights to life, security and liberty (Article 14, 16, 17); rights to
equality (25) and marital, personal and family rights (34). Article 35 of the Convention on the
Rights of the Woman advocates affirmative action to enable women "to compete and
participate on an equal footing with men in political, social, and economic life, as well as in
public and private institutions," while Article 42 protects their right to employment,
promotion, and equal pay, and Article 53 ensures their right to access and control of
resources, as well as their right to consult in the process. Article 9 (4) declares that all
international agreements ratified by Ethiopia are an integral part of the law of the land, with
implications for the enforcement of international provisions referred to above.
Laws and proclamations to protect the rights of women and to ensure gender equality and
women's empowerment:
• The Revised Family Code (2000) has provisions to protect the rights and dignity of
women, boys and girls at household level. It sets the legal age of marriage at 18 years,
with full and free consent of both partners.
• The Revised Rural Land Administration and Use Proclamation (No. 456/2005)
stipulates that women have a right to ownership of rural land. More specifically,
article 5 sub article 1.c. of the proclamation provides that women who want to engage
in agriculture shall have the right to get and use rural land. In addition, article 6 sub-
article 4 provides for land ownership certificates.
• The Criminal Code (2005) specifies crimes and penalties prescribed by law,
including early marriage, abduction, female genital mutilation/cutting (FGM/C) and
child trafficking. It criminalizes various forms of violence against children, including
ill-treatment, neglect or beating children by those responsible for them (up to 3
months imprisonment – Article 576.1) or if resulting in grave injury to the health or
well-being of a child (minimum one year imprisonment-Article 576.2). Sexual
intercourse with minors aged 13-18 sustains a penalty of 3-15 years imprisonment
(13-25 years if the victim is under 13 years), or if the victim of sexual acts is their
pupil, the penalty is 5-20 years imprisonment (Article 626).
• The Civil Servant Proclamation (No. 1064/2017) has provided for affirmative
actions in recruitment, promotion, transfer, redeployment, education and training of
women. Protected the pension rights of female employees.
• The new Labor Law, Proclamation 1156/2019 Art 87 and Art 88 promote non-
discrimination, affirmative action, less time and job burden for pregnant women,
protection from hazardous works and workplaces and extended maternity leave.
190
Article 14 and Article 32.1.b also preclude the need for interpretation of sexual
harassment and sexual violence by providing definitions, prohibitions and
punishments specific to the acts.
• Gender mainstreaming guidelines: Proclamation No.1097/2018 requires all
ministries to ensure that the policies, laws, development programs, and projects they
must benefit women, children, and youth. Accordingly, each sector is expected to
develop their mainstream guidelines. As a result, the Ministry of Women, Children
and Youth Affairs developed national gender mainstreaming guidelines and shared
them with all line ministries so that they could develop their own guidelines.
National Policies and Plans

• National Policy on Ethiopian Women (1993) aims to institutionalize the political,
economic, and social rights of women by creating appropriate structures in
government offices and institutions so that public policies and interventions are
gender-sensitive and equitable.
• The National Strategy and Action Plan on Harmful Traditional Practices (HTPs)
against Women and Children (2013) is a national strategic framework that aims to
reduce child marriage, abduction and FGM/C as part of broader gender and equity
goals.
• Education and Training policy (1994), MoE, addressed gender parity in access to
education and training, along with mainstreaming gender equality in national
curricula. As well as addressing access, relevance, quality and equity in education and
training for girls and boys, it includes gender responsive principles such as
mainstreaming gender equality in national curricula (Article 3.1.3).
The World Bank’s Gender Strategy (2016-2023) has four strategic objectives which stand
to ensure equal rights for women and promote and protect their social and economic rights.
These are:
• Improving human endowment: specifically addressing women’s access to health
service, closing the remaining gender gap in education and expanding social safety
nets
• Removing constraints for more and better jobs emphasizes the increment of women’s
participation in the labor force, their income-earning opportunities and access to and
control over productive assets.
• Removing barriers to women's asset ownership and control focuses on ensuring
women's rights to productive assets such as land, housing, and technology, as well as
their access to financial and insurance services.
• Enhancing women’s role, agency and engaging men and boys aims to promote and
enhance women’s participation and decision-making role in the prevention and
response activities towards gender-based violence and in the services provided to
survivors of GBV.
Guidance on the Action Plan for the TPI

• Develop a methodology for assessing the risk of GBV/SEA in context of the
conflict area
• Based on the monitoring/assessment the TPM/TPI will identify specific risks
related to GBV and prepare a GBV action Plan with prevention and mitigation
measures
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• The TPI will assign social specialist and gender specialist that will be responsible
to lead the implementation and monitoring of the GBV action plan.
• Develop guidance and training materials to build staff capacity
• Define the scope of GBV types
• Develop brief notes, signs, posters that can create understanding of Gender Based
Violence (GBV) including SEA/SH,
• Develop case reporting mechanism, accountability structures and referral
procedure for staffs and for community members to report GBV and SEA/SH
cases related to the project.
• Map and establish formal linkages with locally available multi-sectoral GBV
service providers
• Require frontline project staff to sign Code of Conducts prohibiting SEAH and
sex with minors explicitly
• Establish confidential and survivor centered entry points for GBV/SEA/SH related
complaints, refer to available GBV response services
• Make the payment system and food distribution center accessible to all and avoid
traveling long distance and staying overnight out of home to collect transfer.
• Build the awareness and train project staff and the community on the issue of
GBV/SEAH
• Ensuring people in conflict affected areas are having special conditions to get their
entitlements (wavering PW, lump sum payments, serving women and FHHs).
• Coordinate and network with platforms working on GBV/SEA/SH such as the
Humanitarian Protection clusters/GBV Subcluster (federal and region) so that
their partners operating in PSNP woredas consider enhanced protection issues
linked to payments and food distributions
• Ensuring GBV issues are covered by post distribution monitoring and other
monitoring and evaluation mechanisms of the program in conflict affected areas.
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Table 1: SEASNP GBV/SEA/SH Action Plan

N Issues identified Actions Implementing Timelin Budget M&E Remarks
o body e
1 There is limited 1. Establish/strengthen strong team of technical experts MoA, MoWSA Year 1 - TPM for The
understanding of under FSCD comprised from MoA-FSCD, NRM, WSAD, & MoH HROCAs, multisector
Gender Based MoWSA, and MoH at Federal, regional, woreda and (Inc. Regional, MoA, and al team
Violence (GBV) kebele level that will be responsible to lead the Woreda MoWSA which will
including Sexual implementation and monitoring of the GBV action plan. & Kebele be
Exploitation and levels) and TPI established
Abuse and Sexual for HROCAs under
Harassment FSCD at
(SEA/SH) by TPM, MoA, federal,
project 2. Make GBV and SEA/SH training part of the PSNP MoA, MoWSA Year 1 MoWSA regional
beneficiaries and capacity building core trainings. & MoH and TPI - &MoH and woreda
staffs level will
a. Develop at least half a day training package for be the
staff at all levels leading
b. Content of the training should include at a unit to
minimum type of violence, how the project can monitor
exacerbate these, available program related - this action
systems, referral pathway, roles and plan.
responsibilities of stakeholders TPM, MoA
& MoWSA The
3. Develop SEA/SH messaging MoA, MoH, Year 1 implement
MoWSA ation of
and TPI - TPM MoA this action
& MoWSA plan will
be assessed
4. Develop case reporting mechanism, accountability MoA and Year 1 by the
structures and referral procedure for staffs and for MoWSA, and TPM, MoA, independen
community members to report GBV and SEA/SH cases TPI - MoH, & t review
related to the program. MoWSA
TPM, MoA
5. Revise the program’s SBCC tools to include sessions on MoA, MoH, and Year 1 & MoWSA
GBV perpetrated because of social norms and attitudes MoWSA; and
TPI TPM, MoA
& MoWSA
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6. Conduct regular awareness raising activities on GBV MoA, MoWSA Annually

prevention and mitigation (similar content with the staff (Inc. R, W & (year 1-5) 30,000 TPM, MoA
training) to PSNP beneficiaries K), and TPI & MoWSA
7. Develop and display signs and posters around the project MoA, MoWSA Year 2 200,000
site that signal to workers and the community that the (Inc. R, W & K)
project site is an area where GBV/SEA is not tolerated and TPI
8. Map out Stakeholder and engage them in response to the MoA, MoWSA Year 1 and 80,000
2
GBV/SEA/SH action plan implementation and TPI
2 Loose preventive 9. Make the payment system and food distribution centers MoA, MoWSA Year 1 - TPM MoA
measures accessible to all and avoid traveling long distance and (Inc. R, W & K) and 2 & MoWSA
staying overnight out of home to collect transfer. and TPI
TPM MoA
10. Develop awareness of PSNP stakeholders on the issue of MoA, MoWSA Annuall 28,000 & MoWSA
GBV/SEA/SH (Inc. R, W & K) y
and TPI (year 1- TPM MoA
5) & MoWSA
11. Ensuring people in conflict affected areas are having MoA, MoWSA, Annuall -
special conditions to get their entitlements (wavering PW, (Inc. R, W & K) y (year TPM MoA
lump sum payments, serving women and FHHs). and TPI 1-5) & MoWSA
12. Coordinate and network with platforms working on MoA, MoWSA, Year 1 -
GBV/SEA such as the Humanitarian Protection (Inc. R, W & K) and
clusters/GBV Subcluster (federal and region) so that their and TPI ongoing
partners operating in PSNP woredas take into account
enhanced protection issues linked to payments and food
distributions and provide service referrals for survivors of
GBV/SEAH
3 There is no GBV 13. Revise program monitoring templates to include MoA, MoWSA Year 1 - TPM, with
tracking in the information on GBV incidents. The following information and TPI and 2 follow up by
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program will be included in the annual GSD review and report MoA
monitoring plan • # of GBV reported cases by type & MoWSA
• # of cases referred to appropriate response services
4 There is no formal 14. Conduct mapping and update referral pathways of locally MoA, MoWSA, Year 1 20,000 TPM,MoA Budgeted
referral linkage to available stakeholders, services, mechanisms, and their (Inc. R, W & K) and 2 MoWSA, as part of
services set up and capacity in relation to GBV prevention and response and TPI & MoH activity # 1
existing service services. (8)
providers have
limited capacity 15. Establish formal linkages with GBV Subcluster, locally MoA, MoWSA, Year 1 - TPI, with
available service providers and the formal structure which & MoH (Inc. R, and follow up by
coordinates anti-GBV national platform led by MoWSA W, K) and TPI ongoing MoA,
and , in areas where the platform exists. MoWSA,
&MoH
16. Based on the GBV stakeholders’ mapping and analysis, MoA, MoWSA, Year 1, 20,000 TPM MoA,
facilitate capacity development support to multi-sectoral & MoH and TPI 2 and 3 MoWSA, &
GBV responders under the national Anti-GBV prevention MoH
and response platform.
17. Monitor the functionality of the Program responses to MoA, MoWSA, Ongoin 10,000 TPMMoA,
GBV cases &MoH g MoWSA, &
MoH (Inc. R, MoH
W, K) and TPI
5 There are no clear 18. Review existing GRM for GBV/SEA/SH response and MoA and TPI Year 1 - TPMMoA
and trusted integrate GBV/SEA/SH entry point.
complaints
reporting 19. Enhance the role and capacity of KACs to apply GBV MoA & Annuall 200,000 TPM MoA
mechanism for sensitive measures and ensure the needs of GBV survivors MoWSA y
GBV including are taken into consideration (Inc. R, W, K)
SEAH at program and TPI
and community
level 20. Identify, clearly state roles and train GBV focal points MoA & Year - TPMMoA
within the GRM. MoWSA, TPI and 3
195
21. Develop and require frontline project staff sign Code of MoA, MoWSA, Year 1 - TPMMoA
Conduct that address SEAH. & MoH, and and 2
TPI
22. Develop the capacity of the KACs in general and MoA, MoWSA Year 2 300,000 TPMMoA
particularly on their GBV related role and MoLSA, and 3
and TPI
23. Provide training to religious and community gatekeepers MoA & 30,000 TPM, MoA
on GBV (as part of SBCC and GSD trainings) MoWSA
(incl. R, W, K)
and TPI
24. Carry out awareness sessions to PSNP beneficiaries on the MoA & Monthl 30,000 TPM, MoA
roles and responsibility of the KACs MoWSA y basis and MoWSA
(incl. R, W, K), (as part
TPI of
montly
SBCC
session)
25. Review logs for GBV/SEAH documentation to ensure it Annuall - TPM, MoA
follows standards for documenting GBV/SEAH cases y
26. Ensure GBV issues are covered by PDM and other Ongoin - TPM, MoA
monitoring and evaluation mechanisms of the program in g
conflict affected areas.
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Institutional capacity to prevent and Respond to GBV risks
The MoA will maintain the existing one Senior Gender and Social Development (GSD)
specialist as coordinator, one GSD expert at NRMD, one (GBV focal person at FSCD, one
social risk specialist/focal person at NRMD and one (GRM specialist and SEP focal person at
FSCD). Similarly, the existing three Environmental Risk specialists will be maintained. The
MoWSA shall also maintain two social development specialists. The MoA will contract out
the service delivery in the conflict areas which are not accessible to international
humanitarian agencies/implementing partners. The MoA will evaluate the E&S management
capacity of any potential implementing partner (according to the ESMF) and require and
ensure that implementing partner mainly the TPI (i) similarly assign E & S specialists
including gender and GBV specialists to support the E & S as well as the GBV action plan
implementation of the Project and undergo training as needed; and (ii) commit to implement
their activities in accordance with all requirements
Effective implementation of the environmental, social and gender issues including GBV/SEH
requires technical capacity in the human resource and logistics. Implementers need to
understand inherent environmental, social and GBV/SEA/SH issues and values and be able to
clearly identify their roles and responsibilities during project implementation. More
importantly, it is necessary that a sound understanding, and dependable level of capacity
exists in the institutions that would enable good implementation.
The MoA and other PSNP implementing agencies have gained some experience and capacity
during implementation of the existing and previous PSNP Projects implemented in different
times. In relation to this, at federal level there are a Social risk management experts and a
Gender and GBV expert who have been working for the project.
ESRM and gender including GBV/SEA/SE trainings have been provided to relevant staff and
the community at large during implementation of the parent project. In a similar way, during
implementation of the parent project, due attention was provided to women and girls and
prevent them from GBV/SHA/SE. The project has been striving to maintain and construct
community subprojects near villages, convenient for vulnerable groups, mainly schools,
animal health posts and Farmer Training Center (FTCs). The existing E&S risk management
and gender and GBV implementation arrangement will be maintained.
From this perspective, the following observations were made regarding the existing capacities
in the institutions during the consultations carried out with the stakeholders, host and refugee
communities in the participating regions:
1. The implementation of SEASNP by the national project implementing agencies has created
a certain level of institutional capacity and familiarity in implementing the E&S and gender
and GBV procedures. At the national level the degree of awareness and institutional capacity
is comparatively high owing to the presence of PCUs staffed with social and gender and
GBV experts. Phase II can build upon the existing experiences of the national project
implementing institutions
2. The implementing agencies found in different level needs an intensive sensitization

training and some sort of awareness creation on the GBV/SEA/SH Action Plan.
3. The kebele administrations and its front line service providers such as the Development
Agents (DAs) are rarely trained on gender and GBV/SEA/SH aspects. The woreda and kebele
197
staff will therefore need further training to strengthen their capacity to ensure adequate
gender and GBV monitoring. Thus, there is a need to carry out capacity building at these
levels to facilitate better implementation.
4. Although there are structures at woreda level, they still have a capacity gap in terms of
skilled humanpower to carry out GBV/SEA/SH related activities of investment projects
implemented in the woreda. So, the respective level of Women, Children and Youth Affairs
(currently changed in to Social and Women Affairs office) needs capacity development
training on project investments. As a result, the training and skill development awareness as
well as provision of inspection equipment should be done
5. There is going to be a need to fill the capacity gaps identified in the above stated areas for
all the institutions involved in the GBV/SEA/SH Action Plan implementation. Capacity
building and training will be required to:
❖ Enhance the capacity of all implementing entities at respective levels to be able to

implement and monitor the execution of GBV/SEA/SH instruments; and
❖ To enhance capacity of community levels public administrative structures and CBO and
implementing community committees to monitor issues related to same.
GBV/SAE/SE trainings have been provided to relevant staffs and the community at large
during implementation of the previous PSNP. For example, trainings on gender issues, GBV,
HIV and nutrition were provided for implementers and community members with the
collaboration of Regional and woreda women, children, youth, affairs, and ministry of
Agriculture directorate of women, children and youth Affairs. This has also an association
with the prevention and response provision including service providers for survivors.
Currently, provided that regional difference the service providers including referrals systems
for GBV/SEAH cases has increased time to time and the awareness for the service is
promising
Although, there are structures at woreda level, still have a capacity gap in terms of skilled
manpower to carry out gender particularly GBV/SEA/SH related activities of investment
projects being implemented in the woreda. So, the respective level of Women, Children and
Youth Affairs (currently changed in to Social and Women Affairs office) and other service
providers including Police, health institutions, psycho support providers and others need
capacity development trainings on project financing investments. As a result, the training and
skill development awareness creations as well as provision of inspection equipment’s should
be conducted as per their schedule so as to fill the gap in manpower, training, logistics, and in
monitoring and logistics.
Therefore, there is going to be a need to fill in the capacity gaps identified to exist in the
above stated areas for all the institutions involved in the GBV/SEA/SH action plan
implementation. Capacity building and training will be required to:
❖ Enhance the capacity of all implementing entities at respective levels to be able to implement
and monitor the execution of GBV/SEA/SH instruments; GBV Service mapping, exploring
on the existing referral pathways, GBV service provision
❖ To enhance capacity of community levels public administrative structures and CBO and
implementing community committees to monitor issues related to same.
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Grievance Redress Mechanism for Addressing GBV/SEA/SH and Referral Systems
Locally accessible project-level GRM structures exist and are functioning well. There were
various grievances related to project operations that are recorded, reviewed, resolved and
reported. GRM guideline has been prepared to strengthen the effectiveness of the these
activities.
Grievances related to beneficiary targeting and GBV and SEA/SH will be covered by the
project GRM but for workers grievances, a separate GRM will be used, as detailed in the
LMP prepared for this project. The project will ensure that grievances related to
GBV/SEA/SH are recognized and referred to respective service providers through project
GRM process based on a survivor-centered approach. Such grievances shall be handled better
by the Woreda Women and Social Affairs Office or female GBV focal points to be selected
and trained to provide basic referrals. The following are the working procedures of the
woreda Women and Children Affairs to manage GBV/SEA/SH in project area.
• The respective Woreda Women and Social Affairs Office will receive capacity
building/training on key principles of GBV/SEA/SH case management including
confidentiality, non-judgmental, best interest of the survivor, services and referrals.
• Establish a proper channel to receive reports or project-related risks of sexual harassment and
GBV, i.e., the risk factors that exacerbate or expose people to GBV.
• Conduct awareness raising campaign regarding the risks of GBV to both men and women in
the project area; and key principles of GBV/SEA/SH case management including
confidentiality, non-judgmental, best interest of the survivor, services and referrals.
• The program GBV focal person at the Kebele level will receive and log the allegation in the
survivor’s own words in a way that guarantees confidentiality.
• The focal person will provide the survivor with all information regarding the referral services
available and details on how to access them.
• Based on the consent of the survivor, the GVB focal person will share the information to
women affairs and social workers that will act as case manager to the woreda Women and
social office.
• If the survivor’s damage is a minor, the case MUST be reported to the Woreda Women and
Social Office and the police
• The respective Woreda Women and Social Office representative in the Woreda GRC will be
the focal point who can confidentially receive complaints or reports from the survivors
through various forms of uptake channels including telephone call text message, email, face-
to-face, and others.
• With the agreement of the survivor, the GBV/SEA case will be investigatedand further
information will be collected by the police based on the scope of risk involved.
• Record all the reported incidents based on the level of risks and follow-up or track the
response process of the referred agency or court until the achievement of satisfactory
resolution.
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The project will strengthen/update the mechanism in the project target areas to enhance the
capacity of the grievance redress mechanism (GRM) to resolve concerns in an effective and
timely manner. Affected people will be fully notified about the GRM, including its functions,
procedures, timelines and contact persons (Grievance Redress Committee) both verbally and
through written materials (often using Kebele Center notice boards for posting) and
information brochures during consultation meetings and other stakeholder engagement
activities. Grievance will be notified in the community local languages. Thus, complaints will
be actively managed and tracked to ensure that appropriate resolutions and actions are taken.
SEASNP-AF2 GRM Coordination setup
• Step 1: Affected parties present their Grievance to the GBV focal person of KAC at kebele
level using the survivor’s own words.
Step 2: The GBV focal person will inform the survivor what to expect and the available
social services at each level, how to access them and the possibility of escalating it to the
higher level.
Step 3: Given the consent of the survivor, the GBV focal person will share the information to
the Woreda Women Affairs and the police.
Step 4: The MoA with its line agencies will follow up the case and report to the WB
Applicants can also present their grievances directly to respective level legal courts without
following the above procedures.
Monitoring, Follow up and Reporting
To ensure the effectiveness of the project in preventing, mitigating and responding to

GBV/SEA/SH, monitoring and evaluation will be undertaken. The Federal Project
Coordination Unit (FPCU) will undertake monitoring and evaluation in collaboration with
MOA women directorate on a quarterly basis. It will compile all reports from the regional
project coordination unit and the regional WASOs, who will report on a monthly basis, as
well as from the woreda level the woreda project coordination, WSAOs, and woreda
grievance redress committee/WGRC, who also report on a monthly basis. All reports,
including details on GRM cases will be compiled into a quarterly progress report to the
World Bank. The GRM reporting will contain GBV/SEA/SH cases, but will maintain strict
confidentiality and not transmit any names or other revealing details. Reporting on gender
mainstreaming and GBV/SEA/SH will be based on the output indicators provided in Table 1
above, as well as information on numbrs and trends of recorded GRM cases, including
GBV/SEA/SH cases.
An independent firm will be contracted to undertake third party monitoring in HROCAs:

They will be contracted to: assess the extent to which transfers are reaching intended clients,
review the functionality of systems and structures, provide information to feed into evidence-
based decision-making in the event of challenges, and the functionality of systems through
which incidents are being reported and addressed. The TPI will ensure that all parties
involved in the implementation of the GBV/SEA/SH action plan carryout their roles and meet
their obligations to address the GBV/SEA/SH
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5. Complaint Handling Mechanism for GBV-related Cases
PSNP will allow for SEA/SH allegations to be received through both Kebele Appeal
Committee (KAC) PSNP5 complaint handling committee and directly through other
intermediaries (e.g., Kebele Manager, Women’s Affair Focal Person, Health Center). The
KAC include elected Kebele council member, Development Agent(DA),two members of
community care collation (CCC) if existing in the kebele 1 female, Health Extension worker
or volunteer community Health Worker (Female),One social Worker(if represented in the
Keble and if available female)two elder representatives(1 female).In case of the KAC ,focal
person will be assigned to handle GBV/SEA related cases. These would give the
grievant/survivor opportunity to choose where to report SEA/SH incidents. The intermediary
will then respond to the allegations. The intermediary as a complaint intake channel should
be an existing structure with which women are familiar with and feel comfortable to visit.
Woreda Labour and Social Affairs(WoLSAs) in consultation and collaboration with relevant
bodies will be responsible to map and identify the intermediary at Woreda and Kebele level
that can offer safe, confidential and enabling space for recording and addressing SEA/SH
allegations, establish a referral linkage with clear roles and responsibilities and reporting
protocol. WoLSA will also identify key referral service providers:
• Health and medical support services that provide testing and preventive care for
sexually transmitted infections and HIV/AIDS, contraceptive counseling, prenatal
care, psychological and mental health services
• Safety and security services such as police and others that provide temporary safe
shelters
• Legal and justice-related service that provide legal counseling and legal representation
when the survivor wishes to pursuit accountability measures against the perpetrator.
• Economic empowerment and livelihood support
Steps in PSNP SEA/SH GM
Awareness Raising
• Through relevant communication, the program will work in awareness-raising

activities about gender-based violence and the availability and provision of a
functioning referral services identified to respond to SEA/SH.
Uptake
• The selected entry points will log the allegation in the survivor’s own words in a
separate logbook that will be kept safe at the Kebele Council that guarantees the
confidentiality of data.
• If grievance reported to KAC, DA or assigned focal person must only record:
o Nature of the allegation with the survivor’s own words without direct questioning
o age and sex of the survivor
o if the perpetrator is associated with the project
• Entry point will provide the survivor with all information regarding what to expect
from the process, the referral services available and details on how to access them and
how information is shared.
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• Entry point using survivor-centered approach66 explains what is documented, and the
survivor provides consent by signing to confirm that it is correct.
• Based on the consent given by the survivor, entry point will refer the case to the
SEA/SH service provider within 24 hours
• Develop an information-sharing protocol with multi-sectoral GBV service providers
so that survivor-related information is carefully managed, and confidentiality is
protected.
Confidential Referral Procedures
• Non-identifiable information of the survivor - the focal person shall use pseudo
names/code if necessary, in storing data regarding survivors, or no identifiable
information (like name, address etc.).
• The focal person assigned should assist GBV survivors by referring them to GBV
Service Providers (s) and/or responsible actors for support immediately after receiving
a complaint directly from the survivor.
• The GBV Service Provider(s) will have its own case management process which will
be used to gather the necessary detailed data to support complainants and facilitate
resolution to the case referred by the committee but the committee shall enter into
information sharing agreement on the case management and outcome.
• The KAC focal person/ intermediary shall put in place processes to immediately
notify the woreda food security desk, labor and Social Affairs and agricultural office
of GBV/SEA complaints without disclosing personal information. The woreda in turn
shares to regional agricultural office and regional shares to federal FSCD and Women
Affairs Directorate (WAD).
Based on survivor’s consent, the KAC (DA), Health extension workers, Kebele Women
Children Affairs, should communicate the allegation, within 2 weeks of receipt of the
compliant, to woreda level SEA/SH grievance investigation team.
Investigation
• Based on the consent of the survivor, the identified service provider will act as the
representative of the survivor and with assigned investigation team that manage such
grievances (Woreda Food Security Desk, Woreda Women and Children Affairs office,
Woreda Council, and Woreda health Centers) launch an investigation, collect all
supportive evidences from witnesses and through site visits.
Decision Making
• Given the allegation is linked to the PSNP, the program implementation unit and the
investigation team should reach a decision and conduct disciplinary proceedings in
accordance with the code of conduct.
66
Clarifying relevant information while demonstrating emotional support to the survivor and alleviating feelings of shame
and guilt by being nonjudgmental, empathetic, and compassionate
202
Monitoring and Evaluation (M&E)
• SEA/SH cases must be managed carefully and reported with minimal information that
include the number of program related SEA/SH allegations received and/or referred
by sex and age and the number of open and closed cases and the actions taken. This is
to identify challenges of SEA/SH grievance mechanism and identify reported trends.
Notification of Decision
• When an investigation is concluded, the survivor must be informed first to assess his
or her safety before the investigation’s conclusions are communicated to the
perpetrator
• Decision should be announced in a confidential manner. SEA/SH related decision will
not be posted on public notice boards to protect the identity of the complaint.
• Given the grievant is not satisfied with the decision reached, the entry points should
support referring the compliant to zonal level.
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Annex 1: Complaint receiving form

(a) General data:
Complainant’s sex___________________________________
Age______________________________________________
Date and time______________________________________
Place of incidence___________________________________
Date and time of reporting_____________________________
Contact address_________________________________________________________
(b) Brief description of the incident including physical and emotional state of the
survivor______________________________________________________________
_____________________________________________________________________
__________________________________________________________________
(c) Immediate action,
Care or support
required___________________________________________________________
_________________________________________________________________
_________________________________________________________________
________
Safety issues, if
any______________________________________________________________
_________________________________________________________________
_________________________________________________________________
_______________
Referral
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________
(d) Consent on sharing of application____________________________
(e) Follow up
_____________________________________________________________________
___________________________________________________________________
(f) Outcome_____________________________________________________________
___________________________________________________________________
___________________________________________________________________
__
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Annex 2: GBV/SEA Incident Reporting Format

Describe
Incident Details Remark
Details
1 Case Category SEA
GBV
2 Nature of the incident Basic facts of the incident. What was reported by the complainant
reported (in his or her own words). Is the incident related to the project?
3 Source of information How was it initially reported, entry point and by whom, survivor,
victim’s advocate, third party reporting
4 Where did the incident Woreda
occur Region
5 When did the incident Date
occur
6 Additional information Sex, Age
(if available)
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Annex 3: Summary of PSNP 4: Gender, Social Development and Nutrition PIM

Provisions
Targeting • Special consideration of female-headed households (i.e. all things being equal
women headed-household is prioritized for inclusion).
• Special consideration of households which were covered by the woreda
contingency budget the previous year because they had malnourished children
• In polygamous households, second and subsequent wives are considered as
separate female headed household
• During annual retargeting any household members eligible for temporary direct
support will be noted and referred to the relevant social services
• The new client Card includes information, picture and name of both spouses
and adherence to the Public Work community BCC
• Even though transfers will only be provided for up to five household members,
all household members should be documented and listed as clients of the
program during the targeting process, which will allow for an inclusion of all
members in the “linkages to social services” component
Annual Planning • Women and HEW should be represented and actively participate in annual
watershed development planning (Community Watershed Task Force-50%
women representation) to ensure women’s need as well as behaviour change
communication sessions for public work clients and the linkages with social
services for temporary direct support clients (see later) are properly integrated in
the annual plan
Transfer • Payment sites are as close to clients as possible and should be within 3 hours
walking distance
• Equal access to and control over use of transfer by husband and wife with
jointly decision/ Implementation of actions which enhance women’s control
over the use of cash or food transfers
• Use of contingency resource may be used to address transitory inclusion of non
PSNP households in PSNP when they have a malnourished child under
TSF/OTP treatment
• Permanent direct support clients receive a 12-month transfer
Transparency & • Woreda, kebele and community staff and Task Forces to make use of all
Accountability opportunities to share relevant information (e.g. community meetings during
targeting, PW planning meetings, community livelihood consultations, meetings
to inform clients and communities, etc.)
• All Clients are issued a Client Card with name, photograph, details regarding
entitlements and space to record receipt of transfers.
• Client lists posted in public locations in PSNP areas
• Charter of Rights and Responsibilities posted next to Client List but remains
posted throughout the year (also included on Client Cards)
• PSNP Posters describing specific aspects of program implementation will be
available and put up in offices at woreda and community level
Public • Women should work a reduced workload which allows them to arrive late and
Works leave early (and adjusting their work commitment to 50% of the standard-
women have 50% less working hours and loads than men)
• Plan and ensure Person Days (PDs) calculation during planning and
implementation periods considers;
o Women’s 50% workload (early and late arrival)
o Transition of PLW to Temporary Direct Support
o Construction of temporary or permanent childcare centers at PW sites
and provision of childcare services (Caring of the children in these childcare
centers will also be considered as an eligible public work)
206
o Participation of adult in BCC and financial literacy trainings

o Labour support to labor poor FHH and other households
• No participation of children (under 18) in PWs
• Women need to be represented and participate in PWs planning team and
process and 50% representation in the Kebele Watershed taskforce (KWSTF)
• PLW: Pregnant woman should be transition to temporary direct support on
confirmation from the health worker of her pregnancy or in the absence of this,
from the 4th month of pregnancy); and continue to receive direct support until
her child is 12 months old.
• PW sites are located within one-hour’s walking distance of Client’s home
• Primary caregivers of moderately or severely malnourished children (under
five) under treatment need to transition to temporary direct support until the
child is assessed as no longer requiring special treatment by the health care
worker
• Lighter works should be allocated to older people and women, especially
women who are still breastfeeding and have children older than 12 months old
(high-energy demands of breastfeeding)
• PWs activities can be undertaken on private land belonging to female-headed
households with severe labour shortages
• PWs to give attention for nutrition sensitive PW activities in their plan and
labour support: This includes for instance for the establishment of household
gardens Promotion of nutrition sensitive PWs (including latrine construction;
Health post construction School room construction; Development of
homestead/kitchen gardens on the land of female-headed households with severe
labour shortages (public works contribution can include land preparation,
irrigation development, and production of nursery products, vegetable and
legume seeds, and fruit tree seedlings)
• PW sub-projects shall reduce women’s regular time burden
• PW team composition should be balanced with men and women; women-only
teams for certain projects. The team leader or co-team leader should be a woman
• Prioritize targets for women in PWs team leader/co-team Leader / forewoman
positions to increase women’s representation in PW leadership and supervisory
roles on PW sites
• Participation by adult male and female PW Clients in monthly community
based health and nutrition and sanitation BCC sessions will be considered as a
public work requirement (3 sessions equals one public work day; with a min of 6
sessions/year))
• PW clients can also participate in literacy/financial literacy and other forms of
skills training activities which are counted toward their PW requirement while
approval for their participation will be given on case by case basis
Temporary Direct • The following vulnerable public work clients are transitioned from PWs to
Support temporary direct support (TDS) because of:
o sickness
o Pregnant women will be transitioned to TDS on confirmation by a health
worker that she has undergone a first ante-natal checkup (or in the absence
of this referral, at four months of pregnancy). She will remain on direct
support until the child is two-year-old
o Transition of primary caregiver of a malnourished child under five years old
(through a reference card from a health professional)
• When a household member moves to temporary direct support, no other
household member is expected to work to earn that transfer or to work any
days beyond the existing labour cap of 15 days per able-bodied adult per month.
Linkages to social • Members in PW HH which are transitioned to temporary direct support will be
service through expected to take up core elements of the health extension programme as a co-
co responsibilities responsibility in return for being exempt from public works.
or Soft- o These HEP services include antenatal care, post-natal care, nutrition
Conditionalities counseling, vaccination of children, attendance of growth monitoring and
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promotion, regular health checkups, and other services as guided by the
HEW
• These co-responsibilities will be considered as soft-conditionalities, which
means that - while households are informed of their co-responsibilities and basic
monitoring is undertaken, no penalties are enforced (nothing is deducted from
the transfer if they do not fulfil their co-responsibilities). These soft
conditionalities will be phased in gradually as services are available.
• Social workers, HEW, SW and DA will encourage HH to attend to these co-
responsibilities
Livelihoods • Livelihoods-related analyses to take into account the needs of women and
youth
• 50% of livelihoods clients are women (including female household heads as
well as women in households with men)
• Livelihoods support is provided at places and times that enable women to
attend
• Livelihoods transfers will target poor women and female-headed households
• Promotion of nutrition sensitive livelihoods (e.g. milk marketing or processing
of complementary foods for young children) are identified as a potential income
generation activity, PSNP 4 may support their inclusion as off-farm enterprises
eligible for program support.
• Livelihoods will create an entry point for nutrition and health related
behavioral change communication through the formation of Development
Groups
Coordination and • Participation of women in committees and governance structures (50% quota
Institutional for committee participation)
Arrangements • Ensure recruitment and placement of Social Development Officers at woreda
level
Grievance • Plan to address annually identified Grievances Redress Review (previously

Redress known as Roving Appeal Audit) findings and recommendations
Mechanism • Clients complaints are addressed timely (99% resolved within one month)
• If Client not satisfied with KAC decision, complaint escalated to Kebele Council
• Make required resources available to ensure complaints recorded and registered
(i.e. use of standard formats to record complaints)
• Ensure Kebele Appeals Committee membership is impartial and does not
overlap with individuals involved in central roles in the implementation of the
Program, particularly targeting (i.e. no member of the KAC should also be a
member of the KFSTF or the CFSTF).
• Women should be represented on KAC (50%)
• KAC members should be elected by community representatives
• Pre-schedule meetings times for KAC members
• Timely reporting of summary of cases addressed to Kebele Council
• Plan and budget for training on overall GRM, including KAC
• Link KAC with the formal GRM structure at Keble and woreda levelsediate and
timely replacement of KAC members who drop-out
Social • Ensure participation of PSNP implementers and Clients in ESAP3

Accountability • Regional Level:
Participate in capacity building and awareness raising sessions on
Social Accountability
Regional PSNP Process Owners and Social Development Experts
to participate in Social Accountability and Financial Transparency
and Accountability (SA-FTA) Committee
Participate in joint monitoring with ESAP3 Management Agency
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and follow-up implementation of Joint Action Plans

PSNP Social Development Expert to facilitate issues related to
PSNP Social Accountability-Ethiopia Social Accountability
Program Phase 3 (ESAP3) Cooperation
• Zonal Level:
Agriculture Rural Development Office to Participate in relevant
Woreda Interface Meetings
Follow-up implementation of Joint Action Plan
• Woreda Level and Kebele Levels:
PSNP Social Development Officer to facilitate issues related to
PSNP Social Accountability-Ethiopia Social Accountability
Program Phase 3 (ESAP3) Cooperation
PSNP implementers to participate in all aspects of Social
Accountability Pilot process, including: (i) capacity building and
awareness raising activities on Social Accountability; (ii) interface
meetings; (iii) relevant Social Accountability Committee meetings;
(iv) ensure implementation of Joint Action Plans.
• Community Level:
Community Food Security Task Force to participate in all aspects
of Social Accountability process
PSNP Service Users and Citizens to participate in Social
Accountability Committee (elected as members on a rotating basis)
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Annex 15: Grievance Redress Mechanism
Section I. Review of the PSNP IV GRM
Grievance is concern or complaint raised by an individual or a group within communities

affected by program/project operations. Grievance Redress Mechanism (GRM) is an effective
tool of early identification, assessment and resolution of complaints, concerns, and
environmental and social risks that may be associated with a
project and sub-project activities throughout the designing,
implementation and monitoring phases. Principles of GRM
The PSNP, prior its 4th phase conducted a Roving Appeal Audit Fairness; objectiveness
and independence;
(RRA) to assess grievances in the program. GRM was simplicity and
incorporated in the PSNP IV and Kebele Appeals Committee accessibility;
(KAC) was mandated for hearing and addressing complaints responsiveness and
efficiency; speed and
regarding the delivery of support to program affected parties as a proportionality;
local structure67. The costs associated with establishing and participation and social
running the KAC is financed from the woreda administrative inclusion; and
accountability and
budget in all PSNP woredas. confidentiality
The Kebele Council, Community Food Security Task Force
(CFSTF) and Kebele Appeals Committee members will use every
opportunity to inform PSNP clients and non-clients of the availability of the appeals
mechanism, how it functions, and the timing of Kebele Appeals Committee meetings.
Project affected parties of community members may make a complaint about any aspect of
programme implementation to the KAC. The KAC as the local body that hears complaints, is
to be independent from the individuals and committees responsible for aspects of
implementation. Thus, no member of the KAC should also be a member of the Kebele Food
Security Task Force (KFSTF) or the Community Food Security Task
Force (CFSTF). Alternative
Composition of KAC membership: The DA or the Mechanisms
• One elected Kebele Council member (not the chairperson) kebele council
• One Development Agent (DA) KACs is linked to
• One - two members of the community care coalition (if member, are and complemented
existing in the kebele) (1 female) responsible for the by the Government’s
• One Health Extension Worker or Volunteer Community uptake of emerging GRMs: the
Health Workers (female) Ethiopian Institution
• One Social worker (if represented in the kebele and if
grievances, of Ombudsman, the
available female) sorting, Regional and
• Two elder representatives (1 female) acknowledge and Woreda Grievance
Hearing Offices and
following up and the ESAP.
providing listing of appeals to kebele council.
Other members of
the committee are
volunteers and come together quarterly
to review appeals logged and provide
resolution. During Decision making
67
GRM is dealt with by the Appeals Committees at the Community, Kebele and Woreda levels in the PIM; however, currently, in actual practice
only the community and Kebele levels appears to be functional.
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sessions, there must be a minimum of

four members i.e. 50% + one.
Table 1. Main Actors of PSNP GRM and Their Roles According to the PIM
Kebele Appeals Committees (KAC) Kebele Council
• Receive, assess and resolve appeals and grievances to • Assists in establishing and ensuring effective
program affected parties related to the PSNP operation of KAC
• Quarterly convene to give resolution for grievances • Reviews unresolved appeals from KAC and
and submit listing of appeals by gender of the appellant forwards them to the woreda council every
and resolved and unresolved appeals to the kebele quarter
council following each meeting • Forward the list of grievances, their
• Required to resolve 95% of the grievances in their resolutions and any unresolved cases to the
kebele within one month of new annual beneficiary woreda council for their resolution
listing
Woreda Food Security Desk Woreda Council

• Provides guidance for the formation of the Kebele • Assists in resolving escalated and unresolved
Appeals Committee appeals and share outcomes with WFSTF
• Supports awareness-creation activities • Ensures that up-to-date listings of clients and
listing of appeals and appeal resolutions are
posted in public locations at woreda, kebele
and community levels.
• Approve the use of woreda contingency
budget
KAC is responsible to receive and respond to grievances in its jurisdiction. Given the KAC
upholds a certain appeal, Kebele Council (KC) communicates the decision to Woreda
Council (WC) in the quarterly appeal cases. If the WC also upholds, the decision is passed to
the Woreda Food Security desk to be implemented. The WC also resolves appeals that KAC
was unable to solve.
KAC → KC → WC → Woreda Food Security Desk
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Steps of the GRM and Standards
Within two months of the complaint being heard

Uptake
Within two weeks to one month of receipt
KAC Hear and receive
appeals and complaints
from project affected
parties.
Sort and process
KAC categorize Acknowledge and

similar cases and Follow-up
prioritize according to Verify, investigate
urgency KAC notify successful and resolve
submission and provide
regular progress Verify complaints M&E and
by collecting Feedback
relevant WC review
information resolved and
unresolved cases
and confirm and
KAC respond to
grievant
The value chain above illustrates a five-step process that is performed in PSNP GRM to
effectively handle grievance resolutions. KAC as the primary structure receives complaints
from project affected parties on any aspect of the program implementation and acknowledge
receipt, categorize the cases for processing and investigate to give resolution. Once the
resolution is reviewed and confirmed by the WC, it is responded to the grievant.
Section II. Review of PSNP GRM and KAC Performances in PSNP IV
This section focuses on the practice of KAC by presenting the standard set on the PSNP
GRM manual and Program Implementation Manual (PIM) with the actual performance of
KAC.
Table 2. Review of GRM Standards and KAC Performances in PSNP IV
Standard Performance
Uptake • 44% do not have regular schedule and 34% meet
• KAC meet quarterly to hear all individual monthly while the rest meet weekly, quarterly
complaints and appeals. and on need bases.
One of these meetings will be convened within • KAC resolve more than 95% of the grievances
one month of a new annual listing of submitted within the month heard
PSNP participants being produced to hear • No uniform mode of appeal uptake and more
appeals related to the client selection than 55% is done orally.
process. • The use of standard template to log appeals is
• Grievances (95%) are expected to be very low
resolved within one month of the
complaint being heard.
Sorting and Processing • More than 70% do not have internal guidance
• Using standardized internal processes, (GRM Manual) to guide the process of
categorizing similar cases and prioritizing
according to urgency
Acknowledgment and follow up
• Use clearly defined timetables for • Weak use of pre-determined timetable for
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Standard Performance
acknowledgment and outline the acknowledgement and follow up. More than 90% of
grievance process. KACs notify the receipt and progress of appeals,
• Periodic updates on the status of however, orally.
grievances • Progress update is not done proactively but upon
request from the complainant.
Verification and investigation and resolution • Close to 60% conduct investigation to verify
• Collecting additional information and grievances and refer documents as needed, however,
investigating through field visit, very few documents the process.
consultation with community elders and
residents and cross- checking documents
(PIM, PSNP GRM Manual)
Feedback and Monitoring and Evaluation • Over 80% KAC report to the KCs on the listing of
• Provide a listing of the grievances appeals, however, with no regular schedule and
(resolved and unresolved) to the Kebele 60% of Kebele Councils checked the validity of the
Council and Woreda Council quarterly for reports
validation • Around 90% inform grievant the resolution and the
• Inform grievant about the resolution of right to escalate the appeal orally and through public
their appeal and their right to escalate the postings within one to two weeks of resolution
appeal if they are not satisfied with the
decision.
While the availability of KACs in every PSNP kebele makes the PSNP GRM highly
accessible for stakeholders to raise concerns and grievances, irregular meetings held to
collect appeals, lack of clear and easily accessible guideline (GRM Manual), the failure to use
standard templates, the limited practice of documentation in almost all steps of the process
makes the monitoring of the GRM process hardly possible. Though trends and recurring
grievances are identified, no remedial action seems to have been issued to prevent or limit
future recurrences. In addition, the reviews show that significant number of decisions on
grievances were not acted upon. All these gaps indicate the poor supervision and monitoring
from Kebele and Woreda councils as well as the regional and federal levels.
Recent field visit by PIM revision team show that Woreda Council and kebele Council (the
local M&E bodies for GRM) play insignificant role (sometimes non-existent) in the GRM
processes and Kebele Food Security Task Force (KFSTF) and Woreda Food Security Task
Force (WFSTF) that are implementers of the PSNP program facilitate the GRM process.
Complaints about the client selection process (both targeting and graduation) make up the
majority of appeals KAC handles in PSNP IV. Concerns about the management of public
works, timeliness and completeness of transfers, prioritization of households for livelihoods
interventions are were also recorded.
Section III
GRM Improvements
The PSNP IV GRM review rated the performance of KAC as above average. However, since
KACs are established to make the PSNP IV program achieve its objectives by addressing
grievances, above average achievement does not suffice for the efficacy of the program.
Thus, the programme should attempt to build on the existing system while addressing the
weaknesses. Below are some short term and medium-long term gaps and issues to be
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improved to enhance the overall effectiveness of the PSNP GRM. The system should be
reviewed and updated around the recommendations here.
Table 3. PSNP GRM Challenges and Improvements for PSNP5

Challenges Improvements
Short-term Improvements
Lack of standing Secretariat for KAC for complaint Assigning a specific time and date during a week
collection for uptake of grievances could improve the
In the majority kebeles, the DAs of the KAC assume the situation
heavy lifting of the grievance processes. As a standing Having a standing member in the committee
member of the committee in the Kebele, they are (Youth Assistants) that can serve as a secretariat
responsible for uptake, sorting, acknowledgement/ and benefit from the program would support the
follow up, and submitting listing of grievances to WC efficient and effective functionality of the KAC
quarterly. In addition, DAs are also involved in other especially in the area of uptake and record
components of the programme and managing the maintenance of grievance process at all stages.
workload comes with the cost of underperformance. Availing required office supplies and provide
capacity development for KAC members
Irregular meetings Considering participation of KAC members in the
KAC members besides the DA and the Kebele Council meetings as Public Work?
member are all volunteers and thus convening quarterly incentives to increase motivation and
as put on the PIM has not been practical commitment of GRM implementers (KAC),
Lack of clearly defined decision-making responsibilities Strengthening the link to locally available
of different bodies involved in administering the government’s grievance redress systems available
grievance mechanism. (Ethiopian Institution of Ombudsman, the
KAC is responsible to review grievances raised, examine Regional and Woreda Grievance Hearing Offices,
evidences and make recommendations on how the cases the ESAP) would serve in the absence of
should be resolved. This is communicated to the Woreda functional KC and WC.
Council via the Kebele Council so the resolution can be
validated and implemented. However, latest field study
shows that the role of the Kebele council and the Woreda
council has not been significant (sometimes non-
existent). In most woredas the grievances are addressed
by the KFSTF and WFSTF that are programme
implementing bodies. This causes lack of independence
from the issue that a complainant is wishing to raise a
grievance about.
Lack of detailed process and step in the PIM The PIM should include clear direction of
responsible bodies for resolving grievances (not
just appeals), escalated cases; resolved cases that
the grievant is not satisfied with and grievances
that KAC left unresolved as it is above their
capacity to handle needs to be included in the
PIM.
PIM only shows how appeals are handled.
Poor utilization of standardized procedure (GRM Enforce and monitor the use of PSNP GRM
Manual, Forms) manual across regions.
PSNP GRM manual should be updated, brief,
define detailed processes and timeframe, specify
responsibilities of different parties. The manual
also needs to be translated into local languages.
Intake forms such as acknowledgement
slip/receipt, grievance receiving and listing should
be standardized, translated to local languages
Training on PSNP GRM and the processes should
be given to the KAC, KC and WC
Stakeholder engagement The programme needs to ensure aggressive and
Much of the recurrent grievances and the repetitive continuous engagement and appropriate project
challenges that come out of the reviews signify the information disclosure.
misunderstanding about the program both from clients There should be clear and strong communication
214
and frontline implementers. strategy for the GRM process. And consideration
within this should be given for those with
difficulty in accessing written forms of
communication (i.e. persons with disabilities, hard
of sight and hearing….)
Lack of structured accountability Revise the annual plan and reporting formats to
RPSNP has committed to conduct annual reviews as an capture the GRM process in the feedback loop of
M&E tool to assess the performance of the KAC and the the programme.
effectiveness and functionality of the PSNP GRM. Having a dedicated focal person for PSNP GRM
However, the persistent gaps indicate that the at every level (woreda, region and federal) and
recommendations and best practices from the reviews strengthening the link with support from project
have not been integrated and acted up in the programme. staff that oversees the KAC function would
This is due to the lack of structured accountability increase its effectiveness of KAC.
mechanism for GRM. PSNP is a large program already in terms of
human resources. Given that GRM touches upon a
number of existing ‘domains’ in the program,
perhaps a GRM Working Group of existing staff
required to compile and review the main findings
of the quarterly reports and make
recommendations to their team.
PIM should indicate the GRM chain above the
woreda level to Regional and Federal level.
FSCD will take lead of the GRM Working Group
at all levels and MoLSA will be core member of
the working groups
Absence of budget earmarked to GRM Budget earmarked for GRM improvement in the
program in the areas of training and capacity
building, provide required office facilities for
KAC
Link with mainstream GRM Having multiple outlets through which

stakeholders can lodge grievances by
strengthening the link and putting in place clear
lines of referral system and communication with
the available government’s formal GRM structure
and Grievance Hearing Offices. Elements of the
rural safety net are incorporated in the
mainstream GRM with in the RPSNP
All grievances should be linked with the
mainstream GRM however, complaints related to
major issues like right issues, corruption,
nepotism, GBV should be directed to the regular
GRM mechanism for further follow up, technical
aspects and to link with legal procedures.
KAC membership of women and people with disability Ensure a trusted woman from the community or
from the woman’s affairs to encourage women
grievant on GBV
Ensure the representation of people with disability
Making the GRM MIS based The MIS development accompany improvement
of processes and standardization of forms, greater
categorization of complaints and their resolution
processes.
The MIS can be especially helpful in tracking
individual complaints through the resolution
process, and in monitoring GRM performance at
the Regional and National levels.
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Long-term Improvements
Integrating PSNP and Ethiopia Social Accountability The reviews indicated that KAC located in Social
Program (ESAP) Accountability woredas perform better as social
accountability complement the GRM process.
Thus, expanding the use of social accountability
tools to the PSNP and fully integrating the PSNP
into the ESAP would improve the functionality of
the PSNP GRM.
PSNP5 GRM Improvement
In PSNP5, the first phase of the PSNP MIS that will be rolled out in June 2020 will include
the function of registering appeals and resolutions on MIS at the Woreda level after
complaints have been resolved. This means that the GRM processes will continue to take
place outside the MIS thus improvement should be in phases. On the first phase,
improvement must consider both paperwork and MIS and should involve
(a) Categorizing complaints

(b) Standardizing processes
(c) Standardizing templates
(a) Categorizing Complaints
The table below categorizes complaints into complaint types, resolution mechanisms and the
chain of grievance redress for each.
Grievance Type
• Appeals: disagreement with decisions passed by programme implementers

• Implementation concerns: dissatisfaction with the quality of implementation
• Program design: procedures and parameters set by the National level or the Region
that requires changes to the program
• Transparency and right based: cases that filing and investigating must ensure greater
delicacy and anonymity.
Resolution Mechanism
• Category 1: Complaints that requires looking at MIS data pertaining to a

household/individual for resolution. This category requires exhaustive list of
complaints and highly standardized resolutions.
• Category 2: Complaints that affect more than one person/household and doesn’t
require standardized resolutions.
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Table 4. Grievance Categorization According to Grievance Types, Resolution Mechanisms and Chain of
Handling
Resolution Recommen Review and
Household/Beneficiary Complaint
Mechanis d Endorse Implement
level Complaint Types
m Resolution Resolution
Program exit and entry
Exclusion from the PSNP
programme Appeal Category 1 KAC KC/WC WFSD/FSTF
Inclusion of non-poor
Appeal Category 1 KAC KC/WC WFSD/FSTF
community members
Unjustified exit Appeal Category 1 KAC KC/WC WFSD/FSTF

/graduation
Payments
Missed payment/transfer Appeal Category 1 KAC KC/WC WFSD
Delay in
Implementation Category 2 KAC KC/WC WFSD
payment/transfers
Incomplete Category 1 KAC KC/WC WFSD/FSTF

payment/transfers
Deduction of
payment/transfers by Transparency
implementers
Public Work
Neglect to standardized
work norm (Schedule, Implementation Category 2 KAC KC/WC WNRMD
location, leave)
Implementation Category 2 KAC KC/WC WNRMD
PW workload on women
Implementation Category 2 KAC WC WNRMD
Occupational hazards
Dissatisfaction with the Program Design Category 2 KAC KC/WC WNRMD
selection of youth in
beneficiary households to
work as community
facilitators Appeal Category 1 KAC KC/WC WFSD/FSTF
Mis categorization of
households as able
bodied to participate in
PW
Livelihoods
Exclusion from
livelihoods transfers Appeal Category 1 KAC KC/WC WFSD/FSTF
Provision of livelihoods
trainings at inconvenient
Implementation Category 2 KAC KC/WC WFSD/FSTF/W
time/place for women
Extension Desk
GBV
Physical or verbal abuse
in the context of PSNP Transparency Category 1 KAC KC/WC
implementation (work or
payment site)
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Others
Replacement/reissue of
client card Appeal Category 1 WC WFSTF Regional FSTF
Nepotism/bias/unfair KAC
Transparency Category 1 WC W/K FSD/
treatments/discrimination
FSTF
and unequal opportunities
by implementers
Inappropriate selection Category 2 KAC KAC

Program WoLSA
criteria of clients/mothers
Operations
who participate in the
ECD center as caretaker
Community Level
Grievances
Inadvertent risk
Disturbance of
environmentally sensitive Program Design Category 2 KC/WC WPWTC Federal FSCD
areas, wildlife habitats
and downstream
ecosystem
Earth moving that might Program Design Category 2 KC/WC WPWTC Federal FSCD
disturb and destroy the
cultural heritage
Health risks from agro-
chemicals and medical Program Design Category 2 KC/WC WPWTC Federal FSCD
wastes of project related
constructions
Mismatch between Program Category 2 WC RFSTF/RFSB Federal FSCD
targeting system Operations
developed and social
structure of the
community
Grievances related to
Category 2 WC RFSTF/RFSB Federal FSCD
inappropriate food
Program Design
(quality and type) being
delivered RFSTF/RFSB
Inconsistencies between Category 2 WC FPWCU

PW and the lifestyle and Implementation
livelihoods of the
community
(b) Standardizing Processes
While some features of the GRM will be included in the first phase of MIS rollout at the
Woreda level, KAC will continue to undertake its task as before. PSNP IV GRM manual sets
out standard for the process as; uptake of complaints, investigate and resolve and M&E and
feedback. To further strengthen and standardize this process, the detail should be considered
in each step
• Uptake: Kebele must assign date for receiving complaints and inform community
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o DA receives complaints, gives on the spot responses for misinformation

o DA records complaint using standardized templates to log the complaints
o DA gives acknowledgement slips with unique identifier number (detachable/tear-
off receipt on the GRM Form which bears a unique identifier also found on the
form.
o DA categorizes complaints according to type
• Investigation: KAC members convene on the regular meeting date set a

o 50% + one members of the KAC must be available to resolve complaints
o Minutes of each meeting recorded
o Each logged complaint heard by the KAC members and discussed and resolved
o If investigation (field visit) is needed, DA and KAC members assign another date
for investigation. This call for another meeting with KAC members to give
resolution (or the DA and the KAC member that investigate can give decision?)
• Notification of resolution: KAC is required to notify the Kebele and Woreda councils
as well as the grievant on the decision within four weeks of the grievances received.
o Resolution is posted for the public at the Kebele and Woreda level (what about for
transparency and right based complaints?)
o Date assigned for DA to give explanation for grievant that seek further
explanation on the resolution of the complaint and if grievant does not agree with
the decision DA informs the right for escalating the complaint.
o Given grievant request for escalation of the complaint, DA use a standardized
template to refer the complaint to the kebele/woreda councils, attach a copy of the
original complaint form and pass it to the Kebele/Woreda Council and provides
grievant acknowledgment slip of the escalated complaint.
o DA submits list of complaints to the Kebele/Woreda council
- Resolved complaint with negative outcome and uncontested/accepted by the
grievant is considered closed.
- Resolved complaint with negative outcome and contested by the grievant are
escalated to the Kebele/Woreda and would still require follow up by the KAC
so final resolution could be provided to the grievant
- Complaints that are beyond the KAC are escalated to the Kebele/Woreda
Councils and require follow up by KAC to give resolution to grievant
- Resolved complaints with positive outcome and need woreda approval (if it
involves budget) would still require approval/validation from the woreda
followed by implementation thus cases are still considered open and will only
be closed until implementation.
(c) Standardizing Templates
Standardized templates should capture the details needed for when it is entered into the MIS.
• Uptake/registering template
• Acknowledgement slip
• Minute template
• Referral template/for escalated complaints
• Template for listing of complaints to be submitted to the kebele/woreda
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Section IV
PSNP Grievance Redress Mechanism Manual (To be developed)
PSNP GRM Manual should outline operating procedures and structures, guidelines,
flowcharts and performance standards detailing how the grievance redress process should
unfold and how it will be monitored and reported within the PSNP GRM. It should be short
and prescriptive to be used as reference.
1. Introduction
1.1 PSNP
In 2005, the Government of Ethiopia (GoE) launched the Productive Safety Net Program
(PSNP). It provides predictable safety net support to 8 million chronically food insecure
people in chronically food insecure rural areas in exchange for participation in public works
(PW) or as direct support.
1.2 Grievance Redress Mechanism (GRM) and PSNP GRM
Grievance is concern or complaint raised by an individual or a group within communities

affected by program/project operations. Grievance Redress Mechanism (GRM) is an effective
tool of early identification, assessment and resolution of complaints, concerns, and
environmental and social risks that may be associated with a project and sub-project activities
throughout the designing, implementation and monitoring phases
As a safeguard requirement for the successful implementation of the PSNP and to establish
program site specific GRM that ensures effective and efficient procedure for program
affected parties to settle their complaints and grievances, GRM was integrated in the PSNP
IV.
1.3 Objective of PSNP GRM manual
The PSNP GRM Manual is prepared to serve as a resource material to provide awareness for
PSNP frontline implementers in general and KAC members in particular. It presents detailed
grievance management procedures such as standardized references for processes, decision
making, roles and responsibilities of the grievance system across the program implementation
locations. The GRM shall integrate the principles of environment and social management;
Proportionality, Accessibility and Simplicity, Flexibility, Consistency and Fairness, Shared
Responsibility, Transparency and accountability, Cultural Appropriateness, Social Inclusion
in the day to day working practices.
1.4 Scope of PSNP GRM
The scope of the PSNP GRM shall be applicable to all complaints arising from the project
and subproject activities and implementations from program clients and non-clients. It shall
also be extended to receive, file, investigate and resolve and/or refer issues related to
environmental and social impacts/risks caused by the project activities.
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2. PSNP GRM Actors
2.1 Kebele Appeals Committee (KAC)
It is local level PSNP focused core GRM structure that is set up to hear and resolve appeals
regarding the program in a timely and impartial manner from all project affected parties
(program clients or non-clients). KAC is established in all project kebeles.
(a) Formation and Membership
The KAC as the local body that hears complaints, is to be independent from the individuals
and committees responsible for aspects of implementation. Thus, no member of the KAC
should also be a member of the kebele Food Security Task Force (KFSTF) or the Community
Food Security Task Force (CFSTF).
KAC Membership is comprised of:
• 1 elected Kebele Council member (not the Chairperson)

• A Development Agent
• 1-2 members of the community care coalition (if existing in the kebele)
• A Health Extension Worker or Volunteer Community Health Worker
• Social worker (if represented in the kebele)
• 2 elder representatives (1 female)
(b) Roles and Responsibilities of KAC
• Receive and record the submitted complaints through any means of communication
(oral, written).
• Investigate the submitted complaints, resolve the issues or refer to the next mandated
body if it is beyond their capacity.
• Submit a complete listing of appeal cases by sex of appellant, appeals resolutions, and
unresolved appeals to the Kebele Council each quarter
• Convene within one month of the establishment of a new annual listing of clients to
hear appeals submitted in their jurisdiction and to resolve a minimum of 95 percent of
these cases within one month
2.2 Kebele Council
• Assist in establishing and ensuring effective operation of the Kebele Appeals

Committee
• Review unresolved appeals from the Kebele Appeals Committee and forward them to
the Woreda Council and the WAO every quarter
• Forward list of grievances, their resolutions and any unresolved cases to the Woreda
Council for their resolution.
2.3 Woreda Council
• Assist in resolving unresolved appeals submitted to them by the kebele council and
share the outcomes of these appeals cases with the WFSTF.
• Work with kebele councils to ensure that up-to-date listings of clients are posted in
public locations at woreda, kebele levels
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• Work with Kebele Councils to ensure that up-to-date listing of appeals and appeals
resolutions are posted in public locations at woreda, kebele and community levels.
• Approve the use of the woreda contingency budget (including for use to respond to
successful targeting appeals)
2.4 WFSD
• Provide guidance to the formation of the Kebele Appeals Committees

• Support awareness creation activities.
• Monitor the functionality of KAC
• Collect and report the PSNP related GRM performance activities in the woreda
2.5 KFSTF
• Provide KACs with the necessary documentation and information they required for
investigation of complaints
• Implement KACs decisions which approved at woreda level and communicated to the
kebele for its implementation
2.6 WFSTF
• To strengthen KACs functionality plan capacity support development for KAC

members
• Take immediate action on implementation of approved KAC decisions.
3. PSNP GRM Procedure
3.1 KAC Meeting
The Committee meets every 4 weeks under the auspices of the Kebele Council. One of these
meetings will be convened within one month of a new annual listing of PSNP participants
being produced to hear appeals related to the client selection process. During these meetings
all individual complaints and appeals regarding PSNP matters will be heard, considered and
as much as possible resolved.
3.2 Steps in PSNP GRM
3.2.1 Grievance Collection
The PIM states that grievance hearing process should not be as formal as the normal court
system.
• Program affected party present complaint or concern to KAC.

• KAC member receive grievance either orally or in writing using a standard format
(Annex uptake format) and give acknowledgement slip (Annex acknowledgement
format)
o Oral complaints are recorded on a standardized intake form; KAC member then
explains what he or she has written, and the complainant provides a signature to
confirm that it is correct.
• Sort the grievance documented according to type, category and urgency
• Give on the spot resolution if possible
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3.2.2 Grievance Investigation
• Investigate the grievance using the documented appeal submitted as an input, collect
all supportive evidences through site visit (as needed),
• Investigate the grievances, through collecting all supportive evidences as well as site
visit, community consultation, and document review (PIM, manual, asset assessment
document) as needed
• Record the investigation process (where? Another format like minute keeping
format??)
3.2.3 Decision Making
• Members discuss on the findings of the investigation and reach to a resolution.

• Decision making sessions must include a minimum of 50% + 1 members
3.2.4 Monitoring and Evaluation
• Following each meeting, the KAC will submit a complete listing of grievance cases,
grievance resolutions and unresolved grievances to the Woreda Council and Woreda
Rural Development Office
3.2.5 Notification of Decisions
• Decision is announced by posting on public notice boards that are accessible by the
wider community in the kebele this increase public awareness of their rights and
responsibility in PSNP and raising public confidence on the service providers.
• Given the grievant is not satisfied with the decision reached, KAC is responsible to
notify the grievant the right to escalate it to the Woreda (What is the referral system?)
• Sign off/Close out
4. Documentation
Record all grievances at all steps serves as a database for future reference and monitoring
over the status of decisions made.
Proper documentation also helps the committee to further refer the case given the case is
escalated by the grievant or if the grievance is beyond KAC’s capacity to resolve.
5. Stakeholder Engagement
The Kebele Council, CFSTF and Kebele Appeals Committee members will use every
opportunity to inform PSNP clients and non-clients of the availability of the appeals
mechanism, how it functions, and the timing of Kebele Appeals Committee meetings.
223
6. Monitoring and Reporting of PSNP GR Related Activities Accomplishment

Program exit and entry
Exclusion from the PSNP
programme Appeal Category 1 KAC KC/WC WFSD/FSTF
Inclusion of non-poor
community members
Unjustified exit Appeal Category 1 KAC KC/WC WFSD/FSTF

/graduation
Payments
Missed payment/transfer Appeal Category 1 KAC KC/WC WFSD
Delay in
Implementation Category 2 KAC KC/WC WFSD
payment/transfers
Incomplete Category 1 KAC KC/WC WFSD/FSTF

payment/transfers
Deduction of
payment/transfers by Transparency
implementers
Public Work
Neglect to standardized
work norm (Schedule, Implementation Category 2 KAC KC/WC WNRMD
location, leave)
Implementation Category 2 KAC KC/WC WNRMD
PW workload on women
Implementation Category 2 KAC WC WNRMD
Occupational hazards
Dissatisfaction with the Program Design Category 2 KAC KC/WC WNRMD
selection of youth in
beneficiary households to
work as community
facilitators
Mis categorization of
households as able
bodied to participate in
PW
Livelihoods
Exclusion from
livelihoods transfers Appeal Category 1 KAC KC/WC WFSD/FSTF
Provision of livelihoods
trainings at inconvenient Implementation Category 2 KAC KC/WC WFSD/FSTF/W
time/place for women
Extension Desk
GBV
Physical or verbal abuse
in the context of PSNP Transparency Category 1 KAC KC/WC
implementation (work or
payment site)
224

Others
Replacement/reissue of
client card Appeal Category 1 WC WFSTF Regional FSTF
Nepotism/bias/unfair KAC
Transparency Category 1 WC W/K FSD/
treatments/discrimination
FSTF
and unequal opportunities
by implementers
Inappropriate selection Category 2 KAC KAC

Program WoLSA
criteria of clients/mothers
Operations
who participate in the
ECD center as caretaker
Community Level
Grievances
Inadvertent risk
Disturbance of
environmentally sensitive Program Design Category 2 KC/WC WPWTC Federal FSCD
areas, wildlife habitats
and downstream
ecosystem
Earth moving that might Program Design Category 2 KC/WC WPWTC Federal FSCD
disturb and destroy the
cultural heritage
Health risks from agro-
chemicals and medical Program Design Category 2 KC/WC WPWTC Federal FSCD
wastes of project related
constructions
Mismatch between Program Category 2 WC RFSTF/RFSB Federal FSCD
targeting system Operations
developed and social
structure of the
community
Grievances related to
Category 2 WC RFSTF/RFSB Federal FSCD
inappropriate food
Program Design
(quality and type) being
delivered RFSTF/RFSB
Inconsistencies between Category 2 WC FPWCU

PW and the lifestyle and Implementation
livelihoods of the
community
7. Annex
7.1 Uptake format

7.2 Acknowledgment format
7.3 Meeting Minute format
7.4 Format for listing of Grievances to be submitted to KC/WC
7.5 Format for notification of decision to be posted in public
7.6 Referral format for escalated complaints
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7.1 Uptake format

Productive Safety Net Programme (PSNP) Complaints and Updates Form
Food Security Coordination Directorate (FSCD)
SECTION A: Household Information (Mandatory For Updates and Household-Specific Complaints Only)
• PSNP Client Card • First Name: • Father’s Name:
ID
• Grandfather’s
• Kebele: • Community:
Name:
SECTION B: Household-Specific Complaints

• Appeal • Targeting • For use by KAC:
Recertification Successful
Rejected
Escalate
Livelihoods Transfer PW
Work Capacity
• Payment • Missed Payment 17. Comments (from DA or KAC):
Wrong
Amount
• TDS • Request TDS

Status Extend
TDS Status
Dispute End of TDS Status

• Request
Replacement Client
Card
SECTION C: Program Implementation and Program Design Complaints. These Cases can be filed
anonymously; Section A can be left blank.
NOTE: A full complaint report should be recorded separately and provided to the KAC for review and
forwarding to the Woreda. The case will be tracked against the Form No. provided to the person filing the
complaint. The Form No. should therefore be referenced in the separate record and all subsequent reports.
• Implementation • Targeting Payment Recertification PW
Quality (Resolved PDS TDS Exit Livelihoods Graduation
by K/WAC) Other
• Program Design • (For use by KAC): Resolved Escalated

(to be escalated to Recategorized as Program Design Case
Region
• Date Complaint • Date of KAC

Made Review
(dd/mm/yyyy): (dd/mm/yyyy):
DA Name (First, Father, Grandfather): Other KAC Member Name (First, Father, Grandfather):
DA Signature: Other KAC Member Signature:
This portion to be detached and retained by the person filing the complaint. Form No. can be used as a tracking
number for this case Form No. 123-456-7891011-1
Date Complaint Collected
DA Name (First, Father, Grandfather):
(dd/mm/yyyy):
Type of Update/Complaint:
Date of Expected Resolution: • DA Signature:
(dd/mm/yyyy):
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Annex 16: Stakeholders’ Engagement Plan
1. Introduction
1.1 Project Background
the Productive Safety Net Program (PSNP5). Environmental and social issues related to the
proposed project will be assessed using the World Bank’s Environmental and Social
Standards (ESS) set out under its new Environment and Social Framework (ESF). One of the
Standards - ESS10 - relates to stakeholder engagement. This report identifies SEASN’s
stakeholders and the arrangements for the government’s engagement with them during
project preparation as well as implementation. It will also provide a summary of the project’s
information disclosure plan and grievance redress mechanism (GRM) and its associated
activities.
SEASN’s Project Development Objective (PDO) is to expand geographic coverage and

enhance service delivery of Ethiopia’s adaptive rural safety net to improve the well-being of
extremely poor and vulnerable households in drought-prone communities. Below is a
description of the project components.
• Component 1: Adaptive Productive Safety Net. This component will provide labor
intensive Public Works (PW) opportunities for selected rural poor households in
drought-prone woredas; support a mother and child package of early childhood
development services targeted for selected PW participants in temporary direct
support status; safety net transfers; and complementary Livelihoods (LH) services for
client households .
• Component 2: Improved Shock Responsiveness of the Rural Safety Net. This
component will support the expansion of PSNP to additional drought-prone woredas
in PSNP regions, invest in underlying systems to deliver timely and adequate
assistance to households affected by drought shocks, and finance vertical and
horizontal expansion of transfers in case of emergency (drought).
• Component 3: Program Management Support. Activities in this component aim to
consolidate several important initiatives to build systems under previous phases of the
PSNP. This will enhance service delivery in the areas of payments, information for
operations, and program dynamism and responsiveness to beneficiaries, including
taking advantage of technology to improve the program’s efficiency and governance.
The proposed project is being prepared under the World Bank’s Environment and Social
Framework (ESF). As per ESS 10: Stakeholders Engagement and Information Disclosure,
implementing agencies should provide stakeholders with timely, relevant, understandable and
accessible information, and consult with them in a culturally appropriate manner, which is
free of manipulation, interference, coercion, discrimination and intimidation. To meet best
practice approaches, the project will apply the following principles for stakeholder
engagement:
• Openness and life-cycle approach: public consultations for the project will continue
during the whole project lifecycle from preparation through implementation.
Stakeholder engagement will be free of manipulation, interface, coercion, and
intimidation;
227
• Informed participation and feedback: information will be provided and widely

distributed among all stakeholders in an appropriate format; conducted based on
timely, relevant, understandable and accessible information related to the project;
opportunities provided to raise concerns and assure that stakeholder feedback is taken
into consideration during decision making;
• Inclusiveness and sensitivity: stakeholder identification is undertaken to support
better communications and building effective relationships. The participation process
for the project is inclusive and the stakeholders are always encouraged to be involved
in the consultation process. Equal access to information is provided to all
stakeholders. Sensitivity to stakeholders’ needs is the key principle underlying the
selection of engagement methods. Special attention is given to vulnerable groups,
particularly women headed households, youth, elderly and the cultural sensitivities of
diverse ethnic groups.
The environmental risk of the Project is Substantial. Although the PW subprojects are aimed
at enhancing the environment and increasing the productive capacity of the natural resource
base, they also have the potential for adverse environmental impacts on human populations
and/or the biophysical environment if their location, design or construction do not follow
good environmental practices. Based on the experience of the previous phases of the PSNP,
these environmental risks, without an ESMF, could arise from site-specific impacts such as
(i) disturbance of environmentally sensitive areas or downstream ecosystems by soil-and-
water conservation (SWC) subprojects, including flood control, which, despite being
intended to improve the environment, might be badly designed or sited; (ii) vegetation
removal, erosion or pollution caused by poorly designed or located social infrastructure such
as community roads or health posts; (iii) salinization, water logging or pollution resulting
from small-scale irrigation subprojects including the use of agro-chemicals; (iv) disruption of
downstream ecosystems or water flows by water subprojects. Furthermore, the expansion of
PSNP5 to the lowlands which could be fragile and the potential for community water
development subprojects can make the environmental risk substantial.
The social risk is assessed as Substantial. While the potential direct social impacts of the
Public Work and Livelihoods components will be generally site-specific and manageable,
those associated with entire communities such targeting issues, the delivery of transfers and
reallocation of case-load are less easily addressed, and given the large scale of the project,
could prove significant. This assessment of the potential for Substantial negative social
impacts takes place within the context of developments in recent years in Ethiopia that have
seen an increased level of political turmoil, including a significant rise in social unrest and
inter-ethnic conflict.
1.2 Purpose of the Stakeholders Engagement Plan (SEP)
This SEP aims to:
• Establish a systematic approach to stakeholder engagement that will help SEASN

project implementers identify stakeholders and build and maintain a constructive
relationship with them, in particular project affected parties.
• Assess the level of stakeholder interest and support for the project and to enable
stakeholders’ views to be taken into account in project design and environmental and
social performance.
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• Promote and provide means for effective and inclusive engagement with project-
affected parties throughout the project life cycle on issues that could potentially affect
them.
• Ensure that appropriate project information on environmental and social risks and
impacts is disclosed to stakeholders in a timely, understandable, accessible, and
appropriate manner and format.
• Define roles, and responsibilities for implementation of the SEP
• Define monitoring and reporting measures to ensure effectiveness of the SEP
• Provide project-affected parties with accessible and inclusive means to raise issues
and grievances and allow project implementers to respond to and manage such
grievances.
2. Brief Summary of Previous Stakeholder Engagement Activities
SEASN follows a series of World Bank-project phases that, since 2005, have supported the
GoE’s rural Productive Safety Net Program (PSNP). Over the past fifteen years, PSNP has
embedded regular consultations with its various stakeholders into its programming. The
below table lists those consultations that have recently taken place and affected SEASN
project design. The dynamics of COVID-19 transmission and the recently imposed State of
Emergency (SOE) aiming to address it via social distancing measures has restricted some of
the planned consultations. Therefore, the environment and social planning process relied on
prior consultations and the consultations conducted at the early stage of the pandemic with
relevant government officials.
Table 1. List of Recent Consultations that SEASN’s Design Takes Into Account
Consultation Description Modality Frequency Impact
PSNP5 Design Discussion between Workshop September Consolidated decision to
Workshop government and donor partners 2019 shift program focus to
to improve program design for extreme poverty, instead
PSNP5 of food insecurity
Federal and Consultation for federal and National Bi-Annual Highlighted timeliness of
regional Joint regional PSNP government and payments as a key issue
Review & stakeholders as well as donor regional to tackle for PSNP5
Implementation partners to discuss various meetings (proposed PBCs for
Status (JRIS) aspects of program SEASN)
performance
Impact Discussed and presented Workshop January 2019 Highlighted program
evaluation findings of 2018 impact implementation and
workshop evaluation impact gaps in specific
areas, including
timeliness of payments,
nutrition
Timeliness of Discussion between Workshop October 2019 Joint government and
payments government and donor partners donor partner decision to
workshop to improve persistent introduce new/innovative
challenges around timeliness of solutions and resulted in
payments the introduction and roll-
out of automatic
payments.
PIM Brought together governmental Workshop November Build consensus around
consultation representatives from FSCD, 2019 changing aspects of
NDRMC and regions to PSNP design to facilitate
229
Consultation Description Modality Frequency Impact

improve PIM for frontline operational efficiency
implementers so that it is more
operational and modular, and
provides more clarity on
processes and upcoming design
changes of PSNP5.
Early Warning Discussion between Workshop October 2019 Presented preliminary
System – government, donor partners options to improve the
Scalability and stakeholders on the early warning system to
Workshop preliminary findings from the better meet information
review of the national early requirements to enable
warning system. early and scalable food
and cash response.
Technical Discussion among working Meetings Bi-weekly Inputs are consolidated
Working groups comprised of into log frame for PSNP5
Groups government and development design.
partner experts on specific
subject areas – livelihoods,
public works, payments, shock
responsive safety net, social
and gender development,
program management, etc.
3. Stakeholder Identification and Analysis
This stakeholder analysis identifies and determines the likely relationship between the project
and its various stakeholders. Stakeholders are those directly or indirectly affected by a
project, as well as those who may have interests in a project and/or the ability to influence its
outcome, either positively or negatively. Stakeholder analyses help to identify the
perceptions, interests, needs, and influence of actors on the project. ESS10 classifies
stakeholders in two broad categories: “Project-affected parties” (PAPs) and “other interested
parties”. Within these categories, persons or groups may be categorized as especially
disadvantaged or vulnerable.
Project-affected parties: persons, groups and other entities within the project area of
influence that are directly influenced (actually or potentially) by the project and/or have been
identified as most susceptible to change associated with the project, and who need to be
closely engaged in identifying impacts and their significance, as well as in decision-making
on mitigation and management measures. Table 2 provides a list of key stakeholder groups
identified as project-affected parties.
Other interested parties: individuals/groups/entities that may not experience direct impacts
from the project but who consider or perceive their interests as being affected by the project
and/or who could affect the project and the process of its implementation. Table 3 provides a
list of key stakeholder groups identified as other interested parties.
Disadvantaged or vulnerable groups: persons who may be disproportionately impacted or

further disadvantaged by the projects as compared with any other groups due to their
vulnerable status, and that may require special engagement efforts to ensure their equal
representation in the consultation and decision-making process associated with the projects.
Table 4 provides a list of key stakeholder groups identified as disadvantaged or vulnerable.
230
Table 2. Description of the Project-affected Parties

Name of Description Issues Significance
Stakeholder Level
Community/kebele level
PSNP Core Public Works beneficiaries Due to lack of access to information of High
beneficiaries program provisions (PIM, GSD), many
lack a clear understanding of their rights
and responsibilities in regard to targeting
and exit criteria, work norms, transfer
schedule. Should have awareness about
GBV/SEAH and its related complaint
handling, GRM
Temporary Direct Support Due to lack of access to information on High
beneficiaries program provisions (PIM, GSD), hesitate
to request time off from PW activities or
lack confidence to request their
entitlement without participating in PW;
are unaware of existence of GRM or may
lack confidence in the GRM body (KAC)
to present their appeals
Permanent Direct Support Due to lack of access to information on High

beneficiaries program provisions (PIM, GSD), lack
confidence to complain about the delay or
reduction of their PSNP entitlement; are
unaware of existence of GRM or may
lack confidence in the KAC to present
their appeals; may lack awareness on
GBV/SEAH issues and its related
complaint handling procedures.
Due to mobility issues, may require
assistance collecting payments, and
accessing relevant social services
including health/CBHI, nutrition and
education services for dependents.
PSNP Those targeted through the Low access to information regarding who High
Emergency horizontal scaling up of PSNP is entitled to benefits, its duration, and the
response to enable them to withstand transfer amount. May be unaware of
beneficiaries shocks existence of GRM or may lack confidence
(HFA) in the KAC to present their appeals,
PSNP Beneficiaries included in May lack access to information on their High

Woreda program through use of entitlements and the duration of their
contingency contingency budget because benefits, what conditionalities are
beneficiaries they: a) have successfully expected from them, and the GRM and
appealed for their inclusion complaint procedures for GBV/SEAH.
into program; b) are affected
by small-scale localized
shocks; c) are mothers of
families of children enrolled in
emergency nutrition programs
Waitlisted - Community members who are May lack access to information on the High
potential pursuing GRM or waitlisted basic principles and operational
beneficiaries for PSNP procedures of the program including
targeting and exit (time, criteria), transfer
(schedule/timeliness, amount, mode of
transfer); correct GRM procedure for
filing an appeal and following up; may
lack awareness of what GBV/SEAH
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Stakeholder Level
violations are and how to file a complaint.
Development Responsible for coordinating May not have access to the guidelines and High
Agents and implementing all PSNP- procedures needed for properly planning
(DAs) related activities in kebeles PW, livelihoods, GSD and nutrition
activities and facilitating payments and
linkages to social services for
beneficiaries.
Due to lack of a clear procedure for the
confidential management of GBV, DAs
may not properly manage GBV-related
issues.
Community Those who live in the May be unaware of the program’s GRM Medium
members watershed and benefit from the
affected by improved physical
PW environment as a result of PW
activities
Youth in Selected youth may serve as Require training on their assigned support High
PSNP community facilitators tasks, the program’s GRM, and the nature
kebeles (assistant to the DAs) of GBV/SEAH violations and their
related complaint procedures.
Kebele Food Responsible for targeting May lack access to guidelines on the High
Security beneficiaries appropriate inclusion and exit criteria for
Task Force program. Due to lack of awareness or
(KFSTF) accountability regarding the boundaries of
their role, may not forward grievances to
the KAC. Lack of awareness regarding
the nature of GBV/SEAH violations may
expose potential beneficiaries to risk.
Kebele Manage all grievances related Lack stationary to record complaints, do High
Appeals to PSNP not have an assigned office space. May
Committee lack access to procedures and guidance on
(KAC) how to resolve specific types of
grievances.
Due to lack of a clear procedure for the
confidential management of GBV, KAC
may not properly manage GBV-related
issues.
Kebele Need to support KAC by In some areas, lack of capacity has High
Council reviewing GRM prevented the Kebele Council from
recommendations and supporting the PSNP’s GRM as expected.
communicating with the
Woreda Council
Health Deliver SBCC consultations to Overburdened with other health projects, High
extension PW beneficiaries and not specifically incentivized to work
workers on PSNP. Absent in lowland areas.
(HEWs) Should they receive GBV/SEAH related
complaints from PSNP beneficiaries, may
not be aware of the correct procedure to
manage them.
Kebele Will support the planning, Need to know which linkages are relevant High
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Stakeholder Level
Women implementation and to the different types of PSNP clients and
Development monitoring of gender and how to facilitate referrals; have awareness
Army GBV issues related to the of GBV/SEAH violations and the current
program. Will be part of KAC procedures for handling complaints
to address GBV issues through related to them
the GRM
Community Support linkages of relevant In areas where they exist, may be weak High
Care PSNP clients such as TDS and because they are a voluntary group.
Coalitions PDS to available and relevant
(CCC) and social services like health,
associations nutrition, education
for elderly
and persons
with
disability
Woreda level (in previously PSNP woredas, former Humanitarian Food Assistance (HFA) woredas,
and split woredas)
* Woreda level program operators include government (285 woredas), WFP (45 woredas in Somali),
and NGOs (53 woredas)
WoA FS Lead overall coordination of In some woredas, overlapping High
desk the PSNP planning, responsibilities and weak coordination
implementation and between FS desk and DRM/EW, resulting
monitoring in woreda in duplication of efforts.
EW and Lead the timely collection and In some woredas, overlapping High
Response communication of woreda responsibilities and weak coordination
desk level EW data for accurate and between FS desk and DRM/EW, resulting
timely early warning in duplication of efforts.
information.
Oversee the provision of In some areas, low capacity of WOLSA High
WOLSA linkages to social services for affects implementation of PDS case
PDS and TDS beneficiaries management (although available at the
and facilitate case management woreda level, may not reach kebele
Upon request, need to be easily)
available to dispense guidance
on labor-related grievances
submitted to the KAC.
May collaborate with Women,
Children and Youth Affairs
desk in Office of Agriculture,
which will take the lead to
address issues related to
gender mainstreaming and
GBV
Women, Will oversee implementation

Children and reporting on gender and
and Youth GBV. It will also collaborate
Affairs desk with WoLSA on child labor
in related issues.
Agriculture
office
Office of Depending on capacity at Need to be familiar with program High
Women, woreda level, will advise on objectives and activities, as well as
Children gender mainstreaming in the safeguards. Has not previously engaged
and Youth project planning and with PSNP.
Affairs implementation, and consult
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Stakeholder Level
on issues related to gender,
GBV, children and youth
Woreda Technically responsible for Are not well integrated into PSNP High
Health mainstreaming of nutrition activities; PSNP overlaps with a lot of
Office component of the program hotspot woredas and Woreda Health
Offices are busy managing emergencies
Woreda Support KACs by reviewing In some areas, due to lack of knowledge
Council their recommendations for or capacity, has not engaged in the
GRM and forwarding their management of the PSNP GRM to level
decisions to the WoA FS desk of responsibility assigned in the PIM.
Finance Oversee the financial High
Office management of PSNP in
woreda, responsible for timely
preparation of payroll and
disbursement
WFP Implement PSNP in 45 High
woredas in Somali, implement
humanitarian responses,
support food management
NGOs Provide transfers and oversee Need support from donors and High
public works across 53 government bodies to discharge their
woredas. Supported by responsibilities
USAID.
Coordinate with government
woredas and share experience
regarding implementation of
GSD and nutrition and
livelihood components.
Regional level
BoA - Coordinates annual High

Regional FS implementation plans and
budgets for the region, support
training and capacity buildings
for woredas, print and
distribute client cards
BoA - NRM Approve and monitor PW High
activities
BOLSA Responsible for ensuring High
compliance with labor and
social standards
Bureau of Ensure suitable accounting High

Finance system for regional and
woreda levels is established;
collect, aggregate, and report
on all financial data from
BOLSA, BOA, woredas
EW and Transfer EW data to the High
Response federal level on a monthly
Directorate basis, coordinate humanitarian
interventions
BoWCYA Oversee gender, children, and Need to be familiar with program High
youth issues mainstreaming in objectives and activities, as well as
the project planning and safeguards. Has not previously engaged
implementation with PSNP.
234

Stakeholder Level
BoH Technically responsible for High
mainstreaming of program’s
health and nutrition
component.
Federal level
MoA- FSCD Responsible for program’s High
overall coordination,
implementation, and
monitoring
MoA - NRM Responsible for program’s High
community asset building
component and ensure full
functioning of regional
substructures
MoA- Responsible for overseeing High
Women, and monitoring of GBV. It
Children, and will also collaborate with
Youth MoLSA on child labor
Affairs related issues
NDRMC Ensure full functioning of Government has issued directive High
key systems such as early revising institutional arrangement for
warning and needs emergency response, which has yet to be
assessments operationalized.
MoF Responsible for program’s High
overall financial
management, and transfer of
funds to BOFEDs, FSCD
MoLSA – Responsible for coordinating High
Social with the regional
Affairs substructure to provide
Directorate, necessary training and
Women support to enable the
Affairs monitoring of social
Directorate safeguards of SEASN –
OHS, GBV, child labor – as
well as the tracking of labor-
related grievances submitted
to the program GRM
MoH Responsible for overseeing of PSNP works with the Nutrition Case High
nutrition mainstreaming, Team but to be effective, needs to
coordinating with regional collaborate with other MoH directorates
substructure to provide such as the Health Extension Directorate.
necessary training and support Need for MoU to be signed at a
to enable the delivery of health ministerial level.
services
Jobs Engages in design of High
Creation livelihood component
Commission
E-payment Provide technological service Dependent on network to facilitate High

providers to speed up cash transfer payments.
payment
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Table 3. Description of Other Interested Parties

Name of Description Significance
Stakeholder Level
Ministry of Provide policy direction and technical guidance on issues related to the High
Women and welfare of women, children and youth.
Children
Affairs
Ministry of Regulatory agency for the management of environmental and social issues High
Environment, associated with the implementation of subprojects.
Forest and
Climate
Change
Donors Development partners who co-finance the PSNP. High

Media May report on impacts of PSNP to the general public. High
Water, Roads, Provide technical backstopping to ensure quality PW implementation. Medium
Education
Financial Third party payment service providers. Medium
Service
Providers
ESAP Coordinates ESAP at the federal level, comprised of government, civil Low
Steering society, and DPs.
Committee
Table 4. Disadvantaged and Vulnerable Groups
Name of Stakeholder Issues Significance
Level
Sub Saharan African Includes pastoralist communities. Project interventions High
Historically Underserved may have unintended consequences on their
Traditional Local communities.
Communities
Pregnant women and lactating May be forced to engage in PW. High
mothers
Women in male-headed and May experience GBV/SEAH at home, or on their way to High
female-headed beneficiary PW site or payment collection.
households
Polygamous households Co-wives and their children are dependent on one male High
household head and may therefore be treated (irrespective
of the number of dependent children each of them has) as
one family during the targeting for PSNP.
The elderly May have challenges accessing payments. High
Disabled/persons affected by May have challenges accessing payments. High

chronic diseases/bedridden
Children May be exposed to harm when taken to PW sites by their High
caretakers or left at home alone when parents are
performing PW. May be withdrawn from school to attend
PW.
Protracted IDPs May be excluded from project interventions despite High
vulnerability.
4. Stakeholder Engagement Plan
Stakeholder engagement activities need to provide specific stakeholder groups with relevant
information and opportunities to voice their views on topics that matter to them. PSNP is a
highly interactive program, and beneficiaries have frequent opportunities to interact face to
236
face with program implementers (for example, during PWs, SBCC consultations, livelihood
consultations, and transfer pickups). Taking into account the large-scale directly affected
population (approximately 8 million), and the fact that the project will extend support to
‘new’, currently excluded, woredas as well as re-allocate the caseload geographically, the
SEP will capture the views of sample communities in:
• Existing PSNP-supported woredas where no significant caseload changes are planned;

• Existing PSNP-supported woredas where caseload re-allocation is planned;
• ‘New’, currently excluded woredas in PSNP regions where the PSNP will be
introduced for the first time.
The SEP will pay particular attention to:
• any historically underserved traditional communities affected, to ensure that services

provided will be appropriate;
• especially vulnerable and disadvantaged groups, including the elderly, persons with
disabilities, female-headed households, orphans and vulnerable children;
• Neighboring communities that might be directly or indirectly affected by the project.
Due to the Covid-19 pandemic, consultations that were scheduled to take place prior to
appraisal have been postponed. Following the lifting of State of Emergency, additional field-
based consultations will be made in selected new and old woredas to verify the early results
and update the instruments.
Table 5 outlines the consultations scheduled to take place during project implementation.
237
Table 5: Planned Stakeholder Engagement Activities

Consulting/ With Whom Frequency Channels of Engagement Purpose
Entity Engagement Methods
Targeting
CFSTF Community Every 2 years for large Community Community Full retargeting, partial retargeting - To ensure inclusion
(Community scale retargeting of core committee meeting of poor and vulnerable PAPs in program
Food Security caseload, and annually
Task Force) for minor adjustments; Through posting of
and as required for client lists
targeting of transitory
clients
KAC/ESAP in Community After each Through availing GRM/ Through To hear any complaints regarding targeting inclusion
select targeting/program exit the service of KAC hearing of and exclusion.
communities exercise and to Community grievances of To receive, respond or escalate to other complaints
periodically thereafter following listing of any appellant regarding PSNP implementation
client list.
Kebele Food Community At the beginning of the Community General Community To discuss and verify the results of the targeting
Security Task program and Assembly meeting processes, as well as the list of eligible households and
Force(KFSTF) every two years. whether they are categorized for Permanent Direct
Support (PDS) or PW, views on project design, target
subproject environmental and social potential risks,
mitigation measures, grievance redress mechanisms and
SEP
Planning for PW
Development Community Annual and every 5 Community Community To request and plan for type of PW required for
Agents (DAs) years gathering and discussion for watershed
discussion. need
identification
and
prioritization
DAs Concerned Annual Consultations with Environmental ESMF for PW
households affected households and social
screening
Social Development
FSCD Disadvantaged and Once Enhanced Social Community For the ESS, this study will be undertaken to ensure
238
Consulting/ With Whom Frequency Channels of Engagement Purpose

Entity Engagement Methods
vulnerable groups Assessment and consultations SEASN meets the needs of all beneficiaries in the
Consultations appropriate manner, with a particular focus on the most
vulnerable and historically underserved populations.
FSCD Beneficiaries and Once Gender Analysis FGDs and KIIs Assess and analyze risk of GBV/SEAH in program and
program and GBV Risk develop risk mitigation measures, conducted during the
implementers Assessment project preparation
Program Review and Monitoring
(*on a sample basis)
FSCD PSNP Beneficiaries Every 2 years Impact evaluation* FGDs and To assess program impacts on beneficiaries.
and implementers at household
regional and woreda surveys
level
FSCD PSNP Beneficiaries Bi-Annual National Spot KIIs and To ensure program operational compliance
and implementers at Checks* household
regional and woreda surveys
level
FSCD Implementers + Bi-Annual JRIS Meetings To monitor progress on results
Regions + Woreda
Donors
FSCD PSNP Beneficiaries Annual PW and Key informant To assess program compliance and results
and implementers at Livelihoods interviews,
regional and woreda Reviews* focus group
level discussions
FSCD PSNP Beneficiaries Annual GRM Review* Key informant To assess functionality and performance of the
and implementers at interviews, program’s GRM
regional and woreda focus group
level discussions
NRMD Community and PW Every two years Public Works Key informant To assess impact of PW interventions
implementers Impact interviews,
Assessment* focus group
discussions
WOLSA Community and PW Monthly Monitoring Visits To assess labor standards on PW sites with regard to
implementers, PW child labor, OHS, and GBV
sites
239
5. Implementation Arrangements for Stakeholder Engagement Plan
The FSCD is responsible for the PSNP’s day-to-day program management, including
environmental and social management and addressing potential environmental and social
risks. MoA-FSCD will be responsible for engaging with stakeholders and managing the
program’s GRM and MoA –Women, Children and Youth Affairs Directorate will also be
responsible for GBV.
Roles and Responsibilities
Previously, FSCD processed the majority of stakeholder engagement activities on an

individual basis, by assigning an available expert to review its terms of reference and oversee
its contracting. Moving forward, FSCD will formalize this role by establishing a Stakeholder
Engagement Focal Person to regularly follow up and track Stakeholder Engagement.
To implement the various activities envisaged in the SEP, the Stakeholder Engagement Focal
Person will need to closely coordinate with other key stakeholders, including other
government agencies and PAPs. The roles and responsibilities of these actors/stakeholders
are summarized in Table 6 below.
Table 6. Responsibilities of Key Actors/Stakeholders in SEP Implementation
Actor/Stakeholder Responsibilities
National level
MoA - Food Security • Planning and implementation of the SEP (lead all related activities)
Coordination • Management and implementation of program GRM
Directorate • Coordination/supervision of contractors on ESCP/SEP activities
• Monitoring and reporting on social performance to GoE and WB
• Assign Stakeholder Focal Person to manage PSNP stakeholder engagement and
monitor the management, resolution, and reporting of grievances by
communicating with the regional GRM focal person
MoA – Women’s • Monitoring of and reporting on issues related to GBV and reported to program
Affairs Directorate GRM.
MoLSA – Social • Sign a tripartite MoU with MoA and MoH for joint coordination, implementation
Affairs Directorate, and monitoring of linkages for the program’s social services component
Women’s Affairs • Monitoring of and reporting on issues related to OHS and child labor, and as well
Directorate as tracking labor-related issues reported to the program GRM
• Collaborate with MoA-WAD on GBV issues and participate in federal taskforce.
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MoH - MCHD • Sign a tripartite MoU with MoA and MoLSA for joint coordination,
implementation and monitoring of linkages for the program’s social services
component
• Provide technical support on the implementation of health and nutrition
provisions of the program
• Monitor and report on SBCC, health and nutrition status as part of the national
nutrition reporting system
Regional level
BoA-FSCD • Inform FSCD of any issues related to their engagement with stakeholders;
• Monitoring and reporting on gender and social development performance to
federal FSCD
• Transmit and resolve complaints caused by the project interventions in close
collaboration with and as directed by FSCD
• Assigns GRM focal person to monitor the management, resolution, and reporting
of grievances. This focal person will be responsible for receiving the list of
appeals and resolutions from the woreda level and transmitting them to the federal
GRM focal person.
• The gender desk in regional BoA will be monitoring issues related to GBV and
reported to the program GRM, to report to FS bureau
BOLSA • Monitoring of issues related to OHS, child labor, as well of tracking of labor
related grievances reported to the program GRM, to report to FS bureau
• Monitoring of progress and status of stakeholders with regard to linkages to social
services, to report to FS bureau
Woreda level
Woreda Food Security • Participate in the implementation of assigned activities in the SEP;
Desk • Provide report on all grievances submitted to the GRM to the Regional GRM
focal person;
• Make available project information (brochures, flyers) and GRM procedures to
the public.
• Provide guidance for the formation of the Kebele Appeals Committee
• Support awareness-creation activities
• In woredas with MIS, input list of grievances and their resolution into the system
• Approve the use of woreda contingency budget
• The women, children and youth desk in office of agriculture will monitor issues
related to GBV and reported to the program GRM, to report to FS bureau. WolSA
will be part of the woreda BoA women, children and youth desk .
Woreda NRM • Regarding Voluntary Asset Donation, along with DA, confirms that the voluntary
asset donor understands the procedure to be followed. Once confirmed, facilitates
the signing and filing of four copies of the agreement (one completed copy is filed
at the Kebele Land Administration Office; one at the DA’s office, one remains
with the donor, and one is filed at the Woreda NR Case team office.)
Woreda Council • Assist in resolving escalated and unresolved appeals
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WOLSA • Raise awareness about program and provide guidance to community structures
(CCCs, associations of elderly and persons with disability)
• Conduct mapping of potential stakeholders for social service linkages
• Upon request, provide guidance to KAC on labor-related grievances submitted to
GRM
• Monitor and report on social safeguards – OHS, child labor. WoLSA will be part
of the woreda office of agriculture Women, Children and youth desk and
collaborate on the implementation.
Woreda Health Office • Plan and implement health and nutrition component of the program
• Jointly (with woreda office of agriculture (WoA)/Food security desk and
WoLSA) implement, monitor and report on SBCC and linkages to social services
component of program
Woreda Women, • Depending on capacity, will advise on gender mainstreaming in the project
Children, and Youth planning and implementation, and consult on issues related to gender, GBV,
Affairs children and youth
Community level
KAC • Receive grievances from PAP

