United Nations Development Programme
Country: Ukraine
Initiation Plan
Project Title:
Improving the Health and Safety of Miners in Eastern Ukraine
Expected CP Outcome(s):
Area 1, Outcome 3: Improved access to and utilisation of
quality health, education and social services
Area 3, Outcome 10: Government adopts policy frameworks
and mechanisms to ensure reversal of environmental
degradation, climate change mitigation and adaptation, and
prevention and response to natural and man-made disasters
Initiation Plan Start Date:
February 2012
Initiation Plan End Date:
December 2012
Brief Description
The purpose of this initiation phase is to assess the health and safety risks faced by miners in the cities
of Krasnodon, Rovenky and Sverdlovsk. The Project Team—in consultation with mine, health and
government workers—will conduct health risk assessments to analyse and prioritise the communities’
health and safety needs. The projected outcomes of this initiation phase are community risk
assessments, health and safety data, and action plans for each of the three cities.
Upon completion of this pre-project analysis, the Project Team will develop a full-fledged project
document, which outlines steps for implementing the aforementioned action plans, as a step toward
improving the health and safety of miners. The project, guided by principles of disaster risk reduction
and occupational/ environmental health, is expected to address issues concerning inadequate medical
equipment, methane gas explosions, and other problems identified during the initiation phase.
Programme Period:
2012-2016
Total resources required
USD 92,000
CPAP Programme Component:
Sustained Economic
Growth, Poverty
Reduction and
Social Development;
Environment and
Climate Change
Total allocated resources:

Regular

Other:
o DTEK
o Metinvest
USD 92,000
USD 30,000
Unfunded budget:
USD 0
In-kind Contributions
USD 0
Atlas Award ID:
00064591
PAC Meeting Date
19 January 2012
Agreed by UNDP:
USD 41,000
USD 21,000
I.
SITUATION ANALYSIS
1.1 Background
The mining industry, particularly of coal, plays a central role in Ukraine’s economic and social
development. With around 500,000 employees, Ukraine’s mining industry workforce ranks among
the biggest in the world.1 Moreover, Ukraine’s mining industry is projected to grow by 5.1 per cent
to an estimated value of UAH 97.81 billion (USD 14.19 billion) in 2015.2 Around 90 per cent of
Ukraine’s hard coal comes from the Donetsk coal basin in Eastern Ukraine from approximately
225 mines.3 The remainder of the hard coal comes from approximately 18 mines in the LvivVolynskiy basin in Western Ukraine.4 The relative size and growth of the mining industry makes it
a vital consideration for the country’s future economic and social progress.
1.2 Miner Health and Safety
Ukraine’s mining industry has one of the highest rates of mining injuries and casualties in the
world.5 Between January and July 2011 alone, the Ministry of Emergencies of Ukraine reported
over 100 casualties, an average of about one casualty every other day. Miners6 also endure high
rates of occupational health ailments, including musculoskeletal disorders, hearing loss, and
respiratory diseases. The State Committee of Ukraine for Industrial Safety, Labour Protection and
Mining Supervision, though not addressing mining specifically, stated that the approximate rate of
professional diseases grows at about 7,000 people per year in Ukraine.7 The State Committee
also noted that about 17,000 citizens become disabled every year due to injuries sustained at work
and that 25 per cent of workers in the industrial sector work under hazardous conditions.8
In general, mining hazards are categorized as physical, chemical, ergonomic and/or psychosocial.9
Physical hazards include falling rocks, fires, explosions, equipment accidents, entrapment and
electrocution. Noise generated by drilling and blasting is another common physical hazard that
leads to varying levels of hearing loss. Chemical hazards, such as crystalline silica (a chemical
commonly found in mining), have been linked to increases in pulmonary disease, while coal dust is
a leading cause of pneumoconiosis or “black lung.” Even though mining is becoming more
mechanized, ergonomic injuries, or musculoskeletal disorders, are persistently problematic health
concerns in the industry. Fatigue is also a common problem, which impairs cognitive and motor
performance. Psychosocial hazards include drug and alcohol abuse, prominent yet difficult issues
to address in mining communities. Traumatic or fatal injuries have profound impact on morale, and
post-traumatic stress disorders sometimes develop in witnesses, colleagues and managers.10
1.3 Factors Influencing Miner Health and Safety
There are complex, multi-layered factors that affect the health and safety of miners. Starting with
biological factors (e.g., genetics), health is also affected by personal choices (e.g., diet and
exercise), living and working conditions, access to quality health care, and general social,
economic and environmental conditions. These factors and linkages will be closely monitored
US Energy Information Administration, “Ukraine: Coal,” US Energy Information Administration website, undated.
Accessed on 1 May 2010.
2 Business Monitor International. Ukraine Mining Report 2011. 4 August 2011. Accessed on 1 October 2011:
http://www.marketresearch.com/Business-Monitor-International-v304/Ukraine-Mining-6485942/.
3 U.S. Geological Survey. 2006 Minerals Yearbook: Commonwealth of Independent States. November 2009. Accessed
on 1 October 2011: http://minerals.usgs.gov/minerals/pubs/country/2006/myb3-2006-am-aj-bo-gg-kz-kg-md-rs-ti-tx-upuz.pdf.
