list of acronyms - world bankdocuments.worldbank.org/.../rp15240p1335910box379885b00public0… ·...

Federal Democratic Republic of Ethiopia

Ministry of Water and Energy

Water Supply and Sanitation Program - WaSH II

Resettlement Policy Framework

Final

October 2013

Addis Ababa

RP1524

WaSH II - Resettlement Policy Framework

List of Acronyms

CWA Consolidated WaSH Account

EA Environmental Assessment

EBA Environmental Baseline Assessment

EIA Environmental Impact Assessment

EMP Environmental Management Plan

EPA Ethiopian Environmental Protection Agency

ESIA Environmental and Social Impact Assessment

ESMF Environmental and Social Management Framework

FPMU Federal Program Management Unit

GTP Growth and Transformation Plan

M&E Monitoring and Evaluation

MoFA Ministry of Federal Affairs

MoWE Ministry of Water and Energy

NGO Non Governmental Organization

OD Operational Directive

OP Operational Policy

OPN Operational Policy Note

PMU Program Management Unit

RAP Resettlement Action Plan

RECC Regional Environmental Coordination Committee

RPF Resettlement Policy Framework

RPMU Regional Program management Unit

UAP Universal Access Plan

WIF WaSH Implementation Framework

WB World Bank

WRDF Water Resources Development Fund

WSS Water Supply and Sanitation

WSSP Water Supply and Sanitation Program

Table of Contents

i


List of Acronyms....................................................iFigure 1: some community members consulted from different regions 14................v

Key Definitions.....................................................viExecutive Summery.................................................viii

1 Introduction.......................................................1

2 Program Description and its Potential Impacts.................................2

2.1 Program Objectives................................................22.2 Program Components...............................................3

2.2.1 Component 1: Rural WaSH.......................................3

2.2.2 Component 2: Urban WaSH.......................................3

2.2.3 Component 3: Program Management.................................3

2.3 General Environmental, Social background and Baseline........................4Geographical Overview................................................4Eco-climatic zoning of the country.........................................4Overview 4

Main environmental issues related with water in each eco-climatic zone...............5

2.4 Potential Program Impacts............................................6Water and Sanitation Systems Considered under the WSSP.........................7

Water Supply Systems...............................................7

Sanitation Systems..................................................8

Potential Impacts of Rural Water Supply Systems...............................9Beneficial Impacts of Rural Water Supply Systems.............................9

Detrimental Impacts of Rural Water Supply Systems...........................9

Potential Impacts of Rural Systems on Groundwater...........................10

Potential Impacts of Pastoral Water Supply Systems............................10Beneficial Impacts of Pastoral Water Supply Systems..........................10

Detrimental Impacts of Pastoral Water Supply Systems.........................10

Detrimental Impacts of Urban Water Supply Systems............................11Beneficial Impacts of Urban Water Supply Systems...........................11

Detrimental Impacts................................................11

Potential impacts of Sanitation Systems.....................................12Beneficial Impacts.................................................12

Detrimental Impacts................................................13

3 Consultation on the Program and Resettlement Policy Framework...................13

4 Legal and Institutional Frameworks.......................................19

ii


4.1 The Constitution of Ethiopia, 1995.....................................194.2 Ethiopian Proclamation No. 455/2005...................................214.3 Land Tenure Regime in Ethiopia.......................................244.4 Rural Land Administration Proclamation, 1997.............................244.5 Environmental Policies.............................................254.6 Institutional Arrangements for Social and Environmental Activities................254.7 World Bank Safeguard Policy on Involuntary Resettlement.....................274.8 Gaps between Ethiopian Legislations and Bank’s Policies......................29

5 Principles, Objectives, and Processes Related to Compensation and Resettlement in the WSS Program.........................................................29

5.1 Principles and Objectives............................................295.1.1 Regulatory Framework.........................................29

5.1.2 Minimization of Displacement....................................29

5.1.3 Cut-off Date and Eligibility......................................30

5.1.4 Livelihood Restoration.........................................30

5.1.5 Compensation...............................................31

5.1.6 Consultation – Grievance mechanisms...............................31

5.2 Processes......................................................325.2.1 Overview of the ESMF Process....................................32

5.2.2 Overview of the RPF Process.....................................33

5.3 Census of Affected Assets and Affected Households..........................355.4 Resettlement Action Plan............................................355.6 Work Packages..................................................35

6 Affected Assets, Affected People and Entitlements.............................35

6.1 Land 356.1.1 Estimates of Surfaces Potentially Required............................35

6.1.2 Categorization of Land Needs.....................................36

6.1.3 Land Tenure Regimes..........................................36

6.2 Other Potentially Affected Assets......................................376.3 Entitlements....................................................376.4 Resettlement and Compensation.....................................43386.5 Methods for Valuation of Affected Assets...............................4338

6.5.1 Ascertaining Eligibility.......................................4338

6.5.2 Land and Right of Way.......................................4338

6.5.3 Structures................................................4439

6.5.4 Crops...................................................4439

iii


6.5.5 Auditing and Monitoring......................................4439

6.6 Resettlement and Compensation.....................................44406.6.1 Resettlement – Land Replacement................................4440

6.6.2 Compensation.............................................4540

7 Consultation and Disclosure..........................................4540

7.1 Consultation on RAPs............................................45417.2 Disclosure Requirements..........................................46417.3 Documentation................................................4641

8 Grievance Management Mechanisms....................................4742

8.1 Potential Grievances / Disputes......................................47428.2 Proposed Grievance Management Mechanism............................4742

8.2.1 Registration of Grievances.....................................4742

8.2.2 First Instance – Amicable Settlement..............................4742

8.2.3 Appeal to Court............................................4843

9 Underserved and Vulnerable Groups of People.............................5045

9.1 Identification of Vulnerable People...................................50459.2 Assistance to Vulnerable People.....................................50459.3 Special Attention to the Needs of Underserved Groups......................5146

10 Monitoring and Evaluation..........................................5348

10.1 General Objectives of Monitoring & Evaluation.........................534810.2 Auditing and Monitoring During Implementation........................5348

10.2.1 Scope and Content..........................................5348

10.2.2 Reporting................................................5449

10.3 Evaluation.................................................544910.4 Reporting..................................................5550

11 Implementation Responsibilities and Funding..............................5550

11.1 Implementation Responsibilities...................................555011.2 Budget....................................................565111.3 Arrangements for Funding.......................................5651

Appendices.......................................................5752

Appendix 1: Framework for the Census of Affected Assets & Affected People.........5852Appendix 2: Outline of a Resettlement Action Plan...........................6257Appendix 3: Template Itemization of a RAP Budget..........................6459Appendix 4: Template of a Claim Registration and Follow-Up Form................6560Appendix 5: Template of a Consultation Meeting Minute Form...................6661

iv


Appendix 6: Relevant Laws...........................................6867

Table 1 Physical Components Considered under Rural & Urban Water Supply Sub-project…7Table 2: Potential Environmental and Social Impacts of Rural Water Supply Systems………..9

Table 3: Potential Environmental and Social Impacts of Pastoral Water Supply Systems…….10

Table 4: Potential Adverse Environmental Impacts of Urban Water Supply Systems………….11

Table 5: Potential Adverse Social Impacts of Water Supply Systems………………………….12

Table 6: Potential Environmental and Social Impacts of Sanitation Systems………………….13

Table 7: Community members consulted in their respective Woredas and Kebeles.....................14

Table 8: Estimated Land Requirements for Systems Considered Under the WSS Program.........35

Table 9: Impact / Entitlement Matrix............................................................................................37

Table 10: Implementation Responsibilities...............................................................................5550

Figure 1: some community members consulted from different regions 14

Figure 2: ESMF Process - Environmental Baseline Assessment and Environmental Review............32

Figure 3: RPF Process.........................................................................................................................34

Figure 4: Grievance / Dispute Management Mechanism................................................................4944

v


Key Definitions

Program: The WSS Program.

Sub-Program: A water supply and/or sanitation program within the WSS Program benefiting one particular rural community or one town / city.

Program-Affected Person (PAP): Any person who, as a result of the implementation of the Program, loses the right to own, use, or otherwise benefit from a built structure, land (residential, agricultural, or pasture), annual or perennial crops and trees, or any other fixed or moveable asset, either in full or in part, permanently or temporarily. Not all PAPs need to move due to the Program. PAPs may include, but not limited to:

Physically Displaced People, i.e. people subject to Physical Displacement as defined hereunder,

Economically Displaced People, i.e. people subject to Economic Displacement as defined hereunder.

Physical Displacement: Loss of shelter and assets resulting from the acquisition of land associated with the Program that requires the affected person(s) to move to another location.

Economic Displacement: Loss of income streams or means of livelihood resulting from land acquisition or obstructed access to resources (land, water or forest) caused by the construction or operation of the Program or its associated facilities. Not all economically displaced people need to relocate due to the Program.

Program-Affected Household (PAH): A PAH is a household that includes Program-Affected Persons as defined above. A PAH will usually include a head of household, his/her spouse and their children, but may also include other dependents living in the same dwelling or set of dwellings, like close relatives (e.g., parents, grandchildren).

Compensation: Payment in cash or in-kind at replacement value for an asset or a resource that is acquired or affected by the Program at the time the assets need to be replaced. In this RAP, “cash compensation” means compensation paid in cash or by cheque.

Cut-Off Date: Date of completion of the census of persons affected by the program and inventory of assets. Persons occupying the program area after the cut-off date are not eligible for compensation and/or resettlement assistance. Similarly, fixed assets established after the cutoff date are not eligible for compensation.

Resettlement Assistance: Support provided to people who are physically displaced by the Program. Assistance may include transportation, and social or other services that are provided to affected people during their relocation. Assistance may also include cash allowances that compensate affected people for the inconvenience associated with resettlement and defray the expenses of a transition to a new locale, such as moving expenses and lost work days.

vi


Replacement Value: The rate of compensation for lost assets must be calculated at full replacement value, that is, the market value of the assets plus transaction costs. The replacement value must reflect the cost at the time the item must be replaced. With regard to land and structures, “replacement value” is defined as follows:

Agricultural land: the value of land of equal productive use or potential located in the vicinity of the affected land, plus the cost of preparation to levels similar to or better than those of the affected land, plus the cost of any registration and transfer taxes;

Land in urban areas: the market value of land of equal size and use, with similar or improved public infrastructure facilities and services, preferably located in the vicinity of the affected land, plus the cost of any registration and transfer taxes;

Household and public structures: the cost of purchasing or building a new structure, with an area and quality similar to or better than those of the affected structure, or of repairing a partially affected structure, including labor and contractors’ fees and any registration and transfer taxes.

In determining the replacement cost, depreciation of the asset and the value of salvage materials are not taken into account, nor is the value of the benefits to be derived from the Program deducted from the valuation of an affected asset.

Vulnerable Groups: People who by virtue of gender, ethnicity, age, physical or mental disability, economic disadvantage, or social status may be more adversely affected by resettlement than others and who may be limited in their ability to claim or take advantage of resettlement assistance and related development benefits.

vii


Executive Summery

Program Description and Rationale for RPF

The WaSH-II program will be implemented in all the regions and the two city administrations. Each Region will have its own Water Supply and Sanitation Program, including the strategies for improving rural and urban water supply and sanitation and a detailed implementation plan. Regional water bureaus will be responsible for managing the regional urban water supply and sanitation programs, while implementation of the rural components will be under woreda responsibility.

The program has the following components:

Component 1. Rural WaSH Component 2. Urban WaSH Component 3. Program Management

This RPF will apply to the first two components of the WaSH II Program, namely (i) Urban WaSH; and (ii) Rural WaSH.

WaSH-II will contribute towards the achievements of the Growth and Transformation Plan (GTP) and the UAP targets which is reaching 98% coverage for improved water supply and 84% for improved sanitation by 2015. The total cost of meeting the targets of UAP is estimated to be around US$ 2.9 billion. The current program will finance small parts of the UAP targets by pooling resources in to a basket fund. Under the WaSH Implementation Framework (WIF) prepared by the government, all development partners will pool their resources in a Consolidated WaSH Account (CWA). The program will be implemented over a period of five years starting July 2014 and ending on May 2019.

The program will consist of multiple town/community sub-programs, which are not known in details at the current stage, thus a separate Resettlement Policy Framework (RPF) is being prepared to guide the implementation of mitigation measures related to land acquisition concerning (WaSH II Program) investment activities that may have negative social impacts. RPF describes the requirements to address social impacts from (a) land acquisition resulting from implementation of WaSH II investments that may or will result in loss of property or disturbance affecting livelihoods, and (b) restrictions of access to natural resources as per the World Bank’s involuntary resettlement policy (OP 4.12).

The RPF is complemented by a Social Assessment that assesses key socio-economic factors that require consideration; identifies vulnerable and historically underserved groups that may be exclude from the program and be adversely affected as a result, and the necessary impact mitigating measures; assesses any potential adverse social impacts of WaSH II, and determine whether the program is likely to trigger the World Bank social safeguards policies; and, recommends in the early stage of program preparation, the appropriate measures towards

viii


addressing World Bank requirements on social safeguards triggered by the program (OP/BP 4.10 and OP/BP 4.12).

While the Environmental and Social Management Framework (ESMF) addresses physical environment and social impacts and can be applied together with this RPF. The WaSH program implementers are responsible for identifying and implementing investment activities. This RPF document is to be used by all implementers of the WaSH program in order to ensure that all environmental and social safeguards are adequately addressed and that the relevant capacity and training needs are established in order for the recommended measures are implemented effectively.

This RPF has been updated based on the WaSH I Resettlement Policy Framework documents, with the Constitution of Ethiopia, Ethiopian Proclamation No. 455/2005 and with the World Bank safeguard policy in involuntary resettlement (OP 4.12).

Potential Impacts on Land, People and Livelihood

The Program will entail limited land acquisition, and therefore have overall limited impacts on land, people and livelihoods. Main activities under the WSS Program that may entail land acquisition and/or displacement are the following:

Wells and well fields, including wet well and pump house constructions;Water intakes from surface water bodies;Construction / rehabilitation of reservoirs;Development of springsRaw water treatment plants and storage facilities;Construction of access roadsWater distribution networks including pipelines, public stand taps, public water pointsConstruction of power lines and related rights-of-way;Waste water treatment plants, including treatment ponds and ancillary works.

Legal and Institutional Framework

This RPF will apply the laws, legislation, regulations, and local rules governing the use of land and other assets in Ethiopia. This legal and institutional framework is presented in six sections:

1. Political economy and governance in Ethiopia; 2. Property and land rights, as defined by Ethiopian law and customary practice; 3. Acquisition of land and other assets, including regulations over the buying and selling of

these assets; 4. Human rights and compensation, in particular, the accepted norms influencing peoples’

basic rights to livelihood and social services;

ix


5. Dispute resolution and grievance procedures, specifically the legal and institutional arrangements for filing grievances or complaints and how those grievances are addressed through formal and informal systems of dispute resolution; and

6. Comparison with World Bank OP4.12, using equivalence and acceptability standards.

Legal Background

Land rights in Ethiopia do not explicitly provide private property rights. After the Proclamations No. 31/1975 and 47/19751, ownership of land was vested in the State, and Ethiopian citizens were given various forms of use-rights (usufruct) over land and other resources. Accordingly, the 1995 Constitution Article 40(3) recognizes land as a common property of the Nations, Nationalities, and Peoples of Ethiopia and prohibits sale or any other exchange of land.

In some cases, the user of land has ownership of his/her possessions with the right to benefits from the fruits of his/her labor. This includes crops, perennial crops, tress for timber, etc. found on the land or any other permanent fixtures such as residential house, business installations, stores and fences, amongst others (Proclamations No. 31/1975 and 47/1975). The 1995 Constitution Article 40(7) reiterates and furthers this point by stating, “Every Ethiopian shall have the full right to the immovable property he builds and to the permanent improvements he brings about on the land by his labour or capital. This right shall include the right to alienate, to bequeath, and, where the right to use expires, to remove his property, transfer his title, or claim compensation for it.”

Regional states are responsible for administering land, enacting law that is in conformity with the provisions on environmental protection and federal utilization policies (Proclamation No. 89/1997 and Proclamation No. 456/2005 Article 17(1)). Additionally, ZikreHig Regulation No. 6/2002 provides for the lease holding of urban land for a specific period of time, and also regulates the lease period for different functions, grade of land and payment of lease. Lastly, the law regulates manners of expropriation of land and designates land that can be expropriated for public use without payment of compensation.

These rights over “holding land” are open-ended (no time limit on this usufruct), subject to a proof of permanent physical property, ability to farm continuously and meet administrative dues and obligations (1995 Constitution Article 40(3)). Furthermore, Proclamation No. 89/1997 confirms and details the Constitutional principle that holding rights on land can be assigned to peasants and pastoralists, and that these are to be secured from eviction and displacement. The1995 Constitutions Articles 40(4) and 40(5) provide for free land without payment for farmers and pastoralists. Lastly, Proclamation No. 80/1993 allows companies to attain access to land through auction, allocation, or lottery, similar to individuals.