• Provide a listing of the grievances received and their resolution to the Kebele
Council and Woreda Council within two months of the complaint being heard.
Kebele Council • Assist in establishing and ensuring the effective operation of the KAC
• Review unresolved appeals from KAC and forward them to the Woreda Council
and the Woreda Food Security Desk every quarter
• Forward the list of grievances, their resolution and any unresolved cases to the
Woreda Council
DA or KFSTF • Ensures that up-to-date listings of clients and listing of appeals and appeal
resolutions are posted in public locations at woreda, kebele and community
levels.
• With regard to voluntary asset donation, after satisfying him/herself that the
donor is making the donation on a voluntary basis, the DA arranges a meeting
between the donor(s), the DA, the Chair of the Kebele Land Administration
Committee, and the Woreda NR Expert.
PAP • Invited to engage and ask questions about the Project during community
gatherings
• Lodge their grievances using the Grievance Resolution Mechanism defined in the
SEP
Stakeholder Engagement Methods To Be Used
Public/Community Meetings
At the national level, FSCD will organize a project launch meeting for national and regional
stakeholders. At the community level, DAs will organize community gatherings to disclose
relevant project information including information on targeting, environment and social
impacts and the GRM.
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Enhanced Social Assessment and Consultation
The project will conduct consultations to capture the views of disadvantaged and vulnerable
members of the community. Due to the Covid-19 pandemic, consultations that were
scheduled to take place prior to appraisal have been postponed. Following the lifting of State
of Emergency, field-based consultations will be made in selected new and old woredas.
Communication Materials
Written information will be disclosed to the public through a variety of communications

materials, including brochures, flyers, posters, etc. The communications materials will be
produced by the FSCD.FSCD will also create a webpage on the Ministry of Agriculture’s
website, to be updated regularly with key project updates and reports on the project’s
performance. The website will also provide information about the grievance mechanism for
the project’s GRM.
Information Table at the Woreda Level
Information tables at the Woreda Food Security Desk will provide information to local
residents, PAPs and stakeholders on SEASN’s project interventions and contact details of the
stakeholder engagement focal point. Brochures and fliers on various project related social and
environmental issues will be made available at these information tables.
Program Review and Monitoring Surveys
FSCD will organize a number of surveys to assess the quality of program implementation.
These will include: Impact Assessments, PW and Livelihoods Review, GRM Reviews, PW
impact assessment, and GSD and nutrition (see Table 5).
In compliance with the World Bank’s ESS10, a project- specific grievance mechanism will
be set up for the project to handle complaints and issues (see Chapter 8). Detailed
communications materials (specifically a GRM brochure or pamphlet) will be developed to
help PAPs become familiar with the grievance redress channels and procedures. SEASN will
also work to establish an MIS-based GRM to better enable FSCD to capture and track
grievances from submission to resolution and communication with complainants. The initial
effort to resolve grievances to the complainant’s satisfaction will be undertaken by the KAC.
The KACs will provide a listing of the grievances submitted and their resolution to the
Kebele and Woreda Councils, who will then submit it to the Regional GRM focal person for
final submission to the FSCD.
Training, workshops
Trainings on a variety of topics and issues will be provided to FSCD and other relevant
government service providers. Issues covered will include sensitization to targeting, PIM,
environment and PW, livelihoods, FM, labor issues, gender, case management and linkage,
and GRM.
PSNP beneficiaries will receive SBCC consultations to raise awareness about GSD and
nutrition. PW beneficiaries who receive livelihood interventions will also participate in
financial literacy and skills training.
243
Technical skills training courses will be designed and offered to woreda-level stakeholders
(e.g., WOLSA, EW desk, Finance Office etc.), in line with the activities they intend to carry
out as part of the program.
Review
Program biannual review meetings will be organized to provide and collect periodic feedback
on project implementation progress and identify and discuss new and emerging issues.
6. Information Disclosure for SEASN
Disclosing project information is essential for meaningful consultation on project design and
for stakeholders to understand the potential opportunities of the project as well as its risks and
impacts. To enable meaningful consultations with stakeholders, FSCD will disclose the
following information:
• The purpose, nature and scale of the project

• The duration of proposed project activities
• Information from the environmental and social assessment process, regarding
potential risks and impacts of the project on local communities, including:
o Proposals for mitigating risks and impacts
o Potential risks and impacts that might disproportionately affect vulnerable and
disadvantaged groups
o Description of differentiated measures taken to avoid and minimize
disproportionate risks and impacts
• The proposed stakeholder engagement process, highlighting ways in which
stakeholders can participate and contribute during project design and/or
implementation
• The time and venue of proposed public consultation meetings, and the process by
which meetings will be notified, summarized and reported
• The process and means by which grievances can be raised and addressed
To disclose project information widely, FSCD will set up a webpage on the Ministry of
Agriculture’s website. All future project-related social monitoring reports listed in the above
sections will be disclosed on this webpage. An easy to understand guide to the terminology
used in the social reports or documents will be provided on the website. All information
brochures/fliers will be posted on the website. Contact details of the Stakeholder Engagement
Focal Person will also be made available on the website.
Upon disclosure of project information, provision will be made for secure portals where the
general public and concerned stakeholders may submit their comments, observations and
questions regarding the project. For information disclosed through meetings, instant feedback
will be collected through designated rapporteurs who will be available during the meetings.
Participating stakeholders shall also be given freedom to take their own minutes of the
proceedings and share a copy with the rapporteurs.
After the deadline for submission has passed, comments placed in suggestion boxes will be
collected from the sites for consolidation, analysis and inclusion into the project documents.
A summary of how comments were taken into account will be made and shared with the
stakeholders through project implementation inception meetings once concerned authorities
make the final decision on the project.
244
Table 7 provides information on other means of project disclosure.
Table 7. Information Disclosure for SEASN

With Channels of Engagement
Frequency and Timing Purpose
Whom Engagement Methods
FSCD All Once, beginning of National Meetings To launch project

stakeholde implementation project launch and disclose
rs meeting information to
general public
FSCD Regional Once, beginning of Project launch Meetings To launch project
stakeholde implementation meeting and disclose
rs information to
general public
Woreda Communit Throughout Information Fliers, To disclose
and y implementation table brochures, information about
Kebele FS posters, GRM SEASN and its
offices summary GRM to local
communities in
relevant languages
KFSTF/D PSNP Annual throughout GRM Community To ensure
As/ Beneficiar implementation gathering/Fac beneficiaries are
KAC ies/ e to face informed about the
Communit meetings project level GRM.
y
FSCD All During project Project website Key project To disclose
stakeholde implementation updates, information about
rs information SEASN to general
about GRM public
7. Estimated Budget for Information Disclosure
The FSCD, through its Stakeholder Engagement Focal Person, will be responsible for
planning and implementation of stakeholder engagement activities, as well as other relevant
outreach and disclosure activities. In order to ensure successful SEP implementation, a series
of capacity building activities are necessary for which the project has to provide adequate
funding. The stakeholder engagement activities so far mentioned may be part of other project
documents, so it is possible that they have also been budgeted for in other plans.
A tentative budget for the project’s information disclosure is reflected in Table 8. This table
will be updated to include all stakeholder activities, including workshops, trainings, and
program review and monitoring activities.
Table 8: Information Disclosure Activities – Estimated Budget (TBD) (5 years)
Total cost
Stakeholder Engagement Activities Quantity Unit Cost, USD # of years
(USD)
Stakeholder Engagement Focal Person 1 12,000 5 60,000
Information Disclosure
Project launch meeting at national level 1 5,000 1 5,000
Project launch meeting at regional level 8 3,000 1 24,000
Program wide community gatherings on

1 2M 1 2M
project design and GRM (via cascading
245
Total cost
Stakeholder Engagement Activities Quantity Unit Cost, USD # of years
(USD)
through government structures)

Information table and communications
384 5 10,000
materials at woreda
Total 2,099,000
8. Grievance Redress Mechanism
A grievance redress mechanism system is currently in place for the PSNP, and modernizing
this paper-based system through the establishment of an MIS is envisioned under Component
3 of the project: Enhanced Service Delivery. However, until the MIS becomes operational
across all PSNP woredas, the GRM system currently in place will have to be modified so that
it can become accessible to the full range of project stakeholders.
FSCD will be responsible for managing the GRM by assigning a Stakeholder Engagement
Focal Person at the federal level. This focal person will communicate with the regional GRM
focal persons assigned by the Regional BoA, who will receive listings of appeals and their
resolution from the Woreda Food Security Desk, which in turn would have received it from
the Woreda Council, Kebele Council, and KAC. Through this arrangement, FSCD should be
able to address and report on grievances raised at the grassroot level.
8.1 Grievance Resolution Process
Information about the GRM will be shared during the community gatherings, and posters will
be displayed in public spaces such as government offices and health posts. Information about
the GRM will also be posted on FSCD’s webpage.
The overall process for the GRM is comprised of five steps.
Step 1: Uptake. At the Kebele level, project stakeholders will be able to provide feedback
and submit complaints through the KAC, which is comprised of several focal persons.68 A
member of the KAC will be available at kebele office once a week (e.g., Monday afternoons)
to receive grievances in person resolve.69 Standardized intake forms for acknowledgement
receipt and grievance listing will also be developed and distributed.
Step 2: Sorting and processing. Complaints and feedback will be compiled by the DA or an
assigned KAC member and recorded in a register. Cases should be resolved within one
month of being heard. KACs in PSNP4 were expected to use standardized internal processes
68
KAC is comprised of the following: 1 elected Kebele Council member (not the chairperson), 1 DA, 1 or 2
members of the Community Care Coalition (if existing in the kebele, 1 of whom should be female), 1 health
extension worker, one social worker (if represented in the kebele and if available female), two elder
representatives (one of whom should be female).
One Development Agent (DA). Aside from the DA and Kebele Council member, everyone else is a volunteer
and may or may not be literate. To mitigate this, the project will establish a literate youth community facilitator
as a member of the KAC to serve as its secretariat.
69
During PSNP4, it was found that 44% of KACs do not have a regular schedule to meet and 34% meet
monthly while the rest meet weekly, quarterly and on a as needed basis. It was also found that there was no
uniform mode of appeal uptake and more than 55% is done orally. The use of standard template to log appeals is
very low.
246
to categorize similar cases and prioritize them according to urgency. However, 70 percent of
KACs were found to be without a GRM manual to guide the process of sorting. The project
will support the development, translation, and program-wide distribution of a GRM manual.
Cases will initially be sorted and processed into the following four categories: i) appeals
(disagreement with decisions passed by program implementers); ii) implementation concerns
(dissatisfaction with the quality of implementation); iii) program design (procedures and
parameters set by the National level or the Region that requires changes to the program); iv)
transparency and right based (cases that filing and investigating must ensure greater delicacy
and anonymity).
Step 3. Acknowledgement and follow up. During PSNP4, it was found that a weak use of
pre-determined acknowledgement and follow up was prevalent among KACs, and if follow
up occurred, it happened orally. The project will establish literate youth community
facilitators as members of the KAC, so that in lieu of their PW hours, they can facilitate
timelier and more proactive follow up of cases. Standardized intake forms for
acknowledgement receipt and grievance listing will also be developed and distributed.
Step 4. Verification, investigation and resolution. The KAC will be responsible for
collecting additional information and investigating through field visits, consultation with
community elders and residents and cross-checking documents (PIM, PSNP GRM Manual).
When relevant, the KAC will reach out to confer with the social worker at WOLSA. A
template document will be provided to the KAC so that they can document their verification,
investigation and resolution process.
The KAC will give resolution to the appeals and send a listing of the cases to the Kebele and
Woreda Council, who in turn will validate the recommendation and forward the appeal to the
Woreda Food Security Task Force for implementation.
Step 5. Feedback and Monitoring and Evaluation. The KAC will inform the grievant
about the resolution of their appeal and their right to escalate the appeal if they are not
satisfied with the decision. Within four weeks of the complaint being heard, the KAC will
report and provide a listing of all the grievances heard and resolved to the Kebele Council,
who in turn will share the list to the Woreda Council. In woredas where the MIS system is
operational, the Woreda Food Security Desk will be responsible for inputting the grievances
into the system. In woredas where the MIS is not yet operational, the Woreda Food Security
Desk will forward the appeals listing to the regional GRM focal person, and they in turn will
forward it to FSCD.
8.2 Grievance Logs
KACs will maintain grievance logs, and regularly submit copies to the Kebele and Woreda
Councils, who will then distribute upwards. FSCD will maintain a master grievance log. The
grievance logs will include the following information.
• Individual reference number

• Name of the person submitting the complaint, or other feedback, address and/or
contact information (unless the complaint has been submitted anonymously)
• Details of the complaint or feedback
• Date of the complaint
• Name of committee person who registered the complaint (acknowledge to the
complainant, investigate, propose resolutions, etc.)
247
• Details of proposed resolution, including person(s) or body (e.g., WFSTF) who will
be responsible for authorizing and implementing any corrective actions that are part of
the proposed resolution
• Date when proposed resolution was communicated to the complainant (unless
anonymous)
• Date when the complainant acknowledged, in writing if possible, being informed of
the proposed resolution
• Details of whether the complainant was satisfied with the resolution, and whether the
complaint can be closed out
• Date when resolution is implemented (if any, whether successful or otherwise. If
unsuccessful, reason it wasn’t resolved).
9. Monitoring and Reporting
The Stakeholder Engagement Plan will be periodically revised and updated as necessary in
the course of SEASN project implementation to ensure that the information presented herein
is consistent, and that the identified methods of engagement remain appropriate and effective
in relation to the project context. Any major changes to the project related activities and to its
schedule will be duly reflected in the SEP.
Biannual summaries and internal reports on public grievances, enquiries, and related
incidents, together with the status of implementation of associated corrective/preventative
actions will be collated by responsible staff and referred to FSCD’s senior management. The
summaries will provide a mechanism for assessing both the number and the nature of
complaints and requests for information, along with the Project’s ability to address those in a
timely and effective manner.
Information on public engagement activities undertaken by the project during the year may
be conveyed to stakeholders in two possible ways:
• Publication of a standalone annual report on project’s interaction with the

stakeholders.
FSCD will maintain a Stakeholder Engagement Log that chronicles all stakeholder
engagement undertaken or planned. The Engagement Log includes location and dates of
meetings, workshops, and discussions, and a description of the project-affected parties and
other stakeholders consulted. The Project will also develop an evaluation form to assess the
effectiveness of every formal engagement process. The questions will be designed as
appropriate for the relevant audience.
• A number of Key Performance Indicators (KPIs) will also be monitored by the

project on a regular basis, including the following parameters:
o Number of public consultations held by woredas on beneficiary entitlements

(annually)
o Number of communications materials on beneficiary rights developed and
disseminated to beneficiaries
o Number of press materials published/broadcasted in the local, regional, and
national media
248
10. Central Point of Contact
The point of contact for the Stakeholder Engagement Program is:

Name: [To be Assigned]
Organization: Ministry of Agriculture, Food Security Coordination Directorate
Address:
Email:
Telephone: 011 646 0746
249
Annex 17: ESIRT
Annex 17: ESIRT
1. Introduction
The PSNP Public Works (PW) program typically contains up to 46,000 subprojects per
annum. These subprojects are designed and implemented such that they will be
environmentally and socially beneficial (e.g. soil and water conservation measures, degraded
land restoration, tree seedling planting, removing invasive species, opening up feeder roads,
classrooms expansion, health post construction and etc.). However, one cannot rule out the
occurrence of incidents that might have adverse effect on the environment, social and
occupational health & safety of the program beneficiaries. To overcome these effects the
program considered the importance of incorporating proper mitigation and safety
mechanisms during design, planning and implementation of the subprojects.
The type of incident that should occur as result of safety net and related PW activities will
vary from one place to another place or from sub project to sub project. Indeed, some of the
incidents could be indicative, i.e., relatively minor affecting few people while others could be
serious, creating actual or potential significant harm to environment, PW participants, other
communities, natural or cultural resources. In addition, there could occur serious incidents
such as use of child labour and major on-site injuries. Failure to respond in a timely manner
to these incidents could pose unnecessary operational risks to the communities, and
reputational risk to Project stakeholders.
Recognizing this, the Government of Ethiopia (GoE) has prepared a guidance note / tool kit
to help the local level implementers (woreda and kebele officers) and frontline workers
(Development Agents (DA), and Health Extension Workers (HEW)) to be able to
systematically track, monitor and report on incidents that may occur in the course of program
implementation including PW, livelihoods support (LH), and other program components. The
GoE noted that ESIRT does not replace the regular supervision and reporting system.
16. Identification of Types of Incidents
The GoE identified the following types of environmental, social and occupational safety
incidents that could occur during the program implementation. At this stage it is difficult to
have an exhaustive list of incidents, the below table is just to provide examples of possible
incidents under the three thematic areas which are considered to be relevant to key program
elements including public works and complementary livelihoods service.
Occupational health &

Environmental Social
Safety
• Localized dust pollution
• Poorly functioning erosion- • Grievances due to project use • Minor job site injuries
control measures of public roads
• Risk of introduction of • Minor impacts on livelihood • Serious on-site injuries
invasive exotic species restoration and/or access to and fatalities
community natural resources
• Gulley erosion caused by • Minor social conflict related to • Almost empty first aid kit
poorly designed roads or affecting the project at site
• Medical waste disposal as • Poorly organized or
result of health post sporadic health & safety
construction induction and training
• Delays by GRM in
handling/addressing
250
Annex 17: ESIRT
Occupational health &

Environmental Social
Safety
grievances
17. Incidents Classification
Considering experience from the past four phases of the PSNP and the anticipated level and
intensity of PSNP5 implementation, GoE has reviewed the potential incidents into two i.e.,
indicative, serious /severe, as classified by the World Bank. Such classification will help to
design appropriate supervision and monitoring systems and enable implementing agencies
provide the necessary attention or focus to the indicative one which could frequently happen
and widely affect the program. The below table sets out examples of incidents classified as
indicative and serious/severe.
Indicative Serious / Severe

• Localized dust pollution • GRM not functioning (serious)
• Poorly functioning erosion-control measures • Injuries requiring off-site medical
• Small-scale crop damage - as a result of Public works sub attention(serious)
projects • Over-exploitation of local natural
• Grievances due to project use of public roads resources (could occur if the
• Minor impacts on livelihood restoration and/or access to Livelihoods ESMF is not well
community natural resources implemented) (serious)
• Minor social conflict related to or affecting the project • Child labour (severe, along with
• Delays by GRM in handling/addressing grievances human trafficking)
• Local increase in the occurrence of communicable disease • Accidents resulting in lasting
(human and livestock) damages /disability or (severe)
• Minor job site injuries • Gender based violence at the
• Almost empty first aid kit at site public work site;
• Poorly organized or sporadic health & safety induction and • Gulley erosion caused by poorly
training designed roads
• Risk of introduction of invasive exotic species
18. Incidents Supervision and Monitoring System
The GoE will periodically supervise, monitor and report on the occurrence of incidents
through periodic reports (monthly, quarterly, bi-annual and annual), and field monitoring
visits in accordance with the agreement with the World Bank. Necessary trainings will be
provided to the staff working at all levels such that they will be able to monitor and report on
time to their respective supervisors per the standard template (See Annex 2). By doing that
the GoE will ensure a periodic flow of information on each incident following a bottom-up
approach where:
• Kebeles will provide information on each type of incident to woreda on weekly basis;
• Woredas compile and aggregate each incident data and report to zones on monthly
basis
• Zones compile woreda incident reports and submit to Regions on monthly basis and;
251
Annex 17: ESIRT
• Regions include incidents70 report into their periodic reports that they submit to the
Federal Government
19. Responsible Body at Different Levels
This section describes list of relevant institutions / responsible body expected to collect data
on the actual incidents occurred in the process of project implementation and report to the
next higher hierarchy as per the agreed template and timeline.
5.1 Kebele Level
• DAs in collaboration with HEWs will collect and compile each incident and report to
kebele administration / agriculture office,
• Kebele administration / agriculture office will review and submit the woreda office of
agriculture with a copy to woreda food security task force.
5.2 Woreda Level
• Woreda office of agriculture will compile and analyses incident reports received from
different kebeles
• Woreda Agriculture and Health offices s71 will conduct field supervision, assess the
root causes and share their observation to Woreda food security taskforce and PWTC
• Woreda agriculture and health offices will jointly prepare incidents report and
formally submit to the zonal office of agriculture72
5.3 Zonal Level
• Zonal Agriculture office will compile woreda reports and prepare aggregated incident
report and formally submit to regional food security office and copy to natural
resources and livelihoods coordination units,
5.4 Regional Level
• Regional natural resources and livelihoods coordination units will jointly undertake
periodic supervision and provide technical support to woredas staff
• Regional natural resources and livelihoods coordination units consolidate
woreda/zonal incident reports and submit to the regional food security task force for
clearance and endorsement
• Regional bureaus of agriculture will include incident report into its periodic progress
report to Ministry of Agriculture and copy to Food Security Coordination as well as
Natural resources management Directorates,
5.5 Food Security Coordination and Federal Natural Resources Management

Directorates
70
Program progress or performance reports to be prepared by implementing agencies including regions, zones
and woreda should consider a separate section for events related to incident.
71
It is expected that these offices will assign focal persons who will undertake this task
72
Where the zonal structure is functional; otherwise submit to the regional food security office
252
Annex 17: ESIRT
• Will jointly provide training of trainers on the ESIRT to the respective regional staff
which will be cascaded to frontline implementors (woreda experts, DAs and HEW,
ETC.,
• Will jointly conduct supervision and oversighting role to ensure that the tool is used,
and incidents are properly reported
• Will jointly Analyses and aggregate regional incident report
6. Incident Monitoring and Reporting Flow Chart:
PSNP5 quarterly progress reports of the GoE will have a separate section for the incidents73
occurred in different regions such that the World bank will have adequate information on
quarterly basis
As indicated in the World Bank ESIRT the incident management and reporting process
comprises the following steps.
(a) On site incident notification

(b) Incidents classification at kebele level
(c) Incidents notification to the woreda implementers
(d) Joint incidents root cause analysis by relevant woreda offices
(e) Remedial actions and prevention measures taken
(f) Monitoring and evaluation
These steps are summarized in the following flowchart.
Flowchart showing the flow of information through the various levels and offices
DAs and HEW will collect Kebele Food Security Kebele administration
each incident and notify to Task Force classifies Notifies the incident to
the Kebele Administration the incidents of the woreda
facilitators report to DA incident
Federal and Region do

Woreda Agriculture and Woreda level remedial follow up, monitoring
Health Offices jointly actions and preventive and evaluation
analyses root causes of measures
each incident
73
To facilitate incident reporting processes, a separate template will be developed and included into the PSNP
5 performance
253
Annex 17: ESIRT
Annex 1: Reporting Templates
1. DAs and HEWs Incidents Notification74 Template

Region ------------------ Zone ------------------ Woreda ------------------------Kebele -------------
---------Watershed ----------------
Budget year (EFY): ----------------------- Reporting period: Month------------- Week --------
------------
No. Site name Subproject Type of No. of Affected Affected
type incident75 people environment
Reported by (DA/HEW): ---------------------------------------------

Signature: -----------------------------
Date: ------------------------------------
2. Kebele Level Incidents Classification Template

Region -------------------- Zone --------------------- Woreda --------------------------- Kebele ----
-----
Budget Year (EFY): ----------------------- Reporting period: Month-------------
No. Type of List of Incidents Number of Affected Incident
incidents people affected environment classificatio
n
Reported and approved by Kebele officials:

Signature: -----------------------------
74
Development agents and Health Extension Workers are responsible to collect data and fill incidents
notification template that will be submitted to and kebele administration officials to do classification and
reporting to the woreda officials
254
Annex 17: ESIRT
Date: ------------------------------------
3. Woreda Level Incidents Reporting Template
Regions -------------------- Zone --------------------- Woreda ---------------------------

Budget Year (EFY): ----------------------- Reporting period: Month-------------
No Type of incidents List of # of People Affected Incident
incidents affected environment classification
Root causes and remedial actions76 taken:

Indicative: --------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------
Serious / on site injuries ---------------------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------
-----------------------------------------------------------------------------------------------------------
Severe / on site fatalities ---------------------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------
76
The is where woredas will provide detailed information on the causes and remedial action taken to respond
to every incident. In necessary it is possible to use extra space to explain what happened, why it has happened
and how it was dealt with in terms of taking appropriate preventive measures for each incident.
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Annex 17: ESIRT
4. Zonal77 Level Incidents Reporting Template
Region -------------------- Zone --------------------- Budget Year (EFY): -----------------------

Reporting period: Month-------------
No. Type of incidents # of List of Total Estimated
Woredas Incidents people areas
reporting occurred in affected by affected
incidents the Zone incidents environment
Supervision and follow up support78: ----------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
---------------------------------
Reported by (Responsible person for PW): -------------------------------- Approved by: ----

---------------------------------------------
Signature: ----------------------------- Signature: --------

---------------------
Date: ------------------------------------ Date: ---------------
---------------------
77
This is conditioned to where the zonal level PSNP structure is functional and it does not apply where there is
no zonal structure responsible for the PSNP
78
This mainly focuses on effectiveness of the remedial actions that woreda have taken and document lessons
and good practice to be shared with other woredas with in and outside the zone
256
Annex 17: ESIRT
5. Regional Level Incidents Reporting Template
Region -------------------- Budget Year (EFY): ----------------------- Reporting period:

Quarter-------------
No. Type of incidents #Incidents occurred #Woredas Total Estimated
in the region reporting population Areas
incidents affected Affected
by
incidents
Supervision and follow up support : ------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
-------------------------------
Reported by (ESMF or NRM Specialist): --------------------------------------------- Approved

by: -------------------------------------------------
Signature: ----------------------------- Signature: -------

----------------------
Date: ------------------------------------ Date: --------------

----------------------
257
Annex 17: ESIRT
6. Federal Level Incidents Reporting Template outline:
It is noted that Federal Government is expected to provide a summary of incident report

(maximum of 2 pager) every quarter to the development partners including the World bank
using a standard template. Thus, the below outline will help the government report79 capture
the necessary information:
Project name -----------------------------------------------------------------------------------------------

-------------------------------------------------
Type of incidents (environment, social and human) summary:
▪ Environmental
▪ Social
▪ Human
Levels of incident classification80
▪ Indicative
▪ Serious
▪ Sever
Regions where incident has occurred, and remedial action taken:
▪ Tigray ------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
-------------------------------------------------------
▪ Amhara-----------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
--------------------------------------------------
▪ Oromia------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
-----------------------------------------------------
▪ SNNPR-----------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
--------------------------------------------------------
▪ Somali ------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
------------------------------------------------------
▪ Afar---------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
-------------------------------------------------------
▪ Dire Dawa--------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
79
This refers to the quarterly, bi-annual and annual performance reports that FSCD will submit to the
development partners
80
Brief definition or explanation on the levels of classification in highlighted in section 3 of this guideline
258
Annex 17: ESIRT
---------------------------------------------------------------------------------------------------
------------------------------------------------------
▪ Harari -------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------
------------------------------------------------------
Lessons learnt:
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------
259
Annex 18: Voluntary Land Donation (VLD) Procedure
1. Background
Food insecurity has become one of the defining features of rural poverty, particularly in
drought-prone areas of Ethiopia. Poverty is widespread in both rural and urban areas.
However, the magnitude is much greater in drought-prone rural areas than in urban areas.
The Government of Ethiopia has decided that there is an urgent need to address the basic
needs of extremely poor and chronically food insecure households via a productive safety net
system financed through multi-year predictable resources, rather than through a system
dominated by emergency humanitarian aid.
PSNP was launched in 2005 with the intention to address rural food insecurity, build
resilience, and reduce the need for humanitarian appeals. Over the years the program
expanded gradually to cover about 8 million direct beneficiaries from 2.5 million rural
households in 40 percent of the country’s districts (woredas).
The PSNP provides:
• Transfers of cash or food to the food insecure population in chronically food insecure
woredas in a manner that prevents asset depletion at the household level and creates
assets at the community level. This programme incorporates community-based Public
Works (PW) subprojects, which are implemented by the communities in return for the
transfers;
• Services to foster and support micro-level activities enabling beneficiaries to build
assets at the household level and strengthen livelihoods, known as the Livelihood
Strengthening Subcomponent.
The Voluntary Land Donation VLD) procedure addresses issues that may arise in the Public
Works (PW) programme.
The PW subprojects, which constitute a portfolio of some 43,000 community-level activities

each year, are intended to create or renovate community-level assets, and contribute to rural
transformation.
The subprojects are selected by the communities following a participatory procedure, and are
designed in accordance with good-practice technical guidelines.
Subprojects will be implemented in rural areas, within the identified regions. In cropping
areas, they are expected to be within one-hour’s walking distance from the homes of the
intended beneficiaries, or less in areas of steep or difficult terrain.
In pastoral areas, subprojects will be organized at strategic locations such as nearby

villages or range lands to which families can send selected able-bodied members.
2. Public Works Projects: Eligibility Criteria
PSNP5 PW subprojects are labour-intensive, community-based activities designed to

contribute to watershed/rangeland development, respond to the needs of Climate Change,
Disaster Risk Management and Ethiopia’s Nutrition policy, and to provide employment for
chronically food insecure people who have “able-bodied” labour. The Programme
260
Implementation Manual (PIM) requires that to be eligible for financing under the PSNP,
the subprojects must be environmentally sound and socially acceptable. It specifies that
projects should be adapted to local conditions and protect the biophysical and social
environment. They should be based on sound technical advice, and adequate technical
supervision should be available to ensure the quality of work.
The subprojects are also required to meet the following criteria:
• Labour intensity: Subprojects activities must be labour-intensive and use simple tools
as much as possible.
• Community and household level benefits: The subprojects must benefit the community
as whole or groups of PSNP beneficiary households within a given area.
• Community and PSNP household acceptance: The subprojects must be accepted and
approved by the community and the targeted households. They should have active
community support and commitment.
• Feasibility and sustainability: The subprojects must be technically sound, socially
acceptable and economically feasible. They should be simple and manageable in
implementation and also in ongoing maintenance in order to be sustainable.
• Productive: The subprojects should create durable community assets which should
contribute to watershed development and to the reduction of poverty and food
insecurity.
• Gender sensitivity: Priority should be given to subprojects that are assigned to enable
women to participate and which contribute to reducing women’s regular work burden
and increase access to productive assets.
The following types of project are ineligible under the PSNP Project:
• Subprojects within, or adjacent to, internationally-disputed territory;

• Subprojects that are not labour-intensive;
• Subprojects located in or affecting a Prime Forest Area, a wetlands, or a modified,
natural, critical or legally protected area of recognised biodiversity value;
• Subprojects likely to involve involuntary resettlement, or involuntary loss of assets or
access to assets;
• Subprojects incorporating a dam more than 10 metres in height.
While noting that there will be no PW subprojects potentially 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 land utilised by a pipe traversing a
farmer’s plot, or voluntary loss of access to a piece of grazing land used for an irrigation
canal. This VLD procedure requires that such potential land donation be well assessed in line
with voluntary land donation principles in the World Bank Standard ESS5, and the donor
may request monetary or non-monetary benefits or community assistance/incentives as
condition for donation. In such cases, the members make the voluntary land donation in
return for benefits or services related to the subproject. The benefits may include getting
priority in employment opportunity (like as a guard) by the project, and the like.
Alternatively, if appropriate, the member may receive in-kind compensation such as a piece
of replacement land. The in-kind compensation is at replacement cost (in lieu of cash
compensation) and the replacement land provided has to have a combination of productive
potential, locational advantages, and other factors at least equivalent to that being lost.
261
3. Types of Subproject
The selection of activities to be undertaken under the PW component will be driven by the
local planning process, which will include inputs from both men and women as well as
representatives from vulnerable groups, in order to identify community and PSNP
households’ needs and prioritise activities based on those needs. This will allow a pipeline
of subprojects to be developed.
Priorities, desirable outcomes and connected activities will vary based on location.
Examples of outcomes and activities in settled cropping areas such as are typically found
in highland mixed farming areas, are outlined in the Table below.
Table 1. Examples of PW Subprojects and Expected Outcomes

• Biophysical soil and water conservation Improved land Improved crop production, crop
• Forestry and agro forestry productivity yields and livelihoods
Increased land
availability for land-poor
and landless
soil fertility restoration
• Water, small scale irrigation sub projects Improved access to Improved crop production and
drinking and irrigation livelihoods
water Improved health, improved food
production and livelihoods
• Vegetative fencing and fodder belts Increased availability of Improved crop production,
• Conservation measures fodder, livestock management and
• Fodder seed collection livelihoods
• Social infrastructure construction and Improved school and Improved health and education
rehabilitation health facilities
Improved access to Improved health, education,

health, education and marketing of on-farm and off-farm
farmer training services products, and livelihoods
and to markets
• Nutrition sensitive PWs Improved access to Improved mother and child care,
childcare facilities health and safety
Pregnant and lactating women (PLW) clients will substitute participation in social service
(‘soft conditionality’) programmes for all of their PW labour-days. These social service
programmes include the following:
262
Table 2. ‘Soft Conditionality’ Programs and Expected Outcomes

Typical Services Expected Outputs Expected Outcomes
(Examples) (Examples)
• Nutrition classes Improved knowledge of Improved nutrition status of
nutrition community members
• Ante-natal classes Improved knowledge of Improved health status of
ante-natal care mother and child
• Behavioral Change Improved knowledge of use Improved community health
Communication classes and benefits of latrines, and of and nutrition status
the use of health facilities
4. Principles of the VLD Procedure
This VLD procedure applies when a household is making a voluntary donation of assets or
access to assets in exchange for subproject benefits or services. In the context of Ethiopia,
where all land is owned by the Government, “land donation” is taken to mean “donation of
land use”.
In cases where household in effect, after adequately consulted and informed all the project
benefits and available alternatives, compensations, etc. and still has no choice, and no
alternative site for the subproject, loss of land would be regarded as involuntary. Such cases
are not eligible as PSNP PW subprojects, and in any case the Voluntary Land Donation
Policy would not apply.
In some circumstances, it may be proposed that part or all of the land to be used by the
project is donated on a voluntary basis without payment of full compensation. Subject to
prior Bank approval, this may be acceptable providing the Borrower demonstrates that:
• The potential donor or donors have been appropriately informed and consulted about
the project and the choices available to them;
• Potential donors are aware that refusal is an option, and have confirmed in writing
their willingness to proceed with the donation;
• The amount of land being donated is minor and will not reduce the donor’s remaining
land area below that required to maintain the donor’s livelihood at current levels;
• The proportion of land that may be donated must not be the donor’s main source of
income and should not significantly affect the donor’s livelihood, voluntary land
donation cannot exceed 10% of an individual’s holdings
• No household relocation or physical displacement is involved; donation of land
should not occur if it requires any household relocation, loss of structures or fixed
assets on affected portion of land.
• The donor is expected to benefit directly from the project; and
• For community or collective land, donation can only occur with the consent of
individuals using or occupying the land i.e. verification of the voluntary nature of land
donations must be obtained from each person donating the use of land; The Borrower
will maintain a transparent record of all consultations and agreements reached.
• The land required to meet technical project criteria must be identified and agreed by
the affected community, not only by line agencies or project authorities;
• The land in question must be free of squatters, encroachers, or other claims or
encumbrances;
263
• If community services are to be provided under the project, land title must be vested
in the community, or appropriate guarantees of public access to services must be
given by the private titleholder;
• A Grievance Redress Mechanisms (GRM) must be available
5. Voluntary Land Donation Procedure
When each subproject is selected by the community during the annual community planning,
the Development Agent (DA) checks the subproject site, conducts a preliminary design, and
carries out Screening according to the principles of the Environmental and Social
Management Framework (ESMF).
The DA Screening procedure includes the following provisions:
• Elimination of any subproject likely to involve household relocation or physical

displacement, involuntary loss of assets or access to assets;
• The amount of land being donated should be minor, should not significantly affect the
donor’s livelihood and not reduce the donor’s remaining land area below that required
to maintain the donor’s livelihood at current levels. Voluntary land donation cannot in
any circumstances exceed 10% of an individual’s land holdings;
• No household relocation or physical displacement may be involved;
• The donor is expected to benefit directly from the project; and
• For community or collective land, donation can only occur with the consent of
individuals using or occupying the land.
In the case of potential voluntary land donation, the DA may still approve the subproject
(subject to the other Screening requirements), but is required to notify the Woreda Natural
Resources (NR) Expert in the NR Case Team (hereafter referred to as the Woreda NR
Expert) that the subproject has been earmarked as a subproject requiring Special Attention.
When the Woreda NR Expert receives the subproject file, he or she passes it on to the
Woreda NR Case Team for review and consolidation into the kebele plan, but also triggers
the following procedure:
• The Woreda NR Expert contacts the DA responsible for the Screening, and requests
the DA to meet with the potential voluntary asset donor(s).
• After satisfying him/herself that the donor is making the donation on a voluntary
basis, the DA arranges meeting/consultation81 between the donor(s), the DA, the
Chair of the Kebele Land Administration Committee, and the Woreda NR Expert.
• At that meeting the Woreda NR Expert satisfies him/herself that the donation is being
made on a voluntary basis, and that each donor understands the procedure being
followed.
• The Voluntary Land Donation Form is then completed, signed and dated in four (4)
copies by the concerned parties.
• One completed copy is filed at the Kebele Land Administration Office; one at the
DA’s office, one remains with the donor, and one is filed at the Woreda NR Case
team office.
81
Community consultation will be conducted during the planning phase of the subprojects
264
In the event of a grievance, complaint or dispute being lodged the cases will be resolved
following the PSNP5 Grievance Redress Mechanism (GRM).
6. Consultation, Documentation and Reporting
Consultation
• Voluntary land donations for a sub-project must be openly discussed in public

consultations to establish that (i) the donor is the legitimate owner of such land (ii) the
donor is fully informed of the purpose of the donation and of the implications of
donating the land (iii) the donor is aware that refusal is an option and should not be
coerced.
• For communal lands donated by the Kebele/Woreda, individuals using or occupying
the land must also be identified and consulted to minimize the risk of settlers or
migrants losing their livelihood due to the land donation decision.
• For family lands, family members (including spouses) must be aware of the donation,
in order to minimize the risks of cross-generational conflicts.
• For government lands, through sub-project screening should establish that the land is
free of claims (e.g. from squatters or encroachers)
Documentation
Evidence of consultation (minutes of consultation indicating among others list of

stakeholders and their affiliations or interest to land, all agreed actions from consultations,
Assessment of the procedure against the principles
A formal statement or documentation (e.g., Memorandum of understanding, deed of

donation, minute etc.) for each instance of land donation establishing informed consent and
signed by each owner or user involved
Reporting
The report should include but not limited to the following information
• Number and types of subprojects requiring Voluntary Land Donation

• Name and Sex of the land donor
• The land size voluntarily donated to the project
• Proportion of the donated land
• Consultations held
• Numbers of land donations processed and documented
• Delivery of entitlement or assistance in compliance with the terms and conditions for
VLD if any.
• Grievances and action take to address
265
Productive Safety Net

Voluntary Land/Asset Donation Form
Region: ………………. Woreda: ……………………… Kebele: ………………………
Name of the donor:………………………………………………….

(Separate sheet/form may needed for communal donation by community members)
Name of spouse :………………………………………………………….
Community/Village: ……………………………………………………………………
PW Subproject Name: …………………………………….. …………………………….
I/we , ……………………………………… [name(s)] hereby declare that I/we are donating

use of the following land/asset for the benefit of the above-named PSNP Public Works
subproject:
Description of land/asset being donated: Sketch Plan showing donation (attach

separate sketch if necessary):
Location:
Area:
Land Use certificate Number (if any):
I also confirm that:
1. The amount of land/assets being donated is minor, and will not reduce my/our
remaining land area below that required to maintain my/our livelihood at current
levels, is less than 10% of my/our landholdings.
2. The land/asset donation does not involve relocation or physical displacement of the
donor(s).
3. The community has determined, and is satisfied, that this land/asset donation is
required by the subproject.
4. The land/asset being donated is free of squatters, encroachers, or other claims or
encumbrances.
5. I/we had a free choice as to whether to make this donation or not.
266
6. I/We have voluntarily donated without any imposition; I/we are satisfied, and hereby
confirm, that any loss suffered by me/us as a result of this donation is compensated
for by:
(i) The benefits I/we will receive from the subproject (tick:…..), or
(ii) Land/asset that I/we have received in compensation, Land Use Cert. No:
(tick:….).
7. This donation is being made entirely on a voluntary basis.
8. I/we hereby grant community access rights to the land/asset donated for the use of the
subproject.
Signed (donor) …………………….. Name: ………………………… Date: ….....

(Separate sheet may needed for communal donation by community members)
Signed (spouse) ……………………………..Name: …………………………..Date: ……
Signed …………………………………..Name: …………………………..Date: ……

(Witness: Woreda Natural Resources Expert)
Signed …………………………………..Name: …………………………..Date: ……

(Witness: Development Agent)
I hereby witness the above declaration, confirm the contents thereof, and hereby further
confirm that the individual donating the land , the community has land use rights to the land
donated, and that guarantees of public access has been given by the donor, as required.
Chair, Kebele Land Administration Committee, …………… Kebele
267
VLD: Public Consultation Documentation Template/Form
1. Consultation Date: ____________________________

2. Sub-project Type: _____________________________
3. Specific Name of the Project:______________________________________
4. Place of Consultation: Region: ________________, Zone:______________,
Woreda:_______________________, Kebele:_______________________________
5. Sub-kebele (specific village/place):________________________________________
6. Purpose of Consultation: ________________________________________________
7. Consultation Time Started:_______________________________________________
8. Consultation Method: ____________________________________
9. Consultation Agendas/ Issues:
1. _______________________________________
2. _______________________________________
3. _______________________________________
Additional Issues Raised During Consultation
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____
10. Agreed Agendas/ Issues
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
____________________________
11. Disagreed Agenda/issues including Reasons for Disagreement

___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
_____________________
12. Consultation Ended Time: ____________________________________
Consultation Facilitators Names: Signature:

1. ______________________ _________________
2. ______________________ _________________
3. ______________________ _________________
Kebele Seal: ____________________
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13. Consultation Attendants/ Participants:

No. Name of Participant Age Gender Position Telephone Signature
1
10
11
12
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Annex 19: Enhanced Social Assessment and Consultation (ESAC) Phase I & II
Phase I
1. Executive Summary
The fifth phase of the Productive Safety Net Project (PSNP) of the Government of Ethiopia
(GoE) will be launched by December 2020 and have a duration of five years (FY 2020/21-
2024/25).
the PSNP (PSNP5).Environmental and social issues related to the proposed project will be
assessed using the World Bank’s Environmental and Social Standards (ESS) set out under its
new Environment and Social Framework (ESF). As part of the preparation for the PSNP5, the
GoE (Ministry of Agriculture) has prepared the Enhanced Social Assessment and
Consultation (ESAC) first phase Assessment to address World Bank’s requirements in
respect of Environment and Social Standard (ESS7); Indigenous Peoples/Sub-Saharan
African Historically Underserved Traditional Local Communities and ESS1 on Assessment
and Management of Social Risks and Impacts under the ESF.
Productive Safety Net Project-Phase five (PSNP5)
The Outcome of PSNP5 is “Enhanced resilience of extremely poor and vulnerable female
and male members of rural households in PSNP woredas.” The project includes the
following six outputs.
(a) Output 1: Timely, predictable, appropriate and adequate transfers received by

eligible core caseload of male and female PSNP clients
(b) Output 2: Households affected by climate-induced82 shocks receive adequate
transfers which help them to manage shocks when needed
(c) Output 3: Sustainable, appropriate, and gender and nutrition responsive public works
respond to community and PSNP households’ livelihood needs and contribute to
climate change adaptation and mitigation
(d) Output 4: Linkages to available social services facilitated for eligible core caseload
PSNP clients focusing on the most vulnerable (PDS, TDS, PLW)
(e) Output 5: Tailored, nutrition, climate and gender responsive and diversified
livelihood options accessed by PSNP clients through accountable delivery system
(f) Output 6: Strengthened program management, coordination and capacity
development with accountable mechanism to ensure effective and efficient overall
program delivery
The Project Development Objective (PDO) is to expand geographic coverage and enhance
service delivery of Ethiopia’s adaptive rural safety net to improve the well-being of
extremely poor and vulnerable households in drought prone communities.
82Climate change-induced shocks refers to climate change-related events, including rapid onset shocks (like floods, disease
outbreaks, food price increase, etc.) and slow onset shocks (like drought, food price volatility, environmental degradation,
etc.). However, in the context of PSNP5 shock responsive safety net, the use of the term is limited to refer to the following
shocks: drought, flood, frost and pest.
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Enhanced Social Assessment and Consultation (ESAC): The Enhanced Social Assessment
and Consultation for the project will combine assessing the needs of historically underserved
local communities (ESS7) and potential indirect and community level social impacts for the
public work, livelihoods and transfer component (ESS1). It includes assessing the potential
social benefits and risks and its implications for program design and implementation; and
provide practical recommendations for dealing with the challenges and risks identified.
This ESAC aims to ensure that the design of the PSNP5 is inclusive and equitably supports
the most vulnerable and historically underserved populations83 in Ethiopia through assessing
their specific needs and realities, identifying the potential social impact of the proposed
interventions of the PSNP5 on their sociocultural, economic and political wellbeing. It also
assesses the progress towards implementation of the PSNP IV and Ethiopia Rural Safety Net
Project (ERSP)’ Social Development Plan (SDP), prepared as part of the (2014) PSNP IV
ESAC, and 2017 ERSP ESAC.
The PSNP5 ESAC has two phases. The first phase represented by this volume presents the
findings of the studies and consultations conducted before and during the course of PSNP IV,
and explains how they have been integrated in the design of PSNP5. Since PSNP5 does not
involve any fundamental changes in the design of the PSNP, these findings have been
adopted as entirely relevant for the preparation of PSNP5. The second phase of the ESAC,
will carry out community consultations with specific vulnerable groups, particularly those
new to the PSNP in selected new and old woredas, in order to develop any community-
specific or area-specific adjustments in project design or implementation and update of
instruments that may be required in order to ensure that the project fully responds to those
community needs.
Accordingly, the first phase of ESAC reviewed key studies and evaluation reports which
engaged community at large and the vulnerable groups in particular. Recent community level
analysis such as PSNP5 gender analysis and GBV risk assessment report help the ESAC to
ensure community level perception and voice are integrated in this phase. The findings of the
evidence review were also supplemented by discussion with federal level government and
development-partner specialists.
Key Findings
According to the analysis of existing information and discussion with federal level
government and development partners based experts, the main social issues and challenges
are: (i) limited access to Muslim friendly financial services; (ii) PW plans may not
necessarily prioritize projects identified by women or alleviate their work burden; (iii)
possible negative impacts on children of parents working on PWs in the limited access to
child care services; (iv) remote nature of pastoralist communities and limited access to social
services; (v) resentment among PSNP clients caused by differing transfer value between
PSNP and humanitarian food assistance (HFA); (vi) community health, safety and child labor
risk on PW construction sites; (vii) limited awareness and access to GBV prevention and
response services; (viii) exclusion of newcomers in Afar and Somali who may not belong to
the extended family, lineage or even the clan which controls the territory; (x) ineffectiveness
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most vulnerable and historically underserved populations often includes: women in male headed and female-headed
households, polygamous households, pastoralist households, unemployed rural youth, labour-poor households, the elderly,
pregnant and lactating mothers, malnourished children, people living with HIV/AIDS (PLHIVs) and labour-poor
households, in existing and new woredas of the project
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of the GRM system as the Kebele Appeals Committee (KAC) lacks the capacity to carry out
its responsibility; (xi) unmet demand in pastoral areas for livelihoods support services; (xii)
PW plans may not necessarily prioritize projects identified by women or alleviate their work
burden; (xiii) limited awareness and access to Gender Based Violence (GBV) prevention and
response services, potential Sexual Exploitation and Abuse (SEA) risks linked to sexual
favors for registration, domestic violence in some areas due to disagreement between spouses
on how to use program transfer, lack of procedure for complaints related to GBV/SEA xi)
Gap in women’s meaningful participation during project targeting, public work planning and
implementation; (xii) women’s dissatisfaction and conflict between spouses resulted from
transfer collection husbands in married HHs, (xiii) social unrest as a result of inappropriate
implementation of procedure over voluntary loss of assets for social infrastructure, and
conflict between up and down stream users due to resource sharing especially small scale
irrigation are also stated as social risks.
Among the social issues and challenges specific to historically underserved communities
(pastoral communities), the followings are prioritized as the key ones.
• Limited access to Muslim friendly financial services: Muslim clients are not
accessing loans due to the interest, which is considered as a breach of religious norms
or ‘haram’, and given residents in pastoral regions are predominantly Muslim, the
challenge is more pronounced in pastoral areas;
• Exacerbated Workload of Women specially in pastoral areas: women in pastoral
areas are forced to cover for all PSNP PW requirements of the household particularly
during dry season. This further adds to an already heavy workload on women;
• Remote nature of pastoralist communities and limited access to social services:
clients in in most of the pastoral woredas might not benefit out of the project’s effort
to link them with key social services given there are extreme supply side constraint in
availability of these services;
family lineage or even the clan which controls the territory: residents or
newcomers who do not belong to the extended family, lineage or even the clan which
controls the territory are often not targeted for a project; and
• Increased unmet demand in pastoral areas for livelihoods support services:
communities and implementers in Somali and Afar regions considered the fact that
the project has not started the implementation of its LH output as unfair
In order to address these and other social issues identified by the ESAC, the project integrated
measures such as a plan to work with financial service providers to develop Muslim friendly
financial services, align the PW implementation with non-migration season, contribute to the
improvement of social services in pastoral areas by constructing/renovating structures which
provides social services using PW labour, improving accountability and capacity in pastoral
areas for implementing the project’s targeting criteria, and the project will roll out its
livelihood strengthening output in the pastoral regions by contextualizing it to the need and
realities of the area.
Similarly, among the social issues and challenges that affected the most vulnerable
community groups such as women and children include the following. PW plans may not
necessarily prioritize projects identified by women or alleviate their work burden mainly
because participation of women in PW planning has been suboptimal. The limited availability
of childcare services in PW sites forced mothers to leave their child at home whenever
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possible for longer hour which affects their continued breastfeeding. In some cases, mothers
work in the PW sites while carrying their children on their back pose high risk to the children.
Equality and fairness in accessing benefits of the project will be ensured as per the project
key principles; and unintended negative impact will be prevented, minimized and addressed
as much as possible. Details on potential vulnerabilities specific to the identified vulnerable
groups and strategies/actions to address them are identified and included in the program’s
Social Development Plan (SDP). These includes but not limited to (i) using Proxy Means
Testing (PMT) as a means of strengthening project exit, (ii) annual Grievance Redress
Mechanism (GRM) review and integrating the recommendation of the review in annual
project plan to improve the functionality and impartiality of the kebele appeal committees
and its linkage to the wider government grievance system; (iii) consider the engagement of
poor and landless qualified youth as community facilitators; (iv) Implement the GBV action
plan to respond to the identified risks; (v)Revision and application of key Gender and Social
Development (GSD) provisions such as participation of women in PW planning process as
well as reducing women’s burden, are revised; (vi) pilot and gradual expansion of Early
Childhood Development (ECD) services; (vii) extension of lactating women’s PW exemption
to 24 months; (viii) harmonize all operating procedures of PSNP5 and HFA, including
targeting structures, processes and transfer values to improve on the effectiveness of current
arrangements for a continuum of response; (ix) expanded role of MoLSA structures at all
level to support the project to ensure linkage to social services including GBV responses and
child labour; (x) livelihood strengthening output will be implemented in selected woredas of
pastoral areas as well as committed to work with financial service providers to avail Muslim-
friendly financial services; (xi) Ensure appropriate implementation of ESMF procedure over
voluntary loss of assets for social infrastructure; and(xii) create mutual understanding among
up and down stream irrigation users. Summary of the ESAC and Social Development Plan
have been included in the Environment and Social Management Framework (ESMF).
Ministry of Agriculture (MoA) directorates mainly Food Security Coordination Directorate

(FSCD),Women and Youth Affair Directorates (WYAD), and Natural Resource Management
Directorate (NRM), and Ministry of Labour and Social Affairs (MoLSA) and their regional
and woreda counterparts are the main responsible institution for monitoring and
implementation of the proposed mitigation measures.
2. Introduction
In 2005, the Government of the Federal Democratic Republic of Ethiopia (GoE) in

collaboration with a group of donors has initiated a long-term development-oriented
approach/strategy to respond the recurring chronic food insecurity in rural Ethiopia. The
strategy consists of three components which are a safety-net component, Other Food Security
Programme (OFSP), and the Resettlement Programme components.
The Productive Safety Net Project (PSNP); which is the key element of the Safety Net
component of the strategy; was launched in February 2005 by providing support to 4.8
million people living in 192 of the most chronically food insecure woredas in four major
highland regions (Amhara, Tigray, Oromia and Southern Nation and Nationality People
(SNNP) regions). It aims to smooth the consumption of chronically food insecure households
through the provision of food and cash transfers which are intended to fill the food gap. The
support was provided in a way that it strongly contributes to the prevention of asset depletion
at the household level and creates/restores assets at the community level.
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How to improve the food security situation of all beneficiaries while being relevant to and
also contributing to the transformation of their differing socio-cultural, economic and
ecological contexts has been a major challenge that PSNP has been dealing with since its
inception. To this end, designs of successive phases of PSNP have increasingly expanded its
geographic reach (400 woredas) through including more woredas in the initial four regions,
and covering woredas in pastoral and agro-pastoral regions (Afar, Somali and Harari) and
city administration (Dire Dawa). The number of its clients also tremendously increased (8
million) and key elements relevant to transform the wellbeing of the clients have been
introduced.
The project in general and its implementation progress in highland regions in particular, is
widely regarded as a success. It has reduced rural poverty and helped the poor buy food
during a severe drought in 2016 that might have led to famine (The Economist, 2018). It has
been successful in improving household food security (Gilligan et al. 2009; Berhane et al.
2015). Evaluation findings have shown that PSNP clients are more resilient to droughts and
can bounce back twice as fast as households outside of the project. The public works output
has added benefits for communities, for example turning 1.2 million hectares into productive
land with soil and water conservation activities (MoA, 2019). In the lowland regions
however, evaluations found no significant impact on most relevant outcomes except a
decrease in food insecurity.
The project; which is the largest of its kind in Africa; currently is concluding the
implementation of its 4th phase and in the process of designing the next generation based on
the evidences and learning documented by a sheer numbers of studies, assessments and
impact evaluations which have been carried out for the past couples of years of its
implementation.
The previous rounds of PSNP ESACs identified pastoral woredas for their high vulnerability
to chronic food insecurity and being home to historically underserved groups. They are
inhabited by distinct socio-cultural groups, each with distinct culture and language. However,
a number of social and cultural similarities may be identified among these groups. Among
these similarities is the role that traditional authority structures still play in the social
organization of these communities, a predominantly pastoral mode of livelihood, the strength
of the traditional social protection system, low levels of urbanization, large household sizes
and common polygamous family structures, a conception of wealth/ poverty which appears to
be primarily tied to depth and multiplicity of social ties and secondarily to acquisition of
material wealth. Moreover, all groups have experienced and/or continue to deal with social
conflict with neighboring socio-cultural groups - in some cases, among clans within the same
socio-cultural group. These social conflicts are mainly economic - largely due to competition
over natural resources (mainly water and pasture) and which may involve cattle raiding
(MoA. 2014 and 2017). Similarly, most vulnerable and historically underserved populations
often includes: women in male headed and female-headed households, polygamous
households, pastoralist households, unemployed rural youth, labour-poor households, the
elderly, pregnant and lactating mothers, malnourished children, people living with HIV/AIDS
(PLHIVs) and labour-poor households, in existing and new woredas of the project.
2.1 Project Overview
Productive Safety Net Programme 5
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The fifth phase of the PSNP maintains the key outputs, principles, number of clients and
regional scope of its previous phases; and at the same time has introduced and/or further
strengthened key elements and strategies. It aims to contribute to the ten years development
plan GoE (2020-2030), and to the achievement of four key government policies, strategies
such as the Social Protection Policy, the National Disaster Risk Management Policy and
Strategy (NDRMS), and the Climate Resilient Green Economy (CRGE) strategy. It aims not
only to respond to chronic food insecurity but also to prevent asset depletion and protect
against short-term shocks in chronically food-insecure areas as well as to create assets at the
community level, to enhance access to services, to prevent the depletion of natural resources
and to rehabilitate ecosystems. The project is expected to further strengthen the already
started transition from a series of time-bound programs to the development of an efficient and
effective system for delivering rural safety net through consolidation of the PSNP and the
Humanitarian Food Assistance (HFA) under a single scalable safety net.
The project provides cash and/or food transfer for its clients. Households that have able-
bodied adult labor are expected to engage in public works (PWs) and receive transfer for 6
months of the year. While Permanent Direct Support (PDS) clients; households that are
unable to provide labor for public works; receive 12 months of unconditional transfers. It also
facilitates access to complementary livelihood services which aims to improve the access of
PSNP clients to technical and financial livelihoods support services.
PSNP5's overall Project Development Objective is “expand geographic coverage and

extremely poor and vulnerable households in drought prone communities”.
The Outcome of PSNP5 is “Enhanced resilience of extremely poor and vulnerable female
and male members of rural households in PSNP woredas.” The project will attempt to
achieve this throughimplementing the following 6 outputs i) timely, predictable, appropriate
and adequate transfers received by eligible core caseload of male and female PSNP clients, ii)
Households affected by climate-induced shocks receive adequate transfers which help them
to manage shocks when needed, iii) Sustainable, appropriate, and gender and nutrition
responsive public works respond to community and PSNP households’ livelihood needs and
contribute to climate change adaptation and mitigation, iv) Linkages to available social
services facilitated for eligible core caseload PSNP clients focusing on the most vulnerable
(PDS, TDS, PLW), v) Tailored, nutrition, climate and gender responsive and diversified
livelihood options accessed by PSNP clients through accountable delivery system, and vi)
Strengthened program management, coordination and capacity development with accountable
mechanism to ensure effective and efficient overall program delivery.
Overall, the proposed project has three components. The first component focuses on the
delivery of safety net operations for core project clients. It includes: the delivery of core
transfers; the implementation of the public works sub-projects by which most beneficiaries
earn their safety net benefits; services for children between 2 and 5 years old; and,
complementary livelihood services to enable PSNP beneficiaries to enhance and diversify
responsive social protection program, building on the Government of Ethiopia’s recent
decision to consolidate the operational management of humanitarian food assistance and
PSNP under the FSCD. The third component relates to the overall management of the PSNP.
It includes activities focused on strengthening Government institutions’ ability to manage all
aspects of project implementation and the use of core instruments (such as targeting,
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Management Information Systems and Grievance Redress Mechanisms) to assist project

operations, poverty and vulnerability; and full retargeting at the beginning of the project and
every four years.
The project will continue to operate in eight regions (Afar, Amhara, Dire Dawa, Harare,
Oromia, Somali, SNNP and Tigray). It aims to provide predictable, adequate and appropriate
safety net support to people in extreme poverty and vulnerability situation. These people will
be selected into the project through a community-based targeting process. Households with
able-bodied adult members will be asked to work on community planned public works in
exchange for their transfers, which they receive transfer for six months of the year. These
adults participate in PW that rehabilitate the natural resource base, build health posts and
schoolrooms, construct and rehabilitate roads, and build other public infrastructure as
prioritized by the community. Pregnant and Lactating Women (PLW) will be exempted from
PW during pregnancy and the second-year postpartum, during which they are linked with the
Health Extension Program (HEP) to receive antenatal counselling, growth monitoring, and
other services.
Labor-constrained households will receive unconditional all year round transfers as

Permanent Direct Support Clients (PDS) and are linked with complementary social services
where possible. Transfers are provided in cash or food through the GoE’s financial
management and food management systems. Livelihoods activities aim to enable PSNP
clients to diversify and increase their incomes thereby moving out of poverty (and graduating
from participation in the PSNP). The PSNP has been designed so that safety net support can
be expanded in response to drought. The project has flexibility to provide extended months of
support to existing clients and include additional households as temporary clients.
2.2 Objectives of Enhanced Social Assessment and Consultation (ESAC)
The objective of the Enhanced Social Assessment and Consultation is to assess the potential
social impact of the proposed interventions of PSNP5 on communities including the
underserved and most vulnerable populations with a view to ensuring inclusivity and
appropriateness of the project design and implementation. It mainly focuses on identifying
the most vulnerable and historically underserved population, recording their opinions and
perceptions about the proposed interventions of PSNP5; assessing the potential social impacts
and its implications for project design and implementation; and provide practical
recommendations for dealing with the challenges and risks identified.
The Enhanced Social Assessment and Consultation for the project will combine assessing the
needs of historically underserved local communities (ESS7) and potential indirect and
community level social impacts for the public work, livelihoods and transfer component
(ESS1). It includes assessing the potential social benefits and risks and its implications for
project design and implementation; and provide practical recommendations for dealing with
the challenges and risks identified.
2.3 Methodology
The ESAC has two phases. The first phase of the ESAC; this report; mainly employed desk
review of relevant secondary information to identify vulnerable communities, critical social
risks the project implementation might pose on community members in general and on
vulnerable community members in particular, and to propose recommendations and identify
mitigation measures to be included in the social development plan of PSNP5. It is also
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supplemented by discussion with federal level government and development-partner

specialists.
Key findings from relevant exiting studies and assessments of the project were reviewed; and
at the same time the next phase(Phase II) of the community consultation is planned. In fact,
the issue identification and setting recommendation effort is highly benefited out of the
availability of studies particularly carried out in relation to underserved communities which
ranges from outputs’ implementation review to impact assessments; and the success of the
projecting terms of ensuring geographic and issues representation. Since no fundamental
changes are proposed to the design of PSNP5, the studies reviewed and consultations
conducted, and their geographic range and coverage of representative issues have proved
indispensable to improving the design and procedures of the Project to enhance its
performance in respect of social development.
This ESAC has therefore reviewed the progress towards implementation of the PSNP IV
Social Development Plan of 2014-2020 and the Social Development action plan, prepared as
part of the rural safety net project of 2017-2020, and the impact of interventions of both
PSNP IV and rural safety net projects on the most vulnerable and historically underserved
populations. It has also reviewed and analyzed the findings of the following important
studies: (i) (2016/17 and 2018/19) Project Grievance Redress Mechanism Reviews; (ii)
(2018) PSNP midline Survey; (iii) (2020) Evaluation of the Nutrition Sensitive Features of
the Productive Safety Net Project IV: Process and Impact; (iv) (2018) PSNP and Gender,
Social Development (GSD) and Nutrition Issues in Afar and Somali Regions; (v) (2020)
Gender analysis and GBV risk assessment of PSNP carried out as input to PSNP5 design
processes; and (vi) (2014 and 2017) Enhanced Social Assessment and Consultation
conducted by the Ministry of Agriculture (MoA) designed to ascertain what project design
features might be necessary with regard to underserved or particularly vulnerable peoples to
make sure that their voices are fully heard and that their interests are fully reflected in the
project.
Despite the project is unable to conduct community consultation as part of PSNP5 ESAC, its
gender analysis and GBV risk assessment exercises were able to conduct extensive
community consultations with vulnerable groups, including women in male-headed and
female-headed households, polygamous households, pastoralist households, unemployed
rural youth, and labor-poor households. In addition to these consultations however, it will be
necessary to consult with beneficiary communities who will be joining the project for the first
time in PSNP5, and to consult with established beneficiary communities on community-
specific or site-specific issues that can be addressed at woreda- or community-level. As it is
indicated above, these consultations, none of which is expected to make any fundamental
changes to the project design with the key interventions of SEASN/PSNP5 being more or less
the same with its predecessors, are delayed due to the COVID-19 pandemic, and will thus be
conducted in the second phase assessment of ESAC, when conditions permit to conduct the
necessary fieldwork.The fact that the previous PSNP ESACs did the consultation with
community, narrowed down the potential gaps . The second phase ESAC is planned to be
finalized by the program effectiveness , the Ministry of Agriculture(MoA) will conduct
related consultation involving online, telephone and in person consultation taking the
necessary precautionary measures to manage COVID-19 effects.
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2.4 Applicable ESS
The World Bank Environmental and Social Framework (ESF) sets out the World Bank’s
commitment to sustainable development. As part of the preparation for the PSNP5, the
Government of Ethiopia (GoE) has prepared documentation to address World Bank’s
requirements in respect of ESS7; on Indigenous Peoples/Sub-Saharan African Historically
Underserved Traditional Local Communities and ESS1 on Assessment and Management of
Social Risks and Impacts under the ESF. This Enhanced Social Assessment and Consultation
(ESAC) will ensure that the design of the PSNP5 is inclusive and equitably supports the most
vulnerable and historically underserved populations in the project implementation areas.
3. Potential Benefits and Social Risks of the Project
The implementation of PSNP5 will capitalize on the achievements registered during the
previous phases. The following key benefits are documented by a number of studies as a
result of the implementation of PSNP.
Improved food security and consumption: the participation of households in PSNP has
positive and statistically significant effect on food consumption and on their livelihoods
(Mohamed, 2017). Studies found that PSNP is effective in improving household level
measures of food security and consumption (Yablonski, 2007; Berhane et al., 2014). In
Berhane et al. (2014), beneficiaries who had received the project benefit for at least three
years experienced improvements in their food security. In addition, the program enhanced the
consumption smoothing and asset accumulation of beneficiaries (Welteji et al., 2017).
Avoid risky coping mechanism: households enrolled in the PSNP avoided selling assets in
situations of food shortages, and 36% avoided using savings to buy food (Alderman and
Yemtsov, 2012).
Improved children wellbeing related outcome: A study for USAID (2012) show
statistically significant evidence of increased number of meals consumed by children from
households in public works. A study based on information from 2013 mathematics test scores
of 12-year-old children show that the PSNP has positive impact on child cognitive outcomes
through providing short-term nutritional benefits (Porter, 2017).
Improved livelihood and natural resource conservation: A study conducted by the World
Food Program (WFP) in 2012 showed that the livelihoods of households were improved due
to participation in PSNP. Moreover, the program made a significant contribution in
enhancing community-level assets, improving environmental rehabilitation, increasing asset
creation and protection, increasing utilization of social services and enhancing agricultural
productivity. A study using data from a cross-sectional household survey in eight woredas
over the first year of PSNP implementation showed that 65 percent of PSNP beneficiary
households had improved their incomes. Thus, PSNP has positive effect on consumption,
livestock holdings and productive assets of the household as indicated by Gebresilassie
(2014).
Improved self-esteem of women: PSNP have improved the livelihood of female headed
households, enhanced the empowerment of women both at the household and community
levels, and their “participation in public works (PWs) has enhanced their role in public life
and earned them greater respect (Yohannes & Gissila (2017).
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Potential Social Risks and Impacts
On the other hand, some unintended outcomes that resulted from the implementation of
PSNP were also documented. The followings are some of the negative outcomes.
Developing sense of dependency syndrome: 67.66 percent of PSNP clients that participated
in a study have showed an interest to receive PSNP transfer as long as possible (Hayalu,
2014).
Limited impact in pastoral areas: The impact of PSNP on pastoral communities has not
gone beyond consumption smoothing mainly because the livelihood strengthening element of
the project is not being rolled out (Teka, A. M., & Weldu, G. T. (2018). PSNP targeting in
pastoral regions is beset with difficulties (ESSP, Working Paper 124 |2018).
A mismatch between the targeting system deployed by the PSNP and the social
structures of the community: PSNP has a targeting mechanism where it allows various
stakeholders to engage in the process. However, studies have shown that the roles and
participation of traditional leaders and other influential group from the community is very
limited. This is particularly true in the case of pastoral areas where the clan and religious
leaders are supposed to played a great role in the PSNP targeting system but they are not,
which resulted for social discontent that the program is less considerate to the social
structure.
Inappropriate transfer: it is reported that type of food transfer by the project does not
match to the needs of the beneficiaries particularly pastoral areas where wheat is not
considered as staple food.
Increased child time spent on paid and unpaid work: Tafere and Woldehanna (2012)
found that the project increased time spent on both paid and unpaid work. Camfield (2014)
finds considerable evidence of girls working in the PSNP project or increasing their
household chores in response to caregivers’ participation in the project. (Porter, 2017)
indicated that the PSNP participant children spend less time studying than non-participants.
Exacerbated Workload of Women especially in pastoral areas: women in pastoral areas

are forced to cover for all PSNP PW requirements of the household particularly during dry
season. This further adds to an already heavy workload on women. Moreover, when types of
work chosen for PW are similar to activities which are traditionally considered as women’s
domain, women tend to carry much of the burden of participation even when men might be in
physically present MoA (2014), MoNAR and Yohannes & Gissila (2017).
Certain PW sub-projects may not adhere to the local needs and less considerate to
socio-cultural practices of the community: it is documented that some PW sub-projects
especially in pastoral areas did not well address the life-style and livelihoods systems of the
community (MoNAR, 2017).
Social discontent: area closure is an integral part of Soil and Water conservation (SWC) sub-
project allowed in PSNP PW component. However, non-participatory planning and
implementation of this activity (area closure) has resulted in discontent among community
members as it affects their access to resources. Absence of clear guidance on the utilization of
the developed resources from closed areas might also be another source of community
discontent. Similarly, social discontent may arise due to land degradation and deforestation
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caused by livestock overgrazing as a result of animal-fattening, and reduction in local energy

sources due to trading in fuelwood, poles or charcoal.
Social unrest as a result of inappropriate implementation of procedure over voluntary

loss of assets for social infrastructure such as community roads or health posts: PSNP
has ESMF guideline and it has a clear procedure on how to manage the voluntary
donation/loss of asset when land is needed for social infrastructures. However, in some
incidents it is reported that there is gap on frontline implementors when they apply the
procedures of voluntary loss of asset, and provision of compensation for the person who lost
his or her original asset. This has resulted social dissatisfaction among those community
members.
Health and safety as well as equity issues arising from disruption of downstream water
users: small scale irrigation is one of the nine sub-projects of PSNP where irrigation schemes
have been developed and households under the command areas are being benefited.
However, in some areas of the project implementation, due to unfair sharing of irrigation
water which resulted for inequitable benefits from small-scale irrigation sub projects among
the households in the command areas, social unrest might occur. The other concern is that the
use of agro-chemicals and pesticides by upper stream households have been affecting the
health and safety of households in the downstream.
In addition to the abovementioned direct social risks, there are also wider-ranging potential
indirect and community-level risks arising from the PW implementation. The followings are
some examples.
Child labour in Public Work, which affects children’s school retention: PSNP does not
allow children under 18 to attend the PW activities. However, due to less understanding to
the provision both by the community and frontline implementers and some cultural factors
that promotes children engagement in labor tasks, the provision is not properly implemented.
This has definitely adverse effect on proper attending of children to schools.
Gender Based Violence and SEA: is another risk that may happen when the PW sites are far
and not safe. PSNP has a provision that limits the distance of PW sites from the village as
maximum 2 hours walking distance. However, in some regions the watersheds are very large
and PW clients travelled a long distance which might increase the vulnerability of women to
GBV. GBV/SEA potential risks are also linked to sexual favors for registration, domestic
violence in some areas due to disagreement between spouses on how to use program transfer,
lack of awareness and procedure for complaints handling related to GBV/SEA
Household and community Health issues: since poultry is one of the livelihood options for
PSNP clients under the on-farm pathway, households engagement in poultry has a great
potential risk for fests of chickens that will affect the health and nutrition status of children
and even that of adult family members unless the waste is well managed. Similarly, it is
realized that the PSNP clients who engaged in crop and livestock pathway are expected to use
various forms of drugs and chemicals which will have health risks for the community unless
it is well managed.
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4. Consultations/Assessment Findings
According to the analysis of the findings of the documents indicated in section 2.3. as well as
discussion with federal level government and development partners-based experts, the main
social issues and challenges are:
• Limited access to Muslim friendly financial services: Muslim clients are not
accessing loans due to the interest, which is considered as a breach of religious norms
or ‘haram’ (MoA, 2017 and Joint Review Mission Reports).
• PW plans may not necessarily prioritize projects identified by women or
alleviate their work burden: Participation of women in PW planning has been
suboptimal. Watershed committees have one or two female representatives (different
in each region) with no real engagement due to restrictive gender norms in rural
communities. Decision about capital investments are most often influenced by woreda
level different sector offices. Once primary decisions are made elsewhere, community
consultation may happen but does not result in changing the plan. The participation of
women in planning is not monitored beyond presence of number of women during the
public meeting (2020). This may explain Yohannes & Gissila’s (2017) findings that
PW plans may not necessarily prioritize projects identified by women or alleviate
their work burden. This is contrary to the provision of The PIM that requires KFSTF
to "ensure that the interests of women and vulnerable groups are properly integrated
in public work plan" (Daniel et al, 2018).
• PW in Afar has further aggravated the already disproportionate share of workload of
women particularly during the dry season when men and male adolescents migrate to
the satellite/camel camps, as they are forced to cover for all PSNP PW requirements
from the household. Moreover, when types of work chosen for PW resemble to those
that are traditionally carried out by women, women tend to carry much of the burden
of participation even when men might be in physically present (Alemayehu etal, 2018,
Semhal,2020). Distance to public work sites still poses a challenge. Within the same
kebele different HHs travel time varies. There are kebeles where men walk 2hours
(one way) to PW site. It takes women longer to walk the same distance (2020). More
to this challenge, many of the GSD provisions (childcare availability-3.5% in 2018;
transition of pregnant women to TDS- 81.3 had stopped by the sixth month of
pregnancy in 2020) are not being implemented in most places (ibid).
• Possible negative impacts on children of parents working on PWs in the limited
access to childcare services: the availability of childcare services in PW sites ranges
from 3.5% in highland areas to totally missing in pastoral areas (Alemayehu et al,
2018. This forced mothers to leave their child at home whenever possible for longer
hour which affects their continued breastfeeding. In some cases, mothers work in the
PW sites while carrying their children on their back which pose high risk to the
children.
• Remote nature of pastoralist communities and limited access to social services: it
is difficult to implement the linkage to social service component of the project in most
of the pastoral woredas given there are extreme supply side constraint in availability
of these services. 48 percent and 56 percent of women age 15-49 did not receive any
antenatal care in Afar and Somali respectively according to EDHS 2016.
• Resentment among PSNP clients caused by differing transfer value between
PSNP and humanitarian food assistance (HFA): MoANR (2017) reported that the
food basket provided by HFA consisted of a further two items in addition to that
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which is provided under PSNP; namely, oil and pulse. On the other hand, PSNP
places labour requirement on its PW beneficiaries while HFA does not. PW
beneficiaries complained that these differences have put them at a disadvantaged
position although both groups are equally affected by the drought.
• Community Health, safety and child labor on PW construction sites: Health and
safety risks on public work construction site associated with participation of pregnant
and lactating women in PW is another social risk reported by the recent Gender
Analysis (Semhal, 2020). According to the PW and Livelihood reviews (2018 and
2019) and Gender Analysis (Semhal, 2020) pregnant mothers in most of the project
implementation regions have been exempted from the PW participation after five to
six months of pregnancy while the project has a provision that allows pregnant
mothers to be exempted before or at the fourth month of their pregnancy. Participation
of children in PWs are also part of the major social risks assessed.
• Limited awareness and access to GBV prevention and response services: The
GBV assessment reported that the term SEA/GBV is not understood by the project
clients as well as implementers at first or is perceived as ‘rape’ only. Similarly, the
awareness on the availability and package of the GBV response pathway is very
limited. The project neither have GBV tracking in its monitoring plan, nor trusted
complaints reporting mechanism for SEA and beneficiaries do not know where to go.
There is no woreda level service mapping of GBV service providers which resulted in
the lack of formal referral linkage to services. The PSNP does not have a system to
routinely track reported GBV incidence among PSNP beneficiaries. Based on the
findings of the GBV assessment, PSNP5 develop detail action plan. Actions such as
regular capacity development activities for both the community and implementers,
revising project monitoring and reporting formats to include incidence of GBV,
establish GBV service referral pathway and revising the role of the project grievance
redress mechanism to provide safe, and confidential services to GBV related
complaints, are some of the key activities included in the action plan.
family, lineage or even the clan which controls the territory: in any Afar and
Somali clan territory, residents or new comers may live (identified by the
ethnographies as 'clients') who do not belong to the extended family, lineage or even
the clan which controls the territory and are often not targeted for a project. Examples
of such group is groups living in the Wabishebele riverbanks known as Somali bantu
and other groups (such as those belonging to Oromo ethnic groups) speaking different
language in the Bale side of the Wabishebele river banks whose livelihood is
dependent on the river. Despite the fact that they are highly vulnerable to food
insecurity particularly in times of drought, these groups were marginalized from
mainstream society and have no access to various social services including PSNP
benefits (Daniel, 2018). Similarly, MoA (2014) reported that in the project targeting
practices, new migrants may not be considered eligible or priority may be given to
long-time residents.
• Ineffectiveness of the Program GRM system: The functionality of the Kebele
Appeals Committee (KAC) is reported as weak in most kebeles. This is because the
membership of the KAC is comprised of volunteers (chaired by a DA or Kebele
Council member) which makes convening regularly to discuss and resolve grievances
a challenge. DAs that receive and record complaints are overburdened as they are also
members of other task teams. In addition, the broader capacity challenge of the KAC
to carry out their role is a challenge. Thus, providing GRM focused trainings to
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implementers on the proper handling of grievances and the timeliness of doing so is

essential. The limited practices of documentation, lack of uniform procedures and
templates are also identified as key challenges which need to be addressed. Increasing
the awareness level of beneficiaries and non-beneficiaries on the availability of the
program GRM, the appeals process, the existence of KAC as well as involving
women and influential community leaders in the KAC would encourage project
affected parties to seek support in response to concerns about the program.
• Increased demand in pastoral areas for livelihoods support services:
Communities and implementers in Somali and Afar regions considered the fact that
the project has not started the implementation of its Livelihoods(LH) output as unfair.
Both urged the start of livelihood support activities so that beneficiaries may benefited
from these interventions and build individual assets relevant for graduation.
• Targeting in the pastoral areas are considered not fair by significant percentage of
the population. The midline survey data indicated that 36 percent in Afar and 45
percent in Somali do not perceive the targeting process was fair. Daniel (2018)
indicated the fact that Regional and woreda officials in Somali observed that while the
KFSTF may not be adhering to PSNP criteria in allocation of quota to various
communities, the CFSTFs may not be adhering to criteria for selection of
beneficiaries. Similarly, there are concerns that targeting will lead to tensions in the
community. There is a critical divergence in the definition of family/ household
between the project and the communities. MoANR (2017) found that from the
perspective of PSNP, if a man had multiple wives, each wife with her children would
constitute a household while for all pastoralist community consulted; the man, all his
wives and children constituted a single nuclear family. Newcomers along boarder
areas in Somali and Afar may not be targeted during community targeting process as
they will not be able to fulfil the targeting criteria which states a HH should live in the
in the community for 3 years to be illegible for the project.
• Transfer: Timely and predictability of payment remains a significant problem in all
regions. Most beneficiary households feel that PSNP payments are unpredictable
despite predictability increases between 2014 and 2018 in Oromia and SNNP
(Alemhayehu eta al. 2018). Due to the expanded coverage of epayment service, the
distance traveled to collect payment has reduced. But the fact that the M-Birr PIN and
the Dedebit MFI cards PIN are attached to client card which was felt by many as the
PIN privacy is violated (Semhal, 2020).
Except in Harari and Somali regions, collection of transfers in Married HHs is often
done by husbands as the project uses payment to the HH. This creates dissatisfaction
and, in some cases, even conflict between spouses as women felt that there is misuse
of the cash transfer collected by men (ibid).
Adequacy of transfers (quality and quantity) has been raised by many as critical issue
especially in low market access areas (ibid). The main challenge repeatedly came up
by reviewed studies is the fact that communities were either not consulted or only
men were consulted regarding the transfer modality especially in pastoral areas (MoA
(2014) and MoANR (2017). Although Distance to Food Distribution Points (FDPs) is
increasingly improving through additional constructions, distance to FDPs still pose
significant challenge to clients in most of part of the lowland areas.
• Livelihood Strengthening: The livelihood transfer is considered by many as
insufficient both in terms of coverage of PSNP beneficiaries and low transfer amounts
(Alemayehu, 2018, Semhal, 2020). The livelihood intervention’s quality is
significantly constrained by lack of investment and institutional setup. No tailored
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activities are being implemented as per the PIM. There is some complaint by FHHs
that livelihood transfers often do not target them due to bias. "we are not selected for
credit or livelihood transfer because they are looking for better HH who can change
quickly" (Semhal. 2020).
• Monitoring and Evaluation: the following five core challenges related to effective
and meaningful implementation of M&E in PSNP identified.
o Incomplete understanding of the purpose of M&E: implementers understood that
purpose of M&E as to punish implementers for bad performance. Hence, they
may submit inaccurate or false performance reports to save face before seniors in
the PSNP hierarchy.
o Limited skill in implementing effective monitoring and evaluation practices: there
are significant skill gap from the implementer side to use existing format and
report progresses.
o Absence of reporting system for project implementation related GBV
o Gaps identified and recommendations made on the program GRM have never
been included in the project plan and reports which affects the implementation of
critical actions.
o The project monitoring and reporting system is weak in identifying and reporting
the implementation of the GSD provisions. At kebele level sex disaggregated data
is available. However, starting woreda level the data is extracted manually even
though the data is entered in Rural Payroll and Attendance Sheet System (RPASS)
but extracting is disabled.
5. Mitigation and Management of the Social Risks
PSNP5 project design process identified and integrated mitigation measures for most of the
risks identified as the result of the first phase of the ESAC. Further to this a Social
Development Plan (SDP) has been developed with clear strategy and actions. This plan will
be implemented to address those risks which require more analysis or series of activities so
that equality and fairness in accessing benefits of the project will be ensured as per the project
key principles; unintended negative impact is prevented, minimized and addressed as much
as possible. The implementation of the social development plan will be regularly monitored
by the joint government and non-government technical committee which is responsible for
the implementation of social development and linkage to social services aspect of the project.
The technical committee (TC) will liaise with other technical committees and taskforces in
the process and will report biannually to the Coordination and Management Committee
(CMC), on the progress of the SDP implementation. The update will also be included in
project progress report.
The followings are some of the design features influenced by the outcomes of the ESAC;i)
using Proxy Means Testing as a means of strengthening project exit and building capacity of
the community level food security taskforce for fair targeting ii) annual GRM review and
integrating the recommendation of the review in annual project plan to improve the
functionality and impartiality of the KACs and its linkage to the wider government grievance
system; iii) consider the engagement of poor and landless qualified youth as community
facilitators; iv) asses potential project implementation related GBV risk and develop action
plan to respond to the identified risks; v) key Gender and Social Development
(GSD)provisions such as participation of women in PW planning process as well as reducing
women’s burden, are revised; vi) pilot and gradual expansion of early childhood services; vii)
extension of lactating women’s PW exemption to 24 months; vii) the necessary measures are
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considered to implement scalable safety net-it is currently considered one of the project 6
output areas; viii) expanded role of MoLSA structures at all level to support the program to
ensure linkage to social services including GBV responses and child labour and the
institutional set up of the project reflected this new role; ix) livelihood strengthening output
will be implemented in selected woredas of pastoral areas as well as committed to work with
financial service providers to avail Muslim-friendly financial services; x) the formal
collaboration which was established between the PSNP and ESAP2 in the form of a pilot
covering initially four and then nineteen overlapping woredas has been transformed to PSNP
being considered as one the few key sectors in ESAP 3 design. Similarly, the number of
PSNP woredas which will be covered by the Social Accountability initiative is increased to
119. This expansion will support PSNP5’s effort to consider the voice and concern of its
clients in general and the most vulnerable sections in particular in improving the quality and
reach of its implementation. The collaboration will also contribute to improve PSNP clients’
access to different social services. In addition, Labor Management Procedure, Voluntary
Land/Asset Donation Procedure and GBV action plan have been incorporated in the PSNP5
ESMF.
The following section elaborates more on the SDP which includes identified social risks and
mitigation measures agreed in response to the identified risks.
5.1 Key Identified Risks and Mitigation Measures by Program Output
Output One: Timely, predictable, appropriate and adequate transfers
The major social risks identified through the review over abovementioned studies and
assessments under output one is summarized as follow. The 2017 ESAC consultation
revealed that sharing of PSNP transfers and the consequent dilution effect in pastoral woredas
and women felt that there is misuse of the cash transfer collected by men. The PSNP midline
report showed that cash transfers might fall below the value of food transfers, delays in
transfers leading to increased risk of asset depletion and other negative coping strategies
(IFPRI, 2019). The GSD and nutrition report (2018) indicated that there are inappropriate
types of transfer especially in pastoral areas, and distant payment site (food and cash)
(Daniel, 2018).
The following actions as mitigation measures are integrated in the program to address the
social risks stated above. Implement participatory community interventions aimed at bringing
about social and behavioral changes through educational measures; pilot paying HH transfer
to women in two woredas of the 6 regions and in 20% kebeles of Harar and Dire Dawa; and
carryout regular transfer benchmarking to revise the rate against a transfer value equivalent.
Further to this, payment of transfers will be harmonized with seasons when food gaps are
experienced and labor demand is less. Other transfer related social issues will be addressed
through implementing measures such as addressing capacity gaps and root causes to ensure
beneficiaries receive transfers on time, displaying transfer schedule in kebele, paying
Permanent Direct Support (PDS) clients on schedule separate from PW payment, ensuring
community consultation on their preference for cash or food or mix of cash and food,
expanding e-payment coverage and constructing temporary FDP sites by PW labour.
Output Two: Shock Responsive safety net
According to the MoANR (2017) report, PSNP clients have complained that there is
difference on value of transfer for regular or core PSNP clients and food support for
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Humanitarian food assistance clients (HFA). Overlapping of targeting of clients for PSNP
and HFA is another challenge of the project. The role of traditional authority structures was
not fully taken into account in the design of the PSNP (Daniel, 2018). The midline report
(2019) indicated that there is insufficient coverage of food insecure households during
drought periods (IFPRI, 2019), and inconsistency and loose coordination between the
operations of the PSNP and Humanitarian Food Assistance (HFA).
The recommended mitigation measure to address the social risks mentioned under this output
are to strengthen the implementation of shock responsive safety net system through
addressing the institutional arrangement, engaging traditional leaders especially clan leaders
in pastoral areas to actively participate in the process of shock responsive safety net.
Output Three: Sustainable community assets and human capital investments
Findings from the ESAC (2017) and Gender Analysis (2020) reports have revealed that
participation in PWs may contribute to additional burden on women, leaving women with
little time to engage in other regular livelihoods or domestic activities, and PW distance
might expose women to various forms of GBV. PSNP5 would strengthen the implementation
of the 50% workload reduction for women PW participants’ entitlement by strengthening the
capacity of implementers as well as ensuring the planning and monitoring framework of the
project is responsive to social and gender issues.
The 2018 and 2019 PW and Livelihood review by MoA shows that there is poor quality of
community assets certain sub-projects including water and road sub-projects. According to
the PWs and Livelihood review, the problem of poor quality in community asset is mainly
dominant in pastoral areas of the project regions.
Another social risk of the project is that annual PW plans do not strategically identify
activities that may address the practical and strategic needs of women as stated by Yohannes
and Gissila’s (2017). The Project GAP include actions such as building the capacity of the
community food security taskforce, which aims to address issues related to improving the
women active participation in the PW project planning processes. Sub-project nine (nutrition
sensitive PW) will be expanded to Gender and Nutrition sensitive sub-project by amending
the list of activities to include projects which address women workload including childcare
responsibilities. Moreover, the project allocated three percent of capital budget to implement
gender and nutrition sensitive PW subprojects.
Health and safety risks associated with participation of pregnant and lactating women in PW
is another social risk reported by the recent Gender Analysis (Semhal 2020). According to the
PW and Livelihood reviews (2018 and 2019) and Gender Analysis (2020) pregnant mothers
in most of the project implementation regions have been exempted from the PW participation
after five to six months of pregnancy while the project has a provision that allows pregnant
mothers to be exempted before or at the fourth month of their pregnancy. Participation of
children in PWs is also part of the major social risks assessed.
In addition, there is a concern relate to safety of children older than 2 years as their mothers
participate in PW, and at the same time girls may be forced not to attend school to support
their mothers with HH chores.
Actions such as improving the implementation of the project’s GSD provisions through
regular capacity development of community and implementers, conducting GSD review
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mission, reviewing planning and reporting format to better reflect the GSD provisions,
establishing stronger multisectoral GSD unit, and engaging women machineries in the project
implementation and monitoring are some of the key actions included in the project GAP.
Further to these, the PSNP-Social Behavioral Change Communication (SBCC) job aid will be
revised to include relevant Gender Equality and GBV issues; institutional accountability and
reporting mechanism to the projects’ gender result will be strengthen, lactating women will
be exempted from PW participation for 2 years postpartum; and the implementation of the
project Occupational and Community Health (OCH) guideline will be regularly monitored
and reported. Community based Early Childhood Development (ECD) services will also be
piloted and scaled out.
Output Four: Linkage to Social Services
Most PSNP prescriptions related to links to social services are implementable only in a few
pastoral communities where the services are available (Daniel, 2018). The PSNP5 draft
Program Implementation Manual (PIM) seeks to create demand for the health and nutrition
services by attaching corresponding co-responsibilities on respective TDS beneficiaries.
However, the GSD and nutrition review in pastoral areas revealed that there is weak
implementation of the co-responsibilities included in the project regarding PLW and
caretakers of malnourished children and weak implementation of SBCC aspect of PWs. The
review by Daniel indicated that there is extreme supply side constraint in availability of these
services in pastoral regions (EHDS 2016).There is loose linkage of various service providers
such as MoH, MoA, MoE, MoLSA.
To address this challenge, a tripartite MoU between MoA, MoH and MoLSA will be signed.
The MoU is expected to strengthen coordination and accountability through clarifying the
roles and responsibilities and reporting mechanisms and provide regular capacity
development support to frontline implementers. Moreover, in areas where NGOs operate,
joint platform will be established where GoE could work closely with relevant NGOs, which
is very critical to expand the services to remote areas using various mechanisms including
Mobile Health and Nutrition Teams (MHNT).
Output Five: Livelihood
The review from various assessments of the project revealed the following key issues as
social risks that need critical attention and mitigation measures in the new project. According
to the Gender analysis report (2020), women in married HHs may not be targeted for
livelihoods support activities as the husband is considered as HH head and credit providers
often targets the HH head, and there is lack of tailored support for women to develop
business plans (Semhal, 2020).
The 2017 ESAC assessment revealed that lack of Muslim friendly credit service,
beneficiaries may receive credit without understanding and readiness to engage in livelihoods
activities, and increased demand for Livelihood strengthening support in pastoral areas
(Daniel, 2017).
The PSNP midline report shows that youth issues continue to be overlooked. The PSNP 4
livelihoods output is designed to give special attention to young people through the off-farm
and employment pathways. Yet, awareness of the prioritization of young people is generally
low. Implementation progress along these pathways is not satisfactory and young people in
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particular face specific challenges (such as lack of guarantees and income to pay for licenses
and tax) that remain unaddressed (IFPRI, 2019).
Among others, the following are proposed mitigation measure, which will be part of the
design of PSNP5. These are ensure the implementation of actions included in the Gender
Action Plan (GAP), invest in technical capacity of credit service providers to develop Muslim
friendly credit services, ensure PSNP5 outputs are implemented in an inter-complementary
and mutually reinforcing way from the outset, include being a 1000 days HH (HHs with
children under 2 years old) to be one of the key criteria to receive LH transfer to take
advantage of 1000 days window of opportunity, increase the amount of livelihood transfer
that will help the client to engage on livelihood options in their business plan, and scale up
learning from NGO woredas regarding diverse LH strengthening strategies.
Output Six: Program Management
This output is focusing on targeting, graduation/exit, GRM, system, monitoring and

evaluation, and capacity development. Review of existing documents showed that one of the
major social risks under this output of the project is less participation of traditional leaders in
local level program management in general and that of targeting process in pastoral areas
(Daniel 2018). In order to promote a more participatory community based targeting
processes, the PSNP 4 PIM required that targeting be undertaken by a Community Food
Security Task Force (CFSTF) to be appointed in each subdivision of a PSNP kebele, which
includes core government officers, representatives of men, women and youth. The PIM also
allows inclusion of one elected elder in the community (MoANR, 2014, 8-6). However, the
social risk is that by including only one elder appears that PSNP 4 design does not
sufficiently recognize the distinctive role elders play in pastoral communities (Daniel, 2018).
Various PSNP 4 related evaluations and assessments reported that traditional/clan leaders
would have played a more prominent role in Afar, Somali, and SNNP as members of
community targeting committees or appeal committees, if they would have given adequate
position in the program management aspects.
Another targeting related social issue is the existence of large numbers of rural population
(including youth and new residents to woredas) in need of a safety net (ESAC, 2017). In fact,
PSNP 4 planned to scale up to a national rural programme systematically into new
households and woredas experiencing the greatest vulnerability in the existing program
regions. This was assumed to be happened when existing clients graduate from the project
and new clients were assumed to be added on a needs basis, using the targeting system, as
long as there are unmet needs in the country. However, due to the 2017 and 2018 El Nino
effect and weak implementation of the livelihood output, graduation of clients did not happen
as planned and the scaling up and inclusion of new needy people was not implemented
(FSCD Livelihood and Graduation assessment, 2019).
The other social risks mentioned in pastoral regions of Afar and Somali is that there are
inclusion and exclusion errors, and potential exclusion of newcomers who may not belong to
the extended family, lineage or even the clan which controls the territory (ESAC 2017).
According to the Gender Analysis (2020) and the PSNP GBV report of 2020, the gender
provision related to targeting (The husband in polygamous HHs to be targeted with one of the
wives as one HH while the remaining wives to be targeted as FHHs) are not properly
implemented, and there is limited understanding/capacity of community food security
taskforce members about GBV (Semhal, 2020). Some clients’ specifically old people that
should be eligible to participate in DS are targeted for PW.
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GBV is another social risk, finding shows that there is limited understanding/capacity,
implementation and reporting on Gender Based violence including sexual, exploitation, abuse
and harassment is by project beneficiaries and staffs (Ibid).
According to the PSNP GRM manual (2016), Grievance Redress Mechanism (GRM) is one
of the safeguard mechanisms of the project, which intends to address complains of
beneficiaries about the program (FSCD, 2016). However, though GRM has been
implemented in the last phase of PSNP program and some good lessons were achieved, the
2019 GRM review has identified social risks related to the GRM system such as limited
functionality and effectiveness of the Kebele Appeals Committee (KAC) and less
involvement of female members in the committee.
Capacity is another issue where there is low implementation capacity at woreda and kebele
levels, the availability of woreda level GSD experts is not universal. At kebele level, the DAs
are expected to implement most of the social and gender related actions in the absence of
formal accountability measures in their performance assessment. These community level
implementers are overburdened by PSNP and other project related assignments which makes
difficult for them to be actively engaged. The staff turnover because of poor motivation and
remuneration resulting in the aggravation of the problem related to project implementation,
and weaknesses in monitoring and evaluation.
The mitigation measures for above mentioned risks under this output will include introducing
PMT for project exit, strengthen downward and upward accountability of the project to
ensure that people feel secure about their rights and entitlements (SA tools), and create
awareness among traditional authority structures and undertake information campaign to
ensure that purpose and principles of PSNP5 are well understood. The capacity building work
shall include targeting procedures, etc., design-targeting structures with careful consideration
to the balance between formal and informal traditional authority structures; and design and
implement evidence based project exit strategy, and strengthening the responsiveness of the
project monitoring and evaluation system to social and gender issues. The use of community
youth facilitators also considered. Moreover, multisectoral team which will be led by FSCD
will be established to regularly monitor the actions included in the GAP and GBV action
plans, targeting and GRM.
With regards to the GRM related social risks, the PSNP5 annual GRM review will be carried
out and its recommendations will be included in the project annual plan and reporting. It is
also recommended to conduct capacity development and awareness raising for KAC
members, and the traditional leaders concerning the objectives of PSNP to effectively address
the needs of vulnerable social groups including women and will pay more attention for
gender and social issues. Since ESAP, another World Bank financed, program by the GoE
that coordinates all service delivery components in the public sector, suggested to strengthen
the linkage and coordination of KAC roles with that of ESAP. The linkage of PSNP GRM
system with that of ESAP 3 will improve the implementation of social accountability
mechanisms, which creates the environment that enables beneficiaries to demand better
responsiveness and accountability from implementers and managers. In PSNP5 it is also
agreed to provide trainings on social accountability principles and the PIM for KACs.
Capacity building trainings for members of the various PSNP related grassroots committees
including KFSTF and CFSTF and others, advocate for the harmonized program salary scale
are among key mitigation measures to address abovementioned social risks related to project
implementation capacity under PSNP5. It is recommended to carry out spot checks, revise
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reporting templates to make space for reporting on challenges related to participation in PWs
and Gender and Social Development PIM provisions, initiate a functional PSNP MIS that
would help to address monitoring, and evaluation gaps.
5.2 Risks, Mitigating Measures Planned to Address the Risks