4 Ibid.
5 US Energy Information Administration, “Ukraine: Coal,” US Energy Information Administration website, undated.
Accessed on 1 May 2010.
6 For this project, the term, “miner,” includes active, retired, unemployed and disabled miners. It also includes mine
managers and administrators and employees working at processing or conversion facilities.
7 Ukrinform. “Professional disease rate grows every year in Ukraine.” Kyiv, 18 November 2011. Accessed on 1 October
2011: http://www.ukrinform.ua/eng/order/?id=204720.
8 Ibid.
9 A.M. Donoghue, “Occupational Health Hazards in Mining: An Overview.” Occupational Medicine, 2004; 54, pp. 283–
289.
10 Ibid.
1
2
throughout the health and safety risk assessment process. Other factors that are commonly cited
as affecting the health and safety of miners include:













Health care services: The availability, accessibility and quality of health care services.
Health care facilities: Staff and resource capacities to meet the health needs of miners.
Insurance policies: The availability of adequate policies for miners and their families.
Lifestyle and behaviours: Lifestyle choices regarding eating, exercise, drugs and alcohol
are vital factors that influence the health and safety of miners.
Safety regulation compliance: Compliance of safety regulations by miners, managers,
administrators and other employees.
Safety training programmes: The frequency and quality of safety training programmes.
Legal frameworks: The implementation of policies, such as ILO Convention 176.
Governance: Ownership structure and allocation of subsidies influence working conditions.
Coal pricing: Coal prices affect incentive structures and pressures to produce.
Pressures of production or incentives for profit making: Miners are influenced by the
pressures of production or incentives to make money, especially when they are paid by
volume of minerals extracted, as opposed to an hourly wage.
Unions: The effectiveness of unions is vital for miner health and safety.
Mining conditions: The depth of mines, levels of methane gas, and other mining conditions
affect the safety of miners.
Mining equipment: Outdated or poor quality equipment can lead to injuries or fatalities.
1.4 National Priorities
The Government of Ukraine has reaffirmed its commitment to creating safer, healthier working
conditions of its miners on numerous occasions. In 2010, the Ministry of Coal Industry of Ukraine
began a process of restructuring its mining industry, citing inefficient production and hazardous
working conditions. Subsequently, Ukraine began privatising state-run sites (signing deals with
China to revamp its coalmines), while also working with the European Union to shut down its nonproductive ones.11
In 2011, Ukraine became the 25th country to ratify the International Labour Organization (ILO)
Convention 176, the Safety and Health in Mines Convention. Two unions, the Coal Industry
Workers’ Union of Ukraine (PRUPU) and the Independent Trade Union of Miners of Ukraine,
spearheaded the effort to ratify Convention 176.12 Once enacted, Ukraine’s national laws on mine
safety are expected to be updated to comply with international standards. The Convention
describes responsibilities for government, mining companies, and miners, and also gives miners
the right to report dangerous conditions and accidents, as well as the right to refuse unsafe work.13
The State Service of Mining Supervision and Federation of Trade Unions of Ukraine (FPU) also
signed an agreement, in force until 31 December 2015, to jointly monitor the implementation of
labour protection laws.14 Under the agreement, the parties are required to jointly investigate
accidents, work together on improving labour laws, and consult each other in matters of labour
safety. The parties agreed to revisit and evaluate their progress on an annual basis.
In addition, Ukraine will begin reforming its healthcare sector in 2014, according to the Ministry of
Health. Citing lack of funding, equipment and medical staff, the Ministry of Health plans to overhaul
its healthcare system, including the addition of a unified state emergency medical service. The
reform process has started with pilot projects in the communities of Donetsk, Dnipropetrovsk, Kyiv
and Vinnytsia.
11
Business Monitor International. Ukraine Mining Report 2011. 4 August 2011. Accessed on 1 October 2011:
http://www.marketresearch.com/Business-Monitor-International-v304/Ukraine-Mining-6485942/.
12 ICEM. “Ukraine Ratifies ILO Convention 176, the Safety and Health in Mines Convention.” 21 February 2011.
Accessed on 1 October 2011: http://www.icem.org/en/77-All-ICEM-News-Releases/4263-Ukraine-Ratifies-ILOConvention-176-the-Safety-and-Health-in-Mines-Convention.
13 Ibid.
14
Government
of
Ukraine
website.
11
April
2011.
Accessed
on
2
October
2011:
http://www.dnop.kiev.ua/index.php?option=com_content&task=view&id=6130&Itemid=1.
3
1.5 Mining Companies
System Capital Management (SCM), a financial and industrial holding company, is the largest
private mining company in Ukraine. SCM owns DTEK, a mining and energy company, which
controls about 45 per cent of Ukraine’s mines.15 DTEK companies account for about 20 per cent of
the country’s output of coal, with an annual coal mining capacity of 19.2 million tonnes.16 SCM’s
largest company, Metinvest, comprises of 23 industrial companies involved in the mining and steel
industry worldwide and is Ukraine’s largest coal coke producer.
II.
