Environmental and Social Management/Assessment Framework /ESMF/

RFP/031/2009

UNDP Ethiopia Invites Potential consultancy firms to undertake consultancy assignment on Environmental and Social Management/Assessment Framework /ESMF/

                                                        TOR

Background and Program Description

1. The Ministry of Agriculture and Rural Development (MoARD) of the Government of Ethiopia (GoE) is preparing a program to intensify agricultural growth in the country (Agricultural Growth Project; hereafter referred to as “the Project” or AGP) in collaboration with the World Bank and other Development Partners.[1]

2. Agriculture is Ethiopia’s most important sector but the sector is dominated by small-holder farming with low productivity on fragmented and highly degraded lands.  To address this, the AGP aims to increase productivity, strengthen marketing and facilitate value addition of selected livestock and crop products in targeted areas with particular emphasis on women’s economic empowerment.

3. To achieve its development objective, AGP will be implemented using a decentralized and demand-driven approach which will make efforts to meet the specific need of women farmers. Participating farming communities are to be empowered to share responsibilities for project planning, implementation and monitoring.  The key instrument for social mobilization and community participation will be the Common Interest Groups (CIGs) brought together by some common activity. 

Strategic Background

4. The fundamentals of Ethiopia's agricultural development are enshrined in the country's overall economic development policy known as Agricultural Development Led Industrialization (ADLI).  ADLI gives particular emphasis to agricultural development that will drive industrialization.  Firmly anchored on ADLI are the Rural Development Policy and Strategies (RDPS).  The RDPS, which is an overarching policy and strategic framework, is designed based on the following main principles:

•         Ensuring effective and efficient utilization of  human resources 

•         Ensuring prudent allocation and proper use of existing land resources

•         Following an agricultural development path compatible with different agro-ecologies

•         Encouraging specialization, diversification and commercialization of agricultural production

•         Integrating agricultural development activities with other sectors, and

•         Establishing effective agricultural marketing system  

5. PASDEP: The government of Ethiopia is nearing completion of the implementation period of its poverty reduction strategy called the Plan for Accelerated and Sustained Development to End Poverty (PASDEP).  PASDEP aims to accelerate the progress of economic development by promoting the following elements of, among other things, commercialization of agriculture and promotion of private sector growth; geographical differentiation; attention to population growth and gender disparities; infrastructure especially roads, energy, and irrigation; risk management and vulnerability; scaling up service delivery to reach the MDGs; and increased employment. 

6. AGP Strategic Alignment.  The proposed AGP is in line with the fundamentals of the ADLI and is being designed in such a way that it addresses each of the main principles of the RDPS.  It is also being designed in such a way that it is in agreement with elements of the PASDEP.  Furthermore, it underlines linkages and complementarities between the ADLI, RDPS and PASDEP.

7. CAADP.  Ethiopia is currently undergoing a process within the Comprehensive Africa Agriculture Development Program (CAADP) framework to define and accelerate the implementation of its rural and agricultural development agenda.  A National Consultants’ Team (NCT) has been commissioned to assist in this process.  The NCT has produced the first draft of a full report and presented it during the CAADP/AGP design workshop in Nazareth.  The report includes stocktaking of existing policies, strategies, programs and instruments; gap identification; and recommendations that address policy, strategy and program needs, as well as the need for institutional strengthening and capacity building.  The CAADP process will continue over the next few months with further discussions with relevant stakeholders at various levels and inluding a roundtable consultation for the developmentof the so-called compact.

8. PIF.  In addition to the above work the Government, with donor support, will develop a Policy and Investment Framework (PIF) for Agricultural Growth.  The objective of the PIF is to provide a national level strategic planning framework that is used to guide the prioritisation, planning and implementation of current and future investments contributing to agricultural growth.^[2]  The work will follow the conclusion of the current phase of the CAADP process, i.e. the roundtable discussions and compact. 