Output Potential Risks and Challenges Mitigating Measures
Timely, predictable, • Women in some regions felt that there is • Pilot paying HH transfer to women
appropriate and misuse of the cash transfer collected by in 2 woredas of the 6 regions and in
adequate transfers men 20% kebeles of Harar and Dire
• Cash transfers may fall below the value Dawa
of food transfers • Carryout regular transfer
• Delays in transfers leading to increased benchmarking to revise the rate
risk of asset depletion and other negative against a transfer value equivalent
coping strategies • Harmonize payment with seasons
• Inappropriate types of transfer specially when food gaps are experienced and
in pastoral areas labor demand is less (community
• Distant payment site (food and cash) specific)
• Ensure beneficiaries receive
transfers on time by addressing
capacity gaps and root causes;
display transfer schedule in kebele
• Delink Direct Support payments
from PW payment schedule
• Ensure communities are consulted
on their preference for cash, food or
mix of cash and food
• Expand e-payment and construct
temporary FDP sites by PW labour
Shock Responsive • Resentment by PSNP clients due to • Strengthen the implementation of

safety net differing transfer value between PSNP shock responsive safety net system
and humanitarian food assistance (HFA) through addressing the institutional
arrangement
Sustainable • Participation in PWs may contribute to • Expand Sub project nine (nutrition
community assets additional burden on women, leaving sensitive PW) as Gender and
and human capital them with little time to engage in other Nutrition sensitive sub project and
investments regular livelihoods or domestic activities amend the list of activities to
• Quality of community assets suffer as a include projects which address
result of competing activities during women workload including
farming season which make it difficult childcare responsibilities
for beneficiaries to fully engage in • Revise the PSNP-SBCC job aid to
activities include relevant Gender Equality
• Health and Safety risks associated with issues and strengthen institutional
participation of Pregnant and Lactating accountability and reporting
Women (PLW) in PW mechanism
• Participation in PWs may result in health • Follow up the implementation of the
and safety risks flexible PW schedule allowed by the
• Increased workload of women in general project
and labour constrained FHHs due to PW • Revise HH labour cap of the labour
participation constrained FHHs to only work her
• PW plans do not include women’s share
practical need • Extend the exemption of lactation
• Safety of children older than 2 years as women from PW for 2 years post-
their mothers participate in PW partum
• Girls may not attend school to support • Strength the implementation of
HH chores GSD provisions by following up the
implementation of the GAP and
290

• Certain PW sub-projects may not adhere GBV action plan
to the local needs and less considerate to • Implement, regularly monitor and
socio-cultural practices of the report the implementation of the
community project OCH guideline
• Social discontent may arise due to • Pilot and scale out Early Childhood
inapproprate planning and Development (ECD) services
implementation of area closure • PW planning process to stricutly
• Social unrest may arise as a result of follow the revised Community
inappropriate implemenation of Based Participatory Watershed
procedure over voluntary loss of assets Planning Guide
for social infrastructure such as • Ensure adequate local community
community roads or health posts particpation and approprate
• Health and safety as well as equity measures in planning and
issues arising from disruption of implementation of PW sub projects
downstream water users and the use of
agro-chemicals and pesticides by • Ensure appropriate implemenation
upperstream households of ESMF procedure over voluntary
• Child labour in PW, which affects loss of assets for social
children’s school retention. infrastructure such as community
• Gender Based violence/Sexual roads or health posts
Exploitation and abuse is another risk • Create mutual understanding among
that may happen when the PW sites are up and down stream users of
far and not safe as well as in relation to irrgation water users and set
transfers functioning water users group to
address health, safety and equity
issues raised from irrigation water
usage
• Conduct regular spot-checks to
address child labour issues in Public
Work
• Implement the project’s GBV action
plan
Linkage to Social • Weak implementation of the co- • Sign implement and monitor a
Services responsibilities included in the project tripartite MoU between MoA, MoH
regarding PLW and caretakers of and MoLSA which clarifies roles
malnourished children and responsibilities and reporting
• Weak implementation of SBCC aspect mechanisms
of PWs • Provide regular capacity
development support to frontline
implementers
291

Livelihoods • Due to local customs, women married • Invest in technical capacity of credit
HHs may not be targeted for livelihoods service providers to develop Muslim
support activities friendly credit services
• Lack of tailored support for women to • Ensure PSNP5 outputs are
develop business plans implemented in an inter-
• Absence of Muslim friendly credit complementary and mutually
service reinforcing way from the outset
• Beneficiaries may receive credit without • Include being a 1000 days HH to be
understanding and readiness to engage in one of the key criteria to receive LH
livelihoods activities transfer
• Increased unmet demand for Livelihood • Increase the amount of livelihood
strengthening support in pastoral areas transfer that will help the client to
• Social discontent may arise due to land engage on livelihood options in their
degradation and deforestation caused by business plan
livestock overgrazing as a result of • Scale up learning from NGO
animal-fattening and reduction in local woredas regarding diverse LH
energy sources due to trading in strengthening strategies
fuelwood, poles or charcoal • Carry out adequate consultation and
• Inappropriate use of drugs and training with the community when
pesticides, while the PSNP clients business plans on charcoal, poultry
engaged in crop and livestock pathways, and firewood collection are planned
may affect the health status of children on how to manage waste of chicken
and other community members and properly use drugs and
• Weak waste management practices pesticides
especially in the case of poultry and • Ensure planning and
livestock may affect the health status of implementation of livelihood
households options like animal fatting should
follow the national guideline that
strictly orders zero-grazing
approach so as to avoid the potential
risks of fatting and social discontent
Program Targeting
management, • Inclusion and Exclusion errors • Introduce use of PMT for
coordination and • Exclusion of newcomers in Afar exiting
capacity and Somali who may not belong to • Strengthen downward and
development the extended family, lineage or even upward accountability of the
the clan which controls the territory project to ensure that people
• The gender provisions related to feel secure about their rights
targeting of polygamous HHs is not and entitlements (Social
properly implemented Accountability tools)
• There is limited project • Create awareness among
beneficiaries and staffs’ traditional authority structures
understanding/capacity, and undertake information
implementation and reporting on campaign to ensure that
GBV purpose and principles of
• Influence of traditional authority PSNP5 are understood,
structures on targeting including targeting procedures,
• Some clients specifically old people etc.
that should be eligible to participate • Design targeting structures with
in DS are targeted for PW careful consideration to the
balance between formal and
GRM informal traditional authority
• Limited functionality, effectiveness structures
and gender sensitiveness of Kebele • Implement and monitor the
Appeals Committees (KAC) actions included in the GAP
and GBV action plans related to
targeting, GBV and GRM
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Graduation • Conduct annual GRM review
• People may graduate before they are and include the
ready recommendations of the review
Capacity in the project annual plan and
• Low capacity at woreda and kebele reporting
levels • Capacity development and
• Lack of staff and staff turnover as a awareness raising for KAC
result of poor motivation and members and traditional leaders
remuneration resulting in the concerning the objectives of
aggravation of the problem related PSNP
to project implementation • Coordinate with ESAP 3 to
• Weaknesses in monitoring and implement social accountability
evaluation mechanisms which creates the
environment that enables
beneficiaries to demand better
responsiveness and
accountability from
implementers and managers.
KACs should also receive
adequate training on social
accountability principles and
the PIM in order to function
effectively
• Design and implement
evidence-based project exit
strategy
• Regular and focused capacity
building trainings for members
of the various PSNP-related
grassroots committees
• Advocate for the harmonized
project salary scale
• Revise reporting templates to
make space for reporting on
challenges related to
participation in PWs and
Gender and Social
Development PIM provisions
• Initiate a functional and PSNP
MIS
293
Phase II

FOOD SECURITY COORDINATION DIRECTORATE
Strengthen Ethiopia’s Adaptive Safety Net (SEASN)/

PRODUCTIVE SAFETY NET PROGRAM (PSNP5)
REPORT ON ENHANCED SOCIAL ASSESSMENT AND CONSULTATION, PHASE TWO
January 2021
294
Contents
Acronyms ................................................................................................................................... 298

Executive Summary .................................................................................................................. 300
1. Introduction ........................................................................................................................ 309
1.1. ....................................... Background to Productive Safety Net Program (PSNP5/SEASN)
........................................................................................................................................................ 309
1.2. .............................................................................................................. Objectives of the ESAC
........................................................................................................................................................ 311
1.3. ................................................................................................. Project Development Objective
........................................................................................................................................................ 312
1.4. ......................................................................................................... Components of the Project
........................................................................................................................................................ 312
1.5. ....................................................................................................................... Scope of the Work
........................................................................................................................................................ 313
2. Methodology of the Enhanced Social Assessment and Consultation for PSNP5 ......... 315
2.1. ................................................................................................................................. Desk Review
........................................................................................................................................................ 315
2.2. ...... Key Informant Interviews and Email Exchanges with Stakeholders at Federal Level
........................................................................................................................................................ 316
2.3. .................... Key Informant Interview with Stakeholders at Regional and Woreda Levels
........................................................................................................................................................ 316
2.4. ............................................................................................................ Community Consultation
........................................................................................................................................................ 317
2.5. ............................. Key Informant Interviews with Vulnerable and Disadvantaged Groups
........................................................................................................................................................ 319
2.6. .....................................................................................................................Sampling Procedure
........................................................................................................................................................ 319
2.7. ............................................................................................................................... Data Analysis
........................................................................................................................................................ 319
3. Policy, Legal and Institutional Framework ..................................................................... 320
3.1. ........ National Policies and Legal Frameworks related to Productive Safety Net Program
........................................................................................................................................................ 320
3.2. ..................................................................... Institutional and Implementation Arrangements
........................................................................................................................................................ 324
295
3.3. ................... World Bank Environmental and Social Standards Applicable to the Program
........................................................................................................................................................ 327
4. Key Findings on the Enhanced Social Assessment and Consultation ........................... 328
4.1. ............................................................. Vulnerable and Disadvantaged/Underserved Groups
........................................................................................................................................................ 328
4.2. .......... Socio-economic Profiles of the Historically Underserved Regions and Vulnerable
Communities in the Assessment Areas ..................................................................................... 330
4.2.1. Afar Region .............................................................................................................. 330
4.2.2. Somali Region .......................................................................................................... 331
4.2.3. Parts of Oromia ......................................................................................................... 332
4.2.4. Parts of SNNP ........................................................................................................... 333
4.2.5. Amhara Region ......................................................................................................... 334
4.2.6. Tigray Region ........................................................................................................... 335
4.3. .......................................................... Gaps Analysis of the First Phase of the PSNP5 ESAC
........................................................................................................................................................ 335
4.4. ............................................................................................................................... Social conflict
........................................................................................................................................................ 336
4.5. .......................................................................................................................... Local knowledge
........................................................................................................................................................ 337
4.6. ..................................................................................... The Delivery of Productive Safety Net
........................................................................................................................................................ 337
4.6.1 Targeting ................................................................................................................... 337
4.6.2 Transfers ................................................................................................................... 341
4.6.3 Public Works (PWs) ................................................................................................. 344
4.6.4. Livelihood Support ................................................................................................... 347
4.6.5. Linkages to Social Services for PDS and TDS......................................................... 350
4.6.6. Nutrition.................................................................................................................... 350
4.6.7. Asset Loss and Loss of Access to Assets (Involuntary Resettlement) ..................... 351
4.7. ..................................................................................................... Shock-responsive Safety Net
........................................................................................................................................................ 351
4.7.1. Recurring Sources of Shock ..................................................................................... 352
4.7.2. Existing Early Warning System ............................................................................... 352
4.7.3. Shock-responsive delivery system............................................................................ 353
4.7.4. Shock Response Plan ................................................................................................ 354
4.8. ................................................................................. Institutional Arrangements and Capacity
........................................................................................................................................................ 355
296
4.8.1. The Effectiveness of the Institutional Arrangements ............................................... 355

4.8.2. Capacity Gaps ........................................................................................................... 356
4.8.3. The Coordination and Cooperation of Stakeholders and Measures to Improve....... 358
4.9. ................................................................................................ Grievance Redress Mechanisms
........................................................................................................................................................ 360
4.9.1. Grievance related to PSNP ESAC ............................................................................ 360
4.9.2. Proposed Grievance Redress Mechanism for the PSNP5 ........................................ 363
4.9.3. World Bank Grievance Redress Service .................................................................. 364
4.10. ................................................................. Stakeholders Consultation and Public Disclosure
........................................................................................................................................................ 364
4.10.1. Introduction ........................................................................................................... 364
4.10.2. Objectives of the Public Consultations ................................................................. 365
4.10.3. Summary of Stakeholders and Community Consultation of the ESAC PSNP5... 367
4.10.4. Public Disclosure .................................................................................................. 370
5. Potential Social Benefits, Negative Impacts and Mitigation Measures ......................... 371
5.1. ............................................................................................................. Potential Social Benefits
........................................................................................................................................................ 371
5.2. .......................................................... Potential Negative Social Impacts by Program Output
........................................................................................................................................................ 373
5.3. ............. Social Development Plan: Potential Social Risks/Impacts, Mitigation Measures,
Responsible Body and Budget .................................................................................................... 379
Annexes 1-3 .......................................................................................Error! Bookmark not defined.
Annex 4:Interview Guide Questions (1-3) .............................................................................. 401
Annex 5: Summary of Community and Stakeholders Consultations .................................. 406
297
Acronyms
SEASN Strengthen Ethiopia’s Adaptive Safety Net

PSNP5 Productive Safety Net Programme 5
ESAC Enhanced Social Assessment and Consultation
ESF Environmental and Social Framework
GOE Government of Ethiopia
NSPP National Social Protection Policy
NDRMS National Disaster Risk Management Policy and Strategy
CRGE Climate Resilient Green Economy
NFNP National Food and Nutrition Program
HFA Humanitarian Food Assistance
PWS Public Works
PDS Permanent Direct Support
TDS Temporary Direct Support
PLW Pregnant and Lactating Women
FSCD Food Security Coordination Directorate
ESS Environmental and Social Standards
GBV Gender Based Violence
CRW Crisis Response Window
CERC Contingency Emergency Response Component
SNNP Southern Nation, Nationalities and People
KII Key Informant Interview
SEP Stakeholders Engagement Plan
SAs Social Assessments
DRDIP Development Response to Displacement Impact Project
PCDP Pastoral Community Development Project
RPLRP Regional Pastoral Livelihood Resilience Program
LFSDP Livestock and Fisheries Sector Development Project
LLRP Lowland Livelihood Resilience Project
NRMD Natural Resources Management Directorate
WCYAD Women, Children and Youth Affairs Directorate
MOLSA Ministry of Labor and Social Affairs
NDRMC National Disaster Risk Management Commission
NGOS Non-Governmental Organizations
MOA Ministry of Agriculture
BOA Bureau of Agriculture
WOA FS Woreda Administration Food Security
EW Early Warning
DAs Development Agents
TOR Terms of Reference
SDGs Sustainable Development Goals
PASC Pastoral Affairs Standing Committee
HPR House of Peoples’ Representatives
298
GTP Growth and Transformation Plan

EPD Ethiopian Pastoralist Day
PASDEP Plan for Accelerated and Sustained Development to End Poverty
NDRMPS National Disaster Risk Management Policy and Strategy
PDP Pastoral Development Policy
IGAS Income Generating Activities
RPSNP Rural Productive Safety Net Program
CMCU Commodity Management Coordination Office
IPPS Indigenous Peoples Plans
SSAHUTLLC Sub-Saharan African Historically Underserved Traditional Local Communities
CSA Central Statistical Agency
GDP Gross Domestic Product
PW Public Works
KFSTF Kebele Food Security Task Force
FSTF Food Security Task Force
KAC Kebele Appeal Committee
GRMS Grievance Redress Mechanism
FGD Focus Group Discussion
RUSCCO Rural Saving and Credit Cooperatives
MFI Micro Financial Institutions
BCC Behavior Change Communication
MOU Memorandum of Understanding
CSOs Civil Society Organizations
NNP National Nutrition Program
SD Gender, Social Development
CBHI Community Based Health Insurance
299
Executive Summary
Introduction
The Enhanced Social Assessment and Consultation (ESAC) assessed the potential impacts and
risks of the proposed interventions of Productive Safety Net Program V Strengthen Ethiopia’s
Adaptive Safety Net (PSNP5/SEASN) on the historically underserved traditional local
communities and vulnerable groups. Thus, the PSNP5 program should reflect the needs of the
most vulnerable groups to inform the design decision on how to avoid the adverse impacts of its
development interventions on underserved communities and vulnerable groups, or when
avoidance is not possible, to minimize, mitigate and/or compensate for such impacts. The
proposed interventions of the PSNP5 are required to promote sustainable development benefits
and opportunities for underserved communities and vulnerable groups in a manner that is
accessible, culturally appropriate and inclusive. The first phase of the ESAC was conducted. But
community consultation was not conducted due to the COVID-19 pandemic. Thus, the first
phase of ESAC was mainly based on the review of secondary sources: desk review, earlier
findings and assessment related to PSNP. The main social issues and challenges identified in
ESAC I to update the design of the PSNP5 are: limited access to Muslim friendly financial
services; lack of participatory public work planning; resentment among PSNP clients caused by
differing transfer value between PSNP and humanitarian food assistance (HFA); limited
awareness and access to GBV prevention and response services; and ineffectiveness of the GRM
system as the Kebele Appeals Committee (KAC) lacks the capacity to carry out its
responsibility. The second phase of the ESAC aimed to address the gaps in the first phase by
providing adequate and detail analysis based on extensive consultations with the community and
other key stakeholders taking into consideration COVID 19 precautionary measures.
Background to Productive Safety Net Program (PSNP5/SEASN)
The fifth phase of the PSNP maintains the key outputs, principles and number of clients of its
previous phases; and at the same time has introduced new outputs focusing on response to
shocks and strengthening of linkages to social services for the PSNP clients focusing on the
needs of Permanent Direct Support (PDS) and Transitory Direct Support (TDS) clients. The
overall development objective of the PSNP5 is to expand geographic coverage and enhance
service delivery of Ethiopia’s adaptive rural safety net to improve the well-being of extremely
poor and vulnerable households in drought prone communities with further strengthened
elements and strategies. The project provides cash and/or food transfer for its clients. Households
that have able-bodied adult labor are expected to engage in Public Works (PWs) and receive
transfer for 6 months of the year. While PDS —households that are unable to provide labor for
public works— and TDS —those adults who generally engaged in public works but exempted
temporarily— clients receive 12 and 6 months of unconditional transfers, respectively. It also
facilitates access to complementary livelihood services, which aims to improve the access of
PSNP clients to technical, and financial livelihoods support services. Overall, the proposed
SEASN project has three components. Component 1 focuses on the delivery of safety net
operations for core project clients. Component 2 enhances PSNP capacity to function as an
integrated shock responsive social protection program, building on the Government of Ethiopia’s
recent decision to consolidate the operational management of humanitarian food assistance and
300
PSNP under the FSCD. Component 3 relates to the overall management of the PSNP. PSNP5
will be implemented in six regions: Oromia, Amhara, SNNPS, Tigray, Somali and Afar.
Objectives of the ESAC
The objective of the ESAC is to assess the potential social impact of the proposed interventions
of PSNP5/SEASN on communities including the underserved and most vulnerable populations
with a view to ensuring inclusivity and appropriateness of the project design and implementation.
To this end, it focuses on identifying the most vulnerable and historically underserved
population, recording their opinions and perceptions about the proposed interventions of the
PSNP5; assessing the potential social impacts and its implications for project design and
implementation; and provides practical recommendations for dealing with the challenges and
risks identified; and determining how the relationships between stakeholder groups will affect or
be affected by the Project. Likewise, the ESAC provides an overview of the demographic, social,
cultural and political characteristics of the vulnerable and disadvantaged groups in the
participating regions.
Methodology
The second phase of the ESAC for PSNP5 used both secondary and primary sources of data. Part
of the secondary sources reviewed related policy, legal and institutional frameworks. The
national policy documents and statutes covered include The Constitution of Ethiopia, Pastoral
Development Policy, Women’s Rights Policy, Social Protection Policy, Growth and
Transformation Plan (GTP I and II), the revised National Disaster Risk Management Policy and
Strategies and FDRE 10-Year Strategic Development Plan (2020-2030). Besides, the preparation
of the ESAC is in line with the World Bank Environmental and Social Frameworks (ESF),
particularly ESS1, ESS7 and ESS10. Part of the secondary sources focused on a desk review of
PSNP related documents: PSNP Household Impact Assessments (2006-2012), SEASN Phase I
Enhanced Social Assessment and Consultation, Enhanced Social Assessment and Consultation
(2014 and 2017), PSNP Midline Survey (2018), Gender Analysis and GBV Risk Assessment of
PSNP5 (2020) and the first phase of ESAC for PSNP5 to mention but only the major ones.
The primary sources of data depend on consultations conducted with key informants at federal,
regional, woreda, NGOs and development partners as well as beneficiaries, vulnerable and
disadvantaged groups. Key informant interviews and email exchanges were conducted at federal
level with Ministry of Agriculture (MOA), Food Security Coordination Directorate (FSCD) (1),
Natural Resource Management Directorate (NRMD) (1), Women, Children and Youth Affairs
Directorate (WCYAD) (1), Ministry of Labor and Social Affairs (MoLSA) (1), Natural Disaster
Risk Management Commission (NDRMC) (1) and World Vision (1), Care Ethiopia (1) and
World Food Program (1) with total of 8 individuals. Whereas, fieldwork was conducted in six
regional states and 8 old and new PSNP woredas selected. Thus, key informant interview was
conducted with 97 implementing stakeholders from all involving Regional Bureaus, Woreda
Sector Offices and Kebele level program implementers. Further, consultations with the
beneficiary community and key informant interview with disadvantaged and vulnerable groups
in the respective selected woreda were covered in the fieldwork.
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Sampling Procedure and Woredas Covered
Eight woredas were selected from six PSNP regions: Mille, Elida’ar (Afar), Kebribeya, Mula
(Somali), Tsiraie wonberta (Tigray), Ebinat (Amhara), Boset (Oromia), and Bolosso Sore
(SNNP). The sampling procedure considered existing and new/recently joined PSNP woredas of
pastoral and agro-pastoral communities, vulnerable groups with special needs, local security and
accessibility issues and covered one sample kebele from each selected woreda for the community
consultation and key informant interviews.
Institutional and Implementation Arrangements
Implementation arrangements for the PSNP under this phase of support will build on the
structures put in place for the ongoing projects (PSNP4 and RPSNP). The PSNP is implemented
through the Ministry of Agriculture by The Food Security Coordination Directorate (FSCD),
which is responsible for the overall coordination and management of the project, and other line
ministries responsible for delivering services related to their mandates. The management of e-
payment contracts will shift from the Ministry of Finance to the Food Security Coordination
Directorate to ensure better integration of program functions into one main agency at federal
level. MOLSA, MOF, CMCU, NDRMC, The Jobs Creation Commission and the Rural Job
Opportunities Commission as well as Regional Bureaus and Woreda Offices corresponding to
each line Ministry/Agency are responsible for the implementation of program activities. Specific
to social management, the FSCD social development unit will be responsible for coordinating
and overseeing the planning, implementation and monitoring of the social management
instruments and work in close collaboration with Women, Children and Youth Affairs
Directorate of MoA, MoLSA, and Natural Resources Management Directorate (NRMD) to
address social issues.
Gaps Analysis of the First Phase of ESAC for PSNP5
The following major gaps of the first phase of ESAC (ESAC I) for PSNP5 were identified.
Firstly, community consultation was not conducted due to the COVID-19 pandemic. Thus, the
first phase of ESAC was exclusively based on the review of secondary sources: desk review,
earlier findings and assessment related to PSNP. Despite providing backdrop, the first phase of
ESAC lack primary data sources. To adequately substantiate the potential social impacts of the
proposed interventions of the PSNP5 on communities including the underserved and most
vulnerable populations, fieldwork was conducted among these groups during the second phase of
ESAC (ESAC II) to address the gap by generating primary data from the different sources.
Second, ESAC I is shallow in depth presenting just a summary of each component of the PSNP5.
With the preparation development, ESAC II filled the gap by providing detailed data and
description regarding each component of PSNP5. Third, ESAC I did not describe the socio-
economic profiles of the historically underserved regions and vulnerable communities in the
program target areas. Similarly, relevant national policies and strategies are not discussed. In
contrast, ESAC II dealt with both themes in adequate detail.
302
Key Findings of the ESAC
Vulnerable and Disadvantaged/Underserved Groups
In order to avoid or mitigate any project intervention that may bring exclusion, restriction,
discrimination or disproportionate impacts and benefits, the findings of the ESAC II identified
and analyzed the situations of the following disadvantaged and vulnerable groups for
SEASN/PSNP5 to draw special attention to:
The World Bank requirements ESS 7 about underserved peoples/Sub-Saharan African

historically underserved traditional local communities’ standard is applicable in the project
implementation areas of Ethiopia, particularly the people in Afar, Somali, parts of Oromia and
SNNPR. The ESAC findings analysed that the food insecurity and loss of livelihood leading to
increased malnutrition, food insecurity, shocks and poverty disproportionately and significantly
impact vulnerable groups of the community more specifically: pregnant women and lactating
mothers, women in male-headed households, female-headed households, pastoralist households,
polygamous households, elderly-headed households, disabled/persons affected by chronic
diseases, children, unemployed rural youth, people living with HIV/AIDS, labour-poor
households, ex-pastoralists, and new residents to woredas.
ESAC found that there are several sources of vulnerability in the disadvantaged regions
including deterioration of grazing/range land due to natural and human-made factors, drought,
deforestation of rangeland, epidemic diseases on human and livestock, market failure, poor
socio-economic infrastructures: health, education, and market facilities, and rural road
connection, conflict over resource competition; and deterioration of customary institutions. Even
at present time, human population increases pressure on natural resources while conflict and
insecurity often make these resources inaccessible. More to the point, unequal socio-economic
dynamics could be resulted due to favouritism or corruption made by local/ kebele leadership or
other economically influential community members who can misuse resources to their benefit
from the proposed project. Thus, the PSNP5 should give due attention to these vulnerable or
disadvantaged sections of the community during its implementation.
Local Knowledge
ESAC findings revealed enormous local knowledge in soil and water conservation, area closures
for pasture, digging water wells and management and community labour organization that could
be utilized as good opportunity for better implementation of the PSNP5, particularly the public
work sub-component. Nevertheless, the prevailing experience showed lack of participatory
public work planning for the use of such traditional knowledge. It is imperative conducting a
kind of analysis over existing community’s local knowledge and devise ways to utilize them.
Potential Social Impacts and Risks
Below, the summary of the assessment findings describe the social benefits and risks, related
gaps and specific recommendations in line with each component of the proposed
SEASN/PSNP5.
303
Component 1: The Delivery of Productive Safety Net
Targeting: Consultation revealed that the program implementers, particularly those at the
woreda and kebele level lack awareness of the shift of the targeting criteria in PSNP5 and what
facts necessitates the change. The exclusion and inclusion errors are the common problems in all
PSNP woredas. Yet, the risk of exclusion error is higher for vulnerable groups due to weak
performance of KFSTF, elite captures, acts of nepotism, favoritism, abuse of power, and
corruption by kebele administers and DAs, weak or none responsive KAC, and lack of
proportional representation and active women members in KFSTF and KAC. Mitigation
measures suggested include: first, ensure proportional representation and active involvement of
women in FSTF and KAC, provide training and technical supports to enhance the capacity of the
FSTF and KAC members on PSNP provisions, GBV/SEA response mechanisms of handling
complaints; second, provide close supervision by Woreda Sector Experts; and serious
supervision and follow-up measures and actions on those members of the FSTF, DAs and kebele
administers engaged in acts of nepotism, favoritism, abuse of power and corruption.
Transfers: PSNP transfer has improved household food security and consumption. Consultation
with PW clients, TDS and PDS revealed that had it not been for the PSNP transfer many
households would face challenge to survive. Before the intervention of the PSNP, these
households used to live under critical food poverty. Hence, clients expressed PSNP as “a live
saving program or the insurance of the poor people.” However, delay of cash payment and food
transfer, culturally inappropriate food transfer, and inadequacy of transfers coupled with the high
eroded value of wage rate are invariably reported as the serious problems in the study PSNP
woredas. This caused increased household asset depletion and negative coping strategies. ESAC
further assessed that the problem is more severe for the disadvantaged and vulnerable groups.
Because, key informant interview with these groups uncovered, they cannot afford the price of
the high rate of the inflation or cannot resort to other coping mechanisms such as loan from
private lenders. Yet, there are two more factors with disproportionate impacts for vulnerable
groups. First, the inaccessibility or the distance of the payment and food distribution center
disproportionately impacts on female-headed, elderly-headed and labour-poor households.
Second, clients and program implementers have illustrated cases of mismanagement or misuse of
transfers such as alcohol drinking, cigarettes, khat chewing or unintended purposes when
collected by men. On time commodity movement from federal to region and from region to
woreda, review and compensation adjustment for the eroded value of the cash wage rate as per
the high rate of inflation in short-time interval than being annually, and devising a system of
payment whereby transfers are collected by wife than husband are among the key measures
recommended.
Public Works (PWs): Consultations found that the PW component of the PSNP has been
engaging in various community asset creation activities including soil and water conservation,
forestry and agro forestry, the constructions of small-scale irrigation schemes (in some woredas)
and construction and maintenance of social services. Consequently, community consultation
participants and stakeholder interviewees alike acknowledged improved community asset
creation, natural resources conservation and production and productivity of land. On the other
hand, community consultation participants expressed the mismatch between PW timing and their
annual farming/pastoral calendar resulting from lack of participatory public work planning.
Despite workload was noted by all participants, the ESAC finding indicates the differential
304
impacts for women in male-headed (participating in PWs in place of their husbands) and female-
headed households due to their double-labour engagement. For women without having adult
person at home to look after their children or those who take their children to PW site, children
safety and health risks were reported. To mitigated the identified risks, the following measures
are proposed in Social Development Plan (SDP): first, ensure the active participation of the
beneficiary households to prioritize PW activities and decide on convenient timing of PWs; and
second, ensure effective participation of women in the planning process of PWs to properly
reflect and prioritize their special needs of labour engagement, consider reduction of the working
hour, number of days or share of the household labor for female-headed and women in male-
headed households having no adult member at home for support, assign women to light works to
reduce the physical exhaustion of labour-work.
Livelihood support: In those four regions (Oromia, Amhara, SNNP and Tigray) where the
livelihood support of the PSNP has been implemented, targeting households have witnessed
improvement in their livelihood status owing to the technical and financial supports received in
this respect. Partly, livelihood-targeting clients expressed that the improvement is attributable to
the technical training received on livelihood diversification, financial literacy, income generating
activities, and business management skills. In part, the creation of additional household assets is
indebted to the financial supports (facilitating access to credit, livelihood transfer and livelihood
grant) received. Several sources of discontent were discussed as well. Community consultation
participants and interviewed program implementers in Somali and Afar regions have a serious
complaint mentioning that the PSNP livelihood support sub-component has not been commenced
in their woredas yet. In the woredas where the livelihood support operating, limited access to
micro-credit, unbearable pre-conditions for loan, lack of culturally appropriate loan, inadequacy
of loan amount and livelihood grant were discussed as the major hindering factors. The ESAC
findings uncovered the targeting of livelihood support is unfair for vulnerable groups. Owing to
cultural norms, women in male-headed households are not targeted for livelihood support. As
targeting is exclusive to husband, polygamous households cannot compete for more than one
targeting chance. Landless unemployed rural youth and new residents to woredas cannot afford
the pre-condition for loan. To address the aforesaid negative social impact, the ESAC
recommends the following mitigation measures: PSNP5 should launch the livelihood support
sub-component in Afar and Somali regions; for male-headed households, prioritize women for
the targeting of livelihood support; for polygamous household, consider the chance of targeting
for livelihood per co-wives; re-consider previous PSNPs targeting criterion for the inclusion of
vulnerable groups such as landless unemployed rural youth and new residents to woredas; and
affirmative action (e.g. assign quota system) to fairly target for elderly-headed households and
people with disability /persons affected by chronic diseases.
Linkages to social services for PDS and TDS: ESAC finding exposed the PSNP interventions
have improved linkages to social services, particularly for PDS and TDS clients in two major
ways. The first major way is by providing Social and Behavioral Change (SBCC) training
sessions that boost client households’ social service seeking behavior. The tremendous increment
of pregnant and lactating women seeking for ante- and post-natal care services was discussed by
community consultation participants and interviewed program implementers as one typical
illustrative example. The second major way is through the constructions of schoolrooms, health
post, and rural roads construction and rehabilitation. In contrast, access to basic adult education,
Community Based Health Insurance (CBHI) and legal services was none or insignificant in all
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the PSNP woredas. Therefore, PSNP5 should create a platform that assess the special needs of
the PDS and TDS clients and make linkages to appropriate social services accordingly.
Nutrition: Community consultations assessed the important contribution of the PSNP in

improving the nutrition of children. Clients and program implementers have witnessed the
contribution from two major points of views: PSNP transfer payment enabled households feed
their children with diverse meals relative to what has been the case before joining the program
and household’s enhancement of the soft conditionality due to attendance of nutrition based BCC
sessions.
Asset loss and loss of access to assets (involuntary resettlement): Consultations found that
there is no public works induced asset loss or loss of access to assets in all PSNP woredas
covered in the assessment.
Component 2: Shock-responsive Safety Net
Recurring sources of shock: ESAC found that drought; flooding, livestock diseases, locust, and
snow (for highland areas) are the major recurring sources of shock in the study woredas. In
addition, land slide is very critical source of hazard in Bolosso Sore woreda in SNNPR.
Furthermore, consultation showed that displacement and eviction of a large number of people
from different parts of the country due to the recent social and political unrest poses a critical
problem in various kebeles of the woreda. Of all listed shocks, drought is the major recurring
source of shock both in the agricultural and pastoral communities. However, consultation
assessed that pastoral communities are more vulnerable to drought shocks. Consequently, over
years, the situation has overwhelmingly reduced the productivity of the livestock while mass
death of livestock occurred from the outbreak of animal epidemic accompanied by prolonged
drought. These particular features of the pastoral communities recommended the need to use
effective risk assessment and early warning systems to avoid and significantly reduce or mitigate
the impacts of drought shocks. PSNP5 livelihood intervention should be tailored towards these
peculiar livelihood contexts of the pastoral communities.
Monitoring and prediction of sources of shock: Manual and poor quality based early warning
data management system make poor capacity of monitoring and prediction of short- and long-
term sources of shock. That makes the proactive interventions so difficult to avoid, reduce or
properly mitigate the impacts of shocks on people, economy and environment. The finding of the
ESAC for PSNP5 recommends the automation of the collection, management and access of early
warning data to enhance the existing poor capacity of monitoring and prediction of short- and
long-term sources of shock. In addition, providing adequate training for early warning staffs at
all levels on the automation system is necessary for enhancing the capacity of monitoring and
prediction of shocks.
System of needs projection: Manual and poor based early warning data management system
caused poor capacity of needs projection in terms of: the number of people needing emergency
assistance, the number of vulnerable people with special needs, the volume of food
needed/consumption gaps, the duration of support required, and the months of support that is
needed. This makes drought response plan and disaster risk financing plan so difficult. The same
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mitigation measures suggested above for effective monitoring and prediction of sources of shock
is considered here to enhance the system of needs projection.
Shock-delivery system: ESAC finding uncovered the current shock-delivery system is

ineffective for several reasons. First, the core PSNP and Humanitarian Food Assistance (HFA)
are delivered independently leading to overlapping in the targeting of clients for PSNP and HFA,
differing transfer value between PSNP and HFA, and parallel institutional arrangements. Second,
the existing shock-delivery system has no standard operating rules and procedures that define the
system’s scales-up, how it will scale-up, to which groups of population, for how long and how
much assistance shall be received. These factors resulted in the delay of the HFA exacerbating
the impacts of shock. The shock impacts are even more severe for vulnerable groups such as
children, pregnant and lactating women, elderly, people with disabilities/persons affected by
chronic diseases and people living with HIV/AIDs who are in urgent need of food assistance.
Thus, stakeholders underline that it would be good to have a strategy that make analysis over the
special need of vulnerable groups and respond to their needs accordingly. The existing poor
shock-delivery system urges the upcoming PSNP5 to undertake appropriate mitigation measures.
First, change the current multiple delivery mechanisms to a single delivery system which
combines Humanitarian Food Assistance and the core PSNP. Second, develop standard rules and
procedures that define the system’s scales-up, how it will scale-up, to which groups of
population, for how long and how much assistance shall be received. Third, develop system for
effective shock response plan and disaster risk financial plan.
Component 3: Program Management Support
Effectiveness of the institutional arrangements: ESAC finding uncovered existing institutional

arrangements from federal to kebele level are good. However, interviewed federal, regional and
woreda stakeholders alike expressed difficulty of effectively fulfilling duties and responsibilities
due to continuous reshuffling of leaders and staffs’ lack of commitment. In addition,
stakeholders discussed weak coordination and cooperation among implementing offices/agencies
of GOs, NGOs and development partners at different levels. Thus, informants suggested a strong
linkage between the higher-level program staff and the front line implementers has to be
improved so that everybody can be on the same page, update each other on programmatic level
changes and timely resolve challenges that the front line staff facing. Strengthening the GO-
NGO forum and providing space in the JRIS agenda to share key learning and experience is
recommended.
Capacity gaps: Staffs’ knowledge and skill gaps from federal to kebele level on gender and
nutrition sensitive PSNP provisions, TDS and PDS risk the equal benefits of women, children,
TDS and PDS clients by properly implementing the program. In view of identified gaps,
informants suggest several measures: automation of data management system, regular capacity
building trainings for staffs, incentives for the frontline staff, providing educational opportunities
for the DAs and the technical staff, allocation of enough capital, admin and CD budget, and
quality technical support for split woredas.
Grievance redress mechanisms: Stakeholders identified the following major sources of

grievance: exclusion and inclusion errors, delay of cash payment and food transfers, claim over
access to payment by divorced husband and wife, discontent due to unfair livelihood support
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targeting, inaccessibility of the distance of payment and food distribution center, and mismatch
between public work timing and clients’ annual farming/pastoral calendar. Nevertheless, the
existing GRM is none responsive for the reasons already stated above. In addition, recommended
measures are stated earlier.
Overall summery on key identified social risks and related issues and recommended actions have
been included in Social Development Plan.
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1. Introduction
Social Assessment is an instrument used to identify and analyze the potential social impacts and
risks of the proposed World Bank supported project, evaluate alternatives and design appropriate
mitigation, management, and monitoring measures. Such assessment is a flexible process that
can use different tools and methods depending on the scale and details of the proposed project. It
is thus the primary means of ensuring Word Bank supported projects that are socially sound and
sustainable and would be used to inform decision making in project design. This Enhanced
Social Assessment and Consultation (ESAC) assesses the potential impacts and risks of the
proposed interventions of SEASN/PSNP5 on the historically underserved traditional local
communities and vulnerable groups. The World Bank Environmental and Social Framework
(ESF) require PSNP5 to ensure that its development interventions foster full respect for the
special interests, identity, culture, and natural resource based livelihoods of historically
underserved traditional local communities. Likewise, the PSNP5 program design should reflect
the needs of the most vulnerable groups in a community.
Thus, this social assessment is conducted to inform the design decision of PSNP5 on how to
avoid the adverse impacts of its development interventions on underserved communities and
vulnerable groups, or when avoidance is not possible, to minimize, mitigate and/or compensate
for such impacts. The proposed interventions of the PSNP5 are required to promote sustainable
development benefits and opportunities for underserved communities and vulnerable groups in a
manner that is accessible, culturally appropriate and inclusive. As part of these requirements, the
World Bank agreed with the Government of Ethiopia that each new project would undertake an
Enhanced Social Assessment and Consultation. Accordingly, the first phase of the ESAC was
conducted with focus on secondary review due to the COVID 19 outbreak. Since that was mainly
based on the review of secondary sources, second phase ESAC, this study, aimed to address the
gaps in the first phase by providing adequate and detail analysis using primary data was
conducted.
1.1. Background to Productive Safety Net Program (PSNP5/SEASN)
The fifth phase of the PSNP maintains the key outputs, principles and number of clients of its
previous phases; and at the same time has introduced new outputs focusing on response to
shocks and strengthening of linkages to social services for relevant PSNP clients. Phase five will
expand geographic coverage and enhance service delivery of Ethiopia’s adaptive rural safety net
to improve the well-being of extremely poor and vulnerable households in drought prone
communities with further strengthened elements and strategies. It also aims to contribute to the
ten years development plan of the GoE (2020-2030) and other policies including the National
Social Protection Policy (NSPP), the National Disaster Risk Management Policy and Strategy
(NDRMS), the Climate Resilient Green Economy (CRGE) strategy, and the National Food and
Nutrition Policy (NFNP). It aims not only to respond to extreme poverty and vulnerability
through the provision of food and cash assistance but also to prevent asset depletion and protect
against short-term shocks in poor and vulnerable areas as well as to create assets at the
community level, to enhance access to services, to prevent the depletion of natural resources and
to rehabilitate ecosystems. The project is expected to further strengthen the already started
transition from a series of time-bound programs to the development of an efficient and effective
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system for delivering rural safety net through consolidation of the PSNP and the Humanitarian
Food Assistance (HFA) under a single scalable safety net.
The project provides cash and/or food transfer for its clients. Households that have able-bodied
adult labor are expected to engage in Public Works (PWs) and receive transfer for 6 months of
the year. Moreover, Permanent Direct Support (PDS) clients, households that are unable to
provide labor for public works, receive 12 months of unconditional transfers. It also facilitates
access to complementary livelihood services, which aims to improve the access of PSNP clients
to technical and financial livelihoods support services.
The Outcome of PSNP5 is “Enhanced resilience of extremely poor and vulnerable female and
male members of rural households in PSNP woredas.” The project will attempt to achieve this
through implementing the following 6 outputs: i) timely, predictable, appropriate and adequate
transfers received by eligible core caseload of male and female PSNP clients, ii) Households
affected by climate-induced84 shocks receive adequate transfers which help them to manage
shocks when needed, iii) Sustainable and appropriate public works respond to community and
PSNP households’ livelihood needs and contribute to climate change adaptation and mitigation,
iv) Linkages to available social services facilitated for eligible core caseload PSNP clients
focusing on the most vulnerable (Permanent Direct Support (PDS), Temporary Direct Support
(TDS), Pregnant and Lactating Women (PLW), v) Tailored, nutrition, climate and gender
responsive and diversified livelihood options accessed by PSNP clients through accountable
delivery system, and vi) Strengthened program management, coordination and capacity
development with accountable mechanism to ensure effective and efficient overall program
delivery.
Overall, the proposed SEASN project financed by World Bank has three components. The first
component focuses on the delivery of safety net operations for core project clients. It includes:
the delivery of core transfers; the implementation of the public works sub-projects by which
most beneficiaries earn their safety net benefits; services for children between 1to5 years old;
and, complementary livelihood services to enable PSNP beneficiaries to enhance and diversify
responsive social protection program, building on the Government of Ethiopia’s recent decision
to consolidate the operational management of humanitarian food assistance and PSNP under the
FSCD. The third component relates to the overall management of the PSNP. It includes activities
focused on strengthening Government institutions’ ability to manage all aspects of project
implementation and the use of core instruments (such as targeting, Management Information
Systems and Grievance Redress Mechanisms) to assist project operations, poverty and
vulnerability; and full retargeting at the beginning of the project and every four years.
Labor-constrained households will receive unconditional all year-round transfers as Permanent

Direct Support Clients (PDS) and are linked with complementary social services where possible.
Transfers are provided in cash or food through the GoE’s financial management and food
management systems. Livelihoods activities aim to enable PSNP clients to diversify and increase
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Climate change-induced shocks refer to climate change-related events, including rapid onset shocks (like floods,
disease outbreaks, food price increase, etc.) and slow onset shocks (like drought, food price volatility,
environmental degradation, etc.). However, in the context of PSNP 5 shock responsive safety net, the use of the term
is limited to refer to the following shocks: drought, flood, frost and pest (PSNP 5 draft design document).
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their incomes thereby moving out of poverty (and graduating from participation in the PSNP).
The PSNP has been designed so that safety net support can be expanded in response to drought.
The project has flexibility to provide extended months of support to existing clients and include
additional households as temporary clients.
1.2. Objectives of the ESAC
The objective of the Enhanced Social Assessment and Consultation is to assess the potential
social impact of the proposed interventions of PSNP5/SEASN on communities including the
underserved and most vulnerable populations with a view to ensuring inclusivity and
appropriateness of the project design and implementation. It provides an overview of the
demographic, social, cultural and political characteristics of the vulnerable and disadvantaged
groups in the participating regions and the project’s potential and adverse effects of the
vulnerable and disadvantaged groups and how the positive impacts can be enhanced and social
risks managed. The Social Assessment mainly focuses on identifying the most vulnerable and
historically underserved population,85 recording their opinions and perceptions about the
proposed interventions of PSNP5; assessing the potential social impacts and its implications for
project design and implementation; and provides practical recommendations for dealing with the
challenges and risks identified.
The assessment was focused on identifying the key stakeholder groups in the Project areas
(including their livelihood and socio-cultural characteristics of beneficiary communities, etc.);
the degree of harmonization in project interventions and the system in place, recording their
opinions and perceptions about the Project; assessing the social impacts; and determining how
relationships between stakeholder groups will affect or be affected by the Project. The ESAC for
the project assessed the needs of historically underserved local communities (ESS7).
Furthermore it assessed the potential social benefits, risks, indirect and community level social
impacts for the public work, livelihoods, and transfer component with its implications for project
design and implementation; and provide practical recommendations for dealing with the
challenges and risks identified (ESS1).
Unlike the previous ESACs for Productive Safety Net Programs (PSNP), the PSNP5 was carried
out in two phases due to the COVID-19 pandemic. The first phase (which was already prepared
by the GoE) heavily depended on secondary data, reviewed key studies and evaluation reports
which engaged community at large and the vulnerable groups in particular. It presented the
findings of the studies and consultations conducted before and during the course of PSNP IV,
and explain how they have been integrated in the design of PSNP5. Recent community level
analysis such as PSNP5 gender analysis and GBV risk assessment report help the first phase
ESAC to ensure that community level perception and voice are integrated in this phase. The
findings of the evidence review were also supplemented by discussion with federal level
government and development-partner specialists. Since PSNP5 does not involve any
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Most vulnerable and historically underserved populations often includes: women in male headed and female-
headed households, polygamous households, pastoralist households, unemployed rural youth, labour-poor
households, the elderly, pregnant and lactating mothers, malnourished children, people living with HIV/AIDS
(PLHIVs) and labour-poor households, in existing and new woredas of the project
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fundamental changes in the design of the PSNP, these findings have been adopted as entirely
relevant for the preparation of PSNP5.
For the second phase of the ESAC community consultations with specific historically
underserved or vulnerable groups, in selected new and old woredas, were conducted in order to
develop community-specific or area-specific adjustments in the project design or implementation
and update of instruments that may be required in order to ensure that the project fully responds
to those community needs. The ESAC:
• Establish an appropriate gender and inter-generationally inclusive framework that

provides opportunities for consultation at each stage of project preparation and
implementation among the borrower, the affected vulnerable and disadvantaged groups
or communities, their representative organization, if any, and other civil society
organizations (CSOs) identified by the affected, the vulnerable and disadvantaged groups
as representative or able to promote their development needs;
• Use consultation methods in the context of COVID 19 appropriate to the social and
cultural values of the affected vulnerable and disadvantaged groups and their local
conditions and, in designing these methods, it gave special attention to the concerns of
vulnerable and disadvantaged women, people with disability, youth, and children and
their access to the development opportunities and benefits; and
• Provide a framework to provide affected vulnerable and disadvantaged communities with
all relevant information about the project (including an assessment of potential adverse
effects of the project on the affected vulnerable and disadvantaged) in a culturally
appropriate manner at each stage of project implementation.
1.3. Project Development Objective
PSNP5's/SEASN’s overall Project Development Objective is “expand geographic coverage and

extremely poor and vulnerable households in drought prone communities”.
1.4. Components of the Project
The proposed project will support the fifth phase of the Government of Ethiopia’s Productive
Safety Net Program (PSNP5).86 This phase of support, SEASN will build on experiences and
lessons learned from early phases of implementation and will seek to make key enhancements to
the program under three components:
Component 1: focuses on the delivery of safety net operations for core program beneficiaries. It
includes the delivery of core transfers; the implementation of the public works sub-projects by
which most beneficiaries earn their safety net benefits; services for children between 1 to 5 years
old; and complementary livelihood services to enable PSNP beneficiaries to enhance and
diversify their incomes.
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The fourth phase of the Government program was supported by two World Bank projects: the Productive Safety
Net Project IV and the Rural Productive Safety Net Project.
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Component 2: will (i) support the Government to expand the geographic coverage of PSNP in
additional drought-prone woredas; and (ii) enhance PSNP capacity to function as an integrated
shock responsive social safety net, building on the Government of Ethiopia’s recent decision to
consolidate the operations management of humanitarian food assistance and PSNP under the
Food Security Coordination Directorate in the Ministry of Agriculture. This component also
includes a pre-allocated Crisis Response Window (CRW) Contingency Emergency Response
Component (CERC) which will facilitate an early response to emerging food insecurity crises.
Component 3: relates to the overall management of the PSNP. It includes activities focused on
strengthening Government institutions’ ability to manage all aspects of project implementation
and the use of core instruments (such as targeting, Management Information Systems and
Grievance Redress Mechanisms) to assist project operations, poverty and vulnerability; and full
retargeting at the beginning of the project and every four years. Within these components, there
are three priority themes underpinning the support SEASN provides: integration, sustainability,
and modernization.
1.5. Scope of the Work
The Enhanced Social Assessment and Consultation was a combination of three stages. First,
engaged in a Rapid Context Assessment of available data, identifying stakeholders and key
issues, and undertaking a gap analysis of where additional data or consultations are required.
Second, on the basis of the context assessment, collect and organize data and information to fill
the gap, specifically focusing on potential project impacts on underserved and vulnerable groups
and thirdly, conducted an in-depth consultation process with the identified stakeholders, specific
to the SEASN project. With these three stages, the specific activities undertaken are described in
detail as follows:
Reviews and assessment on key social issues: Review the project background documents,
Phase I ESAC and understand the full extent of the proposed project, its general location, size,
schedule and planned sequence of activities, available resources, expected implementation
arrangements and life-span. The ESAC write-up covered a description of each component of the
proposed project as it relates to social analysis. The consultants, with support of GoE and Social
Development Task Force (SDTF), conducted literature review to complement the first phase of
PSNP5 ESAC in the areas of:
• The socio-cultural, institutional, historical and political characteristics and contexts of the
affected communities in which the PSNP operates;
• Qualitative descriptions of relevant development trends such as significant demographic
changes, patterns of asset ownership and livelihoods, external political or economic and
environmental aspects. The data was disaggregated in such a way as to assist with
understanding the key risks and impacts of the project. The finding on the baseline
described the social/cultural features that differentiate social groups in the project area.
Furthermore, it described their different interests in the project, and their levels of
influence and involvement. It also described the social organization of underserved
communities, degree of social conflicts, networks, and support systems, conflict
resolution mechanisms and local institutions (customary and other) and proposed
mechanism to avoid elite capture of project benefits. Besides, assessment included the
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religious, cultural and political context and how it is likely to affect and be affected by
the proposed project interventions and methods of community engagement at all stages.
• Description of the constraints and opportunities of the context poses to the project;
• Updated the relevant national legislation and regulations related to the most vulnerable
and disadvantaged groups, gender equality, etc.
• Assessment of likely Social Risks and Positive Impacts. This identified social risks (e.g.
country risks, political economy risks, institutional risks, and vulnerability risks). Social
risk analysis examined the social groups vulnerable to stress and shocks and the
underlying factors that contribute to this vulnerability. The consultants examined these
key elements in order to assess and describe the opportunities, constraints and likely
social impacts of the project. Advised whether Involuntary Resettlement and Physical
Cultural Resources related standards are likely to apply; map the gender patterns of
existing community institutions (both formal and informal), assessed women’s roles and
how to promote participation in the project and mitigating measures and assess the
participation of various social groups (women/men/youth/vulnerable groups), including
their involvement in leadership.
• Assessed the institutional capacity and the institutional arrangements from national to
local level proposed under the project as well as resources requirements to manage and
monitor social safeguard issues/risk management measures. Also assessed the validity of
the training programs as well as extent that gender-sensitive participatory approaches are
employed.
• A gap analysis was undertaken to determine what additional data and research is required
in terms of identification of stakeholders, social issues, geographical areas, livelihood
groups and socio-cultural characteristics not already covered; addressed by the field
work.
Fieldwork Plan: Based on reviews and assessment of available data that identify the particular
agro-ecological conditions, livelihood and specific socio-cultural groups, including most
vulnerable and disadvantaged groups and areas, which have not been sufficiently covered and for
which additional data is required. Fieldwork was carried out in eight woredas from six regions
(two woredas each from Afar and Somali, one each from SNNP, Oromia, Tigray and Amhara).
The woredas were comprised from existing and potential new program areas. FSCD worked
closely with its regional counterparts to ensure relevant woredas for this consultation. Key
findings and recommended actions of the first phase of PSNP5 ESAC was also validated.
Data Collection and Consultation: Data collection had taken the form of informed consultation
(including focus group discussions and KII as appropriate) which takes the COVID-19 related
measures into consideration. This task covered the following activities:
• Identified the potential vulnerable groups in the study areas. The team from MOA went
to potentially disadvantaged areas in consultation with consultants to conduct focus group
discussions and community consultations and draft the main outcomes of the
consultations;
• Targeted groups for data collection and focus group discussions were based on guidance
provided by the World Bank’s Social Development Team;
• Presented the key points of the proposed project as it relates to equity issues;
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• Following the brief description of the proposed actions, asked specific questions on the
needs of the community in terms of the rural safety net interventions (adequacy,
sustainability, quality, accessibility, etc.). The World Bank reviewed the instruments
developed. The questions were phrased appropriately to get feedback on the needs of the
community in providing better service;
• Provided description or explanation of their customary or cultural, social
institutions/organizations that might have implication to the project. The report reflected
literature on the unique cultural characteristics or establish what makes them different
and about their customs and values that could assist in delivery of the project.
• Additional questions included: information about livelihood issues, land certification,
community participation, grievance redress and benefit sharing plans and effective use of
these; the extent to which the ongoing Phase of the PSNP has benefited the particular
group and specific questions regarding appropriate interventions required to improve
social outcomes of PSNP5. Moreover, the appropriateness and potential impact of project
activities which are newly introduced in PSNP5 were explored.
The consultation process was focused on ascertaining the extent to which the Ethiopia Rural
Safety Net Project’s Social Development Plan has been implemented, including the
appropriateness of the recommendations and possible areas for strengthening in addition to
impacts of its activities to date. The team of consultants developed/updated Phase I Social
Development Plan to ensure that the project and its implementing agencies respect the dignity,
rights and culture of underserved communities and ensure that these people benefit from the
program in a sustainable manner. The team of consultants, together with the client also
defined/updated monitoring indicators for identified measures.
To ensure broad participation, consultations with communities included a description of the

PSNP5 in a way that community members can understand.
Based on the findings of the previous steps, the consultants, in consultation with government
counterparts, updated the first phase of PSNP5 ESAC’s report and social development action
plan in such a way that the complete report provides guidance to project managers and other
stakeholders on how to strengthen the integration of social development issues into project
design and implementation arrangements. The consultants, together with the client and relevant
SDTF members, verified early results, including findings in the report and updated sections in
the ESMF.
2. Methodology of the Enhanced Social Assessment and Consultation for PSNP5
As part of the assessment, desk review, key informant interviews with federal, regional, woreda,
NGOs and development partners, vulnerable and disadvantaged as well as community
consultation were conducted. In the following sections, each of the aforementioned methods,
sampling procedures and data analysis are discussed in detail.
2.1. Desk Review
The Enhanced Social Assessment and Consultation was carried out mainly on the basis of the
study already carried out in the SAs, ESMF and SEP prepared for this and other projects of
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World Bank in Ethiopia such as DRDIP, PCDP-3, RPLRP, LFSDP and LLRP and in particular
the various documents prepared for PSNP, including enhanced social assessment for PSNPIV.
Relevant documents and studies were reviewed, including the National and International Laws
and Proclamations as well as Ethiopian government rules and regulation related to vulnerable
groups, gender equality and historically underserved or disadvantaged regions. The review of the
existing social safeguards instruments were conducted in the context of the PSNP5 ESAC
document and the situational potential social risks. The review also involved the assessment of
policy/legal conditions that may have changed and institutional changes that may have occurred
and thus need due consideration. The relevant policy, legislative and administrative frameworks
of Ethiopia, World Bank ESF and pertinent International Conventions were reviewed. In
addition, PSNP Household Impact Assessments (2006-2012) and the first phase of the PSNP5
ESAC report were reviewed to identify information gaps. Besides, baseline information included
based on the demographic, social-cultural, historical and political characteristics of the
historically underserved communities where the PSNP operates with particular emphasis to the
sampled woredas selected for data collection. Description on the social aspects of underserved
communities were done such as degree of social conflict, networks, support systems, conflict
resolution mechanisms and local institutions that play role in the process of project benefits.
2.2. Key Informant Interviews and Email Exchanges with Stakeholders at Federal Level
In order to collect and organize data from the federal and regional levels stakeholders in the
situation of COVID 19, communications were made through phone calls and emails as
appropriate to avoid contact and dissemination of the pandemic. At the federal level, the
consultants in collaboration with FSCD consulted stakeholders working in close collaboration
with PSNP5/SEASN. One key informant was profoundly consulted from each of the following
stakeholders:
• Ministry of Agriculture, Food Security Coordination Directorate (FSCD)

• Ministry of Agriculture, Natural Resources Management Directorate (NRMD)
• Ministry of Agriculture, Women, Children and Youth Affairs Directorate (WCYAD)
• Ministry of Labor and Social Affairs (MoLSA) (Harmonious Industry and Labour
Management)
• Ministry of Labor and Social Affairs (MoLSA), Social Affairs Directorate
• National Disaster Risk Management Commission (NDRMC)
• NGOs (World Vision, Care Ethiopia and World Food Program)
2.3. Key Informant Interview with Stakeholders at Regional and Woreda Levels
The team from the federal (MOA, FSCD) conducted fieldwork in six regional states in
collaboration with the regional heads of the BOA, particularly PSNP coordination office. They
played an important role in organizing interviews and exchange of information through
interviews. For this purpose, interview guide and checklist of questions for key informants are
prepared ranging from management, coordination and capacity of implementing and
collaborative institutions. From each region, key stakeholders who are working with PSNP are
selected for key informant interviews. The assigned individual from federal level (MOA) had
carried out discussion with key stakeholders based on the interview guide and prepared the
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summary of the consultation in collaboration with PSNP coordinator at the regional level. They
also took photos and lists of the participants. The followings are the office they consulted.
• BoA, DRM and Food Security Directorate,

• BoA, NRM directorate/process: Public Works Focal Unit,
• BoA, Women, Children and Youth Affairs process,
• Bureau of Labor and Social Affairs, and
• Bureau of Finance and Economic Development
At woreda level, the assigned federal level facilitators in collaboration with food security
process-owners in each selected sample woredas (either existing or new), and regional level
facilitators, had conducted discussions and consultations with relevant stakeholders:
• WoA FS desk
• EW desk
• Woreda Office of Labor and Social Affairs
• Woreda office of Women, Children and Youth Affairs
• Development Agents (DAs)
2.4. Community Consultation
The federal level assigned team in collaboration with food security process-owners at selected
woreda levels and regional facilitators had conducted discussion with Kebele Food Security Task
Force (KFSTF) and Kebele Appeal Committee (KAC). Furthermore, they conducted community
consultation with beneficiaries in the public work, cash transfers, and livelihood services taking
into account the COVID 19 situation. The following are the groups (project-affected
parities/project beneficiaries and disadvantaged and vulnerable) that were selected to participate
in the community consultation:
Project-affected parities/Project beneficiaries
• PSNP core beneficiaries (households that have able-bodied adult labor)

• Permanent Direct Support (PDS) clients
• Temporary Direct Support (TDS)
• Emergency response beneficiaries (HFA)
• PSNP Woreda contingency beneficiaries
• Ex-pastoralists: are households who have lost their livestock and now depend largely on
the ‘sale’ of family labour.
• Waitlisted -potential beneficiaries
Disadvantaged and vulnerable groups
• Underserved Communities/groups
• Pregnant women and lactating mothers
• Women in male-headed and female-headed beneficiary households
• Pastoralist households
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• Polygamous households
• Elderly households
• Disabled/persons affected by chronic diseases
• Children
• Unemployed rural youth
• People living with HIV/AIDS
• Labour-poor households
• New residents to woredas
• Protracted IDPs
Consultation with the Community and other stakeholders covered the views, needs, priorities and
concerns of the people from PSNP5. During the assessment, the socio-cultural and economic
factors that exclude, restrict, discriminate or disproportionately impact on the participation and
benefits of vulnerable or disadvantaged groups were considered. During the community
consultation, the communities were informed about the objectives, components and the overall
planning and implementation activities of the PSNP5/SEASN. It was also focused on the
targeting processes considering extreme poverty, vulnerability and shocks. This needed
considering the current situation or changes. In addition, the discussion considered the exclusion
and inclusion criteria as well as the fairness and transparency during beneficiary selection.
Moreover, the formal and informal authorities’ role in the targeting process was assessed during
community and stakeholders consultation.
Besides, the ESAC with the community and stakeholders assessed several issues including the
satisfaction of beneficiaries from the project in light of cash transfers such as payment modality,
timeliness, predictability, and payment location, payment schedule from the perspectives of
household farming/pastoral activities, complaint-handling mechanisms and to further assess
better means of improvements. Moreover, information was gathered regarding able-bodied
households’ participation in the community-planned public works and labor-constrained
households who receive unconditional all year-round transfer as Permanent Direct Support
Clients. Livelihoods activities aiming PSNP clients to diversify and increase incomes thereby
moving out of poverty was assessed. Finally, the discussion with the stakeholders and the
community identified social impacts (positive and negative), risks, concerns, challenges, benefits
and opportunities that will encounter the Program during implementation as well as mitigation
measures where applicable. This ensured the project design to gather qualitative data and
information on the social concerns, suggestions and recommendations to avoid and minimize
potential risks and adverse impacts. The consultants supported the Client in analyzing the
relative vulnerability context and differentiated risks to be caused by the proposed project
activities. This includes the key impacts on different groups of people such as women in male-
headed households, female-headed households, pregnant women and lactating mothers,
polygamous households, pastoral households, elderly headed households, unemployed rural
youth, children, disabled/persons affected by chronic diseases, people living with HIV/AIDS,
labour-poor households and new residents to Woredas.
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2.5. Key Informant Interviews with Vulnerable and Disadvantaged Groups
Key informant interviews with vulnerable and disadvantaged groups were carried out in order to
assess the special needs of vulnerable, disadvantaged groups, and propose for the PSNP5 to take
into account their specific needs and priorities during the implementation of the program. In
addition to the community consultation conducted with these groups, individual interview with
these groups was undertaken in order to understand their special needs and priorities in a detailed
manner. This helped in triangulating the data gathered through other methods.
2.6. Sampling Procedure
Based on the ESAC ToR, eight woredas were selected from six PSNP regions. The proposed
PSNP woredas are Mille and Elida’ar in Afar region, Kebribeya and Gursum woredas from
Somali regions, Tsiraie wonberta woreda from Tigray region, Ebinat woreda from Amhara
region, Boset woreda from Oromia, and Bolosso Sore woreda from SNNP. To generate adequate
and representative data, the selection of the sample woredas considers several points. First,
woredas were selected both from the existing and new/recently joined PSNP woredas. Thus,
Tsiraie wonberta from Tigray region, Elidar woreda from Afar region and Gursum woreda from
Somali region are among the new/recently joined woredas selected for assessment. While the
remaining five (Mille, Kebribeya, Ebinat, Boset, and Bolosso Sore) were selected from the
existing woredas. Second, the selection of the sample woredas considered both the pastoral and
agro-pastoral communities. The particular agro-ecological conditions, political, socio-cultural
and livelihood features of the study communities are emphasized accordingly. Third, the sample
selection has given due attention to vulnerable groups with special needs such as pregnant
women and lactating mothers, women in male-headed and female-headed households,
polygamous households, pastoral households, elderly households, disabled/persons affected by
chronic diseases, unemployed rural youth, labour-poor households and new residents in the
selected woredas. Fourth, the woreda selection considers local security and accessibility issues.
Finally, it is suggested to cover one sample kebele from each selected woreda for the community
consultation and key informant interviews. Kebeles from the respective sample woredas were
selected purposively.
2.7. Data Analysis
In this enhanced social assessment and consultation, qualitative data analysis techniques were
used. Thus, the thematic data analysis method is useful to analyze and interpret the qualitative
data collected from the field in terms of code, quotation, memos, network and category.
Qualitative data were categorized and identified by themes using patterns and matrix
systematically. It included verbatim notes or transcribed recordings of interviews or focus
groups, jotted notes and more detailed “field-notes” of observational study. In qualitative
research, the analytical process begins during data collection as the data already gathered are
analyzed and shaped on the on-going data collection. This interim analysis has the advantage of
allowing the team to go back, refine questions, and pursue emerging avenues of inquiry in
further depth.
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3. Policy, Legal and Institutional Framework
3.1. National Policies and Legal Frameworks related to Productive Safety Net Program
PSNP5 is expected to contribute towards the realization of most of the 17 Sustainable

Development Goals (SDGs). It has direct relevance to at least 12 of the 17 SDGs, namely: no
poverty; zero hunger; good health and well-being; quality of education; gender equality; clean
water and sanitation; decent work and economic growth; industry, innovation and infrastructure;
reduced inequality; climate action; life on land; and partnerships. To this end, there are several
complementary national policies that provide a more specific framework for PSNP5.
Constitution of Ethiopia: The declared principle of the GoE pillars are based on respect for
diverse collective identities (nationalities); and for individual rights (citizens). The GoE refers to
Ethiopia as a “developmental state”, based on a strong popular consensus. Under the
Constitution, the GoE guarantees equitable access by all Ethiopian people to public goods and
services recognizing distinct group rights according to which sovereignty resides in nations,
nationalities and peoples.87 Article 39 of the constitution recognizes the rights of groups
identified as “Nations, Nationalities and Peoples”, defined as “a group of people who have or
share a large measure of common culture or similar customs, mutual intelligibility of language,
belief in a common or related identities, a common psychological make-up, and who inhabit an
identifiable, predominantly contiguous territory.” The Constitution recognizes their right to self-
determination, including the right to secession; speak, write and develop their own languages;
express, develop and promote their cultures; preserve their history; and, self-government
(including the right to establish institutions of government in the territory that they inhabit and
equitable representation in state and federal governments). Consistent with this, PSNP5 is
designed to ensure that goods and services that are appropriate are delivered effectively to all
population groups.
Developing Regional States: The Ethiopian Constitution also recognizes the rights of pastoral
groups inhabiting the lowland areas of the country. Article 40 (4) states “Ethiopian pastoralists
have a right to free land for grazing and cultivation as well as a right not to be displaced from
their own lands”. Article 41(8) also affirms, “Ethiopian…pastoralists have the right to receive
fair prices for their products, that would lead to improvement in their conditions of life and to
enable them to obtain an equitable share of the national wealth commensurate with their
contribution”. This objective shall guide the State in the formulation of economic, social and
development policies.
Owing to their limited access to socioeconomic development and underserved status over the
decades, the Ethiopian government has designated four of the country’s regions, namely: Afar,
Somali, Benishangul-Gumuz, and Gambella as Developing Regional States. In this respect,
Article 89(2) states, “The Government has the obligation to ensure that all Ethiopians get equal
opportunity to improve their economic situations and to promote equitable distribution of wealth
among them”. Article 89 (4) states: ‘Nations, Nationalities and Peoples least advantaged in
economic and social development shall receive special assistance’. Recognizing that these
communities constitute a significant part of the population in Developing Regional States, GoE
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Constitution of the Federal Democratic of Ethiopia, 1994. Preamble.
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adopted a number of measures designed to improve the living conditions of pastoral groups.
These measures, manifesting the special attention given to pastoralists, and consolidate the
efforts being made in the development of the pastoral sub-sector include the following:
• Formation of the Pastoral Affairs Standing Committee (PASC) in the House of Peoples’
Representatives (HPR);
• Inclusion of pastoral development strategies in the Growth and Transformation Plan
(GTP);
• Design and implementation of participatory, community driven, and livelihood focused
series of three five-year projects in Somali, Afar, Oromia, and SNNP regions as part of a
15-year Pastoral Community Development Project (PCDP)
• Establishment of a Directorate within the Ministry of Peace responsible for coordinating
multi-sectoral support including pastoral development endeavors in pastoral regions;
• Establishment of research institutes focusing on pastoral development; and
• The recognition and observance of Ethiopian Pastoralist Day (EPD).
Language Policy: One of the objectives of Cultural Policy of Ethiopia is to enable the
languages, heritage history, handicraft, fine arts, oral literature, traditional lore, beliefs and other
cultural features of the various nations, nationalities and peoples of Ethiopia to receive equal
recognition and respect; and to preserve and conserve these and pass them over to future
generations.
Women’s Rights Policy: The Constitution aims at enabling women to play constructive roles in
political, social and economic spheres and thereby share equal benefit with the rest of the
citizens. Article 35, sub-article 7 of the Constitution states that women have the right to acquire,
administer, control, use, and transfer property, and have equal right with respect to use, transfer
and control of land. However, studies show that Ethiopian women lack productive assets,
particularly land, and are underserved with agricultural extension services, credit, oxen and farm
inputs.
As part of a policy measure, the government of Ethiopia has established Ministry of Women
Affairs (MoWA) in 2006 for representing women issues in the Council of Ministers. A National
Action Plan on Gender Equality was developed. Gender mainstreaming guidelines are being
developed at Federal level. Some regions have developed their own gender mainstreaming
guidelines.
Growth and Transformation Plan (GTP): The GoE’s 5-year growth plan, with projected GTP
growth of 11-15% per year, a higher growth target than any of Ethiopia’s earlier national plans,
outlines opportunities in agricultural and industrial sectors.
The GTP has “develop the system of transparency and accountability,” as one of its core
objectives and calls for improved transparency in service delivery. Good governance initiatives
were first introduced during the GoE’s Plan for Accelerated and Sustained Development to End
Poverty (PASDEP), which included a range of interventions that contributed to human
development, democratization, and enhancing people’s participation and building well integrated
institutional capacity and ensuring transparency and accountability. The GTP seeks to build on
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and expand these initiatives to ensure efficiency, effectiveness, transparency and accountability
at all levels.
FDRE 10-Year Strategic Development Plan (2020-2030): The plan asserts that one of the
serious development problems facing the country is youth unemployment. According to the
document, the rate is estimated at 25.3% (18.6 among males and 30.9 among females). Estimated
at 2%, rural unemployment seems much lower than urban unemployment. However, the
document further states that due to the declining smallholder farmers’ land-holding size, there is
high ‘hidden rural unemployment6’. Thus, one of the sub-components of the PSNP5 is job
creation for unemployed youth in rural Ethiopia. It will hire rural youth as community facilitators
to support the livelihoods, nutrition and other elements of the program. Further, the livelihoods
output of the program promotes off-farm activities and wage employment.
Social Protection Policy: The Government of Ethiopia has ratified a new Social Protection
Policy that lays out a vision for social protection in Ethiopia. The policy has identified five key
strategic focus areas: i) social safety nets; ii) livelihood and employment promotion; iii) social
insurance; iv) access to health, education and other social services; and v) addressing violence,
abuse and neglect and providing legal protection and support. Further, the policy commits the
Government to move beyond the partial, and fragmented, provision of social protection to
establish a social protection system. In this connection, PSNP5 supports the Social Protection
Policy by reducing institutional budgetary fragmentation among services supporting the same
client (such as the safety net, livelihoods support, and nutrition and health services). Specifically,
PSNP5 pursues the harmonization activities referenced above and serves as platform to facilitate
linkage to social services to its clients. Through the Public Work (PW) subprojects (e.g.
construction of social infrastructure), PSNP also contributes to further development of basic
services for health and education for its clients. The program design also supports livelihood and
employment schemes.
National Disaster Risk Management Policy and Strategy (NDRMPS): The Government of
Ethiopia has endorsed a new NDRMPS in 2013 that amends the earlier National Policy on
Disaster Prevention and Management, which has been under implementation since 1993. The
new NDRMPS marks a paradigm shift in doing business differently —moving away from a
system focused on drought and emergency assistance to a comprehensive disaster risk
management approach. To complement the new NDRMPS, the design of PSNP5 entails a shift
from response and recovery to a multi-sectoral and comprehensive approach that focuses on
disaster prevention, mitigation and preparation. In this, PSNP5 contributes to disaster risk
management by helping to improve national risk management in three major ways. First, the
transfer sub-component helps poor households mitigate and cope with the impact of climate
change induced shocks. Second, the PW sub-component reduces the probability of a weather
shock turning into a production shock and/or reduces the severity of a shock when it occurs. This
prepares households and communities against the impacts of disasters. Finally, by strengthening
and adjusting the response instruments (PSNP contingency budgets, disaster risk financing
mechanisms and humanitarian resources) and putting in place single delivery system PSNP5
enable timely and in adequate responses.
National Food and Nutrition Security Policy and strategy (2019): The goal of national food
and nutrition policy is to attain optimal nutritional status at all stages of life and conditions to a
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level that is consistent with good health, quality of life and productivity. Its objectives are to
improve the availability and accessibility of adequate food to all Ethiopians at all times, improve
access to quality and equitable nutrition and health services to all Ethiopians at all, improve
consumption and utilization of diversified and nutritious diet throughout the life cycle, improve
the safety and quality of food throughout the value chain, reduce food and nutrient losses along
the value chain, improve food and nutrition emergency risk management, preparedness and
resilience systems, and improve food and nutrition literacy of all Ethiopians. It is overseen by a
National Nutrition Coordinating Body that is chaired by the Federal Ministry of Health (FMoH)
and co-chaired by the Ministries of Agriculture (MoA) and Education (MoE).
Climate Resilient Green Economy (CRGE): CRGE was launched in 2011 with the aim to
build Ethiopia into a middle-income country by 2025 in a way that is both resilient to the
negative impacts of climate change and does not result in a rise in greenhouse gas emissions.
PSNP5 contributes to climate resilience in two major ways: it strengthens household resilience to
shocks by increasing food security and livelihoods; and it reduces carbon emissions and
increasing carbon sequestration through public works.
Pastoral Development Policy (PDP): Afar, Somali and parts of Oromia and SNNP regions
form the lowland areas where most of the pastoralist community in the country occupies. The
PDP endorsed in 2019 informs PSNP5’s design and implementation in lowland areas. PSNP5
underscores the importance of context specificity whereby development programs are based on
pastoral communities’ natural resources and the NRM styles applicable to their environment.
PSNP5 recognizes that for pastoralists who are not successful in nomadic livestock herding, it is
important to engage them in sedentary farming and income generating activities (IGAs), hence,
the inclusion of livelihoods component in this phase of PSNP.
The National Nutrition Program (NNP): In order to combat the challenges of malnutrition in
Ethiopia the Government embarked on the second National Nutrition Program (NNP II) in 2016,
focusing on the first 1,000 days of life to eradicate chronic malnutrition by 2030. The principles
for implementation of the program include breaking the lifecycle and intergenerational
transmission of malnutrition; stepping up public health interventions; addressing chronic and
recurrent food insecurity; and engaging a large number of stakeholders including but not limited
to Ministries of Health; Agriculture and Natural Resources; Education; Livestock and Fisheries;
Water, Irrigation and Electricity; Finance and Economic Cooperation; Labor and Social Affairs;
Women and Children Affairs. The ministries have recognized that high malnutrition rate in
Ethiopia is unacceptable and have stressed the need for strengthened collaboration to reduce the
impact of malnutrition in the country.
As malnutrition remains to be the underlying cause of more than one in five child deaths in
Ethiopia, the goal of the NNP II is to provide a framework for coordinated and integrated
implementation of multisector nutrition interventions. The NNP II was developed taking into
account past experiences and lessons learned from the implementation of the NNP I and
integrating new initiatives from the second Growth and Transformation Plan (GTP II). The
updated aims of the NNP II include reducing the prevalence of three crucial indicators for
children under five: stunting from 40 per cent to 26 per cent; underweight from 25 per cent to 13
per cent and wasting from 9 per cent to 4.9 per cent. With the following five strategic objectives,
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the NNP II envisions Ethiopia free of malnutrition and diet-related non-communicable diseases
by 2050:
• Improve the nutritional status of women (15 -49 years) and adolescent girls (10 – 19
years)
• Improve the nutritional status of children from birth up to 10 years
• Improve the delivery of nutrition services for communicable and non-
communicable/lifestyle related diseases
• Strengthen the implementation of nutrition-sensitive interventions across sectors
• Improve multi sector coordination and capacity to implement the national nutrition
program
PSNP IV will support the NNP by integrating nutrition sensitive approaches throughout the new
design and by designing specific linkages to ongoing health and nutrition interventions, which
will help to maximize the positive and minimize any negative social impacts.
3.2. Institutional and Implementation Arrangements
Implementation arrangements for the PSNP under this phase of support will build on the
structures put in place for the ongoing projects (PSNP4 and RPSNP). The PSNP is implemented
through the Ministry of Agriculture, which is responsible for the overall coordination and
management of the project, and other line ministries responsible for delivering services related to
their mandates. Key implementing agencies include:
The Food Security Coordination Directorate (FSCD) within the MoA coordinates all aspects
of the PSNP, ensures timely transfer of resources to regions88 and coordinates and oversees the
on-farm and off-farm livelihood-related services under the program; it also ensures compliance
of the Livelihoods activities with Environmental and Social Standards (ESS). During this phase,
the Government is taking steps to consolidate core operations. This includes operationalizing its
decision to merge the operations management of the PSNP and food assistance within one
institution – the FSCD. As such, the FSCD has become responsible for planning, coordinating
the financing, and implementing the cash and food assistance to households in response to
drought and other economic shocks to households (for example, the economic impacts of natural
disasters including pandemics). The FSCD social development unit will be responsible for
coordinating and overseeing the planning, implementation and monitoring of the social
management instruments and works in close collaboration with Women, Children and Youth
Affairs Directorate of MoA, MoLSA, and Natural Resources Management Directorate (NRMD)
to address social issues. In another effort to streamline and consolidate operations, the
management of e-payment contracts will shift from the MoF to the FSCD to ensure better
integration of program functions into one main agency at federal level.
The Natural Resources Management Directorate (NRMD) also within the MoA, provides
implementation support, technical coordination, and oversight of the PW component. They also
have responsibility for ensuring compliance with the environmental and social standards for the
PW subprojects.
88
Budgets are released upon approval by MoA. MoF distributes the funds to the federal agencies and regions.
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The Ministry of Labor and Social Affairs, which has a mandate to support vulnerable
members of society including PDS beneficiaries and will play an increasing role in ensuring that
labor and social standards for the project PDS beneficiaries are adhered to. This will entail
assessing and providing technical support to address the social and occupational health and
safety related risks of the project, documenting due diligence during project implementation and
taking appropriate measures to mitigate these risks. Specifically, MoLSA will undertake labor
inspections at PW sites with a special focus on identifying and documenting any child labor
cases, perform case management of families with children at risk of child labor, encourage and
assist these children to enroll in school, support the monitoring and reporting of any incidents of
GBV in relation to the PSNP and implementation of light work and flexible work provisions for
women. MoLSA will also monitor and report on the implementation of occupational health and
safety standards.
The Ministry of Finance is responsible for overall financial management and reporting and for
the channeling of PSNP resources to the implementing agencies at federal and regional levels.89
It also commissions the audits of the cash resources for the PSNP and emergency response.
The Commodity Management Coordination Office (CMCU)90 on instruction from the FSCD
will procure, manage, and ensure transportation of government managed food commodities both
for PSNP’s core caseload and for temporary beneficiaries to whom the program scales up to in
response to drought.
The National Disaster Risk Management Commission within the Ministry of Peace has
overall responsibility for the coordination of Disaster Risk Management activities, including the
consolidation and dissemination of early warning information and ensuring timely release of any
assessments of need.
The Jobs Creation Commission and the Rural Job Opportunities Commission will be
responsible for technical support to the implementation of the wage employment pathway.
Regional Bureaus and Woreda Offices corresponding to each line Ministry/Agency are
responsible for the implementation of program activities. They are accountable to subnational
governments (Regional and Woreda level).
The following table shows the Stakeholders and their responsibilities
Stakeholders Responsibilities
Federal Level
MOA-Food Security o Coordinates all aspects of PSNP. Ensures timely transfer of resources to
Coordination Directorate regions,91coordinates and oversees the livelihood-related services under the PSNP
(FSCD) and is responsible for ensuring compliance of the Livelihoods activities with the
ESS.
89
Regional Bureaus distribute the budgets to woredas. For payments to beneficiaries Woreda Offices of Agriculture
process the attendance sheets (received from kebeles) for payrolls preparation. Woreda Offices of Finance make
payments to beneficiaries through cashiers in the case of manual payments.
90
The CMCU currently sits within the NDRMC but under PSNP 5 it will move to the Ministry of Agriculture. Its
responsibilities regarding the PSNP will remain the same.
91
Budgets are released upon approval by MoA. MoF distributes the funds to the federal agencies and regions.
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o Responsible for planning, coordinating the financing for, and implementing the
cash and food assistance to households in response to drought and other
economic shocks to households. The FSCD social development unit will be
responsible for coordinating and overseeing the planning, implementation and
monitoring of the social risk management instruments and will work in close
collaboration with Women, Children and Youth Affairs Directorate of MoA,
MoLSA, and NRMD to address social issues.
MOA-Natural Resources o Provides implementation support, technical coordination, and oversight of the
Management Directorate public works component.
(NRMD) o Responsible for ensuring compliance with the environmental and social standards
for the pubic work component.
MOLSA-Social Welfare o Support to PDS and TDS clients, including identifying appropriate services to
Development Directorate which they can be linked.
MOLSA-Occupational o Ensure that labor standards are adhered to, including putting in place a system for
Safety, Health and Working ensuring that labor inspections take place at public work sites and that monitoring
Environment Department and reporting procedures are in place.
Jobs Creation o Technical support to and implementation of the Wage Employment Pathway
Commission and Rural
Job Opportunities
Commission
MOF-Channel One o Responsible for overall financial management and reporting and for the
Programs Coordinating channeling of PSNP resources to the implementing agencies at federal and
Directorate regional levels. It also commissions the audits of the cash resources for the PSNP
and HFA.
MOP-National Disaster o Responsibility for the overall coordination of Disaster Risk Management
Risk Management activities, including the consolidation and dissemination of early warning
Commission information and ensuring timely release of any assessments of need.
MOA-Commodity o On instruction from the FSCD will procure, manage and transport government
Management Coordination managed food commodities both for the PSNP core caseload and for temporary
Office beneficiaries to whom the program scales up to in response to drought or other
agreed shocks.
Payment Service Providers o Ensure timely account-based payments to client households in accordance with
woreda requests and ensure an adequate network of payment agents
Woreda Level
Food Security Desk (FSD) o Coordinates of all PSNP activities at the woreda level and maintains accurate
records of safety net activities and clients.
Natural Resources Desk o Managing public works in coordination with the FSCD including:
o Reviewing public works plans and consolidating them into one overall woreda
plan;
o Ensuring adherence to environmental standards;
o Supervising and providing technical backstopping in the construction of works;
and
o Maintaining monitoring data on public works
Social Welfare Desk o Reviews needs of permanent and temporary direct support clients and refer them
to any available services;
o Supports the oversight of PDS related social standards and selected M&E
activities of the PSNP
Employer-Worker Affairs o Undertakes labor inspections at public work sites and
Desk o Ensures adequate monitoring and reporting of compliance with selected
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environment and social standards.
Woreda Office of Finance o Ensures effective financial management of the program and, in woredas with
manual cash payments,
o Undertakes timely PSNP payments to client households.
Early Warning and o Provides key inputs into early warning system; and
Response Desk o Supports the geographic targeting of scaled up transfers in response to droughts
and other shocks.
Woreda Food Security Task o Oversees and coordinates program implementation among all implementing
Force institutions at woreda level;
o Reviews and consolidates annual plans and ensures such plans are integrated into
woreda office work plans; and
o Monitors progress of the program.
Woreda Council o As part of its role for the oversight of all activities in the woreda, the Woreda
Council has ultimate responsibility for overseeing the implementation of the
PSNP.
Kebele and Community Level

Community Food Security o Identifies PSNP clients,92
Task Force o Undertakes data collection related to the identification of households that may be
ready to exit the PSNP,
o Supports the mobilization of the community for participatory public works
planning.
Kebele Food Security Task o Coordinates all safety net activities at kebele level including preparation of
Force Kebele PSNP Work plan in consultation with woreda sectoral offices and
supports monitoring and supervision
Kebele Appeals Committee o Hear and resolve targeting appeals and other grievances regarding PSNP matters
in a timely manner; and
o Ensure active recording and reporting of the same to the Woreda
3.3. World Bank Environmental and Social Standards Applicable to the Program
The preparation of the Enhanced Social Assessment and Consultation (ESAC) of

SEASN/PSNP5 is in line with the World Bank Environmental and Social Frameworks (ESF),
which comprises of 10 Standards. The standards are designed to help governments to manage the
risks and impacts that will prevail during the implementation of PSNP5, and to improve
environmental and social performance, consistent with good international practice and national
and international obligations. The ESF places the emphasis of environmental and social risk
management on achieving better development outcomes. It allows for adaptive management of
project risks and impacts, which utilizes feedback from project monitoring to change project
design and/or environmental and social risk management as necessary throughout
implementation. The World Bank will also evaluate those aspects of the Government’s policy,
legal and institutional framework that are relevant to the project, including national, regional or
sectoral implementing institutions that are applicable laws, regulations, rules and procedures and
the implementation capacity.
This ESAC for PSNP5 focuses on meeting the standards stated under ESS7 Sub-Saharan African
Historically Underserved Traditional Local Communities and or/Underserved or Vulnerable
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In future, this may include gathering more detailed household data to support the maintenance of a household
registry.
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Groups who are present in, or have collective attachment to the project area. It also assessed the
nature and degree of the expected direct and indirect economic, social, cultural (including
cultural heritage), and environmental impacts the project will bring upon them. This standard
applies to a distinct social and cultural group identified in accordance with paragraphs 8 and 9 of
ESS7. As a result of this, Social Assessment should be developed, consulted, and disclosed prior
to appraisal to guide the development of Indigenous Peoples Plans (IPPs)/social development
Plans during implementation.
4. Key Findings on the Enhanced Social Assessment and Consultation
4.1. Vulnerable and Disadvantaged/Underserved Groups
As per the World Bank requirements ESS 7, the program includes Sub-Saharan African
historically underserved traditional local communities. This standard is applicable in the project
implementation areas of Ethiopia, particularly the people in Afar, Somali, pastoral and agro-
pastoral parts of Oromia and SNNPR. Coupled with vulnerability and being disadvantaged
groups, the food insecurity and loss of livelihood disproportionately impact vulnerable group of
the community. Though the exact number unknown, vulnerable group of the community, which
include women, women headed household, elders, children, and disabled people significantly
and disproportionately affected due to increasing malnutrition and food insecurity, shocks and
poverty.
From the previously assessed World Bank social assessments in Ethiopia, livelihood based
cultural disparities for five occupational groups: pastoralists, shifting cultivators, fishermen,
hunters and craft workers were mentioned. During the ESAC with the community and
stakeholders, several issues were raised related to customary institutions, inclusions, and
exclusion risks and such risks should be minimized or avoided in the historically underserved
regions during the implementation of the PSNP5.
The form of polygamy (multiple marriages) which is practiced in Ethiopia is polygyny (a

marriage of a man to two or more women at a time). Among the Ethiopian societies where
polygyny is practiced (e.g., Afar, Somali, Oromo), a woman joins her husband in his patrilineal
village on his ancestral land, the characteristic of a patriarchal society. The women do not own
land and other major assets and are vulnerable to economic insecurity and often experience
chronic food insecurity as the man often lacks resources to provide for the basic needs of his
wives and their children. Since targeting is based on husband, the same amount of transfer is
shared among the co-wives and this makes them vulnerable.
The underserved communities historically in Ethiopia are the pastoral and agro-pastoral groups
that are estimated to be eight to ten million people, 10% of the country’s total population that
practice pastoralism as their predominant mode of livelihood across the lowlands of Ethiopia.
The rangelands where pastoral practices are extensively carried out represent two-third of the
total national land area. Pastoralists are mainly living in Somali, Afar, the Borana and Guji in
Oromia Region, and the South Omo Zone of the SNNPR. They belong to some twenty-nine
ethno-linguistic groups. Since the recent past, the herding populations in the lowlands have
largely been impoverished and food insecure.
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The arid climate of the region characterized by frequent cases of drought has been a principal
contributory factor to the prevailing conditions. Resource degradation and water scarcity
aggravated by steady increases in human and livestock population and the conversion of sizable
areas of pastoral territory into dry land agricultural zones have resulted in the reduction of
rangelands in terms of both quality and size. Poverty among the pastoral populations extends far
beyond food insufficiency. They also have little access to socioeconomic benefits like health and
education services and opportunities to income generating activities outside of the livestock
domain. There is a direct correlation between livestock feed shortages and malnutrition in
children. Coupled with these challenges among the pastoral communities, the various kinds of
shocks and extreme poverty would worsen the situation.
The situation of pastoral communities was further compounded by lack of due policy attention
by previous government administrations. The needs and interests of pastoral groups were, in
previous times, not given the attention they deserved in the design and implementation of
development policy interventions, as compared to smallholder agricultural communities in the
highlands. As a result, a substantial portion of the development investment was devoted to the
promotion of the non-pastoral sector of the economy. In addition to the ecological stress that
pastoralists suffered, they also experienced economic and political marginalization as well as
food insecurity because they have been seriously affected by recurrent drought and other
climate-change related factors.
There are several sources of vulnerability in pastoral areas of Ethiopia as stated in various
assessments and community consultation and discussion with key stakeholders such as
deterioration of grazing/range land due to natural and human-made factors, drought,
deforestation of rangeland epidemic diseases on human and livestock, market failure, poor socio-
economic infrastructures: health, education, and market facilities, and rural road connection,
conflict over resource competition; and deterioration of customary institutions. Even at present
time, human population increases pressure on natural resources while conflict and insecurity
often make these resources inaccessible.
Ex-pastoralists are herding groups who were predominantly involved in pastoral pursuits and can
be described as well off by local standards of wealth and social differentiation. However, they
have over the years lost their livestock wealth to recurrent droughts, veterinary diseases, and
inter-group conflicts to the point of being ejected from the pastoral livelihood system. There are
also challenges reflected by consulted stakeholders in pastoral communities such as exclusion
errors of vulnerable groups in some projects. More to the point, unequal socio-economic
dynamics could result due to favouritism or corruption made by kebele leadership or other
economically influential community members who can misuse resources to their benefit from
projects.
In most PSNP woredas, beneficiaries discussed that the distance of the payment or food
distribution center is inaccessible. In particular, this influences the life of the disadvantaged and
vulnerable groups. The worst scenario was reported in Boset woreda where women, elderly, and
people with disabilities travel about 30 kms to collect transfers. Hence, elderly and people with
disabilities forced to delegate people or spent one night around the payment and food distribution
center. This may have potential risk for these beneficiaries by way of extra cost or dishonest act
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of the delegate person. In Tsiraie wonberta and Ebinat woredas these beneficiaries reported that
they travel up to 3 hours on foot to reach the payment and food distribution center.
In addition to women in polygamous households and pastoralists, it is important to consider the

vulnerability of the youth into account as many sources showed the youths have become
vulnerable because of unemployment, dependence on the family, landlessness and the shortage
of cash to start their own productive ventures. Measures should be taken to target youths as
beneficiaries of economic and social empowerment initiatives of the project. In general, as
observed in the ESAC, there are risks that underserved peoples, ethnic minorities in the pastoral
and agro-pastoral communities, which are regarded as historically underserved and culturally
distinct groups, may be left out and/or not be duly included in the project because of their
peculiar resource management system. Thus, the PSNP5 should give due attention to these
vulnerable or disadvantaged sections of the community during its implementation.
4.2. Socio-economic Profiles of the Historically Underserved Regions and Vulnerable

