Environmental and Social Management

E FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA
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March 2012
Ethiopian Roads Authority
Contents
Ref. No.
Volume 1 Quality Management and Monitoring
Foreword
Preface
Acknowledgements
Contents
Abbreviations
ERA Quality Systems
ERA Organisation Chart
1.1 Purpose of Quality Manual
1.2 User Guide
1.3 Procedures for Control and Revision of ERA Documents
1.4 Roles and Responsibilities of Quality Directorate
1.5 Quality Appraisal / Audit Methods and Procedures
Activity Schedule, List of Standard Form, Memos, Checklists
Standard Forms and Checklists Q1.01 - Q1.08
Appendix 1.1 Approved List of Manuals, Standard Documents, Procedures
Appendix 1.2 ERA Policy on Document Retention and Disposal
Appendix 1.3 ERA Quality Monitoring Committee, Memorandum of Objectives
Volume 2 Planning
Contents
Abbreviations
Activity Schedule, List of Standard Forms
Project Numbering System Q2.01
Road Classification Table Q2.02
Project Data Sheet Q2.03
Standard Format for Road Project Profile Q2.04
Budget Guidelines and Forms Q2.05 - Q.07
Traffic Survey Forms Q2.08 - Q.12
Economic Vehicle Costs Data Collection Form Q2.13
Volume 3 Procurement
Contents
Abbreviations
Procurement of Services
Activity Schedule and List of Standard Forms, Checklists
Standard Forms, Reports, Checklists, Memos and Letters Q3S.01 - Q3S.23
Procurement of Works
Activity Schedule and List of Standard Forms, Checklists
Standard Forms, Reports, Checklists, Memos, Letters Q3W.01 - Q3W.26
Q5 Rev 3/12
Appendix 3.1 Standard Prequalification Document ref. Q3W.04
Volume 4 Feasibility Studies and Design

Contents
Abbreviations
ERA Quality Systems
Activity Schedule, List of Standard Reports and Checklists
Standard Report Formats
Notes for Report Writing and Statements of Purpose Q4.01
Road Classification Table Q4.02
Inception Report (Feasibility Study & Design Phases) Q4.03
Progress Report (Feasibility Study & Design Phases) Q4.04
Route Selection Report (Feasibility Study & Design) Q4.05
Feasibility Study Report (Feasibility Study Phase) Q4.06
Specific Design Standards Report (Design Phase) Q4.07
Materials and Site Investigation Report (Design Phase) Q4.08
(Contents only)
Engineering Design Report (Design Phase) Q4.09
Completion Report (Feasibility Study & Design Phases) Q4.10
Meeting Agendas and Minutes of Meeting Format Q4.11 - Q4.13
Volume 5 Environmental and Social Management

Contents
Abbreviations
ERA Quality Systems
Environmental & Social Management (Feasibility Studies, Design)
Activity Schedule and List of Standard Reports and Checklists
Notes for Report Writing, Purpose of Reports QS5.01 - QS5.02
Environmental Impact Assessment (EIA) QS5.03
Resettlement Action Plan (RAP) QS5.04
Checklists for Surveys QS5.05 - QS5.07
Environmental & Social Management (Construction)
Activity Schedule and List of Standard Reports and Checklists
Agenda for Environmental Management Meeting Q5W.01
Standard Report Formats Environmental Management Plan Q5W.02
Checklist for Environmental Issues, Implementation Q5W.03
Agenda Environmental/Social Progress Report and Meetings Q5W.04
Standard Report Format, Environmental Audit Report Q5W.05
Environmental Clearance Certificate Q5W.06
Q5 Rev 3/12
Volume 6A Construction Management (Administration)

Contents
Abbreviations
ERA Quality Systems
Activity Schedule, List of Standard Agendas, Reports Formats
Meeting Agendas, Format for Minutes Q6A.01 - Q6A.04
Design Review Report (SC) Q6A.05
Construction Materials Review Report (SC) Q6A.06
Monthly Progress Report (SC) Q6A.07
Completion Report (SC) Q6A.08
Monthly Status Report (ERA) Q6A.09
Standard Site Administration Forms Q6A.10 - Q6A.22
Volume 7A Maintenance Management (Administration)

Contents
Abbreviations
ERA Quality Systems
Activity Schedule, List of Standard Agendas, Reports Formats
Meeting Agendas, Format for Minutes Q7A.01 - Q7A.04
Monthly Status Report Q7A.05
Completion Report Q7A.06
Standard Site Administration Forms Q7A.10 - Q7A.23
Q5 Rev 3/12
Abbreviations
BPR Business Process Re-engineering (within ERA)
CAC Contract Award Committee
CQM Cost & Quality Monitoring (Committee)
EIA Environmental Impact Assessment
EOI Expression of Interest
EMA Ethiopian Mapping Authority
EMP Environmental Management Plan
EPA Environmental Protection Authority
ERA Ethiopian Roads Authority
EVS Estimate Validation System
EFY Ethiopian Financial Year
IDA International Development Association (World Bank)
IRI International Roughness Index
IRR Internal Rate of Return
ISO International Standards Organisation
MOFED Ministry of Finance and Economic Development
MOT Ministry of Transport
NPV Net Present Value
PMUR Performance Monitoring and Units Rates Project
PAS Performance Appraisal System
PMS Pavement Management System
QSAE Quality Standards Authority of Ethiopia
QARISM Quality Assurance Road Inspection & Safety Management (Directorate)
RAP Resettlement Action Plan
RFP Request for Proposal
TAC Tender Assessment Committee
TAS Tender Analysis System
TOR Terms of Reference
WMS Works Monitoring System
WB World Bank
Q5 Rev 3/12
Introduction to ERA Quality Systems

The Ethiopian Roads Authority (ERA) is responsible for managing, maintaining and developing the
national road network across Ethiopia to support economic development, growth and poverty
reduction. The Government of Ethiopia allocates a significant part of the Budget towards the roads
programme, and external financiers also assist ERA with important credit and grant facilities.
The manual has also been developed to take ERA towards the requirements of ISO 9001 Quality
Management Systems and ISO 14001 Environmental Management Systems.
Goal of Quality Manual

The goal of the ERA Quality Manual is to increase
efficiency and reduce wastage in the planning, design,
and implementation of the ERA roads programme
The Quality Manual is intended to be:

Simple, clear and easy to understand and implement
A practical tool that eases the work load, rather than being an administrative burden.
A live system that is to be regularly reviewed and revised as necessary
Users of Quality Manual

ERA requires all those working on road development
projects, including ERA Staff and their service providers
(consultants or contractors), to carry out their work in
accordance with the ERA Quality Manuals.
Users of the Quality Manual should note the following:

1. The Controlled Copy of the Quality Manual will be held by the Director of Quality Assurance,
Road Inspection and Safety Management. He has the responsibility to revise the Quality
Manual through the authority of the Cost and Quality Monitoring (CQM) Committee.
2. All Users should have access to both hard and soft copies of the Manual (Soft copies will be
available from ERA Quality Director).
3. The Activity Schedule included in each Volume lists all standard forms, memos, letters and
reports, each with unique reference number, and also lists who has primary responsibility for
each activity and who is responsible for reviewing each task.
ERA Quality Systems Rev 3/12

4. Soft copies are provided in MS Office Word format which should be used to create new
letters, memos and reports from the standard formats given. Adobe pdf formats shall be used
as control copies for reference purposes.
5. Forms can be directly copied either from the hard copy or the soft copy provided, and used
without the need for revision or addition
6. Every new project report shall be prepared using the standard format from the Quality
Manual as the base. (The use of previous project reports as a base is not allowed, as over
time this leads to unauthorised changes).
7. The original softcopies provided are read-only documents and should only be used to copy
from, by selecting the required text and copying and pasting into a new MS Word document.
Headers and footers should automatically copy and paste with the selected text
8. Header and Footers
i. Each standard form, memo, letter and report has a unique reference number that is
shown as a small footer. The footer where appropriate also includes a date reference
indicating the latest revision of the Quality Manual. These number and date references
should be retained and not deleted.
ii. The header for project and evaluation reports should be revised to include the name of
each project.
iii. Page numbering for reports should be added as a centred footer.
iv. The header for standard letters and memos should be deleted to conform to the
standard ERA layout for letters and Memos.