STRATEGY
2.1 Objective
The purpose of this initiation phase is to assess the health and safety risks faced by miners in the
cities of Krasnodon, Rovenky and Sverdlovsk. The Project Team—in consultation with mine,
health and government workers—will conduct health risk assessments to analyse and prioritise the
communities’ health and safety needs. The projected outcomes of this initiation phase are
community risk assessments, health and safety data, and action plans for each of the three cities.
Upon completion of this pre-project analysis, the Project Team will develop a full-fledged project
document, which outlines steps for implementing the aforementioned action plans, as a step
toward improving the health and safety of miners. The project, guided by principles of disaster risk
reduction and occupational/ environmental health, is expected to address issues concerning
inadequate medical equipment, methane gas explosions, and other problems identified during the
initiation phase.
2.2 Beneficiaries
The beneficiaries of this project are mine, health, and government workers of Krasnodon, Rovenky
and Sverdlovsk. All three cities are located within 60km of each other in the Lugansk Oblast of
southeastern Ukraine. Most of the cities’ residents work in the mining industry, mostly, if not all, for
DTEK or Metinvest. The area has a central hospital, with a capacity of 400 patients (390
inpatients), along with smaller health clinics dispersed throughout surrounding communities;
however, DTEK and Metinvest report that there are not enough health facilities or capacities to
meet the growing health and safety needs of miners in Lugansk.
2.3 Methodology
Preparation
To begin, the Project Team will secure commitments and establish the roles and responsibilities of
the Lugansk Oblast Administration, city councils of Krasnodon, Sverdlovsk and Rovenky, and the
Ministry of Health. The Lugansk Oblast Administration, or the Senior Beneficiary, will help
coordinate and support the realization of project results from the perspective of project
beneficiaries. The Administration, along with representatives from the city councils and Ministry of
Health, will serve on the Project Steering Committee to advise the Project Team with its efforts.
Other government officials from the Ministry of Emergencies and other relevant government
bodies will also be engaged in the process as necessary. The Project Team will also contact
relevant international agencies, including the World Health Organization (WHO), in order to
coordinate actions and maximise resources as appropriate.
Once the Project Team secures the necessary commitments, it will begin the first phase of the
project. Initially, the Project Team will collect secondary data and conduct preliminary research
utilising local consultants (e.g., retired miners). The Project Team will work with a local consultant
in each of the three cities, beginning with a desk-top analysis of health reports, previous health risk
assessments, incident reports, audit reports, occupational illness and injury reports, site
inspections, and minutes of health and safety meetings.17 Then, the Project Team will conduct
“walk through” evaluations to identify health hazards and risks in mining areas and health facilities.
15
Ukrainian Journal, Vol. 10, No. 277, 7 December 2011.
Ibid.
17 International Council of Mining & Metals, “Good Practice Guidance on Occupational Health Risk Assessment,” 2009.
16
4
Then, the Project Team will meet with key stakeholders (i.e., mine, health and government
workers), agree upon a timeline of activities, and assign roles and responsibilities to each
participant. The group will also agree upon the main health and safety problems, along with the
objective and goals of the project. For the initial meeting(s), working groups in each city should
consist of at least the mayor, national government representative, health industry representative,
mine worker representative, mining company representative, and UNDP representative.
Assessment
Next, the Project Team will begin the health and safety risk assessment. The assessment phase is
about collecting information, facilitating dialogue, and agreeing upon specific action items that will
improve the health and safety of mine workers. It is a process for analysing and prioritising
community health issues, which helps maximise resource allocation. The Project Team will collect
primary data through interviews and medical examinations and will conduct surveys and/or
interviews with a statistically relevant number of employees. It will also observe working conditions
of miners, as well as the conditions and capacities of health care facilities. This process of
collecting, analysing, and disseminating data includes: collecting secondary data, collecting
primary data, analysing data, evaluating data, and disseminating data (see Table 1 below).
Table 1. Steps for Collecting, Analysing and Disseminating Data
Step 1: Collect Secondary Data
The Project Team will collect secondary data from mining, health and governmental bodies.
Step 2: Collect Primary Data
The Project Team will conduct interviews, focus groups, and surveys to capture primary, or first-hand, data.
Step 3: Analyse Data
The Project Team will organise and interpret data within the contexts of the three target cities.
Step 4: Evaluate Data
The Project Team, with feedback from the community, will evaluate the quality and relevance of data sets.
Step 5: Disseminate Data
The Project Team will disseminate data to the community at-large through public information campaigns.
This process is not necessarily linear and steps can be repeated or rearranged as necessary. For
example, steps 1-4 may be repeated several times before step 5, disseminating final data sets to
the public. Additionally, step 1, collecting secondary data, does not necessarily have to precede
step 2, collecting primary data. Table 1 is simply an example of how data collection, analysis,
evaluation and dissemination might be conducted.
The assessment process will also define the roles and responsibilities of key stakeholders in
implementing the action plans. Such participatory processes help ensure local ownership and
sustainability of efforts moving forward.
5
Then, the Project Team will conduct its first community workshop with key stakeholders. The oneday workshop will focus on examining collected health data, prioritising health needs, and
agreeing upon an action plan. Guiding principles of community action planning include:






Community members are part of the solution, not problem;
The role of the facilitator is to extract solutions from the community members;
Action plans should not be predetermined but developed by the communities;
Facilitators should conduct workshops as discussions, not lectures;
Ensure participation of interested parties; and
Keep it simple.