Communities in the Assessment Areas
Ethiopia is a country where many nation, nationalities and people are living with diverse
geographies, languages, and cultures. The country was divided into nine regions and two city
administrations. The PSNP5 will be implemented in six regions. The ESAC requires
consideration of ESS7 that deals with Sub-Saharan African Historically Underserved Traditional
Local Communities (SSAHUTLC). In Ethiopia, the regions and communities considered as
historically underserved are Somali, Afar, and Parts of Oromia and SNNP. Thus, a clear
description of these regions’ locations, livelihood activities, ethnic and religious compositions of
the people was reviewed. Out of the eight selected PSNP woredas, four of them are historically
underserved: Mille and Elida’ar in Afar region and Kebribeya and Gursum woredas from Somali
regions. These helps to recognize the beneficiary profile, which are quite diverse comprising a
number of sub-groups identifiable on the basis of their differential endowment, gender, ethnicity,
different economic groups and other regional features. It is also imperative to give special
attention to the poor and socially vulnerable groups during the design and development of
mitigation measures for the social risks and challenges that may be encountered during the
implementation of the project in the regions.
4.2.1. Afar Region
Afar regional state is situated in the northeastern part of Ethiopia with an area of around 150,000
km2 that stretches into the lowlands covering the Awash valley and the Dankil depression.
Geographically, the region is situated longitudinally between 39o34' and 42o28' East and
Latitudinal between 8o49' and 14o30' North. The region is bordered to the northwest by Tigray
region, to the southwest by Amhara region, to the south by Oromia region and to the southeast
by the Somali region of Ethiopia. It is also bordered to the east by Djibouti and to the northeast
by Eritrea. Administratively, the region is divided into 5 zones, 32 Woredas and 401 Kebeles.
Afar people belong to the Cushitic-speaking language groups in Ethiopia and the society is
structured into clans and sub-clans.
Afar regional state is characterized by an arid and semi-arid climate with low and erratic rainfall
that has frequently been affected by drought. The north-eastern part of the region is chronically
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water insecure due to a lack of perennial rivers, leaving the people of Afar largely dependent on
ponds and traditional wells for their water supply. To illustrate the region, two sample woredas
are discussed as follows.
A. Elidar Woreda
Elidar is part of administrative zone 1 in the Afar Region of Ethiopia. It is bordered on the south
by the Awash River, which separates it from Asayita, on the west by Dubti, on the northwest
by Kori, on the north by the Administrative Zone 2, on the northeast by Eritrea, and on the east
by Djibouti. Towns in Elidar include Bure, Diche Oto, Elidar and Manda. According to CSA
(2007), the woreda has a total population of 58,087, of whom 31,780 are men and 26,307
women; with an area of 11,636.48 square kilometers. Elidar has a population density of 4.99.
The residents of the woreda are dominantly followers of Islam religion, which is 97.24% of the
population, and followed by 2.63% of Orthodox Christians. Over the past years, it was stated that
conditions in Elidar woreda of Afar were classified as ‘critical’. Elidar is also one of the areas
that continue to receive water trucking due to ongoing water shortages.
B. Mille Woreda
Mille Woreda has an altitude that ranges from 420-650 meters above sea level. It has two types
of landscapes: vast flat land and very few hills. The Mille River is a river of Ethiopia and a
tributary of the Awash. It drains parts of the Semien (North) Wollo and Debub (South) Wollo
Zones of the Amhara Region, as well as Administrative Zone 4 of the Afar Region. Desert and
semi-desert agro-ecological zones characterize Mille woreda. The climate is characterized by
high temperature and low rainfall. The mean annual rainfall is 130-584 mm. In Mille, in 2006,
there was a significant violent conflict between Afar and Issa Somali pastoralists, leading to a
high number of casualties on both sides. Other years (e.g. 2007 in Mille) were identified with
reference to diseases such as acute watery diarrhoea affecting people and diseases caused by
floods or droughts affecting livestock, especially camels. In Mille, the combination of floods and
droughts were seen to degrade rangelands. The number of trees has significantly reduced in
recent years as a result. The recent dramatic floods have also caused degradation of agricultural
land, reducing the alternative sources of food for most people. According to Mille residents,
increasingly hot summers are also leading to less regeneration of trees, which in turn means that
they can no longer be used for fodder.
4.2.2. Somali Region
Somali Regional State is the second largest region in Ethiopia next to Oromia region, covering
350,000 km2, situated in the southeastern part of the country. It is situated between latitude 4°
and 11' N, and longitude 40° and 48' E. The area is arid, and mostly hot (18-45oC), largely plain
with its altitude ranging from 400-1600 meters above sea level. The average annual precipitation
ranges from 150mm-650 mm and has bimodal precipitation. The area has perennial rivers such
as Wabi Shebelle, Genale, Dawa and Weyib, and seasonal rivers such as Erer, Daketa and Fafen.
Therefore, the area has irrigated and rain-fed potential for localized farming. However, the key
constraints are low rainfall, high temperature, lack of infrastructure. The creation of irrigated
farming in fertile areas of the above river basins and the exploitation of perennial springs,
seasonal floods and rainwater harvesting elsewhere in the region for the production of irrigated
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crops and pastures maybe taken into consideration. The use of drought-resistant crop varieties in
the rain-fed areas along with soil and water conservation techniques will increase farm
production.
Somali region has a population of 5.3 million with average household size of 6.6 according to
CSA projection (CSA 2013). The zone consists of 11 zonal administration, 93 districts, 6 city
administrations and 1,224 Kebeles. The people rely primarily on pastoralism. In the region,
livestock is both considered a social reputation and a means of accumulating wealth. Therefore,
the area has a livestock population of 30,536,000 million animals, including cattle (24%), goats
(36.5%), horse (32.2%), camel (7.2%) and (1%) equine (CSA, 2014). The region has 17 rural
livelihood zones, generally classified as pastoral, agro-pastoral, riverine, and sedentary farming.
Livestock is the main livelihood pillar in the Somali region that supports around 86 per cent of
the population. It provides home-consuming milk and meat, and live animals for sale.
A. Gursum Woreda
Gursum Woreda is one of the Woredas in the Somali Regional states of Ethiopia and part of
Fafen zone that cover a total area of 937 square Kilometer. The Woreda is bordered to the south
by Babille, to the west by Oromia Region, to the north by Ajersagoro, to the east by Jijiga as well
as to the southeast by Kebri Beyah. According to CSA (2007) the total population of the Woreda
was 27,510, of whom 14,815 are men and 12,695 women. Almost all (98.79%) of the population
was followers of Islamic religion. The Woreda is primarily inhabited by obbo (akisho) and
gadabuursi ethnic groups. The livelihoods of the community in the woreda depend on
pastoralism, agro-pastoralism, farming and urban residents are making a living from formal and
informal employment. Its latitudinal location is 9°19'60.00" North and longitudinally on
42°34'59.99" East.
B. Kebri Beyah Woreda
Kebri Beyah is bordered on the south by the Degehabur Zone, on the southwest by the Fiq
Zone, on the northwest by Gursum, on the north by Jijiga and Awbare, on the northeast
by Somaliland, and on the east by Harshin. The City administrative center is Kebri Beyah.The
average elevation in this woreda is 1530 meters above sea level. The only perennial rivers in
Kebri Beyah are the Fafen and the Jerer. As of 2008, Kebri Beyah has 55 kilometers of asphalt
road, 48 of all-weather gravel road and 2642 kilometers of community roads; about 13.1% of the
total population has access to drinking water. According to CSA (2007), the woreda has a total
population of 165,518, of whom 89,703 are men and 75,815 women. While 25,493 or 15.4% are
urban inhabitants, a further 19,806 or 11.97% are pastoralists. 98.77% of the populations
were followers of Islamic religion.
4.2.3. Parts of Oromia
The regional state of Oromia is the largest region in Ethiopia, with a total land area of about
353,000 km2. It borders on all regions of the country except Tigray; to the east, it borders on the
Somali region; to the north, it borders on the Amhara region, the Afar region and the
Benishangul-Gumuz region; to the west, it borders on South Sudan, the Gambella region and on
Southern Nations, nationalities and peoples. According to National population projection data
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from 2014-2017, the region has an estimated population of 32, 815,995 (CSA 2013). Non-
Oromo ethnic groups (Amhara, Hadiya, Sidama, etc.) accounted for 12 per cent of the population
in the region. Forty-eight percent of the region's population is Islamic followers, led by 30
percent Orthodox Christians, 18 percent Protestants, 3 percent traditional believers, 0.5 percent
Catholics, and others 1 percent. Oromia Regional State's economy is dependent on agriculture,
which contributes about 66 percent of regional GDP and provides more than 89 percent of the
regional population with an opportunity for jobs. The mixed agriculture dominates the region's
livelihood. Oromia accounts for 51.2 percent of crop production, 45.1 per cent of temporary crop
area and 44 per cent of Ethiopia's total livestock population. The coffee, wheat, barley, teff,
sorghum and oil seeds are the main crops grown in the area. Coffee is the main cash crop in the
region. Administratively, the Region is divided into 18 administrative zones, 304 woredas (out of
which 39 are towns and 265 rural woredas). Among these woredas, Boset, an agro-pastoral
woreda was selected as a sample and briefly discussed as follows. .
A. Boset Woreda
Boset Woreda is one of the Woredas in East Shewa zone that lies between 8°24’ to 8°51’ North
latitude and 39o16’ and 39o50’ East longitude which is located about 125 Kilometers south east
of the capital Addis Ababa. Fentale Woreda in the East, Awash River in the West, Arsi Zone
bound it in the south and Amhara region in the north. The Woreda is divided into 33 rural kebele
administrations and 4 sub-urban towns. The total land area of the Woreda is 1378.4 square
kilometers. According to CSA (2007), the total population of the woreda is estimated to be 142,
112, of which 52.02% were male and 47.98% were female. The average population density of
the woreda is 111.5 persons per square kilometers. The people of the area practice various
livelihoods and income-generating activities mainly crop production and animal husbandry in
addition to petty trading daily labor.
4.2.4. Parts of SNNP
SNNPR is one of the nine Ethiopian regional states bordered by Kenya in the south, Gambella in
the northwest, Oromia in the north and east, and Sudan in the southwest. It is located
approximately between latitude 4o.43ٰ-8o.58ٰ in the north and longitude 34o.88ٰ-39o.14ٰٰ in the east.
According to the official Websites of the region, the region is divided into 13 zones based on the
ethnic and linguistic identities. These are sub-divided into 126 Woredas 8 special Woredas and
3678 rural kebeles. The total area of the region is 113,539 square kilometers. It enjoys ecological
variation and cultural diversity. The lowland areas have arid and semi-arid characteristics, while
the highlands have cool temperate climate and high rainfall. Eighty per cent of the populations in
the region live in the highlands while 20 per cent live in arid and semi-arid areas (Yohannes, et al
2005). According to SNNPR's Official Website, the region comprises of 56 ethnic groups with
diverse and distinct languages, geographies, traditions, personalities, survival mechanisms and
socio-political histories. The SNNPR population was 15, 042,531 in 2007 (CSA 2007). Two
woredas that are historically underserved were selected as a demonstration for the pastoral areas
of the region and briefly discussed as follows.
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A. Bolosso Sore
Boloso Sore woreda is one of the rural and densely populated woredas of Woliata Zone, in
SNNPR. It is located at 37047’ E longitude with 7069’ N latitude. The district was organized in to
31 kebeles. The great majority of the population depends on subsistence agriculture. Most of the
kebeles lie between 1750 to 2200 meters above sea level. The altitude is about 1800 meters
above sea level with an average rainfall of about 1538.44 mm. The woreda has 1 Maternity
Hospital, 7 Health Centers, 31 Health Posts and 62 HEWs. The total area of the woreda is 33,600
hectares of which 26193.751 hectares are cultivable, 1975.57 covered by grazing lands, 1644.41
hectares forest and bush land, 159.75 hectares uncultivable land, 252.26 hectares, currently
irrigated land, swamp and degraded 1869.13 hectares and 1505.129 hectares other. The total
livestock population of the area is cattle 59011 sheep 15605, goat 8032, equine 318, and poultry
67809 (Boloso Sore woreda Agriculture office, 2001 unpublished). According to CSA (2007),
the total populations of the woreda was estimated at 166,472 out of which 33,837 (20.33%) were
females aged 15-49.
4.2.5. Amhara Region
The Amhara National Regional State is located between 90 N and 130 45' North latitude and 360
to 40030' East longitude. It is bounded by Tigray region in the north, Oromia in the south,
Benishangul Gumuz in the west and Afar region in the east. The Regional State is divided into
ten Zonal administrations and has a land area of about 161,828 km2 (15% of the land area of
Ethiopia). According to the 2007 census, 82.5% of the population of the Amhara Region was
Ethiopian Orthodox; 17.2% were Muslim, and 0.2%, were Protestants. The ethnic groups found
in the region are the Amhara, Agaw, Oromo, Qemant, Argobba and Tigre. According to CSA
(2007), the region has a population of 17.2 million, 88 per cent living in rural areas. As per the
population estimates of the CSA, in July 2016 the Region’s total population was estimated to be
20,769,985, which constituted 10,401,995 males and 10,367,990 females. In the same estimation,
the rural population was estimated to be 83.2% whereas the urban population constituted 16.8%.
The region covers a total area of around 154,000 km2. The plot size averages 0.3 ha/household.
There are 105 woredas including 3 Special Woredas. The main crops grown in the Amhara are
cereals, pulses, and oilseeds. The main crops grown in the region are teff, barley, wheat, maize,
sorghum, and millet. The pulses include horse beans, field peas, beans, haricot, chickpeas and
lentils. The region also possesses extensive livestock resources. Most parts of the region, is on a
plateau of highlands and characterized by rugged mountains, hills, valleys and gorges. As a
result, the area has varied landscapes consisting of steep fault escarpments and adjacent lowland
plains in the east, nearly flat plateaus and mountains in the middle, and landforms eroded in the
north. Most of the western part is a flat plain that stretches to the lowlands of Sudan. The region's
high population growth rate has brought extreme land scarcity and increasing depletion of
natural resources.
A. Ebinat Woreda
Ebinat is located at a distance of 122 kms from Bahirdar, the present capital of Amhara region
and 109km away from the zonal capital Debre Tabor. It is one of the ten woredas under south
Gonder zone. It is bordered by north Gonder zone Belesa Woreda on the north, FartaWoreda on
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the south, north Wollo Bugna woreda and Waghimra zone Dahina woreda on the east, Lai Gaint
woreda and with Libo Kemkem woreda on the west. The Woreda covers a total land area of
2494.27 km2. Ebinat woreda is structured with 37 Kebeles of which two of them are urban and
the remaining 35 are rural. About 93% of the local people lived in rural areas. In the Woreda,
there are about 25 governmental and 5 non-governmental bureaus which serve the community.
According to CSA (2007), the total population of the Woreda is 242,787. The data of different
years indicated that the people of the woreda suffered by recurrent drought appearing in the area.
4.2.6. Tigray Region
Tigray region shares borders with Eritrea in the north, Afar and Amhara in the east and in the
south, and Sudan in the west. The region has a total area of 53,000 km2 consisting of 6
administrative zones and 35 woredas. CSA population census of 2007 indicated that there are 4.3
million people in the region. The average regional land holdings are estimated to be 0.5ha/
household. In the Western lowlands the kind of food crops produced are characterized by
sorghum, maize, teff, barley, and wheat. Despite lower soil fertility and rainfall, yields are
usually lower than in the middle highlands. Tigray is home to a variety of special, original grain
species in Ethiopia, especially various wheat and barley varieties adapted for shorter or longer
rainy seasons. For the fieldwork, Tsiraie wonberta woreda was selected. This woreda is a newly
splited woreda. Thus, there is a dearth of information on socio-demographic profile.
4.3. Gaps Analysis of the First Phase of the PSNP5 ESAC
The major gaps of the first phase of the PSNP5 ESAC are the following. The first major gap is
that ESAC Phase One is exclusively based on the desk review of PSNP related secondary
sources including PSNP Household Impact Assessments (2006-2012), Enhanced Social
Assessment and Consultation (2014 and 2017), PSNP Midline Survey (2018), PSNP and Gender,
Social Development (GSD) and Nutrition Issues in Afar and Somali Regions (2018), Project
Grievance Redress Mechanism Reviews (2016/17 and 2018/19), and Gender Analysis and GBV
Risk Assessment of PSNP5 (2020). Despite providing backdrop, thus, the first phase of ESAC
lack primary data sources to adequately substantiate the potential social impacts of the proposed
interventions of PSNP5/SEASN on communities including the underserved and most vulnerable
populations. Therefore, the second phase of the PSNP5 ESAC addressed the gap by conducting
fieldwork that generates primary data from different sources (beneficiary communities,
disadvantaged and vulnerable groups, implementing stakeholders from federal to kebele levels
and NGOs operating in the area). In doing so, ESAC Phase Two provides the latest information
to guide the design document of the PSNP5 and update SDP, SEP and ESMF accordingly.
The second major gap is the depth of the ESAC Phase One. It presented just a summary of each
component of the proposed PSNP5 that failed to provide adequate contexts and facts. ESAC
Phase Two filled the gap by presenting adequate data and detail description of each component
and its sub-components in the way that help the design improvement of the PSNP5.
The third major gap is that ESAC Phase One did not describe the socio-economic profiles of the
historically underserved regions and vulnerable communities in the program target areas.
Likewise, the national policies and strategies informing the purpose and design of the proposed
PSNP5 were not discussed. In contrast, ESAC Phase Two discussed the socio-economic profiles
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of the target communities and relevant national policies providing backdrop to the design of the
PSNP5.
4.4. Social Conflict
Various social assessments and informants consulted for this ESAC listed different reasons for
the presence of conflicts in the pastoral, agro-pastoral and farming communities of Ethiopia. It is
therefore important to know the sources of conflicts during the implementation of the project in
the areas it covers. The main sources of conflicts mentioned during consultation with
stakeholders and review from previous social assessments include livelihoods, rangeland or
pasture, the situation of the youth being unemployed and underemployed, information and
misinformation.
With reference to PSNP related social conflicts, community consultations and key informant
interviews conducted in the six regions and woredas revealed various ways of social conflicts
due to the implementation of PSNP though they are minor. The dissatisfactions are mainly
related to the targeting of PSNP. The none-beneficiary community members felt that they are
excluded from the program while they are eligible and taken that as a source of social
dissatisfaction. They complain that they are being treated as if they are not community members
and that they are not given care and attention. As a result, nonbeneficiary community members
refuse to participate in various activities requested by the local government. Though the degree
varies, such sort of social dissatisfaction was observed across the study PSNP woredas.
Besides social dissatisfaction associating with PSNP targeting, individual dissatisfaction was
reported. The following quotation from Somali region, Kebribeya woreda illustrates the case:
There was a divorce case, when the divorce was completed; the father took some of
the children with him while the mother kept some of the children with her. As a result,
the father and mother were fighting for the PSNP Client card and the transfer
because the father wanted to take both the transfer and the client card but the mother
did not accept it. So, the case was finally resolved by the kebele FSTF and KACs by
dividing their household size between the two sides.
Generally, whatever the forms of conflicts, it can easily erode community assets built through
PSNP support or individual assets unless it is managed properly. In order to resolve such risks,
the implementers suggested that consultations be held with local elders and ritual leaders
involving the concerned clans to identify public work sites that would not be potential sources of
conflict between communities. Moreover, it is important to make the targeting criteria more
clearly for the community, and if possible, to include all needy people in the society as they have
intangible economic and social problem. Furthermore, it is needed to reduce the workload of PW
inline to their capacity and arrange the PW sites in areas close to their village and to make the
monthly payment timely. More to the point, awareness raising and capacity building for the
community and kebele committee members are imperative.
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4.5. Local Knowledge
Discussion with stakeholders at regional and woreda levels as well as community consultations
in the sampled kebeles revealed that public work activities were carried out in a participatory and
consultative manner. They stated their involvement in the planning stages. In this regard,
discussion with the community in SNNP/Bolosso Sore woreda confirmed that they are part of the
planning process and used their traditional knowledge on land and water management as part of
the PSNP planning and implementation. Moreover, both female and male community
representatives are part of the PSNP Community Watershed Management committee. This gives
an opportunity to make use of the local knowledge on various forms of subprojects of the
program including land management, water and soil conservation and it would be good if the
program in the future strengthen the participation of community in the planning process. It is
imperative conducting a kind of analysis over existing community’s local knowledge and
practices in relation to PSNP PW related activities.
ESAC in Somali region also indicated the need to use traditional institutions involving clan
leaders, elders and religious/ritual leaders in the implementation process of PSNP, as the local
knowledge is important in activities of public works such as area closures for pasture, water
wells, and community engagement. Women should also participate in the process through
representation on the Kebele FSTFs. Thus, it is relevant making use of traditional knowledge by
brainstorming and carrying out community consultation. More specific in Kebribeya woreda,
informants stated that local knowledge on watershed treatment from the base unlike the
watershed treatment from the upper side, which is adopted in PSNP. Sometimes, traditional
institutions/structures and religious leaders might try to influence the selection process and thus
need to consider them in targeting process with the support of the kebele food security taskforce
(KFSTF). The same way, in Boset woreda, informants indicated the need to involve local
knowledge in the process of solving water related problems as the community has an experience
of pond digging and how to manage the water collected in the pond during the rainy season.
However, in Amhara, respondents indicated that they are implementing PSNP based on the
training received from government institutions, there is no practice in the kebele in terms of
utilizing local knowledge for PSNP implementation, and informal institutions do not have as
such significant influence in the kebele.
Generally, it can be deduced from the above discussions that there is a need to take into account
local knowledge in the planning and implementation process of PSNP5. This should also be in
line with the context of the different regions and woredas variations.
4.6. The Delivery of Productive Safety Net
4.6.1 Targeting
Targeting in PSNP5 refers to the process of defining, identifying and reaching out the intended
beneficiaries of the program and ensuring the neediest receive adequate assistance, meeting
program objectives, and assuring the effective use of limited resources as much as possible. It
also involves a range of decisions at various stages of program design and implementation. This
includes who should receive the program’s benefits, where; when and for how long; what; and
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how the target beneficiaries will be identified. To this end, PSNP5 set fair and transparent client
selection as its key principle.
Targeting criteria
Previous phases of the PSNP used the criterion of chronic food insecurity as the basis to target
clients. However, recent analysis indicate that food insecurity has fallen rapidly in Ethiopia
between 2005 and 2016, notably in Afar and Somali regions, while extreme poverty for the
poorest 10% has deepened with the highest levels in SNNPR and Amhara regions. Likewise,
empirical evidence showed that historically underserved communities and vulnerable groups are
disproportionally living in extreme poverty or they are at higher vulnerability to shocks.93 For
example, the specific vulnerability of women in married households and female-headed
households is considered. Evidence showed that female farmers are less educated and have lower
access to land and finance compared to their male counterparts. They are also less likely to
attend extension programs and use agricultural inputs like fertilizers, pesticides and herbicides.
As a result, agricultural productivity is lower for female farmers.94 Owing to these facts, unlike
previous phases of the PSNP, the design of the PSNP5 makes a shift in the previous targeting
criterion. Instead, it will use extreme poverty as the targeting criterion for the core caseload and
extreme vulnerability for the transitory (shock-responsive) caseload.
The ESAC team consulted the program implementers, particularly those at the woreda level
about their awareness of the shift of the targeting criteria in PSNP5 and what facts necessitates
the change and the impact of the change on the community. Some program implementers
superficially aware of the change but lacked knowledge on what facts necessitate PSNP5 to
change the targeting criteria. However, many woreda and kebele level program implementers
have no idea even about the changing of the targeting criteria let alone what facts necessitate the
change. When probe on to discuss the targeting criteria in PSNP5, these program implementers
still referred to the selection criterion (chronic food insecurity) in the previous phases of the
PSNP. Consequently, lack of awareness on the design changes of the PSNP5 by the grassroots
program implementers may have the risk to apply the earlier selection criteria when targeting for
the upcoming PSNP5. In turn, that may exclude a significant number of vulnerable groups who
are living in the extreme poverty or at higher risks of vulnerability to shocks —the very reason
why the PSNP5 change its targeting criteria. Therefore, the ESAC team highly recommended
proper awareness raising training for the woreda and kebele level program implementers on the
design changes of the PSNP5 well before the commencement of the new targeting.
Exclusion and inclusion errors
As several studies revealed including PSNP Household Impact Assessments (2006-2012)95 and
PSNP IV ESAC, the exclusion and inclusion errors were the common experience of the selection
process in previous PSNPs. The current ESAC reinforces the same finding. For example, in
Boset woreda of Oromia region during community consultation, participants and interviewed
program implementers stressed the severity of the problem for prompt remedial action. In Ebinat
woreda, Amhara region during community consultation, participants urged the intervention of
93
World Bank (2019) and World Bank (2020).
94
World Bank (2019) Ethiopia Gender Diagnostic Report.
95
Household Impact Assessment (2006-2012)
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experts from woreda sector offices in times of the full targeting and verification process to avoid
or reduce the exclusion and inclusion errors.
The finding of the ESAC for PSNP5 summarized the degree of the prevailing exclusion and
inclusion errors that contradict with the key principle of the PSNP: The targeting of the program
should ensure that the neediest receive adequate assistance and that limited resources are used as
effectively as possible. Likewise, the exclusion of those who are eligible and inclusion of those
who are not has been generating a great discontent among those local community members who
unfairly excluded from the benefits of the program. The same trend of exclusion and inclusion
errors may persist in the implementation of PSNP5 unless proper mitigation measure is in place;
for example, make sure that the inclusion of beneficiaries is managed in a fair and transparent
manner by undertaking continuous community participation.
Risk of exclusion error for vulnerable groups
PSNP Household Impact Assessments (2006-2012) and PSNP IV ESAC that have documented
the experience of the previous phases of the PSNP showed that the rate of exclusion error is
higher for disadvantaged and vulnerable groups. A review of these empirical studies uncovered
that the exclusion error may occur during one or the other of the following targeting process. The
first way is the omission during the process of the full targeting that takes place once in every
four year —during the first year of every new phase of the PSNP. Exclusion from the full
targeting means the exclusion of the vulnerable groups from the benefits of the PSNP for the
whole phase. Interview with the disadvantaged and vulnerable groups showed exclusion error
during the full targeting is common. Yet, though not common as the exclusion error during the
full targeting, vulnerable groups may still be at the risk of exclusion error during the retargeting
(annual retargeting and recertification) processes. An annual retargeting is undertaken to confirm
the caseload and adjust for clients who are divorced, no longer living in the area or exit the
program due to death. The recertification process is the process by which the welfare of a
beneficiary household is reassessed through the application of light Proxy Means Test (PMT) so
as to make decision whether to retain its eligibility for inclusion or not.
Community consultations and key informant interviews revealed major factors contributing for
the exclusion error in general, and vulnerable groups such as female-headed and women in male-
headed households in particular. Participants and key informants in all woredas invariably stated
weak kebele community Food Security Task Force (FSTF) and Kebele Appeal Committee
(KAC) as one key factor. Perhaps, an explanation by one community consultation participant in
Boset woreda can express the ideas of all others on the point as follows:
To challenge the male-dominant decision making and other gender-based bias, women
are not adequately represented in the community-based targeting structures such FSTF
and KAC. Even those women members of the FSTF and KAC are not actively involved in
the selection process. Thus, their membership has no role in avoiding or reducing unfair
selection against women or handling complaints of exclusion error through responsive
grievance redress mechanisms.
Community consultation participants and program implementers in all PSNP woredas covered in
the assessment persistently mentioned lack of awareness and other capacity issues related to
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kebele FSTF and KAC as a major contributing factor for the existing exclusion and inclusion
errors. A program implementer from Amhara region highlighted the issue as follows:
Members of FSTS and KAC lack adequate awareness and technical skills on community-
based selection process, gender sensitive PSNP provisions and mechanisms of handling
complaints. Establishing the kebele FSTF and KAC by itself cannot do the job or solve
the problem of exclusion and inclusion errors. Hence, provision of training, close
technical supports and supervision by Woreda Sector Experts is mandatory to enhance
the performance of the members of the FSTS and KAC.
Among other things, to strengthen the implementation, the finding of the ESAC recommends
PSNP5 to comprise effective measures that enhance the performance of the FSTF and KAC in
line with awareness and technical skills, proper numerical representation and active participation
of women, and close supervision by Woreda Sector Experts.
Community members and program implementers added that sometimes, in some cases, DAs and
kebele administrators engaged in acts of nepotism, favoritism, and abuses of power by some
members of the kebele FSTF as the critical factors causing the exclusion and inclusion errors.
The ESAC found out that these factors were due to lack of good governance. This can be
mitigated through serious follow up and supervision as well as technical support by woreda.
Elite captures
In the woredas where ESAC PSNP5 conducted, there are numerous local socio-cultural
organizations and informal structures including clan, elders, community leaders, and religious
leaders that play a crucial role in people’s day-to-day life. Community consultation participants
and interviewed program implementers expressed that these socio-cultural organizations and
informal structures are actively involving in the selection process. There are many positive roles
of these socio-cultural organizations and informal structures for fair targeting. Specially, their
role can be strengthened by providing training in line with the PSNP targeting principles.
Despite the aforementioned positive roles, consultation in Afar and Somali regions’ PSNP
woredas exposed instances of clan leaders and community elders influence for unfair targeting
outcomes. In addition, elite captures can be loudspeaker/orator community members, leaders of
informal local institutions and people with relatively better economic status are dominant among
pastoral communities. Assessments on previous phases of the PSNP, Programme Performance
Reviews and Impact Assessments (2006–2012) and PSNP IV ESAC, revealed the same finding in
this regard. In line with this, the experience from Mille and Elida’ar woredas in Afar region
indicated that between the various clans in Afar people, the principal status distinctions are the
Assayamara (red/nobles) and the Adoyamara (white/commoners). Further, the head of the Afar
clan families is called Mekaban, under him each clan is ruled by a KedoAba. These clan
hierarchies strictly maintained in the political, social and cultural spheres of the people’s life.
Thus, clan leaders are not always objective in the way they influence the decision of targeting.
The finding revealed three potential risks of elite capture. Firstly, not only clan members but also
woreda and kebele FSTF are mostly under the influence of the clan leaders and, thus, they make
less effort to correct the exclusion and inclusion errors. Secondly, people are obliged to adhere to
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the clan leaders’ decision and, thus, they do not present appeal for the unfair exclusion. Thirdly
and more importantly, the impact is differential for women. Based on these findings, the
following mitigation measures are recommended to improve targeting process such as reminding
community member and clan leaders as well as other elites to care for their community and the
public announcement/posting of targeting decision.
Appeal structures
PSNP5 is aimed at selecting beneficiaries through community-based targeting with an effective

appeal mechanism to address the inclusion or exclusion errors. Kebele Appeals Committees
(KACs) are the primary mechanism for communities to raise complaints or objections regarding
all PSNP activities including the exclusion and inclusion errors. However, in all PSNP woredas
covered in the ESAC PSNP5, community consultation participants and interviewed program
implementers unanimously revealed the weak and none-responsiveness of the existing appeal
structures, mainly at kebele level. The major reasons provided across woredas were:
• Though few in number, there are kebeles operating without KAC.

• High attrition rate of KAC committee members.
• KAC committee members lack awareness on GRMs, Some of KAC members, and
Kebele Cabinet or Kebele Chairperson are not capable to handle complaints as per the
GRMs stated under ESS 7 and 10.
• Committee members of KAC are not committed to discharge their duties and
responsibilities.
• Women are not proportionally represented in KAC.
• Interference of Kebele Cabinet, Kebele Chairperson and grassroots level program
implementers (DAs).
The above-mentioned weaknesses of the appeal structures further exacerbated the problem of
exclusion error for the disadvantaged and vulnerable groups. Therefore, PSNP5 should provide
awareness creation trainings for KAC and GRM committees and strengthen the responsiveness
of the appeals structures.
4.6.2 Transfers
Transfers in PSNP5 refer to the payments provided to the clients in the form of cash or food, and
are equivalent to the value of 15 kg of cereals and 4 kg of pulses per month only in NGO
woredas. Depending on how they are categorized, households receive either six or twelve
months of support. Accordingly, PW clients are those households with adult labour available to
work on community-based public works. Transitory Direct Support (TDS) clients are those
adults such as PLW and caretakers of sick or malnourished children who generally engaged in
PW but are exempted temporarily. Permanent Direct Support (PDS) clients are those households
who do not have adult labour available for PW. While both PW and TDS clients are entitled to
receive six months PDS clients receive twelve months support. The focus PSNP5 is to ensure
transfers are of sufficient value, in the most appropriate form, received with low transaction
costs, and arrive predictably on time. In order to understand existing situations, community
consultations and key informant interviews were conducted pertaining to timelines of transfers,
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predictability of transfers, adequacy of transfers, and appropriateness of transfers. These issues

are discussed in the following sections.
Timeliness and predictability of transfers
Timeliness and predictability of transfers is a high priority for PSNP5. It states two important
principles. The first is that transfers must be received in accordance with the program standards:
Payment must correspond to the time prior to or during households’ greatest need; disbursement
schedules for cash and food will be included in annual plans; and payments shall be made within
30 days of receipt of cash or food by the woreda. The second principle expects that clients must
know what they will receive (in terms of food commodities and/or cash values) and when they
will receive it, and they must have the confidence that the transfer will arrive on time.
Community consultation participants and interviewed program implementers in some sampled

PSNP woredas for this ESAC assessment indicated that e-payment system was launched and
there is relative improvement in meeting the timeliness and predictability of cash payment.
However, poor network service, technical capacity gaps on the side of M-birr paying agent, late
payroll preparation, and delay in budget transfer from region to woredas has still delaying cash
payment.
The delay of payment in foods is reported as a serious problem across consulted PSNP woredas
during this ESAC. Interviewed program implementers identified a number of reasons for the
delay of transfers, but not limited to:
• Delay of commodity movement from federal to region and from region to PSNP woredas.
• Delay of budget release from federal to region and from region to PSNP woredas.
• Delay in request form submission by woreda to region and related offices works.
• Delay in payroll preparation.
• Clients may not complete the required PWs on time.
• Inaccessibility of some PSNP kebeles due to road infrastructure problem, especially
during the rainy season.
Community consultations exposed that delay in transfers leading to increased risk of household
asset depletion and other negative coping strategies. In particular, the impacts of lack of food
due to transfer delay is more severe for children, pregnant and lactating women, elderly,
persons affected by chronic diseases and people living with HIV/AIDs.
Appropriateness of transfers
Clients were consulted on the appropriateness of transfers from different perspectives such as
accessibility of the location of payment or food distribution center, their preference of the
payment modalities (where transfers are preferred in cash, foods or mix of cash and foods),
whether the kind of food received is appropriate to their food habits or not and the
appropriateness of the payment method, if payment is received in easy payment system (e.g. e-
payments) or manual cash payments. These issues are discussed in some details as follows.
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Overall, community consultations revealed that clients prefer payment in mix of cash and foods.
However, the reasons given for the preference varied from woreda to woreda. The first reason
concerns PSNP woredas such as Ebinat in Amhara, Boset in Oromia, and Boloso Sore in SNNP
regions clients preferred the payment in cash during (January-March in Ebinat woreda for
example) good local markets where the needed grain is available for relative low price. While at
times when there is shortage of grain supply in market or when market price for grain is high
(May-October in Boset for example), clients prefer the payment in cash. The second reason
illustrates the case of pastoral communities in Mille and Elida’ar woredas in Afar and Kebribeya
and Gursum woredas in Somali region where clients exclusively prefer the payment in cash. This
is because the kinds of grain provided are not appropriate to the food habits of the clients. The
vulnerable groups including FHHs, labour-poor households, elderly households, and people with
disabilities/persons affected by chronic illness preferred the cash payment modality. They prefer
cash to avoid the cost of transportation if transfer is received in foods. On the other hand,
beneficiaries expressed that the decision on the payment modality is not participatory and what is
decided at the federal level is imposed.
Adequacy of transfers
The principle of PSNP5 asserts that the amount of transfers should be sufficient to allow the
recipients to manage their household economy effectively, avoid asset loss, avoid resorting to
negative coping mechanisms, and maintain consumption levels. However, community
consultation participants stressed frequently that the received amount is not adequate to sustain
their households for the whole month. Participants further expressed that the monthly household
consumption gap is even more when the transfers are received in cash. Moreover, they
mentioned the major reasons that accounted for the problem is the existing trend of the PSNP,
the wage rate reviews and compensation adjustment for the eroded value of the wage rate is
made annually. However, the inflation rate of Birr or the eroded value of the wage rate is
increasing within a short-interval (in a month or week time) while the price of the grain
significantly increases within the same time interval. What is more, the price amount, rate of
price increment and the time-speed of price increment for the same type of grain varies from one
PSNP kebele to another. The experience in Tsiraie wonberta from Tigray region was the worst
case in this regard, where the price of the grain is unpredictable or grain is not available in the
local market. In such instances, households resort to negative coping mechanisms resulting in
household asset depletion such as taking loan from private lenders, sale of animals and using the
livelihood grant or credit to buy foods.
This situation would have special impacts for historically underserved and vulnerable groups
such as pastoral households, female-headed households, early-headed households, people living
with HIV/AIDS, people with disabilities/persons affected by chronic diseases. These groups of
people are facing a special challenge because they cannot afford the price of the high rate of the
inflation or cannot resort to other coping mechanisms such as loan from private lenders. Besides,
the problem aggravates the nutrition problem for children and pregnant as well as lactating
women. Therefore, the aforesaid aim of the PSNP5 will be hardly achieved unless appropriate
mitigation measures are taken.
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Mismanagement or misuse of transfers
During the community consultations and key informant interviews beneficiaries expressed the
prevailing practice in male-headed household is that it is the husband who collects transfers.
Consequently, clients and program implementers have illustrated cases of mismanagement or
misuse of transfers. Some of such practices may include men spend the received cash or selling
the grain for the use of alcohol drinking, cigarettes, khat chewing or unintended purposes.
Community consultation participants and interviewed program implementers alike repeatedly
noted two basic problems of such mismanagement or misuse of transfers when collected by
husbands. The first basic crisis manifested in terms of aggravating the household food
consumption gap in general and nutrition problem for children in particular. International
evidence shows that transfers are more likely to be used to improve household nutrition if given
directly to women. Furthermore, the gender analysis conducted to inform the design PSNP5
revealed that most of women FGD participants and some men felt that there is misuse of the
transfers collected by men.96
The second basic problem stated during the community consultations and key informant
interviews is that mismanagement or misuse of transfers by men caused disagreements and
conflicts between husband and wife. There are cases where disagreements and conflicts escalate
to actions of gender-based violence by men against women. Therefore, the implementation of the
PSNP5 requires reconsidering the existing trend and devises a system of payment where women
collect transfers.
4.6.3 Public Works (PWs)
In PSNP, the primary purpose of public works is to create community assets through
development of watersheds and the provision of social infrastructures in PSNP areas, thereby
contributing to increasing resilience, climate change adaptation and mitigation. Thus, public
works on common land is the conditionality attached to receipt of transfers by PSNP able-bodied
clients. Backdrop to this, beneficiaries participating in community consultations and interviewed
program implementers forwarded problems related to planning process, workload, timing of
public works, participation of children in PWs, and health and safety issues. These are discussed
as follows on after the other.
Planning of public works
The implementation of PWs affects and in turn affected by other PSNP activities and the labour
needs of the beneficiary households. These facts make the active participation of the beneficiary
households in the planning process as a matter of necessity for its effective implementation.
Community consultation participants from Gursum woreda, Bambas kebele and Kebribeyah
woreda, Garbi kebele in Somali region expressed that program implementers let them actively
take part in PW planning process and their comments and suggestions were seriously
incorporated in the final plan. To the contrary, in Ebinat woreda of Amhara region, Boset woreda
in Oromia and Tsiraie wonberta woreda in Tigray community consultation showed that the
beneficiaries were not active participant in prioritizing PW activities and deciding the convenient
96
Productive Safety Net Program (PSNP5) Design Document, 2020-2025
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timing of PWs. Perhaps, the following expressions by two of the community consultation
participants can depict the common pictures of the PW planning:
Development agents and community watershed committee prepare public work plans. We
[the beneficiary households] do not involve to prioritizing public work activities and
deciding suitable timing/season. Development agents and watershed committee forward
us what they prioritize and decide for implementation. Yes, the beneficiary households do
participate in the planning process; nominate our priority PW activities and timing of
PWs. However, our suggestions and comments are not incorporated in the final planning.
Our participation is done just for the sake of reporting. Otherwise, what is implemented
on the ground is what program implementers have planned.
For PSNP5, lack of beneficiary households’ participation in the planning of PW has the potential
risks and necessary to effectively consider during the implementation of the program. In
particular, the activities of PWs require ensuring women’s active engagement in the planning
process to properly reflect and prioritize their special needs. Failure to do so may seriously risk
the women by putting them under pressing workload. Therefore, PSNP5 needs to ensure the
active participation of beneficiary households in prioritizing PW activities and convenient timing
of PWs.
Workload
In PSNP5, a pre-requisite for PWs sub-projects is that they are labor-intensive, that is, they
demand much labour contribution of the PW clients in line with the requirements of the program.
Hence, PSNP5 maintains the PWs conditionality of 5 days per person per month and a maximum
of 15 days per month for the share of the household as a whole. During community
consultations, clients unanimously noted that the PWs conditionality is competing their time and
labour need for regular household livelihood activities. Despite workload was noted by all
participants, the ESAC findings indicate the differential impacts of workload for women in male-
headed and female-headed households. A further analysis on the point uncovered a different
context for women in the agricultural and pastoral-based PSNP woredas.
The timing of the public works corresponds to the timing of the hungry season. Conversely,
community consultation participants in agricultural-based PSNP woredas expressed that the
hungry season is not the time where idle household labour is available. Rather, the hungry season
is the time when all able-bodied household members engaged in various coping strategies. Boset
woreda from Oromia region provides a typical case in point. The woreda is located near to the
Adama town, the biggest commercial center in Oromia region connecting activities from all the
four corners (Bale-Arsi, Batu-Shashamane-Hawassa, Bushoftu-Addis Ababa and Metehara-
Harar routes) and along the Ethio-Djibouti highway. Using this as a good opportunity and to
overcome the hungry season, not only the father but also matured sons and daughters resort to
other means of earning income such as working as daily-labourer in big construction sites and
petty-trades. Thus, the mother is the only household member available for the responsibilities of
the PWs as well as domestic chores putting the women under the heavy workload. Even more,
female-headed households without able-bodied labor in their house suffer critical workload as
part of their daily life.
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Turning to the context of the pastoral PSNP woredas covered in the assessment, the timing of the
hungry season is the timing of high mobility too. Male household heads, adolescents, and youths
move with their cattle in search for pasture and water. The direction and travel distance is
depending on where pasture and water is available. In contrast, PW activities are carried out
around the base camp making women the only household member responsible for the PWs and
domestic tasks. To worsen the matter, sometimes, the public work sites require a travel of 6
hours in double trip. The physical fatigue from such workload for women is inevitable.
Heavy workload due to double-labour engagement has still a differential impact for women
having small kids with no adult person available at home to look after the kids. For those women
who left the kids behind with teen household member (if there is any), the life of the children is
seriously affected as there is no adult person to properly feed them on time and take care of them
from harming situations. Some women don’t have even teens at home to look after the kids while
they are engaged in PW. In such the case, an informant from Ebinat woreda Akuha kebele stated:
“I take my child with me and do PW activities caring him on my back.” Therefore, the ESAC
recommends PSNP5 should reduce the differential impacts of workload for women and children.
Timing of public works
The ESAC revealed that the effective implementation of PWs necessitates proper planning of the
timing of PWs. As stated earlier, community consultation in Gursum woreda, Bambas kebele and
Kebribeyah woreda, Garbi kebele in Somali region showed that decision about the timing of
PWs is reached in discussion with the beneficiaries. Hence, the timing of the PWs suits to the
pastoral activities of the beneficiary households. Nevertheless, in most PSNP woredas,
beneficiaries felt complaints about the mismatch of PW timing and their annual farming
calendar. For example, community consultation participants in Ebinat woreda, Akuha kebele
stated that the timing of PWs sustains throughout the year and that collide with their annual
farming calendar. Responding to further probe why the timing of PWs sustains throughout the
year one participant explained:
Besides PWs, we engage in mass labour mobilization annually implemented by the

Amhara regional state. To harmonize public work with mass labour mobilization, the
regional government introduced the 40:10:50 time allocation approach. That is to say,
beneficiaries are required to complete 40% of PWs before, 10% during and 50% after
mass labour mobilization. This time allocation approach extends PW activities
throughout the year which leaves us no adequate time for carrying out the regular
farming activities.
Community consultation participants in Boset, Bolosso Sore, and Tsiraie wonberta woredas
expressed that the timing of PWs begins in the late slack season that extends until the first few
months of the main agricultural season. For example, a participant from Boset woreda stated:
The beginning of PW timing is normally scheduled from January and continues until the
first two months (May and June) of the main farming season. But, the slack season
commence in November. That means if PW timing begins in November (instead of
January) we could have completed it two months earlier than now or just before the
beginning of the main farming season.
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Therefore, lack of proper planning of PWs timing in consultation with the beneficiaries have
potential risk of reducing the productivity of the beneficiary households by reducing the time of
main farming season. The finding of the ESAC recommends that decision about suitable timing
of PWs should take into account the timing of the PWs that fit to the annual farming or pastoral
calendars of the beneficiary households.
Participation of children in PWs
PSNP5 provision states that children are strictly forbidden from providing labor on behalf of a
household for PSNP public work activities. In all PSNP woredas, there wasn’t a single case of
the participation of children below 18 years of age in PW. Community consultation participants
and program implementers alike have witnessed that PW site foremen are committed in
enforcing the PSNP provision that prohibit child-labour while MoLSA’s social development
affairs at the respective PSNP woreda closely monitor the case through inspections on public
works sites. So, PSNP5 should keep up such strong enforcement of the provision to evade the
participation of children in PWs.
Health and safety of pregnant women
Though there is some variation, consultation with beneficiaries and program implementers finds
the PSNP provision, which state that pregnant and lactating women (PLW) are assigned to TDS
from confirmation of pregnancy until a child is two years old is implemented in all PSNP
woredas. Contrary to this, community consultations in Mille and Elida’ar woredas in Afar region
indicated that woman participate in PWs until her sixth month of pregnancy. According to the
discussion with informants from Ebinat woreda of the Amhara region and Gursum woreda of the
Somali region, it was found out that the prevailing cultural norms showed that women do not tell
anyone about their pregnancy or visit health center for pregnancy test. Consequently, pregnant
women participate in PWs until several months of their pregnancy. This may expose pregnant
women and the fetus to serious health and safety problems. In general, ESAC finding draws that
the awareness of ante-natal care is basically low in the above stated PSNP woredas. Thus, the
implementation of the PSNP5 requires effective training of Behavioral Communication Change
for women to culminate the prevailing socio-cultural misunderstanding about ante-natal care.
4.6.4 Livelihood Support
The livelihood support services in PSNP5 are provided in three pathways: on-farm income
generations for crop and livestock, off-farm income generation activities, or employment
opportunities. These livelihood intervention pathways are tailored to the available resources,
capabilities of the clients and area-specific contexts. PSNP5 aimed at maximizing the impacts of
livelihood support services. To this end, it adopts a new livelihood intervention strategy known
as a big-push approach. That is, the livelihood interventions focus on manageable client size,
intensive technical support, and increased inputs to enable improvements in the livelihoods of the
targeting clients, thereby accelerate their exit/graduation from the program. In that way, the
livelihood supports in PSNP5 will contribute to building sustainable livelihoods and resilient
rural PSNP households.
Targeting for livelihood support
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Community consultation participants and interviewed program implementers discussed the

various livelihood support provided to the target clients. The technical supports are provided to
clients targeted both in the on-farm and off-farm pathways. These are trainings on livelihood
diversification, income-generating activities, financial literacy, business management skills, and
developing business plan and market skills. Coaching, mentoring and follow-up were also
provided as part of technical supports. Clients targeted in the on-farm pathway were facilitated
with access to mature watersheds, water harvesting and small-scale irrigation schemes to
increase the productivity and production of their land. The financial support was provided in the
form of livelihood grant. Besides, livelihood target clients were facilitated with linkages to
financial service providers through referrals. Nevertheless, ESAC found out numerous
complaints related to the differential opportunity in the livelihood targeting. As discussed below,
complaints raised by community consultation participants and interviewed program
implementers are varied.
During consultation, communities and program implementers in Somali and Afar regions have a
serious complaint mentioning that the PSNP livelihood support component has not been
commenced yet. Participants stressed that building sustainable livelihoods and resilient rural
PSNP households in the two regions without livelihood support is a futile exercise. Thus,
community consultation participants and interviewed program implementers urged PSNP5 to
launch the livelihood support interventions.
In Oromia, Amhara, SNNP and Tigray regions where the PSNP livelihood support component
and sub-components have been implementing for years, ESAC findings revealed that there are
serious complaints related to the unfair targeting of livelihood support for the disadvantaged and
vulnerable groups. In all PSNP woredas in these regions, the ESAC findings uncovered the
targeting of livelihood support is unfair for women in male-headed and female-headed
households, polygamous households, elderly-headed households, disabled/persons affected by
chronic diseases, unemployed rural youth, labour-poor households, people living with
HIV/AIDS, and new residents to woredas. The common reasons invariably stated by community
consultation participants and key informant interviews are quoted below:
• Women in male-headed households are not targeted for livelihood support. Because, the
prevailing socio-cultural norms expect men are the “bread-winners” and women are
“home-makers.” Hence, targeting for livelihood is exclusive to men. Men exclusively
received the technical and financial supports provided by the program too.
• The targeting criterion in the previous phases of the PSNP exclude landless unemployed
rural youth and new residents to woredas for the PSNP services in general and livelihood
support in particular.
• As targeting is exclusive to husband, polygamous households cannot compete for more
than one targeting chance.
• There is a general thinking that engaging in all the three livelihood pathways of the PSNP
require able-bodied person. This is taken as a pretext for the exclusion of the vulnerable
groups such as elderly-headed households and disabled/persons affected by chronic
diseases.
The ESAC indicates that the exclusion of women from the targeting of livelihood support would
impair women’s technical knowledge while the management of the livelihood financial supports
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at the hands of men would have the risk of misuse. Alternatively, evidence (Semhal 2020; PSNP
IV ESAC) showed that women have better experience and skill than men do in income
generating activities even without taking technical trainings. Besides, women are less
extravagant than men are. Thus, PSNP5 should take remedial action to alter the prevailing
gender bias in the targeting of livelihood support.
Access to micro-credit service
In all PSNP woredas, micro-credit service is provided either by respective regional government
managed MFI (Omo Micro Finance in SNNP, Oromia Saving and Credit Share Company in
Oromia, Amhara Saving and Credit Share Company in Amhara and Dedebit Micro Finance in
Tigray) or Rural Saving and Credit Cooperatives (RUSCCO). Consultations revealed that there
is high demand for credit service by clients in general. However, the existing MFIs could only
provide a limited credit fund. In addition, most of the MFIs impose 5,000 birr as a maximum
loan amount per client household which is not enough to finance the proposed business
activities.
Furthermore, community consultations and key informant interviews exposed access to micro-
credit service is even more limited to the disadvantaged and vulnerable groups. The common
explanations consistently stressed by the participants and interviewees are summarized below:
• Due to limited availability of loan fund by Micro Financial Institutions (MFIs) operating
in the respective region, credit is provided on a competitive term. Besides, prior saving of
about 10-20% of the total load request and group collateral approach are pre-conditions
to receive credit. Thus, FHHs, elderly-headed households, landless unemployed rural
youth, disabled/persons affected by chronic diseases, and new residents to woredas
cannot access credit. That is because they cannot compete, cannot make prior saving or
cannot provide group collateral.
• Competent FHHs, elderly-headed households and people with disabilities (if there are
any) still cannot receive credit. Because MFIs are in fear of default if provide credit to
these groups.
Numerous constraints for limited access were mentioned during consultations. These include
limited credit fund, lack of basic infrastructures and technical staffs to reach wider remote
geographic areas among the major supply side constraints. Likewise, high interest rate, default,
unaffordable pre-saving and collateral requirements were mentioned among the chief demand
side constraints.
Adequacy of the livelihood grant
Community consultation participants in the four regions (Oromia, Amhara, SNNP and Tigray)
where the livelihood support component has been implementing expressed that the livelihood
grant is not adequate to boost the livelihood pathway currently engaged in or to expand future
investments. Therefore, ESAC found that the prevailing limited access to micro-credit service
combined with the adequacy of the livelihood grant might affect PSNP5’s interventions for big-
bush impacts of the household livelihood.
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Culturally appropriate credit and saving services
Consultations found that the Micro Financial Institutions operating in the PSNP targeting
woredas provide loans in return of interest and clients receive interest too for saving. In fact,
community consultation participants unanimously stated that MFIs expect high interest rate to
provide loan. However, ESAC found that interest based credit and saving services is not
culturally appropriate for some PSNP clients. For example, believers of Muslim region expressed
that to take loans on interest is a breach against their religious norms. Owing to such religious
imperative, Muslim adherents never take loan even if they need it badly for the investment of the
livelihood pathway at hand. Specially, this poses a serious challenge for PSNP5 to launch its
livelihood support sub-component in Afar and Somali regions where the people are
predominantly followers of Islamic religion. Therefore, ESAC finding strongly recommends the
facilitation of culturally appropriate credit and saving services.
4.6.5. Linkages to Social Services for PDS and TDS
PSNP5 will put in place a referral mechanism to link clients, particularly PDS and TDS to a
specific set of social services to boost their wellbeing. The linkages to social services for PDS
and TDS is consistent with the notion that they invariably experience multiple overlapping
deprivations and the wider the social services available to them the better their chances to be
resilient.
The ESAC analyzed the availability of social services (health, education, legal services, and
community-based health insurance) to PDS and TDS. Community consultations showed better
availability of the health services in most PSNP woredas. The state of service use as well as the
soft conditionality of the pregnant women and mothers’ on the first and second year as TDS
regarding ante- and post-natal checkups, uptake of the routine immunization on behalf of the
child as informed by health extension workers, and attendance of Behavior Change
Communication (BCC) sessions were seen relatively better in Boset, Bolosso Sore and Tsiraie
wonberta. Whereas, despite access to health service, the soft conditionality in Ebinat, Mille,
Elida’ar, Gursum and Kebribeyah is basically low. Consultations in these woredas revealed that
owing to the longstanding socio-cultural perspective, pregnant women and mothers on the first
and second year as TDS do not use ante- and post-natal checkups as informed by health
extension workers. For example, a program implementer at Ebinat woreda stated that, It is not
culturally appropriate for a woman to tell outsiders about her pregnancy until it is visible due to
the ensuing physical change. It is not appropriate to visit health center for ante-natal checkup
either. This recommends PSNP5 to enhance the soft conditionality of the TDS in this regard.
On the other hand, access to basic adult education, Community Based Health Insurance (CBHI)
and legal services to PDS and TDS were basically limited in all PSNP woredas covered in the
assessment. Therefore, PSNP5 should create a platform that assess the special needs of the PDS
and TDS clients and make linkages to appropriate social services accordingly.
4.6.6. Nutrition
Like gender, nutrition is a cross-cutting issue and the design of the PSNP5 mainstreamed it in all
the components of the program. By mainstreaming nutrition, PSNP5 aims to address the
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underlying determinants of child nutrition and thereby contribute toward the country’s overall
effort of achieving zero stunting by 2030.
Community consultations assessed the important contribution of the PSNP in improving the
nutrition of children. Clients and program implementers have witnessed the contribution from
two major points of view. First, consultations in all woredas revealed that PSNP transfer
payment enabled households to feed their children with diverse meals relative to what has been
the case before joining the program. Perhaps, an expression by a mother from Kebribeyah
woreda, Gerbi kebele can well illustrate the case that, Every time I receive transfer payment, I
give priority for buying my children foods of high nutritional values such as milk, meat, fruits,
and vegetables. A mother from Ebinat woreda, Akuha kebele further substantiated that, I used to
feed my children rarely three times a day, one type of food even. However, after I was targeted
for PSNP transfer, I normally feed with relatively diverse meals three times a day.
The second contribution relates household’s enhancement of the soft conditionality due to
attendance of nutrition based BCC sessions. To illustrate this, one of the community consultation
participants in Boset woreda explained that:
Development Agents, Health Extension Workers and expertise from woreda health office
provided us nutrition sensitive Behavioral Change Communication trainings. The BCC
focused on several topics including the health benefits of breast-feeding, child
immunization, and the need for diverse meals for children, hygiene management and
homestead farming. The trainings have raised my awareness on children nutrition.
During consultation with the community and key informant interviews, they explained the
factors that hinder the nutrition of children. Even though the length varies across woredas, all
client households raided transfer delay as a serious problem. As discussed by community
consultation participants, transfer payment rarely received on time. The paying date of the next
round is also unpredictable. Children suffer most during the delay, as they cannot properly feed.
In some woredas like Mille and Elida’arin Afar region, for instance, there are no nutrition
sensitive BCC trainings. Thus, parents have low awareness and the traditional way of feeding
children sustains. Therefore, ESAC recommends that PSNP5 should take measures to improve
the timeliness and predictability of transfers. It is also needed to ensure the provision of nutrition
sensitive BCC in every PSNP kebeles.
4.6.7. Asset Loss and Loss of Access to Assets (Involuntary Resettlement)
Consultations found that there is no public works induced asset loss or loss of access to assets in
all PSNP woredas covered in the assessment.
4.7. Shock-responsive Safety Net
The shock-responsive safety net is centered on the concept of resilience to shocks of

participating clients. Resilience is understood in PSNP5 as ‘the ability of households and
communities to absorb and recover from shocks, whilst positively adapting and transforming
their structures and means for living in the face of long-term stresses, change and uncertainty.’
ESAC analyzed the shock-responsive safety net system in line with: recurring sources of shock,
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early warning systems, shock-responsive delivery system, drought response plan and disaster
risk financing plan.
4.7.1. Recurring Sources of Shock
ESAC found that drought, flooding, livestock diseases, locust, and snow (for highland areas) are
the major recurring sources of shock in the study woredas. In addition, landslide is very critical
source of hazard in Bolosso Sore woreda in SNNPR. Furthermore, consultation showed that
displacement and eviction of a large number of people from different parts of the country due to
the recent social and political unrest poses a critical problem in various kebeles of the woreda.
Of all listed shocks, drought is the major recurring source of shock both in the agricultural and
pastoral communities. However, consultation assessed that pastoral communities are more
vulnerable to drought shocks and the ensuing impacts are severe as well. This is due to two
major reasons. The first major reason is related to frequent and prolonged drought in pastoral
than in highland areas. Unlike farming households with relative livelihood diversification,
pastoral households predominantly subsist on livestock herding. This fundamentally weakens the
ability of pastoral households to absorb and recover from drought shocks. The second major
reason states that prolonged drought is accompanied by shortage of pasture and water for the
livestock. There is no provision of modern fodder either. Consequently, over years, the situation
has overwhelmingly reduced the productivity of the livestock while mass death of livestock
occurred from the outbreak of animal epidemic accompanied by prolonged drought. These
particular features of the pastoral communities recommended the need to use effective risk
assessment and early warning systems to avoid and significantly reduce or mitigate the impacts
of drought shocks. Furthermore, PSNP5 livelihood intervention should be tailored towards these
peculiar livelihood contexts of the pastoral communities.
4.7.2. Existing Early Warning System

Early warning (EW) is understood in PSNP5 as “the provision of timely and effective
information, through identified institutions that allows individuals exposed to hazard to take
action to avoid or reduce their risk and prepare for effective response”97. Thus, ESAC was
focused on assessing the capacity of the national government-led early warning systems for:
monitoring and predicting sources of shock, systems of disseminating early warning information,
and cash and food needs projection model.
Monitoring and prediction concern about the capacity of the existing early warning systems to
effectively check and forecast short- and long-term shocks to plan for proper mitigation actions.
The basic idea behind effective early warning system is that the earlier and more accurately we
are able to predict short- and long-term potential risks associated with natural and human
induced hazards, the more likely we will be able to manage and mitigate a disaster’s impact on
people, economies, and environment.
According to consultations with federal, regional and woreda level stakeholders, information is
regularly collected for monitoring and prediction of shocks. Key early warning indicators
includes: weather condition, crop performance, livestock situation, water and pasture, animal
97
United Nation’s International Strategy for Disaster Reduction (2006)
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diseases, market situation, types of hazards, death, migration, and logistics challenges and
situations. In the consultations held in the six regions, there have been variations across woredas
regarding the regularity of data collection on those key early warning indicators. In most
woredas, the raw data is collected from each kebele on a weekly basis. Unlike in other woredas,
in Bolosso Sore woreda, the raw data is collected from each kebele by DAs on a daily basis and
signs of shocks are reported weekly to the woreda. Despite the aforesaid variation, each woreda
carryout a large scale bi-annual assessment. A team deployed from federal to kebele levels and
comprising expertise from various sectors conducts it.
Nevertheless, consultations with stakeholders at federal, regional and woreda levels found that
the collection and management of data is done manually. That makes it difficult to consolidate
data and ease accessible for use. The stakeholders also expressed that the quality of the data is
poor. These weaknesses seriously hamper to make effective monitoring and prediction of short-
and long-term sources of shock to avoid and significantly to reduce or mitigate timely the
impacts. Therefore, stakeholders at all levels suggest the need to enhance the existing early
warning system by way of improving the quality and management of data for effective
monitoring and prediction of the short- and long-term sources of shock.
In early warning system, having an accurate data has no meaning by itself. However, an effective
early warning system needs an effective system of disseminating information. Thus, means of
communication are needed for delivering warning messages to the potentially affected locations
to alert communities, local, regional and federal level stakeholders for pro-active measures. The
messages of early warning need to be reliable and simple to be understood by authorities and the
public. Assessed in line with this, ESAC revealed that the existing early warning system is so
poor regarding both components of the communication system. First, reliable and robust means
of communication is lacking for delivering early warning messages to the potentially affected
people. Second, appropriate and effective means of communication among the key stakeholders
is lacking for the coordination and mobilization of resources on time. Hence, ESAC suggested
that it is essential for the PSNP5 to strengthen the existing early warning system on both
components of the communication system.
Effective shock response depends on the existence of effective system of cash and food needs
projection. To allocate and deliver the required resources, the needs of projection model should
reveal information on the number of people needing emergency assistance, the number of
vulnerable people with special needs, the volume of food needed/consumption gaps, the duration
of support required, and the months of support that is needed. The system of cash and food needs
projection is poor. Thus, an expertise at Boset woreda reported that, the discrepancy between
what is actually needed and what is delivered for emergence assistance is common. Even then,
the emergency assistance is not delivered on time making the impacts of the shock more severe.
Consultations with stakeholders at the federal, regional and woreda levels uncovered the same
problems of technical and quality of data management due to poor monitoring and prediction of
shocks that hinder the cash and food needs projection. Hence, it is essential for the PSNP5 to
strengthen the existing needs projection system.
4.7.3. Shock-responsive delivery system
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A shock-responsive delivery system is one that takes a pro-active approach rather than a reactive
approach. Consultations with stakeholders and previous assessment pinpointed several key
weaknesses of the current shock-responsive delivery system that have seriously impeded the
overall effectiveness. First, the regular or core PSNP and Humanitarian Food Assistance (HFA)
operate independently. As a result, there has been the problem of overlapping in the targeting of
clients for PSNP and HFA. Besides, there is a difference in the transfer amount for the core
caseload and HFA clients that has generated a serious discontent by the clients. Second, the cash
and food transfers and management systems in response to drought shocks is delivered using the
different system from the core cash and food transfers for PSNP. Hence, the scalable assistance
is inefficiently provided via multiple delivery mechanisms and that have increased the financial
and transaction costs. Third, the scale of food needs, the complexity of meeting these needs and
parallel institutional arrangements interrupted the accomplishment of an effective shock-delivery
system. Fourth, the current shock-responsive delivery system has no standard operating rules and
procedures that define the system’s scales-up, how it will scale-up, to which groups of
population, for how long and how much assistance shall be received. Finally, the process of
identification, targeting, registration and food and cash transfer in the current shock-delivery
system is done manually or in paper-based system. That caused a substantial delay of the
emergence assistance. As one woreda level expertise expressed, sometimes the emergency
assistance reaches after people had already migrated from their home. Therefore, to improve the
existing shock-responsive delivery system, it is necessary for the PSNP5 to devise remedial
actions in line with the above stated major weaknesses.
Consultations vividly showed that the delay of the emergence assistance owing to the overall
ineffectiveness of the delivery system has a differential impacts and risks for vulnerable groups
such as children, pregnant and lactating women, elderly, people with disability/persons affected
by chronic diseases and people living with HIV/AIDS who are in need of even more urgent food
assistance because of their special status. Besides, consultation with stakeholders expressed the
existing shock-delivery system has no way to consider the special needs of the vulnerable
groups. Thus, stakeholders underline that it would be good to have a strategy that make analysis
over the special need of vulnerable groups and respond to their needs accordingly.
4.7.4. Shock Response Plan

It is clear that sources of shock cannot be fully prevented, but their human and socio-economic
impacts can be significantly minimized or mitigated through effective annual shock response
plan that update information as per the dynamics in the monitoring and prediction of shocks. On
the contrary, mostly, consultation with stakeholders discussed shock-response in Ethiopia is
reactive than being pro-active. That is to say, the preparation for response begins after the shock
occurs than being in advance. Stakeholders consultation highlight on three fundamental
hindering factors in this respect. The poor monitoring and prediction of the sources of shock due
to lack of automated and quality data management system on key early warning indicators is the
first hindering factor. Effective annual shock response plan is hardly possible without the
knowledge of the type of disaster ahead of its occurrence. Poor projection of the amount of the
resources needed for emergency assistance, how many people in need and for how long account
for the second major factor. However, effective disaster risk financing plan depends on the
existence of effective system of cash and food needs projection. The third main reason states that
the resources in government emergency stock rarely enough. Humanitarian aids from
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Development Partners and NGOs are not provided on time or full cover the need gap. The
cumulative consequence is a delay of shock responsive transfer making the impacts of shock
more severe, especially for the most disadvantaged and vulnerable groups.
4.8. Institutional Arrangements and Capacity
4.8.1. The Effectiveness of the Institutional Arrangements

Key informant interviews at various levels with stakeholders revealed the difficulty of effectively
fulfilling their duties related to PSNP due to reshuffling of leaders. The lack of the necessary
capacity and commitment were also found to be a challenge in the effectiveness of PSNP
activities. These affect the successful implementation of the program by making full use of the
technical staff available. In order to motivate and qualify the leadership for the proper execution
of their responsibilities, it is important to provide consistent and focused capacity building
trainings for various committee members engaged in PSNP-related activities.
Evidence from field data suggests that the existing regional institutional arrangements are
completely efficient and functional, although there are some gaps at the woreda and kebele
levels. Regional experts indicated the need to reinforce existing arrangements at the level of
woreda and kebele. There is good coordination and cooperation at all levels between government
implementing agencies, but there is a problem of coordination and collaboration with the PSNP
implementers of GOs and NGOs. That was due to a lack of knowledge sharing and
harmonization. In this regard, they recommended the need to enhance the leadership
accountability, commitment, regular awareness and guidance on how to coordinate and
collaborate with clear roles and responsibilities for PSNP GOs and NGOs implementers.
In Gursum woreda of the Somali region, informants noted that there is effective collaboration
and cooperation between the various implementers of the program, including GOs and NGOs,
for example, by implementing a livelihood project in the woreda, where both PSNP and non-
PSNP clients benefited. On the contrary, the coordination and cooperation with NGOs and GOs
operating in Kebrebeya woreda were not effective. Similarly, interviews with informants from
the Oromia regional office have revealed that the cooperation and coordination of PSNP
institutional implementation arrangements at woreda and kebele were not effective as expected.
These institutions are expected to organize various sectors, whether task forces, steering
committees or various technical committees that have a stake in the implementation of the PSNP
but do not discharge their responsibilities as expected. The reasons for this are the absence of a
mechanism of accountability to discharge their expected responsibility and the lack of leaders'
attention.
It is imperative that PSNP5 be launched in the presence of higher political leaders in order to
improve the coordination mechanisms for discharging accountability/responsibility. Informal
cooperation between the PSNP implementing NGOs and the regional directorate of
implementation of the PSNP is take place and joint action is taken to address the implementation
of problems encountered. Except for engaging in various program monitoring events such as
JRIS and submitting their plan and report to the regional FS coordination office, no formal and
regular coordination process exists for PSNP implementing NGOs. Coordination forums, which
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clearly demonstrate how to meet, how to share information, when and where to meet, must be set
up to resolve this coordination issue.
To be precise, the existing institutional arrangements for the implementation of the PSNP are not
effective in Boset Woreda. The FSTF did not meet as stipulated in the PIM, but rather most of
the time they met for admin budget allocation at the beginning of the year and some time when
severe problems needed them. Otherwise, they failed to meet and track the program on a regular
basis. In the woreda, there is no PSNP implementation NGO. At present, the attention provided
to PSNP from the higher level (regional) is not adequate, and unlike other normal government
projects and programs, each and every PSNP implementing sector is not evaluated for its PSNP
effectiveness. Similarly, the discussion in Ebinat woreda also revealed that the institutions
mandated for implementation were not effective and that the technical committee on livelihoods
was better than other technical committees in terms of follow-up operations, regular meetings
and decision-making. The Office of Health is also not on board to track practices linked to
nutrition. There is loose cooperation between the GOs and NGOs. The disparity between the
physical year of the government and of NGOs also affects the joint planning and execution of
PSNP operations. From the Tigray region, the same impression was reflected that the
coordination was extremely weak, the Steering Committee is almost not functional, and the
woreda FSTF and Technical committees are in a good place. The RSC and FSTF are not
operational at all, and somehow the regional TCs work well.
On the contrary, the Elidar Woreda informants argued that coordination and cooperation between
and with other implementing partners outside the PSNP, such as GOs and NGOs, is effective.
For example, DRSLP, RPLRP, and local NGOs and other donor partners are actively involved in
implementing PSNP activities from planning to implementation by prioritizing activities at
Kebele level projects in such a way that both PSNP and other partners can shift their
implementation to other activities if the same project is implemented in one Kebele and
community.
Therefore, in order to increase the effectiveness of cooperation and coordination, encouragement

should be put in place to ensure sustainable and fruitful coordination and cooperation throughout
the year, with the same energy and self-initiation that began with the reform of the government.
In addition, the planning and execution periods of GOs and NGOs need to be harmonized. More
to the point, there is a need to reinforce periodic recognition of TFs, TCs, and the need to provide
strong regional and federal support and monitoring, providing a strong accountability system.
4.8.2. Capacity Gaps

Community consultation and stakeholders’ discussions were made at different levels while
conducting ESAC PSNP5. One of the assessments was focused on the capacity of existing PSNP
implementation gaps and the way forward during the implementation of PSNP5. In view of that,
in the subsequent sections discussions with regional levels (Somali, Afar, Amhara, Tigray, and
Oromia), federal levels, NGOs, and development Partner has identified capacity gaps in the
implementations of PSNP and summarized their views as follows.
According to key informants from Gursum, Kebrybeya, Boset, Elidar, and Ebinat woredas, as
well as the informants consulted at the regional and federal level, the main institutional capacity
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gaps in the implementation of the program were almost similar, except in a few instances. These
involve:
• High staff turn-over due to lack of salary increments, lack of incentives for the frontline
staff and lack of educational support for the model staff. In addition, due to the large pay
gap between PSNP and similar channel 2 projects, several experienced PSNP contract
employees left PSNP.
• Continues leadership reshuffle by the government
• Shortage of technical trainings for staff with little knowledge and skills
• Shortage of physical equipment’s like laptops, desktops and office materials, mainly in
the split woredas
• Lack of efficient information flow system, especially at the program grass root levels
• The annual budget allocated for human capacity development and for follow up of an
implementation of livelihood is very small
• The program resource, especially the vehicle meant for an implementation of the program
is rarely used for the assumed purpose.
• Shortage of admin, capital and CD budget
• Weak coordination and cooperation between and among implementing agencies of GOs,
NGOs and development partners at different levels
• The department responsible for coordinating NGOs is hosted in the bureau of finance in
Amhara region and there is no information exchange between the department and
regional food security office. Regional food security office does not have official
communication about NGOs operating in the region. Previously the department
coordinating NGOs placed under the bureau of food security.
• There is still gap on technical skills like data analysis, data base management and other
software’s
In order to address existing capacity gaps, the informants provided the following
recommendations:
• Increase awareness creation and provision of relevant trainings for the staff
• Arrange educational opportunities for the DAs and the technical staff
• The capacity gaps related to social issues should be improved by coordination among
different implementers through strong monitoring, supervisions and awareness creation.
• Putting in place regular assessment
• Allocating enough capital, admin and CD budget,
• Arranging transportation facilities
• Quality technical support for split woredas
• Proper communication and integration between the governments and NGOs with proper
accountability mechanism. The NGO coordinating department should be placed at
regional food security office.
• Disburse capacity building budget timely
• Institutional arrangement and management should be strengthened using different
capacity development activities from higher level to Woreda and kebeles.
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4.8.3. The Coordination and Cooperation of Stakeholders and Measures to Improve

The cooperation and coordination of stakeholders plays an important role in ensuring the
successful execution of any project. Consultations and discussions were held with stakeholders
from the Federal, Regional, Woreda as well as with NGOs and development partners in order to
understand the status of PSNP implementer coordination and cooperation. The summary of the
findings is described in the section below.
Informants from Care Ethiopia discussed about Livelihoods for Resilience Activity that close
cooperation with the PSNP could enhance the impact of both sets of interventions and allow the
project to contribute effectively to the target of the PSNP. As an NGO project collaborating with
PSNP households, the project has a separate Federal and Regional Food Security memorandum
agreement that formalizes the relationship between the two effective cooperation and
harmonization programs. As a result, the project regularly carried out joint monitoring
supervision with PSNP experts from the government structures at the Federal to Kebele level,
and shared project plans, reports and learning documents. The project has further developed
coordination tools that direct the basic activities of the partnership from the kebele to the
regional level, involving PSNP structures.
In addition, the project management team regularly takes part in the higher level PSNP regular
forums (JRIS), participated in the Regional Livelihoods Technical committee meetings and close
involvement with Kebele and Woreda level Food Security Task force where responsibilities
shared for regular implementation support. The Livelihoods for Resilience Activity is also
committed to build the capacity of institutions that provide last mile services for PSNP
households and multiplying its impact by involving government PSNP stakeholders wherever
relevant as advisors, feedback providers, trainers, and trainees. Informant from Care Ethiopia
further indicated their cooperation and coordination with the government as follows:
We are working in a close consultation with government stakeholders at all level

(starting from federal to kebele level). Our government partners are supportive and
collaborative in every aspect. A monthly and quarterly review meeting brings the
implementing partners on the same table to discuss on the programmatic level
bottlenecks and provide joint and timely solutions. We have had good enabling
environment in terms of partnership which allow as considering our self as part of the
program.
Contradictory to the above opinion, the following informant from World Vision pinpointed the
restriction and low cooperation and coordination and the processes they went through in order to
improve that:
In the beginning of our program partnering in PSNP-4 was restricted to implementing

agencies only. The GOs were less cooperative, unwillingness to coordinate and
collaborate and less transparent including refusing to transfer GO woreda to NGOs
especially in the woreda setting. There was and still is discrepancy among regions and in
some regions among woredas. Besides, difference in execution and translation of PIM.
After recurrent discussion, explanation, and engagement at all level they started building
confidence. Later they become partly transparent.
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The discussion with stakeholders revealed that currently the government is open for
collaboration and coordination in the following components of PSNP:
• Cooperation in project area selection: the GOs involve in woreda selection for efficient
resource utilization and to avoid overlap but still there was some overlap
• Coordination of GOs for utilization of existing resources and systems (human resource,
capital resource, policies, standard design, guide lines, etc)
• Annual program planning process including
o Identification and selection of nutrition sensitive capital projects
o Nutrition sensitive public work program: ensuring the timely transition of Temporary
Direct Support (TDS)
o Facilitation and follow up behavior change communication session at public work
site and health posts
• Coordination in program implementation such as capacity building, it includes (need
assessment, developing/adopting training manuals, trainee selection, conducting training
and post training follow up).
• Willingness of GOs for the expansion of PSNP-4 to humanitarian: Timely utilization of
5% contingency budget and proper targeting such us considering non- PSNP households
with malnourished children and families affected by shock still with limitations.
• Program monitoring and follow ups: GOs involve NGOs quarter, bi-annual and annual
review meetings, integrated field level supervision, experience sharing visit, sharing
research study finding and actively engaged in food security task force coordination
meeting at all levels.
• Involving NGOs in PSNP-4 joint program review process and PSNP-5 Design process.
Besides, PSNP-5 design adopted learnings and best practices of NGOs.
Measures to improve Coordination and Cooperation among the Stakeholders
Discussions with federal, regional, woreda stakeholders as well as with NGOs and development
partners have more or less expressed similar impressions on how to enhance stakeholder
cooperation and coordination during the implementation of the PSNP5. The informants consulted
have identified the following interventions:
• Joint responsibility to develop a conducive enabling environment for last mile service
providers in terms of working place, license, attractive working environment, e.g. for
agro-dealers, private MFIs and other technology service providers.
• NGOs to participate in targeting and recertification/graduation process.
• NGOs to be counted as key members and active participants of PSNP platforms at all
levels where relevant.
• The PSNP reporting and planning templates to have separate sections to reflect NGOs’
contributions.
• Strengthening the GO-NGO forum and providing space in the JRIS agenda to share key
learning and experience.
• Government has to establish a strong and functional platforms where the implementing
partners, decision makers and all stakeholders can seat together and review the program
and made a programmatic level change.
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• A strong linkage between the higher level program staff and the front line implementers
has to be improved so that everybody can be on the same page, update each other on
programmatic level changes and timely resolve challenges that the front line staff
(including NGO’s) facing in a timely manner.
• It needs capacity strengthening of the government in terms of system and infrastructure
as government has to give due attention to move away from traditional paper based
system to replace it with technology supported systems that can enhance transparency
and accountability.
• Open and transparent system in beneficiary selection process to reduce exclusion and
inclusion errors
• Improving social accountability and cohesion of each government implementing agencies
(sectors offices) at all levels:
o Strengthen participatory community services scorecards and social audits of social
services
o Strengthen community led advocacy to government to ensure government policy
commitments and service technical standards are followed up by government
agencies and key decision makers. For example, the co-responsibility of TDS is to
use social service even if the beneficiaries seek the service most of the time, the
services are limited or unavailable or not ready to provide service as needed
• Involving stakeholders in annual beneficiary targeting and retargeting process to give
priority for Nutrition program such as ensuring the targeting of poor pregnant and
lactating women and care taker of malnourished children
• Improving capital project selection, implementation and follow up process
• Uniform translation and implementation of PIM provisions across the regions
• Introducing continuous job embedded capacity building and quality improvement process
• PSNP PIM should include components and indicators that allow committees structures to
include organizations other than PSNP in the institutional Arrangement
• There should be additional MoU between PSNP IAs and GO, NGOs and other office on
coordination and cooperation to make it legally signed and to increase accountability to
PSNP implementation.
• Periodic awareness raising and capacity development activities for committee members
in organized manner.
• PSNP should be the agenda of political leaders(the steering committee should follow up
the Task forces and the Task force also follow up the work of technical committee.
4.9. Grievance Redress Mechanisms
4.9.1. Grievance related to PSNP ESAC
Understanding the sources of grievances during project implementation is a pivotal role and is
necessary to establish functional redress mechanism. Although most of the informants during
community consultation and key informant interviews said that there is no serious grievance case
in the community related to PSNP, when they probed they confirmed that some cases of
grievance has been happing for various reasons. According to the ESAC carried out in the six
regions (Oromia, Amhara, Tigray, SNNP, Somali and Afar), the informants unanimously with
very few cases revealed major source of grievances during the implementation process of PSNP.
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Among others, they have mentioned exclusion errors, delay of payment, deduction of payment
by kebele [government] officials in the name of fertilizer, and the likes, claim over access to
payment by husband and wife conflict when they get divorced, access to livelihood grant or
credit to expand the kind of livelihood path at hand, exclusion and inclusion errors during
targeting, , long distance of traveling to the food transfer site, delay of transfer due to cash
liquidity and cash holding capacity of banks. For example, in Gursum woreda, an informant
indicated the main sources of grievance related to PSNP that, “targeting and selection process
(inclusion and exclusion errors), inadequate quota, delay of transfer and payment of cash once
in every 2-3 months in a lamp sum.” The same reasons were forwarded from other woredas
sampled for the ESAC: Kebribya, Ebinat, Bolosso, Mille, Elidar and Boset.
In specific terms, informants from Amhara region, Ebinat woreda, forwarded family cap,
retargeting, admin and capital budget allocation as the major sources of grievances. The same
way with a bite difference, informants from Oromia region revealed delay of transfer, shortage of
credit service, incomplete family targeting, being in PW instead of PDS, dissatisfaction on the
concession given for owner of asset lost due to PSNP PW are some of the source of grievances.
In Afar region, Elidar woreda, specific reasons for grievance forwarded include high interest of
able-bodied PW participants to transfer to PDS and limited number of quota/caseloads, but all
the needy people wanted to join to the program, 15 kg for one person per month is not enough
and non-PSNP clients are providing appeals to include them in PSNP as the drought is
repeatedly affecting them and they lost their asset from time to time. From the aforementioned
discussions, one can deduce that almost all the sources of the grievances in all regions with
minor difference and specificity seems similar. Thus, PSNP5 should take into account these
sources of grievances while implementing the project.
Ways of Submitting Grievances
The objective of a GRM is to establish a system for project stakeholders, including communities,
to address grievances (requesting information and providing feedback on project
implementation) in an amicable way. According to informants from consulted woredas during
ESAC revealed that majority of the grievances are submitted orally at the kebele level while the
grievances are submitted on paper at the woreda level. This means grievances have been
submitted to the Kebele Appeals Committee (KAC) where the committee reaches decision. In
Gursum and Kebribeya woredas, for example, the decision of the grievance is issued within 3-5
days. In Oromia, Boset woreda specific case reported that client’s grievances are recorded by DA
or kebele manager on the template prepared for acceptance of grievance. In the case of
Afar/Elidar, appeals were most of the time presented orally via community elders and kebele
managers and can be resolved in the same time as quick as possible. However, they provide their
appeals in a written manner especially if they assume their appeals are not resolved quickly. In
SNNP/Bolosso Sore woreda usually community submit their complaint to kebele KACs and get
solution there but in case they are not satisfied with KACs decision, they complain to woreda
administration and agriculture offices. The representative from women, children and youth affair
showed difference on this point and said that usually women community members came to their
office with compliant on PSNP as they don’t get fair decision. Then, WCYA office submits the
appeal to woreda FS desk.
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In almost all the regions consulted, there are Kebele Appeals Committee and it depends on the
various kebeles to effectively handle any grievances because some of the kebeles effectively
handle the grievances they receive within a short period up to couple of days while other kebeles
might not handle the grievances as effectively as expected. For instance, in Amhara region,
Ebinat woreda, informants stated that the beneficiaries submit their grievances directly to the
woreda food security office. They are not served by the kebele appeal committee. They indicated
that there is kebele appeal committee but clients are not using it to redress their grievance. The
woreda food security is not supporting appeal committee to function their duties. Informants
from Afar/Elidar mentioned reasons for weak performance of appeal committee at Kebele levels
were due to the location or office of the committee inconvenience to vulnerable groups or have
no regular office but the names of KAC members are posted on wall of Kebele office to keep
transparency. In SNNPR, Bolosso sore woreda, there are kebele appeal committees in all 29
PSNP kebeles. However, functionality and strengthen of the KACs are not the same, as they are
strong and well represented by community in some kebeles while there are kebeles where the
KACs are weak and less functional. There is a kebele appeal committee and they said that they
submit their complaint to the KAC. However, it seems that there is confusion over the roles of
kebele food security taskforce and kebele appeal committee as the same persons are represented
in those two committees. The communities have mentioned that dominantly kebele administrator
runs the KAC and PSNP frontline implementers like the DA, however, they confirmed that some
community representatives are also part of it. In general, it is observed that the communities have
less awareness on the objective and roles of KACs to address grievances related to PSNP.
Community consultation and key informant interviews with stakeholders held in the six regions
pinpointed the process of grievance redress and identified more or less similar findings. This
include logging grievances, which are registered at the kebele levels but the time it takes for the
KACs for reaching resolutions actually depends on the nature and the capacity because some of
the kebeles are equipped to effectively handle the grievances received from the community
within couple of days. Clients submit their appeals in writing and orally. It is indicated that the
maximum date to resolve the grievance took 30 days and the minimum 5 days. In Oromia, for
example, the KAC exist almost in all kebeles but, for different reasons (weak capacity of KACs,
lack of power, not readily available, low confidence on power of KACs by the community, even
if they are expected to be accountable for kebele council practically they are accountable for
kebele administration).Thus, the majority of appeals are submitted for different parties such as
kebele administration, DAs, manager, or woreda food security task force and in rare cases for
KAC. Since appeals are submitted for different parties, there is no as such standard grievances
redress on the ground. Some of the participants expressed that they know the existence of KAC
but mostly the community do not want to visit them due to the fact they do not have any decision
making power, most of them have limited knowledge, they do not have clear time place to access
them.
Informants suggested the need to strengthen the existing PSNP Kebele Appeals Committees
(KACs) during PSNP5 implementing time as the main mechanism for grievance redress in the
PSNP by improving the gaps observed so far. They also explained the relevance of awaking the
community to properly use KACs and the difficulties the KACs may face should be resolved. It
was also noted during community consultations that community members may not trust or have
confidence in KACs to fairly review their grievances. Thus, they urged the KACs to build better
trust and confidence of beneficiaries to follow the appropriate KAC procedure by improving
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their capacity to process appeals. This suggests the importance of capacity building work through
educational and awareness raising programs, to enable appeal structures to earn the confidence
and trust of community members to be more effective during PSNP5.
4.9.2. Proposed Grievance Redress Mechanism for the PSNP5
A GRM is oriented toward providing solutions and incorporates the principles of transparency,
accessibility, due diligence, and responsiveness. The PSNP5 will use grievance mechanism in a
transparent ways having a kind of trainings. The project will recognize customary and/or
traditional conflict resolution mechanisms. It will provide resources to ensure the functioning of
the GRM system. Grievance information will be recorded and reported in the regular
implementation progress reports. The project will equally ensure that grievances related to GBV
are recognized and referred to respective service providers based on a survivor-centered
approach (that is always based on the demands of survivors and ensuring confidentiality). Such
grievances shall not be handled according to standard GRM procedures but by the Woreda
Women and Children Affairs Office or female GBV focal points to be selected and trained to
provide basic referrals. Monitoring and reporting on issues related to GBV issues are reported to
the program GRM. MoLSA will be part of the federal taskforce and collaborating with WCYD
on GBV issues.
Key Considerations for PSNP5 GRM Procedure

No. Key considerations Detail about the GRM procedure
1 Disclosure of the GRM uptake locations need to be established at Regional and Woreda levels
GRM and Kebele Appeals Committee (KAC). The existence and condition of access
to register (how, where, and when) shall be widely disseminated within the
Project implementation areas.
2 Expectation When Affected or concerned persons expect to be heard and taken seriously. Thus,
Grievances Arise the MOA (FSCD) and other respective regional, Woreda, and Kebele Appeals
Committee (KAC) levels implementing agencies and stakeholders need to
provide adequate information to people that they can voice grievances and
work to resolve without fear of retaliation.
3 Grievance Submission Complaints can be submitted formally and informally through telephone
Method (hotline), e-mail, MoA websites, program staff, text message (SMS) or in
person. However, once the complaint is received, it will have to be
documented in writing using a standard format containing detailed timeline for
resolving conflict/complaint.
4 Registration of Complaints will be recorded in a log using standard format, examined,
Grievances investigated and remedial actions will be taken.
5 Management of The procedure for managing grievances should be as follows:
Reported Grievances 1) The affected or concerned person files his/her grievance, relating to any
issue associated with the PSNP5 in writing or phone to the KAC. Where it is
written, the grievance note should be signed and dated by the aggrieved
person. In addition, where it is phone, the receiver should document every
detail.
2) Where the affected or concerned person is unable to write, the KAC will
write the note on the aggrieved person’s behalf.
3) Assigned/focal staffs at Regional and Woredas PIUs will collaborate with
Kebele administrators/KACs by giving them awareness training on how to
document and report grievance.
6 Grievance Log and The process of grievance redress will start with registration that should contain
Response Time a record of the person responsible for an individual complaint, and records of
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No. Key considerations Detail about the GRM procedure

date for the complaint reported; date the Grievance Logged; date of
information on proposed corrective action sent to complainant (if appropriate),
the date the complaint was closed out and the date response was sent to
complainant.
Kebele Appeals Committee (KAC), Woredas and regions should keep
compliant lodger recording all grievances, date and results of the closure with
all supporting documents available (completed compliant logging forms,
decision minutes, emails, etc.) and ensure that each complaint has an
individual reference number, and is appropriately tracked and recorded actions
are completed. The response time will depend on the issue to be addressed but
the grievance at different levels should be addressed in 30 calendar days.
7 Grievances ReportingThe focal person at Woredas and Regions will be responsible for compiling
Mechanism submitted and processed complaints/grievances on regular basis and report to
relevant stakeholders every quarter. The Woreda should report the complaints
registered and addressed to regions every month. The regional focal persons
from each region will report quarterly to MOA, FSCD, safeguard experts. The
Kebele Appeals Committee (KAC) should report the complaints registered and
addressed to Woreda. Review unresolved appeals from KAC and forward them
to the Woreda Council and the Woreda Food Security Desk every quarter.
Forward the list of grievances, their resolution and any unresolved cases to the
Woreda Council.
4.9.3. World Bank Grievance Redress Service
Communities and individuals who believe that they are adversely affected by a World Bank–
supported project may submit complaints to project-level GRMs or the World Bank Grievance
Redress Service. The Grievance Redress Service ensures that complaints received are promptly
reviewed to address project-related concerns. Project-affected communities and individuals may
submit their complaint to the World Bank’s independent Inspection Panel, which determines
whether harm occurred, or could occur, because of World Bank non-compliance with its policies
and procedures. Complaints may be submitted at any time after concerns have been brought
directly to the World Bank's attention, and Bank Management has been given an opportunity to
respond. For information on how to submit complaints to the World Bank corporate Grievance
Redress Service, visit http://www.worldbank.org/en/projects-operations/products-and-
services/grievance-redress-service. For information on how to submit complaints to the World
Bank Inspection Panel, visit www.inspectionpanel.org.
4.10. Stakeholders Consultation and Public Disclosure
4.10.1. Introduction
The constitution of Ethiopia recognized that citizens have a right to full consultation and
expression of their views in the planning and implementation of environmental policies and
projects that directly affect them. Likewise, the World Bank Environmental & Social Standards
(ESSs 10) recognizes the importance of open, transparent and effective stakeholder engagement
plan to improve the environmental and social sustainability of projects, enhance project
acceptance, and make a significant contribution to successful project design and implementation.
The World Bank’s Environmental and Social Framework (2016) recognizes the importance of
early and continuing engagement and meaningful consultation with all stakeholders. One among
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the eligible category is the communities living in the project catchment area who are historically
underserved, vulnerable and marginalized groups. The other unit of interest of the stakeholder
engagement deliberation includes the key stakeholders, which have a significant contribution to
the successful project design, implementation and monitoring and evaluation activities. These
stakeholders include main implementing agencies or government offices, NGOs or other
development partners.
The overall moral of the stakeholder consultation and participation activities is in order to
understand the concerns of affected people, and how the Borrower (FDRE) in project design and
mitigation measure is in accordance with ESS10 address such concerns. Moreover, in line with
ESS7 the underserved peoples found in the project area needs to be consulted about, and have
opportunities to actively participate in project design and the determination of project
implementation arrangements. Hence, as part of the comprehensive ESAC, the stakeholder
consultation –particularly the community consultation was conducted to assess the various social
concerns and issues, which enable to understand the views and opinions of various community
members.
Apart from the above-mentioned documents, the National Social Protection Policy98 clearly
indicated that inclusiveness is one of the nine principles in implementing social protection
affiliated projects and interventions. The same policy document also states that; the various
government and international organization (the World Bank) financed projects should be
implemented in a way it “protects poor and vulnerable individuals, households, and communities
from adverse effects of projects” and “increase access to equitable and quality basic services
(like energy and electricity power and light supply).99” This should go in line with the aspiration
to achieve SDGs agenda of ‘leaving no one behind.’ Therefore, this community consultation
activity is tuned in a way that captures the multi-faceted socio-cultural contexts, views, opinions
and concerns of the Historically Underserved and Traditional Local Communities during the
different stages of the PSNP5 project’s life span.
In line with the requirements of the ESS7 underserved community representatives and
organizations needs to be involved. Accordingly, community consultations were conducted with
vulnerable, disadvantaged, and implementing bodies in the 8 sample woredas consulted in the six
regions.
4.10.2. Objectives of the Public Consultations
The objective of the public consultation is to provide a plan to achieve effective stakeholder
participation and promotes better awareness. Accordingly, it helps the project to effectively
implement within budget and on time to the satisfaction of all concerned parties. It is also to provide
MOA, FSCD:
FDRE’s Ministry of Labor and Social Affairs (2012). National Social Protection Policy of Ethiopia: Addis Ababa.
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99
Generally there are six major areas of emphasis of the National social Protection Policy of Ethiopia such ass;
protecting the poor and the vulnerable, increase access to social insurance, guarantee a minimum level of
employment for long term unemployed and underemployed, increase access to equitable and quality basic and social
welfare service, enhance the realization of social and economic rights of the excluded and the marginalized, and
ensure the different levels are taking responsibilities the various policy components.
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• Status of implementation of the identified measures;