ERA Quality Systems
PERFORMANCE ACCOUNTABILITY
APPRAISAL ADMINISTRATIVE
PROCEDURES
QUALITY MANAGEMENT STANDARD SPECIFICATION

AND MANUALS
Code of Ethics
QUALITY
The ERA Quality Manuals are very important in achieving quality for services. However, the Quality
Manuals should be applied in parallel with other systems if meaningful results are to be achieved. It
is also clear that commitment to a set of ethical rules and standards is also needed, and the ERA
Code of Professional Conduct and Ethics provides this. All ERA staff and service providers will be
required to commit to the code.
In addition to the Quality Manual, ERA has a full set of systems aimed at ensuring quality,
including:
1. Design Manuals
2. Technical Specification and Method of Measurement
3. Standard Detailed Drawings
4. Low Volume Roads Manual, Specifications and Bidding Documents
5. Pavement Management System (PMS)
6. Bridge Management System (BMS)
7. Estimate Validation System (EVS)
8. Tender Analysis System (TAS)
9. Works Monitoring System (WMS)
10. Performance Appraisal System (PAS)
The adoption of Quality Manual will be enforced through audits. Tools like WMS and EVS will
supplement the auditing and inspection aspect and also provide information to be analyzed so that
there is future improvement.

There will also be performance monitoring and evaluation of Consultants and Contractors, and
ERA contract management. Rating Consultants and Contractors and using past performance for
selection of future projects will encourage firms to strive for best service delivery.

Quality Manual Ethiopian Roads Authority
Quality Cycle
Stage Activities Outputs Controls, Systems & Tools
PLANNING
Data Collection / Analysis Road Inventory / Condition Data Quality Manual Volume 2
Government Liaison Annual Plan Ministry of Finance & ED Directives
Budgeting Annual Budget PMS Procedures
Prioritisation 5 Year Plan WMS Reports
Project Selection Budget Management & Adjustment
PROCUREMENT
Tender Preparation Tender Documents Quality Manual Volume 3
Tender Process Evaluation Reports, TAS, EVS Output Public Procurement Directives
Tender Evaluation, TAS Input Contract Documents & Award Standard TORs, Tender Documents
Estimate Validation, EVS Input List of Suitable Firms (White list) PAS Reports
IMPLEMENTATION
Consultation Route Selection Quality Manual Volumes 4, 5, 6, 7
Contract Management (Design) Feasibility Studies Environmental, Social Directives
Contract Management (Works) Detailed Design and Eng Estimate Design Manuals
Works Monitoring, WMS Input EIA and RAP Standard Specifications and Drawings
Performance Evaluation, PAS Input Road and Bridge Completed Works
Road and Bridge Maintenance
CONTINUAL
DEVELOPMENT Feedback by ERA on controls etc. Updated Standard Design Manuals Quality Manual Volume 1
Feedback by Cons on controls etc. Updated Standard Specification EVS

Analysis from Systems Updated Quality Manuals WMS
Quality Audits Updated, New Procedures & Systems
PMS Pavement Management System, EVS Estimate Validation System , PAS Performance Appraisal System, TAS Tender Analysis System, WMS Works Monitoring System

Environmental and Social Management (Feasibility Studies and Design) Regional Directorates
Activity Schedule, List of Standard Report Formats, Checklists
Primary Task Task
Ref. Type Description
Responsibility Reviewed By
Q5S.01 Notes Notes for Writers of Reports
Q5S.02 Notes Statements of Purpose of Reports
Q5S.03 Report Format Environmental Impact Assessment (EIA) Consultant PE & Env Eng
Q5S.04 Report Format Resettlement Action Plan (RAP) Consultant PE & Env Eng
Q5S.05 Checklist Checklist for Environmental Survey Consultant, PE
Q5S.06 Checklist Checklist for Right of Way Survey Consultant, PE
Q5S.07 Checklist Checklist during Preparation of EIA Consultant, PE
Dir Director, TL Team Leader, PE Project Engineer, OM Office Manager, Env Eng Environmental Engineer
Q5S Rev 3/12

Notes for Writers of Reports using ERA Standard Formats
1. Where text is shown in red and italic font in the standard report formats, the Writer should
delete/add text to suit the particular project, and then re-format the font to black and normal.
2. Text already in black and normal font must be included in the report.
3. ERA prefers the main text font to be Arial 11, with single spacing.
4. Figures and Tables to be numbered with the same numbering of the section in which they
are included - e.g. in Section 3.1, the first table should be numbered Table 3.1.1, and for
figures, Figure 3.1.1 etc. Where tables and figures are too large to be placed immediately
following the text where they are mentioned, they may be placed at the end of the Section
or in the Appendices, and reference made to their placement - e.g. See Figure 3.1.1 at the
end of Section 3.0 or in Appendix X.
5. Maps to include scale or scale bar.
6. The Cover page to include:
Federal Democratic Republic of Ethiopia

Type of Service, e.g. Feasibility Study, Detailed Design, etc.

Name of Project
Project No.
Report Title and Version e.g. Draft, Final, Progress Report No.
Month Year
Name / Logo of Consultant
7. The first page of the report shall confirm that the ERA Code of Conduct and Ethics for
Service Providers has been read by all key staff and followed in full. This shall be signed by
all key professional staff who have contributed to the project.
Q5S.01 Rev 3/12

Notes for Writing Good Reports
Always use the standard report formats provided as the base for a report, and not a previously
completed report
A) Report to fulfil its purpose

Always consider and understand the purpose of the report.
Understand who will be the readership of the report, and why they need the information
provided.
Make sure that all necessary information is included.
Each report must be technically correct and consistent with other project reports and tender
documents. (Inconsistencies and errors will lead to additional construction costs)
B) Report to be concise
Keep it concise. (The success of the report will not be judged by how much it weighs!)
Keep it the writing style simple and jargon-free.
Keep it factual and project particular, not general and instructional. Do not include text that
teaches or lectures. This is already included in the ERA Design Manuals, and need not be
repeated. References should be made to Design Manuals, papers or text books where
required. This applies particularly to the Design Standards Report. Remember that the
readers of the report are professional staff and not students.
Avoid significant repetition within the report and with other project reports. References can
be made to other reports if required.
Understand the purpose of each statement or fact written in the report do not include
statements that have no relevance or do not add to the purpose of the report.
Make use of tables and bullet points instead of text where possible.
C) Report to be checked
Always proof-read what has been written and rewrite and crop if necessary. Make sure the
text has the intended meaning.
Ensure that adequate time is given to report writing (data must be collected in time).
The report should be fully reviewed by a colleague who has been appointed for this
purpose remember that the Reviewer has limited time
Notes for the Reviewer of Reports

Consider and understand the purpose of the report, the readership, what should be
included in the report as described in the Terms of Reference.
Ensure that the report is factually correct and includes all the necessary information as
requested.
Review every page errors can be made even on the report cover, and this is an indication
that there may be further errors inside the report.
Sign the Quality Control Sheet that will be included in the report confirming that the report
fulfils its purposes and is now ready for issue to the Client.
Q5S.01 Rev 3/12

Statements of Purpose of Reports during Feasibility Study Phase
Environmental Impact Assessment (EIA)

The purpose of EIA is to provide:
1. All the necessary information for ERA, Regulatory bodies, and Financiers to assess the
proposed project in environmental and social terms;
2. Details of environmental and social impacts, mitigation measures and costs required for the
feasibility, design and construction phases.
Reader/User: ERA Management, ERA Regional Directorate, ERA Environmental and Social
Management Team, Financier, Environmental Protection Agency, key stakeholders,
Design Consultant, Supervision Consultant and Contractor, NGOs
Approval Required: Within 2 weeks of submission
Timing of Use: At assessment of Feasibility of project, and during design, construction and post-
construction
Resettlement Action Plan (RAP)

The purpose of the Resettlement Action Plan is to identify the land and assets needed for the project,
clearly show the process of consultation and agreement with the affected people and communities, and
schedule the estimated costs and list the actions that will be taken to fairly resettle and compensate
affected people and communities in accordance with current legislation and policy statements.
Management Team, Financier, Environmental Protection Agency, , Design
Consultant, Supervision Consultant, Contractor, NGOs and key stakeholders
Timing of Use: During design, prior to construction, during construction, and also post-construction
monitoring
Environmental Management Plan (EMP)

The purpose of EMP is set out the mitigation, monitoring and institutional measures to be taken during
implementation and operation to eliminate adverse environmental and social impacts.
Management Team, Financier, Environmental Protection Agency, Design Consultant,
Supervision Consultant, Contractor, NGOs and key stakeholders
Timing of Use: During construction, and also post-construction monitoring
Q5S.02 Rev 3/12

