Checklist: A case of Amhara National Regional State Environment Forest

and Wildlife Protection and Development Authority (Bahir-Dar City)

I. Result weighting or scoring

Category of Score Required performance evidence State of
answers value compliance
Yes 1 Fully generated evidences as per prescribed compliance
performance evidences
Fairly Yes 0.5 Generated evidences with minor failures
No 0 (zero) Complete failure to generate prescribed Non-compliance
performance evidences

II. Determining performance magnitude of ULG

Based on the obtained percentage results, the performance magnitude of each ULGs
of the Region were determined based on the following statistical performance rating.

No Performance class Magnitude

1 Above 85% Very high performance

2 75-85% High performance

3 65-75% Medium performance

4 55-65% Low performance

5 Below 55% Very low performance

III. Audit Performance Evidence Generation and verifications

The audited ULG was required to generate predetermined performance evidences

indicated in the right column of ESPA checklist. Supportive evidences, such as copies
of contractual agreement, monitoring reports, TORs, and photographs were
collected and integrated in the audit report for further verification.

IV. Checklist

Audited ULG: Audit Date: Lead Auditor:

ESPA Questionnaire checklists Target Actual score ULG requirements to provide

I ESMSG/RSG compliance checklist
1 Had the ULG assigned UIIDP social
safeguard specialist as required by the
UIIDP APA manual?
2 Have UIIDP Implementing staffs gained
training on, and aware of their roles, in the
ESMSG and RSG as part of the developed
capacity building plan in each year?
3 Do all capital investment projects screened
as per ESMSG/RSG before thestart of
construction?
4 Were all investment projects screened
using the standard ESS format as required
by the
ESMSG and RSG?
5 Had the ESS reports prepared in
standard qualities and adequacies?
6 Were Project Affected Peoples (PAPs)
notified and consulted during the
Environmental and Social Screening Process
as required by the ESMSG &RSG?
II Project EMP/RAP compliance
audit checklist
7 Have EMPs/RAPs been implemented as
per the approvedplans and prior to
commencement of constructions?
8 Were costs of identified mitigation measures
of the EMPs/RAPs of schedule 1 and 2
projects calculated by contractors and
incorporated into tender documents before
the commencement of civil work?
score Yes FYes No Performance evidences
(30) (1) (0.5) (0)
6
Safeguard specialist in place
1 with letter
A box file or folder containing
training reports; training
0 courses provided; trained staffs
and shared experience reports
with ULGs.
A file consisting dates of
EIA/IEE reports approvals and
1
contractor's agreement award
date
1 Box file documentations of
ESS reports as Records of
Decisions
(RoD)
1 Completeness of reports both
in environmental and social
screening
1 A box file or folder
containing public agreed
minutes per specific projects
8 1
1 A Box file/ folder containing
formal (dated and signed)
implementation reports of
EMPs/RAPs
A box file/ folder containing
tender documents with
1 prescribed mitigation measures
as per the EMPs & of their
contractors cost estimates.
9 Have the approved ESIA reports, PESIA
and RAPs reports disclosed for public
review/comments at kebele councils and/or
any other suitable places?
10 Have the approved EMPs and RAPs of
ESIA/PESIA reports enter into contractors'
legal agreements or Environmental Contract
Clauses?
11 Has compliance monitoring of PESIA/EMP
and RAPs been conducted regularly as per
project phases (construction, operation,
decommissioning and closure) to verify the
EMP or RAPs, mitigation measure
implementations?
12 Has the UIIDPofficer prepared and No
submits annual environmental and social
management reports on the implementation
of EMPs or RAPs to either the regional
EFoWPDA or zonal ELEMAI team?
13 Have UIIDPImplementing officers no
conducted internal auditing as per
the approved EMPs and RAPs?
14 Have Environmental Clearance Certificates No
of ESIAor PESIA reports renewed annually
as required by law?
III Documentation and Record keeping 7
compliance checklists
15 Do the UIIDPOfficers keep written and
photographic records of project sites and its
surrounding areas before, after and during
construction on the site?
16 Do UIIDPofficers keep records of cases of No
non-compliances and measurement
actions taken?
17 Do UIIDPofficers keep records of
certified EA reports by type and numbers,
such as PESIA report, ESIA report and
RAP
archived with labeling?
18 Are hard copies of the UIIDPESMSG &
RSG as back-up documented properly
as working documents?
19 Are hard copies of 2012 EFY Environmental
and Social Audit Reports submitted by
Regional EFoWPDA documented
properly?
20 Are there documented regional
environmental laws (EIA proc No
181/2011 & general EIA guideline
(BoELAU, 2012/11) &National
Environmental laws
relevant to UIIDP ESMSG ?
21 Do the contractors keep records of
construction activities, instructions received
from the UIIDPconcerning social and
environmental matters?
no Date of disclosure; official
letters dispatched; public
0
comments
1 Box files containing signed and
dated contractors'
Environmental
Contract Clauses for category
1&2 ?
1 A Box file/ folder containing
formal (dated and signed)
compliance monitoring reports
as per the approved EMPs and
monitoring plan.
0 A Box file/ folder containing
annual implementation EMPs
reports issued by official
letters.
0 A box file/ folder containing
internal auditing reports
0 A Box file/ folder containing
renewed certificates of projects
'' A Box file/ folder containing
photographs
1
'' Documented cases of note
0 book/reports
1 Documented certified reports by
type
1 Documented hard copies of
UIIDP ESMSG & RSG
1 A Box file/ folder containing
audit reports
1 A Box file/ folder containing
environmental laws
1 '' ''
IV Checklist for Auditing previous year 2
ESPA results
22 Had discussions made on the 2011 ESP No Signed minutes of discussion
Audit report amongst the
UIIDPImplementing staffs chaired by the 0
Core Process Leader aimed to implement
non-compliances?
23 Had action plans with required budget 1 Box file containing prepared
prepared for implementation of non- action plans; allocated
compliances of 2011 EFY ESPA results budget;
photograph records
24 Had corrections measures implemented for 1 Implementation reports
identified non-compliances as required by
the 2011 ESP Audit report?
V Checklist for field observation of sampled 6
subprojects
25 Had the infrastructure completed within the Field observation & photograph
0.5
planned Fiscal Year (budget year)
26 Had the cobblestone/gravel road constructed Field observation & photograph
with the required standard inclination of 2 1
% to minimize scouring of fine sand?
27 Had the infrastructure constructed with the Field observation & photograph
0.5
required standard quality?
28 Had the infrastructure opened for social Field observation & photograph
0.5
/public service?
29 Had the construction cart away removed Field observation & photograph
from the project site or reused for 0.5
backfill
and land leveling?
30 Had the drainage ditch connected with Field observation & photograph
natural water way or existing drainage 1
ditch?
Total points for each 19 2
Sum of actual points 21
Performance Score in % ( actual score divided by 70
target score (30) *100)