1Before 1975, the 1960 Civil Code of the Empire provide for private land ownership. As this law has been overruled by these laws and Proclamation No. 455/2005 regarding compensation, it should not serve as the legal framework for resettlement.

x


Overall, the Constitution protects against unlawful seizure of property, stating “Everyone shall have the right to his privacy and physical integrity. This right shall include protection from searches of his person, his home, his property and protection from seizure of property under his possession” (1995 Constitution Article 26). “Landholder” means an “individual, government, or private organization or any…other…organ which has legal personality and has lawful possession over the land to be expropriated and owns property situated thereon” (Proclamation No. 455/2005 Article 2(3)).

Resettlement and Compensation Principles

The main principles that will apply to any resettlement and compensation activities that may be required for implementation of the WSS are the following:

General framework

The WaSH II sub projects are expected to require some land acquisition and could potentially reduce access to natural resources. WaSH II Program will, therefore, trigger OP/BP 4.12 on Involuntary Resettlement, and an RPF will be prepared and publicly disclosed before appraisal.

Accordingly, any impact of the WSS Program on land and/or people (land acquisition, resettlement, and livelihood restoration of affected people) will be addressed in compliance with the Constitution of Ethiopia, with Ethiopian Proclamation No. 455/2005 and/or Regulations No. 135/2007 and with the World Bank safeguard policy in involuntary resettlement (OP 4.12).

Minimization of displacement

In line with the World Bank safeguard policy OP 4.122, the WSS Program will minimize displacement through the following design procedures:

Wherever inhabited dwellings may potentially be affected by a component of a subprogram, the sub-program shall be redesigned (facility relocation, rerouting) to avoid any impact on such dwellings and to avoid displacement/relocation accordingly;

Wherever the impact on the land holding of one particular household is such that this households may not be sustainable in the long term, even if there is no need to physically displace this household, the sub-program shall be redesigned (facility relocation, rerouting) to avoid any such impact;

For major water works, minimization of land impact will be abated through technology selection and design criteria;

To the extent possible, program facilities will be located on public spaces; Pipelines, public taps, other linear infrastructures (power lines) required by the WSS

Program will be routed inside existing right-of-ways (roads, streets, power lines) wherever possible.

2 “Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative program designs.”

xi


Cut-Off Date and Eligibility:

In accordance with OP 4.12 and Ethiopian Regulation No. 135/2007, for each sub-program under the WSS that may entail displacement impacts, a cut-off date will be determined, taking into account the likely implementation schedule of the sub-program.

In line with OP 4.12, the following three categories of affected people will be eligible to Program resettlement assistance:

a. Those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country);

b. Those who do not have formal legal rights to land at the time of the cut-off date but have a claim to such land or assets-provided that such claims are recognized under the laws of Ethiopia or become recognized through a process identified in the resettlement plan;

c. Those who have no recognizable legal right or claim to the land they are occupying.

Livelihood Restoration:

Where people are affected by land take, the aim of resettlement will be that they should “no worse-off if not better off” after resettlement.

Compensation:

Compensation shall be paid prior to displacement; Compensation will be at replacement value.

Consultation – Grievance mechanisms: Consultation will include:

Meaningful information and consultation, before and during the compensation and resettlement process,

A specific grievance registration and processing mechanism.

Entitlements

The following table summarizes the entitlements for each category of loss:

Type of Impact EntitlementPermanent loss of land (held under rural or urban land holders)

Cash compensation for loss of land as per Ethiopian Proclamation No. 455/2005 i.e. “A rural land holder whose land holding has been permanently expropriated shall, in addition to the compensation payable (for property and improvements made on the land) be paid displacement compensation which shall be equivalent to ten times the average annual income he secured during the five years preceding the expropriation of the land”. (Art. 8 (1) of Proc. 455/2005, Art.16 (3) of Regulation 137/2007) Or Replacement by a piece of land of equal or better potential

Right-of-Way, i.e. loss of certain usage rights

Cash compensation for loss of land as per Ethiopian Proclamation No. 455/2005 Or replacement by a piece of land in compensation for the

xii


Type of Impact Entitlementrestriction of use

Temporary land take Replacement by a piece of land of equal or better potential, Or cash compensation for income lost during the period where plot was not usable by user

Loss of uninhabited structure

Cash compensation at replacement value or replacement by a structure or equal or better quality

Loss of inhabited dwelling

Resettlement in similar dwelling in a location with equal or better economic / agricultural potential

Loss of annual crop Compensation of lost harvest at market priceLoss of perennial crop Compensation of lost income for a certain period of time, to be determined

following regional/woreda practice Or Ethiopian Regulation No. 135/2007Loss of trees Compensation of lost income for a certain period of time, to be determined

following regional regulations and practice or Ethiopian Regulation No. 135/2007

(Note: more detailed instructions for compensation are included in Regulation No. 135/2007)

Other RPF Provisions

The full RPF report contains detailed provisions related with:

Monitoring and evaluation, Grievance mechanisms, Assistance to vulnerable people, Implementation arrangements and responsibilities for the different tasks involved by the

implementation of the RPF.

xiii


1 Introduction

This report is the Resettlement Policy Framework (RPF) for the Water Supply and Sanitation Program (WaSH II Program). The WaSH II sub projects are expected to require some land acquisition and could potentially reduce access to natural resources. Accordingly, WaSH II Program will trigger OP/BP 4.12 on Involuntary Resettlement. Thus, a separate RPF is prepared to guide the implementation of mitigation measures related to land acquisition and access to natural resources by WaSH II Program investment activities that may have negative social impacts. RPF describes the requirements to address social impacts from (a) land acquisition resulting from implementation of WaSH II Program investments that may or will result in loss of property or disturbance affecting livelihoods, and (b) restrictions of access to natural resources as per the World Bank’s involuntary resettlement policy (OP 4.12).

While the Environmental and Social Management Framework (ESMF) addresses physical environment and social impacts and can be applied together with this RPF. The WaSH program implementers are responsible for identifying and implementing investment activities. This RPF document is to be used by all implementers of the WaSH program in order to ensure that all environmental and social safeguards are adequately addressed and that the relevant capacity and training needs are established in order for the recommended measures are implemented effectively.

This RPF is also complemented by a Social Assessment that assesses key socio-economic factors that require consideration; identifies vulnerable and historically underserved groups that may be excluded from the program and be adversely affected as a result, and the necessary impact mitigating measures; assesses any potential adverse social impacts of WaSH II, and determine whether the program is likely to trigger other World Bank social safeguards policies; and, recommends in the early stage of program preparation the appropriate measures towards addressing World Bank requirements on social safeguards triggered by the program (OP/BP 4.10 and OP/BP 4.12). A culturally appropriate consultation with underserved communities using participatory approach was also undertaken using workshops and focus group discussion with key stakeholders to discuss the WaSH program and the key elements of the RPF. The consultation was voluntary, gender and inter-generationally inclusive and conducted in good faith.

The RPF is updated on the bases of WaSH I Resettlement Policy Framework documents, with the Constitution of Ethiopia, Ethiopian Proclamation No. 455/2005 and with the World Bank safeguard policy in involuntary resettlement (OP 4.12). Since the WaSH II sub projects are similar to that of WaSH I sub projects, it was decided to update the WaSH I RPF. The WaSH I RPF was prepared and revised at different times (December 2003 and January 2004, plus December 2006 and January 2007) by independent consultants contracted by the then Ministry of Water Resources (MoWR) and Addis Ababa Water Supply and Sewerage Authority

1


(AAWSSA), under World Bank financing. Other RPF documents, i.e. the Pastoral Community Development Program Phase III RPF and the Sustainable Land Management Program II RPF documents were also being used in updating this RPF. The WaSH II PAD was also reviewed to understand the program components and sub-components, the institutional arrangement for the implementation of the program and to identify the improvements made in the program components.

The Environmental Unit from the MoWE, the environmental and social specialists from the MoWE PMU staff members and the environmental and social consultants (who used to conduct ESIA and RAP on WaSH- I sub projects) also participated in updating this RPF. In addition, consultations with about 201 people drawn from four regional states (Oromia, SNNPR, Afar and Somalia regional states) were held during field visits to the respective Woredas and Kebeles.

The objectives of the RPF are:

Establish the WaSH II Program resettlement and compensation principles and implementation arrangements;

Describe the legal and institutional framework underlying Ethiopian approaches for resettlement, compensation and rehabilitation;

Define the eligibility criteria for identification of program affected persons (PAPs) and entitlements;

Describe the consultation procedures and participatory approaches involving PAPs and other key stakeholders; and

Provide procedures for filing grievances and resolving disputes.

2 Program Description and its Potential Impacts

2.1 Program Objectives

The proposed development objective of the WaSH II program is “Increased access to improved water supply, sanitation and hygiene services for rural and urban residents”. The program is also expected to provide improved drainage and reduce uncontrolled and unhealthy sewage flows.

WaSH-II will contribute towards the achievements of the Growth and Transformation Plan (GTP) and the UAP targets which is reaching 98% coverage for improved water supply and 84% for improved sanitation by 2015. WaSH - II will be implemented through a programmatic approach that will lead to a full sector wide approach with several development partners. Under the WaSH Implementation Framework (WIF) prepared by the government, all development partners will pool their resources in a Consolidated WaSH Account (CWA). The DFID financed and World Bank managed trust fund is a step towards cooperation and harmonization in the sector. Sufficient momentum and experience has been gathered in implementing the trust fund, and the implementation modality used for WaSH I has been adopted by other financiers including AfDB.

2


The total cost of meeting the targets of UAP / GTP is estimated to be around US$ 2.9 billion. The current program will finance part of the UAP targets by pooling resources in to a basket fund. The development partners who have shown strong desire to join the pooled fund include IDA (US$200 million), DFID (US$ 122.3 million), AfDB (US$120.7 million), and UNICEF (about US$2 million per annum). Others are expected to join at a later stage. The World Bank isto lead the management of the basket funding on behalf of the donors.

The WaSH-II program will be implemented over a period of five years starting July 2014 and ending on May 2019. The program will be implemented in all the regions and the two city administrations. WSSP and the MDTF (jointly known as WASH I) have created a conducive environment for the government's move towards a programmatic approach.

2.2 Program Components

2.2.1 Component 1: Rural WaSH

Rural Water Supply, Sanitation and Hygiene (R-WaSH):

Funding is to be provided (i) to construct community water supply schemes and institutional sanitation facilities (ii) to promote improved hygiene and sanitation practices in beneficiary communities (iii) to strengthen and sustain capacity of beneficiary woredas to effectively plan, implement and manage their R-WaSH (iv) to strengthen and sustain the capacity of beneficiary communities to effectively plan, implement and manage their water supply and sanitation facilities.

2.2.2 Component 2: Urban WaSH

Urban Water Supply, Sanitation and Hygiene (U-WaSH):

Funding is to be provided (i) to improve the water production and distribution system, (ii) to support the preparation of urban sanitation strategy and partly its implementation in beneficiary towns, (iii) strengthen and sustain the capacity of participating water boards/committees and operators to effectively manage their water supply and sanitation facilities. Works in larger urban centers with existing water supply and sanitation systems that need to be expanded or improved are to be financed through an on-lending basis, consistent with the Government’s policy on cost recovery for urban water supply and sanitation. The Water Resources Development Fund (WRDF) will be the implementing agency for these sub components, responsible for appraisal of proposed programs and monitoring and evaluation.

2.2.3 Component 3: Program Management

Program Management:

Funding is to be provided to the MoFED, MoH, MoE and MoWE to build the capacity of regional health, education and water bureau as well as Woreda WaSH offices BoFEDs and WoFED personnel and regionally-based consultants to support program implementation, refine

3


policies and program implementation arrangements, monitor and evaluate the program, equip water quality testing and training centers, improve information availability and flow.

The RPF will apply to two components of the WaSH II Program, namely (i) Urban WaSH; and (ii) Rural WaSH Sub projects.

2.3 General Environmental, Social background and Baseline

Geographical Overview

Ethiopia is located in the Horn of Africa, and bordered by Djibouti, Eritrea, Sudan, Kenya, and Somalia. The total surface area of the country is 1,110,000 km2. Altitude ranges from 4,260 m above sea level at the highest peak, Ras Deshen, to 110 m below sea level in the Danakil Depression. A large portion of the country consists of high plateaus and mountains varying in altitude between 2,000 and 3,000 meters, with a number of rivers originating from these highlands. The East African Rift Valley separates the northern and south-western highland from the south-eastern highland. In contrast with these highlands, hot and semi-arid to arid lowlands lie in the Eastern and Western parts of the country.

Eco-climatic zoning of the country

Overview

Ethiopia has a wide variety of climatic zones that mainly reflect the contrasts in altitude. It includes 6 zones, i.e. Wurch, High Dega, Dega, Weyna Dega, Kolla, Berha. The two zones highest in elevation are usually grouped into one single zone (Wurch/High Dega).

Wurch – High Dega

These areas are at altitudes 3,200 and above. They cover a total surface of 0.6% of the country, in the highest mountainous areas of Wollo, Gonder and Gojam (all in Amhara Regional State). The climate is cold, annual rainfall is in the range of 1,000 to 1,600 mm, with grassland forming most of the vegetation. These areas support less than 1% of the population, mainly active in cattle and sheep rearing. They include protected natural areas.

Dega

Dega is found between altitudes of 2,400 and 3,200 m asl, in Tigray, Wollo, Gonder, and Gojam in Amhara Regional State, and in Harrerge, Arsi and Bale in Oromiya Regional State. Rainfall is in the range of 1,000 to 2,000 mm annually, but some areas may experience erratic distribution of rains. Primary vegetation typically comprises of various species of coniferous shrubs and trees. Many springs and rivers originate in this area. This area supports about 20% of the population on 10% of the country surface, with farming systems combining subsistence and cash crops with cattle rearing.

4


Weyna Dega

This zone is found between altitudes of 1,500 and 2,400 masl, and occupies a vast majority of the surface of the western half of Ethiopia, with about 30% of the total country surface. It is home to about 70% of the population of the country. Most of the surfaces of the main four Regional States (Amhara, Oromiya, SNNP and Tigray) fall in Weyna Dega. Rainfall can vary between 800 and 1,600 mm, hence the subdivision between wet Weyna Dega, in the South West (SNNP), and dry Weyna Dega in the center and northern parts of the country. These are the most densely populated areas in the country, as they have historically been the most attractive to human settlement due to their temperate climate. The main two water sheds are those of the Abbay River (Blue Nile) and Awash River.

Kolla

Kolla zones are semi-arid areas found between 500 and 1,500 m asl, in parts of Western Tigray, Western Gonder (Amhara), in the South of Oromiya Regional State (Borena) and the North of Somali Region. Temperatures are higher than in the highlands, and annual rainfall may vary between 200 and 800 mm, with erratic distribution in time and space. As a result, the vegetation is that of a dry savanna. Human activities are pastoral, with some cultivation in the most favorable areas. The density of population is low (about 10% of the country population on 20% of the surface).

Berha

Berha corresponds to the arid lowlands found in Afar, Somali, Benshangul Gumuz, and Gambella Regional States, as well as in the western parts of Tigray and Gonder (Amhara), and in the East of Oromiya Regional State (Harrerge and Bale). The annual rainfall is usually less than 200 mm, and temperatures are high. Population density is very low (less than 5% of the country population on 40% of the surface). Agriculture is only possible where the presence of a perennial water source allows for irrigation. Otherwise, predominantly nomadic groups base their livelihoods on pastoral activities.

Main environmental issues related with water in each eco-climatic zone

Wurch – High Dega

In this eco-climatic zone, the low density of population results in few potential threats to the natural environment. However, these areas have potential for water catchment serving population located downstream in lower areas. Some environmental and social issues that will need to be addressed in the event of these high altitude areas being used for water catchment are the following:

Vulnerability of local high altitude eco-systems, Presence of protected areas, and risks implied by induced access into these areas, Erosion that may be caused by construction activities on steep slopes.

5


Dega

The population of Dega areas has increased faster than the national average in the last 20-30 years, due to influx of population from other zones. Towns are expanding in this area. However, water sources, whether ground or surface water, are generally sufficient to accommodate this increasing population without significant environmental impacts caused by water withdrawals. However, care needs to be taken on the following issues.

Conflicts between upstream and downstream users in the case of significant abstractions for urban water supply;

Potential for pollution of water courses and of ground water by deficient sanitation in urban and semi-urban areas;

Erosion that may be caused by construction activities on steep slopes.

Weyna Dega

Like in the Dega zone, Weyna Dega areas experience a steep increase of the population, particularly of the urban population, and the general inadequacy of sanitation and industrial effluent treatment result in water contamination that may affect both shallow groundwater and surface water courses. Some of the potential environmental issues related with WSS are:

Conflicts between upstream and downstream users; Contamination of shallow to medium-depth groundwater by inadequate sanitation,

especially in urban areas; Contamination of surface water by untreated discharges of industrial effluents and by

inadequate urban sanitation; Locally, over-abstraction of ground water or surface water for urban water supply; Potential for water borne diseases from inadequate drainage around water points; High solid content of surface water resulting from erosion in the water shed; Erosion caused by construction activities, in addition to the general tendency to erosion.