Project Type Ethiopian Roads Authority
Project Name Environmental Impact Assessment Month Year
Environmental Impact Assessment
CONTENTS
List of Associated Project Reports
Glossary
Executive Summary
1.0 Introduction
1.1 Introduction and Purpose
1.2 Scope of Services and Objectives
1.3 Project Description
2.0 Relevant Policy
3.0 Approach and Methodology
4.0 Existing Corridor Baseline Conditions
4.1 Physical environment
4.2 Natural environment
4.3 Socio-economic environment
5.0 Public Consultation and Participation
6.0 Analysis of Alternative Routes
7.0 Impact Identification and Evaluation
8.0 Impact Mitigation and Enhancement Measures
9.0 Outline Environmental Management Plan (EMP)
10.0 Estimated Costs
11.0 Recommendations
11.1 Key Aspects to Include in Bidding Documents
List of Tables
Table 1.3.1 Project Description
Table 1.3.2 Project Control Points
List of Figures
Add Figures as necessary
Appendices
Add Appendices as necessary
Q5S.03 Rev 3/12 Page No. Name of Consultant

Executive Summary
Brief (3 pages maximum) and accurate overview of the report in non-technical and simple
language, highlighting the main findings and recommendations.
Title and location of the project
Summary of the approach / methodologies used
Brief description of project and recommended alternative
Brief description of impacts and mitigation measures
Cost estimate of mitigation measures
Summary of conclusions and recommendations
1.0 Introduction
The Name of Financier/Donor has allocated funds through the Road Sector Development
Programme Phase IV (RSDP IV) for Type of Service, e.g. Feasibility Study, Detailed
Design, etc. for Project Name.
The purpose of EIA report is to provide:
1. All the necessary information for ERA, Regulatory bodies, and Financiers to assess the
proposed project in environmental and social terms
2. Details of environmental and social impacts, mitigation measures and costs required
for the feasibility, design and construction phases.

Summarise the scope of the service to be provided, based on contract documents and any
other information provided during the services.

The Project Description can be copied from the Feasibility Study Report
Project Name
Road No
Region / Zone
Starting Point Description
Ending Point Description
Length (km)
Road Functional Classification As per ERA Standard Design Classification

Climate Classification As per ERA Standard Design Classification

Elevation (m) (min max)
Where the Road Functional Classification, the Climate Classification or the Traffic Volume
Classification varies along the length of the road, provide details of these variations (start km end
km).
No. Start km End km Description of Key Points Terrain
As per ERA
Standard Design
Classification
Note: the Description of Key Points shall include for towns, villages, major intersections,
major rivers/bridges and changes in topography/terrain
Describe any existing local development plans and current projects, town plans that have
been taken into account during the design process, and how these have affected the
design.
Provide maps showing;

location of project within country
road corridor identifying major towns and other key features
Provide photographs in the Appendix (suggest approximately 4 pages of 4-6 photos each).
2.0 Relevant Policy

The relevant Policies, Regulations, Proclamations and Legislation that have been reviewed
and used in the preparation of this EIA should be listed, and project specific comments
made.
Describe how the size and type of the project falls within certain schedules and categories
as described in the above documents.
3.0 Approach and Methodology

Explanation as to how the study team is constituted to undertake the study
Objectives of the assessment, nature and status of the decision(s) for which the
assessment information has been prepared.
Approaches employed for assessment and evaluation of different aspects (checklists,
matrices, professional opinion, specialist techniques, consultations...)

Description of approach and / or methodology in involving the relevant stakeholders

effectively. Provide a statement on reasons for selected approach.
Indicate how quantities for raw materials, waste matter and residual materials have
been estimated.
Indicate what data sources have been used to accurately describe the baseline
situation and estimate the do-nothing situation and potential impacts of the proposal
and its alternatives
Assessment of the reliability and quality of data used, especially where taken from
secondary sources
Identification of knowledge gaps, assumptions and unavailable information and how
these have been dealt with
Identify any difficulties in assembling or analysing the data needed to predict impacts,
any basis for questioning the reliability of assumptions or data.
Clearly define uncertainties including:
o Reasons why accurate / complete data is not available
o Implications of the gaps and assumptions for decision making
o Recommendations as to how to address the data limitations in the future
Sampling techniques, and representative samples.
4.0 Existing Corridor Baseline Conditions

4.1 Physical environment
Project boundaries and extent of proposed permanent and temporary construction
areas
Land use adjacent to project area
Infrastructure services in and around the project area
Transport patterns
Ongoing and planned activities that may affect implementation
4.2 Natural environment
Flora and fauna types
Rare or endangered species
Significant natural sites and sensitive habitats including parks and reserves
Natural species of commercial importance (medicinal plants, fish) and reliance of the
local people on these resources
Species with potential to become a nuisance or dangerous.
Water supply and water resources utilization, including waterways and surface and
ground water hydrology and quality upstream and downstream
Provide locations, proportions and species type, relative density of species, and traditional
resources management practices and resources, and potential opportunities for
development.
4.3 Socio-economic environment

Within the area of influence of the project road, describe the existing conditions for:
Economic state of local population, extent of poverty
Existing livelihoods and employment
Health issues, prevalence of major diseases such as HIV/AIDS and likely trends,
availability of health centres and likely trends
Education issues, prevalence and availability of primary and secondary schools and
likely trends
Physical cultural resources defined as movable or immovable objects, sites, structures,
groups of structures, and natural features and landscapes that have archaeological,
paleontological, historical, architectural, religious, aesthetic, or other cultural
significance. Physical cultural resources may be located in urban or rural settings, and
may be above or below ground, or under water.
Land tenure systems and holding sizes
Human settlements and patterns of new settlements
Existence of any indigenous peoples
Control over allocation of resource use rights
5.0 Public Consultation and Participation

Identification of the interested and affected public
The method(s) used to inform and involve stakeholders
Who has been consulted, when and what was discussed should include:
o Local, regional and national planning authorities and administrations
o Local, regional and national representatives from agencies responsible for
environmental protection, agricultural development, water management, cultural
heritage, archaeology, infrastructure and service provision.
o Local community leaders and community representatives (including government,
non-government and civil society organisations)
Description of the level and modality of public participation, fairness and
appropriateness of representation of opinions and points of view
Representation of IAPs accurate reflection on the views, opinion and consent of the
IAPs on proposed mitigation measures and compensation
Copies of meeting notes summarising the main comments and issues raised at these
meetings to be signed by consultant and representative(s) from the meeting as an
accurate and true reflection of the discussions that took place to be included as an
appendix to the report.
Analysis of the views and concerns expressed
How these have been taken into account
Outstanding issues and matters that need to be resolved.
6.0 Analysis of Alternative Routes

If a Route Selection Report has been prepared, include Table 9.1 from that Report, and
provide a brief explanation where necessary.

If the has been no route selection process and the project road follows an existing or
obvious route, this should be stated.
Table 6.1 Comparison Summary of Alternate Routes (as per Table 9.1 from Route
Selection Report)
7.0 Impact Identification and Evaluation

An assessment of the likely or potential environmental impacts of the proposed activity
and alternatives, including the direct, indirect, cumulative, short-term and long-term
effects
Detailed description of the nature and magnitude of all potential positive and negative
impacts (location, number, value, extent, sensitivity), with indication of when they are
likely to occur, whether permanent or temporary, reversible or irreversible, whom / what
they are likely to affect (humans, flora, fauna, soil, water, air, landscape, etc) and how
Criteria used for determining significance of impacts (magnitude, geographic extent,
duration, frequency, reversible or irreversible, risk of uncertainty, size of group affected)
Indicate whether predictions, judgements and assessments of significance have been
made based on expert opinion, standards, models, case studies, stakeholder
perceptions or personal experience and judgements
Identify impacts resulting from incremental impact of the proposed project when added
to past, current and foreseeable future proposals; from indirect or secondary effects of
construction and operation
Potential accident or hazard scenarios covered in the assessment and the impacts that
might arise from non-standard operating conditions
Include probability analysis of events / impacts occurring and estimate likelihood as
well as severity, also indicate the degree of confidence in the data used or estimates
made
Quantify anticipated impacts to the extent possible. Ensure qualitative descriptions are
sufficiently detailed to enable comparisons to be made between alternative options
Clearly identify which impacts are significant and need to be mitigated against and
monitored, and which are not likely or only marginally likely to be affected and do not
need to be considered further
8.0 Impact Mitigation and Enhancement Measures

List all enhance measures proposed that will maximise beneficial impacts through
specific additional actions
For impacts identified as significant, suggest specific, appropriate and practical
measures to avoid and / or minimise negative and enhance positive impacts of the
proposed project. Give alternative mitigation measures if appropriate and give reasons
for selecting the mitigation measure chosen.
Indicate where negative impacts may be reduced through design revisions and how
these have been / will be done.
Measures must be specific and take into account cost and views of stakeholders

o Prevention, reducing or minimising impacts before they occur

o Eliminating an actual impact over time by incorporating appropriate maintenance
measures during the life of the project
o Rectifying an impact by repairing, rehabilitating or restoring the affected
environment
o Compensating for an impact by replacing or providing substitute resources or
environments as well as contingency plans in the case of emergencies
Identify potential weaknesses and / or uncertainties in the effectiveness of proposed
mitigation measures
Indicate the significance of any residual or unmitigated impacts and justify why these
impacts are not being mitigated
9.0 Outline Environmental Management Plan (EMP)