The group will then have an opportunity to discuss the data, explore possible solutions, and help
prioritise community action points moving forward. The expected outcomes of a health needs
assessment include:



Baseline assessment information of a community’s health and safety risks and needs;
Realization of a community’s own capacities to cope with those risks and needs; and
Agreement between a community and government counterparts on an action plan.
Identified needs should not be considered a “wish list,” rather a process of understanding a
community’s current situation. The Project Team will incorporate the feedback from the first
workshop into a draft health and safety risk assessment report, which will be developed using the
following or similar outline.
1.
2.
3.
4.
5.
Executive summary: A short summary of the assessment findings.
Introduction: Background to the assessment and the dates and location covered.
Mining Industry: Description of the mining industry in Krasnodon, Rovenky and Sverdlovsk
Methodology: This section explains the process of collecting health data.
Results: The results should reflect and expand on the information presented to the
community. Graphs and narratives will be included to show health and safety trends.
6. Conclusion: This section will summarise the entire assessment process and provide
recommendations for moving forward.
7. Annexes: The annexes will include the action plans, forms used to collect data, etc.
Agreement
The Project Team will then organise a second workshop that builds upon the aforementioned first
workshop. During the second workshop, key stakeholders will have an opportunity to review and
finalise the action plan. Past experiences show that such plans might focus on upgrading medical
equipment, improving education and training, and/or receiving consultations from international
public health professionals. The finalised action plan will also include an evaluation and monitoring
component to keep implementing parties accountable for fulfilling their action item(s). The action
plan, along with its proposed budget and results matrix, will be distributed to miners and the
community at-large to help monitor progress and keep stakeholders accountable for completing
their assigned responsibilities according to the action plan. Ultimately, the goal is to have the
community, particularly mine, health and government workers, to reach an agreement on how to
implement their action plans.
While the action plans will not be implemented during this pre-project research phase, the Project
Team will begin preparing for the second phase during this time. In addition to writing a full-fledged
project document/ proposal for implementation, the Project Team will also seek commitments and
resources from private companies, as well as local and national government entities, in order to
ensure the sustainability of the project. The action plans will shape the second, or implementation,
phase of this project.
Table 2 provides an overview of the health and safety risk assessment process. However, this
process is not necessarily linear and steps can be rearranged, repeated, or modified as necessary
to fit the local context.
6
Table 2. Conducting a Health and Safety Risk Assessment
Part 1: Preparation
Part 2: Assessment
Conducting background research and Assessing health needs, agreeing on
securing commitments
priorities, and producing action plans
Part 3: Agreement
Agreeing upon the action plan and
next steps
Background Research
Conducting Health Assessment
Second Workshop
 Collect secondary data (e.g., city
reports)
 Conduct preliminary research,
utilising local consultants
 Prepare initial data in advance of
the initial meeting(s) with key
stakeholders
 Collect primary data through
interviews, medical examinations,
focus groups and surveys
 Observe living and working
conditions of miners
 Examine health care facilities and
capacities
 Meet with key stakeholders
 Share draft report, which includes
data, maps, and other relevant
information
 Agree upon next steps and
implementation
Initial Meeting(s)
First Workshop
Next Steps
 Meet with key stakeholders (mine,
health and government workers)
 Agree upon working plan
 Define health and safety problems
 Define the indicators and their
sources
 Assign roles and responsibilities
 Meet with key stakeholders and
community members at-large
 Review data and information
 Prioritise health needs
 Agree upon action items
 Begin second (implementation)
phase
2.4 Rationale
The project is consistent with the Government of Ukraine’s aims to improve the living conditions of
miners. It also aligns with the country’s restructuring efforts to modernise and reconstruct the
mining industry, along with its recent commitment under the ILO Convention 176 to improve the
health and safety of miners. Furthermore, the project parallels the goals of the Lugansk Oblast
Administration, as well as the business approaches of the mining companies DTEK and Metinvest,
which list worker safety and business sustainability among their top priorities.
The project also meets the goals of the United Nations Development Assistance Framework
(UNDAF), which states, “Government [of Ukraine] adopts policy frameworks and mechanisms to
ensure reversal of environmental degradation, climate change, and natural and man-made
disasters,” and “Improved access to and utilisation of quality health, education and social
services.” The project also meets the Country Programme Action Plan (CPAP) goals of increasing
the capacity of partners to implement measures on disaster risk reduction at the local level and of
improving the living conditions of vulnerable social groups.
2.5 Gender Strategy
Gender considerations are vital in the mining industry where an overwhelming majority of miners
are men. Conversely, widowed wives and their children are disproportionately affected when the
breadwinner of the family was someone lost in a mining accident. In addition, men and women
have different health needs; for example, men in mining communities have been known to
disproportionately abuse drugs and alcohol in coping with the stresses and traumas associated
with their profession. Thus, this project aims to uncover the different needs of men, women, boys
and girls through gender-sensitive interviews and focus groups.
7
III.