• A sense of the concerns, priorities and aspirations of the stakeholders and implementing
parties as they implement the measures;
• Information to shape the project as it progresses; whenever possible, to recommend and
implement specific recommendations and proposals;
• Provide the participating regions including Woredas with a forum to interact
constructively and make progress towards solutions and actions; and feedback from
MOA, FSCD on information received and steps to follow.
• Allowing the community members to influence project design, Project Appraisal
Document and related implementation.
• Obtain comprehensive local knowledge and integrating it with PSNP5.
• Increase community confidence and trust on PSNP5 and World Bank financed projects in
the area.
• Improve transparency and accountability in decision-making process in association with
PSNP5.
• Reduce conflict that likely created in relation to the project implementation process of
PSNP5.
MOA, FSCD that will be involved in project implementation shall establish a platform for
coordination among stakeholders to strengthen and improve the efficiency and transparency of the
execution of the planned project activities, which is supported by the Constitution and other
proclamations of the country. It is also a plan within proposed implementation, to improve
consultation for the most vulnerable and underserved groups and their communities so that they
could benefit even more from the project activities. More use that is effective can be made of
women’s groups, youth groups and community conversations targeting women, traditional leaders,
and other vulnerable groups. Involving these groups, with meaningful representation and
participation in public forums will be endorsed as part of project implementation.
Generally, public and stakeholders’ consultation anticipates attaining the following:
• Develop and maintain avenues of communication between the program and stakeholders
to ensure that their views and concerns are incorporated into project design and
implementation with the objectives of reducing or offsetting negative impacts and
enhancing benefits from the project;
• Inform and discuss about the nature and scale of adverse impacts and to identify and
prioritize the remedial measures for the impacts in a more transparent and direct manner;
• Include the attitudes of the community and officials who will be affected by the project
so that their views and proposals are mainstreamed to formulate mitigation and benefit
enhancement measures;
• Create a sense of the concerns, priorities and aspirations of the stakeholders and
implementing parties as they implement the proposed measures and actions;
• Increase public awareness and understanding of the projects, and ensure its acceptance;
and Inform relevant authorities of the impacts, solicit their views on the project and
discuss their share of the responsibility for the smooth functioning of the overall project
activities.
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4.10.3. Summary of Stakeholders and Community Consultation of the ESAC PSNP5
Summary of stakeholders and community consultations are discussed below taking into account
the components of the PSNP5. A more detailed discussion on the key points raised and
corresponding responses are given in the annexes.
A. Community Consultation
Community consultation participants comprised project beneficiaries (PW clients, TDS clients,
PDS clients and PSNP emergency response clients) of the kebele selected from the respective
sampled PSNP woreda. Issues related to awareness, targeting, transfers, public works, livelihood
support, nutrition, and program impacts (positive and negative) were raised to guide the
discussions during community consultation. Community Consultation participants stated that
they are aware of the objectives and components of the PSNP. Nevertheless, participants
expressed, their active participation in the planning of each component of the PSNP is minimal.
Particularly, the participation of women is almost none.
Participants discussed the exclusion and inclusion errors as the key problem during PSNP
targeting. The rate of exclusion error is higher for disadvantaged and vulnerable groups.
Participants identified numerous contributing factors for lack of fair and transparent selection
process: lack of proportional representation and active involvement of women in FSTF and
KAC; lack of awareness and technical skills by FSTF and KAC members on community-based
selection process; acts of nepotism, favoritism, abuse of power and corruption by DAs and
kebele administers; elite captures; and none responsive appeal system.
Community consultation participants discussed that household food security is improved because
of PSNP transfers. However, they mentioned that delay in transfers caused household asset
depletion and other negative coping strategies. Inaccessibility of the location of payment and
food distribution center, particularly for vulnerable groups, inadequacy of transfers, and high-
eroded value of the wage rate were discussed. Further, participants discussed cases of
mismanagement and misuses of transfers when received by male.
Community consultation participants expressed public work activities improved community

asset creation and natural resource conservation. A number of limitations were raised as well
including lack of participatory planning of PWs, workload especially for women, mismatch
between the timing of PWs activities and clients’ annual farming/pastoral calendar. Community
consultations discussed, in some PSNP woredas, pregnant women participate in PWs until
several months of their pregnancy. That may expose pregnant women and the fetus to serious
health and safety problems.
In those four regions (Oromia, Amhara, SNNP and Tigray) where the livelihood support of the
PSNP has been implemented, targeting households have witnessed improvement in their
livelihood status owing to the technical and financial supports received in this respect.
Participants stated that the PSNP livelihood support sub-component has not been commenced yet
in Afar and Somali regions that generated discontent. Community consultation participants
discussed several constraints related to financial supports: inadequacy of livelihood grant,
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mismatch between demand and supply of micro-credit, pre-conditions put for load and absence
of cultural appropriate credit service (Please, see annex 5 for the detail).
B. Consultation with Woreda Level Stakeholders
The key issues raised during consultation with woreda level stakeholders relate to awareness,
targeting, transfers, public works, livelihood support, shock-responsive safety net and
institutional arrangements, and capacity gaps.
Woreda level program implementers lack awareness of the shift of the targeting criteria in
PSNP5 and what facts necessitate the change. During consultation, these program implementers
still referred to the criterion of “chronic food insecurity” that has been used for the previous
phases of the PSNP instead of the new selection criteria of “extreme poverty” and “extreme
vulnerability to shock” for PSNP5.
Woreda level stakeholders identified exclusion and inclusion errors as a key problem. In this
regard, they mentioned the same contributing factors expressed by community consultation
participants: lack of proportional representation and active involvement of women in FSTF and
KAC; lack of awareness and technical skills by FSTF and KAC members on community-based
selection process; acts of nepotism, favoritism, abuse of power and corruption by DAs and
kebele administers; elite captures; and none responsive appeal system.
Woreda level stakeholders identified several reasons for the delay of transfers including: delay of
commodity movement from federal to region and from region to PSNP woredas; delay of budget
release from federal to region and from region to PSNP woredas; delay in request form
submission by woreda to region and related offices works; delay in submission of payment
request form and payroll preparation; and inaccessibility of some PSNP woredas and kebeles due
to poor road and communication network infrastructure.
According to woreda level stakeholders, the biophysical soil and water conservation based PWs
in communal land (such as land rehabilitation through area enclosure, integrated watershed
developments, range land management, soil bund construction and bench terracing) and forestry
and agro forestry related public work activities (such as nursery site establishment and
management, introduction of animal fodder species and establishment of tree seedling centers)
that have been carried out for years improved community asset creation and natural resource
conservation. But, consulted woreda level stakeholders admitted lack of participatory in planning
PWs as a limitation.
During consultation, woreda level program implementers in Somali and Afar regions expressed
that the PSNP livelihood support component has not been commenced yet. They stressed that
building sustainable livelihoods and resilient rural PSNP households in the two regions without
livelihood support is a futile exercise. Thus, community consulted program implementers urged
PSNP5 to launch the livelihood support interventions.
Stakeholders at woreda level identified that drought; flooding, livestock diseases, locust, and
snow (for highland areas) are the major recurring sources of shock in the study woredas. Of all
listed shocks, drought is the major recurring source of shock both in the agricultural and pastoral
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communities. However, the stakeholders discussed that pastoral communities are more
vulnerable to drought shocks and the ensuing impacts are severe as well.
Stakeholders at the study woredas expressed poor capacity of monitoring and predication of
sources of shock. They explained that manual and poor quality based early warning data
management system make poor capacity of monitoring and prediction of short- and long-term
sources of shock. That makes the proactive interventions so difficult to avoid, reduce or properly
mitigate the impacts of shocks on people, economy and environment. Likewise, they discussed
that the existing system of cash and food needs projection is poor for the same reasons just
stated. Furthermore, stakeholder at the study woredas discussed that the existing early warning
system lack effective and easily accessible means of delivering warning messages to alert the
potentially affected communities and among the key stakeholders for pro-active measures.
During consultation, stakeholders at the study woredas stated poor shock-delivery system for
several reasons: the core PSNP and Humanitarian Food Assistance (HFA) are delivered
independently leading to overlapping in the targeting of clients for PSNP and HFA, differing
transfer value between PSNP and HFA, and parallel institutional arrangements; the existing
shock-delivery system has no standard operating rules and procedures that define the system’s
scales-up, how it will scale-up, to which groups of population, for how long and how much
assistance shall be received.
Core institutional arrangements and capacity related issues identified by stakeholders in the study
woredas include: high staff turn-over due to lack of salary increments, lack of incentives for the
frontline staff and lack of educational support for the model staff; shortage of technical trainings
for staff with little knowledge and skills; shortage of physical equipment’s like laptops, desktops
and office materials; shortage of admin, capital and CD budget; and weak coordination and
cooperation between and among implementing agencies of GOs, NGOs and development
partners at different levels.(See annex 5 for detail).
C. Consultation with Federal Level Stakeholders
The same key issues raised to the woreda level stakeholders were raised for the stakeholders at
the federal level: awareness, targeting, transfers, public works, livelihood support, shock-
responsive safety net and institutional arrangements, and capacity gaps. Stakeholders at federal
level discussed more or less the same points with the stakeholders at the woreda level. For
example, stakeholders at federal level identified the same major recurring sources of shock
mentioned by stakeholders at the woreda level: drought, flooding, livestock diseases, locust, and
snow (for highland areas).
Federal level stakeholders also expressed poor capacity of monitoring and predication of sources
of shock and poor system of needs projection due to manual and poor quality based early
warning data management system make poor capacity of monitoring and prediction of short- and
long-term sources of shock. That makes the proactive interventions so difficult to avoid, reduce
or properly mitigate the impacts of shocks on people, economy and environment. Similarly,
stakeholders at the federal level discussed that the existing early warning system lack effective
and easily accessible means of delivering warning messages to alert the potentially affected
communities and among the key stakeholders for pro-active measures Further, stakeholders at
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the federal level identified the same reasons with the stakeholders at the woreda level for the
weak shock-delivery system: the core PSNP and Humanitarian Food Assistance (HFA) are
delivered independently leading to overlapping in the targeting of clients for PSNP and HFA,
differing transfer value between PSNP and HFA, and parallel institutional arrangements; the
existing shock-delivery system has no standard operating rules and procedures that define the
much assistance shall be received.
Core institutional arrangements and capacity related issues identified by stakeholders at the
federal level are not different either: high staff turn-over due to lack of salary increments, lack of
incentives for the frontline staff and lack of educational support for the model staff; shortage of
technical trainings for staff with little knowledge and skills; shortage of physical equipment’s
like laptops, desktops and office materials; shortage of admin, capital and CD budget; and weak
coordination and cooperation between and among implementing agencies of GOs, NGOs and
development partners at different levels (See annex 5 for detail).
4.10.4. Public Disclosure
The World Bank ESF requires that the government of Ethiopia and the WB to disclose the
ESAC. First Phase ESAC has been approved and disclosed as part of the ESMF earlier to
appraisal as per the Bank requirements. To address COVID 19 related limitation in ESAC Phase
I preparation, follow on ESAC Phase II that includes extensive consultation was conducted. The
disclosure of this ESAC should be both in GoE where it can be accessed by the public, including
affected groups and at the World Bank external website.
The MOA, FSCD will make copies of the ESAC accessible in selected public places perhaps at
national levels at the MOA and at applicable Regional government offices for information and
comments. The sub-projects will be publicized via various means of communications. The notice
will contain a short explanation of the programs alluded to where and when the ESAC can be
viewed, period of the display, and contact information for comments.
For meaningful consultations between the MOA, FSCD and potential project affected groups and
beneficiaries, the MOA, FSCD with the relevant body shall provide a relevant material in a
timely manner before consultation and in a form and language that are understandable and
accessible to the groups being consulted. In this respect, all concerned entities shall
prepare/compile the requisite materials beforehand.
To meet the consultation and disclosure requirements of the Bank, the Government of Ethiopia
will issue a disclosure letter to inform the Bank of,
• The Government’s approval of the ESAC;

• The actual disclosure of these documents to all relevant stakeholders and potentially
affected persons in Ethiopia; and
• The Government’s authorization to the Bank to disclose these documents in its Info shop.
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5. Potential Social Benefits, Negative Impacts and Mitigation Measures
5.1. Potential Social Benefits
Community consultations and stakeholders’ interviews found immense social benefits

attributable to the implementation of the previous phases of the PSNP. These social benefits
inform that the implementation of the proposed PSNP5 to capitalize on earlier achievements. The
discussions that follow summarize the various social benefits.
Improved household food security and consumption: Consultation with PW clients, TDS and
PDS revealed that had it not been for the PSNP transfer many households would face challenge
to survive. Before the intervention of the PSNP, these households used to live under critical food
poverty. As a result, community consultation participants have used different expressions to
show the indispensable role of the PSNP in improving their households’ food security and
consumption. Some participants expressed PSNP as “a live saving program or a divine
intervention to save the lives of the poorest and most vulnerable people.” Other expressed the
role of the PSNP as “the insurance of the poorest people.” Due to the participation in PSNP,
participants have witnessed that their household food security and consumption has been
significantly improved.
Avoid household asset depletion and negative coping strategies: Before targeting for PSNP
interventions, community consultation participants discussed that the sale of household assets
such as animals or they used their savings to buy foods and basic consumption and consumption
of seed reserved for the next farming season were common to overcome the problem of critical
food shortage. That has caused household asset depletion and further persist absolute poverty.
Participants also mentioned several negative coping strategies during critical food shortage:
borrowing money from neighbors or friends, making charcoal, asking support from relatives with
better economic status, and having meal just once a day to mention but only a few. Nevertheless,
all beneficiaries consistently expressed, household asset depletion and negative coping strategies
to overcome critical food shortage and consumption gap have been basically avoided since
targeting for PSNP transfer. Thus, the interventions of the fifth phase of the PSNP would further
prevent household asset depletion and negative coping strategies.
Improved community asset creation and natural resource conservation: Consultations found
that the PW component of the PSNP has been engaging in various community asset creation
activities including the following ones. Biophysical soil and water conservation based PWs in
communal lands such as land rehabilitation through area enclosure, integrated watershed
developments, range land management, soil bund construction and bench terracing. Forestry and
agro-forestry related public work activities such as nursery site establishment and management,
introduction of animal fodder species and establishment of tree seedling centers have been
carried out for years. In some PSNP woredas, particularly in the highland areas, the constructions
of small-scale irrigation schemes have been carried out as part of public work activities.
Consequently, community consultation participants and stakeholder interviewees alike
acknowledged the enhancement of production and productivity at the individual household level
owing to one or the other community asset creation of public work activities just to mention.
Thus, similar PSNP5 public work activities would contribute to increasing household resilience,
climate change adaptation and mitigation.
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Improved household livelihood: In those four regions (Oromia, Amhara, SNNP and Tigray)
where the livelihood support of the PSNP has been implemented, targeting households have
witnessed improvement in their livelihood status owing to the technical and financial supports
received in this respect. Partly, livelihood-targeting clients expressed that the improvement is
attributable to the technical training received on livelihood diversification, financial literacy,
income generating activities, and business management skills. In part, the creation of addition
household assets is indebted to the financial supports (facilitating access to credit, livelihood
transfer and livelihood grant) received. In this regard, the big-push approach, which the PSNP5
adopts, has potential benefit to boost the quality of the impacts of the livelihood supports toward
building sustainable livelihoods and resilient rural PSNP households.
Improved nutrition of children: Community consultations assessed the important contribution

of the PSNP in improving the nutrition of children. Clients and program implementers have
witnessed that PSNP transfer payment enabled households to feed their children as required
times a day and with diverse meals relative to what has been the case before joining the program.
An expression by a mother of three can provide a good illustration in this regard: I used to feed
my children rarely three times a day, one type of food even. However, after I was targeted for
PSNP transfer, I normally feed with relatively diverse meals three times a day. Therefore, by
mainstreaming nutrition in all the components of the program, PSNP5 would significantly
address the underlying determinants of child nutrition and thereby contribute toward the
country’s overall effort of achieving zero stunting by 2030.
Improved awareness or the soft conditionality of the clients: ESAC found that the Social
Behavioral Change Communication (SBCC) training sessions have improved the awareness or
soft conditionality of the target households on ante- and post-natal care, children nutrition,
personal hygiene and other essential issues for the betterment of the household day-to-day life.
During community consultation, clients have witnessed that their knowledge on the
abovementioned vital life aspects has been basically raised after attending series SBCC training
sessions by Development Agents, Health Extension Workers and expertise from different woreda
sector offices. Accordingly, the implementation of the PSNP5 would have the benefit to further
enhance the social and behavior changes both at the community and at individual household
level.
Improved linkages to social services: The finding of the ESAC for PSNP5 expose that the
PSNP interventions have improved linkages to social services in two major ways. The first major
way is through the constructions of schoolrooms, health post, and rural roads construction and
rehabilitation. The second major way is by providing SBCC training sessions that boost client
households’ social service seeking behavior. The tremendous increment of pregnant and lactating
women seeking for ante- and post-natal care services was discussed by community consultation
participants and interviewed program implementers as one typical illustrative example.
Therefore, by capitalizing on existing achievements of PSNP5 may have significant potential
benefit of boosting the wellbeing of the clients, particularly for PDS and TDS by linking them to
social services.
Women empowerment: Despite unsatisfactory, ESAC finding revealed the benefits of the
interventions of the previous PSNPs in the areas of SBCC, gender-based violence, and gender
sensitive provisions among other things. The SBCC focused on several topics including the
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gender sensitive agendas, ante- and post-natal care, and health benefits of breast-feeding, child
immunization, and the need for diverse meals for children, hygiene management and homestead
farming. The trainings have basically raised women’s awareness and, thus, empowering them in
decision making in this regard. Hence, the mainstreaming of gender in all the components of the
PSNP5 has potential social benefit for better empowering women.
5.2. Potential Negative Social Impacts by Program Output
In spite of all those social benefits discussed in the preceding sub-section, ESAC found potential
negative social impacts for due attention which otherwise may exclude, restrict, discriminate or
disproportionately brought impact among the members of the beneficiary community in the
course of implementing PSNP5. The next few pages sketch the negative social impacts and areas
for addressing needs of the communities along with mitigation measures.
Component 1: Adaptive Productive Safety Net
This component has four sub-components/outputs. The next discussions present potential social
impacts and mitigation measures in line with these outputs.
Output 1: Timely, predictable, appropriate and adequate transfers
In line with output 1, the findings of the ESAC for the PSNP5 identified the following potential
negative social impacts that are worth for mitigation measures.
Program implementers’ lack of awareness on the new targeting criteria of the PSNP5: The
key informant interview finding showed, program implementers, particularly those at the woreda
and kebele level lack awareness of the shift of the targeting criteria in PSNP5 and what facts
necessitates the change. When probing for the targeting criteria in PSNP5, these program
implementers still referred to the criterion of “chronic food insecurity” that has been used for the
previous phases of the PSNP instead of the new selection criteria of “extreme poverty” and
“extreme vulnerability to shock” for PSNP5. As woreda and kebele level program implementers
are responsible frontline staffs, lack of awareness on the design changes of the PSNP5 may have
the risk to use the earlier selection criteria while targeting for PSNP5. To avoid any risk of
misunderstanding by woreda and kebele level program implementers in the course of the
upcoming selection process, proper awareness raising training for these responsible frontline
staffs on the overall design changes of the PSNP5 should be given well before the
commencement of the new targeting.
Exclusion and inclusion errors: The experience of the previous phases of the PSNP showed the
exclusion and inclusion errors as one key limitation. More importantly, ESAC found that the rate
of exclusion error is higher for disadvantaged and vulnerable groups. Community consultation
identified, the ensuing negative impacts are seen at least from two major angles. Firstly, the
exclusion and inclusion errors contradict with the key principle of the PSNP: the exclusion of
those who are eligible and inclusion of those who are not. Secondly, the exclusion of those who
are eligible and inclusion of those who are not has been generating a great discontent among
those local community members who unfairly excluded from the benefits of the program. The
same trend of exclusion and inclusion errors may persist in the implementation of PSNP5.
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To prevent or significantly reduce the risk of exclusion and inclusion errors in PSNP5, the
following key mitigation measures are needed. First, ensure proportional representation and
active involvement of women in FSTF and KAC. Second, provide training and technical
supports to enhance the capacity of the FSTF and KAC members on gender sensitive PSNP
provisions, GBV, and mechanisms of effectively handling complaints. Besides, close supervision
by Woreda Sector Experts is essential. Third, serious supervision and follow-up measures and
actions on those members of the FSTF, DAs and kebele administers engaged in acts of nepotism,
favoritism, abuse of power and corruption. Finally, provide training for informal and traditional
leaders to strengthen their positive role in the targeting process. In addition, it is important to
devise system to check the subjective or unfair decision of the informal and traditional leaders
such as clan leaders and community elders.
Delay of payment and transfer: The delay of payment and transfer is reported as a serious
problem across consulted PSNP woredas during this ESAC. This has potential risk of increased
household asset depletion and other negative coping strategies. In particular, the impacts of lack
of food due to transfer delay is more severe for children, pregnant and lactating women, elderly,
persons affected by chronic diseases and people living with HIV/AIDs. The implementation of
the PSNP5 needs to take appropriate mitigation measures. To avoid or significantly reduce the
potential risks due to delay of payment and transfer, it is highly important for PSNP5 to take the
following mitigation measures. First, on time commodity movement from federal to region and
from region to PSNP woredas. Second, avoid delay in budget release from federal to region and
from region to PSNP woredas. Third, on time payment request form submission and preparation
of payroll by woreda to region. Fourth, promote e-payment system. Finally, in PSNP woredas
and kebeles with poor road infrastructure transport commodities before the rainy season.
Inaccessibility of payment and food distribution center: The location of payment and food
distribution centers is not accessible. Specifically, this influences the life of the disadvantaged
and vulnerable groups. Community consultation revealed, in some PSNP woredas FHHs, elderly,
people with disabilities, labour-poor households and people living with HIV/AIDS travel about
30 kms to collect transfers. Thus, these groups of client spent one night around the payment and
food distribution center that incur them an extra cost. Therefore, PSNP5 should mitigate the
problem by making the center accessible to all by constructing a new center (as part of PW
activities) at relatively short distance. Besides, promoting e-payment system for cash transfer is
highly recommendable.
The food transfer is not culturally appropriate for clients in pastoral areas: Community
consultation participants from the pastoral communities in Mille and Elida’ar woredas in Afar
and Kebribeya and Mula woredas in Somali region complained that the kind of food transfer
received is not appropriate to their food habit. To mitigate the inappropriateness of food transfer
in the pastoral woredas, consult the preference of the pastoral communities over payment
modality or provide the kind of food transfer that is appropriate to the food habit of the pastoral
communities.
Household food and consumption gap: Community consultation participants stressed

frequently that the received transfer amount is not adequate to sustain their households for the
whole month. The food and consumption gap is even more when the transfers are received in
cash. Participants explained the trend in PSNP is that the wage rate reviews and compensation
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adjustment for the eroded value of the wage rate is made annually. However, the inflation rate of
Birr or the eroded value of the wage rate is increasing within a short-interval (in a month or week
time) while the price of the grain significantly increases within the same time interval. Thus,
food and consumption gap is another potential risk of increased household negative coping
strategies and asset depletion. This risk shall be mitigated through two major remedial actions.
Primarily, review and compensation adjustment for the eroded value of the cash wage rate
should be made as per the high rate of inflation in short-time interval than being annually. The
second major way is to increase the amount of the current food basket with 15 kg of grain and 4
kg of pulses.
Mismanagement or misuse of transfers: The finding of the ESAC shows cases of

mismanagement or misuse of transfers when received by men: Spend the received cash or selling
the grain for the use of alcohol drinking, cigarettes, khat chewing or unintended purposes. Two
ensuing risks are envisaged here for the mitigation measures in PSNP5. The problem may
aggravate the household food consumption gap in general and nutrition problem for children in
particular. Besides, mismanagement or misuse of transfers may lead to disagreements and
conflicts between husband and wife. To avoid potential risks associating with mismanagement or
misuse of transfers when received by men, the implementation of the PSNP5 needs to devise a
system of payment whereby wife than husband collects transfers. Such system may include
changing the PSNP client card in the name of a wife. Likewise, promote e-payment system
whereby cash transfer is directly deposited to the saving account of a wife instead of husband.
Output 2: Public Works respond to community livelihoods needs and contribute to disaster risk
reduction, climate change adaptation and mitigation
In line with this output, the findings of the ESAC for the PSNP5 identified the following
potential negative social impacts that are worth for mitigation measures.
Lack of participatory planning in PWs: Community consultation found, mostly, the active
participation of the clients is not ensured in the planning of PWs. This has potential negative
social impacts for the PW clients. Thus, the timing of PWs is not harmonious with the
beneficiaries’ annual farming/pastoral calendar risking the quality of PW activities and
consuming beneficiaries’ time of farming/pastoral activities. To avoid the mismatch between the
implementation of PW activities and beneficiaries’ annual farming/pastoral calendar it is
essential that PSNP5 ensure the active participation of the beneficiary households to prioritizing
PW activities and deciding on convenient timing of PWs. Besides, it should consider the specific
contexts of household livelihood in the highland and lowland areas.
Workload for women participating in PWs: For the special reasons already discussed in the
finding section, participation in PWs has additional workload on women leaving them with little
time to engage in other regular livelihoods and domestic activities. The critical workload due to
participating in PWs can be lessening by putting different mitigation measures in place: ensure
effective participation of women in the planning process of PWs to properly reflect and prioritize
their special needs of labour engagement; consider reduction of the working hour, number of
days or share of the household labor; and assign women to light works to reduce the physical
exhaustion of labour-work.
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Health and safety risks: ESAC found that in some PSNP woredas woman participate in PWs
until several months of the pregnancy. In such PSNP woredas, it was found out that the
prevailing cultural norms showed that women do not tell anyone about their pregnancy or visit
health center for pregnancy test to exempt from participation in PWs. This may expose pregnant
women and the fetus to serious health and safety problems. For pregnant women participate in
PWs awareness rising on the health benefits to begin early ante-natal follow-up for exception
from PWs participation should be given.
Children safety and nutrition risks: Community consultation revealed some women have no
adult person at home to look after the kids while they are engaged in PW. Thus, they take
children to PW sites and do the works caring kids on their back. This may have safety and
nutrition risks for the children. To mitigate the risk, establish daycare centers for those women
take children to PW sites and do the works caring kids on their back.
Output 3: Tailored livelihood options accessed by eligible PSNP clients
In line with output 3, the findings of the ESAC for the PSNP5 identified the following potential
negative social impacts and appropriate mitigation measures are stated accordingly.
Livelihood support is not launched in pastoral areas: The PSNP livelihood support sub-
component has not been commenced yet in Afar and Somali regions. Community consultations
and key informant interviews in these two regions found out numerous complaints related to the
differential opportunity in the livelihood targeting. Therefore, PSNP5 should launch the
livelihood support sub-component in Afar and Somali regions.
Livelihood targeting is unfair for vulnerable groups: In those regions where the livelihood
sub-component has been implanted for years, targeting for livelihood support is unfair for
women in male-headed households. Because, community consultation participants expressed, the
prevailing socio-cultural norms expect men are the “bread-winners” and women are “home-
makers.” Hence, targeting for livelihood is exclusive to men. Men exclusively received the
technical and financial supports provided by the program too. Likewise, targeting for livelihood
support is unfair or excludes FHHs, polygamous households, elderly-headed households,
disabled/persons affected by chronic diseases and unemployed rural youth. The detail reasons are
discussed in the finding section. To address this negative social impact, the ESAC recommends
the following mitigation measures: for male-headed households, prioritize women for the
targeting of livelihood support; for polygamous household, consider the chance of targeting for
livelihood supper per co-wives and this needs re-considering the previous PSNP targeting
criterion; re-consider previous PSNPs targeting criterion for the inclusion of vulnerable groups
such as landless unemployed rural youth and new residents to woredas; and affirmative action
(e.g. assign quota system) to fairly target for elderly-headed households and disabled/persons
affected by chronic diseases.
Constraints related to financial supports: Community consultation participants discussed

several constraints related to financial supports: inadequacy of livelihood grant, mismatch
between demand and supply of micro-credit, pre-conditions put for loan, and absence of cultural
appropriate credit service. Thus, facilitate cultural appropriate credit service, increase the amount
of the livelihood grant and expand the access of micro-credit service as the mitigation measures.
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Output 4: Linkages to available social services facilitated for core PSNP clients with emphasis
on PDS and TDS
ESAC found that access to basic adult education, Community Based Health Insurance (CBHI)
and legal services to PDS and TDS are basically limited in all PSNP woredas. Hence, PSNP5
should pay special attention to link the needs of PDS and TDS clients to basic adult education,
Community based Health Insurance and legal services.
Component 2: Shock-responsive Safety Net
In relation to shock-responsive safety net, the findings of the ESAC for the PSNP5 identified the
following potential negative social impacts that are worth for mitigation measures.
Poor capacity of monitoring and predication of sources of shock: Manual and poor quality
based early warning data management system make poor capacity of monitoring and prediction
of short- and long-term sources of shock. That makes the proactive interventions so difficult to
avoid, reduce or properly mitigate the impacts of shocks on people, economy and environment.
The finding of the ESAC for PSNP5 recommends the automation of the collection, management
and access of early warning data to enhance the existing poor capacity of monitoring and
prediction of short- and long-term sources of shock. In addition, providing adequate training for
early warning staffs at all levels on the automation system is necessary for enhancing the
capacity of monitoring and prediction of shocks.
Poor system of needs projection: Ineffective system of cash and food needs projection owing to
manual and poor quality based early warning data collection and management system making
drought response plan and disaster risk financing plan so difficult. The same mitigation measures
stated just before are proposed to enhance the system of needs projection.
Lack of system of disseminating early warning messages: The existing early warning system
lack effective and easily accessible means of delivering warning messages to alert the potentially
affected communities and among the key stakeholders for pro-active measures. Therefore, it is
highly important for PSNP5 strengthening the existing early warning system for effective and
easily accessible means of delivering warning messages to alert the potentially affected
communities and initiate the key stakeholders for pro-active measures to avoid, reduce or
properly mitigate the impacts. Establishing community radios in PSNP woredas and using SMS
can be among the means of strengthening the system.
Poor shock-delivery system: The current shock-delivery system is ineffective for several
reasons. First, the core PSNP and Humanitarian Food Assistance (HFA) are delivered
independently leading to overlapping in the targeting of clients for PSNP and HFA, differing
transfer value between PSNP and HFA, and parallel institutional arrangements. Second, the
existing shock-delivery system has no standard operating rules and procedures that define the
much assistance shall be received. That result in the delay of the HFA exacerbating the impacts
of shock. The shock impacts are even more severe for vulnerable groups such as children,
pregnant and lactating women, elderly, people with disabilities/persons affected by chronic
diseases and people living with HIV/AIDs. The existing poor shock-delivery system urges the
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upcoming PSNP5 to undertake appropriate mitigation measures. First, change the current
multiple delivery mechanisms to a single delivery system, which combines Humanitarian Food
Assistance and the core PSNP. Second, develop standard rules and procedures that define the
much assistance shall be received. Third, develop system for effective shock response plan and
disaster risk financial plan.
Component 3: Program Management Support
High turnover of experienced staff particularly at the woreda and kebele level due to lack of
salary increments, lack of incentives and large pay gap between PSNP and similar channel 2
projects seriously impede to effectively implement the program. To mitigate the problem, re-
structuring the salary and incentive payment system is highly recommended. Allocating enough
capital, admin and CD budget is also helpful mitigation measure.
Staffs’ knowledge and skill gaps from federal to kebele level on gender and nutrition sensitive
PSNP provisions, TDS and PDS risk the equal benefits of women, children, TDS and PDS
clients by properly implementing the program. Therefore, short-term training and update on
PSNP provisions regarding the previously mentioned issues is highly important to mitigate the
problem.
Lack of coordination and cooperation among implementing stakeholders was seen as a serious
problem hindering the effective performance of the program. Hence, the upcoming PSNP5
should mitigate the problem by undertaking the following measures. First, strengthening the GO-
NGO forum and providing space in the JRIS agenda to share key learning and experience.
Second, government has to establish a strong and functional platform where the implementing
partners, decision makers and all stakeholders can seat together and review the program and
made a programmatic level change. Third, a strong linkage between the higher level program
staff and the front line implementers has to be improved so that everybody can be on the same
page, update each other on programmatic level changes and timely resolve challenges that the
front line staff (including NGO’s) facing in a timely manner. Finally, there should be additional
MoU between PSNP IAs and GO, NGOs and other office on coordination and cooperation to
make it legally signed and to increase accountability to PSNP implementation.
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5.3. Social Development Plan: Potential Social Risks/Impacts, Mitigation Measures, Responsible Body and Budget
The social development plan will make certain that the interventions of the PSNP5 and its implementing agencies at various levels
will respect and meet ESS1, ESS7 and ESS10 of the World Bank ESF requirements and ensure that people should benefit from the
interventions of the PSNP5 in a sustainable manner. The plan could be restructured during implementation and further consultations
will be undertaken for the historically underserved regions and vulnerable groups to ensure their full participation and equal benefits
from the interventions of the PSNP5. The matrix in the following table summarizes potential social risks, impacts and challenges,
along with their mitigation measures, responsible bodies and budget of the project.
Component Output Potential Social Risks, Impacts Mitigation Measures Responsible Budget Timeline
and challenges Body
Component Output 1: • Lack of proportional • Ensure at least 30% of women MoA FSCD, 1,015.000 $ Short and
1: Productive Timely, representation and active members in FSTF and KAC. NDRMC and Medium
Safety Net predictable, involvement of women in their Regional terms
appropriate and kebele FSTF and KAC cause and Woreda
adequate exclusion error for women. counterparts
transfers • Provide annual awareness
• Members of FSTF and KAC raising and technical-based
lack adequate awareness and training for FSTF and KAC on
technical skills on gender sensitive PSNP
community-based selection provisions to express the interest
process that may have the of women for fair inclusion
risk of exclusion error for during targeting process and
vulnerable groups throughout the implementation
period of the PSNP as well as to
• .
enhance their capacity for
effective targeting and
mechanisms of handling
complaints.
• Nepotism, favoritism,
corruption and abuses of • Woreda FSTF and
power by some members of administrators should make
the kebele FSTF, DAs and quarterly follow-up measures on
kebele administers are factors those members of the FSTF,
for exclusion and inclusion DAs and kebele administers
engaged in acts of nepotism,
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and challenges Body
errors. favoritism, abuse of power and
corruption.
• While they play many

positive roles, informal and • Provide annual awareness
traditional leaders are not raising trainings for informal and
always objective for the fair traditional leaders before the
targeting of vulnerable commencement of
groups. targeting/recertification for
PSNP5 to strengthen their
positive role in the targeting,
recertification and exit process.
• Woreda FSTF should check the

decision of the informal and
traditional leaders and correct
the exclusion and inclusion
errors accordingly during the re-
targeting, recertification and exit
periods.
• Delays in transfers leading to

increased risk of household • On time commodity movement
asset depletion and other from federal to region and from
negative coping strategies. region to PSNP woredas, avoid
delay in budget release from
federal to region and from region
to PSNP woredas and promote e-
payment.
• The location of payment and
food distribution centers is
not accessible for FHHs, • Make the payment and food
elders, people with distribution center accessible to
disability/persons affected by all by constructing a new center
chronic diseases, labour-poor (as part of PW) at relatively
households and people living short distance.
• Strengthen & scale-up e-
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and challenges Body
with HIV/AIDS payment system for cash
transfer.
• The type of food transfer may
not always appropriate to the • Consult the preference of the
food habit of the pastoral pastoral communities over
communities. payment modality or provide the
kind of food transfer that is
appropriate to the food habit of
• Household consumption gap the pastoral clients.
due to high inflation rate/the
eroded value of the cash • Review and adjust the
transfer combined with the compensation for the eroded
inadequacy of transfer may value of the cash wage rate
increase risk of negative should be made as per the high
coping strategies and asset rate of inflation annually.
depletion.
• Potential risk of
mismanagement or misuse of • Ensure joint-client card
transfer when received by ownership by wife and husband
men and, thus, potential risk for equal access of program
on household food security resources or transfers
and ensuing disagreements • Promote awareness creation
and conflicts between among the PSNP clients on the
husband and wife. importance of women ownership
over program transfers and
household resources
Output 2: Public • In many PSNP kebeles the • Ensure the active participation of MoA FSCD, 843,000 $ Short and
Works respond active participation of the the beneficiary households in the MOLSA and Medium
to community clients is not ensured in the Kebele PSNP PW watershed MoH and their terms
livelihoods needs planning of PWs. planning committee to prioritize Regional and
and contribute PW activities and deciding on Woreda
to disaster risk convenient timing of PWs. counterparts
reduction, during annual PSNP PW
climate change planning and verified during
adaptation and annual PW review
mitigation.
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and challenges Body
• Participation in PWs has • Ensure effective participation of

additional workload on women in the planning process
women, leaving them with of PWs to properly reflect and
little time to engage in prioritize their special needs of
other regular livelihoods labour engagement;
and domestic activities
• Consider reduction of the
working load and hours, share of
the household labor for female-
headed and women in male-
headed households having no
adult member at home for
support; and assign women to
light works to reduce the
physical exhaustion of labour-
work.
• The timing of PWs is not • The timing of the PWs should be

harmonious with the decided in consultation with the
beneficiaries’ annual beneficiary households during
farming/pastoral calendar the planning process. Besides, it
risking the quality of PW should consider the specific
activities and consuming contexts of household livelihood
beneficiaries’ time of in the highland and lowland
farming/pastoral activities. areas.
• Health and Safety risks

associated with • Awareness raising for pregnant
participation of pregnant women to begin early ante-natal
women in PWs in some follow-up for exemption from
woredas. PWs participation during SBCC
sessions.
• Children safety and

nutrition risks for those • Construct daycare centers as part
women who left the kinds of PWs and facilitate with the
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and challenges Body
behind without having no necessary equipment in pilot
adult person at home for woredas.
proper care or taking kids
to do PW activities by
caring on their back.
• Create mutual understanding
• Health and safety as well as among up and down stream
equity issues arising from users of irrgation water users
disruption of downstream anually and set functioning
water users and the use of water users group to address
agro-chemicals and health, safety and equity issues
pesticides by upperstream raised from irrigation water
households usage
Output 3: • The PSNP livelihood support • Launch the livelihood support MoA FSCD 1,790,000 $ Short and
Tailored component has not been component of the PSNP in Afar with Regional Medium
livelihood commenced yet in Afar and and Somali regions as per the and Woreda terms
options accessed Somali regions. plan in design document Food Security
by eligible PSNP • In some regions where the
clients livelihood component has • For male-headed households,
been implemented for years, encourage women for the
women in male-headed and targeting of livelihood support.
polygamous households are • For polygamous household,
not targeted. consider the chance of targeting
for livelihood support per co-
wives.
• There are serious complaints
related to the unfair targeting • Re-consider previous PSNPs
of livelihood support for the targeting criterion for the
disadvantaged and vulnerable inclusion of vulnerable groups
groups. such as landless unemployed
rural youth and new residents to
woredas.
• Provide affirmative action to
fairly target for elderly-headed
households and disabled/persons
affected by chronic diseases as
• Absence of Muslim friendly deemed necessary
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and challenges Body
credit service.
• Facilitate the provision of
• The livelihood grant is not Muslim friendly credit service.
adequate to boost the
livelihood pathway currently • Increase the amount of the
engaged in or to expand livelihood grant.
future investments by the
targeted clients.
Output 4: Access to basic adult education, • Pay special attention to link the MoA 100.000 $ Short and
Linkages to Community Based Health needs of TDS and PDS clients to FSCD,MOLSA Medium
available social Insurance (CBHI) and legal locally available social services and MoH and terms
services services to PDS and TDS are such as health and nutrition, their Regional
facilitated for limited in all PSNP woredas. education, Community based and Woreda
core PSNP Health Insurance and legal counterparts
clients with services. Sign, implement and
emphasis on monitor a tripartite MoU
PDS and TDS between MoA, MoH and
MOLSA, which clarifies roles
and responsibilities and
reporting mechanisms.
Component Shock- • The existing early warning • Strengthening the existing early MoA FSCD and 250,000 $ Short and
2: Shock- responsive system lack effective and warning system for effective and NRMD-PWCU Medium
responsive transfers easily accessible means of easily accessible means of with Regional terms
Safety Net received by delivering warning messages delivering warning messages to Food Security
eligible clients to alert the potentially alert the potentially affected and NRM
when needed affected communities and communities and initiate the key counterparts
among the key stakeholders stakeholders for pro-active
for pro-active measures. measures to avoid, reduce or
properly mitigate the impacts.
• Change the current multiple

• The core PSNP and
delivery mechanisms to a single
Humanitarian Food
delivery system, which
Assistance (HFA) are
combines Humanitarian Food
delivered independently
Assistance and the core PSNP.
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and challenges Body
leading to overlapping in the
targeting of clients for PSNP
and HFA, differing transfer
value between PSNP and
HFA, and parallel • Develop an automation system
institutional arrangements. of registration, and devising a
• Delay of HFA due to strategy that make analysis over
shortage of reserved food in the special need of vulnerable
stock and delay associated groups for emergence assistance
with the commodity and respond to their needs
movement and manual accordingly.
registration of targeted clients
make the impacts of hunger
even more for vulnerable
groups such as children,
pregnant and lactating
women, elderly, people with
disabilities/persons affected
by chronic diseases and
people living with
HIV/AIDs.
Component 3: PSNP Targeting • Introduce use of PMT for MoA FSCD 830,000 $ Short and
Program management and • Inclusion and Exclusion exiting with regional Medium
Management capacity errors • Strengthen downward and and woreda terms
Support enhanced • Exclusion of newcomers upward accountability of the Food Security,
in Afar and Somali who project to ensure that people WCYAD of
may not belong to the feel secure about their rights MoA and
extended family, lineage and entitlements (Social MOLSA
or even the clan which Accountability tools)
controls the territory • Create awareness among
• The gender provisions traditional authority
related to targeting of structures and undertake
polygamous HHs is not information campaign to
properly implemented ensure that purpose and
• There is limited project principles of PSNP5 are
beneficiaries and staffs’ understood, including
understanding/capacity, targeting procedures, etc
implementation and • Design targeting structures
385
and challenges Body
reporting on GBV with careful consideration to
• Some clients specifically the balance between formal
old people that should be and informal traditional
eligible to participate in authority structures
DS are targeted for PW • Implement and monitor the
actions included in the GAP
GRM and GBV action plans
• Limited functionality, related to targeting, GBV
effectiveness and gender and GRM
sensitiveness of Kebele • Conduct annual GRM
Appeals Committees review and include the
(KAC) recommendations of the
review in the project annual
plan and reporting
Exit from the program • Capacity development and
• People may graduate awareness raising for KAC
before they are ready members and traditional
Capacity leaders concerning the
• Low capacity at woreda objectives of PSNP
and kebele levels • Coordinate with ESAP 3 to
• Lack of staff and staff implement social
turnover as a result of accountability mechanisms,
poor motivation and which creates the
remuneration resulting in environment that enables
the aggravation of the beneficiaries to demand
problem related to better responsiveness and
project implementation accountability from
• Weaknesses in implementers and managers.
monitoring and KACs should also receive
evaluation adequate training on social
accountability principles
and the PIM in order to
function effectively
• Design and implement
evidence based project exit
strategy
• Regular and focused
386
and challenges Body
capacity building trainings
for members of the various
PSNP-related grassroots
committees
• Revise reporting templates
to make space for reporting
on challenges related to
participation in PWs and
Gender and Social
Development PIM
provisions
387
6. Monitoring and Reporting
The Social Development Plan will be reviewed bi-annually by the Social Development Team
based in FSCD in collaboration with the multisectoral GSD team which will be comprised
from MOLSA, FSCD, MOA-Women Affairs Drectorate (WAD), and NRM. The SD
taskforce100 will provide support in the processes. Further to this, key socialrelated indicators
are selected to be regularly monitored. Furthermore, the overall implementation of the Social
Development Plan, GBV action plan, Gender and Social Development Provisions,
Stakeholders Engagement plan, Voluntary Land /Asset Donation procedure will be
monitored. Please see the following table for details on indicators.
Table 1: Proposed Indicators for the Six Months Social Management Report
Responsible for
No Indicator Source
Collection
1 Number of Monitoring and Evaluation (M&E) Woreda Council FSCD
carried out by Woreda Council on the KAC
2 Number of grievances logged by MIS FSCD
• Type
• Sex of grievant
• Implementation
3 Number of grievances escalated from KAC by Woreda Council FSCD
• Type
• Sex of grievant
• Implementation
Voluntary Land/Asset Donation (VLAD)
4 Number of HHs that provided VLAD by Project report and Review MoA,FSCD
• region and
• subproject type
Gender Based Violence
5 Number of GBV reported cases by Project Report and Review MoA, MoLSA
• Type
• Referral to appropriate response services
Child Labor
6 Number of child labor incidence Spot Check MoLSA
Gender and Social Development (GSD)
7 Number of pregnant women transition to Project report and Review MoA
Temporary Direct Support
(TDS)disaggregated by at or before 4 months,
and beyond 4 months of pregnancy
8 Number of labour constrained FHHs Project report

received PW labour support
Stakeholder Engagement Plan
9 Number of public consultations held by woredas FSCD FSCD
on beneficiary entitlements (annually)
10 Number of communications materials on FSCD FSCD
beneficiary rights developed and disseminated to
beneficiaries
100
The Program SD Taskforce comprised from both government and development partners; chaired by FSCD
388
Responsible for
No Indicator Source
Collection
11 Number of press materials published/broadcasted FSCD FSCD
in the local, regional, and national media
Labour Management Procedure (LMP)

12 Percentage of community watersheds that are Woreda Agricultural and MoLSA
aware of LMP Natural Resource Office
13 Percentage of PW participants who are not below Kebele Administration/ MoLSA

the age 18 and above 60 KFSTF
14 Percentage of watersheds sites with temporary or Kebele Cabinet/KFSTF MoLSA
permanent childcare centers
7. Conclusion and Recommendation
The outcomes of the 2014 and 2017 ESACs as well as the recent gender analysis and GBV
assessment exercise in 2020 documented the project’s strong acceptance by the community,
both clients and non clients. Community consultations in the reviewed documents found
appreciation for PSNP by the most vulnerable and historically underserved groups in all
reviewed woredas.
Community level of understanding of the project key outputs and elements including the
newly introduced innovations has showed some improvements over the years. This has
resulted improved participation of wider ranges of community members over the years in the
planning and implementation of PSNP with some regional and type of community variation.
This does not mean however there is no awareness and participation gap. The project needs to
strengthen its previous efforts regarding awareness raising activities both in terms of
regularity, quality, reach and contextualization.
Positive contribution of the projectsuch as; reduction of hunger risk, and use of risky coping
mechanism during emergency situation; facilitation of stronger community ties due to joint
participation in PWs; improved social acceptance and trust of vulnerable community
members who used to be socially excluded from participation in traditional institutions such
as iddir and equb due to their relatively low economic status; restoration of trust of fellow
residentswhich gave them access to informal sources of credit such as for the care and
medication of sick family members; improved community participation, acceptance and self-
confidence by women, and better saving culture are reported during the community
consultation of the ESACs.
On the other hand, the consultation documented key gaps and areas of improvement and
interventions from PSNP5 side. While the details are included in the SD plan, the summary
of these issues are the following; (i) limited access to Muslim friendly financial services; (ii)
PW plans may not necessarily prioritize projects identified by women or alleviate their work
burden; (iii) possible negative impacts on children of parents working on PWs in the limited
access to child care services; (iv) remote nature of pastoralist communities and limited access
to social services; (v) resentment among PSNP clients caused by differing transfer value
between PSNP and humanitarian food assistance (HFA);(vi) health, safety and child labor on
PW construction sites; (vii) limited awareness and access to GBV prevention and response
services; (viii) exclusion of new comers in Afar and Somali who may not belong to the
extended family, lineage or even the clan which controls the territory; (x) ineffectiveness of
389
the program GRM system; (xi) increased unmet demand in pastoral areas for livelihoods
support services.
The outcome of the consultation is integrated in the different part of the PSNP5 design and
implementation guidelines so that equality and fairness in accessing benefits of the
projectwill be ensured as per the projectkey principles; and unintended negative impact is
prevented, minimized and addressed as much as possible. These includes but not limited to i)
using Proxy Means Testing as a means of strengthening project exit ii) annual GRM review
and integrating the recommendation of the review in annual projectplan to improve the
functionality and impartiality of the kebele appeal committees and its linkage to the wider
government grievance system; iii) consider the engagement of poor and landless qualified
youth as community facilitators; iv) assessed potential projectimplementation related
GBV/SEA risks and developed action plan to respond to the identified risks; v) key GSD
provisions such as participation of women in PW planning process as well as reducing
women’s burden, are revised; vi) pilot and gradual expansion of early childhood services; vii)
extension of lactating women’s PW exemption to 24 months; vii) the necessary measures are
considered to implement scalable safety net; viii) expanded role of MoLSA structures at all
level to support the projectto ensure linkage to social services including GBV responses and
child labour; viiii) livelihood strengthening output will be implemented in selected woredas
of pastoral areas as well as committed to work with financial service providers to avail
Muslim-friendly financial services .
The formal collaboration which was established between the PSNP and ESAP2 in the form of
a pilot covering initially four and then nineteen overlapping woredas has been transformed to
PSNP being considered as one the few key sectors in ESAP 3 design. Similarly, the number
of PSNP woredas which will be covered by the Social Accountability initiative is increased to
119. This expansion will support PSNP5’s effort to consider the voice and concern of its
clients in general and the most vulnerable sections in particular in improving the quality and
reach of its implementation. The collaboration will also contribute to improve PSNP clients’
access to different social services. In addition, Community Health, Safety guideline,
Voluntary Land/Asset Donation procedure and GBV action plan have been incorporated in
the PSNP5 ESMF.
The findings of the two rounds of the annual GRM review of PSNP 4 coupled with the
review and analysis from the above-mentioned studies and the program GRM manual
informed the actions included in PSNP5 Social Accountability and Grievance Redress
Mechanism guideline to strengthen the system. Some of these considerations are (i)
strengthening independence and composition of PSNP KAC with active women participation
and influential community leaders; (ii) provide regular capacity building support, ensure
structural accountability for operation of KACs; (iii) strengthening the link to the
Government’s core grievance redress systems available (Ethiopian Institution of
Ombudsman, the Regional and Woreda Grievance Hearing Offices, the ESAP); (iv) Update
existing GRM manual and clearly defining the decision-making responsibilities of different
bodies involved in administering the grievance mechanism; (v) provide training on PSNP
GRM and the processes to the KAC, KC and WC; (vi) Revise the annual plan and reporting
formats to capture the GRM process in the feedback loop of the project.
PSNP5 will continue to create an enabling environment in which citizens have equitable
access to social protection services. It will build on and deepen community based initiatives
on service delivery by targeting and protecting the most vulnerable households from further
390
loss of livelihoods, preventing deterioration in assets and promoting households’ livelihoods

strengthening activities and will engage different community groups, particularly the
underserved and vulnerable to ensure that project funds will be shared in a culturally
appropriate and socially inclusive manner among different groups within communities. A
detailed Environmental and Social Management Framework (ESMF) describing voluntary
asset donation/loss procedure has been developed to ensure that appropriate measures are in
place to address related issues including potential land acquisition and or restriction of access
to communal natural resources, such as land, pasture, water, public services, or crops, fruit
trees, or household infrastructure such as toilets or kitchen under the Project.Due to the
limited management capacity at kebele level, and the large scale of the PW project ,
subprojects involving involuntary loss of assets in any form, or any form of resettlement, will
be prohibited under the PSNP5, and will be eliminated at ESMF Screening stage. Similarly,
the labour management procedure and related Gender and social development provisions are
placed to address related social risks.
391
Annex 1: Sample Lists of Community and Stakeholders Consultations
Amhara Region
392
Oromia Region
393
Afar Region
394
SNNP Region
395
Somali Region
396
397
Tigray Region
Annex 2: Sample Lists of Photos during Community and Stakeholders Consultations
Afar Region
398
Tigray Region
399
Oromia Region
Annex 3: Lists of Community and Stakeholders Consultation Participants
No. of
Federal, Region and No. of Community Implementing
No. Total
woredas Consultation Participants Stakeholders
participants
Federal Level - 8 8
1 Afar (Mille and 26 19 45
Elidar)
2 Amhara (Ebinat) 26 18 44
3 Oromia (Boset) 18 9 27
4 SNNP 19 8 27
5 Somali (Gursum and 54 27 81
Kebri beyah)
6 Tigray 21 16 37
7 Grand Total 164 105 269
400
Annex 4: Interview Guide Questions (1-3)
4.1: Interview Guide Questions for Community Consultation

Social Issues Detail Questions Response
Vulnerable or What are the socio-cultural and economic factors that exclude, restrict,
disadvantaged discriminate or disproportionately impact on the participation and benefits
groups of the following groups from PSNP:
• Women in male-headed households
• Female-headed households
• Pregnant women and lactating mothers
• Polygamous households
• Pastoral households
• Elderly headed households
• Unemployed rural youth
• Children
• Ex-pastoral households
• Disabled/persons affected by chronic diseases
• People living with HIV/AIDS
• Labour-poor households
• New residents to Woredas
PSNP Topics Detail Questions Response
Awareness 1. Are you aware of the objectives and components of PSNP/SEASN?
2. Did you participate and reflect your opinion in the planning and
implementation of PSNP? If yes, how
3. Are there periodic awareness raising activities on overall aspects of
PSNP? If yes , give examples
4. Are the people aware of the special provisions of PSNP for vulnerable
groups? If yes, give examples
5. Do you have suggestion to strengthen the awareness and consultation
mechanism for the program?
Targeting 1. Do you know PSNP inclusion and exclusion criteria? [Probe: if yes,
discuss the criteria]
2. Do you suggest for changes in the current inclusion and exclusion
criteria of the PSNP? [Probe: if yes, explain the reason and suggested
change]
3. How do you evaluate the fairness and transparency of the beneficiary
selection process so far? [Probe on: is there targeting error, how can
that be improved]
4. Is there Kebele Community Food Security Task Force (FSTF)? If
exist, does it properly discharge its duties in selecting the right
beneficiaries? Do also women participate as Keble FSTF??
5. How do you see the role of traditional/informal authority structure
such as clan leaders, elite capture, elders and religious/ritual leaders in
ensuring the fairness and transparency of targeting process?
6. How can the targeting process be better suited to the needs of the most
vulnerable groups in a community?
7. What do you recommend to improve the current selection process?
Transfers 1. What payment modality would you prefer? [Probe: cash, food or a mix
of the two] What is your reason?
2. Are you satisfied with the amount of transfer?
3. How do you evaluate the timeliness and predictability of transfer?
[Probe: is the transfer regular? is the transfer schedule suite to the
household farming/pastoral activities? is transfer location suitable and
safe?]
4. What suggestions do you have for improvements in transfers? [Probe
on: payment modality, timeliness, predictability, payment location,
payment schedule].
What are the social benefits and risks in line with transfers? For
401
PDS,TDS and Public Work clients

Public works 1. Do you participate in public work planning process? [Probe: decision
on the kind of productive/development works, workload, convenient
timing . . . etc]
2. How do you explain the impact of workload on household
farming/pastoral activity? [Probe: how does your participation in PWs
affect your time for farming/pastoral activities, your time for domestic
chores, care for children etc]
3. How do you see the convenience of timing of public works with
season of regular farming activities?
4. Which member of the household participates in public work? [Probe:
if pregnant women, lactating women, children, elderly, person with
disability participate in public works]
5. Have you ever experienced physical injury or other health problems
while engaging in public works? If yes , what measures were taken
after that, what should be done in case of injury/fatality
6. For pregnant women, what are the challenges faced in switching from
PW to Direct Support?
7. Do you send children under 18 year to PWs? If yes, explain what
forces you to do so?
8. Describe what impacts the participation in PWs has on the life of the
working children?
9. Are you willing to donate your land if it is needed for community
development/public work activity?
10. Have you come across cases where compensation for land or asset is
provided in the context of public work? If yes, how is land or other
asset compensation affected?
11. To whom do you notify or where do you submit if you have concerns
or complaints related to public work?
12. What are the social benefits and risks/concerns in line with public
work? What are the mitigation mechanism to address the risks and
impacts?
Livelihood 1. Is there access to micro credit and saving services?
support/service 2. Do existing micro credit and saving servicesaccessible? [Probe:
culturally appropriate, equally accessible to vulnerable groups, etc]
3. Depending on the kinds of tailored livelihood options you were
engaged in, describe what is the technical/skill trainings, financial and
follow-up supports received?
4. Explain the impacts of the aforesaid livelihood support interventions?
[Probe: how improving various knowledge and skills on livelihoods,
contribute to household livelihood diversification, contribute to
building household sustainable livelihoods, enhance household
nutrition, etc]
5. What are the constraints/barriers in receiving livelihood support
services?
Grievance redress 1. What are the sources of grievance in line with PSNP Interventions?
2. Do you know where you can submit your appeals? What are the
different ways in which you can submit your grievances? Has there
been workers/public work related complaint, which compliant
mechanism was used?
3. Grievance redress mechanism [Probe: up-take location, response time,
disclosure] What are the strengthens ,what needs to be improved
Social conflict 1. What impacts does the PSNP have on social conflicts? [Probe: for
public works, targeting, transfers, etc]
2. Are there any known social conflicts arising among different groups
in relation PSNP that may affect program implementation?
3. How can the PSNP ensure that it doesn’t trigger social conflict?
402
Local knowledge 1. How do traditional institutions of land/resource/rangeland/water

management contribute to the PSNP? How does the PSNP make use
of such structures?
2. How does the PSNP utilize local knowledge resources related to
traditional land use and conservation knowledge and practice?
3. Is customary law dominant in your area compared to formal law?
4. In what ways do traditional institutions/structures, social dynamics
(e.g., clan, class, etc.) affect the PSNP [Probe for possible positive
and negative impacts]? In what ways does the PSNP affect traditional
institutions, structure, social dynamics, ways of life, etc. [Probe for
possible positive and negative impacts]?
Program impacts 1. What are the main benefits and opportunities of the PSNP5 to the
(positive and community (transfer, public work, livelihood, linkage to social
negative) service)
2. What are the main challenges and risks that may encounter in the
process of implementing PSNP5?
3. What could be/are the mitigation measures to address risks and
negative impacts?
Additional How do you see the involvement of civil society organizations in the
information area?
Are women actively engaged in program activities? How?
Are vulnerable groups actively engaged? How, What needs to be
improved or strengthened?
You are cordially invited to suggest if there is any additional information
4.2: Interview Guide Questions for Stakeholders at Federal, Regional, Woreda and
Kebele Levels
Awareness 1. Are you adequately aware of the PSNP? [Probe: objectives and
components].
2. What institutional systems are there to periodically refresh the
knowledge of the existing staffs?
Targeting 1. What suggestion do you give to improve the existing inclusion and
exclusion criteria? [Probe: reconsidering residence, livelihood and social
changes]
2. Do the community participate in a fair and transparent ways in the
targeting process?
3. Is there Kebele Community Food Security Task Force (KFSTF) in all
PSNP Kebeles? If no, explain why? and what measures were taken to
establish KFSTF or replace inactive members? If exist, how do you
ensure whether each members of the FSTF properly discharge his/her
duties in the targeting process?
4. What are the mechanisms to avoid or reduce the influence of the
traditional authority structures such as clan leaders, elite capture, elders
and religious/ritual leaders in the selection process?
5. How do you ensure that the needs and interests of the vulnerable groups
are equally considered in the selection process? [for Food security,
women, children and youth process owner in BoA/Office of Women,
Children and Youth Affairs, Office of Labor and Social Affairs]
Transfer 1. Do you have a means to regularly consult the clients on their preference
of payment modality? If no why? If yes [Probe: what means was used?
what views was obtained? what efforts have been made to consider their
preference in the previous PSNPs?
2. What are the factors that hinder the proper timeliness, predictability, and
403

schedule of transfer?
3. To what extent the location/distance of the payment or food distribution
centres considered the special needs of vulnerable groups such as
elderly-headed households, people with disability, PLWHA and labor-
poor households? [for food security, women affairs process in BoA/
Office of Women, Children and Youth Affairs, Office of Labor and
Social Affairs]
4. What are the major social benefits and risks of transfer for the different
categories of clients? What are the proposed recommendations in line
with concerns and risks
Public works (PWs) 1. How do you evaluate the overall activities of PWs?
2. What mechanisms are used to ensure effective community participation
in the planning and implementation of PWs? [Probe on: decision on the
kind of productive/development works, workload, convenient timing,
etc]? How women are actively engaged in planning and
implementation?
3. What measures were taken to harmonize the implementation of PWs and
the household labor needs and local labor seasons? [Probe on: the
impact of workload on the time for regular farming/pastoral activities,
women’s time for domestic chores, compatibility of PWs with
farming/pastoral seasons; harmonization between PWs and GoE’s Mass
Labour Mobilization Program]
4. What health and safety measures are taken in implementing PWs?
[Probe: gender-based violence and its management, exemption of
pregnant and lactating women, prohibition of children’s participation].
[for PW, FS, Women, Children and Youth Affairs process in
BoA/BoWCYA, Office of Labor and Social Affairs, Ministry of Health]
Livelihood Support 1. Do micro credit and saving services accessible at the grassroots level?
Services [Probe: availability of micro credit and saving institutions, culturally
appropriate services, equally accessible to vulnerable groups, etc]
2. How do you assess the impacts of the livelihood support interventions?
[Probe: how improving various knowledge and skills of the clients on
livelihoods, contribute to household livelihood diversification,
contribute to building household sustainable livelihoods, enhance
household nutrition, etc]
3. What are the constraints/barriers in providing livelihood support
services?
Institutional 1. What is the current institutional arrangement to manage social issues

Arrangements under your institution?
2. Are institutional arrangements effective?
3. Is there effective coordination and cooperation among key implementers
on social Management? What are the related recommendations?
4. Is there effective coordination and cooperation among the various PSNP
implementing GOs and NGOs? If no, explain why?
5. What intervention measures do you suggest to improve the coordination
and cooperation?
Capacity gaps 1. What are the major institutional capacity gaps in the implementation of
social management activities in the PSNP?
• Institutional (management and management information systems,
etc)
• Staffs (knowledge, skills, and turn-over, etc)
• Financial and material supply
2. What specific measures do you suggest to address the capacity gaps?
Grievance 1. Describe what are the sources of grievance in implementing PSNP?
Redress 2. What are the different ways in which beneficiaries can submit
theirgrievances? What Appeal mechanism is used/best apply for public
works/workers concerns?
404

3. Is there Kebele Appeals Committee (KAC)? If exist, does it effectively
handle the various grievances by community members?
4. Describe what are the processes of grievance redress? [Probe on: a log
where grievances are registered in writing, the length of time users can
expect to wait for response and resolution of their grievances,
transparency about the grievance procedure, governing structure and
decision makers].
5. What are the strengths and improvement areas of the GRM?
Shock responsive 1. What are the recurring sources of shocks?
safety net 2. How do you assess the effectiveness of the existing early warning
system? [Probe: key early warning indicators, the data sources, the
quality of data for projection, accessibility/automation of data, and
frequency of data updating/year]
3. What scientific procedure and data are used in estimating: (a) the
number of people needing emergency assistance every year, (b) the
volume of food needed/consumption gaps, (c) the duration of support
required, (d) the months of support that is needed, and (e) develop
annual shock response plan accordingly.
4. How do you assess the effectiveness of the existing shock-responsive
delivery system? [Probe: identification, targeting, registration and food
and cash transfer system].
5. What mechanisms do you suggest to enable more rapid and effective
responses to shocks?
6. How do you ensure the special needs of the disadvantaged and
vulnerable groups in the needs estimation and delivery systems?
Challenges, 1. What are the potential opportunities and challenges during PSNP5
impacts and implementation?
opportunities 2. What are the potential (positive and negative) impacts of PSNP5?
3. What are the lessons learnt from the implementation of the previous
phases of the PSNP? [Probe: targeting, transfers, public works, direct
support, etc]
NGOs Operating in 1. Are there NGOs operating on areas (natural resource management,
the Same Areas emergency supports, livelihood support services, etc) that would
complement PSNP components?
2. If there is any, how would this be the opportunity for the better
implementation of PSNP5?
Additional You are cordially invited to suggest if there is any additional information
Information
4.3: Interview Guide Questions for Disadvantaged and Vulnerable Groups
Detail Questions Response
For pregnant, lactating or 1. Explain the burden of PW workload on your domestic
women in general activities.
2. What are the health and safety risks experienced while
participating in PWs?
3. Describe the impacts of your participation in PWs on the life
of your kids?
4. Is there any gender-based violence encountered while
travelling to and from PW sites? If there is any, describe in
detail.
5. Who collects (you or your husband) the cash transfer? If
husband, probe on: if there is a misuse or disagreement on
how to use the cash?
6. Who attends (you or your husband) technical/awareness
raising trainings on livelihoods (such as livelihood
diversification, financial literacy, business skills, credit and
saving services, etc)?
7. Who manage (you or your husband) the livelihoods transfer,
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livelihood grant or livelihood credit service?
8. If husband, describe how that limits your awareness and
contribution to household livelihood enhancement?
9. What challenges do women face as the beneficiaries of the
PSNP?
10. How do you see the role of PSNP in empowering women?
Elderly-headed households, Is the distance or location of the payment and food distribution
people with disability, centres accessible to you? If not, describe what ways do you
PLWHA, labor-poor use to overcome the problem?
households
Polygamous households 1. Describe how the transfer is shared among the co-wives?
2. Explain what are the impacts of the sharing?
3. What measures do you suggest in PSNP5 to consider your
special need?
Unemployed rural youth 1. Did you receive any support to create your own job
opportunity?
2. How do you explain being unemployed youth?
3. Do you know PSNP? How do you want to be targeted?
Pastoralist and Ex-pastoralists 1. What are your household means of livelihood after being
dropped-out of pastoral life?
2. What is your reflection in the targeting process of PSNP?
3. Do you think the PSNP services are locally and culturally
appropriate?
Annex 5: Summary of Community and Stakeholders Consultations
5.1: Summary of Consultation with Regional Stakeholders

Awareness 1. Are you adequately aware of the • Yes, we are aware of the objectives and
PSNP? [Probe: objectives and components of the PSNP. The objectives of
components]. the PSNP are filling of food gap, creating
2. What institutional systems are there communal asset, and supporting households
to periodically refresh the knowledge to create households level asset. In addition,
of the existing staffs? the program has Public Works, Permanent
Direct Support, Livelihood support and
Disaster Risk management components.
• In some regions there no system to
periodically refresh the knowledge of the
existing system. While stakeholder in some
regions (Amhara for example) identified the
following mechanism:
o Experience sharing events
o Technical Trainings
o Program reviews
Targeting 1. What suggestion do you give to • In some regions, (Oromia for example)
improve the existing targeting stakeholders believe that the existing
criteria, to improve inclusion and targeting criteria have no problem, and they
exclusion problems? [Probe: do not have any suggestion for
reconsidering residence, livelihood improvement. But, stakeholders in other
and social changes] regions suggested the following:
2. Do the community participate in a o Access to land and land productivity
fair and transparent ways in the to be included as main criteria for
targeting process? targeting beneficiaries.
3. Is there Kebele Community Food o Community based targeting needs to
Security Task Force (KFSTF) in all be supported by technology and
PSNP Kebeles? If no, explain why? technical personnel.
And what measures were taken to o There should be time bound for
406

establish KFSTF or replace inactive graduation as clients hide their asset
members? If exist, how do you to stay in the program.
ensure whether each members of the o Area targeting of PSNP woredas for
FSTF properly discharge his/her the coming PSNP5 to be done by the
duties in the targeting process? region or the region must have a stake
4. What are the mechanisms to avoid or during geographic targeting.
reduce the influence of the traditional • Yes, the targeting exercise is done with an
authority structures such as clan active participation of the community. The
leaders, elite capture, elders and targeting exercise starts from the community
religious/ritual leaders in the (sub-kebele) level, based on the quota given
selection process? for that specific community the community
5. How do you ensure that the needs food security-targeting target the clients and
and interests of the vulnerable groups the community discuss on the proposed list.
are equally considered in the The KFST compile and review the proposal
selection process? [for Food security, from the community and read for the
women, children and youth process community for their comment. However, in
owner in BoA/Office of Women, some regions stakeholders expressed the
Children and Youth Affairs, Office level of community participation in the
of Labor and Social Affairs] targeting process is not to the level required
in PSNP provisions.
• Yes, KFSTF exist in almost all PSNP
kebeles. However, they are not effectively
performing. Thus, stakeholders suggested
various measures to strengthen the capacity
of the KFSTF:
o Regular capacity building trainings.
o Incentive to the KFSTF members.
o Close supervision by woreda FSD.
o Technology based targeting process.
• Stakeholders reported there is no influence
of the traditional authority structures such as
clan leaders, elite capture, elders and
religious/ritual leaders in the selection
process.
• To ensure the needs of vulnerable groups
considered during the selection process, it is
suggested to adhere with the existing
targeting criteria’s. In the existing criteria’s
the interests of vulnerable groups is given
due attention.
Transfer 1. Do you have a means to regularly • The payment modality is decided by the
consult the clients on their preference federal. The region has no stake in this
of payment modality? If no why? If process. It is indicated that still the payment
yes [Probe: what means was used? modality is a source of grievance between
what views was obtained? what beneficiaries and the government. Only in
efforts have been made to consider few regions, that the stakeholders expressed
their preference in the previous the transfer modality is decided in
PSNPs? consultation with the community.
2. What are the factors that hinder the Beneficiaries are consulted on their
proper timeliness, predictability, and preference once during the annual planning.
schedule of transfer? • Among the factors that contributed for
3. To what extent the location/distance deviation of the timeless, and predictability
of the payment or food distribution of transfer include:
centres considered the special needs o Delay of effecting cash transfer at all
of vulnerable groups such as elderly- levels from federal to woredal
headed households, people with o Delay of commodity movement from
disability, PLWHA and labor-poor federal to region and from region to
households? [for food security, woreda.
women affairs process in BoA/
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Office of Women, Children and o Poor road infrastructure in some
Youth Affairs, Office of Labor and PSNP woredas.
Social Affairs] o Inefficient institutional capacity of
MFIs
o Electronic payment network problem
o Shortage of transportation for
community movement
• The location or distance of payment and
food distribution center is affecting not
only vulnerable groups but also able-bodied
beneficiaries of the program. There are
woredas, which are not accessible to
transport. In these woredas, clients are
forced to travel up to two days on foot to
collect transfer. To avoid the cost of taking
grain to home, some client sell it for low
price. Most vulnerable groups are forced to
delegate others to receive payments.
Public works 1. How do you evaluate the overall • Consulted stakeholders acknowledge the
(PWs) activities of PWs? crucial contribution of the public work
2. What mechanisms are used to ensure activities based on biophysical, soil and
effective community participation in water conservation, agro-forestry,
the planning and implementation of construction of small-scale irrigation
PWs? [Probe on: decision on the kind schemes and social services for community
of productive/development works, asset creation, natural resource conservation
workload, convenient timing . . . etc] and increment of productivity and
3. What measures were taken to production at household level.
harmonize the implementation of PWs • Stakeholders expressed that there is
and the household labor needs and community watershed committee where
local labor seasons? [Probe on: the community are represented by elderly people
impact of workload on the time for and women who participated and consulted
regular farming/pastoral activities, during annual PW planning, implementation
women’s time for domestic chores, and monitoring as well. Nevertheless, they
compatibility of PWs with all agreed, that is far from ensuring the
farming/pastoral seasons; active participation of community members.
harmonization between PWs and • Stakeholders discussed that there is a
GoE’s Mass Labour Mobilization challenge to harmonize public work
Program] implementation vis-à-vis clients’ regular
4. What health and safety measures are farming/pastoral activities and women’s
taken in implementing PWs? [Probe: time for domestic chores. Only informants
gender-based violence and its stated there is no burden of PWs or
management, exemption of pregnant confirmed harmonization. Similarly, in some
and lactating women, prohibition of regions (Amhara for example), interviewed
children’s participation]. [for PW, FS, woreda stakeholders mentioned that the
Women, Children and Youth Affairs timing of PW is overlapping with the annual
process in BoA/BoWCYA, Office of Mass labour mobilization. Hence, to
Labor and Social Affairs, Ministry of harmonize public works with free labour
Health] mobilization, the region made 40-10-50
arrangement which means 40% of PD to be
covered before free labour mobilization,10%
during free labour mobilization and 40%
after free labour mobilization
• Stakeholders reported no experience of GBV
• The common health and safety measured
identified include awareness raising on
health and safety issues, first aids, use of
mouth and nose cover when working in
dusty areas, how to care for themselves
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when working in dangerous areas such as
sliding areas, when digging in deep holes.
• Pregnant and lactating women are exempted
from PWs as per the PSNP provision.
Livelihood 1. Do micro credit and saving services • Regional stakeholder discussed no different
Support Services accessible at the grassroots level? idea from woreda stakeholders and clients
[Probe: availability of micro credit and regarding accessibility of micro-credit and
saving institutions, culturally saving services. Access to credit is very
appropriate services, equally much limited owing to the following reasons:
accessible to vulnerable groups . . . o Discrepancy between demand and
etc] supply
2. How do you assess the impacts of the o Inadequacy of loan amount.
livelihood support interventions? o Pre-conditions for load
[Probe: how improving various o Lack of culturally appropriate loan
knowledge and skills of the clients on • Regional stakeholders have discussed the
livelihoods, contribute to household impacts of the livelihood support
livelihood diversification, contribute interventions from different perspective:
to building household sustainable o The technical supports provided for
livelihoods, enhance household targeting households have improved
nutrition . . . etc] their knowledge and skills regarding
3. What are the constraints/barriers in livelihood diversification, income
providing livelihood support services? generating activities, financial
literacy, business management skills,
developing business plan and market
skills.
o Clients targeted in the on-farm
pathway are facilitated with access to
mature watersheds, water harvesting
and small-scale irrigation schemes
that have increased the productivity
and production of their land.
o The financial supports in the form of
livelihood transfer, livelihood grant
and facilitation of access to micro-
credit helped targeting clients to
engage in different income generating
activities. That has helped the clients
to diversify means of household
livelihood, thereby build household
assets.
• Stakeholders identified the following major
constraints:
o Limited access to micro-credit
services owing to limited number and
capacity of MFIs.
o Inadequacy of livelihood grants.
o Inadequacy of load given.
o Poor internet infrastructure.
o Group collateral system by MFI
restricting youth and vulnerable
groups to access credit.
o Poor saving culture among the major
constraints.
Institutional 1. Are institutional arrangements are • Despite capacity gaps, the existing
Arrangements effective? institutional arranges are effective.
2. Is there effective coordination and • Stakeholders discussed there is a weak
cooperation among the various PSNP coordination and cooperation between and
implementing GOs and NGOs? If no, among implementing agencies of GOs,
explain why?
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3. What intervention measures do you NGOs and development partners at
suggest to improve the coordination different levels
and cooperation? • Regional stakeholders suggested several
measures to improve the coordination and
cooperation among the Stakeholders:
o Joint responsibility to develop a
conducive enabling environment for
last mile service providers in terms of
working place, license, attractive
working environment, e.g. for agro-
dealers, private MFIs and other
technology service providers.
o NGOs to participate in targeting and
recertification/graduation process.
o NGOs to be counted as key members
and active participants of PSNP
platforms at all levels where relevant.
o The PSNP reporting and planning
templates to have separate sections to
reflect NGOs’ contributions.
o Strengthening the GO-NGO forum
and providing space in the JRIS
agenda to share key learning and
experience.
o Government has to establish a strong
and functional platforms where the
implementing partners, decision
makers and all stakeholders can seat
together and review the program and
made a programmatic level change.
o A strong linkage between the higher
level program staff and the front line
implementers has to be improved so
that everybody can be on the same
page, update each other on
programmatic level changes and
timely resolve challenges that the
front line staff (including NGO’s)
facing in a timely manner.
o Improving social accountability and
cohesion of each government
implementing agencies (sectors
offices) at all levels.
o Improving capital project selection,
implementation and follow up process
o Uniform translation and
implementation of PIM provisions
across the regions
o There should be additional MoU
between PSNP IAs and GO, NGOs
and other office on coordination and
cooperation to make it legally signed
and to increase accountability to
PSNP implementation.
Capacity gaps 1. What are the major institutional • Regional stakeholders identified the same
capacity gaps in the implementation core institutional, staffs, financial and
of the PSNP? materials supply gaps mentioned by other
• Institutional (management and stakeholders consulted during ESAC II:
management information systems o High staff turn-over due to lack of
410

etc) salary increments, lack of incentives
• Staffs (knowledge, skills, and for the frontline staff and lack of
turn-over . . . etc) educational support for the model
• Financial and material supply staff.
2. What measures do you suggest to o Continuous leadership reshuffling by
address the capacity gaps? the government.
o Shortage of technical trainings for
staff with little knowledge and skills.
o Shortage of physical equipment’s like
laptops, desktops and office materials,
mainly in the split woredas.
o Lack of efficient information flow
system, especially at the program
grass root levels.
o The annual budget allocated for
human capacity development and for
follow up of an implementation of
livelihood is very small.
o The program resource, especially the
vehicle meant for an implementation
of the program is rarely used for the
assumed purpose.
o Shortage of admin, capital and CD
budget.
o The department responsible for
coordinating NGOs is hosted in the
bureau of finance in Amhara region
and there is no information exchange
between the department and regional
food security office. Regional food
security office does not have official
communication about NGOs
operating in the region. Previously the
department coordinating NGOs
placed under the bureau of food
security.
o There is still gap on technical skills
like data analysis, data base
management and other software’s
• Regional level informants identified the
following measures in order to address the
above identified capacity gaps:
o Increase awareness creation and
provision of relevant trainings for the
staff
o Arrange incentives for the frontline
staff, including DAs.
o Arrange educational opportunities for
the DAs and the technical staff
o The capacity gaps related to social
issues should be improved by
coordination among different
implementers through strong
monitoring, supervisions and
awareness creation.
o Putting in place regular assessment
o Allocating enough capital, admin and
CD budget,
o Arranging transportation facilities
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o Quality technical support for split
woredas
o Proper communication and integration
between the governments and NGOs
with proper accountability
mechanism. The NGO coordinating
department should be placed at
regional food security office.
o Disburse capacity building budget
timely
o Institutional arrangement and
management should be strengthened
using different capacity development
activities from higher level to Woreda
and kebeles.
Grievance 1. Describe what are the sources of • Regional level stakeholders identified the
Redress grievance in implementing PSNP? following major source of grievances:
2. What are the different ways in which mentioned exclusion errors, delay of
beneficiaries can submit payment, deduction of payment by kebele
theirgrievances? [government] officials in the name of
3. Is there Kebele Appeals Committee fertilizer, and the likes, claim over access to
(KAC)? If exist, does it effectively payment by husband and wife conflict
handle the various grievances by when they get divorced, access to
community members? livelihood grant and credit, targeting related
4. Describe what are the processes of issues, long distance of traveling to the
grievance redress? [Probe on: a log food transfer site, delay of transfer due to
where grievances are registered in cash liquidity and cash holding capacity of
writing, the length of time users can banks.
expect to wait for response and • Grievances are mostly submitted to kebele
resolution of their grievances, officials and KAC orally. Only few cases
transparency about the grievance are submitted on paper and forwarded it to
procedure, governing structure and the woreda.
decision makers]. • Informants said that KAC exists in all
PSNP kebeles but KACs are not responsive
for several reasons:KAC is not functional,
high turn-over of the members, lack of
commitment by members of KAC,
members of KAC lack awareness and
technical knowledge on GRM, influence of
kebele administrators, DAs and traditional
leaders, and lack of proportional
representation and active involvement of
women in KAC.
• Stakeholders expressed that as beneficiaries
usually submit their grievance orally and
bypass the role of KAC there is no standard
procedures in GRM.
Shock 1. What are the major sources of shocks? • They identified drought, flooding,
responsive safety 2. How do you assess the effectiveness livestock diseases, locust, and snow (for
net of the existing early warning system? highland areas) are the major recurring
[Probe: key early warning indicators, sources of shock in the study PSNP
the data sources, the qualitative of data woredas.
for projection, • According to regional stakeholders,
accessibility/automation of data, and information is collected for monitoring
frequency of data updating/year] and prediction of shocks on key early
3. What scientific procedure and data are warning indicators including weather
used in estimating: (a) the number of condition, crop performance, livestock
people needing emergency assistance situation, water and pasture, animal
every year, (b) the volume of food
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needed/consumption gaps, (c) the diseases, market situation, types of
duration of support required, (d) the hazards, death, and migration.
months of support that is needed, and • However, informants expressed that the
€ develop annual shock response plan capacity of the existing early warning
accordingly. system for monitoring and predication of
4. How do you assess the effectiveness short- and long-term sources of shock is so
of the existing shock-responsive poor. The existing system of cash and food
delivery system? [Probe: needs projection is not different either.
identification, targeting, registration Poor quality of early warning data, manual
and food and cash transfer system]. based data management system,
5. What mechanisms do you suggest to inaccessibility of early warning data and
enable more rapid and effective early warning staffs limited capacity are
responses to shocks? indentified as the major reasons.
6. How do you ensure the special needs • Informants discussed lack of effective
of the disadvantaged and vulnerable system of disseminating early warning
groups in the needs estimation and information as a serious problem.
delivery systems? • Shock-response plan is reactive than being
pro-active. According to informants the
following are the hindering factors: poor
monitoring and prediction of the sources
of shock due to lack of automated and
quality data management system, poor
projection of the amount of the resources
needed for emergency assistance, how
many people in need and for how long, the
resources in government emergency stock
rarely enough and humanitarian aids from
Development Partners and NGOs are not
provided on time or full cover the need
gap
• Informants stated the existing shock-
responsive delivery system is poor. They
restate the same problems with woreda
stakeholders in this regard: the regular or
core PSNP and Humanitarian Food
Assistance (HFA) operate independently;
the cash and food transfers and
management systems in response to
drought shocks is delivered using the
different system from the core cash and
food transfers for PSNP; the scale of food
needs, the complexity of meeting these
needs and parallel institutional
arrangements interrupted effective shock-
delivery system; and the current shock-
responsive delivery system has no standard
operating rules and procedures that define
the system’s scales-up, how it will scale-
up, to which groups of population, for how
long and how much assistance shall be
received.
• To enhanced early warning system,
informants suggested the automation of the
collection, management and accessible of
early warning data and capacity building
trainings for staffs at all levels
Challenges, 1. What are the potential opportunities Major opportunities identified:
impacts and and challenges during PSNP5 • Lessons learned from the implementation
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opportunities implementation? of the previous PSNP phases.
2. What are the potential (positive and • Existence of experienced staff, better
negative) impacts of PSNP5? awareness about the program.
3. What are the lessons learnt from the • Even their effectiveness is under question
implementation of the previous phases existence institutional arrangements.
of the PSNP? [Probe: targeting, • Enhancement of the livelihood of clients
transfers, public works, direct support • Building resiliency of clients
. . . etc] • Improvement of nutrition security of
clients
• Graduation of self-sustained households.
Major challenges mentioned:

• The prevalence of COVID-19
• E-payment infra structure problem
• The ongoing restructuring of new zones
and woredes
• Development of dependency syndrome on
the side of clients.
Nutrition 1. How do you see the contribution of • Stakeholders confirmed that it is well
the PSNP transfer in reducing the recognized that PSNP transfer has positive
number of severely malnourished roles to address household level food gap
children? and contributing for household nutrition. Of
2. How do you see the impacts of course, PSNP is not providing all types of
mainstreaming nutrition-sensitive food items, rather it is providing cash. Of
agendas in the Social and Behavioural course they also confirmed that cash
Change Communication? payment is helping them to buy different
3. Do you have awareness on PSNP5 types of food items from local markets as
Nutrition Provisions and how they will their understanding through BCC increased
be implemented? and provide those various food items for
their children.
• BCC is being conducted, they do have the
jobaid at all kebeles, and it is facilitated by
HEWs and DAs. However, the quality of
BCC is not the same in all kebeles. It is well
conducted in kebeles where there is good
coordination between HEWs and DAs, but
its functionality is weak in kebeles where
there is weak coordination between DAs
and HEWs. In general, BCC is reported as
it is significantly helping to rise community
awareness on nutrition issues,
complementary feeding preparation,
maternal and child nutrition, exclusive
breast-feeding, and personal and
environmental hygiene.
• No awareness on PSNP5 Nutrition
Provisions.
Loss and loss of 1. Is there Public Works induced asset • All informants reported that there is no
access to assets loss and loss of access to assets? public works induced asset loss or loss of
2. If there is any, did the loss involve access to assets in all PSNP woredas
participatory decision and follow the covered in the assessment.
Voluntary Asset Loss Procedure?
3. If there is any, explain how asset loss
or loss of assets has impacted on the
local social relations and traditional
institutions?
4. Is there effective grievance redress
mechanism in case of involuntary loss
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of asset and loss of access to assets?
NGOs operating 1. Are there NGOs operating on areas • Yes there are many NGOs such as CARE,
in the same (natural resource management, WFP, MCS and HCS which are directly
areas emergency supports, livelihood engaged on direct implementation of PSNP
support services . . . etc) that would • Their presence is an opportunity in different
complement PSNP components? ways such as by bringing additional
2. If there is any, how would this be the resources, knowledge and skill to the region.
opportunity for the better
implementation of PSNP5?
Additional 1. You are cordially invited to suggest
information if there is any additional information
5.2: Summary of KII with Woreda Level Stakeholders

Awareness 1. Are you adequately aware of the • Stakeholders from Agriculture and DRM
PSNP? [Probe: objectives and partly confirmed that they do have better
components]. understanding about the objectives and
2. What institutional systems are there to major components of the program.
periodically refresh the knowledge of However, it is realized that stakeholders
the existing staffs? from Women, children and youth affairs
and health have inadequate awareness.
• However, woreda level stakeholders
mostly lack awareness on the shift of the
targeting criteria in PSNP5 and what
facts necessitate the change. When asked
to respond on the targeting criteria for the
upcoming PSNP5, these program
implementers still referred to the
selection criterion (chronic food
insecurity) in the previous phases of the
PSNP.
Targeting 1. What suggestion do you give to • Woreda level stakeholders suggested the
improve the existing inclusion and proposed PSNP5 to re-consider the
exclusion criteria? [Probe: existing targeting criteria to be inclusive
reconsidering residence, livelihood and for unemployed rural youth, new residents
social changes] to woreda, and ex-pastoralist households.
2. Do the community participate in a fair • Interviewed program implementers at
and transparent ways in the targeting woreda level discussed that communities
process? participate in kebele level validation
3. Is there Kebele Community Food meetings and the list of retargeted and
Security Task Force (KFSTF) in all graduated beneficiaries posted in the
PSNP Kebeles? If no, explain why? and kebele notice board. Nevertheless,
what measures were taken to establish community members still felt complaints
KFSTF or replace inactive members? If for lack of fair and transparent targeting
exist, how do you ensure whether each process.
members of the FSTF properly • Despite high turnover rate of members and
discharge his/her duties in the targeting lack of commitment, program
process? implementers confirmed the existence of
4. What are the mechanisms to avoid or KFSTF in all PSNP kebeles. However, as
reduce the influence of the traditional program implementers stated, members of
authority structures such as clan leaders, FSTS lack adequate awareness and
elite capture, elders and religious/ritual technical skills on community-based
leaders in the selection process? selection process, gender sensitive PSNP
5. How do you ensure that the needs and provisions and mechanisms of handling
interests of the vulnerable groups are complaints. They further expressed,
equally considered in the selection establishing the kebele FSTF by itself
process? [for Food security, women, cannot bring faire and transparent
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children and youth process owner in selection process. Hence, provision of
BoA/Office of Women, Children and training, close technical supports and
Youth Affairs, Office of Labor and supervision by Woreda Sector Experts is
Social Affairs] mandatory to enhance the performance of
the members of the FSTS.
• Informants forwarded that close
supervision and follow-up of the operation
of informal and traditional leaders by
woreda stakeholders would reduce their
influence for unfair targeting outcome.
• To ensure the interest of vulnerable social
groups during targeting, consulted woreda
stakeholder suggested different measures:
o Special PSNP provisions that give
priority for disadvantaged and
vulnerable groups.
o Strengthening Kebele Appeal
Committee (KAC) capacity of
handing complaints.
o Concerned woreda stakeholder
(Labour and Social Affairs Office
and Women Children and Youth
Office) should form serious
monitoring team to oversee the
process of re-targeting and the
implementation of the PSNP
provisions for vulnerable groups.
o Post the final targeted community in
public space as well as reading in
community meeting collect
feedbacks and take corrective
measures accordingly.
Transfer 1. Do you have a means to regularly • Stakeholders responded differently
consult the clients on their preference regarding regular means of assessing
of payment modality? If no why? If clients’ preference for payment modality:
yes [Probe: what means was used? o Some discussed that there is no
what views was obtained? what efforts consultation with clients to assess
have been made to consider their preference. Rather, federal officials
preference in the previous PSNPs? make the decision on the payment
2. What are the factors that hinder the modality.
proper timeliness, predictability, and o Others expressed that beneficiaries
schedule of transfer? consult once in the begging of the
3. To what extent the location/distance of program through the FSTF.
the payment or food distribution centres o Still some others stated consultation
considered the special needs of with client is made annually.
vulnerable groups such as elderly- • Program implementers identified several
headed households, people with reasons accounted for the delay of
disability, PLWHA and labor-poor transfer:
households? [for food security, women o Technical, financial and
affairs process in BoA/ Office of administrative related constraints of
Women, Children and Youth Affairs, MFI won to management e-
Office of Labor and Social Affairs] payments.
o Delay of commodity movement
from federal to region and from
region to PSNP woredas.
o Delay of budget release from federal
to region and from region to PSNP
woredas.
o Poor internet and mobile network
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coverage in some PSNP kebeles.
o Delay in request form submission by
woreda to region and related offices
works.
o Inaccessibility of some PSNP
kebeles due to poor road
infrastructure.
• All stakeholders invariably stated that no
consideration is given for the special
needs of vulnerable groups when
deciding the distance of the payment or
food distribution centers.
Public works 1. How do you evaluate the overall • Consulted stakeholders acknowledge the
(PWs) activities of PWs? crucial contribution of the public work
2. What mechanisms are used to ensure activities based on biophysical, soil and
effective community participation in the water conservation, agro-forestry,
planning and implementation of PWs? construction of small-scale irrigation
[Probe on: decision on the kind of schemes and social services for
productive/development works, community asset creation, natural
workload, convenient timing . . . etc] resource conservation and increment of
3. What measures were taken to productivity and production at household
harmonize the implementation of PWs level.
and the household labor needs and local • Consulted stakeholders expressed that
labor seasons? [Probe on: the impact of there is community watershed committee
workload on the time for regular where community are represented by
farming/pastoral activities, women’s elderly people and women who
time for domestic chores, compatibility participated and consulted during annual
of PWs with farming/pastoral seasons; PW planning, implementation and
harmonization between PWs and GoE’s monitoring as well. Nevertheless, they
Mass Labour Mobilization Program] all agreed, that is far from ensuring the
4. What health and safety measures are active participation of community
taken in implementing PWs? [Probe: members.
gender-based violence and its • Mostly, interviewed program
management, exemption of pregnant implementers expressed that there is a
and lactating women, prohibition of challenge to harmonize public work
children’s participation]. implementation vis-à-vis clients’ regular
farming/pastoral activities and women’s
time for domestic chores. Only few key
informants deny the burden of PWs or
confirmed harmonization. Similarly, in
some regions (Amhara for example),
interviewed woreda stakeholders
mentioned that the timing of PW is
overlapping with the annual Mass labour
mobilization.
• Informants reported the prevailing of
cuts and other physical injuries. Further,
they stated that PW has first aid
measures to address such minor health
and safety risks.
• Generally, program implementers stated
the PSNP provision which state that
pregnant and lactating women (PLW) are
assigned to TDS from confirmation of
pregnancy until a child is two years old
is implemented. Nevertheless, in some
woredas of Amhara and Afar region,
informants reported health and safety
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risks in association with pregnant women
who participate in PWs due to failure to
disclose their pregnancy or failure to
make early pregnancy test for exemption.
Shock 1. What are the major sources of shocks? • Informants identified drought, flooding,
responsive safety 2. How do you assess the effectiveness of livestock diseases, locust, and snow (for
net the existing early warning system? highland areas) are the major recurring
[Probe: key early warning indicators, sources of shock in the study PSNP
the data sources, the qualitative of data woredas. Besides, landslide is very
for projection, accessibility/automation critical source of hazard in Bolosso Sore
of data, and frequency of data woreda in SNNPR. Compared to other
updating/year] shocks, drought is the major recurring
3. What scientific procedure and data are source of shock both in the agricultural
used in estimating: (a) the number of and pastoral communities.
people needing emergency assistance • Informants discussed that information is
every year, (b) the volume of food regularly collected for monitoring and
needed/consumption gaps, (c) the prediction of shocks. Key early warning
duration of support required, (d) the indicators includes: weather condition,
months of support that is needed, and crop performance, livestock situation,
(e) develop annual shock response plan water and pasture, animal diseases,
accordingly. market situation, types of hazards, death,
4. How do you assess the effectiveness of migration, and logistics challenges and
the existing shock-responsive delivery situations.
system? [Probe: Identification, • All informants invariable stated that the
targeting, registration, food, and cash capacity of the existing early warning
transfer system]. system for monitoring and predication of
5. What mechanisms do you suggest to short- and long-term sources of shock is
enable more rapid and effective so poor. The existing system of cash and
responses to shocks? food needs projection is so poor too.
6. How do you ensure the special needs of Informants identified the major reasons
the disadvantaged and vulnerable why:
groups in the needs estimation and o Poor quality of early warning data
delivery systems? o Manual based data management
system
o Inaccessibility of early warning data
o Early warning staffs limited capacity
• Informants discussed lack of effective
system of disseminating early warning
information as a serious problem. As to
informants, information flow is poor
regarding both components of the early
farming communication system:
o Reliable and robust means of
communication is lacking for
delivering early warning messages
to the potentially affected people.
o Appropriate and effective means of
communication among the key
stakeholders is lacking for the
coordination and mobilization of
resources on time.
• Woreda level stakeholders discussed that
shock-response plan is reactive than
being pro-active. Stakeholder identified
the major reasons hindering effective
annual shock response plan:
o Poor monitoring and prediction of
the sources of shock due to lack of
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automated and quality data
management system.
o Poor projection of the amount of the
resources needed for emergency
assistance, how many people in need
and for how long.
o The resources in government
emergency stock rarely enough.
o Humanitarian aids from
Development Partners and NGOs
are not provided on time or full
cover the need gap
• Informants expressed the existing
shock-responsive delivery system is
poor for the following major reasons:
o The regular or core PSNP and
Humanitarian Food Assistance
(HFA) operate independently.
o The cash and food transfers and
management systems in response to
drought shocks is delivered using
the different system from the core
cash and food transfers for PSNP.
o The scale of food needs, the
complexity of meeting these needs
and parallel institutional
arrangements interrupted effective
shock-delivery system.
o The current shock-responsive
delivery system has no standard
operating rules and procedures that
define the system’s scales-up, how it
will scale-up, to which groups of
population, for how long and how
much assistance shall be received.
o The process of identification,
targeting, registration and food and
cash transfer is done manually or in
paper-based system.
• Informants suggested the following
measures to improve early warning
system:
o Automation of the collection,
management and accessible of early
warning data
o Provide training for staffs on IMS of
early warning system.
Institutional 1. Are institutional arrangements are • Relatively, the institutional arrangement
Arrangements effective? is effective and working well. However,
2. Is there effective coordination and the WOLSA structure is not fully
cooperation among the various PSNP organized at woreda level, and unlike the
implementing GOs and NGOs? If no, agriculture and health offices, WOLSA
explain why? has no formal structure at kebele level.
3. What intervention measures do you This is one of the main challenges in
suggest to improve the coordination and institutional arrangement and
cooperation? implementation of linkage to social
services. The engagement of health office
is also lagging behind and not to the
required level.
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• Technical committees, taskforces and
steering committees are there where
relevant sectors are represented and
participated. However, the level of TCs
and TF functionality is not adequate.
This is mainly because of lack of
accountability on those who are assigned
by each sector to engage in the TCs and
TFs.
• Informants stated that there is good
coordination and cooperation at all levels
between government implementing
agencies, but there is a problem of
coordination and collaboration with the
PSNP implementers of GOs and NGOs.
• Informant suggested the following
majors to improve the coordination and
cooperation among stakeholders:
o Intuitional arrangement with
accountability measures among all
relevant sectors and representatives
to be part of TCs and TFs.
o Regular awareness creation and joint
monitoring are very critical.
o WolSA and Women children and
youth affair offices should
strengthen their structures at woreda
as well as kebele levels.
Capacity gaps 1. What are the major institutional • Informants identified the following as the
capacity gaps in the implementation of main institutional capacity gaps:
the PSNP? o High staff turn-over due to lack of
• Institutional (management and salary increments, lack of incentives
management information systems for the frontline staff and lack of
etc) educational support for the model
• Staffs (knowledge, skills, and turn- staff. In addition, due to the large
over . . . etc) pay gap between PSNP and similar
• Financial and material supply channel 2 projects, several
2. What measures do you suggest to experienced PSNP contract
address the capacity gaps? employees left PSNP.
o Continuing leadership reshuffle by
the government
o Shortage of technical trainings for
staff with little knowledge and skills
o Shortage of physical equipment’s
like laptops, desktops and office
materials, mainly in the split
woredas
o Lack of efficient information flow
system, especially at the program
grass root levels
o The annual budget allocated for
human capacity development and for
follow up of an implementation of
livelihood is very small
o The program resource, especially the
vehicle meant for an implementation
of the program is rarely used for the
assumed purpose.
o Shortage of admin, capital and CD
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budget.
o Weak coordination and cooperation
between and among implementing
agencies of GOs, NGOs and
development partners at different
levels
o There is still gap on technical skills
like data analysis, data base
management and other software’s
• Measures suggested to improve the
institutional capacity gaps:
o Increase awareness creation and
provision of relevant trainings for
the staff
o Arrange incentives for the frontline
staff, including DAs.
o Arrange educational opportunities
for the DAs and the technical staff
o The capacity gaps related to social
issues should be improved by
coordination among different
implementers through strong
monitoring, supervisions and
awareness creation.
o Putting in place regular assessment
o Allocating enough capital, admin
and CD budget,
o Arranging transportation facilities
o Quality technical support for split
woredas
o Proper communication and
integration between the governments
and NGOs with proper
accountability mechanism. The
NGO coordinating department
should be placed at regional food
security office.
o Disburse capacity building budget
timely
o Institutional arrangement and
management should be strengthened
using different capacity
development activities from higher
level to Woreda and kebeles.
Grievance 1. Describe what are the sources of • According to interviewed woreda level
Redress grievance in implementing PSNP? program implementers, the following are
2. What are the different ways in which the common sources of
beneficiaries can submit grievances:exclusion errors, delay of
theirgrievances? payment, deduction of payment by kebele
3. Is there Kebele Appeals Committee [government] officials in the name of
(KAC)? If exist, does it effectively fertilizer, and the likes, claim over access
handle the various grievances by to payment by husband and wife conflict
community members? when they get divorced, access to
4. Describe what are the processes of livelihood grant and credit, targeting
grievance redress? [Probe on: a log related issues, long distance of traveling
where grievances are registered in to the food transfer site, delay of transfer
writing, the length of time users can due to cash liquidity and cash holding
expect to wait for response and capacity of banks.
resolution of their grievances, • Informantsdiscussed that beneficiaries
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transparency about the grievance usually bypass KAC and kebele officials
procedure, governing structure and and submit their grievances directly to the
decision makers]. woreda food security office orally.
However, some submit their grievances in
written.
• Interviewed woreda level program
implementers stated that KAC exists in
almost all kebeles. However, KACs are
not effective to handle grievances. The
informants restate the same reasons with
the consulted clients in this regard:
o KAC is not functional
o Members of KAC lack awareness
and technical knowledge on GRM
o Lack of commitment by members of
KAC
o Influence of kebele administrators,
DAs and traditional leaders
o Lack of proportional representation
and active involvement of women in
KAC
o As a result, most participants’
beneficiaries do not want to visit
them.
• Informants discussed that the majority of
appeals are submitted orally for different
parties such as kebele administration,
DAs, manager, or woreda food security
task force and in rare cases for KAC. For
this reason, there are no formal procedures
followed for GRM.
Challenges, 1. What are the potential opportunities and • In the discussion woreda PSNP
impacts and challenges during PSNP5 stakeholders have mentioned that growing
opportunities implementation? commitment of leadership, growing
2. What are the potential (positive and awareness and understand of stakeholders
negative) impacts of PSNP5? about the objectives of PSNP, improved
3. What are the lessons learnt from the coordination are among key opportunities
implementation of the previous phases for PSNP5.
of the PSNP? [Probe: targeting,
transfers, public works, direct support . . • The challenges are mentioned as growing
. etc] number of youth unemployemnet, large
number of new residents in the woreda
who came from different parts of the
country due to the recent conflict, and still
growing number of caseloads needy
people who need our support, coordination
gap, weak institutional arrangement
among some of the key PSNP
stakeholders like WoLSA and WCYA
offices are some of the challenges to
PSNP5.
Nutrition 1. How do you see the contribution of the • Stakeholders confirmed that it is well
PSNP transfer in reducing the number recognized that PSNP transfer has positive
of severely malnourished children? roles to address household level food gap
2. How do you see the impacts of and contributing for household nutrition.
mainstreaming nutrition-sensitive Of course, PSNP is not providing all types
agendas in the Social and Behavioral of food items, rather it is providing cash.
Change Communication? Of course, they also confirmed that cash
3. Do you have awareness on PSNP5
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Nutrition Provisions and how they will payment is helping them to buy different
be implemented? types of food items from local markets as
their understanding through BCC
increased and provide those various food
items for their children.
• However, they said that the amount of
cash is not adequate to buy all required
types of food items.
• BCC is being conducted, they do have the
jobaid at all kebeles, and it is facilitated by
HEWs and DAs. But the quality of BCC is
not the same in all kebeles. It is well
conducted in kebeles where there is good
coordination between HEWs and DAs, but
its functionality is weak in kebeles where
there is weak coordination between DAs
and HEWs. In general, BCC is reported as
it is significantly helping to rise
community awareness on nutrition issues,
complementary feeding preparation,
maternal and child nutrition, exclusive
breast-feeding, and personal and
environmental hygiene.
• Woreda level stakeholders lack awareness
on the new nutrition provisions of the
PSNP5 and its way of implementation.
Asset loss and 1. Is there Public Works induced asset • All informants reported that there is no
loss of access to loss and loss of access to assets? public works induced asset loss or loss of
assets 2. If there is any, did the loss involve access to assets in all PSNP woredas
participatory decision and follow the covered in the assessment.
Voluntary Asset Loss Procedure?
3. If there is any, explain how asset loss or
loss of assets has impacted on the local
social relations and traditional
institutions?
Additional 1. You are cordially invited to suggest if
Information there is any additional information • They wanted to re-emphasize on those
critical issues so that the program should
address them for PSNP5. These are: delay
of transfer by agents of Omo MFI,
growing caseload of community
especially from elderly people, women
and children to be targeted and considered
by the new program, youth unemployment
and the issue of new residents to the
woreds are very critical issues to the
woreda and the upcoming program should
address them.
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5.3: Summary of Community Consultation

