Urban Revenue Enhancement, Fund Mobilization and Finance Bureau

Urban Institutional and infrastructure Development ( UIIDP)

Monitoring and Reporting System of Social

Safeguarding

By
Tefera Tegegne
UIIDP Social Development Consultant
May, 2021
Bishoftu
 Contents
Introduction
Objectives
Relevance
Levels of UIIDP Safeguard M&E
Steps of Monitoring
Issues to be Monitored
Reporting and Documentation
 Introduction
• Monitoring and Reporting is requirement of
UIIDP
• Monthly, quarterly and annual reports are not
prepared separately for social safeguards
• ULGs social Development officers and
coordinators did not have adequate data
and information on:
– livelihood restoration of project affected people
and
– measures take as per RAP.
 Objectives
• To give attention to social safeguard monitoring
and reporting in UIIDP
• To institutionalize social safeguard monitoring
in UIIDP
• To enhance the quality of RAP planning and
implementation
• To show focus areas of social safeguarding
monitoring
• To show that RAP monitoring should be
adequately and regularly conducted by
responsible entities at all level UIIDP
implementation
 Relevance Of M &E
• Provides information on mitigation measures taken for identified
the environmental and social impacts of the project.
• Checking the implementation of legal frameworks, ESMSG and RSG
• Checking the implementation plans ( ESMP and RAP)
• Assessing the effectiveness of RAP implementation
– the physical progress of resettlement and rehabilitation activities,
– Payment of compensation,
– the effectiveness of public consultation
– Understand the status Project affected persons
– Grievance redressing
– the sustainability of income restoration and development efforts
among affected communities
– Helps to take measures on the identified gaps
– input for preparation of periodic reports
 Levels of UIIDP Safeguard M&E

• Motoring and evaluation are conducted on the basis of

implementation ladders, accountability, timeframe and report
submission.
• Monitor the environmental and social performance of the project
in accordance with the requirements of UIIDP PAD , POM , M & E ,
ESMSG and RSG
• Environmental and Social safeguard performance assessment,
Monitoring, Evaluation are done at different levels and in
relation to responsible entities
– At ULG level
– Contractors
– UIIDP Mobile Team
– Regulatory Organ
– Performance Assessment
– Quality Assurance
 Monitoring Matrix
Levels Responsible Timeframe Reports to be Submission to
produced

Project Contractor Periodic Progress report for ULG

level environmental Clause
and ESMP

ULG Safeguards Weekly, • Supervision • UIIDP

Focal person Monthly, Report Coordinator and
Quarterly, • period ULG
Annual ESIA/ESMP/ RAP • Environmental
Implementation Authority
reports
 Monitoring Matrix
Levels Responsible Timefram Reports to be Submission to
e produced

UIIDP Safeguard Monthly, Periodic reports on Regional and

mobile Specialists Quarterly, the technical Federal UIIDP
Team Annual Assistance coordination Unit

Regulat Regional Quarterly Progress report for Regional and

ory environment supervisio environmental Clause Federal entities,
Organ al Authority n and and ESMP/RAP ULGs and to world
and annual Bank though
branches monitoring Federal MUDCo
and Audit
 Monitoring Matrix
Levels Responsible Timeframe Reports to be Submission to
produced

Perform Independent Annual Annual performance Ministry of Urban

ance consultant Assessment Report Development and
Assess and results Construction
ment

World World Bank Whenever Report on the Ministry of Urban

Bank Group necessary quality of APA and Development and
and annual Results of ULGs Construction
quality and RIAs
assurance
 Steps of Monitoring
1. Identify the focus areas to be considered for the monitoring
– Based on the impacts,
– Mitigation measures
– Entitlement Matrix
2. Prioritize a core set of indicators based upon agreed criteria such as
 entitlement matrix and
 ESMP.
3. Identify stakeholders
4. Develop checklists
5. Identify data collection methods
– Reports of project engineers and contractors and supervision
– Consultation and interview of projects affected persons and Community
– Observation
6. Schedule activities
7. Data collection and analysis
8. Report writing
 What to Monitor ?

Planning Implementation
•Institutional
Setup/system in place
(RSG and legal frame • RAP implementation
works • Compensation
• Consultations • Relocation
• Livelihood Restoration
•Screening
• Community Consultation
•RAP preparation • Status of construction
• ESIA and EMP • Grievance Redressing
• Availability of periodic Reports
as required
• Documentation of evidences
and reports
 RAP Implementation Monitoring Framework
1. Verify internal RAP implementation reports by a field check of
the following:
– Payment of compensation including its levels and timing
– Settlement of land/resource access claims
– Preparation and adequacy of resettlement sites
– Housing construction
– Provision of employment, its adequacy and income levels
– Adequacy of training and other developmental inputs
– Rehabilitation of vulnerable groups
– Urban utilities repair, relocation or replacement
– Enterprise relocation, compensation and its adequacy
– Transition allowances
 Monitoring
2. Checking the implementation of Resettlement/
compensation matrix
3. Checking the application of Monitoring plan of RAP
4. Checking effective utilization of action plan of
safeguard focal persons which will be prepared every
year on the basis of the CIP and procurement plan
5. Interview affected people to assess their
• knowledge and concerns regarding the resettlement process,
• entitlements and
• rehabilitation measures.
 RAP Monitoring Framework