RESULTS AND RESOURCES FRAMEWORK
Intended Outcome as stated in the Country Programme Results and Resource Framework: (Area 1, Outcome 3): Improved access to and
utilisation of quality health, education and social services; (Area 3, Outcome 10) Government adopts policy frameworks and mechanisms to ensure
reversal of environmental degradation, climate change mitigation and adaptation, prevention and response to natural and man-made disasters.
Outcome indicators as stated in the Country Programme Results and Resources Framework:
Indicator: Targeting of social assistance through improved services for vulnerable and marginalised group increased, especially in rural areas
Applicable Key Result Area
Partnership Strategy: Partner with local governments, as well as the Ministry of Health and other relevant counterparts, to minimise man-made
disasters and improve health services for rural and marginalised populations.
Project title and ID (ATLAS Award ID):
INTENDED OUTPUTS
Output 1: Mining communities possess the
tools and support to pursue solutions for their
own occupational health and safety needs
Indicator 1: Number of health and safety
risk assessments conducted (one per
community)
Baseline: Zero (0) health and safety risk
assessments conducted
Indicator 2: Number of health and safety
data sets (one set per community)
Baseline: Zero (0) sets of comprehensive
health and safety data
Indicator 3: Number of action plans focused
on improving the health and safety of miners
(one per community)
Baseline: Zero (0) action plans focused on
improving the health and safety of miners
Gender Marker Rating and Motivation: 3
The Project Team will conduct gendersensitive focus groups to uncover the
different health and safety needs of men,
women, boys and girls.
OUTPUT TARGETS
FOR (YEARS)
Target 1
Y1:
Three
assessments
community)
(3)
(one
risk
per
INDICATIVE ACTIVITIES
Activity 1: Conduct health and safety risk assessments
 Hold introductory meeting
 Sign memorandum of understanding with three pilot cities
 Meet with mine workers, health professionals and local and
national government officials
 Interview key stakeholders
 Facilitate 3 workshops (one per community) to identify and
prioritise the community’s health and safety needs
 Agree upon action items
RESPONSIBLE
PARTIES
INPUTS
UNDP
Audio & Visual Production Printing
Costs (74200): USD 493
DTEK
Contractual Services—Companies
(72100): USD 2,560
Metinvest
Contractual Services—Companies
(72100): USD 1,313
UNDP
Contractual Services—Companies
(72100): USD 1,177
DTEK
Contractual Services—Individuals
(71400): USD 780
Metinvest
Contractual Services—Individuals
(71400): USD 390
UNDP
Contractual Services—Individuals
(71400): USD 330
DTEK
Facilities & Administration (75100):
USD 1,686
Metinvest
Facilities & Administration (75100):
USD 831
DTEK
International Consultants (71200):
USD 8,320
Metinvest
International Consultants (71200):
USD 4,160
UNDP
International Consultants (71200):
USD 3,520
DTEK
Local Consultants (71300): USD
3,120
Metinvest
Local Consultants (71300): USD
1,560
UNDP
Local Consultants (71300): USD
1,320
UNDP
Supplies (72500): USD 300
DTEK
Travel (71600): USD 6,750
Metinvest
Travel (71600): USD 3,380
UNDP
Travel (71600): USD 2,860
DTEK
UN Volunteers (71500): USD 760
Metinvest
UN Volunteers (71500): USD 390
SUBTOTAL: USD 46,000
Target 2
Y1: Three (3) sets of
health and safety data
(one per community)
Activity 2: Collect and analyse health and safety data
 Collect information on health trends and past accidents
 Identify relevant community assets and health needs
 Interview miners about their health ailments and
experiences with past accidents (per community)
 Conduct medical examinations of miners
 Survey key stakeholders about the health and safety needs
of their communities
UNDP
Audio & Visual Production Printing
Costs (74200): USD 722
DTEK
Contractual Services—Companies
(72100): USD 9,204
Metinvest
Contractual Services—Companies
(72100): USD 4,518
UNDP
Contractual Services—Companies
(72100): USD 1,278
UNDP
Local Consultants (71300): USD
8,000
DTEK
Facilities & Administration (75100):
USD 756
Metinvest
Facilities & Administration (75100):
USD 372
DTEK
UN Volunteers (71500): USD 760
Metinvest
UN Volunteers (71500): US 390
SUBTOTAL: USD 26,000
Target 3
Y1: Three (3) action plans
Activity 1: Produce action plan
 Produce specific, realistic, time-bound and measurable
9
UNDP
Audio & Visual Production Printing
Costs (74200): USD 831
(one per community)
targets based on the results from the workshops
 Produce action plans with budgets
 Facilitate community meeting to discuss the action plan
 Disseminate action plan to the community at-large
DTEK
Contractual Services—Companies
(72100): USD 1,240
Metinvest
Contractual Services—Companies
(72100): USD 900
UNDP
Contractual Services—Companies
(72100): USD 2,385
DTEK
Contractual Services—Individuals
(71400): USD 480
Metinvest
Contractual Services—Individuals
(71400): USD 225
UNDP
Contractual Services—Individuals
(71400): USD 795
DTEK
Facilities & Administration (75100):
USD 466
Metinvest
Facilities & Administration (75100):
USD 229
DTEK
International Consultants (71200):
USD 603
Metinvest
International Consultants (71200):
USD 430
UNDP
International Consultants (71200):
USD 1,166
DTEK
Local Consultants (71300): USD
1,763
Metinvest
Local Consultants (71300): USD
1,057
UNDP
Local Consultants (71300): USD
3,180
DTEK
Travel (71600): USD 992
Metinvest
Travel (71600): USD 465
UNDP
Travel (71600): USD 1,643
DTEK
UN Volunteers (71500): USD 760
Metinvest
UN Volunteers (71500): USD 390
SUBTOTAL: USD 20,000
TOTAL: USD 92,000
10
IV.