Kolla and Berha Areas

The main risks in these zones are in relation with the influx of nomadic and semi-nomadic population (and their livestock), or sedentary farmers from other areas, that may result from the development of permanent water points. Such water points (deep boreholes or livestock watering ponds) result in adverse environmental and social impacts in an already fragile environment, such as overgrazing and the resulting vegetation degradation, deforestation, and conflicts between settlers and pastoralists.

2.4 Potential Program Impacts

Land Impacts of Program Activities

The use of this Resettlement Policy Framework will be triggered when a proposed WaSH II Program investment needs to acquire land and people or property is disturbed. For example: a piece of land is needed and people are affected because they have houses or other permanent or

6


temporary buildings on that land; have farms, use the land for water and grazing of animals; or they otherwise have access to the land for economic, religious, residential or other purposes which will not be possible during and after the WaSH II Program investment is implemented.

Two main principles of the WSS Program are that it will be demand-responsive, and with as much involvement as possible of the beneficiary town or community in the planning, financing and implementation of their water and sanitation systems. This has the following implications on potential land acquisition and displacement impacts and on the development of this RPF:

The WSS Program will be consisting of multiple town/community sub-programs which are not known in details at the current stage, because they will be developed following the initial stages of regional team establishment and capacity building, and following a request by the town or community;

The technical components of these programs are not known either at this stage, as each town/community will be able to select their choice option among several technical possibilities, depending on the level of services they can afford, on the local water resources, and on their financial, technical and institutional capacities.

As a result, this RPF must accommodate the various sub-program technical designs that may be considered by each town or community.

Main activities under the WSS Program that may entail land acquisition and/or displacement are the following:

Wells and well fields (both hand dug and drilled); Rehabilitation of dams or reservoirs; Water intakes from surface water bodies; Raw water treatment plants and storage facilities; Water distribution networks including pipelines, public stand taps, public water kiosks

and other distribution-related facilities; Construction of power lines and related rights-of-way; Waste water treatment plants, including treatment ponds and ancillary works.

Water and Sanitation Systems Considered under the WSSP

Water Supply Systems

The following table shows, in summary, the physical components of the water supply systems likely to be considered under the WSS Program, for both rural and urban settings:

Table 7 Physical Components Considered under Rural & Urban Water Supply Sub-Programs

System Water production Water treatment and storage

Water distribution

Rural Hand-dug well None Hand-PumpDrilled well None Hand-PumpDrilled well with submersible pump

Small capacity, on-site storage and

Limited piped distribution network with a few public

7


treatment taps, or on-site distributionSpring catchment On-site storage On-site distribution or

Gravity distribution system with a few public taps

Pastoralists

Surface water catchment (run-off catchment, pond, small dam)

None None

Pastoral open well None NonePastoral drilled well with submersible pump (with generator or solar)

None On-site troughs and taps

Urban

Spring catchment Raw water treatment system and storage

Gravity distribution system

River intake (run of river) Raw water treatment plant and treated water storage

Pressure transmission and distribution system with public and private taps

River intake with existing, rehabilitated dam

Raw water treatment plant and treated water storage


Drilled well(s) with submersible pump(s)

Raw water treatment plant and treated water storage


Combination of the above Raw water treatment plant and treated water storage

Pressure distribution system with public and private taps

Sanitation Systems

Rural Systems

The WSS Program will promote the integration of sanitation with improvements to water supply. For rural sanitation, improved pit latrines will be the choice option in the vast majority of communities. However, the Program would not directly fund the construction of latrines, but build capacity and train private artisans to build them for households on a demand-supply, market-driven, basis.

Urban Systems

Individual disposal systems such as latrines and septic tanks may be applicable in fringe areas of towns, and in general where low density of dwellings allow. However, urban system will likely include, at least in bigger towns and in association with the latter individual disposal systems, a piped sewerage collection system in the core areas, with a waste water treatment plant, which may include treatment ponds where land is available or more compact plants otherwise.

8


Potential Impacts of Rural Water Supply Systems

Beneficial Impacts of Rural Water Supply Systems

Gain of time, especially for women and girls, that may be used for other, productive activities, sparetime to go to school,

Better comfort and better quality of life and domestic hygiene, Reduction in water-borne diseases such as dysentery, Capacity building and training in the community, and resulting enhancement of

organizational, financial and technical capacities of community.

Detrimental Impacts of Rural Water Supply Systems

Table 4 hereunder shows potential adverse impacts that different rural water systems may cause to the biophysical or human environment

Table 8: Potential Environmental and Social Impacts of Rural Water Supply SystemsSystem Potential Adverse Impacts

R1 - Rural Hand-Dug Well with Hand-PumpandR2 - Rural Drilled Well with Hand-Pump

The community is made dependent on a more sophisticated system that will require maintenance, organization, and finance

Water-related diseases (malaria, skin diseases …) (skin diseases?) caused by lack of drainage in the immediate surroundings of the well

Ground water contamination through the well during construction or operation

Waste material extracted from the well (hand-dug wells) or waste drilling cuttings and drilling mud (boreholes), if not disposed of or reclaimed properly

Water will have to be paid for, which may be detrimental to the poorest in the community

Land requirements for the well padR3 - Rural Drilled Well with Submersible Pump and small distribution system

Same as above, plus: Land requirements for taps and pipelines

R4 – Spring catchment with on-site storage and point of use

Water-borne diseases (malaria, skin diseases…) caused by lack of drainage in the immediate surroundings of the spring

Water will have to be paid for, which may be detrimental to the poorest in the community

Reduced water flow downstream, potential for conflict between upstream and downstream users

Temporary increase in the suspended solids content of water and impact on users downstream during construction

For springs in mountainous areas (Wurch/High Dega and Dega areas), potential for impacts to fragile ecosystems and wetlands

R5 – Spring catchment with on-site storage and distribution

Same as above, plus: Land requirements for taps and pipelines

9


Potential Impacts of Rural Systems on Groundwater

In no known situation in Ethiopia is a hand-dug well fitted with a hand-pump likely to have any long-term impact on the groundwater table, even if considered cumulatively (group of wells in a large community for instance). The maximum daily abstraction of such a well is that of the pump, which will not exceed 20 m3/day, and will usually be between 3 and 10 m3/day. This level of abstraction is always balanced by the natural recharge of the water table. The same applies to drilled wells fitted with hand-pumps.

Potential Impacts of Pastoral Water Supply Systems

Beneficial Impacts of Pastoral Water Supply Systems

Gain of productivity, due to improved animal health, and potentially improved grazing opportunities if water points are adequately located,

Gain of time, not only for women and girls but also for males who usually are within the pastoralist groups those responsible for watering the animals, which time spared can be used for other, productive activities including spare time to go to school,

Capacity building in the community.

Detrimental Impacts of Pastoral Water Supply Systems

Table 5 hereunder shows potential adverse impacts that different pastoral water systems may cause to the biophysical or human environment.

Table 9: Potential Environmental and Social Impacts of Pastoral Water Supply Systems

System Potential Adverse ImpactsR6 – Surface Water Catchment (Pond, Small Dam, Run-Off…)

Water-borne diseases (malaria) caused by standing water Potential bacteriological contamination downstream (if a water course has been

dammed to create the water point) Potential for increased animal concentration in the surroundings of the water

point, with resulting overgrazing, ecosystem and grazing resources degradation Potential for permanent human settlement of pastoralists or others Potential for social conflicts between traditional users of the area and settlers or

pastoralists coming from other areas to water their livestockR7 – Pastoral Open Well

Water-borne diseases (malaria, skin diseases…) caused by lack of drainage in the immediate surroundings of the well, which may affect both humans and animals

Ground water contamination through the well during construction or operation Potential for increased animal concentration in the surroundings of the well, with

resulting overgrazing, ecosystem and grazing resources degradation Potential for permanent human settlement of pastoralists or others Potential for social conflicts between traditional users of the area and settlers or

pastoralists coming from other areas to water their livestock

10


System Potential Adverse ImpactsR8 – Pastoral Well with Submersible Pump

Same as above, plus: The community is made dependent on a more sophisticated system that will

require maintenance, organization, and finance Water will have to be paid for, which may be detrimental to the poorest in the

community

Detrimental Impacts of Urban Water Supply Systems

Beneficial Impacts of Urban Water Supply Systems

Potential beneficial impacts of urban water supply systems are the following:

Gain of time, especially for women and girls, that may be used for other, productive activities, and resulting gains in overall economic productivity;

Better comfort, better lifestyle and domestic hygiene, Reduction in water-borne diseases such as dysentery, cholera and others, Employment opportunity both during construction and operation phases, Capacity building and training in the town, and resulting enhancement of organizational,

financial and technical capacities of town.

Detrimental Impacts

Table 10: Potential Adverse Environmental Impacts of Urban Water Supply SystemsComponent Potential Adverse Environmental Impacts (Bio-Physical)

SpringCatchment

- Disturbance to topsoil created by earthmoving works and heavy vehicle traffic at construction phase

- Reduced water flow downstream due to water abstraction, potential for conflict between upstream and downstream users related with this reduction of flow

- For springs in mountainous areas, potential for impacts to fragile ecosystems and wetlands related with the catchment (where the natural flow downstream feeds a marsh or wetland)

- Limited loss of flora and fauna

Well and well fields


- Noise, dust and vibration- Impact of ground water abstraction on ground water table level and its availability to

other users- Impact of ground water abstraction on potential changes in water salinity where there is

a complex balance within the aquifer between fresh water and salty water- Impact of the chemicals contained in the drilling fluids on groundwater quality- Limited loss of flora and fauna

Small Dam rehabilita-tion and operation


- Noise, dust and vibration

Raw Water Treatment Plants


- Potential impacts associated with reagent management and disposal- Potential impacts associated with treatment sludge management and disposal- Noise, dust and vibration at construction phase, noise and vibration at operation phase

11


Component Potential Adverse Environmental Impacts (Bio-Physical)- Loss of flora and fauna

TransmissionPipelines


- Potential leaks at operation phase with health risks associated with standing water- Dust at construction phase- Loss of flora and fauna

DistributionPipelines


- Potential leaks at operation phase with health risks associated with standing water- Dust at construction phase- Loss of flora and fauna

Public Taps - Potential leaks at operation phase with health risks associated with standing water, particularly malaria

Table 11: Potential Adverse Social Impacts of Water Supply Systems

Component

Potential Adverse Social Impacts

All systems

Land requirements at construction phase (staging areas, access roads, storage areas)Long-term land requirements at operation phase and associated potential for physical displacement and impacts on livelihoods

In areas where the distribution network is expanded, water that was previously free of charge will have to be paid for, which may be detrimental to the poorest in the community

The town water supply is made dependent on a more sophisticated system that will require enhanced organization for maintenance, revenue collection and generally management

Increase in malaria due to risks of development of standing waterImpacts on public health due to increased dust, noise, traffic accidents, and increased wastes, particularly asbestos/cement pipes

Potential impacts of Sanitation Systems

Beneficial Impacts

Potential beneficial impacts of sanitation systems are the following: Reduction in water-borne diseases such as dysentery, Reduction in the potential for outbreaks of epidemic infectious diseases such as cholera, Capacity building and training in the town or community, and resulting enhancement of

organizational, financial and technical capacities of town, Provision of employment for construction and operation.

Detrimental Impacts

Table 12: Potential Environmental and Social Impacts of Sanitation Systems

System Potential Adverse ImpactsLatrines and other - Impact on groundwater in situations where water table is shallow

12


individual sanitationSystems

- Impact of potential improper sludge disposal- Health hazards associated with inappropriate sitting of sanitation systems in relation to water supply systems- Health hazards associated with unreliable emptying services

Piped sewerage system and waste water treatment works

- Potential impact of effluent discharge on water bodies- Potential impact of effluent infiltration on soils and groundwater where infiltration is used as a disposal method- Potential impact of the handling of sludge and other sanitation- related solid waste- Increase in the number of mosquito larvae and related increase in mosquito-borne diseases, primarily malaria- Land acquisition requirements for pipelines, treatment works and other structures- The cost of the sanitation service will have to be recovered, which may be detrimental to the poorest in the community- The town is made dependent on a more sophisticated system that will require maintenance, organization, and finance

3 Consultation on the Program and Resettlement Policy Framework

As provided under WB policy OP 4.12, information and consultation on the WSS Program andResettlement Policy Framework was organized as follows:

This RPF has been updated by the Ministry of Water and Energy environmental specialist in consultation with the World Bank country office staff members. The Environmental Unit from the MoWE, the environmental and social specialists from the FPMU staff and the environmental and social consultants (who used to conduct ESIA and RAP on WaSH- I sub projects) have also been participated.

In order to ensure the acceptance of the RPF by communities and woreda local government; public consultations were also conducted in seven kebeles and four woredas which was randomly selected from Ethiopian Somali region, Afar, Oromia and Southern nation, nationality and peoples region. Consultation with communities using participatory approach was undertaken using focus group discussion with key stakeholders to discuss the WaSH program and the key elements of the RPF. The consultation was voluntary, gender and inter-generationally inclusive and conducted in good faith. The consultation was aimed at exploring and soliciting feedback from communities on key elements of the RPF, particularly, the procedures and implementation arrangement, land compensation/entitlement matrix, dispute resolution and grievance procedures, monitoring and evaluation processes. The detailed report of consultations is presented as follows:

Table 13: Community members consulted in their respective Woredas and Kebeles

S/N Region Woreda Kebele Male

Female Total

1 Oromia Adami Tulu Jidu Kombolcha

Abine Germama 22 8 30Ananoshesho 13 13 26

2 SNNPR Meska Debube Shershera 30 24 54

13


3 Afar Amibara Andido 24 21 45

4 Somalia Kebere Beyah Kebere Beyah 10 4 14Hare 5 17 22

Jigjiga Carbikebek 6 4 10Total 4 5 7 110 91 201

From Abine Germama Kebele Ananoshesho Kebele Hare Kebele

Kebere Beyah kebele From Andido Kebele

Figure 1: some community members consulted from different regions

Consultation Approaches

The draft RPF was circulated to all relevant institutions (e.g. environmental unit in the MoWE, World Bank, and others as appropriate) for comments. Consequently, comments were incorporated into this RPF, together with WB comments. The consultation meetings which were held in the seven kebeles and four woredas were facilitated by the Woreda Water and Mine Office Managers and expertise of each respective region. Public consultation was conducted by the MoWE environmental and social specialists. The following strategies were used to organize the meetings:

The MoWE environmental and social specialists have made detail discussions with each Woreda Water and Mine Office Managers and expertise (with prior notifications to them)

The meetings with communities at each Kebele level were facilitated by expertise from each respective Woredas and, were technically supported by the MoWE environmental and social specialists

The invitation for public consultation meetings for entire members of respective kebeles were announced and facilitated by each respective Woreda expertise. Cultural leaders, community elders, landholders (who might be affected during the WaSH II program

14


implementation process), women, youths and vulnerable groups of peoples were invited to participate in the community consultation processes.

Accordingly, all community social classes such as, religious and clan leaders, women, the vulnerable and underserved groups, elders and youths were participated in the community consultation meetings.

Consultation meetings were headed by the MoWE environmental and social specialists followed by translation assistance by each respective woreda expertise.

Issues Discussed during Consultation

The community members generally reflected on the beneficial impacts of the WaSH program. However, communities and expertise have insistently described that shortage of safe water for drinking is a very critical problem, particularly in the rural parts of Ethiopia. Communities and expertise from Oromia, SNNPR and Afar regional states were also revealed that the natural contamination of the ground water by fluoride is a very serious issue and is a big challenge for safe drinking water supply. This is consistent to the study made by Tekele-Haimanot et al.

According to the study made by Tekele-Haimanot et al. (1987), the region of Ethiopian Rift Valley varies between 500 and 1,800 meters above sea level, and is hot and dry with an average temperature of 23°C (ranges from 15°C to 38°C). In most parts of this region, ground water contains very high concentrations of naturally occurring fluoride, well in excess of the WHO’s recommended guideline value, and fluorosis is an endemic health problem including skeletal fluorosis. Dental fluorosis is found in more than 80 per cent of sampled children in the Ethiopian Rift Valley Region. The maximum prevalence is seen in the 10–14 years old age-group and 32 % of the children showed severe dental mottling. Ethiopian Rift Valley Region covers all or parts of Afar, Oromia and the Southern Nations, Nationalities and Peoples Regions (SNNPR). Groundwater sources tested in Oromia Region have excessive fluoride concentrations as compared to 30% in SNNPR and 12% in Afar Region.