Whilst it will be the responsibility of the site teams to prepare a detailed EMP during
mobilisation, the design consultant should prepare an outline EMP. This will ensure that
adequate provision is made in the draft bidding documents and estimates of sufficient
resources and inputs to implement the major mitigation measures, as well as providing the
basis for the detailed EMP.
Outline major positive and negative impacts and schedules of implementation of
mitigation measures giving details on how and when the mitigation measures will be
implemented
Proposed reporting and review procedures, monitoring scheme with defined
performance benchmarks and indicators
Cost estimate of mitigation measures
Capacity building requirements in terms of human and material resources to implement
EMP
Identification of key stakeholders and responsibilities for implementing and monitoring
implementation of EMP.
The EMP should identify for each works item / activity the following information:
o The significant impacts likely to be caused or exacerbated by the activity
o The agreed Mitigation Measures for each likely significant impact
o How these mitigation measures are to be implemented and managed specific
details of what is to be done, how, who will do it and when.
o When the work item / activity will occur and when the mitigation measures will be
implemented identify seasonal or other calendar constraints to implementation
o How will implementation of mitigation measures be checked and verified, when, by
whom, how will they be recorded
The EMP should include procedures for monitoring and auditing.
o Periodical monitoring and analysis of selected environmental parameters
o Check that mitigation measures are being implemented and appraisal of
effectiveness of mitigation measures and verification of predicted impacts

o Identify any adverse environmental effects

o Include for public participation to identify potential complaints, conflict or adverse
primary or secondary social and environmental impacts
o Level of monitoring should be appropriate to scale of development project and to the
importance of mitigation measures and potential impacts.
10.0 Estimated Costs

Provide a breakdown of the estimated costs associated with the mitigation measures. (This
estimate should be forwarded to the Engineers Estimate.)
11.1 Key Aspect to Include in Bidding Documents
Provide a complete list of all project specific items that need to be included either in the
Particular Specification or specifically mentioned in the Bill of Quantities (BoQ). It is not
necessary to list those items already covered in the General Specification, and general
items in the BoQ.
Describe if the project viable in environmental and social terms, and what are the net
benefits, which could justify the project taking into account both positive and negative
impacts.
Appendices
Lists of persons/organisation consulted
Minutes of Meetings
Site photographs
References

Project Name Resettlement Action Plan Month Year
Resettlement Action Plan
CONTENTS
Glossary
1.0 Introduction
2.0 Relevant Policy and Eligibility Criteria
3.0 Public Consultation and Disclosure
4.0 Minimising Resettlement
5.0 Surveys and Identification
6.0 Social Safeguards Management
7.0 Compensatory Entitlements
7.1 Resettlement
7.2 Household Loss and Income Restoration
7.3 Community Loss Restoration and Improvements
7.4 Summary of Estimated Costs of Entitlements
8.0 Implementation Schedule and Institutional Arrangements
9.0 Grievance Process
10.0 Monitoring and Evaluation
List of Tables
Table 8.1 Inventory of Properties Affected
Table 8.2 RAP Implementation and Resource Schedule
List of Figures
Appendices

1.0 Introduction
Programme Phase IV (RSDP IV) for Type of Service, e.g. Feasibility Study, Detailed
Design, etc. for Project Name.
The purpose of the Resettlement Action Plan is to identify the land and assets needed for the
project, clearly show the process of consultation and agreement with the affected people and
communities, and schedule the actions that will be taken to fairly resettle and compensate affected
people and communities in accordance with current legislation and policy statements.

The Project Description can be copied from the Feasibility Study Report
Project Name
Road No
Region / Zone
Length (km)

km).
As per ERA
Standard Design
Classification

design.
Provide maps showing

2.0 Relevant Policy and Eligibility Criteria

made. List the major relevant laws, policies and regulations at national, regional and local levels
that apply to the project and compulsory acquisition of land and property. Include any that are
particular to the Financier
Based on the legal and policy framework, the consultant shall highlight the criteria for eligibility for
payment, compensation and other support.
The section shall state the eligibility criteria for compensation and assistance, identify those affected
who meet the eligibility criteria, who is to receive the compensation / assistance (e.g. land owner,
household head, individuals, business owner, etc depending on the type of compensation /
assistance), and the cut-off date for claims.
Prepare an entitlement matrix or summary, based on the legal and policy framework, stating the
various entitlements (compensation or assistance) that may be provided, e.g. compensation of land
and property, relocation of property, displacement compensation based on past annual incomes,
provision of substitute land, etc.
State the policy for the method of calculating the value of compensation to be paid for all different
types of assets. Where this is not possible, the mechanism for determining and agreeing
compensation rates, e.g. through Property Valuation Committees, shall be stated.
3.0 Public Consultation and Disclosure

Describe the national and local requirements for public consultation, minimum notice periods,
mechanisms for ensuring those affected are aware of the process and public disclosure.
Describe the communication strategy, the mechanism for affected people to raise their concerns or
queries throughout the project, and measures to ensure that vulnerable groups are adequately
represented.
State the advertised cut-off date in accordance with Proclamation No.455/2005. Include:
Identification methods of the interested and affected public
Methods used to inform and involve stakeholders
Who has been consulted, when and what was discussed should include:
o Local, regional and national planning authorities and administrations

o Local, regional and national representatives from agencies responsible for

environmental protection, agricultural development, water management, cultural
heritage, archaeology, infrastructure and service provision.
o Local community leaders and community representatives (including government,
non-government and civil society organisations)
Description of the level and modality of public participation, fairness and
appropriateness of representation of opinions and points of view
Representation of Project Affected Persons (PAPs) accurate reflection on the views,
opinion and consent of the PAPs on proposed mitigation measures and compensation
Copies of meeting notes summarising the main comments and issues raised at these
meetings to be signed by consultant and representative(s) from the meeting as an
accurate and true reflection of the discussions that took place to be included as an
appendix to the report.
Analysis of the views and concerns expressed
How these have been taken into account
Outstanding issues and matters that need to be resolved.
4.0 Minimising Resettlement

Describe the efforts made to minimise resettlement, and the results of these efforts, e.g. moving the
road alignment by a few metres may avoid demolition of property, but may not affect the geometric
alignment.
Describe methods to be used to minimise displacement, either permanent or temporary, during
implementation.
5.0 Surveys and Identification

Provide detailed large-scale maps (1:200) showing for the proposed road corridor
Right of Way limits
existing road boundaries
plot boundaries
plot numbers/reference
current land use and vegetation
potential land use
buildings, monuments, graves
places of local or ritual significance
public services/utilities, water resources
Include a reference system that enables cross referencing of land plots and buildings on the maps to
the data presented in tables
If locations of borrow areas, quarries, diversion roads or other sites to be acquired temporarily for
construction purposes are known, these and the affected land / properties should be identified.
Where resettlement is involved, provide maps showing the area to which people will be resettled.

Provide data collection/survey formats unless these are provided by ERA.

Demography
Household size, occupation, gender, age structure
Health status, vulnerable groups
Social impacts
Provide comments and tables on the magnitude of the proposed acquisition of land and assets at
household, community and public levels. Identify all categories of impacts and affected people.
Tables to show the area of extent and nature of the land and properties to be acquired, land tenure
system (ownership and user rights), proportion of plot to be acquired, whether there is sufficient
residual land for those affected to remain or whether full plot needs to be purchased.
Provide an inventory for each affected household of the lost or affected assets.
Provide results of the census and socio-economic surveys.
Summarise the results of consultations at community and public level.
Describe the need for updates to census, asset inventories, and surveys
Use Appendices for census and inventory tables
6.0 Social Safeguards Management

Identify disadvantaged and vulnerable groups. Prepare an analysis of how the land acquisition and
resettlement process affects vulnerable groups, particularly identifying where women may suffer
from exclusion from the process leading to additional negative impacts and / or where they may
require additional support. The analysis should include identification of how these negative impacts
may be avoided or mitigated, what additional support may be required and how it may be
delivered.
Provide information on population and facilities affected, and what measures are to be put in place
to ensure protection of wage labourers, roadside communities, roadside facilities and services.
Identify the area of influence for social impacts along the route, and the location of significant
features or population centres that need to be protected.
7.0 Compensatory Entitlements