6. Observe public consultations with affected people at the village

or town level.
7. Observe the function of the resettlement operation at all levels
to assess its effectiveness and compliance with the RAP.
8. Check the type of grievance issues and the functioning of
grievance redress mechanisms by
• reviewing the processing of appeals at all levels and
• interviewing persons who have resolved and unresolved grievances
9. Survey the standards of living of the affected people
• before and after implementation of resettlement
• to assess standards of living of the affected people have improved or been
maintained or worsen
 RAP Implementation Monitoring
10.Advise project management regarding
necessary improvements in the
implementation of the RAP
11.Safeguard Focal persons play role in
promoting compliance , implementing
monitoring, evaluation and reporting
 Reporting and Documentation

• Performance monitoring reports should be prepared at regular

intervals :
• monthly,
• quarterly,
• semiannually,
• annually
• Periodic reports include the status of all projects in annual
CIP
• Data collected in consideration of supervision (templates)
 Site Supervision and contractors Report
 Social safeguard focal persons have to regularly visit project
sites and write report ( see sample format )
 The contractors of the construction have to submit
progress report on Environmental and social measures ( see
the format )
 Environmental and social clause
 ESMP
 Reporting
• Separate RAP implementation report should give emphasis
to
 extent and quality of RAP preparation,
Community and project affected persons consultation during
screening RAP Preparation and implementation,
anticipated negative and positive impacts on the RAP,
 impacts appeared during implementation,
Implementation of Entitlements of Projects affected household and
institutions
 livelihood restoration ,
commitment of the city administration in addressing social impacts
and
 Response to complaints of the community and projects affected
people
 Contents of RAP implementation Report

1. Introduction
2. Scope and objective
3. Methodology
4. Consultations during planning and implementation
5. Description of Impacts in the RAP and during
implementation
6. Implementation of Entitlements and livelihood Restoration
7. Complaint handling and Response
8. Commitment of the city administration
9. Conclusion and Recommendation
 Documentation
ULGs have to arrange and document evidences in folders and
files in the following ways.
Folder /file box #1 : Safeguard management System
– A letter of appointment or assignment of focal person signed by
City Mayor and copied to the City Manager and host office of the
staff
– Minutes of meeting of city council for endorsing city level ESMSG
and RSG documents
– Letter written from the city council to the city administration
and municipality to implement the endorsed and Stamped
safeguards guidelines
• Environmental and Social Management system (ESMSG )
• Resettlement System Guideline (RSG)
 Documentation

Folder /file box #2 : Approved Screening

Reports for all projects
– List of approved screened projects
– Screening reports of desired quality for all capital
investment projects
– Thorough written review and endorsement of
screening reports by relevant regulatory authority
– Minutes of community consultation
 Documentation

• Folder/file box #3 : Approved Safeguards

instruments and documents
• Approved ESIA, ESMP for all schedule 1 and 2 projects
• Approved RAP documents for projects that require
resettlement and compensation issues
• Thorough written review and endorsement of safeguards
tools by the competent regulatory authority
• Minutes of community consultation for projects that
require ESIA, ESMP and RAP
• Appropriate environmental and social clause and ESMP
in all contractor signed construction contracts
 Doc.

 Folder/file box 4: Implementation of ESMPs and RAPs

 Supervision Reports
 Formally written periodic report of the contactor to the safeguard
specialists on the implementation of ESMPs and the environmental
clause
 Monthly, quarterly and annual reports submitted to relevant
regulatory authority
 Feedback on periodic reports if any
 Evidences RAP Implementation
 Valuation of compensation
 Decision of the city administration
 Vouchers and Compensation Payment evidences
 Evidences of providing land or house
 Doc.

• Folder/file box #5 : Annual Environmental and

Social Audit reports
• Annual environmental and social Audit report
• Action plans to measures on the audit finding
• Reports on Measures to mitigate impacts observed
during annual Environmental and social audit
 Safeguards/ resettlement monitoring plan
– The RAP must provide a coherent monitoring plan that
identifies the organizational responsibilities, the
methodology,
– The schedule for monitoring and reporting.
– The scope of the monitoring plan should be
commensurate with the scale and complexity of the
RAP.
 Detail Approval and commencement compliance
No. Lot/ Location Schedule RAP Approval Reference Date of Site comme Status of
Date No. contractual handove nceme implemen
project agreement r date nt date tation
Name

1      

2      

     

     

     
 Summary UIIDP Project Affected Population (Compensated and Resettled)

EFY # Compensation paid Displaced/Resettled

ULG RAP
  M F T Total Paid M F T # Received Total size # Received #Provided
compensation substitute of land substitute Kebele
in Birr land substituted House for Houses
owners

                 
1
                 
2
 Detail Report on UIIDP the project Affected People (RAP Report)

City/_ _____ ___safeguards officer’s name/ _______________Year /______

N Head of Project Sex #Family Compensation and substitution
o the Name/   Members
Family

# persons Replace Paid # owners # Kebele House

received d Land Comp received provided on rent

Substitute in m2 Substitute

land   house

       
M F T    
1          
   

2          
   

3            
 

 4            
 
 Environmental Safeguards Status Report
 ULG / Total
Region Total Screened
Number As
of ESMSG Not yet Schedule Schedule Schedule Submitted Approved
projects project screened 1 2 3 to REPA by REPA
 Social Safeguards Status
Total
Total Total
Total Total Number Not Number of
Number of Number of
Name of Number of Projects yet Projects
Projects projects not
Region/ULG of CIP Screened as screen for which
requiring requiring
Projects per the RSG ed RAP
RAP RAP
completed
 Site Supervision and contractors Report
 Social safeguard focal persons have to regularly visit project
sites and write report ( see sample format )
 The contractors of the construction have to submit
progress report on Environmental and social measures ( see
the format )
 Environmental and social clause
 ESMP
Thank You