Similarly, from all randomly selected and visited kebeles; community and woreda representatives have reiterated that access for safe water supply is a very critical problem. Specially, Andido,s Woreda administrator from Afar region, described the seriousness of water supply problem in their region by saying “it is a member of our family”. The community and woreda representatives from this region have also described that the hot climatic condition in their region exacerbates the water supply problem. By the time this visit is conducted, the consultation team has observed that, from the seven visited kebeles, only Debube Shershera from SNNPR and Ananoshesho kebele from Oromia regional states have access for safe water supply. However, because of the higher fluoride content of the ground water (about 6 mg/l), the community in the Ananoshesho kebele is using a defluoridation plant installed by a local NGO called Oromia Self Help Organization (OSHO). Communities from other kebeles have revealed that they are supposed to travel 10 to 30 kilometers to purchase drinking water (3 to 30 Ethiopian Birr per 20 liter) from the nearby small towns. Community representatives from Abine Germama

15


kebele of Oromia region was also revealed that their existing water supply scheme is not used for drinking purpose because of its higher fluoride content; while the existing water supply schemes of Andido and Kebere Beyah kebeles from Afar and Somalia regions, respectively, were not functional. On the other hand, Hare and Carbikebek kebeles, both from Somali regional state, does not have water supply schemes at all. In addition, community and woreda representatives from all visited kebeles, have revealed that there is very limited capacity at all levels to properly manage their water supply schemes.

The following key elements of the RPF and the program were also discussed during the public consultations, including land acquisition and compensation, entitlement matrix, institutional arrangement, grievance redressing mechanism, monitoring and evaluation and other general features of the program, to seek broad community support.

During consultation meetings, the MoWE environmental and social specialists briefed the participants on the aim of RPF and why it triggers OP 4.12 World Bank safeguard policy on land acquisition; the procedures and implementation arrangements of RPF as it relates to land acquisition, compensation and reduced access to natural resources and the issues of participation and sharing benefit by vulnerable groups or underserved people. After the brief introduction, followed by translation by the woreda expertise, the community openly expressed their views and the outputs of the public consultations are presented as follows.

Land Acquisition and Compensation

With respect to land acquisition and compensation and reduce access to natural resources that might result because of involuntary resettlement in the course of WaSH II program implementation processes, the participants from Somalia and Afar regions have explained that land acquisition will not be a problem in our region as there are plenty of unoccupied communal grazing land. Hence, compensation will not be an issue as the small sizes of plots of land required for the development of the sub projects is quite insignificant as compared to the available large sizes of communal grassing land in our region. In relation to the above, during community consultation, the people who participated on consultation meetings were asked if they knew ‘What process will be followed if WaSH II investment program needs to acquire land and people or property is disturbed or when there is a possibility that it would affect access to natural resources by pastoral and agro-pastoral communities’. Accordingly, the meeting participants expressed that adverse impact of the WaSH sub program would be limited because land is communal and plentiful; access to natural resources (including land) was mostly communally managed according to intricate traditional systems.

However, participants from Oromia and SNNP regional states have explained that it is a rare case to find free plots of land, and land is the most precious and valuable asset in our region. Yet, the size of land required for the development of the sub projects is very small as compared to the size of land each individual possess. Nonetheless, if larger size of land is required only from one

16


or two individuals and, if the corresponding impact is higher, the PAPs will get appropriate compensation either in kind or in cash; i.e. the community is ready to share both the negative and positive impacts of the sub projects among themselves. In addition, there is a trend to assign the PAPs either as a guard or an operator of the developed schemes, and this would give an additional job opportunity for the PAPs.

In the whole, the communities from the seven woredas of their respective regions have invariably explained that the land acquisition related impacts that could happen as the result of the development of the sub projects is tolerable, manageable and is insignificant as compared to its enormous positive impact. Moreover, they expressed their strong desire to fully participate in the development of the sub projects, provided that their respective kebeles have got the opportunity for the World Bank financed WaSH program.

However, it was explained that the issues of land acquisition need closer attention so that nobody will be treated badly and be impacted negatively on livelihood activities and it will be done in culturally appropriate manner and acceptable to the PAPs. The MoWE environmental and social specialists explained that the Ethiopian constitution gives the right of ownership of land to the public /state. Individual citizens are given the right to use the fruit of labor expended on the land. Therefore, it is not possible to take any individual land or communal land for public development without adequate compensation. They also have explained that, if individual lands are given voluntarily the compensation are not needed but if the individual land are taken involuntarily for public investment the affected peoples should be compensated. In the same way, the community emphasized that the land is scarce resource that every members of community should give due attention. They also appreciated the purpose of RPF regarding land acquisition and compensation. Moreover, they promised to donate land freely for program activities because of the value they placed on the program. Finally the community has underlined on the following points:

The community reached consent that in case of using the private owned land for the development purposes; the loser is expected to be compensated based on available proclamation and the processes indicated in the RPF.

In Afar and Somalia regions, the community revealed that most of the lands are communally owned and managed by the clan; hence the issue of compensation will be very unlikely.

Almost all of them agree that land supply for such small development investment hasn’t been an issue of concern until recently. They have convinced that the preparation of RPF under WaSH II allows for due care to ensure that there is no unlawful pressure/coercion exerted upon voluntary land donors in the process of obtaining community land agreement or ensure that involuntary resettlement and land acquisition is avoided or where it is necessary, is minimized.

They believe that holders donate their land voluntarily, it is not because they have plenty

17


of land, but it’s due to the fact that they think for the benefit of the society at large. The land taken for the construction of a given subprogram activity must undergo the

process of consultation with the individual land holder or from communal land and if the land is given voluntarily, compensation will not be an issue. However, compensation should be given to affected people if the land taken / loss asset without full agreement of the affected people.

The other major view clarified in the consultation was that, the fear of involuntary displacement of individuals from their private property is very unlikely as there is relatively ample communal land in the area.

Entitlement Matrix: - The informants knew that the people of Ethiopia are given the right to improved living standards and sustainable development and the right to be consulted with respect to policies and programs affecting their communities (1995 Constitution Articles 43(1) and 43(2)). Additionally, all international agreements and relations by the State must protect and ensure Ethiopia’s right to sustainable development (1995 Constitution Article 43(3)). Lastly, the 1995 Constitution Article 44 guarantees the right to a clean and healthy environment.

The 1995 Constitution Article 40(8) provides that “without prejudice to the right to private property, the State may expropriate private property for public use with the prior payment of adequate compensation.” The participants of the consultation meetings openly expressed that they are aware of the fact that persons who have been displaced or whose livelihoods have been adversely affected by a State program are provided, under the 1995 Constitution Article 44, to some form of compensation for their loss. Furthermore, they highlighted the provision of proclamation No. 455/2005 indicates program affected persons would be represented in the valuation and compensation Committee. They accepted the entitlement matrix as being fair.

Institutional Arrangement: During consultations the participants were asked whether they knew how the program would be implemented and the implementers of the program. The participants said that WASH is community program in which the communities are main actor involved in the implementation processes. They have mentioned that they know regional and woreda level institutions and their responsibilities. Informants accepted the implementation arrangement as indicated in RPF concerning compensation of the affected peoples.

Participatory monitoring and Evaluation:- Informants expressed that communities are regularly holding discussion, follow up day to day evaluation of the implementation of the sub program. Besides, the communities contribute cash and labor /local materials for the implementation of sub projects. Furthermore, they stressed that planning process should be inclusive and allow vulnerable people to communicate their concerns throughout planning and implementation, and recommended measures to ensure that such vulnerable groups or underserved groups and women are adequately represented. The MoWE environmental and social specialists promised the participants that their views expressed during public consultations

18


will be properly addressed in the preparation of RPF/RAP and design of the program.

Grievance Redressing Mechanism:-The informants said that at the woreda level, the committee is expected to be organized (as outlined in the RPF and proclamation No. 455/2005) from different sector offices and community representatives particularly from the woreda council, land and environment, agriculture, community elders, water committee members and PAPs. The participants of the consultation meetings said that due to the highest value and importance of the WASH program in a number of cases, appeals and grievances from individual households are very unlikely. Furthermore, they emphasized the importance of the woreda grievance redressing committee to handle any complaint that may arise in relation to program and ensure adequate representation of vulnerable groups or underserved areas and women in the program planning and implementation process

Vulnerable and underserved groups: With respect to the benefit of the vulnerable and underserved groups from the WaSH program, both woreda and community representatives from their respective regions have confirmed that, regardless of one’s financial ability to afford water fees, everyone get equal services from the existing water supply schemes and there will not be any special reason that precludes the vulnerable and poor people’s from benefiting the upcoming WaSH program. In particular, woreda and community representatives from the Somalia region have explained that “let alone water; the pocket money that belongs to someone belongs to everyone else i.e. in our culture whatever one have is supposed to share for everyone else”.

In the whole, the draft RPF, as per the requirement of OP 4.12, has been consulted with stakeholders drawn from governmental and non-governmental organizations and feedback obtained from the consultation has been incorporated.

4 Legal and Institutional Frameworks

4.1 The Constitution of Ethiopia, 1995

The Constitution was issued in 1995 through a proclamation No. 1/1995. The Constitution has an exclusive article on the environment and therefore states in its Article 44 Sub Article 1 that: “All persons have the right to live in a clean and healthy environment.” Furthermore, concerning compensation to program affected persons (PAPs), Sub Article 2 provides that: “All persons who have been adversely affected or whose rights have been adversely affected as a result of state programs have the right to commensurate monetary or alternative means of compensation, including relocation with adequate state assistance. ″

On the other hand, regarding public consultation and participation, in Article 92 Sub Article 3, it states that: “People have the right to full consultation and to the expression of views in the planning and implementation of environmental policies or programs that affect them directly.”

Protection of the Right to Private Property

19


Article 26 of the Constitution states that “Everyone shall have the right to his privacy and physical integrity. This right shall include protection from searches of his person, his home, his property and protection from seizure of property under his possession.”

Ownership of Land and or Immovable Assets Built on Land

The Constitution of Ethiopia, under Article 40, makes a clear distinction between: Land , an inalienable common property of the nations, nationalities and peoples of Ethiopia

(“the right to own rural and urban land as well as natural resources belongs only to the state and the people”, and

Immovable property built on the land : “Every Ethiopian shall have the full right to the immovable property he builds on the land and to the improvements he brings about on the land by his labour or capital”.

The State owns all Ethiopian land, both rural and urban. However, the Constitution recognizes usage rights, especially in the rural areas (“the right of Ethiopian peasants to free allotment of land and not to be evicted there from is guaranteed”), and full ownership over developments or improvements built on State land. This includes the right to alienate developments, to remove them, or claim compensation for them.

Expropriation and Resettlement

Provisions

Under Article 40, the Constitution provides that “without prejudice to the right to private property, the State may expropriate private property for public use with the prior payment of adequate compensation”. The use of the words “prior” and “adequate”, in line with the Universal Declaration of Human Rights, is of particular significance in the Ethiopian context.

Under Article 44, the Constitution states that “Everyone who is uprooted from the place of his residence by virtue of programmes undertaken by the Government, or one whose livelihood has been affected shall have the right to receive adequate monetary or other alternative compensation, including transfer, with assistance, to another locality.”

Comments

In contrast with the laws of most countries, which provide only for sheer monetary compensation and do not mention resettlement as an option, the Constitution of Ethiopia provides for either compensation or resettlement. The eligibility for compensation/resettlement is broad as it encompasses “one whose livelihood has been affected”. Ethiopia can be regarded in this respect as one of very few countries in the world to have a livelihood-oriented legal approach to compensation/resettlement, rather than the usual asset-oriented approach. This is all the more notable since it is, in this respect, fully consistent with World Bank policies on involuntary resettlement that consider both impacts on livelihoods and impacts on assets as the basis for eligibility to assistance for resettlement.

20


4.2 Ethiopian Proclamation No. 455/2005

General Overview

Land rights in Ethiopia do not explicitly provide private property rights. After Proclamations No. 31/1975 and 47/19753, ownership of land was vested in the State, and Ethiopian citizens were given various forms of use-rights (usufruct) over land and other resources. Accordingly, 1995 Constitution Article 40(3) recognizes land as a common property of the Nations, Nationalities, and Peoples of Ethiopia and prohibits sale or any other exchange of land.

In order to improve the previous conditions for estimating compensation payments, the government has prepared a new proclamation in July 2005 on the “Expropriation of landholding for public purposes and payment of Compensation” Proclamation No. 455/2005 .The objective of the proclamation was to define the basic principles that have to be taken into consideration in determining compensation to a person whose landholding has been expropriated. The proclamation indicated certain procedures to be followed during the expropriation of landholdings.

Pursuant to Article 14(1) of this Proclamation, with a purpose of not only paying compensation but also to assist displaced persons to restore their livelihood, "Payment of Compensation for Property Situated on Landholdings Expropriated for Public Purposes Council of Ministers Regulations No. 135/2007" has also been issued on the 18th of May 2007 (for detailed information please refer both the proclamation and regulation documents).

Power to expropriate Landholding:

Woreda or an urban administration shall up on payment in advance of compensation, have the power to expropriate rural or urban holdings for public purpose where it should be used for a better development programs to be carried out by public entities, investors.

Notification of expropriation order:

In this context the landholders will be notified in writing, when they should vacate and the amount of compensation to be paid to them. The period of notification to be given shall be determined by directives, it may not, in any way, be less than 90 days. The landholder shall handover the land to the Woreda or urban administration within 90 days from the date of payment of compensation.

The responsibility of implementing Agency:

The implementing agency shall have responsibilities to:

Prepare detail data pertaining to the land needed for its works and send same, at least one year before the commencement of the works and to the organs empowered to expropriate land,

3 Before 1975, the 1960 Civil Code of the Empire provide for private land ownership. As this law has been overruled by these laws and Proclamation No. 455/2005 regarding compensation, it should not serve as the legal framework for resettlement.

21


Pay compensation in accordance with this proclamation to landholders whose holdings have been expropriated.

Basis and Amount of Compensation:

As per Article 7 of the Proclamation, the amount of compensation is based upon certain conditions that include:

The landholder whose holding has been expropriated shall be entitled to payment of compensation for his property situated on the land and permanent improvements he made to such land;

The amount of compensation for the property shall be determined on the basis of replacement cost of the property, and if it is in urban area, it may not, in any way, less than the current cost of constructing a single room low cost house.

Compensation for permanent improvement to land shall be equal to the value of capital & labour expended on the land; and costs of removal, transportation and erection shall be paid as compensation for a property that could be relocated & continue its services as before.

Displacement Compensation:

It has been also indicated in the Proclamation Article 8, that the displacement compensation shall be paid within the following condition:

a. A rural landholder, whose landholding has been permanently expropriated in addition to section 3.2.4 above, be paid displacement compensation which is equivalent to ten times the average annual income he secured during the five years preceding the expropriation of the land.

b. A rural landholder or holders of communal land whose landholding has been provisionally expropriated shall, in addition to section 3.2.4 above, be paid until repossession of the land, and also for lost income based on the average annual income secured during the five years preceding the expropriation of the land, however, such payment shall not exceed the amount of compensation payable under the above article (article 8 (a) above).

c. If Woreda administration confirms that a substitute land which can easily be ploughed and generate comparable income is available for the holder, the compensation to be paid as mentioned above shall only be equivalent to the average annual income secured during the five years preceding the expropriation of the land.

d. For urban landholder whose holding has been expropriated shall be provided with a plot of urban land, and be paid displacement compensation equivalent to the estimated annual rent of the demolished dwelling house.

e. For the business houses to be demolished, mutatis mutandis shall apply. f. When an urban land lease holding is expropriated prior to its expiry date, the lease holder

shall, in addition to the compensation referred to under article 7 section 3.2.4 above, be

22


provided with a similar plot of land to use it for the remaining lease period. The leaseholder shall also be allowed to use the new plot of land for a longer period if its rent is less than the former land, or if the holding did not want to take the land he can take the remain rent payment.

Valuation of Property

Certified private or public institution or individual consultants on the basis of valuation formula presented in the Regulation No. 135/2007 shall carry out the valuation of property situated on land to be expropriated.

The proclamation has also indicated who should be committee members during valuation of properties to be affected, and stated as follows, the Woreda administration where the land to be expropriated is located in rural areas, shall assign a committee of not more than five experts having the relevant qualification and if the land is located in urban area, the urban administration shall do the same for valuating property. If the land to be expropriated requires specialized knowledge and experience, a separate committee of experts to be designated by the Woreda or urban administration shall value it.

Complaints and Appeals in Relation to Compensation Payments

As per this proclamation, the grievance redressing mechanism is dealt as follows:

In rural areas and in an urban center where an administration organ to hear grievances related to rural or urban holdings is not yet established, a compliant relating to the amount of compensation shall be submitted to the regular court having jurisdiction.

If the holder is dissatisfied with the amount of compensation, complaints might be lodged to administrative organ established to hear grievances related to urban landholdings.

The above organ shall examine the complaint and give its decision within short period of time, as specified by directives issued by the region.

The party dissatisfied with the decision rendered above may appeal to the regular appellate court or municipal appellate court within 30 days and it will be the final decision.

The execution of an expropriation order may not be delayed due to a complaint regarding the amount of compensation.