7.1 Resettlement
Where resettlement is required provide details for:
calculations of how the entitlement has been assessed
proposed resettlement locations
arrangements for relocating including
o procuring, if required, and the estimated cost
o developing the site, if required, and the estimated cost
o allocating settlement sites
consultations with the host community,
consultations with the affected people, and agreements with them through the proper
process to avoid grievances at a later stage

7.2 Household Loss and Income Restoration

Where monetary compensation is required provide details:
how the entitlement has been estimated and the estimate for each affected household or
person, whether the estimate is final or needs to be re-calculated based on an evaluation
committee at local level
include valuation techniques, basis of valuation, compensation basis for land, annual crops,
perennial crops, structures
consultations with the affected people, and agreements with them through the proper
process to avoid grievances at a later stage
7.3 Community Loss Restoration and Improvements

Provide detail of consultations at community and public levels, and agreements of the proposed
restoration either in projects during implementation, or monetary compensation for loss of
community facilities and infrastructure. For the latter, provide details of how the valuation
estimates were calculated, and whether they are final or need to be re-calculated, and if so the basis
for re-calculation.
State whether the loss restoration and improvements are to be included in the main implementation
contract and how.
7.4 Summary of Estimated Costs of Entitlements

Provide a summary of all estimated costs relating to compensatory entitlement. The cost estimate
should include for contingencies, potential increases in rates due to inflation, possible changes in the
number of people to be relocated. Provide a risk factor on the accuracy of the estimates.
State any allowances to be paid to local authorities and / or community leaders for their facilitation
activities,
State any fees and operating costs of those implementing the process, service providers
Show the cash flow requirements for implementation, and the fund flow mechanisms.
8.0 Implementation Schedule and Institutional Arrangements

Provide a table of all individual properties affected showing:
Comments e.g. on financial arrangements between owner, occupier, banks, lenders
Table 8.1 Inventory of Properties Affected
Use the following headings:
Ref No for each property
Name of Occupier
Name of Owner
Area of land to be acquired
Type of land, residential, arable, non-arable, forest, etc

Type of crops
Type of structures
Applicable rates for compensation
Estimated cost of compensation
Whether resettlement is proposed
Prepare a programme/work plan showing the activities necessary for implementing the land
acquisition and resettlement process. Identify the organisations, specific units and the specific posts
or individuals that will be responsible for implementation, including the role of Federal and Local
authorities, sectoral institutions, and NGOs in providing additional support to affected people.
Indentify the likely timing of all activities from the start to the completion of the process.
Identify how the various roles and responsibilities will be managed, who is responsible for
coordinating the overall process, how handover between units and organisations is to be managed.
The programme should separate resettlement activities, paying of compensation, and projects for
loss restoration within the communities.
This should be linked to the overall project plan and the implementation of civil works. Ideally all
land acquisition and resettlement issues should be completed before work starts on site. It should
take into account minimum notice periods, and set realistic target dates for completion of tasks,
especially where these required inputs from other organisations. The schedule should be
communicated to and agreed with all those identified in the organisational framework.
Table 8.2 RAP Implementation and Resource Schedule
No. Action / Task Resource Proposed Timing
Insert who is
responsible for
carrying out the
task
Note: The timing should be stated as the start and end week/month number starting the count from
the beginning of the process, e.g. week 3 8. This can be refined at a later date when the actual
start date of the project is known.
9.0 Grievance Process

Provide an outline of the grievance procedures. These should be accessible to all affected persons
(taking into account literacy and numeracy constraints), open and transparent, and take into
account judicial, community and traditional dispute resolution systems.
10.0 Monitoring and Evaluation

Describe how the land acquisition and resettlement process will be monitored and evaluated,
including:
Organisational and positional responsibilities, internal and external
Methodology
Monitoring frequency and reporting
Monitoring indicators for the implementation of RAP

Social indicators after implementation of RAP

Checklist for Environmental Survey

Desk Study
From the TOR, identify the scope of proposed road works and outline the potential impact on the
environment in terms of:
Classification and type of road, extent of proposed road works and construction activities
what activities may require additional land take (outside of the existing Right of Way) and
will this be temporary or permanent
will the works require the opening of new borrow pits, quarries, or site facilities (camps,
workshops, storage areas, material processing plants)
do any of the proposed routes pass through an environmentally sensitive area, what type
and for what length
Review any Environmental Screening, Scoping or previous Environmental Impact Assessments
carried out on the proposed road or project area, and confirm the level of environmental
assessment to be undertaken, based on the above criteria.
Review the legal and policy framework on environmental protection, including all national and
regional requirements, and develop a strategy for ensuring compliance with them.
Field Reconnaissance
Identify and describe environmentally sensitive areas, including the length of affected road, how
significant this is to the sensitive area (e.g. does it touch the edge or go right through it)
Environmentally sensitive areas include:
National parks, sanctuaries and protected areas
Wetlands, e.g floodplains, swamps, marshes
Primary forest
Areas susceptible to erosion, landslips, or desertification
Areas with unique, rare, or endangered plant and animal species
Areas with unique socio-cultural, archaeological or scientific interest
Areas of natural beauty or with tourism potential
Areas that have suffered or are at risk from pollution
Inland waterways and their shores
Areas declared as watershed reserves, sacred areas, or natural / hot springs
Densely populated areas, green belts, parks, public open spaces in urban centres
Prime agricultural land
Burial sites, religious sites and places of worship
Protected water bodies and recharge areas for aquifers
Indigenous territories and reserves, and vulnerable indigenous peoples settlements and
surrounding areas
The field reconnaissance should include consultation with the officers from the local administration,
environmental protection authority, and representatives of those involved in agriculture, forest and
water management.
Q5S.05 Rev 3/12

Survey and analysis for Preliminary Design

Based on the potential impacts identified during field reconnaissance and consultations, develop
outline mitigation measures to be incorporated into the preliminary design, in liaison with the other
technical specialists.
Further field visits may be required to develop appropriate and practical mitigation measures for
the selected route to be included during preliminary design.
Analysis for Route Selection
Comparison of alternative routes should be based on the length of road passing through sensitive
areas, the level of sensitivity (high, medium, low) of the area, the significance of the road on the
sensitive area, the likelihood and severity of the potential impact (risk analysis with and without
mitigation measures), and the extent to which the environmental impacts can be minimised through
mitigation measures at design or construction stages.
Ideally, the comparison should be based on quantification of the potential impacts (by extent,
severity, significance etc) to allow for a numerical score and comparison to be made. Stakeholder
consultations can also be used to assist in the ranking of importance of environmental impacts on
the local population and the quantification and comparison process.
The environmental specialist should also consider the potential environmental impacts associated
with any technical options being considered, including bridge types, materials to be used,
construction techniques to be used etc and ensure these are taken into account when comparing
and selecting the preferred options.
Q5S.05 Rev 3/12

Checklist for Right of Way Survey

Desk Study
Review of topographical maps and other data (including census and socio-economic data) to
estimate quantities of affected populations and assets along each proposed route.
Review national and regional compensation requirements (legal and policy framework) to
determine eligibility criteria and compensation strategy for the project.
Field Reconnaissance
Field reconnaissance and public consultations to determine preferences relating to route selection
based on minimising negative impacts on local populations and maximising positive impacts, to
improve estimates of quantities and values for resettlement, loss of assets, etc.
Investigate resettlement options and mitigation measures required, eligibility criteria and
compensation options etc.
Review preliminary alignment design (all options) to identify affected properties, modifying
alignment if possible to minimise asset loss and resettlement needs.
Public consultations and field surveys to improve estimates of quantities and compensation values
for affected populations and assets along preferred road alignment.
Assess route options with a view to minimising resettlement needs and loss of assets.
Checklist of issues to be considered
Current occupants of the right-of-way to avoid inflow of new people seeking eligibility for
compensation;
Standard characteristics of displaced households (baseline information on livelihood,
economic and social information, etc), occupations of the Project Affected Persons (PAPs),
Socio-economic impacts of the project both in rural and urban areas;
The magnitude of the expected loss (total/full or partial), the impacts on agricultural and
grazing lands with the names of owners/users of the individual farmers, presumably in size
(m2)
Information on vulnerable groups or persons (for whom special provision may have to be
made), number of PAPs: name of partially and fully affected persons, their locations, sizes,
and types of property affected. Types of properties to be affected i.e., houses and
croplands, trees (fruit and permanent), cash crops (Coffee and Chat plants).
Average land holding per household, number of households to be affected and exact
number of families that will relocate to new proposed sites and that will relocate to their own
land;
The patterns of social interaction in the affected communities, including social networks and
social support systems, and effect of the project on these.
Affected public infrastructure and social services.
Social and cultural characteristics of displaced communities in terms of gender, migrants
and settlers and professions and, their preferences as regards to assisted resettlement or
self-resettlement,
The conditions of Kebele house renters (tenants), and squatters (illegally built houses in the
ROW), people who will lose their income, number and names of these persons, and
Q5S.06 Rev 3/12

number of houses (with types), locations (locality), size, status & conditions of these
people.
Conduct public consultation with PAPs and concerned local administrative bodies along the
project road and note the outcome and include minutes of government officials
commitment to fully assist the resettlement action plan processes before and/or after the
completion of the road project.
The market value of buildings split into the following sub-divisions: Type of buildings (new
or old) to be demolished: - number, locations, size (in m2), and list of the owners of both
fully and partially demolished houses.
Market value of trees (fruit or permanent), species type, location; names and number of
persons whose trees are going to be affected and the number trees to be affected or
removed.
Proposed locations of land sites for construction camps, quarries and borrow pits
Q5S.06 Rev 3/12