Awareness 1. Are you aware of the objectives and • Community Consultations have
components of PSNP? confirmed that participants have better
awareness about the objectives and
2. Did you participate and reflect your components of PSNP. Participants stated
opinion in the planning and that the objectives of the PSNP are to
implementation of PSNP? help the poor people to fulfil their food
gap and improve livelihood.
3. Are there periodic awareness raising
activities on overall aspects of PSNP? • Community consultation participants
expressed that they engage in the annual
4. Are the people aware of the special meeting of the program. Nevertheless,
provisions of PSNP for vulnerable active participation in the planning of
groups? each component of the PSNP is minimal.
Particularly, the participation of women
is none.
• Since PNP has the kebele and community

level food security taskforces where
community representatives are members
such as youth, women, elderly people,
the annual planning process is consulted
with those community representatives
than directly with the beneficiary
communities.
• In most PSNP woredas, community

consultation participants expressed there
is no periodic awareness raising activities
on overall aspects of PSNP. If there is
anything to mention in this regard it is the
annual meeting of the program.
• Community consultation participants

stated that they superficially aware of the
special provisions of PSNP for
vulnerable groups. Even then, the level of
awareness varies among community
members in the same and across PSNP
kebele. They indicated that they are
aware of special provision of PSNP for
vulnerable group but the level of
understanding to special provisions is
different. Boloso Sore woreda is
exceptional here where participants stated
that the special provision of PSNP for
vulnerable groups is discussed through
SBCC on a monthly basis and, thus,
gaining a good awareness.
Targeting 1. Do you know PSNP inclusion and • Consultations in all PSNP woredas
exclusion criteria? [Probe: if yes, revealed that participants are aware of the
discuss the criteria] inclusion and exclusion criteria’s of the
2. Do you suggest for changes in the program. They have mentioned that
current inclusion and exclusion criteria PSNP is targeting poorest of the poor,
of the PSNP? [Probe: if yes, explain those who have no means of livelihood
the reason] and support, elderly and chronically ill
3. How do you evaluate the fairness and
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transparency of the beneficiary people who need support of others.
selection process so far? [Probe on: is
there targeting error] • Community consultation participants
4. Is there Kebele Community Food from most PSNP woredas did not give
Security Task Force (FSTF) and Keble any suggestion for the current inclusion
Appeal Committee (KAC)? If exist, and exclusion criteria of the PSNP. But,
does it properly discharge its duties in in some woredas (Boloso Sore for
selecting the right beneficiaries? Do example) participants suggested the need
also women participate as Keble to re-consider the inclusion criteria so as
FSTF?? to targeting for unemployed rural youth
5. How do you see the role of and those new residents in the woreda
traditional/informal authority structure who returned from different parts of the
such as clan leaders, elite capture, country over the last few years due to
elders and religious/ritual leaders in ethnic based conflicts and evictions.
ensuring the fairness and transparency
of targeting process? • Community consultation participants
6. How can the targeting process be noted the existence of FSTF and KAC.
better suited to the needs of the most However, they invariably expressed that
vulnerable groups in a community? FSTF and KAC are weak to properly
7. What do you recommend to improve discharge their duties and responsibilities
the current selection process? for fair and transport selection process.
Participants further discussed that lack of
women’s proportion representation and
their inactive participation in FSTF and
KAC, FSTF and KAC members’ lack of
adequate awareness and technical skills
on GRM and gender sensitive PSNP, act
of nepotism and favorism by some FSTS
and KAC members, members turn-over,
inactive participation and lack of
commitment by members of FSTF and
KAC as the contributing factors for the
weak performance of the FSTF and
KAC.
• Participants identified numerous local

socio-cultural organizations and informal
structures including clan, elders,
community leaders, and religious leaders.
Participants expressed that these socio-
cultural organizations and informal
structures are actively involving in the
selection process. There are many
positive roles of these socio-cultural
organizations and informal structures for
fair targeting. However, community
consultation participants from pastoral
areas exposed instances of clan leaders
and community elders’ influence for
unfair targeting outcomes. In addition,
elite captures can be loudspeaker/orator
community members, leaders of informal
local institutions and people with
relatively better economic.
• Participants suggested the following

measures to improve the unfair selection:
strengthening the capacity of the KFSTF
and KAC, avoid the unnecessary
425

interventions of the woreda and kebele
politicians and administrators,
supervision and follow-up measures and
actions on those members of the FSTF,
DAs and kebele administers engaged in
acts of nepotism, favoritism, abuse of
power and corruption and devise system
to check the unfair decision of the
informal and traditional leaders.
Transfers 1. What payment modality would you • Community consultation participants

prefer? [Probe: cash, food or a mix of expressed that they prefer payment in
the two] What is your reason? mix of cash and foods. However, the
2. Are you satisfied with the amount of reasons given for the preference varied
transfer? between highland and lowland areas.
3. How do you evaluate the timeliness
and predictability of transfer? [Probe: o Participants in the highland areas
is the transfer regular? is the transfer preferred the payment in cash
schedule suite to the household during good local markets where
farming/pastoral activities? is transfer the needed grain is available for
location suitable?] relative low price. While at times
4. What suggestions do you have for when there is shortage of grain
improvements in transfers? [Probe on: supply in market or when market
payment modality, timeliness, price for grain is high, they prefer
predictability, payment location, the payment in cash.
payment schedule]. o Community consultation
participants from pastoral areas
exclusively prefer the payment in
cash. Because they explained that,
the kinds of grain provided are not
appropriate to their food habits.
o Yet, vulnerable groups including
FHHs, labour-poor households,
elderly households, and people with
disabilities/persons affected by
chronic illness preferred the cash
payment modality. They prefer
cash to avoid the cost of
transportation if transfer is received
in foods.
unanimously expressed the inadequacy of
transfer. They said that high inflation
rate/the eroded value of the cash transfer
combined with the inadequacy of transfer
widen household food and consumption
gap.
discussed that household food security is
improved because of PSNP transfers.
However, they mentioned that delay in
transfers caused household asset
depletion and other negative coping
strategies.
• Participants discussed that the distance of
the payment or food distribution center is
inaccessible. As stated by participants in
some PSNP woredas, they need to travel
about 30 kms to real payment and food
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distribution center.
• Participants suggested the construction of
payment and food distribution center in
the nearby location and e-payment
system to make transfer collection easy.
• During the community consultations,
participants expressed the prevailing
practice in male-headed household is that
it is the husband who collects transfers.
Consequently, they have illustrated cases
of mismanagement or misuse of transfers.
Some of the identified practices of this
sort include men spend the received cash
or selling the grain for the use of alcohol
drinking, cigarettes, khat chewing or
unintended purposes. According to
participants, mismanagement or misuse
of transfers by men aggravates the
household food gap and nutrition
problem for children. In addition, the
causes disagreement and conflicts
between husband and wife.
Public works 1. Do you participate in public work • Community consultation participants in
planning process? [Probe: decision on all PSNP invariably expressed public
the kind of productive/development work activities improved community
works, workload, convenient timing . asset creation and natural resource
. . etc] conservation.
2. How do you explain the impact of • In very few woredas (e.g. Boloso Sore),
workload on household beneficiaries discussed that the planning
farming/pastoral activity? [Probe: of PWs is participatory. In contrast,
how does your participation in PWs community consultation participants in
affect your time for farming/pastoral most PSNP woredas stated that they are
activities, your time for domestic not active participant in prioritizing PW
chores, care for children etc] activities and deciding the convenient
3. How do you see the convenience of timing of PWs.Instead, development
timing of public works with season of agents and community watershed
regular farming activities? committee prepare public work plans.
4. Which member of the household Then, participants further stated, what is
participates in public work? [Probe: if planned is forward to them for
pregnant women, lactating women, implementation.
children, elderly, person with • Beneficiaries expressed the PWs
disability participate in public works] conditionality of 5 days per person per
5. Have you ever experienced physical month and a maximum of 15 days per
injury or other health problems while month for the share of the household put
engaging in public works? them under workload pressure:
6. For pregnant women, what are the Competing their time and labour need for
challenges faced in switching from regular household livelihood activities.
PW to Direct Support? • In those PSNP woredas where public
7. Do you send children under 18 year work planning is not participatory,
to PWs? If yes, explain what forces beneficiaries felt complaints about the
you to do so? mismatch of PW timing and their annual
8. Describe what impacts the farming/pastoral calendar. In line with
participation in PWs has on the life of this, participants from agricultural based
the working children? woredas discussed that the beginning of
PW timing is normally scheduled from
January and continues until the first two
months (May and June) of the main
farming season while their slack season
427

commence in November.
• The participation of children in public
work activities is not reported in any of
the study PSNP woredas.
• Community consultation in some
woredas (e.g. Ebinat woredaof the
Amhara region and Gursum woreda in
Somali region) discussed that the
prevailing cultural norms is that women
do not tell anyone about their pregnancy
or visit health center for pregnancy test.
Consequently, there are pregnant women
who participate in PWs until several
months of their pregnancy.
• To improve the implementation of PWs,
community consultation participants
suggested sever remedial actions
including the following:
o Make public work planning
participatory.
o The activities of PWs require
ensuring women’s active
engagement in the planning process
to properly reflect and prioritize
their special needs.
o The timing of the PWs should fit to
the annual farming or pastoral
calendars of the beneficiary
households.
o The timing of the PWs should
consider the specific contexts of
household livelihood in the
highland and lowland areas.
Livelihood 1. Is there access to micro credit and • In those four regions (Oromia, Amhara,
support/service saving services? SNNP and Tigray) where the livelihood
2. Do existing micro credit and saving support of the PSNP has been
services culturally appropriate? implemented, targeting households have
3. Are existing micro credit and saving witnessed improvement in their livelihood
services equally accessible to status owing to the technical and financial
vulnerable groups such as female- supports received in this respect. In
headed households? contrast, community consultation
4. What are the constraints/barriers to participants in Afar and Somali region
access credit and serving services? stated that the PSNP livelihood support
5. Know-how/skills on how to use micro sub-component has not been commenced
credit service for on-farm and off-farm yet in their respective woreda and that
income generating activities generated discontent.
(livelihood diversification)? • Beneficiaries discussed that access to
6. How do you evaluate the success of credit is very much limited. The major
PSNP for your household? reasons they stated for this include:
o Discrepancy between demand and
supply
o Inadequacy of loan amount.
o Pre-conditions for load
o Lack of culturally appropriate loan
• In targeting for livelihood support,
identified various reason for the unfair or
exclusion of vulnerable groups:
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o The prevailing socio-cultural norms
expect men are the “bread-winners”
and women are “home-makers.”
o The targeting criterion exclude
landless unemployed rural youth
and new residents to woredas
o As targeting is exclusive to
husband, polygamous households
cannot compete for more than one
targeting chance.
o Engaging in all the three livelihood
pathways is thought unfit for
elderly-headed households and
disabled/persons affected by
chronic diseases.
• Beneficiaries expressed that the
livelihood grant is inadequate to properly
invest the business plan at hand.
Grievance redress 1. What are the sources of grievance? • Major sources of grievance identified by
2. Do you know where you submit your participants during community
appeals? What are the different ways consultation are:
in which you can submit your o Disagreement/conflict between
grievances? husband and wife
3. Grievance redress mechanism [Probe: o Inclusion and exclusion errors
up-take location, response time, o Delay of transfer
disclosure] o Deduction of transfer by kebele
[government] officials in the name
of fertilizer, and the likes.
• Participants have responded differently
regarding where to submit appeals:
o To kebele Appeal Committee
o To kebele cabinet
o To kebel chair manager
o To Development Agents
• What community consultation
participants responded to the
effectiveness of the existing GRM are
summarized into:
o KAC is not functional
o Members of KAC lack awareness
and technical knowledge on GRM
o Lack of commitment by members
of KAC
o Influence of kebele administrators,
DAs and traditional leaders
o Lack of proportional representation
and active involvement of women
in KAC
o As a result, most participants
expressed that they know the
existence KAC but they do not
want to visit them because KAC is
not responsive for anything
Social conflict 1. What impacts does the PSNP have on • The main sources of conflicts mentioned
social conflicts? [Probe: for public during community consultation include
works, targeting, transfers, . . .etc] livelihoods, rangeland or pasture, the
2. Are there any known social conflicts situation of the youth being unemployed
arising among different groups in and underemployed, information and
relation PSNP that may affect program
429

implementation? misinformation.
3. How can the PSNP ensure that it • Based on community consultations, the
doesn’t trigger social conflict? ESAC team realized that none PSNP
beneficiaries has felt that they are
excluded from the program while they
are eligible. That creates tension and
conflicts between beneficiaries and none-
beneficiary community members.
• PSNP beneficiaries have mentioned that
the far distance of PW, the workload of
PW, and delay of transfer are among key
social dissatisfaction in relation to PSNP.
• Beneficiaries suggested to make the
targeting criteria more clear for the
community, and if possible to include all
needy people in the society as they have
also in tangible economic and social
problem
• Participants also suggested reducing the
workload of PW inline to their capacity,
and to arrange the PW sites in areas close
to their village.
Local knowledge 1. How do traditional institutions of • Community consultation identified
land/resource/rangeland/water several traditional knowledge in relation
management contribute to the PSNP? to:
How does the PSNP make use of such o Area closures for pasture
structures? o Land and water management
2. How does the PSNP utilize local o Water wells
knowledge resources related to o Community engagement.
traditional land use and conservation • Both female and male community
knowledge and practice? representatives are part of the PSNP
3. In what ways do traditional Community Watershed Management
institutions/structures, social committee. This gives an opportunity to
dynamics (e.g., clan, class, etc.) affect the program to make use of the local
the PSNP [Probe for possible positive knowledge on various forms of
and negative impacts]? In what ways subprojects of the program including
does the PSNP affect traditional water and land management, soil
institutions, structure, social conservation.
dynamics, ways of life, etc. [Probe for • Traditional institutions/structures and
possible positive and negative religious leaders might try to influence
impacts]? the selection process and thus need to
consider them in targeting process with
the support of the kebele food security
taskforce (KFSTF).
• In some woredas (Boset for example),
indicated the need to involve local
knowledge in the process of solving
water related problems as the community
has an experience of pond digging and
how to manage the water collected in the
pond during the rainy season.
• However, community consultation
summarized, even though there is a good
initiative, we observed that this may not
be enough to acknowledge and make use
of the local knowledge; and it would be
good if the program in the future to
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strengthen the participation of
community in the planning process. To
conduct a kind of analysis over existing
community or local knowledge and
practices in relation to PSNP PW related
activities.
Program impacts 4. What are the main benefits and • Community consultation participants have
(positive and opportunities of the PSNP5I to the used different expressions to show how far
negative) community (transfer, public work, they are benefiting from the PSNP
livelihood, linkage to social service) interventions:
o PSNP is a live saving program.
5. What are the main challenges and o PSNP is a divine intervention to
risks that may encounter in the save the lives of the poorest and
process of implementing PSNP5? most vulnerable people.
o PSNP is the insurance of the
poorest people.
• Consequently, participants have
identified numerous benefits from the
earlier PSNP interventions including but
not limited to:
o Improved household food security
and consumption
o Avoid household asset depletion
and negative coping strategies
o Improved community asset creation
and natural resource conservation
o Improved household livelihood
o Improved nutrition of children
o Improved awareness or the soft
conditionalities
o Improved linkages to social
services
envisaged that the upcoming PSNP5 will
sustain the abovementioned benefits and
opportunities even in a better degree.
• On the other hand, participants
identified the following challenges and
risks for PSNP5:
o Inclusion and exclusion erros
o The caseload or number of people
who are waiting for PSNP support
is too large than the current number
of beneficiaries.
o The amount of monthly
payment/transfer is inadequate and
very small to cover the livelihood
need of a household
o Delay of transfer/payment
o Deduction from the
transfer/payment
o Distance of PW sites
o Limited access of livelihood grant
and credit
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Nutrition 1. How do you assess the contribution of • As discussed by the community, the
the PSNP transfer in fulfilling the PSNP transfer has a lot of benefit to
nutrition need of the child member of address the household level food demand
the household? and especially that of children as it
2. Do you discuss nutrition-sensitive helped them to buy various forms of food
agendas in the Social and Behavioral items to the family. Before PSNP, there
Change Communication sessions? If is a big food gap and they often ate
you do, explain how that have helped similar types of food items that they got
you in raising awareness about child from their backyard. However, since they
nutrition? get cash from the program, this makes
3. Do have awareness on PSNP5 them able to buy at least two and three
Nutrition Provisions? types of food items from the market and
feed their children.
• Participants confirmed that they gain
basic knowledge due to nutrition
sensitive SBCC training sessions on the
health benefits of breast-feeding, child
immunization, and the need for diverse
meals for children, hygiene management
and homestead farming.
Asset loss and loss 1. Is there Public Works induced asset • Overall, community consultation
of access to assets loss and loss of access to assets? participants have witnessed that there is
2. If there is any, did the loss involve no public works induced asset loss or loss
participatory decision and follow the of access to assets in all the PSNP
Voluntary Asset Loss Procedure? woredas covered in the ESAC.
3. If there is any, explain how asset loss
or loss of assets has impacted on the
local social relations and traditional
institutions?
Additional 1. You are cordially invited to suggest if • In PSNP woredas such as Boloso Sore,
information there is any additional information community consultation participants
added that population pressure (high
population density /per sqm), small land
size, high demand of new residents who
are displaced from various regions and
towns in the country, and growing
number of unemployed youth are very
critical social issues.
5.4: Summary of KII with Disadvantaged and Vulnerable Groups

For pregnant, 1. Explain the burden of PW workload on • Culturally, married women are
lactating or women your domestic activities. represented by their husbands for
in general 2. What are the health and safety risks almost all public affairs including
experienced while participating in participation in community meeting and
PWs? consultations. It is very rare case that
3. Describe the impacts of your those women in male headed
participation in PWs on the life of your households are member of taskforces,
kids? attending meetings.This has limited
4. Is there any gender-based violence their access to participate in the
encountered while travelling to and program, information and decision
from PW sites? If there is any, describe making roles.
in detail.
5. Who collects (you or your husband) the • The impacts of lack of food due to
432

cash transfer? If husband, probe on: if transfer delay is more severe for
there is a misuse or disagreement on children, pregnant and lactating women,
how to use the cash? elderly, persons affected by chronic
6. Who attends (you or your husband) diseases and people living with
awareness raising trainings on credit HIV/AIDs.
and saving services, business planning
and management skills, livelihood • Despite workload was noted by all
diversification and other livelihood participants, key informant interview
support services? If husband, describe indicated the differential impacts of
how that limits your awareness and workload for women in male-headed
contribution to household livelihood and female-headed households.
enhancement?
• Women in male-headed households are
7. What challenges do women face as the
not targeted for livelihood support.
beneficiaries of the PSNP?
Because, the prevailing socio-cultural
8. How do you see the role of PSNP in
norms expect men are the “bread-
empowering women?
winners” and women are “home-
makers.” Hence, targeting for livelihood
is exclusive to men. Men exclusively
received the technical and financial
supports provided by the program too.
• Competent FHHs, elderly-headed

households and people with disabilities
(if there are any) still cannot receive
credit. Because MFIs are in fear of
default if provide credit to these groups.
• FHHs are labour-poor. Thus, they are

overloaded both at household chores,
public work activities and community
level social responsibilities.
• Key informant interviews in some

woredas revealed that culturally women
don’t disclose their pregnancy for non-
family members until they are sure of it
i.e. when they are 4-5 months pregnant.
Participation of these women in PWs
would have health and safety issues for
them and fetus too.
• Despite unsatisfactory, the key

informant interview finding shad light
to the benefits of the interventions of
the previous PSNPs in the areas of
SBCC, gender-based violence, and
gender sensitive provisions among other
things. Hence, the mainstreaming of
gender in all the components of the
PSNP5 has potential social benefit to
scale-up women empowerment.
Elderly-headed 1. Is the distance or location of the • Key informants discussed that the
households, people payment and food distribution centres distance of the payment or food
with disability, accessible to you? If not, describe distribution center is inaccessible for
PLWHA, labor- what ways do you use to overcome the elderly-headed households, people with
poor households problem? disability, PLWHA, and labor-poor
household. In some PSNP woredas
(Boset for example), these groups of
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people need to travel up to 30 kms to
correct payment or food transfer.
Hence, they are forced to delegate
people or spent one night around the
payment and food distribution center.
Polygamous 1. Describe how the transfer is shared • Culturally, their husband represents all
households among the co-wives? wives in the polygamous households.
2. Explain what are the impacts of the There is a common understanding that a
sharing? man (husband) represents all his wives
3. What measures do you suggest in in targeting, community consultation, as
PSNP5 to consider your special need? member of various taskforces, and
training opportunities. The benefits of
the PSNP are also shared accordingly.
• In polygamous household, consider the
chance of targeting as per co-wives than
a husband.
Unemployed rural 1. Did you receive any support to create • Informants discussed that the targeting
youth and new your own job opportunity? criterion in the previous phases of the
residents to woreda 2. How do you explain being PSNP exclude landless unemployed
unemployed youth? rural youth and new residents to
3. Do you know PSNP? How do you woredas for the PSNP services in
want to be targeted? general. Thus, these informants urge for
PSNP5 re-consider earlier selection
criteria.
5.5: Summary of Development partners or NGOs (World Vision, Care Ethiopia and
World Food Program)
Guiding questions Responses

1. Please tell us your area of Informant from Care stated that Development Food Security Activity
engagement in line with (DFSA) /Strengthening PSNP 4 Institutions and Resilience (SPIR) is
PSNP? working by sharing Ethiopian government productive safety net program
goal to enhance livelihoods, increase resilience to shocks, and improve food
security and nutrition for rural households vulnerable to food insecurity in
Ethiopia. The program is sporting PSNP 4 in building the implementation
capacity of PSNP institution per the PIM standard including timely transfer,
technical support for livelihood client, facilitating access to finance,
participatory PW planning and need based public work activity with GSD
consideration and etc.
Informant from World Food Program pinpointed the following areas of
engagement in relation with PSNP:
• Programme design
o Played active role in preparation of design document for different
phases of the programme and preparation of PSNP roll-out
document to Pastoral areas;
o Took a leading role in the development of Watershed Management
Guidelines;
o Supported Ministry of Agriculture and Natural Resources on the
development of Pastoral Public Work Guideline.
• Capacity building /capacity development
o Provision of skill development trainings and workshops for
government frontlines staff in lowland areas;
o Organized and financed experience sharing visit for Somali and
Afar regions.
• Implementation monitoring
o Regularly participate and facilitate regional and federal JRIS
missions;
o Monitor life and post food and cash distributions to PSNP
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beneficiaries.
• Programme management and coordination

o Member of different technical working groups (livelihood, public
work, resource management…);
o Member of Donor working group.
• Logistic
o Manage entire food movement in the Somali region.
2. How do you explain your Informant from Care stated that since SPIR share PSNP goal and working to
cooperation and strengthen PSNP institutions, we are working in a close consultation with
coordination with PSNP government stakeholders at all level (starting from federal to kebele level).
implementing GOs? Our government partners are supportive and collaborative in every aspect. A
monthly and quarterly review meeting bring the implementing partners on
the same table to discuss on the programmatic level bottlenecks and provide
joint and timely solutions. We have had good enabling environment in terms
of partnership, which allow us considering our self as part of the program.
Another respondent described as follows
In beginning of our program partnering in PSNP-4 was restricted to
implementing agencies only. In addition, the GOs were less cooperative,
unwillingness to coordinate and collaborate and less transparent including
refusing to transfer GO woreda to NGOs especially in the woreda setting.
There was and still is discrepancy among regions and in the some regions
among woredas . Besides difference in execution and translation PIM. After
recurrent discussion, explanation, and engagement at all level they started
building confidence. Later they become partly transparent. Currently the
GOs open for collaboration and coordination in the following components of
PSNP-except in some components
• Cooperation in project area selection: the GOs involve in woreda

selection for efficient resource utilization and to avoid Overlap but still
there was some overlap
• Coordination of GOs for utilization of existing resources and systems
(human resource, capital resource, policies, standard design, guidelines.
• Annual program planning process including
o Identification and selection of nutrition sensitive capital projects
o Nutrition sensitive public work program: ensuring the timely
transition of Temporary Direct Support (TDS)
o Facilitation and follow up behavior change communication session
at public work site and health posts
• Coordination in program implementation such as capacity building, it
includes (need assessment, developing /adopting training manuals, trainee
selection, conducting training and post training follow up)
o Implementation of capital projects: such as the GOs provide
standard design, do feasibility studies and site selection> the GOs
also compensate for the value of land acquired for capital project or
mobilize the community for this process
o Coordination and working together with food security task forces at
all levels
• Willingness of GOs for the expansion of PSNP-4 to humanitarian:
Timely utilization of 5% contingency budget and proper targeting such us
considering non- PSNP House Hold with malnourished children and
families affected by shock still with limitations.
• Program monitoring and follow: GOs involve NGOs quarter, bi annual
and annual review meetings , integrated field level supervision,
experience sharing visit , sharing research study finding and actively
engaged in food security task force coordination meeting at all levels
• Involving NGOs in PSNP-4 joint program review process and PSNP-5
Design process. Besides PSNP-5 design adopted learnings and best
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practices of NGOs
In general, informant from WFP stated that WFP has established a very good
relationship with Ministry of Agriculture, Ministry of Finance, NDRMC and
respective regional bureaus.
3. What measures do you Informant from Care stated the following measures to be taken:
suggest to improve the • Government has to establish strong and functional platforms where the
cooperation and implementing partners, decision makers and all stakeholders can seat
coordination with PSNP together and review the program and made a programmatic level change.
implementing GOs? • A strong linkage between the higher level program staff and the front line
implementers has to be improved so that everybody can be on the same
page, update each other on programmatic level changes and timely
resolve challenges that the front line staff (including NGO’s) facing in a
timely manner.
• It will be good to also consider government capacity strengthening in
terms of system and infrastructure as government has to give due attention
to move away from traditional paper based system to replace it with
technology supported systems, that can enhance transparency and
accountability.
Another informant listed measures as follows:
• Proper geographical and program mapping of NGOs preferably using
electronic data base and GIS
• Open and transparent system in beneficiary selection process to reduce
exclusion and inclusion errors
• Improving social accountability and cohesion of each government
implementing agencies (sectors offices) at all levels
•
o Strengthen participatory community services scorecards and social
audits of social services
o Strengthen community led advocacy to government to ensure
government policy commitments and service technical standards are
followed up by government agencies and key decision makers.
o example one of the co-responsibility of TDS is to use social service
even if the beneficiaries seek the service most of the time the
services are limited or unavailable or not ready to provide service as
needed
• Involving stakeholders in annual beneficiary targeting and retargeting
process to give priority for Nutrition program such as ensuring the
targeting of poor pregnant and lactating women and care taker of
malnourished children
• Improving capital project selection, implementation and follow up
process
• Uniform translation & implementation of PIM provisions across the
regions
• Introducing continuous job embedded capacity building and quality
improvement process
Informant from WFP revealed that overlapping of responsibilities between
different government institutions and lack of coordination among different
ministerial offices and regional bureaus should be minimized. May be review
of institutional arrangements and consolidation of responsibilities needed.
4. What challenges did you • The high PSNP staff turnover at woreda and kebele level (took longer
encounter in the process of time to create common understanding).
implementing PSNP related • Low responsiveness of MFI‘s for PSNP client (Lack of access to finance
activities? for the program participants).
• Weak linkage between woreda accountability and regional as well as
federal level decision makers and policyholders.
• Hectic schedule of woreda partners with other assignments.
• Miss categorization of PW client in to PDS.
• Weak accountability mechanism in the program
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Another informant listed the following challenges:
• High staff turnover (trained and skilled staff)
• Capacity gap and misunderstand
• Closed system / less transparent
• Uncooperative leaders or technical staff
• Less time concept and poor utilization of resources
• Limited practice of social accountability
• Alignment and integration among GO sector offices and limitation in
program layering and sequencing
WFP informant mentioned low implementing capacities in some regions,
inaccessibility due to security and poor road networks, shifting priorities of
implementing partners- prioritizing meetings and political assignments.
5. Any additional information No additional issues raised
you want to add?
437
Annex 6: Summary of PSNP5: Gender, Social Development and Nutrition PIM

Provisions
Targeting • Special consideration of female-headed households (i.e. all things being equal
women headed-household is prioritized for inclusion).
• Special consideration of households which were covered by the woreda
contingency budget the previous year because they had malnourished children
• In polygamous households, second and subsequent wives are considered
asseparate female headed household
• During annual retargeting any household members eligible for temporary direct
support will be noted and referred to the relevant social services
• The new client Card includes information, picture and name of bothspouses and
adherence to the Public Work community BCC
• Even though transfers will only be provided for up to five household members, all
household members should be documented and listed as clients of the program
during the targeting process, which will allow for an inclusion of all members in the
“linkages to social services” component
Annual • Women and HEW should be represented and actively participate in annual
Planning watershed development planning (Community Watershed Task Force-50% women
representation) to ensure; women’s need as well as behaviour change
communication sessions for public work clients and the linkages with social services
for temporary direct support clients (see later ) are properly integrated in the annual
plan
Transfer • Payment sites are as close to clients as possibleandshould bewithin 3 hours walking
distance
• Equal access to and control over use of transfer by husband and wife with jointly
decision/ Implementation of actions which enhance women’s control over the use of
cash or food transfers
• Use of contingency resource may be used to address transitory inclusion of non
PSNP households in PSNP when they have amalnourished children under
TSF/OTP treatment
• Permanent direct support clients receive a 12 month transfer
Transparen • Woreda, kebele and community staff and Task Forces to make use of all
cy & opportunities to share relevant information (e.g. community meetings during
Accountabili targeting, PW planning meetings, community livelihood consultations, meetings to
ty inform clients and communities, etc.)
• All Clients are issued a Client Card with name, photograph, details regarding
entitlements and space to record receipt of transfers.
• Client lists posted in public locations in PSNP areas
• Charter of Rights and Responsibilities posted next to Client List but remains
posted throughout the year (also included on Client Cards)
• PSNP Posters describing specific aspects of program implementation will be
available and put up in offices at woreda and community level
Public • Women should work a reduced workload which allows them to arrive late and leave
Works early (and adjusting their work commitment to 50% of the standard-women have
50% less working hours and loads than men)
• Plan and ensure Person Days (PDs) calculation during planning and
implementation periods considers;
o Women’s 50% workload (early and late arrival)
o Transition of PLW to Temporary Direct Support
o Construction of temporary or permanent childcare centers at
PW sites and provision of child care services(Caring of the
children in these child care centers will also be considered as an
eligible public work)
438
o Participation of adult in BCC and financial literacy trainings

o Labour support to labor poor FHH and other households
• No participation of children (under 18) in PWs
• Women need to be represented and participate in PWs planning team and process
and 50% representation in the Kebele Watershed taskforce (KWSTF)
• PLW: Pregnant woman should be transition to temporary direct support on
confirmation from the health worker of her pregnancy or in the absence of this, from the
4th month of pregnancy); and continue to receive direct support until her child is 12
months old.
• PW sitesare located within 1 hour’s walking distance of Client’s home
• Primary care-givers of moderately or severely malnourished children (under five)
under treatment need to transition to temporary direct support until the child is assessed
as no longer requiring special treatment by the health care worker
• Lighter works should be allocated to older people and women, especially women who
are still breastfeeding and have children older than 12 months old (high-energy demands
of breastfeeding)
• PWs activities can be undertaken on private land belonging to female-headed
households with severe labour shortages
• PWs to give attention for nutrition sensitive PW activities in their plan and labour
support: This includes for instance for the establishment of household gardens Promotion
of nutrition sensitive PWs (including latrine construction; Health post construction
School room construction;Development of homestead/kitchen gardens on the land of
female-headed households with severe labour shortages (public works contribution can
include land preparation, irrigation development, and production of nursery products,
vegetable and legume seeds, and fruit tree seedlings)
• PW sub-projects shall reduce women’s regular time burden
• PW team composition should be balanced with men and women; women-only teams
for certain projects.The team leader or co-team leader should be a woman
• Prioritize targets for women in PWs team leader/co-team Leader / forewoman
positions to increase women’s representation in PW leadership and supervisory roles on
PW sites
• Participation by adult male and female PW Clients in monthly community based
health and nutrition and sanitation BCC sessions will be considered as a public work
requirement (3 sessionsequals one public work day; with a min of 6 sessions/year))
• PW clients can alsoparticipate in literacy/financial literacy and other forms of skills
training activities which are counted toward their PW requirement while approval for
their participation will be given on case by case basis
Temporary • The following vulnerable public work clients are transitioned from PWs to temporary
Direct direct support (TDS)…because of:
Support
o sickness
o Pregnant women will be transitioned to TDS on confirmation by a health
worker that she has undergone a first ante-natal checkup (or in the absence of
this referral, at four months of pregnancy). She will remain on direct support
until the child is two-year-old
o Transition of primary care-giver of a malnourished child under five years old
(through a reference card from a health professional)
• When a household member moves to temporary direct support, no other household
member is expected to work to earn that transfer or to work any days beyond the
existing labour cap of 15 days per able-bodied adult per month.
Linkages to • Members in PW HH which are transitioned to temporary direct support will be expected
social to take up core elements of the health extension programme as a co-responsibility in
service return for being exempt from public works.
through co o These HEP services include antenatal care, post-natal care, nutrition counseling,
responsibilit vaccination of children, attendance of growth monitoring and promotion,
ies or Soft- regular health checkups, and other services as guided by the HEW
Conditionali • These co-responsibilities will be considered as soft-conditionalities, which means that
439
ties - while households are informed of their co-responsibilities and basic monitoring is
undertaken,no penalties are enforced (nothing is deducted from the transfer if they do not
fulfil their co-responsibilities). These soft conditionalities will be phased in gradually as
services are available.
• Social workers, HEW, SWand DA will encourage HH to attend to these co-
responsibilities
Livelihoods • Livelihoods-related analyses to take into account the needs of women and youth
• 50% of livelihoods clients are women (including female household heads as well as women in
households with men)
• Livelihoods support is provided at places and times that enable women to attend
• Livelihoods transfers will target poor women andfemale-headed households
• Promotion of nutrition sensitive livelihoods (e.g. milk marketing or processing of complementary
foods for young children) are identified as a potential income generation activity, PSNP 4 may
support their inclusion as off-farm enterprises eligible for program support.
• Livelihoods will create an entry point for nutrition and health related behavioral change
communication through the formation of Development Groups
Coordinatio • Participation of women in committees and governance structures (50% quota for
n and committee participation)
Institutional • Ensure recruitment and placement of Social Development Officers at woreda level
Arrangemen
ts
Grievance • Plan to address annually identified Grievances Redress Review (previously known as
Redress Roving Appeal Audit) findings and recommendations
Mechanism • Clients complaints are addressed timely (99% resolved within one month)
• If Client not satisfied with KAC decision, complaint escalated to Kebele Council
• Make required resources available to ensure complaints recorded and registered(i.e. use
of standard formats to record complaints)
• Ensure Kebele Appeals Committee membership is impartial and does not overlap with
individuals involved in central roles in the implementation of the Program, particularly
targeting (i.e. no member of the KAC should also be a member of the KFSTF or the
CFSTF).
• Women should be represented on KAC (50%)
• KAC members should be elected by community representatives
• Pre-schedule meetings times for KAC members
• Timely reporting of summary of cases addressed to Kebele Council
• Plan and budget for training on overall GRM, including KAC
• Link KAC with the formal GRM structure at Keble and woreda levels and timely
replacement of KAC members who drop-out
Social • Ensure participation of PSNP implementers and Clients in ESAP3

Accountabili • Regional Level:
ty Participate in capacity building and awareness raising sessions on Social
Accountability
Regional PSNP Process Owners and Social Development Experts to
participate in Social Accountability and Financial Transparency and
Accountability (SA-FTA) Committee
Participate in joint monitoring with ESAP3 Management Agency and
follow-up implementation of Joint Action Plans
PSNP Social Development Expert to facilitate issues related to PSNP
Social Accountability-Ethiopia Social Accountability Program Phase 3
(ESAP3) Cooperation
• Zonal Level:
Agriculture Rural Development Office to Participate in relevant Woreda
Interface Meetings
440
Follow-up implementation of Joint Action Plan

• Woreda Level and Kebele Levels:
PSNP Social Development Officer to facilitate issues related toPSNP
Social Accountability-Ethiopia Social Accountability Program Phase 3
(ESAP3) Cooperation
PSNP implementers to participate in all aspects of Social Accountability
Pilot process, including: (i) capacity building and awareness raising
activities on Social Accountability; (ii) interface meetings; (iii) relevant
Social Accountability Committee meetings; (iv) ensure implementation of
Joint Action Plans.
• Community Level:
Community Food Security Task Force to participate in all aspects of Social
Accountability process
PSNP Service Users and Citizens to participate in Social Accountability
Committee (elected as members on a rotating basis)
441
Annex 20: Public Works Subproject ESMF Screening and ESMP Forms
Each type of subproject has its own ESMF Form. The form is similar for all types of
subproject, with the exception of the ‘Typical Features and Impacts’ Table, which is Type-
specific. There are none Sreenng forms for the nine subproject types in the Highlands, and
nine for the Lowlands.
442
Subproject Screening Form: Highland
Subproject Type: 01: Biophysical Soil and Water Conservation
Region:....................................Zone.......................................Woreda: ……………..……
Kebele: ………………Watershed: ……………………….Community: …………………
Subproject Name: ……………………………………………………………………
Activities Involved: .............................................................................................................
DA Name: ……….……………………………..……...
Step (i) Subprojects Ineligible as PSNP PW
Subproject involving the physical relocation of individuals or households, involuntary loss of land
or any other asset or access to asset
Subproject is within, or in the vicinity of, a known cultural heritage site, including World Heritage
sites
Subproject incorporates construction of a Large Dam, ie, with a height of 15 m or more from the
lowest foundation to crest, or with a height between 5 and 10 m impounding more than 3 mn m3.
Subproject incorporates construction of a Small Dam (ie. not a Large dam, above) that
(ii) is expected to become a Large Dam during its operating life.
Subproject is located in, or could affect, a Priority Forest Area, or habitat of significant
biodiversity value, or natural habitat, or critical habitat, or legally protected area of recognised
biodiversity value
Subproject involves the procurement of pesticides by PSNP5, or by the local government
Step (ii) a: Subprojects of Environmental or Social Concern

Yes No
Subproject has high or unknown potential negative impacts identified during Screening
Subproject located in the vicinity of a National Park or other designated wildlife area, or within a
buffer zone of such a park or area.
Step (ii) b: Subprojects Requiring a Special Procedure
Subproject incorporates construction of a dam (regardless of size) or is dependent on an existing
dam, or on a dam already under construction
Sub-project inside a Commune Center or close enough to a CC to have a potential direct or
indirect impact on it or on the people in a CC.
Step (iii) Subproject Screening

01. Biophysical Soil and Water Conservation Potential for Adverse Impacts
Typical Features and Impacts None Low Med High Unknown
New access (road) construction
443
01. Biophysical Soil and Water Conservation Potential for Adverse Impacts
Wet season soil disturbance
Sensitive downstream ecosystems
Introduction of plant/tree species; invasion of native species
Risk of reducing access to natural/community resources
Risk of physical danger to communities below the site
Risk of physical danger to subproject site workers
Wildlife habitats or populations disturbed
Environmentally sensitive areas disturbed
Risks from Insufficient capacity to manage Area Closure
Risks from failure to prohibit or control open grazing
Risks from insufficient cap. to manage new plantations/pastures
Other (specify):
Other (specify):
Other (specify):
Mitigating Measures Required
Potential Impacts Mitigation Measures
Approved Unconditionally: Approved subject to Special Procedures and/or

Mitigating measures
Notify to REPA as Subproject of Environmental and Social Concern:

Rejected:
Screening conducted by (DA name):
Name………………..…………….. Position: …………… Signature: ………………..

Date:…………….…
Screening supervised by:
Name………………..………….…. Position: …….………Signature:………………...

Date………….:……
444
Environmental and Social Management Plan
Responsible Estimated resources required to

Time of Responsible Date of implement MM
body to Issues to be
Mitigating Measure (MM) implementation person to monitoring
implement & monitored
(D/M/Y) monitor (D/M/Y)
monitor MM Cost (birr) In-kind
1.
2.
3.
4.
Monitoring
Mitigating Measure (MM) Report Name Signature Date
Submission
Date submitted _________________
445

Subproject Type: 02: Forestry, Agro-Forestry and Forage Development
Kebele: …………………………Watershed: ………………Community: …………………
Subproject Name: …………………………………………………………………………
Activities Involved: ...................................................................................................................
DA Name: ……….……………………………..……...
sites
biodiversity value
Yes No
02: Forestry, Agro-Forestry and Forage Development Potential for Adverse Impacts
Sensitive downstream ecosystems
446
02: Forestry, Agro-Forestry and Forage Development Potential for Adverse Impacts
Introduced plant/tree species; invasion of native species
Risk of reducing access to natural/community resources
Impacts of change of community land use on former users
Risks from insufficient capacity to manage Area Closure
Risks from Insufficient cap. to manage new plantations/pastures
Other (specify):

Mitigating measures
Notify to REPA as Subproject of Environmental and Social Concern :

Rejected:
Name: ………………..…………….. Position: …………… Signature: ………………..

Date: …………….…
Name: ………………..………….…. Position: …….………Signature: ………………...

Date: ………….:……
447

1.
2.
3.
4.
Monitoring
Submission
448
Subproject Type: 03: Water Subprojects: Community and Micro-level: Construction
Region: ....................................Zone: .......................................Woreda:

………………..……
Kebele: ……………………Watershed: ……………………….Community: …………….
Subproject Name: …………………………………………………………………………
Activities Involved: ....................................................................................................................
DA Name: ……….……………………………..……...
sites
lowest foundation to crest, or with a height between 5 and 10 m impounding more than 3 mn m 3.
biodiversity value
Yes No
03: Water Subprojects Community and Micro-level: Potential for Adverse Impacts
Construction Typical Features and Impacts None Low Med High Unknown
449
03: Water Subprojects Community and Micro-level: Potential for Adverse Impacts
Construction Typical Features and Impacts None Low Med High Unknown
Existing water sources supply/yield depletion
Existing water users disrupted
Downstream water users disrupted
Increased numbers of water users due to subproject
Increased social tensions/conflict over water allocation
Sensitive ecosystems downstream disrupted
Risks from insufficient cap. to manage subproject
Risk of malaria and other water-borne vectors
Pollution of drinking water by livestock
Accidents to humans or livestock during construction or
operations
Other (specify):
Other (specify):
Other (specify):

Mitigating measures

Rejected:
Name: ………………..……………..Position: …………… Signature: ………………..

Date: …………….…

Date: ………….:……
450

1.
2.
3.
4.
Monitoring
Submission
451
Subproject Type: 04: Small-Scale Irrigation: Construction or Expansion
Region: ....................................Zone: .......................................Woreda:

………………..……
Kebele: …………………………Watershed: ………………Community: …………….
Subproject Name: …………………………………………………………………………
DA Name: ……….……………………………..……...
sites
biodiversity value
Subproject involves the procurement of pesticides by PSNP5 , or by the local government
Yes No
04: Small-Scale Irrigation: Construction or Expansion Potential for Adverse Impacts
452
04: Small-Scale Irrigation: Construction or Expansion Potential for Adverse Impacts

Dam footprint takes land
Creation of quarries or borrow pits
Risks from soil permeability to viability of water storage
Vulnerability to water logging caused by poor drainage
Soil and water salinisation
Social tensions/conflict over water allocation
Cultural sites disturbed
Agricultural chemical pollution
Risks to sensitive downstream habitats and water bodies
operations
Other (specify):

Mitigating measures

Rejected:

Date: …………….…
Name………………..………….…. Position: …….………Signature: ………………...

Date………….:……
453
Mitigating Measure (MM) Time of Responsible Issues to be Responsible Date of Estimated resources required to
implementation body to monitored person to monitoring implement MM
(D/M/Y) implement & monitor (D/M/Y)
monitor MM
Cost (birr) In-kind
1.
2.
3.
4.
Monitoring
Submission
454
Subproject Type: 05: Small-Scale Irrigation: Rehabilitation
Region:...................................Zone.......................................Woreda: …………………..……
Kebele: ……………………Watershed: …………….Community: ……………………….
Subproject Name: ……………………………………………………………………………
DA Name: ……….……………………………..……...
sites
biodiversity value
Yes No
05: Small-Scale Irrigation: Rehabilitation Potential for Adverse Impacts
455

Risks from soil permeability to viability of water storage
Vulnerability to water logging caused by poor drainage
Soil and water salinisation
Agricultural chemical pollution
Risks to sensitive downstream habitats and water bodies
operations
Other (specify):

Mitigating measures
Notify to REPA as Subproject of Environmental or Social Concern :

Rejected:

Date: …………….…

Date: ………….:……
456

1.
2.
3.
4.
Monitoring
Submission
457

Subproject Type: 06: Community Road, Earth/Gravel and Footpaths: Construction
Subproject Name: …………………………………………………………………………
DA Name: ……….……………………………..……...
sites
biodiversity value
Yes No
458

06: Community Road, Earth/Gravel & Footpaths: Constr. Potential for Adverse Impacts
Typical Features and Impacts Non Low Med Hig Unknow
e h n
Risks from soil erosion or flooding
Stream crossings or disturbances
Damage from wet season excavation
Community road or footpath takes land
Significant vegetation removal
Wildlife disturbed
New settlement pressures created
operations
Other (specify):
Other (specify)

Mitigating measures

Rejected:

Date: …………….…

Date: ………….:……
459

1.
2.
3.
4.
Monitoring
Submission
460
Subproject Type: 07: Community Road, Earth/Gravel and Footpaths: Rehabilitation
Subproject Name: …………………………………………………………………………
DA Name: ……….……………………………..……...
sites
biodiversity value
Yes No
07: Community Road, Earth/Gravel and Footpaths: Potential for Adverse Impacts
Rehab. None Low Med High Unknown
Typical Features and Impacts
461
07: Community Road, Earth/Gravel and Footpaths: Potential for Adverse Impacts
Rehab. None Low Med High Unknown
Risks from soil erosion or flooding
Stream crossings or disturbances
Damage from wet season excavation
Community road or footpath widening takes land
Wildlife disturbed
operations
Other (specify):
Other (specify)

Mitigating measures

Rejected:

Date: …………….…

Date: ………….:……
462

1.
2.
3.
4.
Monitoring
Submission
463
Subproject Type: 08: Construction of Social Infrastructure
Subproject Name: …………………………………………………………………………
DA Name: ……….……………………………..……...
sites
biodiversity value
Yes No
08: Construction of Social Infrastructure Potential for Adverse Impacts
New access road construction
Alteration of existing drainage conditions
464
Vegetation removal
Infrastructure takes land
Construction materials impact on adjoining forest lands
Impact of water requirements on available supply
Sanitation impacts on available disposal sites
Discharge of medical waste
In-migration induced by development of facilities
Insufficient capacity to manage facility
operations
Spread of communicable diseases in schools from
overcrowding
Other (specify):
Other (specify)

Mitigating measures

Rejected:

Date:…………….…

Date………….:……
465

1.
2.
3.
4.
Monitoring
Submission
466
Subproject Type: 09: Gender- and Nutrition-Sensitive PW Subprojects
Subproject Name: …………………………………………………………………………
DA Name: ……….……………………………..……...
sites
biodiversity value
Yes No
09: Gender- and Nutrition-Sensitive PW Subprojects Potential for Adverse Impacts
New access road construction
467
09: Gender- and Nutrition-Sensitive PW Subprojects Potential for Adverse Impacts

Vegetation removal
Infrastructure takes land
Construction materials impact on adjoining forest/lands
Sanitation impacts on available disposal sites
Discharge of waste during operations
Spread of communicable disease in child care center
operations
In-migration induced by development of facilities
Insufficient capacity to manage facility
operations
Other (specify):
Other (specify)

Mitigating measures

Rejected:

Date: …………….…

Date………….:……
468

1.
2.
3.
4.
Monitoring
Submission
469
Subproject Screening Form: Lowland
Subproject Type: 01: Rangeland Management and Biophysical Soil & Water
Conservation
Region:....................................Zone.......................................Woreda: ………………..……
Kebele: ……………………Watershed: ………………….Community: ……………….
Subproject Name: ……………………………………………………………………………
ActivitiesInvolved: ...................................................................................................................
DA Name: ……….……………………………..……...
sites
Subproject is located in, or could affect, a Priority Forest Area, or habitat of significant biodiversity
value, or natural habitat, or critical habitat, or legally protected area of recognised biodiversity value
Yes No
Sub-project inside a Commune Center or close enough to a CC to have a potential direct or indirect
impact on it or on the people in a CC.
01:Rangeland Management and Biophysical Soil & Water Potential for Adverse Impacts
Conserv. None Low Med High Unknown
470
01:Rangeland Management and Biophysical Soil & Water Potential for Adverse Impacts
Conserv. None Low Med High Unknown
Landslides or erosion due to susceptible soils
Introduction of plant/tree species invasion of native species
Biophysical SWC structures blocking movement of
people/livestock
Sensitive downstream ecosystems affected
Risks from insufficient capacity to manage subproject
Risks from insufficient capacity to manage new
plantations/pastures
Other (specify):

Mitigating measures
Notify to REPA as Subproject of Environmental or Social Concern:

Rejected:

Date: …………….…

Date………….:……
471

1.
2.
3.
4.
Monitoring
Submission
472
Subproject Type: 02: Forestry, Agro-Forestry and Forage Development
Subproject Name: ……………………………………………………………………………
DA Name: ……….……………………………..……...
sites
Yes No
02: Forestry, Agro-Forestry and Forage development Potential for Adverse Impacts
Introduced plant/tree species invasion of native vegetation
Increased GHG emissions due to implementation of subproject
(e.g., bush removal and burning)
473
02: Forestry, Agro-Forestry and Forage development Potential for Adverse Impacts
Loss of income due to selective cutting of trees/shrubs producing
economic products (gums, resins)
Range structure and diversity altered
Change of community land use creating problems for former users
Traditional grazing routes blocked
Cultural or religious sites disturbed
Insufficient capacity to manage area closure, improved pastures or
planted fodder/forages or (agro)forests
Other (specify):

Mitigating measures

Rejected:

Date: …………….…

Date………….:……
474

1.
2.
3.
4.
Monitoring
Submission
475
Subproject Type: 03: Water Subprojects: Community and Micro-level: Construction
Subproject Name: ……………………………………………………………………………
DA Name: ……….……………………………..……...
sites
Yes No
03: Water Projects: Community & micro-level: Potential for Adverse Impacts
Construction None Low Med High Unknown
476
03: Water Projects: Community & micro-level: Potential for Adverse Impacts
Creation of stagnant pools of water at well head which will be a
breeding ground for vectors of water-borne diseases
Pollution of water due to human-animal shared water use
Land degradation around water points increased
Increased numbers of water users due to improvements
Increased social tensions/conflict over water allocation
Land Acquisition
Local incapacity/inexperience to manage facilities
Accidents to humans and livestock due to lack of protection
during construction or operations
Other (specify):
Approved Unconditional ly: Approved subject to Special Procedures and/or

Mitigating measures
Notify to REPA as Subproject of Environmental or Social Concern : Rejected:

Date:…………….…
Name………………..………….…. Position: …….………Signature:………………...

Date…………
477

1.
2.
3.
4.
Monitoring
Submission
478
Subproject Type: 04: Small-Scale Irrigation: Construction or Expansion
Subproject Name: ……………………………………………………………………………
DA Name: ……….……………………………..……...
sites
Yes No
04: SSI: Construction or Expansion Potential for Adverse Impacts
Competition/conflict of interest/ for land between cropping
and grazing created in agro-pastoral areas
479
04: SSI: Construction or Expansion Potential for Adverse Impacts

Dam footprint takes land
Water storage requirement and viability (soil permeability)
Vulnerability to water logging (poor drainage)
Vulnerability to soil and water salinization
Sensitive downstream habitats and water bodies
Loss of assets (land for canal construction)
Increased agricultural chemicals (pesticides, etc) loading
Increased social tensions over water allocation
Vulnerability of population to malaria increased
operations
Local incapacity/inexperience with irrigated agriculture
Other (specify):

Mitigating measures

Rejected:

Date: …………….…

Date………….:……
480

1.
2.
3.
4.
Monitoring
Submission
481
Subproject Type: 05: Small-Scale Irrigation: Rehabilitation

Subproject Name: ……………………………………………………………………………
DA Name: ……….……………………………..……...
sites
Yes No
Water storage requirement and viability (soil permeability)
482

Vulnerability to water logging (poor drainage)
Vulnerability to soil and water salinization
Sensitive downstream habitats and waterbodies
Pollution from agricultural chemicals (pesticides, etc)
Accidents to humans or livestock during construction or operations
Local incapacity/inexperience with irrigated agriculture
Other (specify):

Mitigating measures

Rejected:

Date: …………….…

Date………….:……
483

1.
2.
3.
4.
Monitoring
Submission
484
Subproject Type: 06: Community Road, Earth/Gravel and Footpaths: Construction
Subproject Name: ……………………………………………………………………………
DA Name: ……….……………………………..……...
sites
(ii). is expected to become a Large Dam during its operating life.
value, or natural habitat, or critical habitat, or legally protected area of recognised biodiversity
value
Yes No
06: Community Road Earth/Gravel & Footpaths: Potential for Adverse Impacts
Soil erosion or flooding (eg, due to highly erodible soils or
485
06: Community Road Earth/Gravel & Footpaths: Potential for Adverse Impacts
steep gradients)
Number of stream crossings or disturbances
Wet season excavation
Creation of quarry sites or borrow pits
Road or footpath will take land
Other (specify):

Mitigating measures

Rejected:

Date: …………….…

Date………….:……
486

1.
2.
3.
4.
Monitoring
Submission
487
Subproject Type: 07: Community Road, Earth/Gravel and Footpaths: Rehabilitation
Subproject Name: ……………………………………………………………………………
DA Name: ……….……………………………..……...
sites
Yes No
07: CommunityRoadEarth/Gravel & Footpaths R1, R2, Potential for Adverse Impacts
R3, R4, R5): Rehabilitation None Low Med High Unknown
Soil erosion or flooding (eg, due to highly erodible soils or
steep gradients)
Number of stream crossings or disturbances
488
07: CommunityRoadEarth/Gravel & Footpaths R1, R2, Potential for Adverse Impacts
R3, R4, R5): Rehabilitation None Low Med High Unknown
Wet season excavation
Road widening takes land
Creation of quarry sites or borrow pits
Other (specify):

Mitigating measures

Rejected:

Date: …………….…

Date………….:……
489

1.
2.
3.
4.
Monitoring
Submission
490
Subproject Type: 08: Construction of Social Infrastructure
Subproject Name: ……………………………………………………………………………
DA Name: ……….……………………………..……...
sites
Yes No
08: Social Infrastructure Construction Potential for Adverse Impacts
Impacts of new access (road) construction
Vegetation removal
491
08: Social Infrastructure Construction Potential for Adverse Impacts

Construction materials impact on adjacent forests/lands
Quarries and borrow pits created
Water supply development effects in available supply
Effect of sanitation development on existing disposal sites
Negative impacts of medical waste disposal
In-migration/settlement induced by facilities development
Damage to human/animal health due to construction dust,
noise.
Accidents to humans/animals during construction
Spread of communicable diseases due to overcrowding
Other (specify):

Mitigating measures

Rejected:

Date: …………….…

Date………….:……
492

1.
2.
3.
4.
Monitoring
Submission
493
Subproject Type: 09: Gender- and Nutrition-Sensitive PW Subprojects
Subproject Name: ……………………………………………………………………………
DA Name: ……….……………………………..……...
sites
Yes No
09: Nutrition based PW activities Potential for Adverse Impacts
None Low Med High Unknown
Vegetation removal
494
09: Nutrition based PW activities Potential for Adverse Impacts

None Low Med High Unknown
Construction materials impact on adjacent forests/lands
Quarries and borrow pits created
Effect of sanitation development on existing disposal sites
Effects of medical waste on existing disposal system
Spread of communicable diseases in child-care centres
In-migration/settlement induced by facilities development
operations
Other (specify):

Mitigating measures

Rejected:

Date: …………….…

Date………….:……
495

1.
2.
3.
4.
Monitoring
Submission
496
Annex 21: COVID-19 Measures
I. Government of Ethiopia Guidance
The following guidance was issued by the Federal government to Regions regarding the
operations of the PSNP during the COVID-19 pandemic:
Translation: Temporary Directives or Guidance on Sustaining the Implementation of the

Productive Safety Net Program: Transfer; Public Works and Livelihoods, Ministry of
Agriculture, March 2020
1. Importance / Purpose
This temporary guidance is prepared to help PSNP implementers have better understanding and
be informed about key activities needed to better coordinate program implementation in order to
mitigate the impacts of the current COVID19 pandemic on beneficiaries.
Thus, the primary purpose of this guidance is, to ensure that ongoing program activities (transfer,
PW and livelihood) are implemented without compromising beneficiaries’ safety as well as their
ability to prevent transmission of the Coronavirus
Cognizant of this reality, the Ministry of Agriculture (MoA) has issued this directives / guidance
to inform the program implementing regions and institutions as how the currently ongoing
program activities such as transfers, public works and livelihoods interventions are aligned with
the efforts that government is making to prevent and control Coronavirus transmission.
Based on the proposal from the State Minister for Natural Resources Management and Food
Security, the Food Security Coordination and Natural Resources Management Directorates, in
consultation with regions and also taking into account the EFY 2012 eight months program
performance and the current COVID19 crisis in the country, have issued this directive to
effectively guide and provide options as to how to meet the annual targets without compromising
country’s effort to prevent and control the effect of Coronavirus.
2. Temporary Options for Program Implementation:
2.1 Cash and Food Transfers:
It is noted that under the current Coronavirus invasion, calling and gathering program
beneficiaries to make transfers will entails high risk in terms of exposing beneficiaries to the
transmission of the virus. Hence the following options are found to be imperative for the
common goods of the community at large:
• To complete the planned cash and food transfers and avoid crowd, it advised to divide
beneficiaries into small manageable groups in separate places by different cashiers/food
distributors at distinct dates and hours. This would require mobilizing more cahiers/food
distributors.
• Explore mechanisms that would facilitate how both cash and food transfers may take
place at a time.
497
• In a situation where the crisis is reported, explore better mechanisms in collaboration and
discussion with regional and federal implementing agenises effect payment on time to
avoid conditions that would create unnecessary exposure of clients to food gap.
• Make sure that at every distribution point, hand washing facilities and sanitizers are
properly placed and utilized by all cashiers, food distributors and other MFI staff
• When clients are lined-up for payment, make sure that social distancing is fully adhered
to i.e. a minimum of one-meter distance is maintained between everyone in the queue
• Provide personal protective equipment such as hand gloves and face masks for staffs
when necessary
• All cash and food payments up to Megabit 2012 (March 2020) (i.e. for PDS 9 months and
for PWs 3 months) should be completed in short period of time.
• It is recommended to use every possible mechanism to speed up the transfer process and
accomplish on going payments.
2.2. Public Works
It is known that most of public work activities are implemented on communal land which include
natural resource conservation, water harvesting and small-scale irrigation sub projects. These
activities require public work participants to work in groups which could spread transmission of
coronavirus. The below options are suggested to overcome the risk of Coronavirus transmission:
• From the PWs activities included in the annual work plan; (a) identify those activities that
do not require large group / team size (b) find ways as to how the remaining activities can
be completed using labour from individual public work participant or reduce team
members to 2 - 5 participants and (c) develop a workplan/calendar that would help
complete the already started public works.
• In places / localities where the Coronavirus is reported or areas identified as high risk,
and if the above options are not feasible; in order to avoid food gap, undertake the
transfer on time and reach consensus with the clients such that they cover the public
works when the situation improves.
Use of Capital Budget:
Though level of capita budget utilization varies from region to region, on the average 40%
utilization is reported as of now. In addition, it is noted that most regions procured essential
materials for the public works and the remaining activities can be covered by use of labour with
close support from the frontline implementors or experts. In view of this, the following options
are presented:
• In a place where procurement of essential materials or capital goods are completed and
for the remaining activities or sub-projects apply the above options including use of
individual public work labour.
• In a situation where procurement performance of the essential martials or capital goods is
below 50% and actual construction work of the sub projects work is not started, though it
requires regional decision, the procured materials should be properly recorded and kept
such that they will be used for the next year implementation
498
Even if the program considers various community behavioural change communication activities
in relation to health, nutrition, and early child development and associated issues, it is noted that
such activities require bringing many people together and this will create favourable environment
for the transmission of the Coronavirus. In view of this, it is decided that any community
awareness creation should be temporarily stopped or discontinued and find ways as to how PSNP
clients utilize information / updates that the government provides through other alternative
information sharing mechanisms including mass media and mobile phones.
It should be noted that such information sharing mechanisms should be complemented by house
to house visits and awareness creation activities that health extension workers or community
volunteers are doing such that beneficiaries would participate to make use of it.
2.3 Livelihoods Interventions
It is noted that livelihoods activities are implemented either on individual or group basis. And it
is also observed that livelihoods implementation progress status varies from region to region.
However, the eight months performance report indicates on the average 58% accomplishment
not including performance of the livelihoods transfer. Thus, the next implementation should
primarily focus on key activities taking into consideration the below procedures or guideline.
• General community consultation and awareness creation, financial literacy, technical and
skill trainings which require gathering people at one place should be avoided. To do that
it is advised to (a) reduce development agents and livelihoods group size ration from 1:
15-20 to 1:5 (b) arrange livelihoods related trainings at the village or model farmers’
plots or use open areas that would help minimize congestions and people contacts
• Regarding implementation of livelihoods transfer:
o In a place where household socio-economic data is available use these data for
targeting but where such data is not available find way as how to collect household
level data to target the bottom 10% of the poorest households.
o Based on the household socio-economic data or household level information prepare
list of potential beneficiaries and develop wealth ranking where wealth ranked list
shared to kebele administration and communities / village levels and where small
number of community members would come together and facilitate the verification
and validation processes in very short period.
• Considering the previous best practices and learnings, it is better to put in place different
mechanisms that will help enhance implementation of the actual livelihoods cash
transfers. In view of this (i) considering the size or number of eligible livelihoods transfer
clients per kebele better to divide them into groups and (ii) set clear payment schedule
and effect payment in 2-4 days without creating large gathering
• In a situation where livelihoods transfer clients have passbook or account at RuSACCOs/
MFI inform these financial service providers to show up and ensure that the money is
transferred to the respective clients’ accounts such that they go back to their home with
out delay.
• While the actual buying of productive assets takes place, it is necessary to support the
livelihoods transfer clients in dividing or grouping them and identifying different markets
499
/ options in order to reduce possibility of market saturation or prices rise due to large
gathering / demand.
2.4. Summary
• This proposal is designed and presented to address the current situation (COVID 19
crisis) and will be revised as things change.
• Please note that if some regions have better options that stated in this guidance, the MoA
is ready to synthesize and widely share the experience with other regions.
• As much as possible complete ongoing payments in short period of time such that
program beneficiaries will not be exposed to food gap፤
• If NGOs woredas have better payment strategies / options, local government officials
may discuss with relevant government institutions and undertake the program
implementation in much more focused and coordinated manner like that of government
operations
• We encourage and advise all food security task forces discharge their responsibilities
with strong commitment
• In addition, we strongly advise all implementing institutions play their role in an
integrated manner as per the program implementation manual
II. The Following text has been extracted and adapted from general guidance provided
from the World Bank for construction sites:
Addressing COVID-19 at a subproject site goes beyond Occupational Health and Safety, and is a
broader project issue which will require the involvement of different members of a project
management team. In many cases, the most effective approach will be to establish procedures to
address the issues, and then to ensure that these procedures are implemented systematically. It is
suggested that [perhaps at woreda level] a designated team should be established to address
COVID-19 issues, including PW, medical and OHS professionals. Procedures should be clear
and straightforward, improved as necessary, and supervised and monitored by the COVID-19
focal point(s). Procedures should be documented, distributed to all concerned contractors, and
discussed at regular meetings to facilitate adaptive management. The issues set out below include
a number that represent expected good workplace management but are especially pertinent in
preparing PSNP5 response to COVID-19.
(a) ASSESSING WORKFORCE CHARACTERISTICS
• The DA, where possible, should also identify workers that may be more at risk from
COVID-19, those with underlying health issues or who may be otherwise at risk.
• Workers from local communities, who return home daily should be subject to health
checks at entry to the site and at some point, circumstances may make it necessary to
require them to either use accommodation on site or not to come to work.
500
(b) ENTRY/EXIT TO THE WORK SITE AND CHECKS ON COMMENCEMENT OF

WORK
Entry/exit to the work site should be controlled and documented for both workers and other
parties, including support staff and suppliers. Possible measures may include:
• Establishing a system for controlling entry/exit to the site, securing the boundaries of the
site, and establishing designating entry/exit points (if they do not already exist).
Entry/exit to the site should be documented.
• Training security staff on the (enhanced) system that has been put in place for securing
the site and controlling entry and exit, the behaviors required of them in enforcing such
system and any COVID -19 specific considerations.
• Training staff who will be monitoring entry to the site, providing them with the resources
they need to document entry of workers, conducting temperature checks and recording
details of any worker that is denied entry.
• Confirming that workers are fit for work before they enter the site or start work. While
procedures should already be in place for this, special attention should be paid to workers
with underlying health issues or who may be otherwise at risk. Consideration should be
given to demobilization of staff with underlying health issues.
• Checking and recording temperatures of workers and other people entering the site or
requiring self-reporting prior to or on entering the site.
• Providing daily briefings to workers prior to commencing work, focusing on COVID-19
specific considerations including cough etiquette, hand hygiene and distancing measures,
using demonstrations and participatory methods.
• During the daily briefings, reminding workers to self-monitor for possible symptoms
(fever, cough) and to report to their supervisor or the COVID-19 focal point if they have
symptoms or are feeling unwell.
• Preventing a worker from an affected area or who has been in contact with an infected
person from returning to the site for 14 days or (if that is not possible) isolating such
worker for 14 days.
• Preventing a sick worker from entering the site, referring them to local health facilities if
necessary or requiring them to isolate at home for 14 days.
(c) GENERAL HYGIENE
Requirements on general hygiene should be communicated and monitored, to include:
• Training workers and staff on site on the signs and symptoms of COVID-19, how it is
spread, how to protect themselves (including regular handwashing and social distancing)
and what to do if they or other people have symptoms (for further information see WHO
COVID-19 advice for the public).
• Placing posters and signs around the site, with images and text in local languages.
• Ensuring handwashing facilities supplied with soap, disposable paper towels and closed
waste bins exist at key places throughout site, including at entrances/exits to work areas;
where there is a toilet, canteen or food distribution, or provision of drinking water; in
worker accommodation; at waste stations; at stores; and in common spaces. Where
501
handwashing facilities do not exist or are not adequate, arrangements should be made to
set them up. Alcohol based sanitizer (if available, 60-95% alcohol) can also be used.
• Review worker accommodations, and assess them in light of the requirements set out in
IFC/EBRD guidance on Workers’ Accommodation: processes and standards, which
provides valuable guidance as to good practice for accommodation.
• Setting aside part of worker accommodation for precautionary self-quarantine as well as
more formal isolation of staff who may be infected (see paragraph (f)).
(d) CLEANING AND WASTE DISPOSAL
Conduct regular and thorough cleaning of all site facilities, including offices, accommodation,
canteens, common spaces. Review cleaning protocols for key construction equipment
(particularly if it is being operated by different workers). This should include:
• Providing cleaning staff with adequate cleaning equipment, materials and disinfectant.
• Review general cleaning systems, training cleaning staff on appropriate cleaning
procedures and appropriate frequency in high use or high-risk areas.
• Where it is anticipated that cleaners will be required to clean areas that have been or are
suspected to have been contaminated with COVID-19, providing them with appropriate
PPE: gowns or aprons, gloves, eye protection (masks, goggles or face screens) and boots
or closed work shoes. If appropriate PPE is not available, cleaners should be provided
with best available alternatives.
• Training cleaners in proper hygiene (including handwashing) prior to, during and after
conducting cleaning activities; how to safely use PPE (where required); in waste control
(including for used PPE and cleaning materials).
• Any medical waste produced during the care of ill workers should be collected safely in
designated containers or bags and treated and disposed of following relevant
requirements (e.g., national, WHO). If open burning and incineration of medical wastes is
necessary, this should be for as limited a duration as possible. Waste should be reduced
and segregated, so that only the smallest amount of waste is incinerated (for further
information see WHO interim guidance on water, sanitation and waste management for
COVID-19).
(e) ADJUSTING WORK PRACTICES
Consider changes to work processes and timings to reduce or minimize contact between workers,
recognizing that this is likely to impact the project schedule. Such measures could include:
• Decreasing the size of work teams.
• Limiting the number of workers on site at any one time.
• Changing to a 24-hour work rotation.
• Adapting or redesigning work processes for specific work activities and tasks to enable
social distancing, and training workers on these processes.
• Continuing with the usual safety trainings, adding COVID-19 specific considerations.
Training should include proper use of normal PPE. While as of the date of this note,
general advice is that construction workers do not require COVID-19 specific PPE, this
502
should be kept under review (for further information see WHO interim guidance on
rational use of personal protective equipment (PPE) for COVID-19).
• Reviewing work methods to reduce use of construction PPE, in case supplies become
scarce or the PPE is needed for medical workers or cleaners. This could include, e.g.
trying to reduce the need for dust masks by checking that water sprinkling systems are in
good working order and are maintained or reducing the speed limit for haul trucks.
• Arranging (where possible) for work breaks to be taken in outdoor areas within the site.
• Consider changing canteen layouts and phasing meal times to allow for social distancing
and phasing access to and/or temporarily restricting access to leisure facilities that may
exist on site, including gyms.
• At some point, it may be necessary to review the overall project schedule, to assess the
extent to which it needs to be adjusted (or work stopped completely) to reflect prudent
work practices, potential exposure of both workers and the community and availability of
supplies, taking into account Government advice and instructions.
(f) PROJECT MEDICAL SERVICES
Consider whether existing project medical services are adequate, taking into account existing
infrastructure (size of clinic/medical post, number of beds, isolation facilities), medical staff,
equipment and supplies, procedures and training. Where these are not adequate, consider
upgrading services where possible, including:
• Expanding medical infrastructure and preparing areas where patients can be isolated.
Guidance on setting up isolation facilities is set out in WHO interim guidance on
considerations for quarantine of individuals in the context of containment for COVID-
19). Isolation facilities should be located away from worker accommodation and ongoing
work activities. Where possible, workers should be provided with a single well-ventilated
room (open windows and door). Where this is not possible, isolation facilities should
allow at least 1 meter between workers in the same room, separating workers with
curtains, if possible. Sick workers should limit their movements, avoiding common areas
and facilities and not be allowed visitors until they have been clear of symptoms for 14
days. If they need to use common areas and facilities (e.g. kitchens or canteens), they
should only do so when unaffected workers are not present and the area/facilities should
be cleaned prior to and after such use.
• Training medical staff, which should include current WHO advice on COVID-19 and
recommendations on the specifics of COVID-19. Where COVID-19 infection is
suspected, medical providers on site should follow WHO interim guidance on infection
prevention and control during health care when novel coronavirus (nCoV) infection is
suspected.
• Training medical staff in testing, if testing is available.
• Assessing the current stock of equipment, supplies and medicines on site, and obtaining
additional stock, where required and possible. This could include medical PPE, such as
gowns, aprons, medical masks, gloves, and eye protection. Refer to WHO guidance as to
what is advised (for further information see WHO interim guidance on rational use of
personal protective equipment (PPE) for COVID-19).
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• If PPE items are unavailable due to world-wide shortages, medical staff on the project
should agree on alternatives and try to procure them. Alternatives that may commonly be
found on constructions sites include dust masks, construction gloves and eye goggles.
While these items are not recommended, they should be used as a last resort if no medical
PPE is available.
• Ventilators will not normally be available on work sites, and in any event, intubation
should only be conducted by experienced medical staff. If a worker is extremely ill and
unable to breathe properly on his or her own, they should be referred immediately to the
local hospital (see (g) below).
• Review existing methods for dealing with medical waste, including systems for storage
and disposal (for further information see WHO interim guidance on water, sanitation and
waste management for COVID-19, and WHO guidance on safe management of wastes
from health-care activities).
(g) LOCAL MEDICAL AND OTHER SERVICES
Given the limited scope of project medical services, the project may need to refer sick workers to
local medical services. Preparation for this includes:
• Obtaining information as to the resources and capacity of local medical services (e.g.
number of beds, availability of trained staff and essential supplies).
• Conducting preliminary discussions with specific medical facilities, to agree what should
be done in the event of ill workers needing to be referred.
• Considering ways in which the project may be able to support local medical services in
preparing for members of the community becoming ill, recognizing that the elderly or
those with pre-existing medical conditions require additional support to access
appropriate treatment if they become ill.
• Clarifying the way in which an ill worker will be transported to the medical facility, and
checking availability of such transportation.
• Establishing an agreed protocol for communications with local emergency/medical
services.
• Agreeing with the local medical services/specific medical facilities the scope of services
to be provided, the procedure for in-take of patients and (where relevant) any costs or
payments that may be involved.
• A procedure should also be prepared so that project management knows what to do in the
unfortunate event that a worker ill with COVID-19 dies. While normal project procedures
will continue to apply, COVID-19 may raise other issues because of the infectious nature
of the disease. The project should liaise with the relevant local authorities to coordinate
what should be done, including any reporting or other requirements under national law.
(h) INSTANCES OR SPREAD OF THE VIRUS
WHO provides detailed advice on what should be done to treat a person who becomes sick or
displays symptoms that could be associated with the COVID-19 virus (for further information
see WHO interim guidance on infection prevention and control during health care when novel
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coronavirus (nCoV) infection is suspected). The project should set out risk-based procedures to
be followed, with differentiated approaches based on case severity (mild, moderate, severe,
critical) and risk factors (such as age, hypertension, diabetes) (for further information see WHO
interim guidance on operational considerations for case management of COVID-19 in health
facility and community). These may include the following:
• If a worker has symptoms of COVID-19 (e.g. fever, dry cough, fatigue) the worker
should be removed immediately from work activities and isolated on site.
• If testing is available on site, the worker should be tested on site. If a test is not available
at site, the worker should be transported to the local health facilities to be tested (if
testing is available).
• If the test is positive for COVID-19 or no testing is available, the worker should continue
to be isolated. This will either be at the work site or at home. If at home, the worker
should be transported to their home in transportation provided by the project.
• Extensive cleaning procedures with high-alcohol content disinfectant should be
undertaken in the area where the worker was present, prior to any further work being
undertaken in that area. Tools used by the worker should be cleaned using disinfectant
and PPE disposed of.
• Co-workers (i.e. workers with whom the sick worker was in close contact) should be
required to stop work, and be required to quarantine themselves for 14 days, even if they
have no symptoms.
• Family and other close contacts of the worker should be required to quarantine
themselves for 14 days, even if they have no symptoms.
• If a case of COVID-19 is confirmed in a worker on the site, visitors should be restricted
from entering the site and worker groups should be isolated from each other as much as
possible.
• If workers live at home and has a family member who has a confirmed or suspected case
of COVID-19, the worker should quarantine themselves and not be allowed on the
project site for 14 days, even if they have no symptoms.
• Workers should continue to be paid throughout periods of illness, isolation or quarantine,
or if they are required to stop work, in accordance with national law.
• Medical care (whether on site or in a local hospital or clinic) required by a worker should
be paid for by the employer.
(i) CONTINUITY OF SUPPLIES AND PROJECT ACTIVITIES
Where COVID-19 occurs, either in the project site or the community, access to the project site
may be restricted, and movement of supplies may be affected.
• Identify back-up individuals, in case key people within the project management team
(PIU, Supervising Engineer, Contractor, sub-contractors) become ill, and communicate
who these are so that people are aware of the arrangements that have been put in place.
• Document procedures, so that people know what they are, and are not reliant on one
person’s knowledge.
• Understand the supply chain for necessary supplies of energy, water, food, medical
supplies and cleaning equipment, consider how it could be impacted, and what
alternatives are available. Early pro-active review of international, regional and national
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supply chains, especially for those supplies that are critical for the project, is important
(e.g. fuel, food, medical, cleaning and other essential supplies). Planning for a 1-2 month
interruption of critical goods may be appropriate for projects in more remote areas.
• Place orders for/procure critical supplies. If not available, consider alternatives (where
feasible).
• Consider existing security arrangements, and whether these will be adequate in the event
of interruption to normal project operations.
• Consider at what point it may become necessary for the project to significantly reduce
activities or to stop work completely, and what should be done to prepare for this, and to
re-start work when it becomes possible or feasible.
(j) TRAINING AND COMMUNICATION WITH WORKERS
Workers need to be provided with regular opportunities to understand their situation, and how
they can best protect themselves, their families and the community. They should be made aware
of the procedures that have been put in place by the project, and their own responsibilities in
implementing them.
• It is important to be aware that in communities close to the site and amongst workers
without access to project management, social media is likely to be a major source of
information. This raises the importance of regular information and engagement with
workers (e.g. through training, town halls, tool boxes) that emphasizes what management
is doing to deal with the risks of COVID-19. Allaying fear is an important aspect of work
force peace of mind and business continuity. Workers should be given an opportunity to
ask questions, express their concerns, and make suggestions.
• Training of workers should be conducted regularly, as discussed in the sections above,
providing workers with a clear understanding of how they are expected to behave and
carry out their work duties.
• Training should address issues of discrimination or prejudice if a worker becomes ill and
provide an understanding of the trajectory of the virus, where workers return to work.
• Training should cover all issues that would normally be required on the work site,
including use of safety procedures, use of construction PPE, occupational health and
safety issues, and code of conduct, taking into account that work practices may have been
adjusted.
• Communications should be clear, based on fact and designed to be easily understood by
workers, for example by displaying posters on handwashing and social distancing, and
what to do if a worker displays symptoms.
(k) COMMUNICATION AND CONTACT WITH THE COMMUNITY
Relations with the community should be carefully managed, with a focus on measures that are
being implemented to safeguard both workers and the community. The community may be
concerned about the presence of non-local workers, or the risks posed to the community by local
workers presence on the project site. The project should set out risk-based procedures to be
followed , which may reflect WHO guidance (for further information see WHO Risk
Communication and Community Engagement (RCCE) Action Plan Guidance COVID-19
Preparedness and Response). The following good practice should be considered:
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• Communications should be clear, regular, based on fact and designed to be easily

understood by community members.
• Communications should utilize available means. In most cases, face-to-face meetings
with the community or community representatives will not be possible. Other forms of
communication should be used; posters, pamphlets, radio, text message, electronic
meetings. The means used should take into account the ability of different members of
the community to access them, to make sure that communication reaches these groups.
• The community should be made aware of procedures put in place at site to address issues
related to COVID-19. This should include all measures being implemented to limit or
prohibit contact between workers and the community. These need to be communicated
clearly, as some measures will have financial implications for the community (e.g. if
workers are paying for lodging or using local facilities). The community should be made
aware of the procedure for entry/exit to the site, the training being given to workers and
the procedure that will be followed by the project if a worker becomes sick.
• If project representatives, contractors or workers are interacting with the community, they
should practice social distancing and follow other COVID-19 guidance issued by relevant
authorities, both national and international (e.g. WHO).
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Annex 22: E-Waste Management Plan
E-Waste Management Plan
1. Introduction
E-waste is an informal name for electrical and electronic products nearing the end of their useful
life. For the PSNP, such waste would typically include modems, computers, monitors, and other
electronic devices utilized by the governmental offices and any third-party implementers (TPI)
involved in the implementation of the project.
Included in the potential environmental and social risks in this ESMF are the generation and
management of E-waste which requires its own E-waste Management Plan. Therefore this E-
waste Management Plan shall serve as a guidance document for the concerned offices and
activities to provide a safe, environmentally sound, and unified response for E-waste
management. The goal of the PSNP E-waste Management Plan is to protect human health and
the environment.
This plan involves the tracking of E-waste resulting or associated with the activities of the PSNP.
The management of the PSNP will ensure that where waste generation cannot be reused,
recycled, or recovered, e-waste shall be treated, destroyed, or disposed of in an environmentally
sound and safe manner that includes the appropriate control of emissions and residues resulting
from the handling and processing of the waste material. All Project Workers involved in any
waste management process must read and have a thorough knowledge of the procedures
contained within this guidance document.
2. Ethiopian regulation with regards to e-Waste Management
In the Federal Republic of Ethiopia’s Regulation number 425/2018 which was issued by the
council of ministers for Electrical and Electronic Waste Management and disposal, its detail
implementation procedure such as about the hierarchy of waste management, extended
responsibilities of producers and consumers, collection of wastes, dismantling, recycling,
labeling, treatment and management of wastes before recycling, its transportation and disposal.
And about occupational safety and health and work environment of workers working on
management of electrical and electronic waste is clearly stated.
Just to mention a few points, it is clearly stated that to minimize the environmental impact of
electrical and electronic waste, the following waste management hierarchy shall be applied;
• Reduction of waste generation

• Refurbishing and reuse of waste
• Recycling of waste and
• Disposal of waste
In order to reduce sources of electrical and electronic waste generation and to strengthen the
reuse, refurbishing and recycling of electrical and electronic waste any electrical and electronic
equipment producer, wholesaler, retailer or importer shall have extended responsibility. It is also
stated that the consumer just like that of PSNP5 implementing offices shall have responsibility to
ensure that electrical and electronic waste are handed over to collection centers or to persons
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entitled for collection.
And any violation of the provisions of this regulation shall entail criminal and civil liability in
accordance with the appropriate provisions of the pollution control proclamation and other laws.
3. World Bank ESS3: Resource Efficiency and Pollution Prevention and Management
ESS3 contains provisions on the management of hazardous and non-hazardous wastes under
section B. It sets the borrowers’ requirements under World Bank funded projects to minimize the
generation of waste, reuse, recycling, and recovery of waste in a safe manner. If the
aforementioned is not possible at all or in part, ESS3 requires borrowers to dispose of the waste
in an appropriate manner that include control of emissions and residues resulting from the
handling and disposal process of the waste material. ESS3 requires that if the generated waste is
considered hazardous, the borrower shall comply with the existing requirements for management
in line with national requirements, international conventions and (Good International Industry
Practices (GIIP).
4. World Bank Environmental, Health, and Safety (EHS) Guidelines
The EHS guidelines define hazardous waste as one sharing the properties of hazardous material
(e.g., ignitability, corrosively, reactivity, etc.) among other physical, chemical, or biological
characteristics that may pose potential health risks. The EHS guidelines define the practices
required from facilities that generate and store waste which include avoidance and minimization,
and where waste generation cannot be avoided but has been minimized, recovering and reusing
waste, and where this cannot be implemented, reusing, treating, destroying and disposing of it in
an environmentally sound manner. The EHS guidelines contain specific measures for the
management of hazardous waste that include compliance with local and international regulations,
ensuring contracting reputable and legitimate enterprises for the management of hazardous
waste. In addition to general waste management measures on waste prevention, reuse, recycling,
treatment, disposal, storage, transportation, and monitoring.
5. PSNP-Related E-Waste Sources
The activities under the PSNPs components could include the generation of e-waste consisting of
computers, routers, and cabling, among others. The following table includes the types and
estimated amounts of e-waste that could result from the implementation of the project activities,
as well as the new electric & electronic equipment that is likely to be procured through the
project, which at their End-of-Life Cycle could become e-waste.
Types of Electric/Electronic Estimated Number of Items in Estimated Additional Number of

Equipment Current Use Items expected to be Procured by
the Project
Laptops 1462 It is assumed that additional

equipment will not be purchased for
the government offices and the
requirement of TPI is yet not
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known
PCs 5,437 ‘’
Keyboards 3,406 ‘’
Mouses 3, 406 ‘’
Monitors 3,406 ‘’
Printers 2031 ‘’
Projectors 34 ‘’
Cable (meters) 0 450
6. Environmental and Social Impacts
The following are the potential environmental risks that could arise from the generation of e-
waste:
- The release of pollutants and heavy metals to the environment due to unsafe and improper
disposal of generated e-waste, posing health and safety risks to the public.
- Contamination and acidification of agricultural soil, affecting soil fertility and agricultural yield.
- Water, air, and soil pollution due to the release of environmental pollutants such as Persistent,
Bio-accumulative Pollutants (PBT), and Persistent Organic Pollutants (POPs), furans, lead,
mercury, polybrominated flame retardants, lithium, dioxins, and Polycyclic Aromatic
Hydrocarbons (PAHs) among others.
- Improper recycling of e-waste as such practices are done for scavenging resalable components
and parts, therefore causing environmental pollution due to the burning of cables, random
disposal of wastewater from the recycling processes, and random dumping of irretrievable e-
waste.
In addition, improper collection, management, and disposal of e-waste could pose the following
health and social risks:
- Nuisance to communities due to aesthetical and visual pollution

- Contamination of drinking water, underground water resources with heavy metals, and other
POPs.
- Various health impacts due to heavy metals in water, air, and soil due to the carcinogenic nature
of these pollutants and their bioaccumulation in the food chain and water resources.
- Child labor and Gender Based Violence Impacts associated with employing children and women
in collection and primitive recycling of e-waste.
7. Recommended E-Waste Management Strategy
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Auctioning: Announce an auction for the sale of e-waste to companies and/or institutes that are
licensed to manage this type of waste, includes reuse, recycling, recovery, or re-sale to other
internal or external parties.
Collection: The selected company or institute shall be responsible for the collection of e-waste
from the various offices at an agreed time each year, in accordance with the bidding documents.
Transportation: The awarded company or institute shall provide safe and adequate vehicles and
machinery to transport e-waste in accordance with this Waste Management Plan. The transport
destination shall be transfer stations, treatment facilities, or final disposal locations.
Temporary Storage: E-waste can be stored temporarily, until it is collected. This temporary
storage is to take place in specified and dedicated locations which are authorized by the
concerned PSNP offices, and which take into regard the occupational health and safety
considerations. Companies or institutes that are awarded the auction are required to fill the
quantity forms that include the type of collected waste from the temporary storage locations.
Treatment and Processing: Treatment or processing of e-waste shall take place at licensed and
equipped facilities. Awarded companies or institutes shall specify in their proposals the treatment
method that they are to apply. The implemented processes and management methodologies have
to be documented and records are to be stored.
Disposal: Disposal methods must be specified in the proposals. The companies or institutes
applying for the auction shall commit to the safe disposal of e-waste in accordance with this
Waste Management Plan.
Awareness: The awarded company or institute is responsible for raising awareness with regard
to the safe disposal and management of e-waste.
8. Good Operational Practices for E-Waste Management
The following are the general requirements for E-waste management:
8.1 E-waste Minimization and Prevention
The following set of measures aims to prevent and/or minimize the quantities of e-waste
generated and the hazards associated with e-waste:
• Procure electronic devices from credible manufactures to avoid purchasing second hand,
refurbished, or obsolete devices with a short shelf life or already categorized as e-Waste.
• Institute good housekeeping and operating practices, including inventory control to reduce the
amount of e-waste resulting from materials that are out-of-date, off specification, contaminated,
damaged, or excess to operational needs;
• Minimize hazardous e-waste generation by implementing stringent waste segregation to

prevent the commingling of non-hazardous and hazardous e-waste to be managed.
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• Institute procurement measures that recognize opportunities to return usable materials.
8.2 E-waste Segregation and Quantification
The contractors and suppliers associated with the E-Waste Management shall be assigned the
responsibility of sound e-waste segregation, quantification, and labelling, and this will be clearly
stated in the bidding documents.
Characterization, segregation, sorting, labelling, quantification, temporary storage and transport

to final storage location, shall be conducted according to composition, source, type of e-waste
produced, pollutants content in accordance GIIP practices. For a list of GIIP Practices applicable
to this e-waste management plan, please refer to Annex IV.
E-waste segregation must take into account the hazardous nature of the waste or its content
always be segregated from other e-waste that does not contain environmental, carcinogenic, or
other pollutants. The segregation shall be done based on content, and correct labelling and
quantification must be applied. Annex II presents the e-waste management and monitoring
matrix expected to be implemented in relation to the project.
8.3 E-waste Recycling, Reuse, and Recovery
Operational assessment of end-of-life equipment shall be conducted by running appropriate tests

to assess the functionality when replacing or retrofitting project related equipment. A sample of a
functionality test that shall be conducted is available in Annex I.
In addition to the implementation of e-waste preventive strategies, the total amount of e-waste
may be significantly reduced through reusing utilizable components within the PSNP or through
outsourcing to certified and licensed firms that shall be contracted to receive project related e-
waste.
8.4 E-waste Storage
Personnel working on the PSNP and involved contractors shall ensure that the storage of project
related e-waste is being conducted in accordance the World Bank EHS Guidelines containing
measures on Hazardous Waste, available in Annex IV. E-waste shall be stored in a way that
prevents and controls accidental release to natural resources (air, soil, and water). The following
measures are to be followed in the storage of e-waste:
- Temporary storage containers shall be available on site until transported into their final storage
location.
- E-waste shall be stored in closed containers, each depending on type and composition away from
direct sunlight, rain, wind, electrical fixtures, water systems and in an area where ventilation
system is not circulated to other rooms or facilities.
- E-waste shall be stored in an appropriate manner preventing the mixing or contact between
different sorts of e-waste and in a separate location from solid waste.
- The storage arrangement shall allow for inspection between containers to monitor leaks or spills.
Examples could include insufficient space between incompatible e-waste.
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- The awarded company or institute employees involved in the e-waste management shall provide
their personnel with training and induction on the proper handling of e-waste.
- Employees involved with e-waste management shall be provided with the appropriate Personal
Protective Equipment (PPEs), vaccinations in accordance with the Health Law and the bylaw on
hazardous waste, and a medical record shall be kept.
- Containers with different types of e-waste shall be correctly labelled, with a datasheet attached
and specified for each type including but not limited to number of containers, number of units
within each container, type, weight, hazardous material content (Lead, mercury, etc…), date of
collection, e-waste management personnel name, receiver, and final disposal method.
- The awarded company or institute will conduct periodic inspection of e-waste storage area and
document the findings.
-
8.5 E-Waste Transportation
All e-waste containers designated for off-site transport shall be secured in the designated storage
location and shall be labelled with the contents, associated hazards, receiver, destination, and
other information. E-waste shall then be properly loaded onto the transport vehicles in
accordance with OHS guidelines on loading and unloading, specified in the World Bank EHS
Guidelines.
The e-waste containers shall be accompanied by an e-waste transfer note, in the form of a
transport manifest that describes the load and its associated hazards, in suitable and well-suited
vehicles. The handler and transporter shall be registered and certified.
8.6 E-waste Treatment and Disposal
In cases when e-waste is still generated after the implementation of feasible e-waste prevention,
reduction, reuse, recovery and recycling measures, e-waste materials should be treated and
disposed of, and all measures should be taken to avoid potential impacts to human health and the
environment. Selected management approaches include timely removal, treatment and/or
disposal at permitted/ approved facilities specially designed to receive the e-waste.
9. The budget required for implementation of this procedure.
For the remaining project period e-waste management will be part of project Environmental and
Social Management Frame work training so no additional cost will be incurred. The cost of
arranging auctions in the event of e-waste disposal would be born by concerned offices regular
government administrative budget.
10. Monitoring
When significant quantities of hazardous e- wastes are generated and stored on site, monitoring
activities shall include:
• Weekly visual inspection of all e-waste storage collection and storage areas for evidence of
accidental releases and to verify that e-waste is properly labelled and stored.
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• Weekly visual inspection of labelling, quantities, and containers conditions.
• Weekly inspection of loss or identification of cracks, corrosion, or damage to protective

equipment, or floors.
• Verification of locks, and other safety devices for easy operation (lubricating if required and
employing the practice of keeping locks and safety equipment in standby position when the area
is not occupied).
• Documenting any changes to the storage facility, and any significant changes in the quantity of
materials in storage.
• Regular audits of e-waste segregation and collection practices.
• Tracking of e-waste generation trends by type and amount, preferably by facility departments.
• Incident reporting of e-waste-related accidents.
Additionally, record-keeping of collected e-waste needs to be monitored. E-waste collected,

stored, or transported shall include:
• Name and identification number of the material(s) composing the hazardous e-waste or
Physical state.
• Quantity (i.e., kilograms, number of containers)
• Content (i.e., devices)
• Schedule (date of collection, date of transportation, etc.)
• Hazardous and pollutant contents (i.e., existence of mercury, lead, etc.)
• E-waste transport tracking documentation shall include quantity and type, date dispatched, date
transported, and date received, record of the originator, the receiver, and the transporter.
• Method and date of storing, repacking, treating, or disposing at the facility (with cross-
reference to the manifest document or e-waste transfer notes) and including the quantities and
location of any hazardous e-waste within the facility.
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Annex 23: Food Transportation, Storage, and Disposals
Annex 23: Food Transportation, Storage, and Disposals
The Second Additional Financing (AF2) support is directed to the procurement and transfer of
food or cash for both core and shock responsive beneficiaries. To meet the requirement for the
AF2, the Waste Management Plan (WMP) is updated in relation to food transportation, storage
and disposals in the context of High-Risk Ongoing Conflict Areas (HROCA). The WMP that
was prepared for the parent project will continue to be used as is for the PSNP5. This update will
provide guidance for the Third-Party Implementer (TPI) to develop a plan for the waste
management.
• The Environmental pollutions released to atmosphere or air from fuel consumption related to
transportation of food should be regulated to acceptable level (national legislation). This could be
done through adopting government standards during procuring of trucks for transportation and
following safety standards of trucks and accessories, quality of the fuel used and the like.
• During transportation of food or grain using standard packaging and containing materials is
highly important to prevent losses of food or grain.
• While transporting food or grain through heavy trucks some invasive weeds, pests and diseases
may disperse from one location to the other, hence known mitigation measures such as cleaning
and washing of tiers should be done nearest to destination warehouses.
• Managing the safety of warehouses and storage facilities-the warehouses used for food storage
should have the required quality standards and facilities in order to minimize the damage and
wastage of food grain and associated impact to the environment and community.
• Appropriate and regular inspections should be done for the warehouses to prevent and control
environmental and health impacts of food storage (chemical contamination during fumigation,
pests and injuries).
• Disposal of food wastes should be conducted in such a way as to not affect the environment and
surrounding community. The impacts of food disposal may cause soil compaction, pollution
from burning, soil drainage and infiltration and affect animal and human health.
• If the waste management is conducted by third parties, contractors that are reputable and
legitimate enterprises licensed by the relevant government regulatory agencies will be used and,
with respect to transportation and disposal, obtain chain of custody documentation to the final
destination.
• The government will ascertain whether licensed disposal sites are being operated to acceptable
standards. Where licensed sites are not being operated to acceptable standards, the government
will minimize waste sent to such sites and consider alternative disposal options, including the
possibility of developing its own recovery or disposal facilities at the project site or elsewhere.
• The servicing and washing of vehicles shall be carried out so as to avoid pollution of the
environment. Disposal of oil during vehicle oil changes will follow the procedure for the
disposal of hazardous medical waste.
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Annex 24: Security Risk Assessment and Management Plan