Powers, Duties and Responsibilities of MoFA, Woreda and Urban Administrations

In the course of implementing the proclamation, the Ministry of Federal Affairs has duties and responsibilities to follow up and ensure that the provisions of the proclamation are complied with in a region, give technical & capacity building support to regions, and prepare in collaboration with other federal government, national valuation formula for the determination of compensation

23


payable under this proclamation, and submit same to the council of ministers for approval.

While the Woreda & Urban Center Administrations have the responsibilities & duties, to pay or cause the payment of compensation to holders of expropriated land & provide them with rehabilitation support to the extent possible and maintain data of properties removed from expropriated landholdings.

4.3 Land Tenure Regime in Ethiopia

As mentioned above, rural and urban land belongs to the State. In an attempt to build more confidence in land tenure, the Constitution states that “The right of Ethiopian peasants to free allotment of land and not to be evicted therefrom is guaranteed.”

Several regional states (including Amhara and Tigray) are now building on the constitutional provisions to improve security of tenure, albeit within the general framework of State ownership of land. Leases are being introduced, that would guarantee lessees a long-term right of usage.

Where leases are concluded between a regional administration and peasant farmers, it does not seem that these leases are reflected in any cadastral documentation (including maps) kept at woreda or region level.

In general, however, the Land Policy of Ethiopia strongly supports that programs plans must include attractive and sustainable resettlement strategies to the people who are going to be displaced as a result of the development plan, and they have to be fully convinced, compensated and have to participate in all phases of the program implementation. It is the right for existing land owner to be compensated fully and satisfactorily if land is expropriated by the state.

4.4 Rural Land Administration Proclamation, 1997

Proclamation N° 89/1997 “Federal Rural Land Administration Proclamation” establishes the following:

It confirms the Constitution principle that land is a common property of the Nations, Nationalities and Peoples of Ethiopia, and that it cannot be subject to sale or exchange;

It establishes the principles of rural land administration, which is devolved to the Regions; It recognizes the lawfulness of “holding rights” 4 over land;

It confirms and details the Constitution principle that holding rights on land can be assigned to peasants and nomads, and that these are to be secured from eviction and displacement;

It provides various details with respect to redistribution of land, including that this redistribution is a Region responsibility

It establishes the possibility for Regions to perceive fees for the use of land and forest.

4.5 Environmental Policies44“Holding rights” are defined as “the right any peasant shall have to use rural land for agricultural purposes as well as to lease and, while the right remains in effect, to bequeath it to his family members, and includes the rights to acquire property thereon, by his labour or capital, and to sell, exchange or bequeath same”.

24


Environmental regulations and policies are reviewed in detail in the ESMF document. They also contain some provisions relevant to resettlement. Particularly, EIA guidelines developed in 2000 by the Federal Environmental Protection Agency stipulate that any program that entail the displacement/resettlement of more than 100 families fall under Schedule 1 as per EIA guidelines, which means that they have to submit a full EIA.

4.6 Institutional Arrangements for Social and Environmental Activities

Ethiopia is divided into 9 regional states; namely: Afar, Amhara, Benshangul-Gumuz, Oromya, Gambella, Southern Nations, Nationalities and Peoples (SNNP), Somali, Tigray, and Harari. In addition to these 9 regions, two cities are governed by autonomous councils, Dire Dawa and Addis Ababa.

The proposed project implementation arrangements follow what has been indicated under the WIF. Accordingly, the program will be implemented by Ministries of Water and Energy, Health and Education at federal level and their respective bureaus and offices at the regional and woreda levels. These latter institutions have been strengthened to deliver services at decentralized level. More decentralized decision making authority has been granted for regions, woredas and communities, upon demonstration of adequate capacity. The approach of providing more decision making authority to decentralized level will be adopted by the program.

Federal and Regional WaSH Program Management Units will be established within an appropriate Directorate in each of the 3 sector Ministries and MOFED as well as within an appropriate Department/process owner in each of the 3 sector Bureaus (Water, Health and Education) and Finance and Economic Development Bureau (BoFED),

The WaSH-II structures established at each level will be responsible for oversight and guidance of the program while the WaSH-II coordination office at federal and regional level will be responsible for coordination among WaSH ministries, bureaus and offices at each level.

At federal level, the Environmental Protection Authority is in charge of issuing policies, directives and standards, and of enforcing the laws and policies, including on EIAs and environmental monitoring, for all programs or activities that fall under the control of the Federal Government.

Each of the main federal agencies active in infrastructures or economic development is required by law to have its own environmental unit. The MoWE is one of few federal agencies to indeed have an Environment Unit with a full mandate to review and approve environmental and social screening, RAP and ESIA study documents. According to the Environmental Protection Organs Proclamation, the Regional States are to create their own Regional Environmental Agencies. These are to deal, amongst others, with EIAs for regionally managed infrastructure or development activities.

Ministry of Water and Energy (MoWE): The MoWE would be responsible for overall coordination and monitoring and evaluation of the program, facilitation of capacity building, and

25


policy formulation. Capacity building will include full time specialists in social and environmental assessments review and monitoring and evaluation.

Water Resources Development Fund (WRDF): The Water Resources Development Fund will be responsible for managing and monitoring the Federal Government’s on-lending program for urban WSS sub-programs. Fund personnel will appraise all water supply facilities for which it arranges financing, including a review of baseline surveys and environmental management plans.

Regional Water Bureaus (RWBs): Regional Water Bureaus will be primarily responsible for program planning, management and overall coordination within each region. Qualified managers and staff will be responsible for management of their urban and rural programs, financial management, internal audit, procurement and contracting, capacity building, social/environmental assessment, and monitoring and evaluation. Regions would assign point persons for each of these specialist areas to participate in facilitated discussions, share experiences in the region, raise issues and discuss possible solutions, and ensure lessons learned are incorporated into regional programs. The Regional Water Bureaus play a crucial role in the tripartite arrangement between government, consultants, woredas and towns, in pre-qualifying and training regionally based consultants, assisting the woreda and town water boards to secure and supervise the work of the consultants including environmental assessments, and in appraising woreda programs and village/town facilities and management plans (including related designs and social/environmental management and resettlement plans). The assigned/recruited environmental and social personnel will also be responsible in conducting environmental and social screening, monitoring and following up of the implementation of the proposed mitigation measures for each sub projects found in their respective regions.

Regional EPA: Regional EPA is also expected to review and approve ESS, RAP and ESIA documents, and oversee the safeguard component of the WaSH II sub projects. They will carry out spot checks of town and village programs to confirm that environmental and social screening and environmental management plans are properly done. They will also advise the RWBs sub-programs involving impacts beyond the generic issues, determining if the mitigation measures are acceptable or program redesign is required.

Woreda: Woreda will be responsible for planning and managing their own RWSS Programs, including financial and procurement management, appraisal of community facilities and management plans including related designs and social/environmental management and resettlement plans, and monitoring and evaluation. They are also responsible to earmark budget and properly implement mitigation measures proposed by the general ESMP, ESS, RAP, ESIA and ESM study documents.

Town Water Boards and Utilities (TWBUs): will be responsible for planning and managing their water supply systems. The Water Board would contract and supervise a local operator to handle routine operations and maintenance and secure professional services to assist them to improve efficiency and expand their system over time. With the same token to Woredas, TWBUs

26


are also responsible to allocate budget and properly address mitigation measures proposed by the general ESMP, ESS, RAP, ESIA and ESM study documents for their respective subprograms.

Community Water and Sanitation Committees: Water and Sanitation Committees will act on behalf of the community in planning and managing their water supply and sanitation facilities. Each Community Water supply and Sanitation Committee will be responsible for facilitating participatory planning and ensuring that implementation of mitigation measures are carried out.

The key institutional actors involved in resettlement are the local governments of Ethiopia at the woreda and kebele levels. This is in line with the Government’s policy of decentralization. For the purposes of this RPF, the Program will also establish ad hoc committees as follows:

Committee RepresentativesWoreda Resettlement and Compensation Committee

Woreda Administrator or Deputy (Chair) Head of Woreda Office of agriculture Head of Woreda Office of water and mining Head of Woreda Office for Environmental Protection and Land Use

Administration (if the structure is available at woreda level) Representatives from PAPs and local community

Kebele Compensation Implementing Committee

Kebele Administrator (Chairperson); Head of Woreda Office of agriculture Development Agent (WaSH sub program implementers); Representatives from PAPs; Village elder or clan leader;

4.7 World Bank Safeguard Policy on Involuntary Resettlement

OP 4.12 “Involuntary Resettlement” is to be complied with where involuntary resettlement may take place as a result of the program; it includes requirements that:

Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative program designs.

Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the program to share in program benefits. Displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs.

Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of program implementation, whichever is higher.

According to OP 4.12, the resettlement plan or resettlement policy framework should include measures to ensure that the displaced persons are:

27


Informed about their options and rights pertaining to resettlement; Consulted on, offered choices among, and provided with technically and economically

feasible resettlement alternatives; and Provided prompt and effective compensation at full replacement cost (see “Definitions”

in chapter 1) for losses of assets attributable directly to the program. If the impacts include physical relocation, the resettlement plan or resettlement policy

framework includes measures to ensure that the displaced persons areProvided assistance (such as moving allowances) during relocation; andProvided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the old site.

Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also includes measures to ensure that displaced persons are:

Offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living; andProvided with development assistance in addition to compensation measures, such as land preparation, credit facilities, training, or job opportunities.

Under its safeguard policy, the World Bank does not disburse against cash compensation and other resettlement assistance paid in cash, or against the cost of land (including compensation for land acquisition). However, it may finance the cost of land improvement associated with resettlement activities.

The practical implication of this provision is that wherever land or structures have to be compensated for; this has to be financed by the borrower.

4.8 Gaps between Ethiopian Legislations and Bank’s Policies

Squatters or Illegal Settlers

Ethiopian law makes no specific accommodation for squatters or illegal settlers. This RPF, therefore, applies to those with ill-defined or no title to the land, regardless of their legal status (for detail information please refer § 4.1.3, Eligibility).

Vulnerable Groups

28


Ethiopian law does not also make any specific provisions for potentially underserved and vulnerable groups such as; women, children, the elderly, ethnic minorities, the landless, and those living under the poverty line. Accordingly, the RPF provides special attention to the needs of vulnerable groups among the PAPs (see chapter 9, Underserved and vulnerable peoples).

Additionally, there is no clear provision for relocation assistance, transitional support, or the provision of civic infrastructure under Ethiopian law. Finally, there is also no provision in the law that the state should attempt to minimize involuntary resettlement. However, this appears to be implicit in the country’s Constitution.

Otherwise, Ethiopian requirements are generally consistent with the World Bank policies. Where there is a difference between OP 4.12 and Ethiopian law, the higher standard shall prevail.

5 Principles, Objectives, and Processes Related to Compensation and Resettlement in the WSS Program

5.1 Principles and Objectives

5.1.1 Regulatory Framework

Any impact of the WSS Program on land and/or people (land acquisition, resettlement, livelihood restoration of affected people) will be addressed in compliance with the Constitution of Ethiopia, with Ethiopian Proclamation No. 455/2005 or Regulation No. 135/2007, and with the World Bank safeguard policy in involuntary resettlement (OP 4.12).

5.1.2 Minimization of Displacement

In line with the World Bank safeguard policy OP 4.125, the WSS Program will minimize displacement through the following design procedures:

Wherever inhabited dwellings may potentially be affected by a component of a sub-program, the sub-program shall be redesigned (facility relocation, rerouting) to avoid any impact on such dwellings and to avoid displacement/relocation accordingly;

The same applies to structures used for commercial activities and other businesses; Wherever the impact on the land holding of one particular household is such that this

households may not be sustainable in the long term, even if there is no need to physically displace this household, the sub-program shall be redesigned (facility relocation, rerouting) to avoid any such impact;

For major water works, minimization of land impact will be mitigated through site and technology selection and design criteria;

Costs associated with displacement and resettlement will be internalized into subprogram costs to allow for fair comparison of processes and sites;

5 “Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative program designs.”

29


Pipelines, public taps, other linear infrastructures (power lines) required by the WSS Program will be routed inside existing right of ways (roads, streets, power lines) wherever possible.

Avoiding displacement of people without a well designed compensation and relocation process;

To the extent possible, Program facilities will be located on public spaces;

5.1.3 Cut-off Date and Eligibility

In accordance with OP 4.12 and Ethiopian Proclamation No. 455/2005, for each sub-program under the WSSP that may entail displacement impacts, a cut-off date (see “definitions above”) will be determined, taking into account the likely implementation schedule of the sub-program.

In line with OP 4.12, the following three categories of affected people will be eligible to Program resettlement assistance; all are provided compensation for loss of assets other than land:

a. Those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country);

b. Those who do not have formal legal rights to land at the time of the cut-off date but have a claim to such land or assets-provided that such claims are recognized under the laws of Ethiopia or become recognized through a process identified in the resettlement plan

c. Those who have no recognizable legal right or claim to the land they are occupying.

Persons covered under (a) and (b) above are provided compensation for the land they lose, and other assistance as needed. Persons covered under (c) above are provided resettlement assistance in lieu of compensation for the land they occupy, and other assistance, as necessary, if they occupy the program area prior to the cut-off date. In practice, this means that people usually considered as “squatters” are entitled to Program assistance as long as they are present on site at the cut-off date.

However, persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance.

5.1.4 Livelihood Restoration

World Bank safeguard principle is that where people are affected by land take, the aim of resettlement should be that they should “no worse-off if not better off” after the resettlement has taken place.

Where impact on land use is such that people may be affected in the sustainability of their livelihoods, preference will be given to land-for-land solutions rather than sheer cash compensation, in consistency with the Constitution of Ethiopia and with OP 4.12. This applies to people who are not necessarily physically displaced but who are affected by a land loss that affects their sustainability.

30


Where relocation or loss of shelter occurs, the RPF requires that measures to assist the displaced persons be implemented in accordance with the Resettlement Action Plans. Where necessary, affected people will be monitored in the rehabilitation of their livelihood.

Livelihood restoration measures will be assessed in relevant RAPs and ARPs depending upon the specific situation of the considered location. They may include the following:

Agricultural development measures (agriculture, livestock), Micro-finance support (savings and credit), and other small business development

activities, Skill development and training.

5.1.5 Compensation

Compensation principles will be as follows:

Compensation shall be paid prior to displacement; Compensation will be at replacement value.

By contrast with the depreciated or net value of a structure6, the “replacement value” of structures includes the full cost of materials and labor required to reconstruct a building of similar surface and standing. In other words, the affected person must be able to rebuild their structure in a different location using the compensation paid for the old building.

5.1.6 Consultation – Grievance mechanisms

Consultation is simply a condition of success of any resettlement and compensation activity, as both positive and negative experience has amply demonstrated. Consultation mechanisms to be put in place at the very beginning of any resettlement and compensation activities will include:

Meaningful information and consultation, which is to take place:

Before the process leading to displacement is launched in each particular location concerned by a sub-program,During this process,During the monitoring period after resettlement and compensation activities are complete,

A specific grievance registration and processing mechanism to be put in place.

5.2 Processes

5.2.1 Overview of the ESMF Process

6 Depreciation (or wear) coefficients are usually applied by Government valuers. This would not be acceptable under World Bank policies.

31


Figure 1 presents an overview of the process that all sub-programs will undergo as per the Environmental and Social Management Framework (presented in a separate document):

Environmental Baseline Assessment

Environmental Review

No SpecificImpact

SpecificImpact Identified

Application of the Generic EMP

- Changes to the Sub-Project- Development of a site-specific EMP

Environmental Baseline Assessment

Environmental Review

No SpecificImpact

No SpecificImpact

SpecificImpact Identified

Application of the Generic EMP

- Changes to the Sub-Project- Development of a site-specific EMP

5.2.2 Overview of the RPF Process

The following figure presents an overview of the identification/review process proposed under this RPF to address specifically land impacts and displacement/resettlement needs at sub-program level.

32

ESMF/RPFSCREENING

NO LAND ACQUISITIONIMPACT IDENTIFIEDLAND ACQUISITION

IMPACT IDENTIFIED

MORE THAN 200INDIVIDUALS

AREAFFECTED

Less than 200INDIVIDUALS

AREAFFECTED

Figure 2. Resettlement Policy Framework process

Census of affected people and affected assetsDevelopment of a RAPReview and approval ofRAP by the RPMU, FPMU, and WBDisclosure of the RAP in-country and through the WB InfoshopDelivery of compensationand other entitlements as per this RPF, and the specific RAP

STANDARD ESMFPROCESSES

Census of affected people and affected assetsDevelopment of RAPReview and approval of RAP by the RPMU/FPMUand World Bank In-country and WB infoshop disclosure*Delivery of compensationand other entitlements as per this RPF, and the specific RAP

* This function will be delegated to the RPMU after a review of 2 sub-projects by Region


33


5.3 Census of Affected Assets and Affected Households

Where land acquisition must take place, and whatever the extent of the land acquisition, a census will be carried out to inventory affected assets and affected households. Appendix 3 presents frameworks of forms to be used for this census, namely:

Affected plot form, Affected structure form, Affected household form.