Checklist during Preparation of EIA

This checklist should be used to help identify environmental factors that may potentially be affected by the
proposed development activities or that may affect the choice of design options or construction methods
of the road project and temporary works. It is based on the EPA Guidelines for reviewing EIA Study
Reports.
Socio-economic Aspects:
o Demographic Features:
population size, composition and structure (total number of inhabitants, sex and
age structure, literacy rate, growth rate of local population
Location, distribution or density of the population and its implication on existing
and anticipated land use pressure
Existing and anticipated migration and labour movements
o Sociological and Cultural Aspects:
Means of livelihood and lifestyles
Values, customs and traditions of the local people
Religious practices and religious sites
Cultural or lifestyle diversity
Major clans / tribes and their interaction
o Economic and Employment Status
Economic base of the area
Employment level and scale of employment growth
Local conflict, e.g. relating to in-migration of labourers
Pressure on land use
Job opportunities for local people
Employment level of the local people by age, socio-economic group and gender
o Settlement and Resettlement Patterns
Current settlement pattern (e.g. nuclear, ribbon, scattered, etc)
Towns, villages and other settlement areas
Displacement of local people, from existing pressures or relating to land take for
road, and implications of this
Compensation mechanisms
o Institutions and Services
Local traditional institutions and their attitude towards change and development
Adequacy of infrastructure and utility services
Quality of life with respect to infrastructure and utility services e.g. health,
education, etc
o Public Participation
Ways to maximise local peoples participation
How to ensure representation of women and disadvantaged groups
Provision of employment for outsiders
o Health aspects
General health status of the population based on health indicators such as
prevalence and incidence of major diseases of concern
Health problems that may arise as the result of development e.g. water and
vector borne diseases, occupational health and safety, communicable diseases
especially HIV / AIDS, etc.
Q5S.07 Rev 3/12

Threats to health from pollution (spillages, dust, noise, etc)

Potential for accidents relating to road works, for employed labour and roadside
communities
Potential impacts on sanitation and water supply,
Access to services and emergency access for roadside communities
Ecological Aspects
o Vegetation (Flora)
Type and extent of major vegetation types (forest, woodlands, etc)
Diversity of plant communities
Presence of endangered and rare species and the conditions they need to survive
Forest areas, and use of timber and non-timber forest products
Vegetation areas reserved for conservation or scientific importance, or of
recreational value
Economic value of exploitation of vegetation types
Introduction or spread of invasive alien species seeds and plants
Natural replenishment of existing species
Genetically engineered (modified) plant species
o Domestic and Wild Animals (Fauna)
Animal species diversity
Rare and endangered species and the conditions they need to survive
Animal communities of particular scientific, recreational, educational and
conservational value e.g. special habitats for wild animals such as national parks,
sanctuaries, controlled hunting areas and reserves
Natural and forced migration of species
Entertainment and impingement of aquatic organisms
Aquatic life and nutrient levels nutrient cycling in catchments, reservoirs, and
downstream areas
Pattern of relationships between animals and their environment (plant, human,
etc)
Invasive and alien species
Survival of animal communities resulting from induced development activities and
associated phenomena
o Environmentally Sensitive Areas
Conversation strategies and programmes for flora and fauna (e.g. afforestation
programme, alternative energy resources, etc)
Established conservation areas (parks, sanctuaries, game reserves, controlled
hunting areas, etc)
Local, regional or nationally important natural communities (for economic,
scientific, conservation, education reasons)
Ecological functioning of the natural ecosystem in relation to:
Physical destruction of the natural habitat
Reduction in the effective size of delineated sensitive areas
Quality and flow of ground water, stable (standing) or flowing water
Chemical content and physical characteristics of water sources oxygen,
salinity, turbidity, flow rate, temperature, levels of natural chemicals and
minerals, pollution and toxin levels, siltation
Air quality dust levels and deposition
Food security
Access routes, roads and path ways
Q5S.07 Rev 3/12

Recreation pressure
Secondary or cumulative impacts
Presence or introduction of alien species
Rehabilitation potential
Barriers to animal movement or migration
Socio-Cultural Aspects
o Landscape value and scenic beauty
o Sites of archaeological importance
o Sites of historical significance e.g. monuments, statues, etc
o Recreation areas
o Sites of cultural and religious significance
Physical Aspects
o Land use
Surface characteristics (e.g. rock, soil deposit) and significant geological and
physical features.
Susceptibility to erosion and chemical / mineral composition
Potential and existing land slip risks
Unstable bed rock and subsidence
Soil degradation intensity
Conservation of physical features
Suitability of soils for different purposes (e.g. agriculture, industry, mineral
extraction)
Availability of or access to construction materials, management of their extraction,
stockpiling, transportation and disposal of spoil materials, etc.
o Water bodies
Water ionic balance and its effects on chemical composition, natural succession,
reproduction and diversity of water based organisms
Physical, biological and chemical characteristics of receiving water bodies
Natural flow and drainage patterns
Ground water hydrology and the water table
Quality and quantity of surface water, ground water and public water supply
(scarcity of water resources)
Water resource use conflicts (e.g. effects on downstream users)
Threats to hydrological functioning due to pollution, turbidity, alkalinity, water
logging, salinity, construction, water extraction, etc.
Important zones such as breeding grounds and migratory routes
Conservational or recreational value of rivers, streams, lakes and wetlands
o Climate
Microclimate change (functions in temperature, humidity, precipitation)
Dispersal or influx of pollutants
Global warming
Land use and landscape characteristics
o land uses (agriculture, industry, forestry, urban, open space, recreational areas, etc)
o Aesthetic quality of the landscape
o Scale of developments in the area
o Preservation of scenic views and valued features
o Revitalisation of run down areas
o Landscaping plans and / or site restoration proposals
Infrastructure Services
Q5S.07 Rev 3/12

o Energy supply
Wood for fuel consumption, biomass fuels (including cow dung and agri-residues),
availability of alternative fuel sources
Existing and planned provisions for power, power generation and associated
infrastructure
o Water supply
Potable water supply adequacy, reliability and quality
Ground water reserves - adequacy, reliability and quality
Need for additional water supplies and additional purification systems
o Waste management
Efficiency and capacity of existing waste management facilities
Risk associated with waste transport
Risk associated with fuels and oil spills
Adequacy of emergency waste disposal facilities
Risk of pollution of ground water sources
Risk of health hazards from inadequate waste management
Visual and smell effects of waste sites
o Housing and road facilities
Housing condition and facilities (e.g. density per room, kitchen, etc)
Physical access to road network
o Health service facilities
Adequacy of facilities for primary health care
Adequacy of existing health services to cope with increased population and
requirement for temporary facilities and services during construction
Projected provision of health service facilities
Environmental Pollution
o Air Pollution
Existing and forecast levels of atmospheric pollution and the nature of air pollution
(e.g. ozone depleting gases, acidic compounds and toxic substances)
Extent of local build up of pollutants due to inversions
Smog formation and reduction in visibility
Production of offensive odours
Pollution of adjacent sensitive areas
Effects on human health and quality of life, flora and fauna
Effects on stone work, buildings, etc
o Water Pollution
Existing and forecast levels of water pollution,
Concentration of pollutants due to variations in water flow
Localised pollution build up through changes in salinity gradients and / or
movements
Salinity of fresh water
Synergistic or compounding effects with existing pollutants
Production of offensive odours
Effects of treated or untreated effluent on the flora and fauna of rivers, lakes etc.
Effects of and on irrigation schemes
Effects of and on recreational activities
o Noise, vibration and lighting
Ambient noise, vibration or illumination levels, in residential areas and near
community facilities
Q5S.07 Rev 3/12