Second Additional Financing for Strengthening Ethiopia’s Adaptive

Safety Net (SEASN AF2) for PSNP5
Security Risk Assessment and Management Plan
December, 2022
Addis Ababa, Ethiopia
516
ABBREVATION AND ACRONYMS
AF2 Second Additional Financing

CSRA Contextual Security Risk Approach
CSRs Contextual Security Risks
E&S Environmental and Social
ESAC II Enhancing Social Assessment and Consultation Phase II for PSNP5
ESCP Environmental and Social Commitment Plan
ESF Environmental and Social Framework
ESSs Environmental and Social Standards
FSCO FSCO – Food Security Coordination Office
GBV Gender-Based Violence
GIIP Good International Industry Practice
GoE Government of Ethiopia
GPN Good Practice Note
GRM Grievance Redress Mechanism
MoA Ministry of Agriculture
MoU Memorandum of Understanding
PAD Project Appraisal Document
PDD Project Design Document
PIM Project Implementation Manual
FSCO Project Implementing Unit
PDS Permanent Direct Support
PSNP5 Productive Safety Net Program Phase V
PSO Public Security Organization
PSPO Private Security Provider Organization
PW Public Work
RFSCs Regional Food Security Coordinators
SA Social Assessment
SEASN Strengthening Ethiopia Adaptive Safety Net
SMP Security Management Plan
SNNPR South Nation, Nationalities and Peoples’ Region
SRA Security Risk Assessment
SRAMP Security Risk Assessment and Management Plan
SROM Shock Responsive Operational Manual
SSS Social Safeguard Specialist
SST Bank Social Safeguard Team
SWER South West Ethiopia’ Region
TLA Traffic Light Assessment
WB World Bank
WPSFP Woreda Project Security Focal Person
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Table of Contents
ABBREVATION AND ACRONYMS 517
LIST OF TABLES 522
LIST OF FIGURES 522
1. INTRODUCITON 524
1.1 .................................................................................................................. Country Context 524
1.2 .............................................................................................................. Project Description 525
1.2.1 Project Development Objective 525
1.2.2 Project Components 525
1.2.3 Project Target Areas 526
1.3 .....................................................................................................................Scope of Work 527
1.4 ............................................................... Methodology for the Preparation of the SRAMP 527
1.4.1 Desk Review 527
1.4.2 Phone Interview 528
1.4.3 Face-to-Face Interview with Federal Level Stakeholders 529
1.4.4 Sampling Procedures and Selected PSNP Woredas 529
2. OBJECTIVES AND APPROACH OF THE SMP IN THE PROJECT 530
2.1 ......................................................................................... Objectives of the Project’s SMP 530
2.2 ............................................................................ Project Security Management Approach 530
2.3 ................................................................................. Role and Scope of the Project’s SMP 531
2.4 ........................................... Key Components of the Project’s Security Management Plan 533
3. REVIEW OF POLICIES, LEGAL FRAMEWORKS AND
INTERNATIONAL STANDARDS 534
3.1 ................................................................................................. National Legal Framework 534
3.1.1 The Constitution of FDRE 534
3.1.2 National Security Policy and Strategy 535
3.1.3 National social protection strategy of Ethiopia 536
3.1.4 Labour proclamation 536
3.2 ......................................... Applicable WB’s Environmental and Social Standards (ESSs) 537
3.2.1 Assessment and Management of Environmental and Social Risks (ESS1)
537
3.2.2 Labour and Working Conditions (ESS2) 537
3.2.3 Community Health and Safety (ESS4) 538
3.2.4 Additional World Bank Reference 538
518
3.3 .......................................................................Other International Standards for Reference 538
4. SECURITY RISK ASSESSEMENT (SRA) 540
4.1 .............................. Assessing Contextual Security Risks for the SEASN AF2 for PSNP5 541
4.1.1 Using Contextual Security Risk Approach (CSRA) to PSNP5 541
4.1.2 Project Contextual Security Risks 542
4.2 ........................................................................................... Project-Induced Security Risks 545
4.2.1 External risks 545
4.2.2 Risks emanating from the use of security forces 546
4.2.3 Internal risks 546
4.2.4 Project service-induced security risks 546
5. POTENTIAL SECURITY RISKS IDENTIFICATION AND MITIGATION
MEASURES 547
5.1 ................................................................................ Potential Security Risks Identification 547
5.2 ...................................................... Security Risk Analysis, Risk Rating and Prioritization 552
5.3 ............................................................................................Proposed Mitigation Measures 559
5.3.1 General security mitigation frameworks 559
5.3.2 Context-specific mitigation measures 560
5.3.3 Hierarchy of operational security documents 561
6. PROJECT SECURITY ARRANGEMENT 570
6.1 ................................................................................................................... Private Security 570
6.2 .................................................................................................................... Public Security 571
6.3 ................................................................................................................. Physical Security 571
7. PROJECT SECURITY MANAGEMENT 572
7.1 .................................................................................................. Managing Private Security 572
7.1.1 Oversight 572
7.1.2 Contractual agreement 572
7.1.3 Vetting and hiring procedure 573
7.1.2 Code of conduct 573
7.1.4 Use of Force 573
7.1.5 Training 574
7.1.6 Decision to arm 574
7.1.7 Incident reporting and inquiry 574
7.1.8 Monitoring 575
7.2 ................................................................................................... Managing Public Security 575
519
7.2.1 Signing a Memorandum of Understanding 575
7.2.2 Communication and engagement with public security 576
7.2.3 Proper handover 578
7.2.4 Other protocols and code of conducts 578
7.2.5 Community engagement and monitoring 578
7.3 ............................................................................. Emergency Preparedness and Response 578
7.3.1 Emergency equipment and resources 578
7.3.2 Emergency training 579
8. SECURITY SUPERVISION AND CONTROL 579
8.1 ......................................................................... Management Structure and Responsibility 579
8.1.2 Responsibilities of the Private Security Provider Organization (PSPO)
580
8.1.3 Responsibilities of the project site security personnel/team leaders 581
8.1.4 Responsibilities of the local public security commanding officers 581
8.1.5 Responsibilities of the Higher public security commanding officers 581
8.1.6 Cross-functional coordination 581
8.2 .......................................................... Responsibility for periodic security risk assessment 582
9. SECURITY OPERATING PRINCIPLES AND PROCEDURRES 584
9.1 ................................................................................. Project Security Operating Principles 584
9.2 ............................................................................... Project Security Operating Procedures 585
10. GRIEVANCE REDRESS MECHANISM 587
10.1 .............................................................................. Project GRM Policies and Procedures 587
10.2 ....................................................... Key Steps in Project Related Security GRM Process 588
10.3 ................................................... Special Consideration for Security Related GBV GRM 590
11. IMPLEMENTAITON AND MONITORING 590
11.1 ................................................................................................... Implementing Strategies 590
11.2 ........................................ Monitoring the Performance of Project Security Management 590
11.2.1 Site visits 591
11.2.2 Oversight 592
11.2.3 Bank supervision mission 592
11.2.4 Independent security audit 593
11.2.5 Communicating the outcomes of the project’s security complaints 593
12. REPORTING REQUIRMENT AND STRUCTURE 593
12.1 .......................................................................... Reporting Requirement and Timeframe 593
520
12.2 .......................................................................................................... Reporting Structure 594
ANNEXES 595
Annex 1: Interview Guiding Questions for Project’s Security Risk Assessments ............. 595
Annex 2: Template Contract with a Private Security Provider Company/Organization ... 596
Annex 3: Template Memorandum of Understanding with PSO ........................................ 599
Annex 4: Detailed Checklist for Site Visits to Monitor Project Security Performance ..... 602
Annex 5: Sample Incident Report Summary Template...................................................... 606
Annex 6: Indicative TORs for the TPI and TPM ............................................................... 607
Annex 7: Escalation
Matrix…………………………………………………………………………………91
Annex 8: List and Contact Details of the Interviewed Stakeholders ............................... 6103
521
LIST OF TABLES
Table 1 List of PSNP regions,number of PSNP woredas and reallocated caseload

…………………………………………………………………………………………………………526
Table 2 Sampled PSNP5 Woredas by Zone and Region
……………………………………………………………………….............................................530
Table 3 Coding the Potential Security Risks Identified to the Project
……………………………………………………......................................................................553
Table 4 Risk Score for the Potential Security Risks Identified for the Project
………………………………………………………………………………………………………..554
Table 5 Potential Responses by the Project Security Personnel
………………………………………………………………………………………………………..554
Table 6 Situation Analysis Matrix for the Security Risks within the PSNP Targeting Regions
……………………………………………………………………………………………………….558
Table 7 Proposed Mitigation Measures
………………………………………………………………………………………………...........564
LIST OF FIGURES
Figure 1 Role and Scope of the Security Management Plan of SEASN

AF2……………………………………………………………………………………………….532
Figure 2 Elements of the Project’s Security Management Plan
…………………………………………………………………………………………………….533
Figure 3 Objectives of the Security Risk Assessment for SEASN AF2
…………………………………………………………………………………………………….540
Figure 4 Steps in the Security Analysis, Risk Rating and Prioritization
…………………………………………………………………………………………………….553
Figure 5 Heat Map to Prioritize Security Risks to the SEASN AF2 for PSNP 5 Project for
Mitigation ……………………………………………………………………………………….557
Figure 6 Fundamental Aspects of Private Security
…………………………………………………………………………………………………….570
Figure 7 Link between Level of project Security Risk and requirement Public Security
Deployment …………………………………………………………………………………….571
Figure 8 Areas to Consider When Hiring Private Security for the Purpose of Project
……………………………………………………………………………………………………575
Figure 9 Topics for the Project Implementing Agency to Discuss with Public Security
Organization …………………………………………………………………………………...577
Figure 10 Good Practice Principles
……………………………………………………………………………………………………585
522
Figure 11 Key Steps in the Security-Related GRM Process

…………………………………………………………………………………………………….588
Figure 12 Project Reporting Structure
…………………………………………………………………………………………………….594
523
1. INTRODUCITON
1.1 Country Context

1. Located in the Horn of Africa, Ethiopia is the second most populous country in Sub-Saharan
Africa, with an estimated population of about 109 million, of which 80.5 percent are rural
dwellers. As assessed in the Project Appraisal Document (PAD), with an estimated per capita
income of US$869 in 2019, Ethiopia remains one of the poorest countries in the world but has
achieved substantial progress in economic, social, and human development over the past decade.
Between 2011 and 2019, Ethiopia’s economy continued to grow rapidly, with an annual gross
domestic product (GDP) growth rate around nine percent. The national poverty rate decreased
from 30 percent in 2011 to 24 percent in 2016. Fast economic growth translated into strong
household consumption growth in urban areas but not in rural areas. The urban poverty rate
reduced by 11 percentage points, while in rural areas poverty decreased by 4 percentage points
(from 30 percent in 2011 to 26 percent in 2016). Low levels of inequality have largely been
maintained but vulnerability to poverty remains high, especially for those engaged in rain-fed
agriculture and pastoralism. The natural resource base remains the foundation for most
livelihoods and is subject to considerable environmental and climate risks.101
2. The assessment in PAD further shows that although poverty is decreasing overall, the poorest do
not benefit from growth and shocks induced vulnerability is high. The welfare levels of the
poorest 10 percent, who are mainly rural, have not increased since 2011. In rural areas
consumption of the bottom 15 percent contracted between 2011 and 2016, similar to the
observed trend between 2005 and 2011. Downward mobility—the risk of falling into poverty—
was higher in rural areas: 26 percent of the non-poor population in rural areas had fallen into
poverty by 2016, compared to 14 percent in towns and four percent in cities.
3. Setting the general context, agriculture, which is the critical element of economic growth and
food security of the country, relies on sustainable management of land and water. The country,
however, was experiencing low and declining agricultural productivity, persistent food
insecurity, and rural poverty largely attributed to land degradation. It was estimated that by the
mid-1980s some 27 million ha or almost 50 percent of the Ethiopian highlands, which makes up
about 45 percent of the total land area, was significantly eroded. Of this, 14 million ha was
seriously eroded and over 2 million ha were beyond reclamation. It was estimated that some
30,000 ha were being lost annually as a result of soil erosion, representing over 1.5 billion tons
of soil removed annually by a variety of land degradation processes.102
4. Owing to the aforementioned country context, Ethiopia has a painful history of large-scale food
insecurity and sometimes famine. The extremes of the dire impacts of the 1984-5 and 2002-3
drought disasters led the Government of Ethiopia (GoE) to call for action in 2003 to proactively
address the issue of drought disaster and its impacts on the most vulnerable. It was against this
backdrop that Ethiopia launched its Productive Safety Net Programme (PSNP) in 2005 supported
by a group of development partners (DPs). The idea was to prevent the extreme effects of severe
101
Strengthening Ethiopian’s Adaptive Safety Net Project, Project Appraisal Document, November 3, 2020
102
Design Document for the Productive Safety Net Program Phase 5 (PSNP5) 2020 – 2025, November 2020
524
drought by providing regular support to the large numbers of households experiencing chronic
food insecurity, leaving the humanitarian response to address the needs of a smaller number of
people with acute needs when required.
5. Added to the factor, more recently, the security situation in Ethiopia has been showing
unpredictable changes and remained unstable. Hence, as set out in the WB’s Environmental and
Social Framework (ESF), the need for security assessment and preparation of a risk management
plan is a requirement for the AF2 of the SEASN for PSNP5.
1.2 Project Description

6. The implementation of the PSNP has begun its fifth phase (PSNP5) in 2020. The PSNP5 intends
to reach around 8 million rural people annually with regular support, with others supported
during shocks as required. As different project related assessments (SA, PAD, PDD and SROM
and SEASN documents) reveals, since its commencement in 2005, PSNP has significantly
contributed towards addressing the extreme negative effects of severe drought, alongside other
efforts. For instance, in 2011, a severe one-in-60-year drought affected the whole of eastern
Africa. The drought caused famine in Ethiopia’s neighbor Somalia, and acute hunger and
malnutrition in northern Kenya. But, Ethiopia was able to manage the crisis without experiencing
the famine its neighbors faced attributable to PSNP. Likewise, during the 2015-16 El Nino
drought, which resulted in millions of Ethiopians requiring emergency food assistance, PSNP
was hailed for demonstrating ‘how contingency arrangements could be used during emergencies,
and like crisis modifiers, provided timely assistance relative to typical humanitarian projects’.
Yet, over the last 20 years, the PSNP has been scaling up food and cash assistance on a
temporary basis, both vertically (to existing regular PSNP beneficiaries) and horizontally (to
other households) to address transitory food insecurity.
1.2.1 Project Development Objective

7. The Project development objectives (PDO) are (a) to expand geographic coverage and enhance
service delivery of Ethiopia’s adaptive rural safety net to improve the well-being of extremely
poor and vulnerable households in drought-prone communities, and (b) in case of an Eligible
Early Response Financing Event (“Eligible ERF Event”) respond promptly and effectively to it.
1.2.2 Project Components

8. The proposed project SEASN AF2 will support the fifth phase of the Government of Ethiopia’s
Productive Safety Net Program. This phase of support will build on experiences and lessons
learned from early phases of implementation and will seek to make key enhancements to the
program under three components:
• Component 1 focuses on the delivery of safety net operations for core program
beneficiaries. It includes: the delivery of core transfers to Public Works (PW) and
Permanent Direct Support (PDS) beneficiaries; the implementation of the PW
subprojects by which most beneficiaries earn their safety net benefits; services for
children between 1 and 5 years old, and mothers; and complementary livelihood services
to enable PSNP beneficiaries to enhance and diversify their incomes.
• Component 2 will: (a) support the Government to expand the geographic coverage of
PSNP in additional drought-prone Woredas; and (b) enhance PSNP capacity to function
as an integrated shock responsive social safety net, building on the GoE’s recent
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decision to consolidate the operations management of humanitarian food assistance and

PSNP under the FSCO in the Ministry of Agriculture (MoA). This component also
includes a pre-allocated Crisis Response Window (CRW) Contingent Emergency
Response Subcomponent (CERC) which will facilitate an early response to emerging
food insecurity crises.
• Component 3 relates to the modernization of systems, capacity development, and overall
management of the PSNP. It includes activities focused on strengthening service
delivery and the Government institutions’ ability to manage all aspects of program
implementation.
1.2.3 Project Target Areas

9. The implementation of the PSNP5 covers 9 out of 12 regional states and rural kebeles of one city
administration in Ethiopia: Tigray, Amhara, Afar, SNNPR, Sidama, Oromia, Somali, South
West Ethiopia People’s Region (SWEPR), and the rural parts of Dire Dawa City Administration
and Harari Region. One distinct feature of the PSNP5 in comparison with the previous phases is
the plan to expand the project’s geographic coverage and enhance service delivery of Ethiopia’s
adaptive rural safety net to improve the well-being of extremely poor and vulnerable households
in drought-prone Woredas. The new geographic (woreda) expansion is based on the selection
criteria of extreme poverty including: (a) recent history of receipt of drought related emergency
food assistance; (b) remote sensing satellite data showing frequency of drought shock; and (c)
prevalence of extreme poverty. Accordingly, 77 new expansion Woredas are selected in three
regions (17 in Amhara, 13 in Oromia, and 47 in Somali). When added the 77 new expansion
Woredas to the 353 existing Woredas, the target areas of the PSNP5 covers 485 Woredas in the
country. Table 1 presents list of PSNP Woredas by region and reallocated core caseload number.
Table 11 List of PSNP regions, number of PSNP woredas and reallocated caseload
S/N Region Number of PSNP Woredas Reallocated core caseload number
1 Amhara 87 1,884,378
2 Afar 34 515,712
3 Oromia 103 1,778,249
4 SNNPRS 85 917,362
5 SWER 6 23,669
.6 Somali 93 1,627,132
7 Sidama 20 153,159
8 Harari 1 22,101
9 Dire Dawa 1 64702
10 Tigray 55 1010752
Current National Total 485 7,997,216
Note:
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a) Current national PSNP Woredas are 430. Due to the conflict in the region woreda by
woreda caseload reallocation exercise is not done in 55 existing Woredas of Tigray. But
the total regional caseload is known and it is 1,010,752
b) Since they are considered as one woreda, the woreda caseload reallocation exercise is not
applicable for .Diredawa and Harari regions.
c) For 8 Woredas (4 in Amhara and 4 in Afar region) full targeting exercise has not been
done due to the conflict in the northern Ethiopia.
1.3 Scope of Work

10. The consultant is required to undertake the following key tasks in the course of his professional
service for this assignment:
• Profoundly review project-related documents to comprehend program activities with a
particular focus on SEASN AF2 interventions and perception of beneficiaries and E&S
security challenges in the process and as the result of implementing these program
interventions.
• Review of relevant national and WB legal and institutional frameworks that guide the
requirement for security risk assessment and analysis and preparation of security risk
management plan for SEASN AF2.
• Examining national, regional and local security risks and impacts that would affect
program implementation by conducting desk review and field-based security risk
assessment on program activities and related issues.
• Produce security risk assessment report with detailed management plan.
• Organize a validation workshop on the findings of the assessment, produce draft and final
reports and inform the regional, federal and other stakeholders in the presentation.
1.4 Methodology for the Preparation of the SRAMP

11. The preparation of this Security Risk Assessment and Management Plan employed different data
sources that comprise both the secondary and primary data as highlighted below.
1.4.1 Desk Review

12. The preparation of the SRAMP depend on a profound review of various secondary sources. First,
conducting an in-depth program implementation document review to understand program
activities with a particular focus on SEASN AF2 interventions and perception of beneficiaries
and E& S security challenges in the process and as the result of implementing these program
interventions. The reviewed project-related document in this regard includes: PSNP5 Design
Document, SEASN for PSNP5 Project Appraisal Document, PSNP5 Traffic Light Assessment,
PSNP5 ESMF, ESAC Phase II, LMP, GBV Action Plan and PIM for PSNP5. Second, previous
security based empirical studies and reports were reviewed to assess the project setting or
Contextual Security Risks (CSRs). Relevant demographic and socio-economic information such
as population age, unemployment, poverty, and inequality; crime levels and type; endemic
political, social, or labor unrest; terrorism or insurgency with potential for new or escalation of
violence in and around the project areas have been reviewed to set an overview of project
security situation. Finally, national security policies and strategies and WB’s Environmental and
Social Framework, applicable ESSs (ESSs 1, 2 and 4) was reviewed to guide the legal and
institutional frameworks of the SRAMP of AF2 for PSNP5.
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1.4.2 Phone Interview

13. As the PSNP5 Traffic Light Assessment reveals, most PSNP Woredas in Amhara, Afar, Oromia,
Somali, SWER, and SPNNPR fall under conflict and political instability. Despite the degree is
low, the PSNP woreda in Dire Dawa City Administration and Harari region exhibit conflict and
political instability. Also, shortage of time for this assignment was a key limiting factor. This
situation makes difficult to obtain the country security clearance for face-to-face stakeholder
interview. As a result, conducting phone interview was chosen as the most feasible method to
conduct with the below mentioned relevant stakeholders. Nevertheless, due to the war in the
Northern Ethiopia, all the 55 PSNP Woredas in the Tigray region cannot be accessed through the
phone interview even but relaying on existing secondary data. Annex 1 provides interview
guiding questions for the project’s security risk assessment.
A. Regional level stakeholders

14. The phone interview with the regional stakeholders mainly includes the Food Security
Coordinators in the respective PSNP5 target regions. Targeting and Grievance Technical Support
Specialist in the Ministry of Agriculture (MoA) liaison with the Regional Food Security
Coordinators (RFSCs) for a phone interview. The interview with regional Food Security
Coordinators aims to generate data relevant to assess: (a) project setting or Contextual Security
Risks such as unemployment, poverty, and inequality; crime levels and type; endemic political or
social unrest; and armed conflict and terrorism; (b) internal security risks such as illegal,
unethical, or inappropriate behavior of project personnel or those directly affiliated with it,
employee theft, and workplace violence; and (c) external risks such as those caused by the
actions of people outside the project who seek to take advantage of opportunities presented by
the development and operation of the project including common criminal activity; disruption of
the project for economic, political, or social objectives; and other deliberate actions that have a
negative impact on the effective, efficient, and safe operation of the project.
B. Woreda level stakeholders

15. Woreda stakeholders comprise those personnel responsible to run the day-to-day project
activities at the woreda or kebele level of operation. The respective regional Food Security
Coordinators facilitated the rapport creation with the consultant and a phone interview with the
PSNP5 personnel in the sampled PSNP woreda following the below described sampling
procedures. The consultant prepared interview guiding questions with woreda PSNP personnel,
gave orientation and closely worked with the RFSCs in this respect. The purpose of a phone
interview with woreda PSNP personnel was to generate relevant data for the assessment of
project setting, internal and external security risks described above. A total of 11 project staffs
representing each sampled PSNP woreda were interviewed for this SRAMP.
C. Community representatives
16. Yet again, a phone interview was conducted with the representatives of the project-affected
communities in one kebele within the sampled PSNP Woredas: clan leaders, community elders,
religious leaders, and representatives of vulnerable groups including women. The selection and
a phone interview with one community representative from each selected kebele has been
facilitated through the help of the woreda PSNP personnel. Given the disconnection or
inaccessible phone networks in most PSNP kebeles in the sampled Woredas, one
528
convenient/accessible kebele per sampled Woredas was selected for a phone interview with
community representative. Consultation with the project-affected community representatives
aims to assess: (a) the general attitude of the project-affected communities toward the project
activities and services; and (b) risks to and impacts on human security stemming from the use of
security personnel.
1.4.3 Face-to-Face Interview with Federal Level Stakeholders

17. Face-to-face in-depth interview was conducted with the FSCO staffs (Targeting and Grievance
Technical Support Specialist and PSNP focal person) in the Ministry of Agriculture to assess the
project setting or Contextual Security Risks that adversely impact on the implementation of the
PSNP activities at the national level.
1.4.4 Sampling Procedures and Selected PSNP Woredas

18. In an effort to make the selected PSNP Woredas representative, the following sampling
procedures were applied. First, to capture the assessment of the security situation in all target
regions, one PSNP woreda was selected from the respective regions. Second, the procedure of
selecting the PSNP Woredas depends on the security information obtained from the Traffic Light
Assessment (TLA). The TLA was introduced in February 2022 as a tool to support Amhara and
Afar regions to assess the readiness of conflict-affected Woredas to resume core PSNP
operations as quickly as possible after conflict subsides. Thus, the selection of the PSNP
Woredas for the assessment of the security threats and risks emanating from the social and
political instability in association with the war in the Northern part of Ethiopia was done on the
basis of the TLA report. Third, the sampling procedures considered the existing as well as the
newly added PSNP Woredas. This helps to assess the situation of security risks in both the
existing and the new PSNP Woredas. Fourth, the sampling of the PSNP Woredas takes into
account the differential security risks from the movement of armed group, insurgency or
terrorism. Fifth, the sampling procedure bear in mind the differential security risks due to
resource-based and inter-ethnic conflicts/tensions. Sixth, one PSNP kebele per sampled PSNP
woreda was selected to reach out the views of the project-affected communities. Accordingly,
the following PSNP Woredas were selected and Table 2 presents the list by zone and region.
• Sekota and Chefera Woredas were selected to capture the effect of the war in the
Northern Ethiopian on the PSNP performance.
• Hamer woreda is included to capture the security risks due to inherent resource-based and
inter-ethnic conflicts.
• Goro Dola and Hitossa Woredas from Oromia region and Danot woreda from Somali
region are chosen to assess the differential security risks to the performance of SEASN
AF2 for PSNP5 resulting from the movement of armed group, insurgency or terrorism.
• Dire Dawa City Administration and Harari region has one PSNP woreda each and both
are selected to represent the security situation in the existing PSNP Woredas. The
selection of Hoko woreda from Sidama region is added to this.
• Out of the 77 PSNP Woredas newly included in the PSNP5, the majority of them are in
Somali (47) and Amhara (17) regions. Owing to this, Enarje Enawuga woreda from
Amhara region and Tuluguled woreda from Somali region were selected to depict the
security risk assessment in the new PSNP Woredas.
529
Table 12 Sampled PSNP5 Woredas by Zone and Region

Sample PSNP woreda Zone Region
Sekota Waghimira Amhara
Enarje Enawuga East Gojjam
Tuluguled Fafan Somali
Danot Dollo
Chefera Zone 01 Afar
Goro Dola Guji Oromia
Hitossa Arsi
Hamer South Omo SNNPR
Hoko No Zonal Administration Sidama
Dire Dawa Woreda No Zonal Administration Dire Dawa City Administration
Harari Woreda No Zonal Administration Harari
2. OBJECTIVES AND APPROACH OF THE SMP IN THE PROJECT

2.1 Objectives of the Project’s SMP
Overall objective:
19. The overall objective of the Security Management Plan is to protect against and mitigate
security risks at the project level that could threaten communities, employees, facilities, and
project operations in general. This SMP provides direction, organization, integration, and
continuity to the security program. It aims to ensure that the safeguarding of personnel and
property of the project is carried out in a manner that avoids or minimizes security risks and
adverse impacts in the intervention areas of the PSNP5.
Specific objectives:
20. The specific objectives of the security risk assessment and management plan for the SEASN
FA2 for PSNP5 are to:
• Identify potential security risks and impacts to project workers and other stakeholders in
association with the project interventions.
• Assess the potential risks to project property at project target areas.
• Outline procedures and steps to be undertaken to address requirements of the World Bank
on environmental and social standards triggered by the projects.
• Propose mitigation measures for the identified security risks and impacts as a result of the
implementation of the PSNP5 activities financed through AF2.
• Maintain the security systems outlined in the plan throughout the lifetime of the project.
• Review project security risks on an annual basis and revise the SMP according to the
change in the security-relate context in which the project operates.
2.2 Project Security Management Approach

21. The preparation and implementation of the SMP for the SEASN AF2 makes the following key
security management approaches:
• Many security risks flow out of both inherent local social issues, such as ethnic tensions,
and unrecognized issues between the project and local communities. As such, project
530
Operations, Government Relations, and Community Relations staff are all involved in
the security management process.
• Making the link between project security and community relations/community
engagement is key. Community engagement is a central aspect of a good security
program, and good relations with employees and local communities can substantially
contribute to overall security in the project area. The project can avoid internal
operational silos by ensuring that project security plan coordinate regularly with other
departments, such as Community Relations and Human Resources. Through its
Community Relations function, the project can share information with communities
about security arrangements, the project’s security policies, and the expected conduct of
security personnel. Dialogue with communities about security issues can also help the
project identify potential risks and local concerns and can serve as an early warning
system.
• The project recognizes the importance of periodic revision of its Security Management
Plan to ensure that it remains relevant and appropriate. Hence, this SMP describes how
security is organized to face identified threats and how security is continuously
reassessed and reorganized in correlation with security situations and operations being
undertaken. Accordingly, the project leading implementing agency the Ministry of
Agriculture (MoA) will ensure that security procedures and criteria are fully designed,
updated, and implemented at Project Operation Areas (POAs).
• The leading implementing agency the MoA will leverage in using the existing national
and local security infrastructure to access and share conflict related information and
encouraging local police leaders to specifically address conflict risks in community
engagement activities in timely manner.
2.3 Role and Scope of the Project’s SMP
22. The project’s SMP underscores important industry standard tool that describes how security will
be managed and delivered and what resources will be required. This SMP is the project’s
overarching guidance document for all other procedures and protocols related to security. Also,
it considers risks and impacts to communities posed by the project’s security arrangements and
include provisions and mitigation measures to address these. To this end, this SMP set out that
the level of effort in assessing and managing security risks should be commensurate with the
level of security risk associated with the project and its operating context which consider the
following three key factors. In line with this, Figure 1 shows the role and scope of the project’s
SMP.
23. First, the Environmental and Social Management Framework (ESMF) is prepared for the
management of the environmental and social risks and adverse impacts from the project. The
identification and management of security risks (ESS4) is part of this ESMF. The ESMF is the
foundation for the requirements for the project’s security risk assessment and management. The
project ESMF requires that the implementing agency MoA assess the potential environmental
and social risks and impacts arising from the implementation of the PSNP5 activities. Among
others, the assessment includes the threats to human security through personal and communal
conflict, crime or violence. Likewise, potential threats to project workers, sites, assets and
531
activities as well as to project-affected communities are assessed and mitigated by the Borrower
GoE throughout the project life cycle. As per the project ESMF, when the Borrower retains
direct or contracted workers to provide security to safeguard the project personnel and property,
it will assess risks posed by these security arrangements to those within and outside the project
site.
Figure 1 Role and Scope of the Security Management Plan of SEASN AF2 for PSNP5
24. Second, the project ESMF requires that the level of effort in assessing and managing security
risks should be commensurate with the level of security risk associated with the undertaking of
the PSNP5 components and project contextual security risks. That is, the scale and scope of the
project’s SMP depends on the severity and complexity of the security risks of the project.
Where risks are minimal, the project’s SMP can be correspondingly simple. However, a plan of
some form (stand-alone or integrated into broader management plans) should be documented
and followed. It should focus on the functions and responsibilities of security—who does what,
when, how, with what equipment, and accountable to whom. The person responsible for
security (who may also cover other areas) should “own” the SMP, but the plan itself should
provide continuity when there is a change of personnel in the security management structure.
Conversely, where security risks are considered more substantial, the Borrower and/or
contractors might choose to engage private security providers or work with public security
personnel to provide protection. In high-risk situations particularly in situations of fragility,
conflict and violence (FCV), the Borrower is more likely to choose to deploy public security
forces. As discussed in the security risk analysis, risk rating and prioritization Section: (a) the
overall project security risks are high and/or the potential impacts on local communities from a
security response may be severe; and (b) the context security risks are particularly complicated
and public security forces are likely to have a significant role.
25. Third, project’s SMP considers community risks and impacts posed by the project’s security
arrangements and include provisions and mitigation measures to address these. In making such
arrangements, the SMP expects that the Borrower will be guided by the principles of
proportionality and Good International Industry Practice (GIIP) and by applicable national law
532
and WB policy, in relation to hiring, rules of conduct, training, equipping, and monitoring of
such security workers. Also, the Borrower will: (i) make reasonable inquiries to verify that the
project security personnel (whether public or private security personnel) retained to provide
security are not implicated in past abuses; (ii) train them adequately (or determine that they are
properly trained) in the use of force (and where applicable, firearms), and appropriate conduct
toward workers and affected communities; and (iii) require them to act within the applicable
national and WB laws. Taking into account the aforesaid key factors, Figure 1 displays the role
and scope of the SMP of SEASN AF2.
2.4 Key Components of the Project’s Security Management Plan

26. The project Security Management Plan should: (1) be developed in consultation with key
stakeholders including managements of the project implementing agencies from federal to local
level; (2) clearly link to the Security Risk Assessment; and (3) include all relevant policies and
procedures to guide the MoA’s security provision over the life of the project. This document
should include high-level overviews, policies, and content on approaches and aspects related to
security management, with detailed procedures or design information. Figure 2 illustrates the
key components of the project’s Security Management Plan. The subsequent discussions focus
on the detail description of each key component displayed in the figure.
Figure 2 Elements of the Project’s Security Management Plan
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3. REVIEW OF POLICIES, LEGAL FRAMEWORKS AND INTERNATIONAL

STANDARDS
27. The discussion that follows highlight on the standards, requirements and good international
practice reflected in the preparation of the SMP of SEASN AF2 for PSNP5. Below, an
overview of the relevant national legal framework, the WB’s Environmental and Social
Standards (ESSs) and other relevant international good practice is made.
3.1 National Legal Framework

3.1.1 The Constitution of FDRE
28. The Constitution of the FDRE is the highest policy and legal document that lays the basis for all
laws and policies in the country. The Constitution of FDRE provides a number of basic and
comprehensive principles that consider social protection and management in the country
including the sustainable development. It recognizes the existence of diverse socio-cultural
groups, including historically disadvantaged and underserved communities, pastoralists, agro-
pastoralists and minorities as well as their rights to socioeconomic equity and justice. The
relevant articles to security risks and impacts provisions among others are identified as follow.
29. Article (14) of the Ethiopian Constitution recognizes the right to life and security of person. The
Article declares that every person has the inviolable and inalienable rights to life, has the right
to get personal security protection from public security system against any risks or acts of
bodily harm. The provision in Article (15) set outs that every person has the right to life and no
person shall deprived of his life except as a punishment against a serious criminal offence which
is to be determined in due process of the judicial system of the country. Article 17 stipulates on
the right to liberty: no one shall be deprived of his or her liberty except on such grounds and in
accordance with such procedure as are established by law; no person may be subjected to
arbitrary arrest; and no person may be detained without a charge or conviction against him.
30. As per Article (25) of the Ethiopian Constitution all persons are equal before the law and are
entitled without any discrimination to the equal protection of the law. In this respect, the law
shall guarantee to all persons equal and effective protection without discrimination on grounds
of race, nation, nationality, or other social origin, color, sex, language, religion, political or
other opinion, property, birth or other status. Whereas Article (28) of the Constitution has
provision on crimes against humanity: criminal liability of persons who commit crimes against
humanity, so defined by international agreements ratified by Ethiopia and by other laws of
Ethiopia, such as genocide, summary executions, forcible disappearances or torture shall not be
barred by statute of limitation. The same Article further states that such offences may not be
commuted by amnesty or pardon of the legislature or any other state organ. The provision on
Article (32) applies to both the Ethiopian and foreign citizens. It states that any Ethiopian or
foreign national lawfully in Ethiopia has, within the national territory, the right to liberty of
movement and freedom to choose his residence, as well as the freedom to leave the country at
any time he wishes to.
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31. The Constitution of Ethiopian have the provisions on the rights of the citizens to access justice
and the rights to labour. As set out in Article (37), everyone has the right to bring a justifiable
matter to, and to obtain a decision or judgment by, a court of law or any other competent body
with judicial power. Article (42) Sub-Article (2) stipulates that ‘workers have the right to a
healthy and safe work environment’, obliging an employer (be it government or private) to take
all necessary measures to ensure that workplace is safe, healthy and free of any danger to the
wellbeing of workers. Yet, Article (87) declares on the principles for national defense. As stated
in Sub-Article (3) the armed forces shall protect the sovereignty of the country and carry out
any responsibilities as may be assigned to them under any state of emergency declared in
accordance with the Constitution.
3.1.2 National Security Policy and Strategy

32. The Federal Democratic Republic of Ethiopia (FDRE) has issued a National Security Policy and
Strategy in 2002. It recognizes failure to realize sustainable development and democracy as the
root cause of national security risks in the country. The full provision is stated as follows: “The
failure to realize development and democracy has resulted in our security being threatened. It
has meant that we have remained impoverished, dependent and unable to hold our heads high.
The prospect of disintegration cannot be totally ruled out. That is why it is imperative that we
expedite development and consolidate democracy” (p. 23).
33. As justified in the policy document, the failure to realize development and democracy has been
creating internal security risks to the country that hinder the undertaking of government and
donor financed development projects. The intention of this justification can well extend to
World Bank supported (through Investment Project Financing) development projects such as
SEASN AF2 for PSNP5. The full justification of both is quoted as follows:
• “One of the main threats to our national interests and existence is our poverty and
backwardness. Besides exposing us to conflict and war, our vulnerability has wrought
additional damage. It has made us pay a heavy price, even after the war, as we try to
address its impact. Although war has at no time succeeded in crushing us as a nation, it
has managed to succeed in perpetuating and deepening our poverty. Unless we move
promptly to curb our vulnerability, we will remain prone not only to internal dangers,
but to external security risks as well, and would continue to face pressure and even
imposed wars”
• In addition to poverty and backwardness, the absence of democracy and good

governance is a factor that induces vulnerability that may result in bloodshed and
destruction. In the absence of a democratic order and good governance, national and
religious divisions will invariably intensify, the abuse of human rights would result in
strife, and poverty would spread further—a recipe for disintegration and destruction” (p.
5).
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34. Once identified the root cause of security risks that hinder the implementation of development
projects such as SEASN AF2 for PSNP5 as stated above, the Ethiopian national security policy
devised basic security strategies to mitigate the problem. Core among these security strategies,
the full quotation of the two is stated here:
• Strategy center on economic development. “Our national interests and security will be
guaranteed only if rapid development is attained. Security threats can be removed
through overcoming poverty, through development and economic initiative. It is only
when we build a strong economy that equally benefits all Ethiopians that we can
effectively address security risks that hamper the undertakings of development projects.
Therefore, we need to deploy all efforts to develop quickly for the benefit of the people.
All other issues should come second to this campaign” (p. 28).
• Strategy center on building democracy and good governance. “Establishing a

democratic order in Ethiopia is the way to respect people and individual’s rights, affirm
good governance, and assure stable working and living conditions. Unless we recognize
that our country is home to many nations and faiths and move to form a strong unity
based on the voluntary will of our peoples; and until we build strong national consensus
based on the principles embodied in the constitution, we will not only be exposed to
internal strife and implosion but also to external conflicts and hazards, as well. Unless
we establish strong democratic institutions; reach a broad national concord based on
democratic principles; assure the rule of law; isolate and through popular involvement,
deal with those who operate outside legality, we will remain hostage to internal and
external threats as well as dangerous conflicts and wars” (p. 34).
3.1.3 National social protection strategy of Ethiopia

35. Ethiopia has formulated a National Social Protection Policy in 2012 with the general objective
to create an enabling environment in which citizens (including people with special needs and
other vulnerable groups) have the right to equitable access to all social protection services that
will enhance their growth and development. Ethiopia’s social protection policy is a central
public policy component for addressing poverty, vulnerability and inequality.
3.1.4 Labour proclamation

36. The government of Ethiopia has enacted Labor Proclamation No 1156/2019 with the general
objectives and requirements to ensure worker-employer relations are governed by basic
principles of rights and obligations with a view to enabling workers and employers to secure
durable industrial peace; sustainable productivity and competitiveness through cooperative
engagement towards the all-round development of the country. The proclamation under article
92 states that an employer shall take the necessary measure to safeguard adequately the health
and safety of workers. This article under sub articles 1 and 6 indicated that the employer has an
obligation to comply with the occupational health and safety requirements provided for in the
Proclamation to ensure that the work place and premises of the undertaking do not pose threats
to the health and safety of workers.
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3.2 Applicable WB’s Environmental and Social Standards (ESSs)

37. The responsibility of the Borrower for the assessment of security risks for the project, including
security risks to project workers, assets, and activities, mitigation measures is set out in various
WB’s Environmental and Social Standards. The applicable ESSs are highlighted as follow.
3.2.1 Assessment and Management of Environmental and Social Risks (ESS1)

38. The provision in ESS1 set out Borrower’s requirement to assess, manage, and monitor the
environmental and social risks and impacts including security risks associating with SEASN
AF2 for PSNP5 throughout the project life cycle so as to meet the requirements of the ESSs in a
manner and within a time frame acceptable to the Bank (paragraph 14).
39. Also, the provision in the ESS1 requires security risk analysis, risk rating and prioritization for
the SEASN AF2 for PSNP5. Accordingly, “Social and Conflict Analysis is an instrument that
assesses the degree to which the project may (a) exacerbate existing tensions and inequality
within society (both within the communities affected by the project and between these
communities and others); (b) have a negative effect on stability and human security; (c) be
negatively affected by existing tensions, conflict and instability, particularly in circumstances of
war, insurrection and civil unrest” (Annex 1 5(e)).
40. As per ESS1 (paragraph 30), where security risks are assessed low, the security arrangements
for the SEASN AF2 for PSNP5 might consist of simple measures, such as fencing or signs and
security guards at night. Where security risks are considered more substantial, the MoA and/or
contractors might choose to engage private security providers or work with public security
personnel to provide protection. In high-risk situations, particularly in situations of fragility,
conflict and violence (FCV), the project implementing agency MoA is more likely to choose to
deploy public security forces.
3.2.2 Labour and Working Conditions (ESS2)

41. ESS2 sets out the terms and conditions of employment for employing or otherwise engaging
workers on the project, specifies the requirements, standards to be met, policies, and procedures
to be followed, assesses risks, and proposes implementation of compliance measures. The SRA
is developed to help avoid, mitigate, and manage security risks and impacts in relation to project
workers and ensure non-discrimination, equal opportunity, protection, fair treatment, and safe
and healthy working conditions. The term “project worker” refers to:
a) People employed or engaged directly by the Borrower (including the project proponent
and the project implementing agencies) to work specifically in relation to the project
(direct workers);
b) people employed or engaged through third parties to perform work related to core
functions of the project, regardless of location (contracted workers);
c) People employed or engaged by the Borrower’s primary suppliers (primary supply
workers);
d) People employed or engaged in providing community labor (community workers).
537
42. WB ESS2 applies to project workers including fulltime, part-time, temporary, seasonal and
migrant workers.
3.2.3 Community Health and Safety (ESS4)

43. The need for SEASN AF2 to address the assessment and mitigation of risks to, and impacts
from, the use of security personnel on project-affected communities and project workers is set
out in ESS4. As per this provision, representing the Borrow the GoE, the MoA is required to
evaluate the risks and impacts of the SEASN AF2 on the health and safety of the affected
communities during the project life cycle, including those who, because of their particular
circumstances, may be vulnerable. The MoA will identify risks and impacts and propose
mitigation measures in accordance with the mitigation hierarchy (paragraph 5).
44. As stipulated in paragraph 24 of ESS4, when the MoA retains direct or contracted workers to
provide security to safeguard its personnel and property involving the implementation of the
SEASN AF2, it will assess risks posed by these security arrangements to those within and
outside the project site. In making such arrangements, the MoA will be guided by the principles
of proportionality and GIIP, and by applicable law, in relation to hiring, rules of conduct,
training, equipping, and monitoring of such security workers.
45. When decision is made to use public security personnel, the MoA will seek to ensure that
government security personnel deployed to provide security services act in a manner consistent
with paragraph 24 above and encourage the relevant authorities to disclose the security
arrangements for the project’s facilities to the public, subject to overriding security concerns.
Besides, as stated in paragraph 26, representing the Borrower GoE the MoA will: (i) make
reasonable inquiries to verify that the direct or contracted workers retained to provide security
for SEASN AF2 are not implicated in past abuses; (ii) train them adequately (or determine that
they are properly trained) in the use of force (and where applicable, firearms), and appropriate
conduct toward workers and affected communities; and (iii) require them to act within the
applicable law and any requirements set out in the ESCP.
3.2.4 Additional World Bank Reference

46. World Bank Good Practice Note (GPN): Assessing and Managing the Risks and Impacts of the
Use of Security Personnel. It requires that potential threats to project workers, sites, assets and
activities as well as to project-affected communities are assessed and mitigated by the Borrower
throughout the project life cycle. If it is decided that security personnel should be engaged, the
potential risks and impacts stemming from such engagement in turn needs to be assessed and
management measures identified in accordance with the mitigation hierarchy. In this regard, the
World Bank is providing a series of Good Practice Notes to accompany the ESF to support its
implementation.
3.3 Other International Standards for Reference

47. There are other international standards for reference in the preparation, monitoring and
implementation of the Security Management Plan for SEASN AF2. Common to these Good
538
International Practices they all emphasize that the use of security forces is based on the concept
that providing security and respecting human rights can and should be consistent. This translates
into implementation of policies and practices that ensure security provision is carried out
responsibly, with any response being proportional to the threat. Proactive communication,
community engagement, and grievance redress are central to this approach, often through
collaboration between security and community relations departments. Gender considerations are
also important, as women often have different experiences and interactions with security
personnel. Some of the common international standards for reference in the security
management plan of SEASN AF2 are:
• UN Code of Conduct for Law Enforcement Officials 9 (1979) that states on the
principles and prerequisites for law enforcement officials to perform their duties while
respecting and protecting human dignity and human rights.
• UN Basic Principles on the Use of Force and Firearms by Law Enforcement Officials
(1990) which stipulates on the principles on use of force and firearms by law
enforcement officials.
• Voluntary Principles on Security and Human Rights (2000) provides on internationally
recognized set of principles designed to guide companies in maintaining the safety and
security of their operations within an operating framework that encourages respect for
human rights.
• International Code of Conduct for Private Security Service Providers (2010) that set out
on the principles and standards applicable to private security companies (companies
providing guard forces)
• UN Guiding Principles on Business and Human Rights (2011) states provisions on
global standard for preventing and addressing the risk of adverse human rights impacts
linked to business activity.
48. Further international standards for reference can be accessed throughout the following links:
• ANSI’s Management System for Quality of Private Security Company Operations:
http://www.acq.osd.mil/log/ps/.psc.html/7_Management_System_for_Quality.pdf
• Armed Conflict Location and Event Data Project (ACLED, which has a useful risk dashboard tool:
https://www.acleddata.com/
• International Finance Corporation (IFC) Handbook on the Use of Security Forces:
Assessing and Managing Risks and Impacts, 2017 (available in English, French, Spanish)
https://www.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/sus
tainability-at-ifc/publications/publications_handbook_securityforces
• International Association of Oil and Gas Producer’s Report on Firearms and the Use of
Force: http://www.ogp.org.uk/pubs/320.pdf
• MIGA’s Implementation Toolkit for Major Project Sites:
https://www.miga.org/documents/vpshr_toolkit_v3.pdf
• Voluntary Principles Implementation Guidance Tool:
http://www.voluntaryprinciples.org/wp-content/uploads/2013/03/VPs_IGT_Final_13-09-
11.pdf
539
• ICRC and DCAF’s Security and Human Rights Toolkit:

http://www.securityhumanrightshub.org/content/toolkit
• USAID OFDA safety and security update:
https://reliefweb.int/sites/reliefweb.int/files/resources/USAID
4. SECURITY RISK ASSESSEMENT (SRA)

49. Assessing and evaluating potential security risks is the first step in determining the level and
types of security arrangements for SEASN AF2. Decisions as to whether guards should carry
firearms or whether fences should be electrified, is based on an informed analysis of whether
the level of risk calls for such measures, as well as on consideration of the impact these
arrangements might have on employees, local communities, and security personnel themselves.
50. The level of security effort required in the SMP for the project commensurate with the threat
environment in which the particular PSNP Woredas is operating. As the details of the below
security risk assessment for the targeting regions reveals, PSNP Woredas operate with
differential security risks:
• Some PSNP Woredas operate in a relatively stable environments with lower potential
adverse security impacts emanating from the political and social settings outside the
project areas. For such PSNP Woredas, a review of threats and related risks can be
relatively straightforward.
• Conversely, some PSNP Woredas operate in higher-security risk environments. These
particular Woredas, the level of analysis merited a more rigorous and comprehensive
SRA that may need to consider the political, socio-economic, or military aspects outside
the project but with adverse security risks to the operation of the PSNP activities.
Figure 3 Objectives of the Security Risk Assessment for SEASN AF2
• Against this backdrop, the scoping of the security risk assessment for the SEASN AF2
includes an overview of security situations or contextual security risks and project-
induced security risks (internal and external security risks). Then, the security risk rating
for the SEASN AF2 is determined based on the cumulative threats following the steps
of security risk analysis made in the following section. the ranging from a relatively
540
straightforward screening of risks to undertaking a more formal and comprehensive

Security Risk Assessment that may need to consider more in-depth political, socio-
economic, military, or other aspects. Accordingly, Figure 3 displays the objectives of
the security risk assessment for SEASN AF2.
4.1 Assessing Contextual Security Risks for the SEASN AF2 for PSNP5
4.1.1 Using Contextual Security Risk Approach (CSRA) to PSNP5
51. According to World Bank Good Practice Note (2022)103, even the most remote development
projects do not occur in isolation. Development projects such as the SEASN for PSNP5, operate
in a wider system. Hence, the security risk assessment must understand the relationship of the
project to and within that system. By their very nature, development projects such as SEASN
for PSNP5 are likely to affect and be affected by the social, political, cultural, economic, and
environmental dynamics that exist within the setting of the project, at the local, regional, and/or
country level. These dynamics or effects may be positive, negative, neutral, or a combination.
To manage risks effectively and in accordance with the WB’s ESSs, the security risks
assessment should expose how these dynamics may affect the project in the course of its
implementation and, conversely, how the project may affect the various dynamics with which
the project intersects. This is crucial for conflict sensitivity, to avoid exacerbating existing
dynamics or creating new ones Backdrop to this, as Word Bank Good Practice, Contextual
Security Risks (CSRs) are defined as risks in the external environment (at a country,
regional/subnational or local level) that the project does not control but which could negatively
impact a project’s ability to meet the E&S requirements.
52. The World Bank Good Practice Note (2022) underscore that contextual Security Risks should
not be mistaken for project-level risk assessments but seen rather as a precursor to risk
assessments. A deeper understanding of contextual security risks in the broader project context
will help inform the risks and impacts identification process and define the scope of the project
risk assessment, to capture those security risks for which mitigation and management measures
will be needed (p. 8).
53. As to the World Bank Good Practice Note, contextual risks are always evolving, especially in
Fragile and Conflicted-Affected Situations (FCS), which can be characterized by different
conflict dynamics, political instability, natural disaster shocks and population movement.
Identifying and monitoring these risks in a systematic manner and adapting project-level
mitigation measures is critical, not only during project due diligence but throughout the project
life cycle (p. 8).
54. Yet, the Contextual Security Risk Approach (CSRA) noted that not all aspects of the Contextual
Security Risks impact equally to all project implementing areas. Rather, in some instances, risks
at the national or regional level, such as high levels of conflict or the movement of armed
103
World Bank Good Practice Note (2022). Contextual Risk Screening for Development Projects: Linking National-
Level Risks to the Local-Level Project Risks in Fragile and Conflict-Affected Situations and Beyond.
541
groups, may directly affect some parts of the country or project target areas more than others.
As a result, a project’s security risk assessment and management plan should seek to prioritize
the highest risk aspects for a particular project targeting areas to support their due diligence,
leveraging the security risk assessment process. It was against this backdrop of the CSRA that
the contextual security risks for the SEASN AF2 for PSNP5 are identified and assessed.
4.1.2 Project Contextual Security Risks

55. Using the Contextual Security Risk Approach as recommended in the World Bank Good
Practice Note (2022) described above, the project’s security risk assesses the external
environment (at a country, regional/subnational or local level) that the PSNP5 does not control
but which could negatively impact the project’s ability to meet the E&S requirements including
potential threats to project workers, sites, assets and activities as well as to project-affected
communities. Accordingly, the below listed project’s contextual security risks are identified and
assessed for potential security risks based on the data obtained from: (a) stakeholder
consultation held at federal, regional, and woreda/local level; (b) project-related document listed
under the methodology; and (c) related previous empirical studies and reports. Accordingly, the
risk assessment highlight on the following contextual security risks for the SEASN AF2.
4.1.2.1 The war in the Northern part of Ethiopia

56. One special relevance of using the Contextual Security Risks Approach for the project’s
security risk assessment justifies the disproportionate adverse impacts of the war in the
Northern part of Ethiopia among the PSNP targeting regions and Woredas. According to the
TLA reports, Revised PSNP5 Geographic Expansion and Caseload Reallocation Plan for the
PSNP5, and interview with project implementing stakeholders (federal to local level), the PSNP
activities in three regions (Tigray, Amhara and Afar) out of the targeting ten are totally or
partially halted due to the war which has been lasted over the last two years.
57. In Tigray region, woreda by woreda caseload reallocation exercise has not been done at all in
the entire 55 existing PSNP Woredas due to security threats of the war in the North which has
been fought over the last two years. Hence, unlike other regions, the implementation of the
PSNP5 has not been commenced in Tigray region. Yet, there is a clear security risks to SEASN
AF2 for PSNP5 as all the PSNP Woredas in the region are not under the reach of the
implementation arrangements of the program.
58. The security risk assessment reveals severe adverse security threats of the war for the
implementation of the PSNP5 activities in Amhara region. Out of the eleven targeting Zones in
the region, the security risks from the war halted the program implementation in eight Zones.
This means, out of the total targeting 87 Woredas, the security threats from the war impacted 79
Woredas: all the 7 Woredas each in North Gonder, Central Gonder and Waghimira Zones, the
entire 11 Woredas each in South Gonder, North Wollo, and North Shewa Zones, all the 20
Woredas in South Wollo Zone, and the full 5 Woredas in Oromia Special Zone. The security
risk assessment shows that the program implementation in all of the aforesaid PSNP Woredas
has been halted due to the adverse security threats from the war: (a) the programing
542
implementing bodies (woreda project staffs and Task Force, Kebele Development Agents and
Task Force) and project beneficiaries have been displaced; (b) project facilities (offices, cars,
office equipment, food storages, and food distribution points) have been completely destroyed;
(c) project records and beneficiary database have been burnt; (d) the communication and road
infrastructures have been destroyed; (e) some of the war affected PSNP Woredas (e.g.
Abargele) are still out of the control of the program implementing arrangements.
59. Out of the five Zones in Afar region where the PSNP5 operates, the war affected two of them,
namely: Zone 02 where the project operates in 8 Woredas and Zone 04 where the project
operates in 5 Woredas. In implementation of the PSNP5 activities have been halted in all the
project areas in these two Zones for the same security threats of the war mentioned above for
Amhara region.
60. Despite the ceasefire and peace agreement recently reached between the two conflicting parties
in the war, the scenarios of the security risk assessment anticipates risks for the implementation
of the SEASN AF2 for PSNP5 in Tigray, Amhara and Afar regions. One scenario for the
potential security risks is that the complex political, economic, and social dynamics in the three
war-affected regions may contribute to the adverse impacts for the implementation of the
SEASN AF2 for PSNP5. The other scenario refers to the on-going peace negotiation between
the conflicting parties with no war ending solution yet to anticipate security risks.
Consequently, the contextual security risks from the war is assessed as substantially high for the
three war-affected targeting for SEASN AF2.
4.1.2.2 Resource based inter-ethnic conflicts

61. One of the recurring causes of conflicts common to all the pastoral areas of the project relates to
access to grazing pasture and water sources. This contextual security risk assessment applies to
all the pastoral groups in the project areas including: (a) the entire PSNP Woredas in Afar and
Somali regions; (b) PSNP Woredas in Borena and Guji Zones of Oromia region; and (c) PSNP
Woredas in South Omo Zone of SNNPRS. This has been caused by the degradation and reduced
carrying capacity of the rangelands (encroachment and little, erratic rain) combined with
continued overgrazing by large cattle herds. This results in competition over resources,
especially during droughts and dry seasons when the nutritional conditions of livestock are
meager. The limitations of the rangeland resources and the subsequent competition often lead to
violent conflicts between different pastoral groups in the above identified areas of the project
(Yohannes et al., 2005)104. According to the assessment in ESAC Phase II for SEASN PSNP5,
resource-based inter-group conflicts often pose security risks to project staffs, facilities and
activities implementation.
4.1.2.3 Territorial-based conflicts

62. Besides being valuable sources of livelihood, many natural resources such as rivers and forests
or grazing areas serve as the boundaries between neighboring pastoral groups in the project
areas. Hence, conflicts over access to natural resources often transform into more protracted
boundary and territorial conflicts. In some cases, this contextual risk factor has historical,
104
Yohannes et.al. (2005). Addressing Pastoralist Conflicts in Ethiopia. Africa Peace Forum Report.
543
political, social and economic roots. The recurring inter-ethnic conflicts and tensions between
the neighboring Borana (in Oromia region) and Digodi and Gerri (in Somali region) dominant
pastoral groups in South-East Ethiopia depicts a legendry case in point. The three pastoral
groups share common pastoral resources not only in Ethiopia but also across the border in
Kenya. But, the recurrent conflicts between the Borana on the one hand and Digodi and Gerri
on the other caused not solely due to ethnic divisions or disputes over resources. In addition, the
conflicts between the groups have been intensified and shaped by political factors, particularly,
the interventions of the government and local administrations, changes in administrative
boundaries, and completion over the economic control of the trade activities along the Ethio-
Kenya borders (Mohammud, 2015)105. The interview with Food Security Coordinator in
SNNPRS reveals another example of security risks for the project emanating from territorial-
based conflicts. The pastoral groups in the two neighboring PSNP Woredas Konso and Ale
Woredas often get into conflict due to claim over territorial boundaries. The local political
actors on both sides intensifies the situation posing security risks for the program
implementation.
63. Existing studies reinforce similar security risks. The inter-ethnic conflicts and hostility arising
from resource competition and territorial claim have been seriously hampering the intervention
of development projects by government and beyond (106Tadesse and Yonas, 2018; Mohammud,
2015). Therefore, the security risk assessment for the project reveals it is likely that this
contextual security risks will adversely impact on the implementation of SEASN AF2 for
PSNP5.
4.1.2.4 Armed group

64. The data sources from the interview with PSNP implementing stakeholders assessed that the
implementation of the PSNP activities in some target Woredas are seriously impacted due to the
security threats of the movement of armed group in the areas. The security situation in Goro
Dola Woreda Guji Zone, Tantale Woreda Borena Zone, Bosset Woreda East Shawa Zone, and
Hitossa Woreda Arsi Zone of Oromia region provides a typical case in point. In such project
areas, the security threats from the on-going conflicts and political tensions between the
movement of armed group and government military forces presents high risks to the project
staffs, facilities, assets, woreda and kebele level Task Forces, beneficiaries, and local
communities in general. As an empirical illustration, the implementation of the PSNP activities
has been halted in Goro Dola Woreda over the last five years due the serious security threats
and risks associating with the movement of armed group and counter military action by public
security forces. The project beneficiaries, project personnel and Woreda and Keble level PSNP
task forces have been displaced in fear of security threats and risks. To worsen the problem,
efforts of the PSNP personnel and task forces to remotely administer and resume the program
activities failed due to the disconnection of phone communication, absence of road
infrastructure and means of transportation to access those remote PSNP kebeles in Woredas
with such security threats and risks.
105
Mohammud Abdulahi (2015). The changing nature of pastoral conflicts in south-eastern Ethiopia: The case of
the Boran and Digodi pastoralists. Retrieved November 8, 2022 from https://www.saferworld.org.uk.
106
Tadesse Barhe and Yonas Adaye. (2018). The Impact of Local Conflict on Regional Stability.
https://www.files.ethz.ch/isn/123909/2007_05_01_Afar.pdf
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4.1.2.4 Insurgency and terrorism

65. Even though the risk of terrorism for the nation was assessed to be lower, the risk was much
higher for some PSNP Woredas along the Ethio-Somali borders. The regional and neighboring
political, social and economic instabilities with spillover effects from bordering countries such
as Somalia may create potential security pressures for those PSNP Woredas in Somali region
located along the Ethio-Somalia borders.
4.1.2.5 Socio-cultural practices

66. Retaliation or blood feuds: Retaliation or blood feuds are part of the culture of all the pastoral
ethnic groups occupying in the project areas. Individual ill acts can lead to a much larger ethnic
conflict, often between traditional rival groups. For example, if the Borena man kills his
neighbor Gerri (clan of Somali), the Afar kills his neighbor Somali man, the Dasenech kills his
neighbor Nyagatoms, the victim party will do the same on the other. What makes so critical
from the security risk analysis for the project is this type of conflict usually involves inter-ethnic
or sub-ethnic groups with the youth as the main fighting force. Likewise, a bordering ethnic
group may support one of the groups and the conflict of blood feuds may last for days or weeks.
67. Cattle raiding as source of recurring conflicts: Cattle raiding is another source of recurring
conflict common to all the pastoral groups in the project areas. Cattle raiding is generally
considered as an acceptable means to acquire assets, whether in times of retaliatory conflicts or
under normal circumstances. In particular, the need for cattle is very important for young men
who have no assets, as their inheritance is often small because it is divided among many
siblings.
68. The culture of dowry payments: Common to all the pastoral groups in the project areas is the
dowry (gift) for marriage is paid in kind (cattle or ruminants). The amount of cattle or ruminants
that will be paid for marriage is so high that young men who do not have assets can hardly meet
such an expense. As a result of these cultural needs, those who lack resources often resort to
cattle raiding from the neighboring ethnic groups. This socio-cultural practice is thus one of the
persistent causes of conflicts across the project areas.
4.1.2.6 Expansion of conflicts to non-pastoral areas/towns and groups

69. The vital point in the conflict analysis for SEASN AF2 for PSNP5 is, in all the CSRs stated
above, the conflict situations often expand to the surrounding non-pastoral areas/towns and
groups. For example, the usual disputes over resources and territorial boundaries between the
neighboring Somali and Oromo ethnic groups have widely expanded to the surrounding
agricultural communities, towns and to residents of other ethnic groups.
4.2 Project-Induced Security Risks

4.2.1 External risks
70. External Risks, such as those caused by the actions of people outside the project who seek to
take advantage of opportunities presented by the development and operation of the project, such
as common criminal activity; disruption of the project for economic, political, or social
objectives; and other deliberate actions that have a negative impact on the effective, efficient,
545
and safe operation of the project. In particular, poor governance system in cases of PSNP
Woredas affected by the war in the Northern part of Ethiopia and in Oromia and Somali regions
where there exist the movement of armed groups can fuel conflict or affect the project’s ability
to meet the Performance Standards due to weak regulations or weak enforcement of regulations.
4.2.2 Risks emanating from the use of security forces

71. As per the security risk assessment, there are several cases that necessitate the project to use
security force. Examples of such cases include: (a) Safety Net Transfers to Extremely Poor
Households (sub-component 1.3) involving safety net transfers (in cash or food). The security
risk assessment reveals that all the regions depend on the use of armed public security forces
for the protection of warehouses for food storage, and the movement and payment (in kind or
cash) of safety net transfers to targeted households depends. (b) Due to special security risks
(movement of armed group or terrorist attack) in some PSNP Woredas, Hitossa, Goro Dola,
and Besset Woredas in Oromia region; Derashe, Amaro and Burji Woredas in SNNPRS; and
Galadi and Filtu Woredas in Somali region for examples, the government deploy armed public
security forces (Special Forces in the respective regions, federal police, and defense army). In
such the cases, the use of security forces may pose security risks including unlawful detention
and the use of lethal force could result in loss of life. This includes mitigation measures to
manage risks to the human security of project-affected communities and project workers that
could arise from the use of security personnel.
4.2.3 Internal risks

72. Internal Risks comprise illegal, unethical, or inappropriate behavior of project personnel or
those directly affiliated with it, such as employee theft, workplace violence, and labor unrest,
potentially with associated sabotage that adversely affect the performance of the project
activities. One particular internal risks reported during interview with implementing
stakeholders is employee theft. For instance, according to project security risk assessment,
there are project cashier in some SNNPR who has been legally convicted for being
corrupted/illegally using the cash for Safety Net Transfer for personal purpose. Such illegal or
unethical act may continue to be the risk for the effectively implementation of the project.
4.2.4 Project service-induced security risks

73. As intended in PSNP5, the project services such as Safety Nat Transfers target certain groups
within the project-affected communities rather than extending to all members. That means the
project services makes distinction between beneficiaries and non-beneficiary groups within the
same community or area. Consequently, conflict of interest may occur between those who do
and do not have access to the project service in question. One typical source of project service-
induced security risks is the discontent due to exclusion and inclusion errors in the process of
selection for project beneficiaries. As several PSNP related assessment including ESAC Phase
II for PSNP5, over the implementation of PSNP I-IV, the exclusion of those who are eligible
and inclusion of those who are not has been generating a great discontent among those local
community members who unfairly excluded from the benefits of the program. The same
assessment anticipates that the problem will persist in the beneficiary selection process for
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PSNP5. Therefore, the conflict of interest between the beneficiaries and non-beneficiaries on
the one hand and between on-beneficiaries and PSNP task force and project staffs may
adversely impact on the implementation of the project.
5. POTENTIAL SECURITY RISKS IDENTIFICATION AND MITIGATION

MEASURES
74. On the basis of the security risks assessment for the project as highlighted in the preceding
section, this section first identifies potential security risks for the project. Then, security risk
analysis and rating is made to determining the level and types of security arrangements for
SEASN AF2. Finally, mitigation measures will be proposed accordingly.
5.1 Potential Security Risks Identification

75. As the security risk assessment in the previous section shows, security risks to SEASN AF2 for
PSNP5 may arise from: (a) operating environment that include contextual circumstances (e.g.
poverty, corruption, crime, legacy issues such as unsettled political claims or unresolved land
disputes), direct threats (e.g. organized crime, anti-industry movements, terrorism,
violent/armed conflict), national security requirements (especially where public security
presence is nonnegotiable); (b) relationship with local communities related directly to project
operations (e.g. labor and workplace, community health and well-being, population influx),
agitation from actions the project does not take (e.g. unmet community expectations, or where
benefit sharing is perceived to be lacking or unfair); and (c) security response to an incident
such as escalation from past interactions that increased tensions with communities. Backdrop to
this, the SMP identifies the following potential security risks to the project that requires or
prioritized for security response plan.
1. Continuing risks from the war in the northern Ethiopia: As assessed in Sub-section
4.1.2.1, the adverse security threats from the war in the northern Ethiopia affected 147
PSNP Woredas in the three war affected regions (Tigray, Amhara and Afar) in total. This
comprised almost one-third (30.5%) of the total Woredas in PSNP5. Despite the ceasefire
and peace agreement signed between the conflicting parties, in those affected Woredas,
there are potential risks to resume the project activities in SEASN AF2 for PSNP5 owing
to: (a) all the 55 PSNP Woredas in Tigray region are not yet under the reach of the
implementation arrangements for the program and this is true for some of the war affected
PSNP Woredas (e.g. Abargele) in Amhara region; (b) in war affected PSNP Woredas, the
project facilities (offices, cars, office equipment, food storages, and food distribution
points) have been completely destroyed to resume the program implementation; (c) the
responsible program implementing bodies at the lower level (woreda project staffs and
Task Force, Kebele Development Agents and Task Force, project beneficiaries) have been
displaced due to the war and not currently functional; (d) project records and beneficiary
database have been burnt; and (e) the communication and road infrastructures have been
destroyed.
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2. More common security risks: More common security risks are those caused by the actions
of people outside the project who seek to take advantage of opportunities presented by the
development and operation of the project. These may include armed robbery, common
criminal activity; disruption of the project for economic, political, or social objectives;
local community protest, and other deliberate actions that have a negative impact on the
effective, efficient, and safe operation of the project. In such cases, a security response
might result in risks to communities or individuals.
Other more common security risks include acts of violence. Threats arising from a general
break-down in law and order may include, individual and/or collective criminal acts. This
may include the threat of physical, mental, sexual or other harm or suffering, which may
result in injury, death, physical or mental disability or deprivation. These are generally
understood as acts of violence organized by groups against civilians or other non-
combatant targets.
More common security risks may also reveal as intimidation-attempts by criminals and/or local
armed militia and/or local government/informally organized forces to intimidate staff or
extort the project workers or project affected persons of money/possessions. Scenario
assumes limited fatalities but possible severe injuries.
3. Internal risks: There may be illegal, unethical, or inappropriate behavior of project

personnel or those directly affiliated with it. Most common risks would be employee theft,
workplace violence, and labor unrest, potentially with associated sabotage. Financial
corruption may also be a serious internal risks to the project. This may involve the abuse of
entrusted authority (public or private) for illegitimate (private or group) gain. It
compromises the institution’s capacity to perform its function in an impartial and
accountable manner.
4. Project service/benefit-induced security risks: As per the PAD, PIM and other project-
related document, the targeting of the program should ensure that the neediest receive
adequate assistance and that limited resources are used as effectively as possible. Contrary
to this, the exclusion of those who are eligible and inclusion of those who are not has been
generating a great discontent among project beneficiaries and those who are not. Despite
targeting for the PSNP5 is already done, the discontent due to exclusion and inclusion
errors in the process may persist between the program beneficiaries and non-beneficiaries
on the one hand and between non-beneficiaries and PSNP task force on the other.
Consequently, conflict of interest may occur between those who do and do not have access
to the project service in question —that may exacerbate the existing inter- and intra-group
conflicts. This may eventually develop into conflicts and tensions to affect the performance
of the project.
Previous studies based on the PSNP were reviewed to know if the problem of the exclusion
and inclusion errors has been investigated, what lessons learned and remedial actions taken.
A profound consultation of the PSNP Household Impact Assessments (2006-2012)107 and
107
Household Impact Assessment (2006-2012)
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PSNP IV ESAC108 revealed that the exclusion and inclusion errors were the common
experience of the selection process in the PSNP I-IV. Likewise, the reports of the ESMF
and SEP for the PSNP V documented the same finding emphasizing that the lessons
learned from the exercise of the previous PSNP I-IV and corrective actions to address the
problem have been insignificant. Yet, the finding of the ESAC for PSNP V summarized the
degree of the prevailing exclusion and inclusion errors that contradict with the key
principle of the PSNP: The targeting of the program should ensure that the neediest receive
adequate assistance and that limited resources are used as effectively as possible.
Therefore, referring to insufficient remedial actions based on the lessons from the exercise
of the PSNP I-IV, the ESAC for PSNP V predicts same trend of exclusion and inclusion
errors in the selection process of the PSNP V. It urges for designing appropriate mitigation
measures to lessen the discontents felt among the local communities.
Project benefit-induced risks may be unmet community expectation or where benefits sharing
is perceiving to be lacking or unfair Community members may express their frustration to
the miss-match among the community expectation and the actual outcomes of the project
activities. They may assume that some community members, woredas, cities or even
regional states are benefiting more compared to their condition or status.
5. Resource-based inter-group conflicts: One of the recurring causes of conflicts common to

all the pastoral areas of the project relates to completion over pasture and water sources.
The limitations of the rangeland and water resources and the subsequent competition for
access often lead to violent inter-group conflicts in pastoral community based PSNP
Woredas. In turn, often pose security risks to project staffs and facilities to impede on the
implementation of the program activities. Also, resource-based inter-group conflict in
pastoral based PSNP Woredas may be intensified…
6. Territorial-based conflicts: Besides being valuable sources of livelihood, many natural

resources such as rivers and forests or grazing areas serve as the boundaries between
neighboring pastoral groups in the project areas. Hence, conflicts over access to natural
resources often transform into more protracted boundary and territorial conflicts. In some
cases, this contextual risk factor has historical, political, social and economic roots. It is
likely that this contextual security risks will adversely impact on the implementation of
SEASN AF2.
7. Local conflict between ethnic groups and clans: Retaliation or blood feuds are common
cultural practices for the project areas occupying by pastoral groups. Individual ill acts can
lead to a much larger inter-ethnic conflict. Cattle raiding is another common cultural
practice causing to recurring inter-group conflicts in pastoral based PSNP Woredas. It is
considered as an acceptable means to acquire assets, whether in times of retaliatory
conflicts or under normal circumstances. In particular, the need for cattle is very important
for young men who have no assets, as their inheritance is often small because it is divided
among many siblings. Clan conflicts and personal revenge can engulf an area of operation,
turning it into an active area of fighting resulting in casualties on all sides including project
108
PSNP IV ESAC
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workers operating in the area who have nothing to do with the grievances of either side.
Scenario assumes possible fatalities of project staff.
8. Armed conflict between government and non-government forces: Threats arising in the
context of armed conflict, for example at the hands of, or as a result of, the activities of
armed forces and groups who are parties to a conflict. For some PSNP Woredas, the project
security risk assessment reveals the severe security threats to the project staffs, woreda and
kebele level Task Forces, beneficiaries, and local communities in general due to the
movement of armed group in the areas (for detail refer to Sub-section 4.1.2.3). As a result,
there are illustrative PSNP Woredas where the program implementation has been halted
due to the armed attack. Also, PSNP personnel and local government officials have been
killed or kidnapped be armed group for being government workers. The project
beneficiaries and local communities in general have been suffered from the same revenge
for cooperating with government officials or participating in development projects such as
PSNP5. As the armed attack and kidnapping is on-going, therefore, potential security
threats or risks is anticipated in the course of implementing SEASN AF2 for PSNP5.
9. Perceived threats of project security system: As the security risk assessment shows (see
Sub-section 1.2.2 for detail), there are several cases that necessitate the project to deploy
public security force. Examples of such cases include: (a) most regions depend on armed
public security force for the protection of warehouses while all regions use police force for
the required security service to project cashier during public work payment moving from
kebele to kebele; (b) in case of special security risks such as the movement of armed group
in some PSNP Woredas (Hitossa, Goro Dola, and Besset Woredas in Oromia; Amaro and
Burji Woredas in SNNPRS; and Galadi and Filtu Woredas in Somali region for examples),
the government deploy armed public security forces (Special Forces, federal police, and
national defense army) for the local security in general and project security need in
particular; and (c) for some security needs the project may involve the introduction of new
security system and arrangement such fences, checkpoints, guard dogs, security
surveillance cameras, or armed security guards. In such the cases, even though the
responsibility to maintain law and order lies with government, and the project is not
directly responsible for the actions of public security personnel, the project may be
associated with these actions in the eyes of local communities and other stakeholders.
10. Impacts from a security response: The actions of project security forces can pose a
significant reputational risk and can increase tensions with the local population. For
instance, a private security guard or the local police might engage in acts that are not
incompliance with the principles of proportionality, good international practice, and project
security code of conduct in the course of security response. For example, project security
personnel may engage in unlawful behavior such as unlawful detention, use excessive force
in dispersing a community protest, or use of lethal force could result in loss of life. To
arouse even more security risk, project security response may be backed with escalation
from past interactions that could increase tensions within and among the project affected
communities.
11. Security related allegations or incidents: Project security personnel may engage in
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unlawful and abusive against the project affected communities and project workers. Hence,
it is good practice and part of sound risk management for the project to have clear policies
and procedures for handling security-related allegations or incidents. While the project
normally have internal protocols for dealing with a range of security-related incidents such
as traffic accidents, theft or protests, and use-of force incidents, this potential risk focuses
more narrowly on procedures for handling allegations of misconduct or unlawful behavior
involving security personnel. This pertains to events occurring at the project site as well as
off-site, if linked to the project or involving public security forces providing security for the
project.
12. Risks related to public security management: Public security forces are typically outside
the project implementing agency MoA’s direct control and degree of leverage/influence.
For this reason, interaction with public security forces can be the most challenging aspect
of security for the project as it does not control the decisions or behavior of public security
personnel. This issue often arises when government security personnel are deployed to
provide security services related to purpose of the project, such as at times of community
uprising. Thus, in situations where public forces are responding to incidents related to the
project, the project implementing structures may loss control over the management of the
public security forces.
13. Security posed GBV risks: Both physical security measures and security guards can have
particularly significant impacts on women, who are likely to be traversing distances for
domestic tasks. They may be disproportionately affected by the presence of (typically male
and potentially armed) security guards, whom they may encounter daily in following their
routine. In some cases, women may be subjected to gender-related harassment or
intimidation or may be the victims of sexual violence.
14. Insurgency and terrorism: Even though the risk of terrorism for the nation was assessed to
be lower, the risk was much higher for some PSNP Woredas along the Ethio-Somalia
borders. The regional and neighboring political, social and economic instabilities with
spillover effects from bordering countries such as Somalia may create potential security
pressures for those PSNP Woredas in Somali region located along the Ethio-Somalia
borders.
15. Theft to construction materials at a project site: Theft of construction materials at project
site may be a security risk for mitigation measures. In particular, it may be a critical
problem for project construction works in the remote areas such as the construction of food
storage warehouse in remote Woredas and water shading equipment and materials in the
remote Kebeles.
16. Insecure road transportation: Insecure Road transportation including access blockage to
some project regions and woredas could happen, which affects the movement of people
including food transportation, construction workers, project staff for supervision and
monitoring support; as well as transportation of construction materials.
17. Occupational Health and Safety (OHS) risks: Under the AF2, no public works will be
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undertaken. However, in the parent project, large numbers of peoples participate in public
works and the sub-projects of this component, including watershed development, access
roads, rehabilitation and construction of public services such as water, schools, health
facilities, construction of community latrines, construction of small-scale irrigation, small
dams construction of flood control structures and others. Also, some of the public work
activities such as watershed and construction/rehabilitation of feeder roads may require the
participants to travel for long distance. These situations may pose different security risks to
the participants: risk of child labour and minimum age as the beneficiary households can
send children for public works; travelling to and from the public work sites may expose
participants to risks of physical attack from wild animal and strangers; occupation health
and safety risks from slips and falls due wet surface and hillside activities, dust can affect
eyes and cause respiratory problems.
In addition, transmission of communicable diseases is a concern including Covid-19 and

Sexually Transmitted Diseases notably HIV/AIDS. Construction activities may pose
potential health and safety concerns for the inhabitants within the vicinity of works
especially when construction is carried out near a village/community. Transport of
materials, equipment and workers will use existing roads which may cause disruption or
increase car accidents resulting in injuries or even death.
18. Community protests: Events and organized protests may take place in different project
areas as a means of expression of community members dissatisfaction towards a given
institution, political leader or administration. Threats may arise as a result of communal or
intra-group tension, within the project beneficiaries. These may be along ethnic and/or
religious lines. These may arise from competition for scarce resources such as land, water
or firewood. They can be directed against the humanitarian community in circumstances
where the camp population perceives they have been offered insufficient information prior
to a distribution or have developed unrealistically high expectations of assistance.
5.2 Security Risk Analysis, Risk Rating and Prioritization

76. For the above potential security risks identified, the level of the security risk classification for
the project is made based on the Risk Analysis Model suggested in WB’s Good Practice
Handbook (2017).109 This model uses a simple “Risk Register”—a security specific type of risk-
response chart—to list potential project related risks on the one hand and likely security
responses on the other. Accordingly, as shown in Figure 4, the Security Risk Analysis for
SEASN AF2 involves two important parallel procedures: first, it asks 10 key security risks
screening questions; and then, for each potential security risk, assesses the likelihood of its
occurrence considering the current conditions, contextual security risks and anticipated project-
induced security risks that are highlighted in the preceding section. The steps are briefly stated
as follows. Given these procedures, the ten steps involving the security risk analysis for the
project is highlighted below.
109
Good Practice Handbook (2017). Use of Security Forces: Assessing and Managing Risks and Impacts. Word
Bank Group.
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Figure 4 Steps in the Security Analysis, Risk Rating and Prioritization
Step One
77. What are the potential risks to the project that may require a security response? In view of
this step, Section 5.1 lists all realistically possible threats that may call for action by the
project’s (private and/or public) security forces. As the security risk assessment in Section 4
reveals the identified potential security for the project emanate from its operating environment,
security personnel’s relation with local communities, and security response to an incident. To
facilitate security risk analysis, security risks rating and prioritization for management plan,
those potential security risks identified in Section 5.1 are coded as shown in Table 3.
Table 13 Coding the Potential Security Risks Identified to the Project

Potential Security Risks Identified Numerical Code
Continuing risks from the war in the northern Ethiopia 01
More common security risks 02
Internal security risks 03
Project service-induced risks 04
Resource-based inter-group conflicts 05
Territorial-based conflicts 06
Local conflict between ethnic groups and clans 07
Armed conflict between government and non-government forces 08
Perceived threats of project security system 09
Impacts from a security response 10
Security related allegations or incidents 11
Risks related to public security management 12
Security posed GBV risks 13
Insurgency and terrorism 14
Theft of project construction materials 15
Insecure road transportation 16
Occupational and Health Safety (OHS) risks 17
Community protest 18
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Step Two
78. How likely is it that these risks will occur? For each potential risk, assess the likelihood of its
occurrence taking into consideration the current conditions, contextual security risks and
anticipated project-induced security risks discussed earlier under Sections 4. The rating of
likelihood is quantified using a Risk Score Range from 1 to 5. For the purpose of the SMP of
SEASN AF2 for PSNP5, the Risk Score is categorized into: 1 = never (light blue), 2 = rarely
(Green), 3 = often (yellow), 4 = very often (Red), and 5= regularly (grey). Following these
categorization, Table 4 presents the Probability Risk Score for the potential security risks
identified for the SEASN AF2 for PSNP5.
Table 14 Probability Risk Score for the Potential Security Risks Identified for the Project
Numerical Code for the Risk Score
Security Risks Identified 1 2 3 4 5
01
02 4
03 3
04
05 4
06
07 3
08 4
09
10
11 3
12
13 4
14
15
16
17 3
18
Step Three
79. What would be the likely security response? That is, given the potential security risks identified
for the project, step three states the security response most likely to occur: how would the
project’s security personnel react to the specified security risks?
Table 15 Potential Responses by the Project Security Personnel

Passive Deterrents Who is Likely to Respond
Type Example Private Security Public
Security
Access control Physical measures to prevent access to or passage through
restricted areas, such as gates, signage, guards, fences,
surveillance systems, etc.
Visual presence Guards (and guard dogs) stationed at access points to process
of security ingress and egress, but who also serve as a visible deterrent.
Observe and Guards observe, report, and record activity.
report
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Active Deterrents Who is Likely to Respond

Security
Verbal Guards issue verbal warnings to people who attempt or threaten to
instructions, attempt to circumvent physical security measures. The warnings
warning, refusal may include notice that additional security is being called.
of passage/entry
Show of force Guards increase their numbers or demonstrate their weapons as
visual indications of potential escalation of security response
Reasonable Guards detain people discovered to have trespassed or committed
detention theft, etc., on the company site for only as long as it takes for
police to arrive and assume responsibility.
Intimidation or Guards use their position (or, in particular, their weapons or guard
harassment dogs) as a tool for intimidating or harassing community members,
especially where no immediate risk or threat is present.
Escalation Who is Likely to Respond
Security
Use of nonlethal Guards use nonlethal force defensively (e.g., batons, nonlethal
force ammunition) to repel an external physical threat, subject to
existing use-of-force protocols.
Arrest by public Guards request the intervention of police to apprehend and/or
authorities arrest people alleged to have committed criminal acts such as
theft, trespass, assault.
Lethal force (to Guards use lethal force defensively to protect against an
protect life) immediate threat to human life, subject to existing use-of-force
protocols.
Inappropriate Guards detain people either for no legitimate reason, or for longer
detention or in conditions other than what is acceptable.
Inappropriate use Guards use nonlethal force offensively, or outside of acceptable
of force use-of-force protocols, or for illegitimate reasons (such as for
purposes of criminal activity, etc.).
Assault or torture Guards detain people and physically or psychologically harm a
detainee.
Inappropriate use Guards use lethal force offensively, or outside of acceptable use-
of lethal force of-force protocols, or for illegitimate reasons.
80. The analysis in Step Three consider both who (private or public security or both) is likely to
respond as well as how they are likely to respond. The level of risk analysis considers between
three possible types of security response: passive deterrents colored in green, active deterrents
colored in Yellow, and escalation colored in red or grey. The security risk analysis of the SEASN
AF2 for PSNP5 states that the possible security responses (see Table 5) ranges from those
colored in green (most likely and preferred security response) to those colored in grey (security
actions that are never acceptable).
Step Four
81. If a security incident/response happens, what would be the impact on the project? Assess the
likely effects of a security incident on the project’s “staffs, property, or activity implementation,”
should the incident occur. Impacts may arise either from the incident itself (such as loss of
property from theft) or from the security response to the incident (for example, aggressive
opposition to a protest could provoke a violent confrontation and risk causing injury to company
employees or damage to project property).
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Step Five
82. How severe would these impacts be on the project? Given the potential responses by the project
security personnel highlighted in Table 4, gauge the impact of security response on the project.
This may be presented through quantitative or qualitative rankings. The SMP for SEASN AF2
for PSNP5 uses a scale ranging from 1 (very little noticeable impact) to 5 (shutdown or
suspension of operations and/or injuries to employees).
Step Six
83. If a security incident/response happens, what would be the impact on the community? This
analysis considers how local community members may be affected by the project security
personnel or arrangements? The risk analysis and evaluation in the SMP include impacts from a
security response to an incident as well as impacts from the presence of the project itself
(including the introduction of potentially new security arrangements such as fences,
checkpoints, guard dogs, or armed security guards):
• Impacts from a security response: The project security response can come from private
or public security and can have an impact on a single community member or the wider
community. For example, a private security guard or the local police might engage in
unlawful behavior when interacting with someone suspected of theft, or they might use
excessive force in dispersing a community protest.
• Impacts from the presence of the project (and its security): The introduction of security
personnel into the local area may generate tensions where guards interact with
community members. Because one aspect of security is to control key access points,
security guards often are the first point of contact when community members come to the
area to request (or demand) access to land, thoroughfare, or employment.
Step Sven
84. How severe would these impacts be on the local community? Estimate the severity on the
community of the potential impacts identified in Step 6, based on how grave, widespread, and
irremediable the impacts are expected to be. This SMP uses a scale ranging from 1 (no
noticeable impact) to 5 (significant injuries to community members).
Step Eight
85. What are possible mitigation measures that prevent or reduce negative impacts? Table 7
identifies potential risk mitigation measures, taking into account potential security risks,
impacts on the project, and impacts on local communities. Mitigation options can decrease the
risk itself (and thereby the need for a security response) or decrease the potential for negative
impact where a security response is necessary.
Step Nine
86. Which risks are highest priority for mitigation, based on likelihood and severity of impact?
The analysis in the SMP for the SEASN AF2 for PSNP5 focuses on addressing the most
significant risks—those that are most likely to occur and that would have the greatest potential
negative impact (on the project, the community, or both) if they did occur. For each identified
risks, the severity rating matrix in Figure 5 plots the Likelihood “scores” on the X-axis and the
556
higher of the two impacts “scores” (Project Impact or Community Impact) on the Y-axis. The
Y-axis value captures the greatest risk, whether to the project or the community. The resulting
simple grid can be an early-indication heat map to help guide and prioritize addressing the most
imminent and severe security risks to the project, the community or both. Accordingly, the Heat
Map in Figure 5:
Figure 5 Heat Map to Prioritize Security Risks to the SEASN AF2 for PSNP 5 Project for
Mitigation
High
Impact
5
Severity of Impacts
01, 02, 05, 06,

4 07, 08, 11, 14,
14
04, 09, 10, 12,

3 15, 16, 17, 18
03
2
Low
Impact
1 2 3 4 5
Unlikely Near Certain
Likelihood of Impact
Step 10
87. Is a stand-alone SMP needed? The analysis and level of risk rating for the SEASN AF2 from
Step One to Step Nine, justifies:
a) The overall security risks to the project are substantially high and/or the potential impacts
on local communities from a security response may be severe.
b) The contextual security risks are particularly complicated, or public security forces are
likely to have a significant role. Therefore, the overall project security risk analysis and
risk rating for the PSNP targeting regions recommends the preparation of a stand-alone
SMP
c) Given the Project’s Contextual Security Risks assessed under Section 4 and Security Risk
Analysis, Risk Rating and Prioritization detailed in Section 5.2, the PSNP targeting
regions have differential prior security threats profile. Likewise, for the justification
highlighted for each Potential Security Risks Identified for the project in Section 5.1, the
potential security risks do differ across the PSNP targeting regions. Considering this
fact, Table 6 presents the Situation Analysis Matrix for the security within the PSNP
targeting regions. For each potential security risks by targeting regions, the Risk Rate is
categorized as follows: High Risk (colored in Red), Medium Risk (colored in Yellow),
and Low Risk (colored in Green).
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Table 16 Situation Analysis Matrix for the Security Risks within the PSNP Targeting Regions
Numerical Code for the PSNP Targeting Regions by Risk Rate
Security Risks Identified Amhara Afar Somali Oromia SNNPR SWEPR Sidama Tigray Dire Dawa Harari
01 High High High Low Low Low Low High Low Low
02 High High High High High High Medium High Medium Medium
03 Medium Medium Medium Medium Medium Medium Medium Medium Low Low
04 High High High High High High High Not Applicable High High
05 Low High High High High High Low Low Medium Medium
06 Low High High High High High High Low Medium Low
07 Low High High High High High Low Low Low Low
08 High High High High High High Low High Low Low
09 Medium High High High High High Medium High Medium Medium
13 High High High High High High Medium High Low Low
14 High High High High High High Low Medium Low Low
15 HIgh High High High High High High High Medium Medium
17 Medium Medium Medium Medium Medium Medium Medium Medium Medium Medium
18 High High High High High High Medium High High Medium
.
Note: For Numerical Codes Please Refer to the Coding Procedure in Table 3
558
5.3 Proposed Mitigation Measures

88. The preparation of this project PSM aims to support the project implementing agency the MoA
in assessing and managing risks to the human security of project-affected communities and
project workers that could arise from the use or presence of security personnel that will be
engaged to protect the project or related aspects. To this end, the project security management
measures propose diverse strategies as highlight below.
5.3.1 General security mitigation frameworks

89. One of the key finding from the phone interview with the Regional Food Security Coordinators
(RFSCs) and woreda PSNP staffs is that the project regularly depends on the use of public
security forces for its needs. Particularly, in all PSNP target areas, the project depends on the
services of the local police for its various security needs: projecting the Project Cashiers from
risks of robbery during the movement in kebeles where an e-payment system is not began yet
for Safety Net payments and keeping peace and order at the project food distribution points, for
example. In PSNP Woredas where there is high security risks from armed groups such as
Hettossa woreda in Arsi Zone, Bosset woreda in East Showa Zone, and Goro Dola in Guji Zone
of Oromia region, the project depends on the security services of the Federal Police and
Regional Special Force to project the project staffs and local communities. The finding from the
phone interview further shows that the use of Private Security Personnel is not common while
the use of the public security forces will continues in the SEASN AF2 for PSNP5.
90. On the basis of the above stated findings, the security risks and adverse impacts to the project
staffs and assets and local communities from the use of public security forces are assessed as
high. Hence, the project SMP recommends the inclusion of general security frameworks as well
as project area-specific mitigation measures. The following general security mitigation
frameworks are proposed while the project area-specific mitigation measures are stated next.
• Apply mitigation hierarchy to: (a) anticipate and avoid project-related security risks and
adverse impacts; (b) where avoidance is not possible, minimize or reduce risks and
adverse impacts from the use of security forces in the project to acceptable levels; and
(c) once risks and impacts have been minimized or reduced, apply appropriate
mitigation measures as proposed in Table 7.
• Adaptive approach: Given the changes in the project area-specific security risk factors,
when risks may be higher or lower, it is important that security risk management and
mitigation be adaptive and able to change in response to needs. If security issues
escalate or deescalate, the SRA and any management plans should be adjusted,
following discussion with the Bank. A summary of material changes should also be
communicated to local stakeholders including the project focal persons at the woreda
and kebele level for monitoring the implementation of the project SMP as per the
changes outlined.
• Active community engagement: Community engagement is a key component of an
effective security strategy. Proactive engagement and positive relationships with
communities and workers can provide the best opportunity to ensure security and
substantially contribute to overall security in the project area. Dialogue with
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communities about security issues can help to identify potential risks and local concerns,
and can serve as an early warning system.
• Effective project level grievance mechanism: Developing a clear and sound policies and
procedures for handling security-related allegations or incidents can avoid or
significantly reduce security risks and threats due to the use of security force for the
project purposes. It is important that the project-level grievance mechanism be able to
accept concerns or complaints regarding the conduct of security personnel and that such
concerns and complaints, as well as any associated evidence and facts, be promptly
documented and assessed and action be taken to prevent recurrence. The responses
implemented in response to complaints will be monitored and the outcomes
communicated to relevant parties, taking into account the need to protect the
confidentiality of victims and complainants.
• Enhance project’s social benefits: Some mitigation measures can reduce project-related
security risks and adverse impacts may be associated with its overall social benefit
packages. Such social benefits may include project’s investment in rehabilitation or
sustainable management of natural resources through its Public Work (PW) activities.
• Further mitigation frameworks: The discussions under project security arrangement
(section 6), project security management (section 7), security supervision and control
(section 9) and project security operating principles and procedures incorporate further
overarching mitigation measures.
5.3.2 Context-specific mitigation measures

91. The findings of the security risk assessment (see section 4 for details) reveals, PSNP5 operate in
the regions and PSNP Woredas with different security profiles. The level of potential security
risks and adverse impacts to the project and local communities is not the same either. In line
with this, the findings from the interview with the project implementing entities (from federal to
local level) and TLA reports identified project area/site-specific security risks factors:
• Disproportionate security risks and adverse impacts were assessed for Tigray, Amhara
and Afar regions due to the war in the northern part of the country. Likewise,
international organizations that have been providing humanitarian aids and services in
these war-affected regions classified the areas under fragility and conflict situation
(FCS).110 That is, the complex political, economic, and social instabilities and dynamics
in these project operating areas can present a unique and unexpected security risks and
threats with serious negative impacts to the project operation compared to other project
operating areas.
• The security risk factor for some PSNP Woredas pose a differential risks and adverse
impacts due to the movement of armed group. Hettossa woreda in Arsi Zone, Bosset
woreda in East Showa Zone, Tantale woreda in Borena Zone, and Goro Dola in Guji
Zone of Oromia region provide the case example in this regard.
• Even though the risk of insurgency and terrorism for other PSNP operating regions was
assessed to be lower, it is assessed higher for Somali region. Particularly, those PSNP
110
UNFPA Response to the Northern Ethiopia Crisis: Situation Report, October, 2021.
560
Woredas along the Ethio-Somalia borders fall under the differential security risks and
impacts from the terrorist group in neighboring countries.
92. The above findings, therefore, propose a differential security mitigation measure in addition to
the general security management frameworks proposed in this document including:
• For the above mentioned PSNP operating areas with differential security risk factors, it is
recommended that the MoA designate appropriate independent social expertise to
undertake an Area-Specific Security Risk Assessment.
• Developing Area-Specific Security Management Plan: Depending on the severity and
complexity of security risks, develop mitigation strategies tailored to the area.
• Agreement with the World Bank Group (WBG): Given the differential security risks and
adverse impacts to the Tigray, Amhara and Afar regions from the fragility, conflict and
violence associating with the recent war in the northern Ethiopia, it is strongly
recommended that conditions are agreed between the WBG and MoA for resuming the
project implementation in these three regions.
5.3.3 Hierarchy of operational security documents