5.4 Resettlement Action Plan

The RAP contains the following information:

Baseline Census; Socio-Economic Survey; Specific Compensation Rates and Standards; Entitlements related to any additional impacts; Site Description; Programs to Improve or Restore Livelihoods and Standards of Living; Detailed cost estimates and Implementation Schedule.’

5.5 Work PackagesIt is recommended that RAPs should be grouped in a way consistent with lots of civil works that are defined by the Program Implementation Unit. This will ensure consistency in timing and approach.

6 Affected Assets, Affected People and Entitlements

6.1 Land

6.1.1 Estimates of Surfaces Potentially Required

The following table shows orders of magnitude for the potential land requirements of each of the water supply and sanitation systems that may be considered under the WSS Program:

Table 14: Estimated Land Requirements for Systems Considered Under the WSS Program

System Typical Surface Needed (Estimates)R1 - Rural Hand-Dug Well with Hand-Pump 100 sq.m.R2 - Rural Drilled Well with Hand-Pump 100 sq.m..

R3 - Rural Drilled Well with Submersible Pump and small distribution system

1,000 sq.m.

R4 & R5 – Spring catchment with on-site storage and distribution

1,000 sq.m.

R6 – Surface Water Catchment (Pond, Dam, Run-Off…)

5,000 sq.m.

R7 – Pastoral Open Well 500 sq.m.

34


System Typical Surface Needed (Estimates)R8 – Pastoral Well with Submersible Pump (with Generator or Solar)

5,000 sq.m.

U1 – Spring catchment, treatment and gravity distribution system

Overall 5,000 sq.m.

U2 – River intake (run of river), treatment works and pressure distribution system

Variable from 5,000 sq.m. up to several hectares

U3 – River intake (with dam), treatment works and pressure distribution system

Variable from 5,000 sq.m. up to several hectares

U4 – Well(s) with submersible pumps, treatment and pressure distribution system

5,000 sq.m.

U5 – Combination of the above VariableU6 – Rehabilitation or expansion of existing system VariableLatrines and other individual sanitation systems 10 to 50 sq.m. per systemPiped sewerage system and waste water treatment works

Variable depending on extent of system & process

6.1.2 Categorization of Land Needs

Land required for the Program may fall under the following three categories:

Land permanently required for construction and operation (example: footprint of a permanent facility like a reservoir, a well, access road, a treatment plant);

Land temporarily required for the duration of construction activities (example: access track that will be reclaimed after construction, or staging area that a contractor will use for the duration of construction of a given facility);

Rights-of-Way, i.e. land that can still be used by its former users during operation of the facility subject to certain restrictions (example: pipeline corridor, power line corridor).

6.1.3 Land Tenure Regimes

Ownership and Usage Rights

As mentioned above, Ethiopian law does not recognize individual ownership of land. Land is owned by the state, in urban as well as in rural areas. In rural areas, land is primarily managed through traditional manners, and seldom do individuals hold documents ascertaining their usage rights over it. Although there may be local variations, farmland is typically used under individual customary rights while grazing land is held under community customary rights. In urban areas, land usage is formalized through long term leasing agreements.

In rural areas, land is usually allocated at local level by community chiefs or elders and farmers’ associations

Tenancy and Sharecropping

Several types of tenancy and sharecropping systems can be practiced in Ethiopia:

35


“ERTA” is a typical sharecropping arrangement whereby a farmer who has land provides all farm inputs and land tax while another farmer with no land ploughs, sows, and harvests. The two farmers then share the yield equally;

Other common sharecropping arrangements include oxen belonging to one farmer being used to plough another farmer’s plot, the service being eventually paid by a certain share of the harvest.

Land can also be informally leased for one or more crop seasons to investors or tenants.

6.2 Other Potentially Affected Assets

Together with land, other immovable assets could potentially be impacted by construction of a sub-program, for instance the following:

Buildings, whether inhabited or not, Other structures (wells, channels, agricultural or commercial buildings, etc…), Economical trees Perennial crops, Annual crops.

6.3 Entitlements

All affected assets (and related affected people, i.e. owners and users of the said affected assets) located within the footprint of a sub-program shall be inventoried. Only affected assets identified during the census will be eligible for compensation. Appendix 3 presents frameworks of forms to be used for this census.

The following table presents the relationship between impacts and entitlements.

Table 15: Impact / Entitlement Matrix

Type of Impact EntitlementPermanent loss of land (held under rural land holders)

Cash compensation for loss of land as per Ethiopian Proclamation No. 455/2005. Cash compensation for the harvest or product from the affected land or asset, equivalent to ten times the average annual income she/he secured during the five years preceding the expropriation of the land. Or replacement by a similar piece of land (similar in location, potential and size), held under similar tenure arrangements.No cash compensation for loss of rented land

Loss of sharecropping rights over a piece of agricultural land

Cash compensation for loss of assets as per Ethiopian Proclamation No. 455/2005. Or Access to similar or better rights (at least sharecropping, or if possible tenancy) over a piece of land of similar agricultural potential

Permanent loss of land held under long-term urban lease

Replacement by a similar piece of land (similar in location, potential and size), held under similar tenure arrangements (long-term urban lease);OR cash compensation at replacement value, based on price per square meter observed in recent transactions in the same area for similar types of land

Right-of-Way with restrictions (for example restriction on

Depending on the regime of occupation:Cash compensation of the loss in value resulting from the restriction (usually in the order of 10 to 30% of the total land value of the affected strip for right-of-ways

36


Type of Impact Entitlementheight of trees and crops making certain crops impossible)

associated with pipeline and transmission line)Or replacement by a piece of land in compensation for the restriction of use

Temporary land take (held under rural or urban lease)

Cash compensation for income lost during the period where plot was not usable by user or Cash compensation for loss of land as per Ethiopian Proclamation No. 455/2005, or replacement by a piece of land of equal or better potential,

Loss of uninhabited structure

Cash compensation at replacement value or replacement by a structure or equal or better quality

Loss of an inhabited dwelling

Resettlement in similar dwelling in a location with equal or better economic/agricultural potential

Loss of annual crop Cash compensation as per Ethiopian Proclamation No. 455/2005(Compensation of lost harvest at market price)

Loss of perennial crops and valuable trees

Cash compensation as per Ethiopian Proclamation No. 455/2005 and Regulation No. 135/2007 (compensation of lost harvest at market price if the crop could not be harvested)PLUS Compensation of the cost of planting (seedling plus labour)PLUS Compensation of the income lost during the period of time required to re-establish the plantation to a similar level of production (this period of time depends on the species grown, it is generally in the range 1 year – banana or papaya trees for example - to 5 or 6 years for mango trees – to be determined following regional/woreda practice

Based on Ethiopian laws and World Bank OP 4.12, the following is the entitlement matrix for the project:

Table 16: Project Entitlement MatrixLand &

AssetsTypes of Impact Person(s)Affecte

dCompensation/Entitlement/Benefits

Agricultural land

Cash compensation for affected land equivalent to market value

Less than 20% of land holding affected

Land remains economically viable.

Farmer/ title holder

Cash compensation for affected land equivalent to replacement value

Tenant/ lease holder

Cash compensation for the harvest or product from the affected land or asset, equivalent to average market value of last 3 years, or market value of the crop for the remaining period of tenancy/ lease agreement, whichever is greater.

Greater than 20% of land holding lost

Land does not become economically

Farmer/ Title holder

Land for land replacement where feasible, or compensation in cash for the entire landholding according to PAP’s choice.

Land for land replacement will be in

37


Land & Assets

Types of Impact Person(s)Affected

Compensation/Entitlement/Benefits

viable. terms of a new parcel of land of equivalent size and productivity with a secure tenure status at an available location which is acceptable to PAPs. Transfer of the land to PAPs shall be free of taxes, registration, and other costs.

Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature )


Tenant/Lease holder

Cash compensation equivalent to average of last 3 years’ market value for the mature and harvested crop, or market value of the crop for the remaining period of tenancy/ lease agreement, whichever is greater.

Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature


Relocation assistance (costs of shifting + allowance).

Commercial Land

Land used for business partially affected

Limited loss

Title holder/ business owner

Cash compensation for affected landOpportunity cost compensation

equivalent to 5% of net annual income based on tax records for previous year (or tax records from comparable business, or estimates where such records do not exist).

Business owner is lease holder

Opportunity cost compensation equivalent to 10% of net annual

38


Land & Assets



income based on tax records for previous year (or tax records from comparable business, or estimates where such records do not exist)

Assets used for business severely affected

If partially affected, the remaining assets become insufficient for business purposes

Title holder/business owner

Land for land replacement or compensation in cash according to PAP’s choice. Land for land replacement will be provided in terms of a new parcel of land of equivalent size and market potential with a secured tenure status at an available location which is acceptable to the PAP.

Transfer of the land to the PAP shall be free of taxes, registration, and other costs.

Relocation assistance (costs of shifting + allowance)

Opportunity cost compensation equivalent to 2 months net income based on tax records for previous year (or tax records from comparable business, or estimates)

Business person is lease holder

Opportunity cost compensation equivalent to 2 months net income based on tax records for previous year (or tax records from comparable business, or estimates), or the relocation allowance, whichever is higher.

Relocation assistance (costs of shifting)Assistance in rental/ lease of alternative

land/ property (for a maximum of 6 months) to reestablish the business.

Residential Land

Land used for residence partially affected, limited loss

Remaining land viable for present use.

Title holder Cash compensation for affected landRental/lease

holderCash compensation equivalent to 10% of

lease/ rental fee for the remaining period of rental/ lease agreement (written or verbal)

Title holder Land for land replacement or compensation in cash according to PAP’s choice.

Land for land replacement shall be of minimum plot of acceptable size

39


Land & Assets



under the zoning law/ s or a plot of equivalent size, whichever is larger, in either the community or a nearby resettlement area with adequate physical and social infrastructure systems as well as secured tenure status.

When the affected holding is larger than the relocation plot, cash compensation to cover the difference in value.

Transfer of the land to the PAP shall be free of taxes, registration, and other costs.


Land and assets used for residence severely affected

Remaining area insufficient for continued use or becomes smaller than minimally accepted under zoning laws

Rental/lease holder

Refund of any lease/ rental fees paid for time/ use after date of removal

Cash compensation equivalent to 3 months of lease/ rental fee

Assistance in rental/ lease of alternative land/ property


Buildings and structures

Structures are partially affected

Remaining structures viable for continued use

Owner Cash compensation for affected building and other fixed assets, taking into account market costs of structures and materials

Cash assistance to cover costs of restoration of the remaining structure

Rental/lease holder

Cash compensation for affected assets, taking into account market costs for assets and materials (verifiable improvements to the property by the tenant).

Disturbance compensation equivalent to two months rental costs

Entire structures are affected or partially affected

Remaining structures not suitable for

Owner Cash compensation, taking into account market rates, for entire structure and other fixed assets without depreciation, or alternative structure of equal or better size and quality in an available location which is

40


Land & Assets



continued use acceptable to the PAP.Right to salvage materials without

deduction from compensationRelocation assistance (costs of shifting +

allowance)Rehabilitation assistance if required

(assistance with job placement, skills training)

Rental/lease holder

Cash compensation for affected assets, taking into account market rates for materials (verifiable improvements to the property by the tenant)

Relocation assistance (costs of shifting + allowance equivalent to four months rental costs)

Assistance to help find alternative rental arrangements

Rehabilitation assistance if required (assistance with job placement, skills training)

Squatter/informal dweller

Cash compensation for affected structure without depreciation, taking into account market rates for materials

Right to salvage materials without deduction from compensation

Relocation assistance (costs of shifting + assistance to find alternative secure accommodation preferably in the community of residence through involvement of the program)

Alternatively, assistance to find accommodation in rental housing or in a squatter settlement scheme, if available

Rehabilitation assistance if required assistance with job placement, skills training

Street vendor (informal without title or lease to the stall or shop)

Opportunity cost compensation equivalent to 2 months net income based on tax records for previous year (or tax records from comparable business, or estimates), or the relocation allowance, whichever is higher.

41


Land & Assets



Relocation assistance (costs of shifting)Assistance to obtain alternative site to re-

establish the business.Standing

cropsCrops affected by

land acquisition or temporary acquisition or easement

PAP (whether owner, tenant, or squatter)

Cash compensation equivalent to average of last 3 years market value for the mature and harvested crop.

Trees Trees lost Title holder Cash compensation based on type, age and productive value of affected trees plus 10% premium

Temporary Acquisition

Temporary acquisition

PAP (whether owner, tenant, or squatter)

Cash compensation for any assets affected, taking into account market values for materials (e. g. boundary wall demolished, trees removed)

6.4 Resettlement and Compensation

6.5 Methods for Valuation of Affected Assets

6.5.1 Ascertaining Eligibility

Overall, valuation will be consistent with Ethiopian Proclamation No. 455/2005 and/or Regulation No. 135/2007, regional rules and practice, and with the World Bank requirement that any lost asset be valued at replacement value.

Determining eligibility is not always easy in areas where informal occupants have no documents establishing their land occupation rights. Delimitation of plots and related crops will be done using local committees including affected persons themselves, their neighbors, and community leaders and elders.

6.5.2 Land and Right of Way

Where applicable (see Table 2 above), land will be valued based on the following principles:

Check that compensation rates meet the full replacement value requirement, and application of these rates if they do meet this requirement;

Or, if existing compensation rates do not meet the full replacement value requirement; check and properly apply Ethiopian Proclamation No. 455/2005 and/or Regulation No. 135/2007.

42


Where there are developments on land that need to be taken into consideration (for instance irrigation structures, terraces, wells, etc…), these will also be valued at full replacement value.

Rights-of-Way will be valued according to an estimate of the loss in value resulting from the restriction put upon land. Methodologies for doing that are, however, complex, as it is generally necessary to capitalize (through the use of a Net Present Value) a recurrent loss. In general, Rights-of-Way resulting from pipelines and transaction lines are valued at 10 to 30% of the value of the land itself.

6.5.3 Structures

Valuation of structures will be undertaken on a case-by-case basis using rates available at region/zone/woreda level, after a check that these rates meet the full replacement value requirement. Wear coefficients will not be applied, in consistency with the “replacement value” requirement. In the absence of established rates, valuation will take into account reconstruction value, calculated from local contractors’ quotations, taking labor into consideration.

6.5.4 Crops

Valuation of annual crops will be based on the income lost or Ethiopian Proclamation No. 455/2005 and/or Regulation No. 135/2007, i.e. on the market value of the lost harvest, which will be established using available rates or through a rapid survey of market prices observed in the vicinity of the concerned location.

Valuation of perennial crops will be the sum of the following factors:

Loss of income during the period needed to re-establish the crop, i.e. value of the harvest (based as above on market prices) for the number of harvests lost during the period of reestablishment of the crop7;

Value of seedlings needed to re-establish the crop, and of all agricultural inputs needed to re-establish the crops as it was;

Value of any perennial developments required to cultivate the crop, if relevant.

Valuation of timber tree or other economical trees will be based on the market price of trees that could be sold when the tree is fully grown.

6.5.5 Auditing and Monitoring

The fairness of the valuation exercise, as well as its compliance with Ethiopian Regulation No. 135/2007 and WB requirements, will be audited according to provisions detailed in Section 10.

6.6 Resettlement and Compensation

6.6.1 Resettlement – Land Replacement

7 For instance, if the re-establishment of a given crop takes 5 years up to the return of a normal productivity, the compensation for this perennial will be based on 5 years of harvest.

43


As mentioned above, any sub-program that is assessed as potentially impacting inhabited dwellings or households’ livelihoods will be redesigned, resited, or reroute. Therefore, the WSS Program is not expected to cause any significant physical resettlement, be it caused by physical displacement (impact on dwellings) or economic displacement (impact on livelihoods).

However, as mentioned in Table 9 above, any impact on land shall be mitigated through cash compensation or replacement of the affected plot by a plot of similar potential, i.e.:

Either of similar agricultural/economical characteristics and similar surface, Or of greater surface if agricultural/economical potential is less than that of the lost plot.

Rural water supply sub-programs will have a very limited footprint, and experience in rural water supply programs indicates that in most cases communities are able to deal themselves with land replacement issues, as long as the principles along which this must be done are made clear to them. In towns, land replacement will be dealt with by town councils.

6.6.2 Compensation

Most if not all impacts on land, structures and crops will therefore be mitigated through compensation, in-cash or in-kind, following asset valuation as above described.

Experience in various countries has shown that a fraction of compensation recipients may misuse cash compensation as they would receive an amount of money that they are not prepared to manage. They may engage in poorly considered investments or simply dilapidate the money. Experience in Ethiopia has shown that such behavior was rare and that the vast majority of people wisely used compensation they received in such programs as the Demobilization or Emergency Recovery packages funded by the World Bank. However, it is advisable that an in-kind compensation option be available to affected people who may feel themselves vulnerable to misuse of large amounts of cash.