Functioning of schools, hospitals and recreation areas (formal and informal)

Levels of annoyance and discomfort caused by noise, vibration and lighting
Structural damage caused by vibration
Effects on sensitive areas, flora and fauna
o Visual Pollution
Existing and anticipated levels of visual pollution
Reduction in aesthetic quality through sign boards, advertising boards, unsightly or
inappropriate materials used for walls, buildings, roads or other installations
o Solid or liquid waste and byproduct disposal
Existing and planned waste disposal facilities, methods and treatment technologies
Alternative waste disposal and treatment technologies and locations
Biological and chemical characteristics of leachates generated within disposal sites
and measures to reduce or treat them
Existing and potential pollution of ground water, surface water from waste disposal
sites
Existing and potential health hazards to nearby residents, flora and fauna
Health and Safety
o Effects in the work place and on surrounding areas and communities resulting from:
Dust, fumes and particulate matter
Odours, gases, vapours, use of dangerous chemicals
Lighting, heat, cold, noise, vibration, radiation
Mine wastes and hazardous residues such as waste rock and tailings, acid mine
drainage, heavy metals and radioactive waste
Risk of major disasters involving explosions or leaks of toxic liquids and / or gases
Solid and liquid waste treatment and disposal
Protective clothing and equipment
Access to recreational facilities
Risk of workplace accidents, first aid and emergency health care provisions
Availability and accessibility of health services, canteens, changing rooms,
sanitation facilities
o Traffic management to prevent accidents and protect road users including pedestrians
Q5S.07 Rev 3/12

Environmental and Social Management, Construction Regional Directorates

Activity Schedule, List of Standard Report Formats, Checklists, Meeting Agenda
Primary Task Task Reviewed
Ref. Type Description
Responsibility By
Q5W.01 Agenda Agenda for Environmental Management Meeting Consultant PE
Q5W.02 Report Format Environmental Management Plan Consultant PE
Q5W.03 Checklist Checklist for Environmental Issues during Implementation Consultant PE
Agenda Agenda for Environmental and Social Issues to present in Progress Reports and
Q5W.04 Consultant PE
Meetings
Q5W.05 Report Format Environmental Audit Report Consultant PE
Q5W.06 Report Format Environmental Completion Certificate Consultant PE
Dir Director, TL Team Leader, PE Project Engineer, OM Office Manager
Q5W Rev 3/12

Agenda for Environmental Management Meeting
The Meeting should include discussion of the following issues:
ERAs requirements for environmental management during construction

Roles and responsibilities for environmental management:
o Contractors responsibilities
o Resident Engineers responsibilities
o ERAs responsibilities
Arrangements and requirements for HIV / AIDS sub-consultants
Arrangements and requirements for right of way and site clearance
Importance of protection of public through effective site safety, traffic management, etc
Requirements for EMP preparation and implementation
Environmental Audits and role of environmental specialist
Quality Management Audits and role of Quality Director (and his auditors)
Q5W.01 Rev 3/12

Project Name Environmental Management Plan Month Year
Environmental Management Plan
CONTENTS
Glossary
1.0 Introduction
1.4 Relevant Policy
2.0 Mitigation and Enhancement Measures
3.0 Monitoring
4.0 Implementation Schedule and Responsibilities
List of Tables
List of Figures
Appendices
Q5W.02 Rev 3/12 Page No. Name of Consultant

1.0 Introduction
Programme Phase IV (RSDP IV) for Type of Service, e.g. Construction Supervision, etc. for
Project Name.
The purpose of EMP is to set out the mitigation, monitoring and institutional measures to be taken
during implementation and operation to eliminate adverse environmental and social impacts.

Summarise the scope of the service to be provided, based on contract documents and any
other information provided during the services.

The Project Description can be copied from the EIA
Project Name
Road No
Region / Zone
Length (km)

km).

As per ERA
Standard Design
Classification
design.
Provide maps showing

1.4 Relevant Policy

made. List the major relevant laws, policies and regulations at national, regional and local levels
that apply to the project.
list all relevant documents
Describe how the size and type of the project falls within certain schedules and categories
as described in the above documents. (as per EIA)
2.0 Mitigation and Enhancement Measures

Identify feasible and cost-effective measures that may reduce potentially significant adverse
environmental impacts to acceptable levels. The plan includes compensatory measures if
mitigation measures are not feasible, cost-effective, or sufficient. Specifically:
identify and summarize all anticipated significant adverse environmental impacts (including
those involving local people or involuntary resettlement);
describe, with technical details, each mitigation measure, including the type of impact to
which it relates and the conditions under which it is required (e.g., continuously or in the
event of contingencies), together with designs, equipment descriptions, and operating
procedures, as appropriate;
estimate any potential environmental impacts of these measures; and
provide linkage with any other mitigation plans (e.g., for involuntary resettlement, social
improvement, or cultural property) required for the project.

3.0 Monitoring
Provide information about key environmental aspects of the project, particularly the environmental
impacts of the project and the effectiveness of mitigation measures.
Identify monitoring objectives and specify the type of monitoring, with linkages to the impacts
assessed in the EIA report and the mitigation measures described in this EMP.
Specifically provide:
description, and technical details, of monitoring measures, including the parameters/
indicators to be measured, methods to be used, sampling locations, frequency of
measurements, detection limits (where appropriate), and definition of thresholds that will
signal the need for corrective actions,
methods of data collection (for monitoring purposes) prior to construction, during
implementation and at completion
monitoring and reporting procedures to:
o ensure early detection of conditions that necessitate particular mitigation
measures, and
o furnish information on the progress and results of mitigation
4.0 Implementation Schedule and Responsibilities

Prepare an EMP Implementation Schedule that will include:
activity/task
timing, frequency, and duration of activity
physical resources required
monitoring requirements/schedules
reporting
For each activity the Implementation Schedule should state the organisational responsibility
and where appropriate, the person/position responsible.
The source of payment/funding for each activity must be stated e.g. by Contractor through
specific items in Bill of Quantities, or through Consultants contract, or directly from Client,
etc. Where identifiable, the estimated cost should be shown.
Provide details of the planned induction training for all site personnel (including day
labourers), training and awareness raising programme for health, safety and welfare of
workers (work location and activity specific as well as general), environmental protection,
protection of affected communities, etc.

Checklist for Environmental Issues during Implementation

Consider:
Environmentally sensitive areas
Basic site organisation (work areas, camp areas, storage areas)
First aid and medical treatment facilities
Camp site layout plans showing sleeping, sanitation, eating, recreation facilities
Hard surface areas
Waste disposal and site drainage systems
Location of batching plants
Location of wheel and plant washing facilities
Location of material storage areas
Stone crushing, conveying systems and other air quality features
Locations of air, water, and noise monitoring stations
Locations of weather (temperature and rainfall) monitoring stations
Liquid and toxic material storage areas
Quarry and borrow pit locations
Proposed diversion and access routes
Other facilities or features as
Each location or feature should be given a reference or ID for cross referencing in the Implementation Plan.
Environmental Monitoring and Reporting
The contractor and RE should agree on a schedule for routine monitoring and reporting. Monitoring and
reporting should include:
Periodical monitoring and analysis of selected environmental parameters
Auditing / monitoring to confirm that mitigation measures are being implemented and to identify
any adverse environmental effects
Appraisal of effectiveness of mitigation measures and verification of predicted impacts
public participation to identify potential complaints, conflict or adverse primary or secondary social
and environmental impacts
The level of monitoring should be appropriate to the scale of the project and to the importance of
mitigation measures and potential negative impacts if they are not implemented.
Q5W.03 Rev 3/12

An example reporting schedule is provided below:

Monitoring Submit to
Done by whom? Report Frequency
Activity whom?
Routine Contractors Monthly Counterpart
Contractors staff
monitoring monthly report Engineer
Routine Engineers staff Consultants Monthly Counterpart
monitoring monthly report Engineer
Environmental Environmental Audit Report Approx Counterpart
Audits Specialist Quarterly Engineer
Works completion Engineer & Environmental As required Counterpart
monitoring Environmental Clearance Engineer
Specialist Certificate
Works Completion Engineer & Environmental At substantial Counterpart
monitoring Environmental Management Report completion Engineer
Specialist
Public Consultation, Complaints and Grievances Procedures