93. Hierarch of operational security documents are the different forms of written agreement with a
binding legal responsibility for those involving agencies (from federal to local level) in
implementing and monitoring the project SMP.
94. Project SRAMP: It is the overarching plan that contains all the procedures and protocols (see
Section 9) related to security for the project. Building on the SRA (see Section 4), the project
SMP describes how and by whom security will be managed and delivered (see Section 8), the
resources required (see Table 7) and the behavior that is expected of security personnel (see
annex 2 and 3). As is the case for other ESMPs, the main implementing agency for the SMP is
the MoA. The MoA through the FSCO and implementing entities at the regional and woreda
level is responsible for the overall supervision and cross-functional coordination of the daily
performance of the project security personnel.
95. Region and location-specific SRAMP: Regional and location-specific SRAMP will be
developed and implemented as described under the subsection 5.3.2 above.
96. Environmental and Social Commitment Plan (ESCP): The ESCP incorporates an accurate
summary of the material measures and actions by the MoA (as proposed in this SMP) to
manage risks to the human security of project-affected communities and project workers that
could arise from the use of security personnel. Also:
• ESCP form the basis for monitoring the project security performances as set out in this
SMP. The overall requirements and responsibilities will be set out clearly in the ESCP,
so that there is no ambiguity around compliance, timing and monitoring.
• For the implementation of the PSNP in Tigray region, the requirement for the
involvement of the Third-Party Implementer (TPI) and Third-Party Monitor (TPM) is
included in the ESCP.
561
97. Memorandum of Understanding (MoU): To implement the general and project area-specific
security risks mitigation measures set out in this SMP, MoA will appoint a suitable focal person
at the PSNP woreda and kebele level among the full time PSNP personnel. On behalf of the
MoA, the focal persons are responsible for the materialization of the security risks mitigation
measures as set out in the project SMP at the woreda and kebele level. A memorandum of
understanding is a formal, written agreement between the woreda and kebele focal persons and
the public security organization (such as local police and Militia) and/or its public security
forces, which establishes and documents agreed key expectations and decision-making
processes and procedures. It allows the project, MoA through its focal persons at the local level,
and public security forces to delineate their respective roles, duties, and obligations regarding
security provision as per the project’s needs.
98. Procurement document: Procurement document is an agreement signed between the MoA and
a contractor and private security provider organization (PSPO). A contractor is a private,
company or organization engaged with the project implementing agency MoA for non-security
related project services. Such services may include: transporting the project commodities from
the central (federal) warehouses to the specific PSNP Woredas or kebeles; constructing food
storage house in the woreda; constructing food distribution point in the kebele . . .etc. In
contrast, PSPO is a company engaged by the MoA to private security personnel as need by the
project. Specific risk management and mitigation measures may differ depending on whether a
contractor engages private security personnel, or whether the MoA and a contractor agree that
public security personnel will be used to provide security for its engagement in the project. In
case the MoA and a contractor agree to engage PSPO, a procurement document refers to the
legal contractual agreement between the MoA and PSPO. The document includes clear
commitments regarding a Code of Conduct; training of proposed private security personnel and
vetting of their record, as well as security procedures in case of alleged contract or Code of
Conduct violations, including for cases where security personnel use excessive force,
intimidation, or retaliation; and a summary of sanctions applicable. The MoA will send a copy
of the document to the woreda and kebele focal persons for monitoring the performance of the
PSPO as compliance with the project SMP.
99. In the case of engaging PSPO, MoA and a contractor may have control over the private security
personnel contracted for the project, but monitoring security issues is important, and a
contractor should be aware that these issues are being monitored by the MoA and its focal
persons at the PSNP woreda and kebele level. Although security is often sub-contracted,
ultimately, the MoA is responsible for the commitments made on the project.
100. Environmental and Social Review Summary (ESRS): The project SMP will be reviewed
by the Bank Social Safeguards Team during supervision missions. Accordingly, risks related to
project security and security personnel observed during supervision missions will be noted in
the Environmental and Social Review Summary (ESRS). The level of detail in this analysis
should be proportional to the level of risk and be referenced in the project Implementation
562
Status and Report (ISR). The ISR will note any significant changes in the project security
situation and/or the composition of private security and/or provision of public security. These
will also be noted in supervision reports on environment and social performance along with a
summary of incidents or credible allegations of abuse by public or private security personnel in
or around the project site, as well as updates on actions/follow-up related to previous incidents
or allegations.
101. Where incidents or grievances regarding security have been identified, the risk profile of
the project may need to change, and the Bank’s supervision may need to increase, such as more
frequent monitoring trips or the use of third party monitoring.
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Table 17 Proposed Mitigation Measures

Identified Proposed Mitigation Measure Responsible Body Estimated
Potential Budget in
Security Risks USD Lump
Sum for 5
Years
• The security management in the Tigray, Amhara and Afar regions recommend a differential mitigation • MoA top $ 2,000,000
measures: management
✓ Conduct Area-Specific Security Risk Assessment for rigorous analysis of the current status of the • FSCO
contextual security risk factors and anticipate the complexity and multidimensional risks for the
management. • TPI and TPM as
required
✓ Depending on the findings the Bank may recommend to engage TPI or TPM: (a) for High Security Risk
or contentious that involve serious multidimensional environmental and social risks and impacts; (b) in
situations where the FSCO in the MoA has limited capacity to assess and manage environmental and
social risk; (c) in situations of increasing fragility, conflict, and violence (FCV) that limit the project
implementing arranges to access project sites.
Continuing risks ✓ The TORs that reflect the scope of work, qualification and experience of the TPI and TPM are annexed
from the war in herewith this SMP (see Annex 6).
the northern ✓ Conduct security risk assessment every six month and review the security mitigation measures
Ethiopia accordingly
• The recommencement of the PSNP in the Tgrary region and parts of the Amhara and Afar regions affected by • MoA top $ 10,000,000
the war, the MoA need to agree with the World Bank Group on how to: management
✓ Re-staff PSNP personnel where previous staffs have been displaced or not on duties. • FSCO
✓ Re-establish woreda and kebele level PSNP Task Forces. • Respective
regional
✓ What short-term solutions are implemented to overcome the problems due to the destruction of project administration
assets, offices and project beneficiaries’ records?
• RFSOs
✓ Re-build the project offices and food storage warehouses, food distribution centers and provision of •
project facilities such as office equipment and cars.
More common • Site access control: guidelines for security personnel on how to interact with community members seeking • MoA $ 50,000
security risks access to a project site or raising a concern (for example, training on the grievance redress mechanism and Code
of Conduct). • Contractor
564

Potential Budget in
Sum for 5
Years
• Use of physical security personnel. s
• Perimeter fencing especially materials areas, storage areas and camp(s)
• PSPO
• Installation of surveillance Camera/CCTV and alert system.
• Establish formal and consistent reporting and communications mechanisms with local police and other security • Local
related stakeholders. Police
• MoA Budget not
required.
• Strictly apply the project LMP • Formal legal
Internal risks • Formal disciplinary measures against project staffs or those who are affiliated with project implementation with system (local
illegal acts police and
court)
• Sharing of lessons learnt from previous incidents with all stakeholders. • FSCO Budget not
• Investigation and remedial actions in those PSNP Woredas with serious complaints of exclusion and inclusion • Woreda and required
errors. Kebele Task
Project • Considering the possibility of new registration of beneficiaries in those PSNP Woredas where residents loss their Force.
service/benefit- assets and means of livelihood. • Woreda project
induced • Fair project social benefit packages staffs
security risks • Proactive communication strategy and conflict early warning and resolution mechanisms. • Kebele DAs
• Strictly adhere to the provisions set in Project Implementation Manual
• Accessible and repeated community members consultations composing both program participant, non-participant
community members and local administration representatives
• FSCO Budget not
Resource and • Solving factors such as illegal border trade and ill political intervention that escalate resource and territorial based • Woreda and required
territorial conflicts and tension, particularly in project areas with pastoral communities. Kebele Task
based inter- • Implementing project social benefit packages such as community investment, or good stakeholder engagement Force.
group conflicts with local communities. • Woreda project
• Proactive communication strategy and conflict early warning and resolution mechanisms. staffs
Kebele DAs
Local conflict • Ensure FSCO recruits, equips, and trains security forces consistent with Program SMP • FSCO Budget not
between ethnic • Conducting socio-economic conflict analysis to understand the root cause of border conflicts in program • RFSCs required; it is
groups and implementation areas. • Woreda and part of the
clans Kebele project overall
• Map out’ individuals, organizations and strategies that could help resolve border conflict security risk
565

Potential Budget in
Sum for 5
Years
• Early identification and management of conflict Intensifying factors: ethnic conflict, recent violence, historic staffs assessment
animosity, weakness of claimant groups
Armed conflict • Conducting socio-economic conflict analysis to understand the root cause of border conflicts in program • FSCO Part of the
between implementation areas. overall
government • Map out’ warring factions, individuals, organizations and strategies that could help resolve border conflicts security risk
and non- • Early identification and management of conflict Intensifying factors: ethnic conflict, recent violence, historic assessment
government animosity, weakness of claimant groups (to control potential break-outs
forces: • Identify conflict ‘warning signs. Communities can make a list of warning signs that would be evidence of
increasing border tensions within or between communities
• Project security personnel (whether private or public) should not involve in the process of project-related land • FSCO Budget not
acquisition, compensation and resettlement as that may create sense of threat to the project affected communities. • RFSCs required
• Engagement with project affected communities about the project's impacts on community safety and security as • Woreda and
set out in this SMP and SEP. Kebele project
Perceived threats of • Awareness raising concerning the Code of Conduct commitment and project grievance mechanism, as outlined in staffs
project security the Stakeholder Engagement Plan (SEP) and this SMP. • PSPO
system • Community members should be aware of their ability to make complaints without fear of intimidation or
retaliation
• Proactive engagement and positive relationships with project affected communities. MoA and project Contractor
communicate their security arrangements to the project affected communities, subject to overriding safety and
security needs.
• Decrease the need for the project security response, that is: • FSCO Budget not
✓ Make illegal or threatening behavior more difficult and less appealing. Use lower-level security measures to • RFSCs required
prevent the need for a higher-level response (e.g. higher fencing, greater visual presence of security). • Woreda and
✓ Understand and mitigate the underlying causes for security risks. Address security risks with a social solution Kebele project
(e.g. reduce community members’ trespassing to gain access to a water source by providing a direct route to staffs
Impacts from a the water source or by providing a new water source if possible). • PSO
security ✓ Ensure that community members have access to a grievance mechanism. • PSPO
response • Improve the outcome of the project security response, that is:
✓ Reduce the risk of an inappropriate use of force by creating the conditions for a professional guard force
capable of an appropriate and proportional response (such as through vetting, training, strict control of
weapons and ammunition, oversight).
✓ Ensure that Guards have clear guidelines for apprehension and short-term detention.
• Reduce the risk of a more severe outcome from the use of force, that is:
566

Potential Budget in
Sum for 5
Years
✓Consider authorization of access to and use of lethal force by the project security personnel to be an exception
that must be justified by the level of risk.
✓ When authorized, weapons and ammunition should be subject to strict protocols and access controls.
• Establish accessible and effective grievance mechanism to receive security-related concerns or complaints. • FSCO Budget not
• Ensure confidentiality to protect complainants from potential retaliation by security personnel. • RSFCs required.
• Serious allegations and incidents should be reported to senior project management immediately and report to • PSPO
the appropriate government authorities within 24 hours. • PSO
Security related • Assessment should be started immediately with the objective of determining whether the project’s security • The Court
allegations or protocols and procedures were complied with and if any corrective or preventive actions are required. system
incidents • In case of potentially criminal wrongdoing or unlawful acts, collect information promptly, and take corrective
and/or disciplinary measures to ensure that negative impacts are not repeated. The outcomes should be
communicated to complainants and other relevant parties, keeping in mind confidentiality provisions and the
need to protect victims.
• It is important that allegations related to public security personnel be investigated by a neutral party.
• Ensure Private Security Provider recruits, equips, administers, and trains security forces consistent with the • FSCO Part of overall
project SMP. • RFSO security
• Assess the risks posed by public security forces and seek opportunities to engage with them to try and reduce • Woreda and training
such risks. Kebele
Risks related to dedicated
• Establishment agreement on rules of public security engagement and conduct— documented, if possible, in a
public security project security
Memorandum of Understanding or similar agreement.
management focal persons
• Engage with public security officials and authorities and make efforts to influence the outcome of public • PSP
security response. For example, creating a joint-task force comprising government authorities (kebele, woreda • PSP
and regional officials), FSCO, Local Area Project Personnel, and representative of project contractor.
• Strictly adhere to the policies and protocols of managing private and public security management discussed in
Sub-section 6.2.1. and Sub-section 6.2.2
• FSCO GBV/SEA
• Strictly adhere to the provisions set out in the project GBV Action Plan. • RFSCs training is part
Security posed GBV • Awareness raising training for security personnel (both private and public) on GBV. • Woreda project of overall
risks • Awareness-raising training for women and local community members. staffs security
• Grievances that deal with gender-related allegations must be handled very carefully, with respect for the • Regional bureau training
confidentiality of the complainants, survivors and their families. and woreda
office of women
567

Potential Budget in
Sum for 5
Years
and Social
Affairs
• Assess specific project areas with risk of armed conflict and kidnapping and plan for special project security • FSCO Budget not
arrangements (e.g., establishing fixed public security system) to include avoidance, dependent on WBG & MoA • Public security required, can
risk tolerance levels and pre-agreed triggers for suspension of activities. agencies be done as part
Insurgency and • Needs the involvement of national security and army. (regional and of periodic
terrorism • Incident reporting: means of receiving and reporting incidents and allegations, and guidelines for receiving and woreda peace security
following up on them, including procedures for reporting to the relevant government authorities and the Bank, and security assessment
as required. heads, local
• Proactive security measures. For examples, relocation or evacuation of project staff during such conflicts, police)
defining ‘triggers’ for suspension of activity/relocation/evacuation.
• Site access control: guidelines for security personnel on how to interact with community members • Woreda $ 10,000
seeking access to Program site or raising a concern (for example, training on the grievance mechanism and Code program
of Conduct). coordinator
• Use of physical security personnel. • Contractors
Theft to • premises fencing especially materials areas, storage areas like construction sites • Local police
construction • Establish formal and consistent reporting and communications mechanisms with local police and other
materials at a security related stakeholders.
project site • Strengthen physical security measures (fence, gate check, store lock)
• Assign additional security guard in collaboration with local administration
• Manned guarding: Entry and exit monitoring; locking away and security marking of plant, tools and equipment,
hazardous materials, etc.
• Managing and operating technology which supports security, such as setting alarms and automated systems.
• Cont Budge not
ractors required
• Enhanced Information and Communication platforms between Worreda program implementation unit
• Publ
Insecure road and local public security forces.
ic Security
transportation • Increased coordination and information sharing on potential security risks from armed groups’
Officials
including locomotion in the area with other trusted public security actors.
• Arm
access blockage • Thorough risk assessment and contextual analysis, in addition to routine measures, necessary for
y
detecting armed groups presence in the area.
• Com
• Suspension of program activities in forest areas, presence of armed clash is detected.
mands
• Polit
568

Potential Budget in
Sum for 5
Years
ical Officials
• Strictly apply the program LMP; purchase and supply of PPE materials; enforce the workplace safety $ 10,000
features as per the OHS plan.
• Awareness raising training on work-place safety cultures, including road safety.
• Establishment of first-aid corner or mobile first-aid boxes.
• Basic first-Aid training to program workers and Forest management cooperatives members.
Occupational • Excavation near security personnel workstations should be provided by edge protection to prevent
Health and falling in.
Safety (OHS) • Speed of vehicles used for security purpose should be controlled in the work area and on public roads,
risks to the extent possible.
• Security vehicles should be operated by competent personnel.
• Flagmen should be assigned to coordinate traffic in the work area.
• Traffic signs should be used in the work area.
• Safety zones must be created in the work area with the speed of the traffic taken into account.
• Ensure that adequate ingress and egress is provided for security personnel in their duty stations and
throughout the work area.
• FSC Budget not
• Enhanced Information and Communication platforms between Woreda program implementation unit and local O required
public security forces
• RFS
• Increased coordination and information sharing on potential community protests with other trusted public Cs
security actors
Community protests • Wor
• Suspend movement of project workers and materials/equipment when the security situation from community eda program
protest is very serious and wait until the security situation is returned to normal. coordinators
• Closely work with the local police for support or assign security personnel in areas where there are potential • PSO
community protests.
• PSP
O
The topics of security Trainings provided include: security risk assessment and management plan; occupational • FSCO $15,000
health and safety; security operating procedures; incident reporting and response; human rights; GBV/SEA; EHS
Training risks on safety hazards at the project site; use of force; stakeholder engagement plan; and grievance redress • Contractors
mechanism. Moreover, for project staff who will be deployed to high-risk areas will receive hostile environmental • Local police
awareness training.
569
6. PROJECT SECURITY ARRANGEMENT

102. This Security Management Plan is an important industry standard tool that describes how
security will be managed and delivered for SEASN AF2. Building on the SRA done earlier, the
SMP describes the overall project security arrangements, procedures and protocols related to
security management.
103. Decisions on the appropriate scope of the project’s security arrangements, whether to use
private or public security force, are guided by an assessment of (a) potential risks to the
project’s personnel and property, which may require a security response; (b) appropriate
responses to the identified security risks; (c) potential impacts of a security incident on the
project, local communities, and other parties; and (d) potential mitigation measures. Hence, this
SMP designs and implements security arrangements that are proportional to the nature and
significance of the identified potential security risks and the project’s operating environment,
and that take into account both GIIP and national law.
6.1 Private Security

104. Private security guards may be contractor’s or project implementing agency’s employees or be
contracted through a third-party security provider company. The operation of the PSNP5 may
engage some type of private security—whether in-house employees or contracted security
providers. This may involve guarding a building in the center of a populated area or patrolling
more remote territories and it can range from a single guard or night watchman to a large force
of armed guards. Decisions regarding the type, number, responsibilities, and arming of private
security forces follow from an assessment of the security risks and appropriate responses. In any
case, one possible project security arrangement comprises the use of private security. Figure 6
summarizes fundamental aspects of private security in the context of the SEASN AF2 for
PSNP5.
Figure 6 Fundamental Aspects of Private Security
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6.2 Public Security

105. Government security personnel may be deployed to provide security services related to project
workers, assets and affected communities. Depending on the level of security risks, the use of
public security for the project may range from local militia, local police force to engaging
national army. Public security forces involvement in the project security is typically driven by
the type, strength, training, and equipment of public security forces proportionate and
appropriate to the actual or potential security threats to the project workers, properties and
affected communities. Figure 7 summarizes the link between level of security risks and
requirement for public security deployment.
Figure 7 Link between Level of project Security Risk and requirement Public Security
Deployment
6.3 Physical Security

106. Physical security system is among the project security arrangement. Certain security aspects
may be solved just through physical security system including security barriers, such as fences,
gates, locks, guard posts, and surveillance/electronic security systems used.
107. However, the use of physical security may be perceived by the project affected communities as
the threat to their day-to-day life. Hence, the project-affected communities should be engaged in
the decision making regarding what type of physical security measures be used. The decision on
the type of physical security measures shall involve the following process:
• First, Woreda and Kebele dedicated security focal persons assigned by the MoA in line
with the operating procedures described under the Subsection 5.3.3 will assess what
aspects of the project operation better suit for physical security measures. For example,
protecting food storage warehouses (at the center/federal, regional or woreda), Kebele
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food distribution points or payment centers for public works, creating buffer zone for the
activities of water shading, biodiversity conservation and sustainable management of
living natural resources can be appropriate for physical security measures.
• Second, in line with the above identified aspects of the project, the Woreda and Kebele
focal persons will assess what type of physical security measures are effective. For
instance, fencing with controlled access/gate can be appropriate the food storage
warehouse. Propose the appropriate physical security measures taking the likely
perception and reaction of the project-affected communities into account.
• Third, community meeting will be called for and the Woreda and Kebele focal persons
will communicate the security assessment inputs from the first and second steps. Then,
the views and concerns of the member of the project-affected communities will assessed
on the physical security measures proposed in the second step and decision will be
reached accordingly.
• Finally, the Woreda and Kebele focal persons will implement those types of physical
security measured agreed with the project-affected communities.
7. PROJECT SECURITY MANAGEMENT

108. The Security Management Plan is an important industry standard tool that describes how
security will be managed and delivered in the course of project implementation. This section
outlines the policies, procedures and requirement to be followed by the project in managing
private and public security.
7.1 Managing Private Security

109. When hiring private security (as employees or through a third-party firm), the project
implementing agency MoA ensure consideration and integration of a wide range of issues into
the contracts with the Private Security Provider Organization (PSPO). The contract should
retain the PSPO’s responsibility for ensuring that minimum standards are met. Annex 2
provides the Template Contract with a Private Security Provider Company. More specifically,
as per the provision in the Handbook of Security Forces of the World Bank Group (2017), key
considerations when hiring private security in the operation of the project includes the
following.
7.1.1 Oversight
110. If security is outsourced to a PSPO, day to day management of the security personnel would
normally sit with the PSPO management structure. The MoA would be responsible for
contractor management and ensuring that contractual obligations are met.
7.1.2 Contractual agreement

111. Project contractor’s relationship with private security for its need should be managed through a
formal process. For security personnel who are project contractor’s staff, this should be through
an employment contract and internal contractor organization’s policies and procedures. For
external PSPO—as with any contractor—the company should make its performance
expectations explicit in the form of a detailed contract agreement with the MoA or project
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contractor in need of the private security service. It is recommended that the contract agreement
include standards of performance for security tasks and expectations of conduct as well as
provisions for the MoA or project contractor organization to review relevant documents and
materials and to audit the PSPO periodically—and to terminate a provider’s services if the
standards are not met. Annex 2 provides Template Contract with a Private Security Provider
Company.
7.1.3 Vetting and hiring procedure

112. The requirement in the SMP for SEASN AF2 for PSNP5 set out that who provides security is
as relevant as how security is provided. Thus, the provisions in the project expect MoA or
Project Contractor to “make reasonable inquiries to ensure that those hired to provide security
are not implicated in past abuses.” In view of this provision, MoA or Project Contractor should
not knowingly employ or use any individuals or PSPOs that have abused or violated human
rights in the past. Reasonable efforts should be made to review employment records and other
available records, including any criminal records. MoA or Project Contractor are advised to
periodically review the PSPO’s hiring procedures to confirm that guards have been properly
vetted. Expectations regarding conduct and use of force should be communicated as terms of
employment and reiterated through regular training. See “Code of Conduct,” “Use of Force
Principles,” and “Training” stated in Figure 8.
7.1.2 Code of conduct

113. MoA and Project Contractor should require the appropriate conduct of the private security
personnel they employ or engage. They should have a clear Code of Conduct policy, and
security personnel should have clear instructions on the objectives of their work and permissible
actions, based on good international practice and applicable national law and WB’s ESSs. It can
also be very helpful for security personnel to be aware of how to access the MoA and Project
Contractor’s grievance mechanism and register a complaint, as they are often the first point of
contact for visitors (including community members) to a site.
7.1.4 Use of Force

114. Private security guards should operate under a specific policy on the use of force, often
outlined in a guard’s employment contract and/or scope of work (for directly employed security
personnel) or enumerated as a standalone set of protocols and/ or consider including the policy
within the SMP once available and private security providers’ policies (for contracted security
personnel). Guards should be clear on how to respond and appropriately use available tools (for
example, weapons or other measures) in addressing a threat. The policy should specify that
force will not be sanctioned “except when used for preventive and defensive purposes in
proportion to the nature and extent of the threat.” Force should be used only as a matter of last
resort and in a manner that respects human rights. Appropriate use of force should be included
in the security training program, and any use of physical force should be reported to and
evaluated by the company.
115. When the provision and/or possession of firearms is necessary, any weapons issued, including
firearms and ammunition, should be licensed according to national laws, recorded, stored
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securely, marked, and disposed of appropriately. In addition to procedures for storage and
disposal, the security provider should have procedures for issuing weapons and safeguarding
them while in a guard’s possession. MoA and Project Contractors are advised to review these
procedures and periodically request records for weapons issuance. Any private security
personnel authorized to carry a firearm should be appropriately trained in its use. Also, refer to
the provision in the template contractual agreement for hiring private security (Annex 2).
7.1.5 Training
116. The project should use (whether hired by the MoA or Project Contractor) only professional
private security who are, and continue to be, adequately trained. In particular, guards should be
trained on the use of force (including less lethal weapons and, where applicable, firearms) and
appropriate conduct (typically focused on reinforcing respectful behavior) toward workers and
project affected communities, often illustrated through examples and/or scenarios. Use-of-force
training includes less lethal weapons as well as training on firearms in situations where guards
are armed.
117. Training programs can be provided by the MoA, a Contractor, PSPO and/or qualified third
parties. When training is designed and delivered by the PSPO the Security Management Plan.
Where security guards are armed, MoA and a Contractor are counseled to request evidence of
legal permits for staff to carry firearms.
7.1.6 Decision to arm

118. The decision whether to arm security guards is an important one. Usually, guards should be
armed only when the assessment of security risks shows that a threat exists—one that can be
addressed only by arming guards, thus equipping them to protect human life. The default
position should be not to have armed private security unless risk analysis shows this to be
necessary and appropriate. Depending on the type of weapon and the level of training, arming
private security personnel can sometimes increase rather than decrease risk.
119. If the MoA or a Contractor elect to use armed private security, good practice is for security
guards be armed as follows:
• In defined and very particular roles;
• With the appropriate weapon for the level of risk;
• With the requisite training on use of firearms and clear rules for the use of force; and
• Equipped with nonlethal methods of protection to apply before resorting to use of lethal
force.
7.1.7 Incident reporting and inquiry

120. The applicable national and WB legal formwork requires MoA or a Contractor to “consider
and, where appropriate, investigate all allegations of unlawful or abusive acts of security
personnel, take action (or urge appropriate parties to take action) to prevent recurrence, and
report unlawful and abusive acts to public authorities.” This begins with having policies and
procedures to accept and assess information about security incidents, credible security-related
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allegations, and use-of-force incidents of any kind. It is good practice for MoA or a Contractor
to be able to: 1) accept security-related reports or complaints; 2) gather and document relevant
information; 3) assess the available information; 4) protect the identity of alleged victim(s) and
those reporting the allegation or incident; and 5) report unlawful acts to state authorities.
7.1.8 Monitoring
121. It is good practice for the MoA and A Contractor, as part of their oversight responsibilities, to
monitor site performance of their security contractors on an ongoing basis to ensure
professional and appropriate conduct. This may include reviewing policies and materials,
undertaking periodic audits, potentially assisting with or supporting training, and considering
any allegations of unlawful or abusive acts by security personnel. Speaking to employees and
local community members who come into regular contact with security staff can also provide
valuable insights. MoA and A Contractor are advised to consider including sanctions (such as
withholding payment or termination) in contracts with PSPO to maintain leverage when it does
not meet performance expectations. Figure 8 summarizes the aforesaid areas to consider when
hiring private security or the purpose of project operation.
Figure 8 Areas to Consider When Hiring Private Security for the Purpose of Project
7.2 Managing Public Security

122. Interaction with public security forces can be the most challenging aspect of security for MoA
and A Contractor as they do not control the decisions or behavior of public security personnel
and may have limited influence in this regard. For this reason, the engagement of public
security in the project should take the following key management aspects.
7.2.1 Signing a Memorandum of Understanding
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123. A memorandum of understanding (MoU) is a formal, written agreement between the MoA/A
Contractor and concerned local/regional government authorities and Commander of the
local/regional/federal security forces. The MoU should establish and document agreed key
expectations and decision-making processes and procedures with regard the engagement of
public security personnel. It allows the MoA/A Contractor, government, and public security
forces to delineate their respective roles, duties, and obligations regarding security provision.
124. While an MOU can be a valuable record for clarifying commitments, it is the process of
engagement and discussion of critical issues between the MoA/A Contractor, government
authorities and Commanders of public security forces that is most important. Indeed, a signed
MOU is not always achievable, or even legally possible. Thus, MoA/A Contractor are
encouraged to focus on the communication and collaboration with public security forces as the
primary objective—and on a formal (or even informal) agreement as the secondary goal.
125. There are many different ways to construct the MoU. In general, it is recommended that: (a)
the MoU include references to project SMP, national laws, WB’s ESSs and other applicable
international laws such as relevant UN protocols; (b) should also include rules on the use of
force and expectations to adhere to the project code of conduct; (c) the MoU typically includes
any financial or resourcing issues (such as housing, food, stipends, transportation, and the like);
and (d) where possible, it is recommended that MoA and A Contractor include a provision
allowing them to request the removal of individual public security personnel from their area of
operations. (Note that this is different from asking to have individuals removed from public
security forces altogether, which exceeds MoA/A Contractor’s remit.) Annex 3 provides the
Template Memorandum of Understanding (MoU) with Public Security Provider Organization.
7.2.2 Communication and engagement with public security

126. MoA is advised to communicate the project principles of conduct to public security forces and
express its desire that the security provided be consistent with those standards. The degree and
formality of this communication may vary according to the security risks and the nature (and
appropriateness) of the security arrangements involving public security personnel. Figure 9
presents key topics that the MoA needs to discuss with Public Security Organization (PSO).
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Figure 9 Topics for the Project Implementing Agency to Discuss with Public Security
Organization
127. MoA should keep a record of any communication—and/or attempts at communication—with

public security personnel. Communication can vary according to the level of risk, as follows:
• Low-risk contexts: If the number, type, and nature of the deployment appears appropriate
and proportional to the assessed risks, the MoA and PCO may wish, at a minimum, to
simply maintain contact and communication through check-ins with public security
forces to help the project be confident that police will respond quickly and professionally
if an incident occurs, or that suspects (including community members) caught trespassing
or stealing will be treated fairly in police custody.
• High-risk contexts: In high-risk contexts, having a more formalized and established

relationship can be central to ensuring that any potentially tense and dynamic situations
do not escalate to become even more volatile due to police or military involvement. The
situation can be exacerbated if the risk of excessive force by public security personnel
seems high. MoA and PCO are advised to seek to influence arrangements, to the extent
possible, and explore the possibility of having more in-depth and formalized
engagements.
128. The FSCO should identify the most appropriate counterpart within the public security forces—
ideally a champion with sufficient rank and authority as well as willingness to engage
constructively with the FSCO. Often, the local security force commander is the most
appropriate contact, though it is recommended that the FSCO reach out to others in the
hierarchy as well. In case of high security risks, a military command in the local area can be a
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great counterpart. Where both the police and the military may be involved in security provision
to the project, the FSCO may do well to establish relationships with both.
129. FSCO early engagement with public security forces—before incidents arise—is key. It is
always advisable to build capital in a relationship before stressing it with security problems.
Initial meetings are best used to identify appropriate counterparts, develop rapport, and
facilitate access to public security support. Once a relationship is established, the full range of
issues, both positive and negative, can be regularly discussed in a cordial and diplomatic
manner. This includes both the project’s needs and the security forces’ logistical needs. These
meetings also offer an opportunity for ongoing assessment of security risk and threat analysis.
7.2.3 Proper handover

130. When public security is needed to protect people and property, there should be a proper
handover of control from private security to public security—and a way to manage handing the
control back when the situation is stabilized. This can be a good topic to start a discussion,
because it focuses on public security’s legitimate role and on assuring the greatest effectiveness
and safety.
7.2.4 Other protocols and code of conducts

131. in situations where public forces are responding to incidents related to the project, MoA and its
implementing entities at various levels of structure have an interest in encouraging public
security personnel to behave consistently with the principles set out for private security
personnel. Thus, all those codes of conduct and good international practice discussed above for
private security are equally apply to public security when the project engage it.
7.2.5 Community engagement and monitoring

132. The preparation and implementation of SMP requires engagement with communities about the
project's impacts on community safety and security, awareness raising concerning the Code of
Conduct commitment and project grievance mechanism. Community engagement is a central
aspect of a good security program, and good relations with workers and local communities can
substantially contribute to overall security in the project area. Dialogue with communities
about security issues can help to identify potential risks and local concerns, and can serve as an
early warning system.
7.3 Emergency Preparedness and Response

7.3.1 Emergency equipment and resources
133. Means of emergency notification: It is recommended that a system be introduced to cascade
emergency notifications to all relevant project staff. This can be group SMS, WhatsApp and
Telegram. Also, the operation of the project security system requires equipping with means of
communication (worker and/or community notification) including alarm bells, visual alarms,
or other forms of communication used to reliably alert project workers and/or local community
to an emergency. Whilst audible and visual alarms are useful at a location level, it is advisable
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to have a wider emergency notification system in place to alert all project workers of potential
security issues.
134. Safety and protective equipment: the provision of the necessary safety and protective
equipment is required to protect security personnel from any risk or harm while acting in
emergency response.
135. Firefighting equipment: the operation of the project security system require enhance the
capacity of the security personnel’s response to emergency. Firefighting capacity should be
acquired by equipping with firefighting equipment such as pumps and water supplies.
136. First aid medical equipment: the provision of first aid medical equipment for the security
personnel to support the victims of the emergency prior to transportation to hospital.
7.3.2 Emergency training

137. Security personnel require training programs and practice exercises for testing systems to
ensure an adequate level of emergency preparedness and response. The training programs
should:
• Identify training needs based on the roles and responsibilities, capabilities and requirements
of the security personnel in an emergency response.
• Develop a training plan to address the needs of security personnel, particularly for: (a)
emergency identification, evaluation and classification procedures; (b) firefighting, spill
response, and evacuation; (c) the use of medical equipment and provision of first aid; and
(d) how to use available emergency response resources and information such as contact list
and emergency response matrix.
• Provide training exercises to allow the security personnel the opportunity to test
emergency preparedness, including: (a) desk top exercises where the contact lists are
tested and the facilities and communication assessed; (b) response exercises, typically
involving drills that allow for testing of equipment and logistics; (c) debrief upon
completion of a training exercise to assess what worked well and what aspects require
improvement; and (d) update the PPE plan, as required, after each exercise.
8. SECURITY SUPERVISION AND CONTROL

138. The project security supervision and control highlighted below explain the overall lines of
control, accountability, and supervision for the security effort. It defines who supervises daily
performance of the security-guard force and who has authority. Also, it describes who has
overall responsibility for security information sharing and communication.
8.1 Management Structure and Responsibility

139. Project management structure and responsibility involves the active participation of different
stakeholders. The roles and responsibilities of the involving organization are outlined below.
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8.1.1 The responsibilities of the MoA

140. As is the case for other ESMPs, the main implementing agency for the SMP is the MoA. The
FSCO in the MoA is responsible for the overall coordination and management of the project
security risks.
141. The MoA through the FSCO and implementing entities at the regional and woreda level is
responsible for the overall supervision and cross-functional coordination of the daily
performance of the project security personnel. Besides, the specific responsibilities of the MoA
include:
a) The MoA is responsible for ensuring that the PSPO manages the private security it
hires in compliance with the provisions of the national laws, WB’s ESSs, project SMP,
and relevant international good practice.
b) Reporting any allegation and incidents of security personnel to the appropriate
government authorities and facilitate the proper legal process.
c) MoA is responsible for the communication of principles of conduct and encouragement
of public security forces to implement good practices and to disclose security
arrangements.
d) The FSCO in the MoA is responsibility to submit project security reports to the World
Bank as per the frequency agreed in the Environmental and Social Commitment Plan
(ESCP). Responsibility for Conducting Security Risk Assessments. However, critical
security incidents or significant changes in the project’s security situation should be
reported to the Bank within 24 hours, which will allow for necessary changes to the
SMP or ESCP.
e) Once decision is made to engage security personnel to protect the project workers, sites,
assets, activities, and communities, the MoA is responsible to assess the risks to and
impacts on human security arising from the engagement of such personnel.
8.1.2 Responsibilities of the Private Security Provider Organization (PSPO)

142. If project security is outsourced to private security provider organization (PSPO), the day-to-
day management of the private security personnel would normally fall under the
responsibilities of the contracted PSPO. In this case, the MoA/PCO would be responsible for
contractor management and ensuring that contractual obligations are met (i.e., through the use
of KPIs). Further responsibilities of the contracted PSPO include:
a) Assessment of risk and implementation of good practice in hiring, training, and
employment of private security forces.
b) The contracted PSPO is responsible for reporting any allegation and incidents of
security personnel under its control to the appropriate government authorities and
cooperate in due process of the legal action.
c) PSPO contracting security services still retain oversight responsibility of third-party
security training providers to ensure appropriate vetting, use of force, training,
equipping, and monitoring of the private project guards.
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8.1.3 Responsibilities of the project site security personnel/team leaders

143. The project normally encouraged to rely first on private security forces for guarding project
staffs, assets and facilities, to solve site-specific security problems, if possible, and to not think
of public security forces as a replacement for private security forces. However, given the
project contextual security risks assessed in Section 4 and specific risks identified in Section
5.1, the involvement of public security forces is likely for the operation of the project. Where
public security forces are deployed or may respond to protect personnel or property.
Depending of the level of security threats or risks, the kind of public security deployed for the
project may be members of the local Militias, local police, or national army. Accordingly, the
supervision of the daily performance of the members of the public security personnel assigned
for site specific security services of the project lies under the responsibility of site-specific
public security team leaders.
8.1.4 Responsibilities of the local public security commanding officers

144. The next hierarchy of public security management comprise local Militia or Police
Commanding Officers Depending on the type of public security personnel deployed in their
line of command, the local Militia and Police Commending Officers are responsible for the
overall supervision and control of the site public security teams under their respective areas. In
particular, this hierarchy of public security management is responsibly to supervise the
performance of site-specific public security team in compliance with the national laws, the
provisions in the project SMP and relevant international conventions and protocols discussed
in Section 3.
8.1.5 Responsibilities of the Higher public security commanding officers

145. Higher public security commanding officers including regional police commissioner, federal
police commissioner, and Chief of the nearby defense army command post are responsible to
make strategies decision and order. Also, depending on the type of public security personnel
under their line of command chain, higher public security commanding officers are responsible
to assess the risk from public security forces deployed to provide security services to the
project. Accordingly, consider reporting of allegations or Incidents related to public security
personnel and initiate due legal process and investigation for proper corrective measures.
8.1.6 Cross-functional coordination

146. Many security risks flow out of both inherent local social issues, such as ethnic tensions, and
unrecognized issues between the project and local communities. As such, project Operations,
Government Relations, and Community Relations staff are all involved in the security process.
Key stakeholders from local communities are also included in assessing security risks and in
considering how to mitigate and manage those risks. Security arrangements are transparent, to
the extent possible and appropriate, and are included in disclosure to and consultation with the
local communities.
147. For this cross-functional coordination, therefore, making the link between project security and
community relations/community engagement is key. Community engagement is a central
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aspect of a good security program, and good relations with employees and local communities
can substantially contribute to overall security in the project area. The project can avoid
internal operational silos by ensuring that project security personnel coordinate regularly with
other departments, such as Community Relations and Human Resources. Through its
Community Relations function, the project can share information with communities about
security arrangements, the project’s security policies, and the expected conduct of security
personnel. Dialogue with communities about security issues can also help the project identify
potential risks and local concerns, and can serve as an early warning system.
8.2 Responsibility for periodic security risk assessment

148. Besides the aforesaid responsibilities, the FSCO in the MoA is also in charge of period
assessment of the project security performance. Assessment of the security commitments and
performance is particularly important where: 1) specific project operation site is designated as
High or Substantial for potential risks or impacts related to security; 2) there have been
incidents involving security during project implementation; 3) if there are records of
grievances involving security or public unrest; or 4) if the security profile of the project has
changed for the worse. Annex 3 contains detail checklist for planning and implementing site
visits to monitor security issues.
8.3 Involvement of the Third-Party Implementer (TPI) and Third-Party Monitor (TPM)
149. As indicated in the PAD, the implementation and monitoring of the ESRM instruments for the
PSNP5 including PSM require the involvement of the TPI and TPM entity for the project areas
with High Risks from the war in the northern parts of the Ethiopia. This typically include the
Tigray region but may extend to the Amhara and Afar regions. The decision to involve the TPI
and TPM will take into account the specific requirements of the ESSs, the specific nature and
extent of the risks and impacts of the project, the complexity of the project, serious stakeholder
concerns, and GoE’s through the FSCO in the MoA capacity to implement and monitor the
project SMP.
150. Let us first define third-party in the context of the Bank IPF and move to the responsibilities of
the TPI and TPM in the implementation and monitoring of the SMP. As to the World Bank
Good Practice Note (2018) 111, a third party is an expert/specialist individual or firm that is
able to provide professional, objective, and impartial advice, without consideration of future
work, and avoiding conflicts with other assignments or their own business or personal interests.
Typically, third parties come from non- governmental organizations (NGOs), academia or
think-thanks, aid organizations, United Nations agencies, consulting firms or other qualified
entities.
151. To be effective in supporting monitoring and implementation of Bank-financed projects such

as SEASN AF2, third parties should be independent from project preparation (including from
the Bank, the Borrower, or the implementing agency and its contractors) and should not have
111
World Bank Group (2018). Good Practice Note for Third-Party Monitoring Involving IPF Operations.
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had a previous role in the project (with the exception of a previous monitoring role). Their
status should be reviewed to avoid conflicts of interest, and they should maintain objectivity
throughout the process, so that findings and conclusions are based on evidence.
8.3.1 The responsibilities of the Third-Party Implementer (TPI)

152. Given the Fragility, Conflict and Violence (FCV) resulting from the war in the northern
Ethiopia, the Bank will identify the need for involvement of the TPI and TPM as early as
possible during project preparation and appraisal. The requirement is included in the ESCP,
which is part of the legal agreement between the Bank and the GoE through its project
implementing agency MoA.
153. In general, the scope of the TPI’s roles and responsibilities depends on the specific
requirements indicated in the project ESMF for the kinds of issues that require TPI to support
the implementation of the environmental and social risk management aspects of the project.
But, there are situations that determine the roles and responsibilities of the TPI including:
• The variability of the Project Contextual Risk Situations (PCRSs) is the key. As the state
of the FCV in Tigray region become complex and contentious to implement the
ESMPs in general and SMP in particular, the requirement for the involvement of TPI
may be higher. Hence, the TPI can be fully responsible for the periodic security risk
assessment and implement measures to manage the security risks of the Project,
including the risks of engaging security personnel to safeguard project workers, sites,
assets, and activities. In this case, the Bank requires the GoE and MoA to collaborate
with the contracted TPI entities.
• Given the increasing level of security risks in Tigray region or parts of the Amhara and
Afar regions under the security risks from the war in the northern Ethiopia, the Bank
may propose for the involvement of the TPI. Based on the level of security risks, the
Bank assesses whether one expert or a firm is needed, or whether a number of
individual experts are needed on specific issues. Accordingly, the scope of the
responsibilities of the TPI entity or entities to be contract for the implementation will
be agreed between the Bank and the MoA.
8.3.2 Responsibilities of the Third-Party Monitor (TPM)

154. TPM refers to (i) an approach to smart supervision whereby the Bank contracts an independent
agent to verify that project implementation by the Borrower complies with the provision of the
financing agreement and that the environmental and social performance of the project meets
the agreed standards; and (ii) an approach to project implementation whereby the Borrower
contracts third parties to strengthen monitoring and evaluation systems and obtain additional
data on the achievement of progress development. When TPM is used for Bank supervision,
the Bank maintains its own supervision obligations, but may transfer the implementation of the
monitoring to an agent.
155. The goal of using TPM is to assess the status and performance of the project security, its
compliance status with the security implementing guidelines and procedures in the SMP, or
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emerging security issues through a specialized party is to provide an unbiased perspective to

revise the project SMP, and to make recommendations for improvement. However, the use of
the TPM is not a substitute for the MoA’s own internal monitoring program, but is designed to
complement and/or verify what it has done, depending on the objectives and needs of the
monitoring activities.
156. The frequency of monitoring necessary will be linked to the specific security risks and impacts
of the project and the MoA’s performance during the implementation of the SMP. In any case,
the Term of Reference (TORs) should include the scope of the monitoring assignment, the
number of locations and sites to visit, the frequency of the monitoring, the budget and timing
of the assignment, and the type and skill sets required for the TPM. Also, the TORs should
clearly identify reporting lines, roles and responsibilities of the different TPMs involved in the
project. Annex 6 provides indicative TORs for TPM.
9. SECURITY OPERATING PRINCIPLES AND PROCEDURRES

9.1 Project Security Operating Principles
157. As set out in ESS4 (paragraph 24), in making project security arrangements, the project will be
guided by the principles of proportionality and GIIP, and by applicable law, in relation to
hiring, rules of conduct, training, equipping, and monitoring of such security workers. The
Borrower will not sanction any use of force by direct or contracted workers in providing
security except when used for preventive and defensive purposes in proportion to the nature
and extent of the threat.
158. It is recommended that the MoA to: (i) make reasonable inquiries to verify that the direct or
contracted workers retained in the project to provide security are not implicated in past abuses;
(ii) train them adequately on the security guiding principles and procedures of the project SMP
and other applicable national and WB’s ESSs.
159. The above sited ESS and other Good International Practices underscores that the use of
security forces is based on the concept that providing security and respecting human rights can
and should be consistent. This translates into implementation of policies and practices that
ensure security provision is carried out responsibly, with any response being proportional to
the threat. Proactive communication, community engagement, and grievance redress are central
to this approach, often through collaboration between security and community relations
departments. Gender considerations are also important, as women often have different
experiences and interactions with security personnel. These ideas are elaborated in five good
practice principles presented in Figure 10 and discussed below.
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Figure 10 Good Practice Principles
9.2 Project Security Operating Procedures

160. This provides a brief description of key security operating procedures in the project SMP. The
implementation of the SMP is guided by the following key procedures.
161. Incident Response or when to engage: Early engagement with public security forces—before
incidents arise—is key. It is always advisable to build capital in a relationship before stressing
it with problems. Initial meetings are best used to identify appropriate counterparts, develop
rapport, and facilitate access. Once a relationship is established, the full range of issues, both
positive and negative, can be regularly discussed in a cordial and diplomatic manner. This
includes both the MoA/PSPO’s needs and the security forces’ logistical needs. These meetings
also offer an opportunity for ongoing assessment of security risk and threat analysis.
162. Decision tree model: the project security shall adopt a structured approach using the
collaborative approach for all the security operatives in prioritizing the collection of relevant
data during incident response. The structured tree model approach helps to define how
questions are answered, allows the incident response team to respond consistently with
predictable results. The structured approach also provides for definable, reproducible structures
to be created facilitating controlled cost exposure during an incident response cycle.
163. Boundary Security: Security will maintain control of the project’s perimeter by deploying
personnel at strategic points along the boundaries of the project facilities and also channel
people to access-control points that will have security personnel (both armed and unarmed as
well as those in uniform and non-uniformed personnel as required by a site-specific security
risk assessment.
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164. Access-Point Operations: This key procedure describes on the types of checks and screening
for both people and vehicles at gates or other access points for the project. The procedure for
the SEASN AF2 is that access to project sites will by authorized project personnel. The project
personnel will be issued with badges and will at all times carry and display these badges when
in the field. The badges will enable the bearer to access project facilities upon site security
enquiry. Whereas visitor badges will be issued to all visitors who are not employees of the
project. Visitors Badge will be issued after the visitor has been authorized by the site security
managers. The visitor will then fill a visitor form with providing all his details and purpose of
the visit. A badge will then be processed and issued by the Access control office. Security
induction must be done before the Badge is issued to the applicant by Security officer and the
visitor must sign on the induction document for acknowledgement. A data file with
information regarding the visitor will be recorded and kept in the site access register.
165. Vehicle Access Control Procedures: All Vehicles accessing project facilities will be accessed
through with the driver only after going through a security check/search for prohibited items
i.e., Alcohol Beverages, Firearms, Knives and dangerous drugs. The driver must declare his
entire luggage at the main gate (Personal luggage) for checking as well. Vehicle log to be
maintained.
166. Materials Storage and Control: If applicable, describe any controls over the transport,
inventory, and maintenance of storage areas for raw materials, equipment, etc. Note that these
are stored in accordance with appropriate national laws and regulations and relevant good
international industry practice, including the World Bank Group Environmental, Health and
Safety Guidelines. Likewise, the provision in the ESMF set out that any sub-project that
involve the use or storage of hazardous materials should establish management programs that
are commensurate with the potential risks present. The use/handling of hazardous materials
requires: the provision of sufficient quantities of appropriate protective gear for the users,
appropriate application equipment with spare parts, and training in risk reduction including
proper use of protective gear and proper application of products. Whereas proper storage of the
hazardous materials requires: appropriate storage facilities, appropriate protective gear and
materials for store keepers to handle emergencies, and Material Safety Data Sheets (product
information with emergency instructions).
167. Information and Communication: Specify procedures for categorizing, handling, and
controlling sensitive security information.
168. Firearms Security: Project policy regarding firearms on-site, as well as the responsibilities and
procedures for issuing and storing any security firearms, ammunition, and non-lethal weapons.
This should include: location for storage; how weapons are properly secured during storage;
records for issuance; who they may be issued to; safeguarding while in possession of the
personnel; and audits.
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169. Special Situations: There may be instances where large-scale events (e.g., criminal activity,
demonstrations, civil disorder, fire emergency and natural disaster scenarios) require
interventions by public security which is not specifically associated with the project. When
planning for such events or emergencies, there should be clarity on how the project security
(private or public) passes control over to formal public security (for example, police, military,
emergency responders).
170. Project Facilities: For the purpose of this SMP, the term “Project Facilities” means facilities or
activities that are not funded as part of the project and are: (a) directly and significantly related
to the project; (b) carried out, or planned to be carried out, contemporaneously with the project;
and (c) necessary for the project to be viable and would not have been constructed, expanded
or conducted if the project did not exist.
10. GRIEVANCE REDRESS MECHANISM

171. This section describes project risk-mitigation efforts related to potential security impacts on
communities (such as regulations for guard off-site behavior, arrangements with public
security, and shared information on security arrangements, as appropriate) and the grievance
mechanism to receive and respond to community complaints or concerns related to security
personnel or issues.
172. It is good practice and part of sound risk management for the project to have clear guidelines
and procedures for handling security-related allegations or incidents. Every allegation or
incident related to security should be documented and then assessed with the objective of
determining whether the guidelines and procedures set out in this SMP were complied with and
if any corrective or preventive actions are required. The level of depth and detail of inquiry
should reflect the severity and credibility of the allegation or incident. The descriptions that
follow focus the key elements of the project Grievance Redress Mechanism (GRM).
10.1 Project GRM Policies and Procedures

173. As good practice and part of sound security risk management, the project requires the MoA
and PSPO to have clear organizational policies and procedures for handling security-related
allegations or incidents. The grievance mechanism required in the SMP of SEASN AF2 for
PSNP5 provides an important avenue for workers, affected communities, and other
stakeholders to address concerns about security activities or personnel within the client’s
control or influence. For this reason, a stand-alone GRM for the management of the project
related security risks is proposed.
174. MoA and PSPO are encouraged to have systems in place to receive and respond to allegations
or incidents. Specifically, the project GRM procedures involve:
• Establish a grievance mechanism to receive security-related concerns or complaints: It
is important to have a structured and accessible process for receiving and responding to
security-related complaints and to ensure that community members are aware of it. In
general, concerns may come from a wide range of sources including communicated
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directly to Community Relations staff, through a hotline telephone number, via tip
boxes outside the project site, or through other means.
• Clarify reporting requirements and structure: The project GRM procedures should
specify which type of security-related allegations and incidents should be reported, to
whom, and in what time frame. Procedures should clearly identify both the person(s)
responsible for accepting and processing allegations or incidents, and the escalation
hierarchy to management.
• Develop inquiry protocols: In addition to a routine process for recording all incidents,
more serious incidents or allegations related to security personnel conduct may require
a more in-depth inquiry to determine whether policies and procedures were followed
and if any corrective, disciplinary, or preventive actions are warranted.
10.2 Key Steps in Project Related Security GRM Process

175. Every allegation or incident related to security should be assessed, regardless of whether in a
low-risk or high-risk context. The level of depth and detail of inquiry should flow from the
seriousness of the allegation or incident. The steps involving the GRM process are shown in
Figure 11 and further discussed as follows.
Figure 11 Key Steps in the Security-Related GRM Process
176. Step One: Record the incident or allegation: All incidents and allegations should be recorded,
whether they come from an incident report, the grievance mechanism, or any other formal or
informal means of communication. Serious allegations and incidents should be reported to
senior management within the same day acts committed. Potentially criminal wrongdoing
should be reported to the relevant authorities within 24 hours. Annex 4 provides Sample
Incident Report Summary Template.
177. Step Two: Collect information promptly: Information should be collected as early as possible
following an incident or receipt of an allegation. This may include noting details related to the
circumstance, individuals involved, location, timing, and so forth, and taking statements and/
or photographs where relevant.
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178. Step Three: Protect confidentiality: MoA or PSPO are advised to consider confidentiality
measures to protect alleged victims, witnesses, and/or complainants—for example, identifying
them by numbers instead of names. Victims, witnesses, complainants, and other interviewees
should be informed as to whether and how their identities will be protected and whether their
names will be recorded and/or used.
179. Step Four: Assess the allegation or incident and conduct further inquiry, if warranted: After
receiving and recording an allegation or incident report, MoA and PSPO typically assess the
seriousness and credibility of the claim against existing security policies and procedures to
determine any noncompliance by security personnel and whether further investigation is
needed. A more in-depth inquiry should be conducted in cases of serious allegations or
incidents, such as instances of unlawful or abusive acts by security personnel, and/or where
severe impacts result from a security incident, such as injury, sexual violence, use of lethal
force, or fatalities. Behavior that may be considered criminal should be referred to the relevant
authorities.
180. Step Five: Document the process: The allegation or incident and the inquiry process should be
documented, including sources of information, evidence, analysis, conclusions, and
recommendations. Where it is not possible to reach a conclusion (for example, due to limited
or contradictory information or evidence), the efforts being made should be stated clearly along
with any efforts to fill gaps and make further assessment. It is good practice for information
related to security allegations or incidents to be classified and handled as confidential. Any
report should be objective, impartial, and fact-based. Annex 5 provides Sample Incident Report
Summary Template.
181. Step Six: Report any unlawful act: Potentially criminal wrongdoing or unlawful acts of any
security personnel (whether employees, contractors, or public security forces) should be
reported to the appropriate authorities (using judgment about reporting in cases where there are
legitimate concerns about treatment of persons in custody). MoA and PSPO are advised to
cooperate with criminal investigations and ensure that internal processes and inquiries do not
interfere with government-led proceedings.
182. Step Seven: Take corrective action to avoid recurrence: Action should be taken to ensure that
negative impacts are not repeated. This may entail corrective and/or disciplinary action to
prevent or avoid recurrence, if the incident was not handled according to instructions. In
general, MoA and PSPO are encouraged to identify lessons learned from the incident and take
the opportunity to revise internal company policies and practices as needed.
183. Step Eight: Monitor and communicate outcomes: Because MoA and PSPO control their own
internal processes, they can help ensure that consideration of any allegation or incident is
professional and progresses at a reasonable pace. Additional oversight may be needed with
regard to third-party inquiries, such as those undertaken by private security providers. MoA
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and PSPO are encouraged to actively monitor the status of any ongoing criminal investigations
led by government authorities.
184. It is good practice to communicate outcomes to complainants and other relevant parties,
keeping in mind confidentiality provisions and the need to protect victims. Where appropriate,
it can also be constructive to share relevant lessons learned and any efforts to incorporate these
into company policy and/or practice.
10.3 Special Consideration for Security Related GBV GRM

185. Special gender considerations are so important in security related GRM, as women often have
different experiences and interactions with security personnel. For example, the potential for
sexual harassment or sexual violence against women can increase from an expanded presence
of private or public security forces in a project area. Thus, consulting women separately may
offer important perspectives and may help companies identify a fuller range of potential risks
and community concerns. At the same time, security personnel’s awareness of and respect for
culturally specific gender issues may help the local population accept their presence. As for
GBV related complaints, these should be handled in accordance with the project’s own GBV
action plan. Please, refer to Project GBV action plan for detail.
11. IMPLEMENTAITON AND MONITORING

186. Monitoring security commitments and performance is the key task throughout the project
lifecycle. Particularly, the task of implementation and monitoring needs due attention for: (a)
project areas designated as High or Substantial for security threats and risks; (b) project areas
where there have been incidents involving security in the course of project implementation; (c)
project areas with records of grievances involving security or public unrest; or (d) if the
security profile of the project has changed for the worse.
11.1 Implementing Strategies

187. In project planning, implementation and supervision, close attention should be paid to
stakeholder engagement particularly as it relates to security personnel. Community engagement
is a key strategy for an effective implementation of SMP. Proactive engagement and positive
relationships with communities and project workers provide the best opportunity to ensure
effective implementation of the project security management plan.
188. As part of the overall approach to stakeholder engagement, MoA and PSPO communicate their
security arrangements to the project affected communities and project workers, subject to
overriding safety and security needs. For example, working with the project’s Community
Relations Team may help create or identify opportunities to speak with community members
and involve them in discussions about the security arrangements that may affect them.
11.2 Monitoring the Performance of Project Security Management

189. The FSCO in the MoA will monitor the performance of the project security management in an
ongoing basis. Risks related to security and security personnel observed through monitoring
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should be noted in the Environmental and Social Review Summary (ESRS). The level of detail
in this analysis should be proportional to the level of risk and be referenced in the project
Implementation Status and Report (ISR). The ISR should note any significant changes in the
security situation and/or the composition of private security and/or provision of public security.
These should also be noted in supervision reports on environment and social performance
along with a summary of incidents or credible allegations of abuse by public or private security
personnel in or around the project site, as well as updates on actions/follow-up related to
previous incidents or allegations. To this end, monitoring use diverse methods including but
not limiting to the following ones.
11.2.1 Site visits

190. As required in the Good Practice Notes, the FSCO in the MoA plan for and implement site
visits to monitor project’s performance of security management. The frequency of the site
visits may be determined as necessary, but annual visit is the minimum requirement. To track
project’s security performance, site visit will use different means of collecting information
including:
• Schedule meetings with key personnel: As part of scheduling meetings and the required
Security Briefings, ensure that relevant site management personnel for private and
public security are included to be able to provide and discuss security-related
information, including: (a) General Manager of PSPO for private security and Local
Police Commanding Officer for public security who have overall responsibility for the
management of security personnel they deploy for the project’s security need; (b) Site
Security Service Team Leader and members of Site Security Service Team who are
responsible for the regular security services of the project; and the project staffs.
• Request assistance in arranging meetings with external stakeholders, including, as
appropriate: (a) Public Security representatives, where possible and appropriate (e.g.,
local senior police officer, regional military commander, etc.); (b) Local public
authorities (divisional officers, sub-divisional officers; etc.); (c) Municipal authorities;
and (d) Community members: Seek information on community members’ concerns,
where possible. If the topic of security personnel may be raised, it is good practice to
not have security personnel present during meetings with community members or civil
society, even if this means that a meeting location needs to be switched to a more
neutral location; (e) Reiterate the commitment to the Code of Conduct and grievance
mechanisms that apply to the project.
• Observations on site: Site visits provide the opportunity for many useful observations
about security while arriving at and moving around the site. There should be an
advance briefing about the project activities, sites, and security issues that may help
focus questions and observations.
• Observations off site: Observations outside the site, for example travelling from the
airport or capital city to different PSNP regions or Woredas, or within the local
community, can help form an important picture of the security landscape.
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191. The above means of collecting on-site and off-site information for monitoring security
management involve asking questions of many different stakeholders. This can help gain new
information as well as confirm previously collected information or insights. Site-visit questions
for monitoring aim to assess the essential elements of the security arrangement prepared for a
specific Bank project (e.g., any codes of conduct, training content, protocol of security
responses, reporting procedure), what the security response has been to past incidents, and
issues in implementing the security arrangement/security management plan. Annex 4 contains
a detailed checklist for planning and implementing site visits to monitor security issues.
11.2.2 Oversight
192. The MoA and PSPO, as part of their oversight responsibilities, should monitor site
performance of their security personnel on an ongoing basis to ensure professional and
appropriate conduct. This may include reviewing policies and materials, undertaking periodic
audits, potentially assisting with or supporting training, and considering any allegations of
unlawful or abusive acts by security personnel. Speaking to employees and local community
members who come into regular contact with security staff can also provide valuable insights
to monitoring the performance of project security management. It is recommended setting key
performance indicators outlined in the contract and reviewed on a regular basis, at least once in
a quarter.
11.2.3 Bank supervision mission

193. The SMP will be reviewed during supervision missions by the Bank Social Safeguard Team.
Depending on the assessment of the project security performance, appropriate corrective
actions may be proposed.
194. As part of project supervision, the Bank Social Safeguard Team will review incident reports
submitted to the MoA and PSPO and grievance mechanism logs regarding grievances or
allegations that involve project-related security personnel. Security-related allegations or
incidents can include issues such as theft, abuse of power and retaliation, sexual harassment
and exploitation, gender-based violence, and bribery and corruption. Bank staff will request
more information about any reported incidents and steps taken to address the issue and prevent
recurrence and will promptly keep Bank Management informed of allegations or instances of
violence or abuse and the remedial efforts. Allegations or incidents related to security
personnel should be documented and assessed with the objective of determining compliance or
noncompliance with policies and procedures and whether any corrective or preventive actions
are required.
195. If gender-based violence or sexual exploitation and abuse issues arise or are alleged in
association with project security personnel, the Bank Social Safeguard Team undertaking the
supervision mission must be alerted immediately. Bank staffs are advised to consult the Bank’s
Good Practice Note on Recommendations for Addressing Gender-based Violence in
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Investment Project Financing involving Large Scale Civil Works, and to discuss the issue with
specialized social development staff. Grievances that deal with gender-related allegations must
be handled very carefully, with respect for the confidentiality of the complainants, survivors
and their families.
11.2.4 Independent security audit

196. Depending on the assessment of the project security performance, an independent security
audit may be proposed for basic corrective measures. Depending on the nature and severity of
security impacts, an independent security audit may be undertaken which will allow for the
necessary changes to the SMP or ESCP.
197. Given the complexity of the security risks, the SMP recommends a mandatory audit at least
once during implementation (mid-term) and any time if there is a significant incident. Where
incidents or grievances regarding security have been identified, the risk profile of the project
may need to change, and the Bank’s supervision may need to increase, such as more frequent
monitoring trips or the use of third-party monitoring.
11.2.5 Communicating the outcomes of the project’s security complaints

198. Project staff responsible for the project SEP and Grievance Mechanism should communicate
outcomes to complainants and other relevant parties, keeping in mind confidentiality
provisions and the need to protect victims from further incidents or retaliation. Where
appropriate, it can also be constructive to share relevant lessons learned with the community
and any changes made to prevent future incidents.
12. REPORTING REQUIRMENT AND STRUCTURE

12.1 Reporting Requirement and Timeframe
199. Under a normal reporting timeframe indicated in the ESCP, FSCO in the MoA through its
Social Safeguard Specialist (SSS) maintain a continuous dialogue with the project
implementing arrangements including RFSCs, Woreda Project Security Focal Person (WPSFP)
local Militia or Police Commanding Officers, and Private Security Provider Organization (if
there is any) for any incident or allegation with potential risks to the project performance. This
pertains to events occurring at the project site as well as off-site, if poses security risks and
adverse impacts to the implementation of the project. All incidents and allegations will be
recorded by the respective WPSFPs, whether they come from an incident report, the grievance
mechanism, or any other formal or informal means of communication and reported to the
RFSCs on a weekly basis. The RFCs prepare a monthly report based on the Sample Incident
Report Summary Template given in Annex 5 and sent to FSCO on a monthly basis. In turn, on
the basis of the monthly report received from the respective WPSFPs, the SSS in the FSCO
prepare summary review of the project Quarterly Implementation Status and Report (QISR)
and submit it to the Bank.
200. However, incidents with high risks to the project performance should be reported immediately:
project site security personnel/team leaders report to the respective WPSFPs within 3 hours,
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WPSFPs to the RFSCs in 6 hours, RFSCs to the FSCO within 24 hours which in turn report to
the Bank Social Safeguard Team (SST) within 48 hours. Incidents with high risks are those
events that could cause a major changes in the project SMP including but not limited to the
following: armed conflicts between government and non-government forces, resource and
territorial based inter-group conflicts, security related allegations or incidents, insurgency and
terrorism, natural disasters that may cause large-scale evacuations (project staffs and local
communities), allegations or Incidents related to security personnel, and security posed
GBV/SEA risks. Where the investigation findings on such incidents or grievances regarding
security have been identified, the risk profile of the project may need to change, and
appropriate mitigation measures devised accordingly. The project SMP and ESCP will be
revised in the same way.
12.2 Reporting Structure

201. The reporting structure (Figure 12) is given with key notes regarding the reporting lines for the
TPI and TPM if decision is made to engage them as per the situation described under the
Section 8.3. TPI and TPM results are documented and recorded, along with the evidence that
supports the findings and results of the project activities they are assigned for.
Recommendations are made, where appropriate, to propose updates to commitments or actions.
In general, it is recommended that TPI and TPM provide reporting on the assignment directly
to the MoA and the Bank, and will not disclose information beyond those parties unless the
contract specifically requires it. For further reporting structure, the transparency and
confidentiality requirements are specified in the contract agreement with the selected TPI and
TPM and the TORs clearly identify their reporting lines.
Figure 12 Project Reporting Structure
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ANNEXES
Annex 1: Interview Guiding Questions for Project’s Security Risk Assessments

• What is the potential for conflict in and around the project area? This question assesses the
project’s Contextual Security Risks (CSRs): Security risks in the external environment (at a
country, regional/subnational or local level) that the project does not control but which
could pose security threats and/or risks to the project.
• Are there different project locations, with different risk profiles? Are some project areas
higher risk or do they need more security than others? What are the reasons for this?
• Does the nature of the project itself pose any risks to the community? For example, what
are project services-induced security risks?
• Is the presence of security personnel proposed to be temporary or long-lasting?
• Are public security personnel already deployed to the project site? If so, is it possible to see
the agreement or memorandum of understanding (MoU) regarding the deployment and to
review it for reference to behavior, Code of Conduct and proportional force?
• If security personnel already are in existence at the proposed project site/facilities, who is
currently providing security? Are there any historical or legacy issues with these security
providers that may still be relevant? How have security incidents been handled, and by
whom (for example, by project security personnel or by local police or others)? What kind
of vetting was undertaken prior to employment or contracting?
• Does the Borrower have any concerns about the reputation or behavior of private or public
security personnel? Are there previously been any incidents concerning security personnel
in the country or project region? Is the Borrower able to request or require removal of
individuals from the project services if they do not comply with the Code of Conduct or
other project requirements?
• Will security personnel be armed? If so, what security risk assessment was done to come to
that decision and under what conditions can force be used? Are there guard dogs,
barricades, barbed wire, or other defenses? Is the management of weapons and other
defenses structured and are procedures clear?
• Are security personnel engaged in accompanying high value assets or transportation of raw
or hazardous materials and production? If so, what are the additional and specific
arrangements in terms of risk assessment, prevention, mitigation, and response planning?
• Is the project exposed to targeted pressure from local/regional political establishments?
What agreements have been made or are expected to be made with regard to the project?
• Do the deployed security personnel originate from the project area, or have the same socio-
cultural backgrounds as local communities and other project workers? Are there risks of
tension due to different backgrounds among the security personnel, community members,
and project workers?
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23. Annex 2: Template Contract with a Private Security Provider

Company/Organization
This template is designed for the Ministry of Agriculture (MoA) or Project Contractor seeking to
hire an external private security provider. The parts in blue italics should be completed by the
company, based on the particular context. As with any template, the content should be reviewed
and adapted for the specific situation.
MoA or Project Contractor Organization’s Name hereinafter referred to as “employer” enters

into this contract with Private Security Provider Company’s (PSPC’s) Name hereinafter referred
to as “contractor” for the provision of services effective as of Date.
A. CONDUCT
• Contractor and its employees must adhere to the company’s policies for ethical standards
and human rights.
• Contractor and its employees must maintain confidentiality of sensitive information.
• Contractor and its employees must not use torture, cruelty, or inhumane treatment.
• Contractor and its employees must ensure the health of those in custody and provide
medical assistance when needed.
• Contractor and its employees must not engage in corrupt practices.
• Contractor must treat its employees in accordance with national law, WB’s ESSs and SMP
of the project.
B. USE OF FORCE
Restraint and caution must be exercised consistent with international guidelines on the use of
force; in particular, the Basic Principles on Use of Force and Firearms by Law Enforcement
Officials and including the following key elements:
• Use of force should be evaluated and use of weapons carefully controlled.
• Nonviolent means should be used before resorting to force and firearms.
• When force must be used to protect human life, it should be proportionate to the threat and
should seek to minimize injury.
• Medical assistance should be provided as soon as safely possible.
C. REQUIREMENTS
Contractors’ conduct standards need to adhere to the provisions in the Project SMP and WBG
standards including the ESS and related guidance.
D. POLICY
Contractor is required to have or produce key internal policies that commit the organization to
proper standards, to ensure that its employees understand and adhere to the standards, and to
enforce them. This includes:
• Having written policies on conduct and use of force.
• Having a policy to perform pre-employment screening for all supervisors, guards,
consultants, security specialists, and other staff, which identifies any history of abuse or
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wrongdoing. At a minimum, these checks should include police records and criminal
litigation checks, as well as checks with former employers.
• Having a policy on reporting and inquiry into allegations of unlawful or abusive behavior
and all use-of-force incidents, followed by appropriate disciplinary action.
[Note: although the contractor should be required to conduct an inquiry when its people are
involved, ultimate responsibility remains with the employer.]
E. TRAINING
1. Weapons Training
(This includes firearms, if issued, and any nonlethal weapons systems, if used.)
• Each security guard must be certified as qualified for use of any weapon, by pass/fail
standard, before being issued a weapon.
• Qualification should recur every six months.
2. Use-of-Force Training
This should include:
• Use-of-force technique training and practice through structured, scenario-based,
performance-oriented (learning-by-doing) training.
• Where, in what circumstances, and under what conditions it is lawful and in accordance
with employer policy to use force of any kind.
• The maximum level of force authorized.
• Emphasis that any use of force must be a last resort and proportionate and appropriate to the
threat.
• Emphasis that lethal force can only be used if there is an imminent threat to life or of great
bodilyharm.
3. Appropriate Conduct
Training should emphasize avoidance of unlawful or abusive behavior. This training should
clearly define abusive behavior in relation to proper behavior and point out sanctions; it should
also inform trainees of national laws and international standards on human rights that the
employer—and they as employees of the contractor—must observe. Two important documents
include:
• UN Basic Principles on Use of Force and Firearms by Law Enforcement Officials.
• UN Code of Conduct for Law Enforcement Officials.
4. Equipment
Contractor must ensure that all employees are provided with the appropriate equipment to
undertake their responsibilities. This equipment includes a proper uniform with appropriate
identification, radio or other communication device, and any other equipment as determined by
the Security Risk Assessment or Security Management Plan as being required.
5. Auditing
The employer reserves the right to conduct periodic audits of the security provider to:
• Ensure contractor’s background-check process.
• Audit and review contractor employee background checks.
• Review the provider’s personnel records for all of the guards and security staff it provides.
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• Audit incident/allegation responses.
The employer further reserves the right to conduct both scheduled and unannounced reviews and
audits of the training program and observation of training events. This may include:
• Reviewing the provider’s training program to confirm that the training is scheduled and
being conducted.
• Reviewing lesson plans to make sure they meet the proper standard.
• Confirming the qualifications of the instructor(s).
• Ensuring that there is a pass/fail performance test to verify that the student mastered the
material.
• Reviewing the certification process to guarantee that all the security personnel assigned to
the company attended the training and have passed a minimum standard.
6. Sanctions
• The company will apply sanctions, including but not limited to withholding payment for
services, if the contractor does not meet the performance expectations outlined in this
contract.
• The employer will terminate the contract where there are multiple failures to meet
expectations or there is evidence of unlawful or abusive behavior by the contractor’s
employees.
F. REFERENCES
The Contract with a Private Security Provider should align with the project GRM, sanctions,
GBV, reporting, and protocols as outlined in the SMP.
SIGNATURES OF BOTH PARTIES

_____________________________
DATE
__________________________
598
24. Annex 3: Template Memorandum of Understanding (MoU) with Public Security

Provider Organization
INTRODUCITON
This template is designed for a company seeking to establish a Memorandum of Understanding
(MoU) with a government and/or its public security forces. The parts in blue italics should be
completed based on the particular context. This template outlines key topics typically included in
an MoU, and it provides examples and/or sample text in some cases. It should be noted that there
is no single approach for establishing and documenting an MoU, and, as with any template, the
content should be reviewed and adapted for the specific situation.
MEMORANDUM OF UNDERSTANDING BETWEEN THE MINISTRY OF
AGRICULTURE AND PUBLIC SECURITY PROVIDER OFFICE (Note: specify the
name of the public security provider organization)
A. BASIC REFERENCES
• Constitution of FDRE and other relevant national laws.
• World Bank’s Environmental and Social Framework (ESF).
• Public Security Provider Organization’s relevant policies (e.g., Security Policy, Ethics
Policy, Human Rights Policy, Code of Conduct, etc.).
• Voluntary Principles on Security and Human Rights.
• Relevant United Nations protocols and standards.
B. PURPOSE
To clarify and define the relationship and responsibilities of the Public Security Provider
Organization (Militia, Police, Regional Special Force, National Army or others) hereafter
referred to in this MoA as Public Security Organization (PSO) and the project implementing
agency MoA in maintaining and supporting law and order at and in the vicinity of the project’s
facilities and in its activities. Briefly describe current or envisaged roles.
C. BASIC PRINCIPLES
The Public Security Organization joins with the project implementing agency MoA to provide
security services in the course of the implementation of SEASN AF2 for PSNP5 in agreeing with
the following principles:
• The Host Nation government, through its police or other public security forces, has the
primary responsibility to provide security, enforce the law, and maintain order in the country.
• Both the PSO and the MoA representing the Borrower Country’s police pledge to respect
human rights at all times.
• Both will approach all issues, including those affecting local communities, on the basis of
mutual respect, with a commitment to discuss and solve all issues without resorting to
violence or intimidation.
599
• In providing a safe and secure environment, both agree that force will only be used as a last
resort and then only the minimum force necessary to restore peace and to prevent injuries and
fatalities.
• In safeguarding the integrity of the project personnel and property, the PSO is committed to
obey the laws of Ethiopian government and to promote the observance of applicable
international law enforcement principles.
• The PSO’s security will not act as part of the public security forces, will not undertake
activities outside the project’s property, and will not take offensive action.
• The PSO and its security retain the right of self-defense in the event of attack.
The PSO commits that its security personnel will comply with the standards of and be trained with
regard to the Voluntary Principles on Security and Human Rights and the UN Basic Principles
on the Use of Force and Treatment of Offenders. The PSO requests that public security adhere to
the same standards when working with the MoA for project’s security needs. In the event that
force must be used, any injured persons will be provided medical attention regardless of who
perpetrated or initiated the incident. Any incident resulting in a fatality will be investigated by
the relevant authorities of the Government of Ethiopia (GoA), and any appropriate disciplinary
action will be taken.
D. JOINT SECURITY MEASURES

This section describes any relevant joint undertakings, as appropriate. This may include joint efforts
to manage specific threats, procedures for the PSO to request police assistance, coordination and
communication mechanisms, etc.
This section may also delineate responsibilities, hand-over mechanisms (both from private security to
public security and back again after a threat is contained), and other coordination obligations. For
example, “In principle, the PSO’s security will enforce the PSO’s policies on project property and
only ask for help from the Police (regional or federal) if the private security guards cannot
manage the situation.” Nothing in this memorandum restricts the authority of the GoE or public
security forces operating under its orders to defend the nation, maintain law and order, and
enforce the Constitution.
E. JOINT TRAINING
In accordance with the provisions of this memorandum, the PSO shall undertake training to make its
personnel aware of their responsibilities. Where relevant, this section describes joint training
efforts—either aspirations to “explore opportunities to work together” or specific already agreed
undertakings, such as training events, rehearsals, walk-through exercises, and other preparations.
F. ADMINISTRATION AND SUPPORT

Both the PSO and the Host Nation police bear the cost for their normal and routine operations as they
provide security to the project’s operations.
If the PSO requests security assistance from the police, the PSO is prepared to support with assistance
under the following formula:
600
• The PSO will make payments for transportation, food, and lodging in accordance with the
GoE law, but only to an institutional account, not to an individual.
• The assistance, financial or in-kind, must conform to the GoE law and must be transparent
and documented; a written receipt is required for all transfers.
• The PSO will not provide weapons, ammunition, or funding to purchase lethal weapons for
the police.
• The PSO reserves the right to make all such transactions public at its discretion.
This memorandum is in effect until it is nullified by either of the party. Cancellation or nullification
requires 30 days’ notice in writing. In such cases, a new memorandum may be negotiated between
the parties at any time.
The Ministry of Agriculture (MoA)

Name of the person representing the MoA: _________
Position: ______________________
Signiture: ________________
Date: ____________________
Name of the Public Security Organization (PSO)

Name of the person representing the PSO: __________________
Position: ____________________
Signature: ____________________
Date: ______________________
601
25. Annex 4: Detailed Checklist for Planning and Implementing Site Visits to Monitor
Project Security Performance
A. Questions for Security Personnel

Security incidents can occur when the security personnel themselves do not feel secure. It can be
helpful to establish how the site security guards perceive their job, the community and their
employer, as well as how they conduct their duties. These answers can be compared to the
security procedures provided by the Borrower. If opportunity permits, talk to individual security
personnel about the following:
• Employment context: duties, wages, length of shift, food rations, duration of
employment, training.
• Supervision and reporting: who their manager is, where they would report/escalate
incidents.
• Basic scenario-based questions: - What would they do first if someone forced their way
onto the property?
✓ What would they do if someone stole something and was running away?
✓ What type of interaction(s) do they typically have with community members, if
any?
✓ What is a typical day on the job like?
✓ What is a typical work schedule? (e.g., how many shifts per day/week?
✓ What is the duration of day and night shifts?
• Be aware that if the project provides an interpreter or translator, the responses to
questions may be communicated back to the project team or security management. In a
high-risk area, or where security concerns have been identified, it may be useful to have a
neutral translator instead of one supplied by the project.
• Try to clarify if the security personnel are affiliated with a particular community or
group, and whether it is the same as that of people in the project area or different, and if
this has raised any tensions.
B. Questions for Community Members

Women with children can often provide a good indication of how community members,
especially those more vulnerable, feel about security in their communities and how the
community perceives security personnel. Every meeting context is different, so not everyone will
feel comfortable engaging. Potential questions include:
• To whom would you report a problem or an incident or crime? [Often, not everyone will
have heard of the grievance mechanism, but they should know someone in authority who
would be aware of it.]
• If your child was injured or hurt - would you tell them to approach the police, or to avoid
them?
• Have you heard or experienced any problems or incidents associated with the project?
(Keep open-ended and note if any issues regarding security are raised. Do not specifically
602
focus on security if not raised, and include in more general discussion on grievance
management.)
C. Discussion with the General Manager or Project/Site Manager

Understanding how the General Manager or Project/Site Manager views the community and
security risks will be crucial to the success of identifying and managing security issues on site.
This person(s) is unlikely to know all the details about security management, but both the content
and delivery of responses to questions can provide a perspective on the relevance, attention and
support that security is given at the higher level. Topics for discussion may include:
• Site security risks;
• How the site is protected;
• Security of the local community;
• Relationship with local community and any initiatives;
• Potential use of national security forces, and if not proposed, clarification on the point at
which escalation in security risks may require outside assistance, what discussions have
been held to identify thresholds for additional support and if there are agreed transition
procedures in such an event;
• Existence of an early warning system.
D. Questions for the Security Manager

Not every site will have a dedicated Security Manager, but someone will be responsible for
security. This person should be able to confidently answer questions such as:
• How is the SMP implemented?
• Has the SMP been reviewed recently? Are there any changes needed?
• Has the SRA been updated with any new issues? What are they and how are they being
handled?
• How are personnel trained on the Code of Conduct? How often?
• What issues have been raised in grievances from workers or the public with regard to
security personnel? What happened in these cases?
• Have any high-risk or red-flag zones on security been identified?
• Have there been any recent security alerts, advisories or restriction of movements?
• What is the relationship/interaction with public security? When would it become
involved?
• Are there any concerns about public security personnel in general? Any concerns about
public security personnel’s ability to act in a manner that is consistent with international
good practices, applicable laws and the ESSs?
• What is the frequency of consultation with community relations/human
resources/environment team on security-related matters?
• What are the security interactions with the local community? Have there been any
incidents? What are the reporting and investigation procedures for incidents?
• What is the background and employment process for private security guards (including
private contractors)?
✓ Training schedule and program for guards (and public security, if applicable)?
603
✓ Relationship between the SMP and the ESMF, ESMP, SEP, etc.?
E. Questions for the Community Relations Manager

A good working relationship between the community relations and security teams can
significantly improve mitigation of possible security risks both from and to the community. This
discussion is likely to provide useful information about security, as well as many other issues
relevant to the community. Questions for the person responsible for community relations may
include:
• What is the relationship with the Security Manager/security team?
• What is the relationship between the SMP and the ESMF, ESMP, SEP, etc.?
• What has been the nature of interactions between community and security?
• What is the community perception of public security in the area?
• What have been the community complaints or incidents related to security?
• Are grievance mechanisms available to the community if a security incident occurs?
• If so, how are grievances reported (e.g., is it an accessible process) and how are they
investigated and followed up on?
• Does the grievance mechanism allow a woman complainant to speak to a woman in the
project team?
G. Questions for EHS Manager/Supervising Engineer

• What do you understand your role to be in relation to security contracts and
arrangements?
• What are the typical interactions of Engineering, Procurement, and Construction
contractor/sub-contractors/service providers with security personnel (e.g., access point,
gate control, etc.)?
• What are the key security risks (at the project site, at any other remote construction site or
camp, in transit)? Do you have any concerns about the ability of security personnel to
respond appropriately to such risks?
• Are you aware of a security management plan? Does it include workers/ contractors?
Who manages it? How often is it reviewed and updated (e.g., routinely and after any
incident)?
H. Questions for Public Security

Public security may include the head of the local police, military, or gendarmerie supervisor.
Questions for/about public security include:
• Has the project increased your workload in the area?
• Do you have a relationship with the project team that enables you to promptly and clearly
share concerns?
• Do you feel the project team recognizes your concerns?
• What kinds of incident have occurred —can you give some examples?
• Are the security personnel on rotation? For how long are they assigned to the project
security? When new personnel are rotated in, what kind of training is provided?
604
• How do the security forces interact with the local community?
I. On Site Observation Checklist for Monitoring Security Management

Security provisions on site, such as:
• Visible private security presence in and around the site.
• Visible public security presence in and around the site.
• Are there any women security personnel? (This can be particularly relevant and helpful if
there are expected interactions between project workers and the local community or
between female workers or visitors and security staff, such as inspections).
• In case of the use of armed security, is their uniform different from other uniformed
project personnel?
Professionalism of security guards, for example:

• Proper uniforms, clean cut.
• ID with prominent photo and name.
• Basic stance, posture, demeanor.
Weapons and serviceable equipment:

• Are (private or public) security personnel carrying weapons?
• If they have firearms, are pistols properly holstered and long weapons properly
controlled?
• Are there guard dogs? Are they well-controlled/restrained? Do they appear to be well-
trained?
• Are private security personnel using properly identifiable employer vehicles or
equipment?
• Are public security personnel using properly identifiable employer vehicles or
equipment?
• Do they have identifying badges that show they are linked to the project?
Required facilities:
• Are there any facilities provided to security personnel (including any welfare and
accommodation facilities)?
• Are there secured storage areas/facilities for weapons not in use?
• What communications equipment are on their person and otherwise available?
• Medical Evacuation (MEDEVAC): Is there an established medical evacuation procedure?
Access points and signage:

• Are there clear signs about protocols (including safety messages)?
• Is the name of the project and contact information prominent at access points?
605
• Is there emergency contact information listed if someone needs to report an incident or

emergency?
• Are there procedures in place to ensure people are not bringing weapons or other
prohibited materials (e.g., alcohol, drugs) or unauthorized persons on site?
• Are there procedures in place to ensure project property or vehicles are not improperly
removed from site?
• What types of barriers (for example, fences) are being used, if any?
J. Checklist for Observations Off-site

The following may be the key questions to be discussed with the Borrower:
• Public security: quality and presence in the capital city versus local/remote areas.
• Local community activities: - Behavior of and towards women and children.
• Local commerce (e.g., market activity); (d) Public routines and curfew.
• Local daily life versus current reality (i.e., finds out what is usual, and assess whether
what is observed conforms to that description).
26. Annex 5: Sample Incident Report Summary Template
606
Annex 6: Indicative TORs for the TPI and TPM
A. Objectives
An introductory section should briefly present the Project, the monitoring goals and objectives and
how it fits in the overall scheme of project implementation.
B. Tasks divided in major project phase, or location or type of activity

This section should provide a general outline of the monitoring program and attach the detailed
ESCP/ESMPs, Stakeholder Engagement Plan, or other relevant documents. The Borrower should
highlight any specific incidents/accidents/events/changes in project or project schedule that need
to be taken into account. A link should be provided to the environmental and social documents,
where available on a website, so that the prospective monitor can understand the complexity of
the assignment:
• Planning of monitoring visit: provide proposed parameters (schedule, meetings proposed,
locations, any complex travel logistics, and so forth).
• List of initial documents to be reviewed and data to be made available.
• Schedule: For single monitoring trips, preferred timing window and duration of visit. For
longer monitoring assignments with multiple trips: preferred timing window for first visit,
estimate of frequency of visits during each phase (for example, quarterly visits during
construction, annual visits during operation, higher frequency during sensitive phases…),
expected duration of each visit. Expectation of initial and close out meetings for
Borrower/Project Implementation Unit, as appropriate.
• Scope of discussions with stakeholders: provide some context, locations of communities to
be visited (if large-scale project, suggested numbers and locations to be confirmed by
selected monitor), and background on key issues and impacts that might be raised (which
can influence which specialist is most appropriate to undertake the assignment)
• Methodologies to be used, or request expert/monitoring firm to propose methodology.
• Any technology requirements, and any specifications for format and content of output
needed in monitoring report, so that the Borrower can access and analyze the information
for its own use and/or reporting.
C. Reporting/Outputs
Clarify the focus/purpose of the reports, how findings should be presented/rated, and how
conclusions and recommendations should be presented. Propose changes to ESCP, where
appropriate; updates to the Stakeholder Engagement Plan, and so forth. Reports should be sent to
the Borrower and the Bank at the same time for feedback on any factual inaccuracy. This allows
the Bank to see initial and independent recommendations. To ensure independence and
credibility, evidence-based conclusions and recommendations of the third-party-monitor should
be maintained unless there are factual inaccuracies on which the conclusions and
recommendations are based. The Borrower should provide the Bank with their comments to the
monitor regarding the report. In controversial or complex projects, the draft report may be shared
publicly for maximum transparency and to build trust. Clarify expected language of reporting
and intended audience.
607
D. Qualifications
The TORs should list the following:
• Expertise needed: minimum or range of number of experts, and specialty areas needed to be
covered depending on issues in the scope agreed. These may include: project management
and specialists on environmental or social issues, indigenous peoples, public health,
biodiversity, resettlement, health and safety, labor, communications and stakeholder
engagement, and capacity building.
• Expected level of expertise, such as types of degree or certification (for example,
environmental, social, engineering), and acceptable combination of level of education and
years of experience.
• Experience with/knowledge of international and World Bank standards, the local context,
the project sector, applicable regulations.
• Language skills needed, and confirmation that the contractor will provide support for setting
up logistics locally, such as meetings, clarity on which party will provide translation, and so
forth.
• Require CVs of all key personnel and organization’s experience and credentials. These are
needed to demonstrate to the World Bank that the experts/specialists are appropriate for the
required scope of work.
• Once a monitor is accepted, personnel should not be substituted without permission and
should have equivalent expertise.
E. Eligibility/independence requirements
For example (a) absence of existing contracts with Borrower contractors on the project, and (b) no
participation in earlier phases of the project or in the design of environmental or social programs
associated with the project. The more complex and controversial the project, the higher the
eligibility and independence needed.
F. Duration of contract and minimum commitment

Expected minimum and/or maximum duration of contract, as applicable and any minimal
commitment expected from the third-party monitoring provider.
G. Excluded costs
Logistical support, travel and accommodation that will be provided by Borrower that should not be
included in the cost estimate.
H. Conflicts of Interest disclosure

Any past or current arrangements that would prevent the third-party from providing advice
independent of the Borrower and the project.
I. Confidentiality and proprietary information

Any specific arrangements for reports and other outputs to be confidential or proprietary to the
Borrower
608
J. Format of proposal
The TORs should indicate how the cost estimate should be made for undertaking the monitoring
assignment: by task, sub-tasks, expected number of people, and daily rate and/or lump sum. If
tasks in the TORs are not fully defined, clarify how the budget should approach these tasks.
609
Annex 7: Escalation Matrix
SEASN
State Alert Alert State GREEN Alert State GREY Alert State WHITE Alert State YELLOW Alert State RED
Level
SEASN Precautionary Restriction of Movement Stabilization Evacuation Concentration Relocation/Evacuation
Descriptor
-Agreement by project - Community unrest/conflict; - All Grey Status Triggers, and - All White Status Triggers, - All Yellow Status Triggers,
Potential coordination units at all -Limitation of transportation additionally: and additionally: and additionally:
Triggers level and with access to project site - Specific threats against SEASN - Armed conflict nearby - Serious assault/fatality of
stakeholders; - Limitation of access to target workers; impacting project activities. project workers;
- Agreement between Sites due to insecurity; - Armed robbery at SEASN office/ - Withdrawal of WB
project implementers and - Government offices affected in activity location; Supported projects from the
project workers; undertaking their day to day - Serious injury/illness of project area (or nearby) location;
activities personnel. - Withdrawal/lack of
government support to ensure
security.
SEASN - Normal day to day -undertake site specific security - Project workers pause field visit to - Project workers to move to - The public security officials
Response government operations risk assessment move to safe location; concentration points and prepare to notify project coordinators
ongoing - The public security officials to to relocate to safe location; who will in turn notify project
notify project coordinators who -Project coordinators and security - Project coordinators and workers within 24 hours
-Project activity ongoing will in turn notify project focal personnel to account for security focal personnel to - SEASN to review viability
workers within 24 hours. workers and project resources account for workers and project of continuing with project
-Project coordinators and regularly. resources regularly activities in a particular
security focal personnel - Government security officers - The public security officials to -- The public security officials to location/region
monitor the security accompany project workers, notify project coordinators who will notify project coordinators who - SEASN to advise and agree
situation. contractors and suppliers during in turn notify project workers within will in turn notify project with WBG on proposed way
movement to project site 24 hours. workers within 24 hours. forward
- Public security officials in liaison - Update WBG on proposed (pause/continue/otherwise)
-Temporary suspension of with the PIU assess potential for de- options for de-escalation for - Suspension of project
activities; escalation. agreement activities
- Update WBG on proposed options - Implement agreed de-
for de-escalation for agreement escalation actions
- Implement agreed de-escalation - Suspension of project activities
actions
- Temporary suspension of activities;
610
Annex 8: List and Contact Details of the Interviewed Stakeholders

A. Federal Level
Name Position Cell Phone Email
Guluma MoA, Targeting and Grievance Technical Support Specialist 0911599511 guluma.snsf@gmail.com
Ambachew MoA, PSNP Focal Person 0911902962 meetatb@gmail.com
B. Regional Level
Name Region and Position Cell Phone Email
Worku Kebele Amhara Region Food Security Coordinator 0964716028 workukebele_07@hayoo.com
Usso Mohammed Dire Dawa Food Security Coordinator 0914995050 usso24@gmail.com
Solomon Begna Oromia Region Food Security Coordinator 0920937712 Solomonbegna67@gmail.com
Kadir Abdela Afar Region Food Security Coordinator 0925277099 Kadirabdella21@gmail.com
Nuredin Isehak Harari Region Food Security Coordinator 0945995362 nrdnshk@yahoo.com
Abera Willa Sidama Region Food Security Coordinator 0912068409 aberawilla@gmail.com
Maeragu Kelbore SNNPR Food Security Coordinator 0913563787 maeragu@gmail.com
Kadir Mahamud Somali Region Food Security Coordinator 0915749884 kadarboodhiye@gmail.com
C. Woreda Level Stakeholders

Name Woreda and Position Cell Phone
Wako Jillo Goro-Dola Woreda, PSNP Focal Person 0924455027
Shambel Hetossa woreda, Project Staff 0910396507
Kassaye Dire Dawa Woreda, Project Staff 0915015753
Jafar Harari woreda, Project Staff 0913992964
Tariku Hokko Woreda, Project Staff 0911029086
Solomon Boricha Woreda DRMC Sector Head 0916072905
Duba Yara South Omo Zone, DRMC Sector Head 0913164287
Tilahun Hamer Woreda, PSNP Focal Person 0923477030
Wondimu Sekota Woreda, PSNP Focal Person 0923458709
D. Community Representatives Volunteer to Provide their Cell Phone

Name Kebele Phone
Muhammed Yusuf Asked Not to Disclose Kebele 0969420571
Ibero Munir Asked Not to Disclose Kebele 0915121897
611

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THE FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA

STRENGTHEN ETHIOPIA’S ADAPTIVE

ENVIRONMENTAL AND SOCIAL

BoA Bureau of Agriculture

Component 1: Adaptive Productive Safety Net

Component 2: Improve the Shock Responsiveness of the Safety Net System

Component 3: Program Management

Component 3 has two sub-components:

(a) Systems Development;

(a) Risks associated with individual PW subprojects, addressed by a PW ESMF;

(b) Risks associated with individual LH Strengthening activities, addressed by a LH

(a) Public Works (PW) ESMF Procedure

The community-based PW programme is aimed at integrated watershed and rangelands

PW subprojects, which are community-based and micro-or small-scale, normally follow

Some sub-projects will require application of specialized procedures, notably those

In exceptional cases it may be necessary for a subproject design to be reviewed at a higher

(b) Livelihoods (LH) ESMF Procedure

The aim of the LH Strengthening sub-component is to foster improved livelihoods through

It is then clear that LH Strengthening could lead to significant cumulative negative

It occasionally happens that a number of households decide to form a LH Group linked to

(c) Procedures for Addressing Broader Social Risks

• An Enhanced Social Assessment and Consultation Action Plan (ESAC), Social

2. Environmental and Social Framework (ESF)

2.1.1 Public Works Sub-Component

2.1.2 Livelihoods Sub-Component

Potential social risks of the micro-activities of the household-level Livelihoods sub-

2.1.3. Broader Social Issues

The PW, LH Strengthening, Transfers, program management sub-components of the project

• Unrest or hardship caused by delayed transfers;

• An Enhanced Social Assessment and Consultation Action Plan/Social Development

Gender Analysis and Action Plan

• Piloting paying HH transfer to women,

2.2 ESS2: Labor and Working Conditions

The principal potential risks are:

Labour Management Procedures (LMP)

The legislation requirements conform to guidance provided in WB Environmental and Social

Grievance Redress Mechanism (GRM)

Process of Grievance Mechanism

• Civil servant with grievance/appeal submits a completed grievance form to an inquiry

2.3 ESS3: Resource Efficiency and Pollution Prevention and Management

2.4 ESS4: Community Health and Safety

• Occupational hazards while working as a community worker on a subproject

• Humans and animals falling into community water-harvesting ponds;

• The incorporation of good safety practice features in the subproject design, as

GBV Risk Assessment and Action Plan

• Organization of consultative meeting with stakeholders to define the scope of GBV

2.6 ESS6: Biodiversity Conservation and Sustainable Management of Living

2.7 ESS7: Indigenous Peoples/Sub-Saharan Africa Historically Underserved

2.8 ESS8: Cultural Heritage

Since the PW sub-component of PSNP5 can involve excavations, movement of earth,

These risks to cultural heritage will be addressed by the project as follows:

• Subprojects likely to be implemented within, or in the vicinity of, a known cultural

2.9 ESS9: Financial Intermediaries

No financial intermediaries will feature in PSNP5.

2.10 ESS10: Stakeholder Engagement and Information Disclosure

• Project-affected parties: principally the communities targeted as PSNP-beneficiary

The SEP of PSNP5 aims to establish a systematic approach to stakeholder engagement to

3. Institutional Arrangements for Environmental and Social Risk Management

3.1 Institutional Arrangements and Coordination