Options for items served as part of in-kind compensation can be as follows:

Agricultural equipment such as ploughs, hoes, etc…, Agricultural inputs (fertilizers, seeds, seedlings, etc…), Construction materials and equipment, such as corrugated iron sheets, cement bags, brick

moulds, small tools, etc…, School equipment (books, stationery).

In-kind items will be valued at their purchasing price and their value will be deducted from the value of the total cash compensation due.

Compensation will be paid (or in-kind items will be delivered) prior to land being vacated.

7 Consultation and Disclosure

7.1 Consultation on RAPs

44


Two steps of information and consultation are proposed to be implemented in the course of the preparation of RAPs:

Initial information:

This step should coincide with the cut-off date (information should not be delivered in advance of the cut-off date to avoid encroachment of new arrivals),

Basic information will be provided to potentially affected people on the Program, and resettlement and compensation principles as they are outlined in this RPF,

This step should take the form of one public meeting for each sub-program,

Consultation on draft RAP: once these are available in draft form, they should be discussed with local authorities (e.g. Woreda and Kebelle Assemblies) and affected communities, whose comments will be incorporated into final documents.

Appendix 7 presents a template that can be used during both preparation and implementation of resettlement activities to record minutes of consultation meetings.

7.2 Disclosure Requirements

The following documents are to be disclosed, in conformance with OP 4.12: This Resettlement Policy Framework, Resettlement Action Plans.

These documents will be disclosed after they have been reviewed and approved by the World Bank. Documents will be available to the public in Amharic with an executive summary in English. They will be kept available at the following locations:

The World Bank office in Addis Ababa (in paper form),

The World Bank Infoshop (in electronic form at www.worldbank.org and in paper form at the World Bank headquarters in Washington, DC, USA),

At the Ministry of Water and Energy Program Management Unit office (in paper form),

At local government headquarters as appropriate.

7.3 Documentation

If in case grievances or complaints crop up during the compensation and valuation processes, the program implementers at all levels shall arrange meetings and should discuss with PAPs. For each individual or household affected by the sub-program, the RAP preparation team will complete a compensation report containing necessary personal information on the PAPs and their household members, their total land holdings, inventory of affected assets and demographic and socio-economic information for monitoring of impacts. All these information shall be properly documented in a report, and ideally should be “witnessed” by an independent or locally acceptable body (e.g. Resettlement Committee). The report should be regularly updated and monitored

45


8 Grievance Management Mechanisms

8.1 Potential Grievances / Disputes

In practice, grievances and disputes that arise during the course of implementation of a resettlement and compensation program may be related to the following issues:

Disagreement on plot boundaries, either between the affected person and the expropriation agency or between two neighbors,

Disputed ownership of a given asset (two or more affected people claim that the affected asset is theirs),

Disagreement on plot/asset valuation, Successions, divorces, and other family issues resulting in disputed ownership or

disputed shares between inheritors or family members, Where affected people opt for a resettlement-based option, disagreement on the

resettlement package (the location of the resettlement site does not suit them, proposed housing or resettlement plot characteristics/agricultural potential are not adequate in their view),

Disputed ownership of businesses and business related assets (quite usually, the owner and the operator of a business may be distinct individuals, which give rise to disputes in the event of compensation).

8.2 Proposed Grievance Management Mechanism

8.2.1 Registration of Grievances

As long as one of the sub-programs entails resettlement and/or compensation, the implementation agencies will establish a register of resettlement/compensation related grievances and disputes. The existence and conditions of access to this register (where, when, how) shall be widely disseminated within the interested area of the town as part of the consultation undertaken for the sub-program in general.Any grievance that may arise from the Compensation/ resettlement action plan will be filed at first instance to the implementation agency of the sub-program, and will be registered by the agency for further action using the above mentioned registered.

8.2.2 First Instance – Amicable Settlement

While there are courts of law for handling grievances, local communities may often be reluctant to expose family members to courts of law, which could trigger the separation of families or worsen conflicts between neighbors. Also, courts of law may be viewed as slow and involving somewhat complicated procedures. People may prefer such matters to be first handled by a “first instance” mechanism, on the model of traditional dispute-resolution mechanisms.

In such compensation and resettlement operations, it usually appears that many grievances have roots in misunderstandings, or result from neighbor conflicts, which usually can be solved through adequate mediation using customary rules. Most grievances can be settled with

46


additional explanation efforts and some mediation. This is why a first instance of dispute handling will be set up with the aim of settling disputes amicably, in the form of a locally selected Mediation Committee (See proposed process in Figure 3).

This Mediation Committee will consist of the following members:

Implementation agency; Local NGO (chairperson), Local representatives of Program Affected Persons (2 to 5) – these should be selected in

the interested area.When a grievance/dispute is recorded as per above-mentioned registration procedures, mediation meetings will be organized with interested parties. Minutes of meetings will be recorded. Solutions to grievances related to compensation amounts, delays in compensation payments or provision of different types of resettlement assistance should be pursued directly by the designated RAP team through liaison with the relevant actors. The sub-program RAP team will ensure that community members and in particular PAPs are informed about the avenues for grievance redress, and will maintain a record of grievances received, and the result of attempts to resolve these. All PAPs will be informed about how to register grievances or complaints, including specific concerns about compensation and relocation. The existence and procedural details related with this first instance mechanism will be widely disseminated to the interested population as part of the consultation undertaken for the subprogram in general.

8.2.3 Appeal to Court

Whenever misunderstandings and disputes arise between the principal parties (e.g. local government bodies and affected parties) involved in the resettlement and compensation process, the preferred means of settling disputes is through arbitration (Proclamation No. 455/2005). The number and composition of the arbitration tribunal may be determined by the concerned parties. Though Proclamation No. 455/2005 provides for appeals from valuation decision, such action will not delay the transfer of possession of land to the proponent.Courts of law shall be considered as a “last resort” option, which in principle should only be triggered where first instance amicable mechanisms have failed to settle the grievance/dispute. However the Constitution allows any aggrieved person the right of access to court of law.

47

Registration of the grievance or dispute

Internal treatment of the grievance or

Internal closure of the grievance or

Complainant satisfied

with outcome

Yes No

Final closure

Resort to Mediation Committee

Grievance processing Mediation Committee

Response of the Mediation

Complaint satisfied

with outcome

Yes

No

Final closure

One or the other party resort to Courts of law


Figure 2: Grievance / Dispute Management Mechanism

48


9 Underserved and Vulnerable Groups of People

9.1 Identification of Vulnerable People

Vulnerable people are people who by virtue of gender, ethnicity, age, physical or mental disability, economic disadvantage, or social status may be more adversely affected by resettlement than others and who may be limited in their ability to claim or take advantage of resettlement assistance and related development benefits. Vulnerable people potentially eligible for specific assistance under this Resettlement Policy Framework are those who are affected by the Program land acquisition, compensation and resettlement activities.

Vulnerable people include:

Disabled persons, whether mentally or physically; Seriously ill people, particularly people living with HIV/AIDS and other illnesses; The elderly, particularly when they live alone; Households whose heads are children; Households whose heads are female and who live with limited resources; Households whose heads have no or very limited resources; Widows and orphans; and Any project-affected groups or populations who are marginalized socially, economically,

and/or culturally and for whom the project needs to pay special attention.

9.2 Assistance to Vulnerable People

The WSS Program will assist vulnerable people insofar as they are affected by the WSS related displacement and resettlement process. Such assistance may include the following activities:

Identification of vulnerable people and identification of the cause and impacts of their vulnerability, preferably through an identification mechanism devised with, and implemented by the beneficiary community; this step is critical because often vulnerable people do not participate in community meetings, and their disability/vulnerability may remain unknown;

Identification of required assistance at the various stages of the process: negotiation, compensation, moving;

Implementation of the measures necessary to assist the vulnerable person; and Monitoring and continuation of assistance after resettlement and/or compensation, if

required, and/or identification of those entities, whether Governmental or not, that could sustain the Program’s assistance beyond its period of activity.

Assistance may take the following forms, depending upon vulnerable persons’ requests and needs:

Assistance in the compensation payment procedure (e.g., specifically explain the process and procedures, make sure that documents are well understood);

49


Assistance in the post payment period to secure the compensation money and reduce risks of misuse/robbery;

Assistance in moving: providing vehicle, driver and assistance at the moving stage, assist the person in identifying his/her resettlement plot;

Assistance in building: providing materials, workforce, or building houses; Counseling in matters such as family, health, Assistance during the post-resettlement period, particularly if the solidarity networks that

the vulnerable person was relying on have been affected: food support, health monitoring, etc.; and

Health care if required at critical periods, particularly the moving and transition periods.

9.3 Special Attention to the Needs of Underserved Groups

The RPF provides special attention to the needs of vulnerable groups among the PAPs, especially poorer households , including the landless, elderly and disabled, women and children, vulnerable groups and ethnic minorities, and other historically disadvantaged.

Underserved and Vulnerable groups of people. These groups are tied to their traditional or customary lands and natural resources, but these lands might not be under legal ownership pursuant to national law. Therefore, land-take might impact them seriously, and the project will avoid, and if not feasible, will document land take and use with the PAPs. They will be informed of their rights under national laws, including any national laws recognizing customary rights or use and the project will offer them adequate compensation as stated in the entitlement matrix together with culturally appropriate development opportunities. Further, from these households the project will separately identify the vulnerable members, such as those who are too old or too ill; children; those living with HIV/AIDS; women; unemployed youth; minority ethnic groups, if any, etc. Households headed by women that depend on sons, brothers, and others for support is especially vulnerable. Similarly, households with elderly or seriously ill persons are eligible for additional support. The outcome of the Social Assessment indicates that the following issues are of concern to various the project beneficiary communities and would affect them differently:

Physical displacement (land take and economic displacement) More effective consultation, access to information, particularly on project activities and

benefits; Loss of common property resources (access to farming, grazing land and water; resources, etc)

The PAPs to be impacted by any land take are likely to be non-homogenous groups; the risks highlighted in this RPF differentially affect various categories of people. Therefore, avoidance is the first response to risks that should be considered. Recognizing risks upfront and their financial implications is often a powerful stimulus to search for an alternative that eliminate the need for displacement or cuts down its size. This is technically possible in this project. Therefore, during implementation of the project, the findings of the social impact assessment will be operationalized to identify the areas or sites where resettlement, due to land acquisition or restriction of access to resources, is likely to have impact. At that stage, if it is unavoidable, OP 4.12 calls for the preparation of separate stand-alone Resettlement Action Plans (RAPs)

50


consistent with the guidelines provided in this RPF. The following procedural guidelines will apply when it is determined that a RAP would be developed.

(i) All potential PAPs should be identified (through a scoping exercise) and informed about their options and rights pertaining to compensation for land and assets to be acquired by the sub-project(s);

(ii) PAPs must be consulted about land acquisition and compensation and offered technical and financial options, including the most economically feasible alternatives; and

(iii) PAPs should receive reasonable compensation at full replacement cost for losses of assets and access attributable to the project.

Screening. This process would lead to the creation of a list of the number and types of infrastructure (including buildings or other structures) that the project interventions may potentially impact –leading to acquisition of land, resettlement and/or reduced access to natural resources. This list will be presented to affected communities using a sensitization and consultation process. These consultations will be documented for each site (sub-project). In the case where the project results in reduced access to natural resources, the consultations will determine alternative but commensurate sources so that livelihoods are not affected. Measures to assist affected persons in their efforts to improve their livelihood will be documented. The project will also document methods and procedures by which communities will identify and choose potential mitigating or compensating measures to be provided those adversely affected and procedures by which adversely community members will be decide among the options available to them.

RAP Preparation: A consultative and participatory process for preparing a RAP will include among others the following:

(i) A socio-economic survey will be completed to determine scope and nature of resettlement impacts.

(ii) The socio-economic study will be carried out to collect data in the selected sub-project sites.

(iii) The socio-economic assessment will focus on the potential affected communities, including some demographic data, description of the area, livelihoods, the local participation process, and establishing baseline information on livelihoods and income, landholding, etc.

Appendix 2 describes the requirements for the RAP in detail. In general, the RAP contains the following information:

(i) Baseline Census;(ii) Socio-Economic Survey;(iii) Specific Compensation Rates and Standards;(iv) Entitlements related to any additional impacts;(v) Site Description;(vi) Programs to Improve or Restore Livelihoods and Standards of Living;

51


(vii)Detailed cost estimates and Implementation Schedule.

Where relocation or loss of shelter occurs, the RPF requires that measures to assist the displaced persons be implemented in accordance with the Resettlement Action Plans.

If community members elect to voluntarily donate land/assets without compensation, they must be fully informed about the project and its grievance redress arrangements ahead of the agreement, and it must be documented that this act is performed freely and voluntarily without any coercion

10 Monitoring and Evaluation

10.1 General Objectives of Monitoring & Evaluation

Evaluation and monitoring are key components of the Resettlement Policy Framework. They have the following general objectives:

Auditing of compliance, Monitoring of specific situations or difficulties arising from the implementation, and of

the compliance of the implementation with objectives and methods as set out in this Resettlement Policy Framework;

Evaluation of the mid- and long-term impacts of the Resettlement and Relocation Action Plan on affected households’ livelihood, environment, local capacities, on economic development and settlement.

Auditing and monitoring aims to correct implementation methods during the course of the Program, as required, while evaluation is intended at checking whether policies have been complied with and providing lessons learnt for amending strategies and implementation in a longer term perspective. Monitoring will be internal and evaluation external.

10.2 Auditing and Monitoring During Implementation

10.2.1 Scope and Content

Monitoring will aim to capture the following aspects:

Check on the census and valuation exercise, particularly with respect to:

The adequacy of valuation (does it meet the full replacement cost requirement), The correct determination of eligibility (no flaws in the lists of eligible people:

eligible people are those that are actually affected),

Check that compensation entitlements are actually delivered before people are displaced; Social and economic monitoring: follow-up of the status of displaces / resettlers, cost of

housing in the displacement area, re-establishment of livelihoods including agriculture and other activities;

52


Technical monitoring: supervision of infrastructure and housing construction where relevant, commissioning and testing of the technical components of the resettlement housing;

Grievances and grievance management system; Assistance in livelihood restoration: agriculture and business re-establishment and

assistance.

10.2.2 Reporting

The WSS Program will keep the following statistics on an annual basis:

Numbers of households and individuals affected by Program activities, Numbers of households and individuals relocated as a result of program activities and

their destinations, Amounts of compensation paid, For each household having received compensation, date when displacement occurred and

date when compensation was actually delivered, Number of grievances registered, Construction: indicators relevant to the works being carried out.

An annual monitoring report will be developed internally by implementing agencies.

10.3 Evaluation

Reference documentation for the evaluation will be the following: This Resettlement Policy Framework; The Ethiopian laws, proclamations and regulations as described above; The applicable World Bank Safeguard Policies as they stand in January 2007, i.e. OP

4.12 “Involuntary Resettlement”.

Evaluation has the following specific objectives:

General assessment of the compliance of the implementation of resettlement activities with objectives and methods as set out in this document;

Assessment of the compliance of the implementation of resettlement activities with laws, regulations and safeguard policies as stated above;

Assessment of resettlement and relocation procedures as they have been implemented; Evaluation of the impact of the resettlement and relocation programs on incomes and

standard of living, with focus on the “no worse-off if not better-off” requirement; Identification of actions to take as part of the on-going monitoring to improve the positive

impacts of the programme and mitigate its possible negative impacts, if any.

Evaluation of resettlement activities will be part of general assessment and review activities undertaken for the Program as a whole.

10.4 Reporting

53


As presented in the ESMF, implementing agencies will develop an annual environmental monitoring report. The report contents are detailed in the ESMF. These reports will include the description of resettlement and compensation activities, and relevant monitoring indicators as described above.

11 Implementation Responsibilities and Funding

11.1 Implementation Responsibilities

The following table presents responsibilities related with resettlement and compensation.

Table 16: Implementation Responsibilities

Level ResponsibilityAffected People

Participate in censuses Participate in valuation commissions Participate in monitoring

Rural Communities (Rural Water Supply)

Deal with land replacement at community level for rural water sub-programs with minor land impact

Participate in valuation commissions (community leaders and elders) and in censuses

Participate in monitoringWoredas (Rural Water Supply)

Check on land replacement arrangements made by communities Organize valuation commissions Check on censuses Pay compensation Participate in monitoring Organize grievance management mechanisms, including mediation committees

Towns (Urban Water Supply)

Deal with land replacement at community level for rural water sub-programs with minor land impact

Organize valuation commissions and censuses Organize public consultation on draft RAPs and disclosure Check on censuses Pay compensation Organize grievance management mechanisms, including Mediation

Committees Participate in monitoring

Regional Program Implementation Unit

Support woredas and towns in the organization of resettlement planning (censuses, valuation, payment of compensation)

Select consultants to develop Resettlement Action Plans Organize public consultation and disclosure on draft RAPs Participate in monitoring and evaluation (possibly through consultants for the

most significant resettlement activities, if any)Regional Water Bureaus

Support woredas and towns in the organization of resettlement planning (censuses, valuation, payment of compensation)

Hire consultants to develop RAPs based on Support Teams’ selection

54


Organize public consultation and disclosure on draft RAPs Consultation and disclosure on Resettlement Policy Framework

Federal Level Monitor compliance of resettlement activities with this RPF, Ethiopian law and the World Bank OP 4.12 involuntary resettlement policy.