ANNUAL WORK PLAN
Year: 2012
EXPECTED OUTPUTS
PLANNED ACTIVITIES
And baseline, associated indicators and
annual targets
List activity results and associated
actions
Output 1: Mining communities
possess the tools and support to
pursue solutions for their own
occupational health and safety needs
1. Three (3) risk assessment (one
per community)
Baseline: Zero (0) health and safety
risk assessments conducted
Indicators: Number of health and
safety risk assessments conducted
(one per community)
Targets: 3 assessments (one per
community)
- Facilitate 3 workshops
TIMEFRAME
PLANNED BUDGET
RESPONSIBLE PARTY
Q1
Q2
x
x
Q3
Q4
Funding Source
Budget Description
Amount
UNDP
Audio & Visual Production
Printing Costs (74200)
USD 493
DTEK
Contractual Services—
Companies (72100)
USD 2,560
Metinvest
Contractual Services—
Companies (72100)
USD 1,313
UNDP
Contractual Services—
Companies (72100)
USD 1,177
DTEK
Contractual Services—
Individuals (71400)
USD 780
Metinvest
Contractual Services—
Individuals (71400)
USD 390
UNDP
Contractual Services—
Individuals (71400)
USD 330
DTEK
Facilities & Administration
(75100)
USD 1,686
Metinvest
Facilities & Administration
(75100)
USD 831
DTEK
International Consultants
(71200)
USD 8,320
Metinvest
International Consultants
(71200)
USD 4,160
Baseline:
Zero
(0)
sets
of
comprehensive health and safety data
Indicators: Number of health and
safety data sets (one per community)
Targets: 3 sets of health and safety
data (one per community)
UNDP
International Consultants
(71200)
USD 3,520
DTEK
Local Consultants
(71300)
USD 3,120
Metinvest
Local Consultants
(71300)
USD 1,560
Related CP outcome: (Area 1,
Outcome 3): Improved access to and
utilisation of quality health, education
and social services; (Area 3, Outcome
10) Government adopts policy
frameworks and mechanisms to
ensure reversal of environmental
degradation,
climate
change
UNDP
Local Consultants
(71300)
USD 1,320
UNDP
Supplies (72500)
USD 300
DTEK
Travel (71600)
USD 6,750
Metinvest
Travel (71600)
USD 3,380
UNDP
- Hold introductory meeting
- Interview key stakeholders
Related CP outcome: (Area 1,
Outcome 3): Improved access to and
utilisation of quality health, education
and social services; (Area 3, Outcome
10) Government adopts policy
frameworks and mechanisms to
ensure reversal of environmental
degradation, climate change
mitigation and adaptation, prevention
and response to natural and manmade disasters.
11
mitigation and adaptation, prevention
and response to natural and manmade disasters.
UNDP
Travel (71600)
USD 2,860
DTEK
UN Volunteers (71500)
USD 760
Baseline: Zero (0) action plans
focused on improving the health and
safety of miners
Indicators: Number of action plans
focused on improving the health and
safety of miners
Targets: 3 action plans (one per
community)
Metinvest
UN Volunteers (71500)
USD 390
SUBTOTAL
USD 46,000
UNDP
Audio & Visual Production
Printing Costs (74200)
USD 722
- Collect information on health
trends and past accidents
DTEK
Contractual Services—
Companies (72100)
USD 9,204
- Identify relevant community
assets and health needs
Metinvest
Contractual Services—
Companies (72100)
USD 4,518
- Interview miners about their
health ailments and experiences
with past accidents (per
community)
UNDP
Contractual Services—
Companies (72100)
USD 1,278
UNDP
Local Consultants
(71300)
USD 8,000
- Conduct medical examinations of
miners
DTEK
Facilities & Administration
(75100)
USD 756
Metinvest
Facilities & Administration
(75100)
USD 372
DTEK
UN Volunteers (71500)
USD 760
Metinvest
UN Volunteers (71500)
USD 390
SUBTOTAL
USD 26,000
UNDP
Audio & Visual Production
Printing Costs (74200)
USD 831
- Produce specific, realistic, timebound and measurable targets
based on the results from the
workshops
DTEK
Contractual Services—
Companies (72100)
USD 1,240
Metinvest
Contractual Services—
Companies (72100)
USD 900
- Produce action plans with
budgets
UNDP
Contractual Services—
Companies (72100)
USD 2,385
- Facilitate community meeting to
discuss the action plan
DTEK
Contractual Services—
Individuals (71400)
USD 480
- Disseminate action plan to the
community at-large
Metinvest
Contractual Services—
Individuals (71400)
USD 225
UNDP
Contractual Services—
Individuals (71400)
USD 795
DTEK
Facilities & Administration
(75100)
USD 466
Related CP outcome: (Area 1,
Outcome 3): Improved access to and
utilisation of quality health, education
and social services; (Area 3, Outcome
10) Government adopts policy
frameworks and mechanisms to
ensure reversal of environmental
degradation,
climate
change
mitigation and adaptation, prevention
and response to natural and manmade disasters.