9. Project Description. The AGP will comprise four components:

Component 1: Community-level Agricultural Production and Marketing Support.  This component would increase productivity of the crop and livestock production systems and improve access to market for men and women farmers in the participating woredas.

Component 2: Rural Infrastructure Development.  This component aims to finance demand-based investment in rural infrastructure to improve social and economic activities, primarily small-scale community-level facilities, to be included in the kebele microplan.

Component 3: Agri-business Development Support.  This includes a competitive, co-financed grants program focused on introducing, testing and transferring new and improved technologies emphasizing improved market accessibility, storage and processing. 

Component  4: Program Management and M&E. Program Management, through MoARD and Regional Bureaus of Agriculture and Rural Development (BoARDs) including a strong emphasis on monitoring and evaluation, both through participatory and independent approaches.

10. Development Objective of AGP.  The development objective of the proposed AGP is to increase productivity on a sustainable manner, strengthen marketing and facilitate value addition of selected livestock and crop products in targeted areas with due attention to women and youth.

Objectives and Scope of Work

11.The objective of the consultancy is to develop an Environmental and Social Management/Assessment Framework (ESMF) based on three main World Bank’s safeguard policies namely OP/BP 4.01, 4.09 and 4.12 that are likely to be triggered by the overall Project. An ESMF will be prepared because the project is being proposed to finance demand driven activities for which no specific menu of sub-projects has yet been identified and designed. Also, the scope and nature as well as location of sub-projects and whether or not there would be land take, loss of assets or access to assets, loss of means of income and sources of livelihoods can only be determined during the implementation phase of the project. Hence, an ESMF seems the appropriate safeguard instrument to be used to screen sub-projects against their environmental and social viability in order to avoid or design responsive remediation measures against any potential adverse impacts likely to occur during implementation of the yet-to-be identified sub-projects. Therefore, this consultancy will review the applicability of existing ESMFs and RPFs such as for PSNP III, PBS, PBS LIG, SLMP, and, if found applicable, and using the PSNP III ESMF as the base document make the necessary revisions and modifications for adoption and use by AGP. This ESMF will include sections on Environmental Analysis, Integrated Pest Management (IPP) and a Resettlement Policy Framework (RPF).

12. This consultancy will work closely with the Social Assessment consultancy which will be assessing whether the project will trigger the World Bank’s policies on Indigenous Peoples (OP 4.10), Physical Cultural Resources (OP 4.11) and other social issues outside social safeguards. The preparation will involve broad-based in-country consultation, information gathering through interviews and field work that should extend from the national level to at least the lowest level (e. g. kebele) where sub-projects will be identified, approved and implemented.

13. Generally, the task will include desk-top research (including extraction from various existing and operational sector- and country-level ESMFs such as the PSNP III, PBS, SLMP, etc), structured and non-structured interviews and field work needed to develop:

(a)        A detailed description of the Project and its components, especially those that will

finance demand-driven sub-projects. It will also include any alternatives considered and the activities of any associated projects and other project preparation activities that are underway (such as the proposed social assessment, baseline study, etc);

(b)        A methodology and detailed checklist for screening anticipated types of sub-projects to be financed under the Project. Such a checklist will be a guide for screening sub-projects against their environmental and social viability or otherwise. It may also include the types of sub-projects that will not be financed by the Project;

(c)        A review of the Ethiopian legislative, regulatory and administrative regime, especially

ones that relate the environment and social concerns and which the Project is likely to

operate within.  This review will include ascertaining consistencies or otherwise between the Ethiopian legislative, regulatory and administrative regime and the World Bank safeguard policy requirements, especially those that relate safeguards and disclosure. The review work will also include proposing appropriate measures to bridge any gaps between them;

(d)       An understanding of institutional needs for implementing the ESMF at all levels (at national, regional, woreda, kebele and community levels). This review or analysis will include a status assessment of the proposed project coordination and implementation arrangements and capacities and capabilities of institutions identified to manage and monitor the ESMF implementation including the screening of sub-projects at all levels (federal, regional, woreda, kebele and community levels). The analysis will also extend to

Identifying gaps relating to management/monitoring procedures and training, skills upgrading, staffing, etc; and

(e)       A training and capacity building program for institutions (disaggregated at all levels) responsible for implementing, managing and monitoring the ESMF;

(f)        A menu of requirements for technical assistance to be provided to communities, service providers and public sector institutions to enhance their capacity and capabilities to support the ESMF implementation and monitoring work; and

(g)        A detailed budget for implementing, managing and monitoring the ESMF throughout the life of the Project.