11.2 Budget

It is difficult at this stage to provide an estimate of the cost of resettlement and compensation activities related with the implementation of the WSSP as all components are not defined with a sufficient level of detail to identify footprints and related impacts on land occupation, housing and livelihoods.

Every sub-program under the WSS will have to assess budget needs related with compensation and resettlement in accordance with principles in this RPF, and identify and secure the source of funding (see next section).

11.3 Arrangements for Funding

According to its Involuntary Resettlement policy (OP 4.12), “the Bank does not disburse against cash compensation and other resettlement assistance paid in cash, or against the cost of land (including compensation for land acquisition). However, it may finance the cost of land improvement associated with resettlement activities.”

As a result, the Bank loan under which the WSS Program will be funded cannot finance cash compensation or land acquisition for resettlement purposes.

Compensation and land acquisition for resettlement sites (if any need) will be funded by the towns benefiting from the WSS Program. This requirement should be an excellent incentive to minimizing land impacts through appropriate design, sitting and routes. Every sub-program will have to assess budget needs for funding of compensation and resettlement, and to identify and secure potential sources of funding.

In the unlikely event where resettlement housing would need to be constructed, this can, however, be funded by the Bank loan, as well as related consulting services, supervision, monitoring and evaluation.

55


Appendices

Appendix 1: Framework for the Census of Affected Assets & Affected People

Affected Plot Sheet

Reference:

56


Location: Regional State: Woreda: Kebelle:

GPS Coordinates:

Surface: ____________________ m2

Description of soil:

Perennial Crops: 1 Owner:

2 Owner:

Annual Crops: 1 Owner:

2 Owner:

Trees: 1 Owner:

2 Owner

Structures: Channels: Owner:

Anti-erosive structures: Owner:

Buildings: Owner:

Users: User 1: Surface used: Regime of tenure:

User 2: Surface used: Regime of tenure:



Valuation proposal (details of calculation on attached sheet):

Crops:

Structures:

Proposed distribution of compensation:

User 1:

User 2:

User 3:

User 4:

Date: Prepared By:

Affected Building Sheet

Reference:

57


Location: Regional State: Woreda: Kebelle:

GPS Coordinates: Photograph number:

Owner: Full Name:

Address:

Description:

Permanent Non permanent

Surface: Number of rooms:

Walls: Material Condition

Roof: Material Condition

Floor: Material Condition

Annexes outside: Latrine: Bathroom: Kitchen: Others:

Additional features:

Permanently Inhabited: By: Regime of occupation:

Periodically Inhabited: By: Regime of occupation:

Valuation proposal (details of calculation on attached sheet)

Proposed distribution of compensation:

User 1:

User 2:

User 3:

User 4:

Date: Prepared By:

58


Affected Household Sheet

Household Reference:

Location: Kebelle: Woreda: Zone: Region

Reference of Affected Asset:

Type: Structure Plot Crop

Reference of Affected Asset Sheet:

Location: Kebelle: Woreda: Zone: Region

Household Information:

Head of Household: Name: Age: Sex:

Identity Document: Type: Number:

Composition of Household:

Number Name Relationship with Household

Head

Sex Age

Socio-Economic Information:

Occupations:

Head of Household:

Other members of Household:

Number: Occupation:

Number: Occupation:

Number: Occupation:

59


Number: Occupation:

Total Estimated Household Cash Income:

Education level of Household Members:

Number: Level:

Number: Level:

Number: Level:

Number: Level:

Program Impact:

Assessment of the Impact of the Loss of the Affected Asset on Household’s Livelihood:

Proposed Compensation or Resettlement Package

Household’s Wishes

Proposed Package

Proposed Livelihood Restoration Package:

Household’s Wishes

Proposed Package

60


Appendix 2: Outline of a Resettlement Action Plan

Reference: OP 4.12, annex A.

1. Description of the sub-program and of its potential land impacts1.1 General description of the program and identification of the program area1.2 Potential impacts. Identification of

1.2.1 the program component or activities that give rise to resettlement; 1.2.2 the zone of impact of such component or activities; 1.2.3 the alternatives considered to avoid or minimize resettlement; and 1.2.4 the mechanisms established to minimize resettlement, to the extent possible,

during program implementation.2. Objectives. The main objectives of the resettlement program. 3. Socioeconomic studies. The findings of socioeconomic studies to be conducted in the early

stages of program preparation and with the involvement of potentially displaced people, including 3.1 the results of a census survey covering current occupants of the affected area to

establish a basis for the design of the resettlement program and to exclude subsequent inflows of people from eligibility for compensation and resettlement assistance;

3.2 standard characteristics of displaced households, including a description of production systems, labor, and household organization; and baseline information on livelihoods (including, as relevant, production levels and income derived from both formal and informal economic activities) and standards of living (including health status) of the displaced population;

3.3 the magnitude of the expected loss—total or partial—of assets, and the extent of displacement, physical or economic;

3.4 information on vulnerable groups or persons as provided for in OP 4.12, para. 8, for whom special provisions may have to be made; and

3.5 provisions to update information on the displaced people's livelihoods and standards of living at regular intervals so that the latest information is available at the time of their displacement.

3.6 Other studies describing the following 3.6.1 land tenure and transfer systems, including an inventory of common property

natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems (including fishing, grazing, or use of forest areas) governed by local recognized land allocation mechanisms, and any issues raised by different tenure systems in the program area;

3.6.2 the patterns of social interaction in the affected communities, including social networks and social support systems, and how they will be affected by the program;

3.6.3 public infrastructure and social services that will be affected; and 3.6.4 social and cultural characteristics of displaced communities, including a

description of formal and informal institutions (e.g., community organizations,

61


ritual groups, nongovernmental organizations (NGOs)) that may be relevant to the consultation strategy and to designing and implementing the resettlement activities.

4. Legal and Institutional Framework. 4.1 Summary of the information included in this RFP 4.2 Local legal specificities if any4.3 Local institutional specificities

4.3.1 identification of agencies locally responsible for resettlement activities and NGOs that may have a role in program implementation;

4.3.2 assessment of the institutional capacity of such agencies and NGOs; and 5. Eligibility. Based on this RPF, definition of displaced persons and criteria for determining

their eligibility for compensation and other resettlement assistance, including relevant cut-off dates.

6. Valuation of and compensation for losses. The methodology to be used in valuing losses to determine their replacement cost; and a description of the proposed types and levels of compensation under local law and such supplementary measures as are necessary to achieve replacement cost for lost assets.

7. Resettlement measures:7.1 Description of the packages of compensation and other resettlement measures that

will assist each category of eligible displaced persons to achieve the objectives of the policy (see OP 4.12, para. 6).

7.2 Site selection, site preparation, and relocation. Alternative relocation sites considered and explanation of those selected.

7.3 Legal arrangements for regularizing tenure and transferring titles to resettlers.7.4 Housing, infrastructure, and social services.7.5 Environmental protection and management. 7.6 Community participation. Involvement of resettlers and host communities 7.7 Integration with host populations. Measures to mitigate the impact of resettlement on

any host communities8. Grievance procedures. Affordable and accessible procedures for third-party settlement of

disputes arising from resettlement; such grievance mechanisms should take into account the availability of judicial recourse and community and traditional dispute settlement mechanisms.

9. Organizational responsibilities. The organizational framework for implementing resettlement, including identification of agencies responsible for delivery of resettlement measures and provision of services; arrangements to ensure appropriate coordination between agencies and jurisdictions involved in implementation; and any measures (including technical assistance) needed to strengthen the implementing agencies' capacity to design and carry out resettlement activities; provisions for the transfer to local authorities or resettlers themselves of responsibility for managing facilities and services provided under the program and for transferring other such responsibilities from the resettlement implementing agencies, when appropriate.

10. Implementation schedule. An implementation schedule covering all resettlement activities from preparation through implementation, including target dates for the achievement of

62


expected benefits to resettlers and hosts and terminating the various forms of assistance. The schedule should indicate how the resettlement activities are linked to the implementation of the overall program.

11. Costs and budget. Tables showing itemized cost estimates for all resettlement activities, including allowances for inflation, population growth, and other contingencies; timetables for expenditures; sources of funds; and arrangements for timely flow of funds, and funding for resettlement, if any, in areas outside the jurisdiction of the implementing agencies.

12. Monitoring and evaluation. Arrangements for monitoring of resettlement activities by the implementing agency, supplemented by independent monitors as considered appropriate by the Bank, to ensure complete and objective information; performance monitoring indicators to measure inputs, outputs, and outcomes for resettlement activities; involvement of the displaced persons in the monitoring process; evaluation of the impact of resettlement for a reasonable period after all resettlement and related development activities have been completed; using the results of resettlement monitoring to guide subsequent implementation.

Appendix 3: Template Itemization of a RAP Budget

N° Item(break down and detail as appropriate)

Ethiopian Birr

USD %

A Compensation

A1 Compensation for land acquisition

A2 Compensation for destruction and damage to

crops

A3 Compensation for structures

A4 Disturbance allowance

A5 Contingencies – other compensations

Total Compensation %

B Resettlement

B1 Resettlement land compensation

B2 Resettlement land development

B3 Housing construction

Total Resettlement %

C Additional Mitigations

C1 Livelihood restoration measures

C2 Vulnerable groups

C3 Coordination of additional mitigations

63


C4 Grievance management

Total Additional Mitigations %

D Implementation Costs

D1 Surveying and asset pre-identification

D2 Valuation

D3 Coordination and works supervision

D4 Legal advice

D5 Monitoring

D6 Evaluation

Total Implementation %

Contingencies % %

Grand Total 100%

Date : Prepared by:

Appendix 4: Template of a Claim Registration and Follow-Up Form

Aggrieved person :

Full name:

Residence:

Program registration number:

Reason for the claim (detailed description of the aggrieved person’s version):

Composition of the mediation committee:

Chair (name, position):

64


District chief executive representative (name, position):

Program (name, position):

Other elders(name, position):

Report of mediation efforts:

Agreed solution:

Implementation of the agreed solution:

Close-out:

In case no settlement is reached:

Reason why no settlement could be reached:

Follow-up by claimant:

Appendix 5: Template of a Consultation Meeting Minute Form

Date : Venue:

Program participants :

Other participants (name, position): Total number:

Objective and agenda of the meeting :

65


Points addressed by Program :

Points raised by participants :

Follow- up activities :

Prepared by: Date:

66


Appendix 7: Relevant Laws

Property Rights and Land Rights Law/RegulationOwnership of land is now vested in the State and Ethiopian citizens have

only a use right (usufruct) over the land. This gives the user ownership of his/her possessions with the right to benefit from the fruits of his/her labor. This includes crops, perennial crops, trees for timber etc found on the land or any other permanent fixtures such as residential houses, business installations, stores and fences, amongst others. This overturned the 1960 Constitutional degree of private ownership of land.

Public Ownership of Rural Land (No 31/1975)

In 1975 Ethiopia nationalized urban land and extra houses (Proc. No. 47/1975). Residents have usage rights, urban centers must take inventory of land and plan sustainable land use. Urban residents get one plot of land for personal housing.

Proclamation No. 47/1975

A) All urban lands shall be property of the Government. B) Tenant shall be free from payment to the landowner. C) Any person or family own only a single dwelling.

Proclamation No. 47/1975, Article 2(3), Article 6(1) and Article 11(1)

According to these proclamations, land holders have open-ended usufruct rights over their possessions (ie there is no time limit on this usufruct), subject to a proof of permanent physical residence, ability to farm continuously and should meet administrative dues and obligations. In rural villages, farm households have a legal right to possess land through state mandated peasant associations.

Constitution ofEthiopia (No 1/1987,

Article 13(2) and No 1/1995, Article 40(3))

Proclamation N° 89/1997 establishes the principles of rural land administration, which is devolved to the Regions states that each Regional Council shall enact a law on land

administration, which is in conformity with the provisions on environmental protection and federal utilization polices.

Proclamation N° 89/1997 "Federal Rural Land Administration Proclamation"

Proclamation N° 89/1997 recognizes the lawfulness of "holding rights" over land;

Proclamation N° 89/1997 "Federal Rural Land Administration

Proclamation N° 89/1997 confirms and details the Constitution principle that holding rights on land can be assigned to peasants and

Proclamation N° 89/1997 "Federal

67


Property Rights and Land Rights Law/Regulationnomads, and that these are to be secured from eviction and displacement;

Rural Land Administration"

It provides various details with respect to redistribution of land, including that this redistribution is a Region responsibility

It establishes the possibility for Regions to perceive fees for the use of land and forest.

Proclamation N° 89/1997 "Federal Rural Land Administration"

The leasehold policy (Proc No. 80/1993) allows individuals and companies to attain access to land through auction, allocation, or lottery.


Article 26 of the Constitution states that "Everyone shall have the right to his privacy and physical integrity. This right shall include protection from searches of his person, his home, his property and protection from seizure of property under his possession."

Constitution Article 26

The 1995 Constitution of the Ethiopia, Article 40(2), 40(4), 40(5) and 40(8) includes legal frameworks that protect the Ethiopian citizen’s rights to private property and set conditions for expropriation of such property for state or public interests.

Constitution Article 40(2)




Article 40(3) vests the right to ownership of rural and urban land, as well as of all natural; resources, in the government and in the peoples of Ethiopia;


Article 40(3) recognizes land as a common property of the Nations, Nationalities of, and peoples of Ethiopia and prohibits sale or any other exchange of land;


Proclamation N° 89/1997 "Federal Rural Land Administration"

Article 40(4) guarantees the right of farmers to obtain land without payment and the protection against eviction from their possession; and


Article 40(5) guarantees the right of pastoralists to free land for grazing and cultivation as well as the right not to be displaced from their own lands.


Article 40(7) states that "Every Ethiopian shall have the full right to the immovable property he builds and to the permanent improvements he brings about on the land by his labour or capital. This right shall include the right to alienate, to bequeath, and, where the right to use expires, to remove his property, transfers his title, or claim compensation for it.


Article 41(9) sets out the State responsibilities to protect and preserve historical and cultural legacies.


The Research and Conservation of Cultural Heritage Proclamation No. Proclamation No.

68


Property Rights and Land Rights Law/Regulation209/2000 of Ethiopia defines cultural heritage broadly as "anything tangible or intangible which is the product of creativity and labour of man in the pre-history and history times, that describes and witnesses to the evolution of nature and which has a major value in its scientific, historical, cultural, artistic and handcraft content."

209/2000

Prior approval of the Authority for Research and Conservation of Cultural Heritage is required to remove from its original site of an immovable cultural heritage (Art. 21/1).

Proclamation No. 209/2000, Article 21/1

Whenever registered, movable cultural heritage is encountered during the execution of the program it is possible to remove such property by notifying the Authority in advance (Art. 21/2).

Proclamation No. 209/2000, Article 21/2

Zikre Hig Regulation No.6 2002 provides for the lease holding of urban land for a specified period of time. It regulates the lease period for different functions, grade of land and payment of lease. It regulates manners of expropriation of land. It regulates that land could be expropriated for public use against payment of compensation

Zikre Hig Regulation No. 6/2002

Several Regions of Ethiopia have taken steps to develop regional land regulations.

Regional Land RegulationsLand use AdministrationProclamation, (No 456/2005 Article 17(1))

Eligibility for compensation is discussed in Article 44(2) of the 1995 Constitution and Proclamation No 455/2005. These two legal documents give entitlement only to those who have formal legal rights over their holdings (properties).


Proclamation No 455/2005

Proclamation No 455/2005, Article 2 (3) stipulates that “Landholder” means an individual, government or private organization or any …other …organ which has legal personality and has lawful possession over the land to be expropriated and owns property situated thereon.”

Proclamation No 455/2005

Rural Land Administration and Land use Administration Proclamation (No. 456/2005 Article 17(1) gives regional states the power to enact regional laws for rural land administrations. The regional laws are to be consistent with the Federal Constitution (No. 1/1995, Article 52(2) (d))


Several regional states (including Amhara, Oromia and Tigray) are now building on the constitutional provisions to improve security of tenure, albeit within the general framework of State ownership of land. Leases are being introduced, that would guarantee lessees a long-term right of usage.

Where leases are concluded between a regional administration and peasant farmers, it does not seem that these leases are reflected in any cadastral documentation (including maps) kept at woreda or region level.

Land Tenure

“Non-owners like renters and business are eligible for relocation and Uncited

69


Property Rights and Land Rights Law/Regulationother assistance in finding a new location, compensation at replacement value for any immovable assets, compensation for loss of income during transition, assistance for physical transfer and follow-up services.”

“People without titles or use right (e.g. squatters, encroachers) will be for specific assistance. They typically claim use rights or even ownership after occupation of unused or unprotected lands. They are likely to have invested in structures or land improvements that are eligible for compensation.”

Uncited

70