2. Three (3) sets of health and
safety data
x
x
UNDP
- Survey key stakeholders about
the health and safety needs of
their communities
Gender Marker Rating and Motivation:
(3) The Project Team will conduct
gender-sensitive focus groups to
uncover the different health and
safety needs of men, women, boys
and girls.
3. Produce three (3) action plans
(one per community)
x
x
UNDP
12
13
Metinvest
Facilities & Administration
(75100)
USD 229
DTEK
International Consultants
(71200)
USD 603
Metinvest
International Consultants
(71200)
USD 430
UNDP
International Consultants
(71200)
USD 1,166
DTEK
Local Consultants
(71300)
USD 1,763
Metinvest
Local Consultants
(71300)
USD 1,057
UNDP
Local Consultants
(71300)
USD 3,180
DTEK
Travel (71600)
USD 992
Metinvest
Travel (71600)
USD 465
UNDP
Travel (71600)
USD 1,643
DTEK
UN Volunteers (71500)
USD 760
Metinvest
UN Volunteers (71500)
USD 390
SUBTOTAL
USD 20,000
TOTAL
USD 92,000
V.
MANAGEMENT ARRANGEMENTS
5.1 Project Strategic Management
UNDP will implement the project. The Project Steering Committee will help coordinate and support
the Project Team in implementing the Project.
Project Steering Committee Composition and Organization
Executive: The Executive is ultimately responsible for the project, supported by the Senior
Beneficiary and Senior Supplier. The Executive’s role is to ensure that the project is focused
throughout its life cycle on achieving its objectives and delivering outputs that will contribute to
higher level outcomes. The Executive ensures that the project gives value for money, ensuring a
cost-conscious approach to the project, balancing the demands of beneficiaries and supplier. The
Executive is responsible for the overall assurance of the project as described below. If the project
warrants it, the Executive may delegate some responsibility for the project assurance functions.
Project Organisation Structure
Project Steering Committee
Senior Beneficiary
Executive
Senior Supplier
Lugansk Oblast
Administration
UNDP
UNDP, DTEK and Metinvest
Project Assurance
UNDP
Project Manager
Project Support
UNDP
UNV
TEAM A
TEAM B
TEAM C
Local Consultants
International Consultants
Statistician and Survey
Experts
Senior Supplier: This is the group that represents the interests of the parties concerned, providing
funding and/or technical expertise to the project. The Senior Supplier’s primary function within the
Board is to provide guidance regarding the technical feasibility of the project. The Senior Supplier
role must have the authority to commit or acquire necessary resources from the supplier.
Senior Beneficiary: The group of individuals that represent the interests of those who will ultimately
benefit from the project. The Senior Beneficiary’s primary function within the Board is to help
coordinate and support the realization of project results from the perspective of project
beneficiaries.
Project Manager: The Project Manager has the authority to run the project on a daily basis. He or
she is responsible for daily management and decision-making for the project. The Project
Manager’s prime responsibility is to ensure that the project produces the results specified in this
document, to the required standard of quality and within the specified constraints of time and cost.
Project Assurance: The Project Assurance role supports the Project Steering Committee by
carrying out objective and independent project oversight and monitoring functions. This role
ensures appropriate project management milestones are managed and completed.
Team A: The project will hire local consultants to help plan and execute the project as necessary.
Team members will report to the Project Manager.
Team B: The project will hire international health and safety consultants to help plan and execute
the project as necessary. Team members will report to the Project Manager.
Team C: The project will hire statisticians and survey experts to collect and analyse data. Team
members will report to the Project Manager.
15
VI.
MONITORING FRAMEWORK AND EVALUATION
The Project Manager will produce monthly progress reports, including an end-of-project report,
based on the quality management table below.
Quality Management for Project Activity Results
OUTPUT 1: Health and safety risks of miners prioritised and corresponding action plans produced
Activity Result 1
(Atlas Activity ID)
Three health and safety risk assessments produced
Purpose
To understand the specific risks and needs of the community
Description
The Project Team will collect data through a series of interviews, surveys and
workshops in order to identify and prioritise health and safety risks faced by miners.
Start Date: 2/2012
End Date: 4/2012
Quality Criteria
Quality Method
Date of Assessment
Risk assessments produced
Copies of assessments
4/2012
Activity Result 2
(Atlas Activity ID)
Three sets of health data produced
Purpose
To establish baseline data in order to help prioritise the health and safety needs of
miners
Description
The Project Team will conduct a health survey and also collect data on health trends
and past accidents.
Start Date: 2/2012
End Date: 4/2012
Quality Criteria
Quality Method
Date of Assessment
Sets of health data produced
Records of health data
4/2012
Activity Result 3
(Atlas Activity ID)
Three action plans produced
Purpose
To prioritise community health needs and maximise available resources to address
them
Description
The Project Team will analyse the assessment reports and health data and help
produce an action plan for each community.