Key Outputs, Logistical and Organizational Arrangements

14. The key output will be a high quality ESMF, covering an analysis of likely environmental impacts and remediation measures; assessment of impacts (environmental, health and safety) likely to occur as a result of the use of agrochemicals and recommended set of mitigation options such as an Integrated Pest Management Plan (IPMP); and an analysis of the likelihood that resettlement could happen involuntarily and a Resettlement Policy Framework. The ESMF should be one that has been prepared in a consultative and participatory manner and disclosed in-country and at the World Bank InfoShop and has found acceptance with all key stakeholder groups including the Client and the World Bank.

15. An experienced national consultancy firm will be hired to lead a team of experts towards the development of the ESMF. It is expected that the team will work in close collaboration with the GoE and the consultant team doing a social assessment that is expected to provide a full understanding on three key interrelated areas namely, social characteristics of local communities, existence of vulnerable and marginalized groups and physical cultural resources in the selected project areas. The output of the Social Assessment will be a critical input for the ESMF. The lead consultant preparing the ESMF will be responsible for identifying, subcontracting, and supervising an Ethiopia field team to follow up the various activities required for the preparation of the ESMF. The Client obliges to ensure that the consultancy firm has access to all relevant documents including the draft AGP PAD, ISDS and PID; PASDEP & CAADP documents; Ethiopia environmental & resettlement laws and proclamations; existing and approved ESMFs for operations in Ethiopia; WB safeguard polices and handbooks; links to websites; names and contacts of experts and individuals to be consulted; etc. Also, the Client will facilitate travel arrangements to the field and interactions with project stakeholders.

Consultant Team

16. The team should comprise consultants with the following qualifications:

(a)    Team leader: A senior natural resource management scientist with specialized experience in environmental management issues in Ethiopia and knowledge in impact assessment. He/She should be familiar with Ethiopian environmental and social laws and regulations and the World Bank’s safeguard policies, especially OP/BP 4.01, 4.09 and 4.12;

(b)   An integrated pest management specialist with demonstrated experience in agronomy and pest management/control. He/She should be familiar with the Ethiopian regulatory framework and FAO guidelines relating to agrochemical importation, manufacture/formulation, sale and distribution, use and disposal. Familiarity with the WB policy and guidelines on pest management is essential.

(c)    A social development scientist with demonstrated experience in resettlement and social development work and familiarity with the WB social safeguard policies. Work experience in Ethiopia and knowledge of Amharic and other local languages will be desirable.

Schedule and Reporting

17. The consultants will work under the direct supervision of and report to the AGP Project Preparation Committee. The ESMF is expected to be completed in 6 weeks starting from October, 2009. The firm shall deliver the final ESMF to the GoE latest by late November, 2009. 

Evaluation Criteria

Technical proposals will be rated as per the following matrix. A firm will have to score a minimum of 70% to be considered for the next step. Financial evaluation will be conducted for the qualified and responsive technical bids (i.e 70% and above). The responsive and qualified firm with the lowest financial proposal will be issued a contract.

Submission of Technical & Financial proposals

Qualified and interested Firms could submit the Technical and Financial proposal in a separate sealed Envelope to the following address no later than 2 November 2009:

UNDP Ethiopia

Procurement Specialist

ECA Compound Old Buld.

Vacancy No: RFP/031/2009

Fax: 251 11 5514599 / 5515147

P. O. Box 5580, Addis Ababa
Ethiopia