The contractor and RE should agree on and define a consultation programme to ensure routine liaison with
representatives of affected communities and shall maintain a signed record of all consultation meetings
held.
The development of this consultation programme shall include a stakeholder analysis to identify all key
stakeholders including regional authorities responsible for environmental protection and labour welfare,
etc.
An example of a stakeholder analysis matrix is shown below.
Extent to which High Important Critical
stakeholder may affect
Low Important
project implementation
Low High
Extent to which project may affect stakeholder
The contractor and RE should also define a procedure for receiving, managing and resolving complaints and
grievances raised by affected communities.
Emergency Response Plans
The contractor should define and agree with RE contingency and / or response plans for dealing with
emergency and unplanned situations. These shall include identification, recording, reporting, and
management of traffic accidents, injuries and illnesses, accidental spillages and / or contamination, etc.
Q5W.03 Rev 3/12

Agenda for Environmental and Social Issues for Progress Reports and Meetings
The monthly progress reports submitted by the contractor and the RE shall include a section on
Environmental Management.
This shall include information relating to:
Outstanding environmental management items from previous reports
General progress and achievement against EMP and environmental items shown in the contractors
detailed Work Plan
Details of environmental monitoring and reporting
Details of environmental audits carried out, key findings, recommendations
Update on the status of Non-conformances raised relating to environmental management
Details of environmental management related activities carried out including:
o public consultations held and summary of outcomes
o ground disturbing activities
o rehabilitation or reinstatement activities
o waste management and disposal activities
o social issues that have arisen regarding the workforce
o significant interactions between camp sites and local communities (economic and social
impacts of camp on local markets, etc)
Plan for next reporting period and any anticipated delays to the work plan or EMP implementation
plan
any others activities or issues as identified in EMP
Q5W.04 Rev 3/12

Contents for Environmental Audit Report

1 General
Auditor(s) Audit Ref:
Area Audited: Date of audit dd/mm/yy
Unit Audited: Start time: hh:mm
Scope of Audit: End time: hh:mm
Audit criteria: List procedures (and sub-procedures) reviewed
Staff interviewed List all staff involved in the audit
2 Summary of NCRs raised
Ref No. Subject, description
3 Other documents screened

E.g. training records, office records etc.
4 Work areas / activities included in this audit:
Describe areas / activities using site plans reference and work plan activity number if available
5 Audit Summary and Conclusions
5.1 Audit Summary
Did you complete the audit per your plan?
What areas you visited?
State that your findings are based on samples taken during the audit
State positive points and conformance
State total number of non-conformances and the topic / area these are related to
Reference any NCR attachments (NCR)
Identify preventive actions and opportunities for improvement (CI)
5.2 Opportunities for improvement

List any suggestions for improvements / actions and recommendations
5.3 Audit Conclusions

State what the above findings indicate / demonstrate about the process (is it working well? Adequate?
Effective? Complies? Etc.). How good or bad?
State what happens next? Actions Required? (Immediate action for legal / regulatory requirements and
risks). Follow-up method and timescale.
Q5W.05 Rev 3/12

6 Distribution Auditees Counterpart EMSB Head Quality Director

Engineer
7 Authorisation / acceptance of Audit Report

Auditor Signature Project Manager Signature Resident Engineer Signature
Corrective Measures
The environmental specialist, resident engineer and project manager should discuss and propose
appropriate measures for the corrective action and action to prevent recurrence.
With respect to corrective actions, options to consider include:
Direct the contractor to continue operations but direct resources to complete the agreed corrective
action within the agreed timeframe
Stop work in the affected area and complete the corrective action prior to recommencement of
works in that area
Stop work in all areas and complete the corrective action prior to recommencement of works
Remove the offending facility / material from the site and make good all environmental harm
caused
Advise the relevant authorities (ERA, EPA, etc) of the non-conformance where it leads to operation
outside legal regulations or directives.
Q5W.05 Rev 3/12

Environmental Clearance Certificate
ENVIRONMENTAL CLEARANCE CERTIFICATE
Project Name: As per works contract

Project Details:
Project Ref: As per works contract
Contractor Name of contracting firm / association
Contractor Details
Project Manager Name
Supervision Consultant Name of consulting firm / association
Consultant Details
Resident Engineer Name
Associated with State which payment requests the certificate
payment request no. covers
State which works areas and activities have been
completed and for which payment is requested.
Payment Request Summary of works
Reference to site plan reference numbers and
Details completed
work programme activity numbers where
possible.
Total Amount
Amounts in ETB and foreign currency
Requested
Name of Environmental
Name
Auditor
Have all mitigation measures been completed as
Summary of required?
environmental audit
Environmental findings Are there any residual environmental or social
Clearance impacts that still need to be resolved?
State whether the certificate clears all works
Works Cleared
completed or only part of the works
Works items NOT State which works items are not to be paid due to
Cleared unresolved environmental issues.
DATE:
Signature of
Acceptance of Environmental Auditor
Environmental Signature of Resident
Clearance Engineer
Signature of Project
Manager
Amount in ETB and foreign currency to be
Approval of Amount to be retained retained until unresolved environmental issues
Payments identified above are cleared.
Total amount to be paid Amount in ETB and foreign currency to be paid
Q5W.06 Rev 3/12

DATE:
Acceptance of Signature of Resident
Payments Engineer
Approved
Signature of Project
Manager
Any other
Comments
The Environmental Specialist shall carry out an environmental audit to ensure all works (for which payment
is requested) and mitigation measures are completed in accordance with the EMP, and that all
environmental conditions and commitments as defined in the contract, legislation and the EMP have been
met
The audit shall identify any residual environmental impacts that the contractor is responsible for
addressing, unless it is agreed to do these later and associate these with another payment request, revising
the EMP accordingly.
The audit should pay particular attention to the following:
Decommissioning of temporary infrastructure, installations and equipment has been completed
and the affected areas adequately reinstated.
All waste has been removed from the site
All disturbed land has been restored to its natural or useable condition
All off site activities have been closed, decommissioned and completely rehabilitated / reinstated.
The audits should include consultation with affected communities to ensure the reinstatement works are in
accordance with any agreements and / or commitments made, that there are no outstanding or unresolved
issues relating to the work item, and that they are satisfied with the level of reinstatement work
completed.
Q5W.06 Rev 3/12

Environmental and Social Management

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Environmental and Social Management

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E FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA

Appendix 3.1 Standard Prequalification Document ref. Q3W.04

Volume 4 Feasibility Studies and Design

Volume 5 Environmental and Social Management

Volume 6A Construction Management (Administration)

Volume 7A Maintenance Management (Administration)

Introduction to ERA Quality Systems

Goal of Quality Manual

The Quality Manual is intended to be:

Users of Quality Manual

Users of the Quality Manual should note the following:

ERA Quality Systems Rev 3/12

ERA Quality Systems Rev 3/12

ERA Quality Systems

QUALITY MANAGEMENT STANDARD SPECIFICATION

ERA Quality Systems Rev 3/12

ERA Quality Systems Rev 3/12

Feedback by Cons on controls etc. Updated Standard Specification EVS

ERA Quality Systems Rev 3/12

Q5S Rev 3/12

5. Maps to include scale or scale bar.

6. The Cover page to include:

Federal Democratic Republic of Ethiopia

Type of Service, e.g. Feasibility Study, Detailed Design, etc.

Name / Logo of Consultant

Q5S.01 Rev 3/12

A) Report to fulfil its purpose

Notes for the Reviewer of Reports

Q5S.01 Rev 3/12

Environmental Impact Assessment (EIA)

Resettlement Action Plan (RAP)

Environmental Management Plan (EMP)

Q5S.02 Rev 3/12

Environmental Impact Assessment

Q5S.03 Rev 3/12 Page No. Name of Consultant

1.2 Scope of Services and Objectives

1.3 Project Description

Starting Point Description

Ending Point Description

Road Functional Classification As per ERA Standard Design Classification

Q5S.03 Rev 3/12 Page No. Name of Consultant

Climate Classification As per ERA Standard Design Classification

Table 1.3.2 Project Control Points

No. Start km End km Description of Key Points Terrain

Provide maps showing;

2.0 Relevant Policy

3.0 Approach and Methodology

Q5S.03 Rev 3/12 Page No. Name of Consultant

Description of approach and / or methodology in involving the relevant stakeholders

4.0 Existing Corridor Baseline Conditions

Q5S.03 Rev 3/12 Page No. Name of Consultant

5.0 Public Consultation and Participation

6.0 Analysis of Alternative Routes

Q5S.03 Rev 3/12 Page No. Name of Consultant

7.0 Impact Identification and Evaluation

8.0 Impact Mitigation and Enhancement Measures

Q5S.03 Rev 3/12 Page No. Name of Consultant

o Prevention, reducing or minimising impacts before they occur

9.0 Outline Environmental Management Plan (EMP)

Q5S.03 Rev 3/12 Page No. Name of Consultant

o Identify any adverse environmental effects

10.0 Estimated Costs

Q5S.03 Rev 3/12 Page No. Name of Consultant

Resettlement Action Plan