Start Date: 2/2012
End Date: 4/2012
Quality Criteria
Quality Method
Date of Assessment
Action plans produced
Copies of action plans
4/2012
16
VII.
LEGAL CONTEXT
This document together with the CPAP signed by the Government and UNDP which is
incorporated by reference constitute together a Project Document as referred to in the SBAA [or
other appropriate governing agreement] and all CPAP provisions apply to this document.
Consistent with the Article III of the Standard Basic Assistance Agreement, the responsibility for
the safety and security of the implementing partner and its personnel and property, and of UNDP’s
property in the implementing partner’s custody, rests with the implementing partner.
The implementing partner shall:
a) put in place an appropriate security plan and maintain the security plan, taking into account the
security situation in the country where the project is being carried;
b) assume all risks and liabilities related to the implementing partner’s security, and the full
implementation of the security plan.
UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to
the plan when necessary. Failure to maintain and implement an appropriate security plan as
required hereunder shall be deemed a breach of this agreement.
The implementing partner agrees to undertake all reasonable efforts to ensure that none of the
UNDP funds received pursuant to the Project Document are used to provide support to individuals
or entities associated with terrorism and that the recipients of any amounts provided by UNDP
hereunder do not appear on the list maintained by the Security Council Committee established
pursuant
to
resolution
1267
(1999).
The
list
can
be
accessed
via
http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm. This provision must be included in
all sub-contracts or sub-agreements entered into under this Project Document”.
17
VIII. ANNEXES
Annex 1 – Risk Log: Monitoring of Identified Risks
Annex 2 – Timeline of Events
Annex 3 – Terms of References
Annex 4 – Agreements (e.g., cost sharing agreements)
18
Annex 1 – Risk Log: Monitoring of Identified Risks
Project Title: Improving the Health and Safety of Miners in Eastern Ukraine
#
Description
1
2
3
4
Date
Identified
Type
Impact &
Probability
Countermeasures/
Management Response
Owner
Little interest
or participation
from
community
members
10/2011
Social
I:5
Include relevant
stakeholders in
meaningful ways
throughout the process
UNDP
Lack of or
inability to
access
baseline health
or safety data
10/2011
Meet with a variety of
stakeholders to ensure
that all information is
captured. Conduct
surveys and interviews
as necessary.
UNDP
Lack of buy-in
from city
officials
10/2011
Invite cities that are
interested in this
process. Have backup
communities in place or
reduce the number of
communities we work
with.
UNDP,
DTEK,
Metinvest
Lack of
financial
commitment
for
implementation
11/2012
Ensure early
engagement and
commitment from key
stakeholders, such as
DTEK, Metinvest and
national government
UNDP
P:2
Technical
I:3
P:3
Political
I:5
P:2
Financial
I:5
P:3
Submit
By
Last
Update
Status
19
Annex 2 – Timeline of Events
(This is a tentative timeline that will be adjusted as necessary.)
Month 1
1-29
Hire local and international consultants
1-29
Make arrangements for meetings in Lugansk with mayors, hospital administrators, miners and others
1-29
Local consultants begin compiling background data in each of the three cities; base data will be sent to statistician
Month 2
1-16
Continue hiring consultants, arranging meetings, and compiling data as necessary
1-16
Sign memorandum of understanding (MOUs) with cities of Krasnodon, Rovenky and Sverdlovsk (Four Project Team members
travel to Lugansk with one representative each from the Ministry of Health and Ministry of Emergencies)
16
Kiev—Consultant(s) arrive in Kiev and meet with UNDP and DTEK
17
In transit—Project Team (international consultants, PM, UNV) travels to Lugansk; then to Krasnodon
19
Krasnodon—Project Team meets with Metinvest; then, with representatives from local government, hospitals and mines
20
Krasnodon— Project Team conducts community workshops
21
Krasnodon—Project Team conducts follow up meetings as needed; then to Sverdlovsk
Month 3
22
Sverdlovsk—Project Team meets with representatives from local government, hospitals and mines
23
Sverdlovsk—Project Team conducts community workshops
24-26
Sverdlovsk— Project Team conducts follow up meetings as needed; then to Rovenky
27
Rovenky— Project Team meets with representatives from local government, hospitals and mines
28
Rovenky— Project Team conducts community workshops
29
Rovenky—Project Team conducts follow up meetings as needed
30
In transit—Project Team returns to Kiev for debrief meetings
Month 4
2-3
Consultants send final recommendations and products
4-16
Project Team finalizes action plans, documents, surveys, etc. for community reviews
17-18
Krasnodon—Project Team communicates action plan to community
19-20
Sverdlovsk—Project Team communicates action plan to community
23-24
Rovenky—Project Team communicates action plan to community
20
Annex 3 – Terms of Reference
 Health Risk Assessment Consultant
 Survey Consultant
 Local Mining and Health Expert, Rovenky
 Local Mining and Health Expert, Sverdlovsk
 Local Mining and Health Expert, Krasnodon
 Project Assistant
21
Annex 4 – Agreements
 Cost-sharing Agreement with DTEK
 Cost-sharing Agreement with Metinvest
22