Federal Democratic Republic of Ethiopia Ministry of Water and … · 2020-05-17 · Federal...
Transcript of Federal Democratic Republic of Ethiopia Ministry of Water and … · 2020-05-17 · Federal...
Federal Democratic Republic of Ethiopia
Ministry of Water and Energy
Water Supply and Sanitation Program - WaSH II
Resettlement Policy Framework
Draft
October 2013
Addis Ababa
WaSH II - Resettlement Policy Framework
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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
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Table of Contents
List of Acronyms .................................................... i
Figure 1: some community members consulted from different regions 14 ............... v
Key Definitions ................................................. viviv
Executive Summery ......................................... viiiviiivii
1 Introduction ...................................................... 1
2 Program Description and its Potential Impacts ................................ 2
2.1 Program Objectives ................................................ 2
2.2 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 ....................... 4
Geographical Overview ............................................... 4
Eco-climatic zoning of the country ........................................ 4
Overview 4
Main environmental issues related with water in each eco-climatic zone .............. 5
2.4 Potential Program Impacts ........................................... 6
Water and Sanitation Systems Considered under the WSSP ........................ 7
Water Supply Systems .............................................. 7
Sanitation Systems ................................................. 8
Potential Impacts of Rural Water Supply Systems ............................. 89
Beneficial Impacts of Rural Water Supply Systems ........................... 89
Detrimental Impacts of Rural Water Supply Systems .......................... 9
Potential Impacts of Rural Systems on Groundwater ......................... 910
Potential Impacts of Pastoral Water Supply Systems ........................... 10
Beneficial Impacts of Pastoral Water Supply Systems ......................... 10
Detrimental Impacts of Pastoral Water Supply Systems ........................ 10
Detrimental Impacts of Urban Water Supply Systems ........................... 11
Beneficial Impacts of Urban Water Supply Systems .......................... 11
Detrimental Impacts ............................................... 11
Potential impacts of Sanitation Systems .................................... 12
Beneficial Impacts ................................................ 12
Detrimental Impacts ............................................. 1213
3 Consultation on the Program and Resettlement Policy Framework .................. 13
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4 Legal and Institutional Frameworks ...................................... 19
4.1 The Constitution of Ethiopia, 1995 ..................................... 19
4.2 Ethiopian Proclamation No. 455/2005 ................................ 2021
4.3 Land Tenure Regime in Ethiopia ...................................... 24
4.4 Rural Land Administration Proclamation, 1997 ............................ 24
4.5 Environmental Policies .......................................... 2425
4.6 Institutional Arrangements for Social and Environmental Activities ............... 25
4.7 World Bank Safeguard Policy on Involuntary Resettlement .................... 27
4.8 Gaps between Ethiopian Legislations and Bank’s Policies ................... 2829
5 Principles, Objectives, and Processes Related to Compensation and Resettlement in the WSS
Program ........................................................ 29
5.1 Principles and Objectives ........................................... 29
5.1.1 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 ................................................... 3132
5.2.1 Overview of the ESMF Process ................................... 32
5.2.2 Overview of the RPF Process .................................. 3233
5.3 Census of Affected Assets and Affected Households ....................... 3435
5.4 Resettlement Action Plan ......................................... 3435
5.6 Work Packages ............................................... 3435
6 Affected Assets, Affected People and Entitlements .......................... 3435
6.1 Land 3435
6.1.1 Estimates of Surfaces Potentially Required ......................... 3435
6.1.2 Categorization of Land Needs .................................. 3536
6.1.3 Land Tenure Regimes ....................................... 3536
6.2 Other Potentially Affected Assets ................................... 3637
6.3 Entitlements ................................................. 3637
6.4 Resettlement and Compensation .................................... 4238
6.5 Methods for Valuation of Affected Assets .............................. 4238
6.5.1 Ascertaining Eligibility ...................................... 4238
6.5.2 Land and Right of Way .................................... 423839
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6.5.3 Structures ............................................... 4339
6.5.4 Crops .................................................. 4339
6.5.5 Auditing and Monitoring ................................... 433940
6.6 Resettlement and Compensation .................................... 4340
6.6.1 Resettlement – Land Replacement ............................... 4340
6.6.2 Compensation ............................................ 4440
7 Consultation and Disclosure ....................................... 444041
7.1 Consultation on RAPs ........................................... 4441
7.2 Disclosure Requirements ......................................... 4541
7.3 Documentation .............................................. 454142
8 Grievance Management Mechanisms ................................... 4642
8.1 Potential Grievances / Disputes ..................................... 4642
8.2 Proposed Grievance Management Mechanism ........................... 4642
8.2.1 Registration of Grievances .................................... 4642
8.2.2 First Instance – Amicable Settlement ........................... 464243
8.2.3 Appeal to Court ........................................... 4743
9 Underserved and Vulnerable Groups of People ............................ 4945
9.1 Identification of Vulnerable People .................................. 4945
9.2 Assistance to Vulnerable People .................................... 4945
9.3 Special Attention to the Needs of Underserved Groups ..................... 5046
10 Monitoring and Evaluation ......................................... 5248
10.1 General Objectives of Monitoring & Evaluation ........................ 5248
10.2 Auditing and Monitoring During Implementation ....................... 5248
10.2.1 Scope and Content ......................................... 5248
10.2.2 Reporting ............................................... 5349
10.3 Evaluation ................................................. 5349
10.4 Reporting ................................................. 5450
11 Implementation Responsibilities and Funding ............................. 5450
11.1 Implementation Responsibilities .................................. 5450
11.2 Budget ................................................... 5551
11.3 Arrangements for Funding ...................................... 5551
Appendices ...................................................... 5652
Appendix 1: Framework for the Census of Affected Assets & Affected People ...... 575253
Appendix 2: Outline of a Resettlement Action Plan .......................... 6157
Appendix 3: Template Itemization of a RAP Budget ......................... 6359
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Appendix 4: Template of a Claim Registration and Follow-Up Form ............... 6460
Appendix 5: Template of a Consultation Meeting Minute Form .................. 6561
Appendix 6: Entitlement Matrix ........... Error! Bookmark not defined.6263
Appendix 67: Relevant Laws ....................................... 676768
Table 1 Physical Components Considered under Rural & Urban Water Supply Sub-project…7
Table 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 ............ 131414
Table 8: Estimated Land Requirements for Systems Considered Under the WSS Program .... 3435
Table 9: Impact / Entitlement Matrix.................................................................................... 363736
Table 10: Implementation Responsibilities ............................................................................... 5450
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 ................................................................................................................. 333433
Figure 4: Grievance / Dispute Management Mechanism ............................................................ 484446
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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.
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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.
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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
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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 springs
Raw water treatment plants and storage facilities;
Construction of access roads
Water distribution networks including pipelines, public stand taps, public water points
Construction 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;
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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.
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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 programs 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.”
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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 Entitlement
Permanent 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 Cash compensation for loss of land as per Ethiopian Proclamation No.
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Type of Impact Entitlement
of certain usage rights 455/2005 Or replacement by a piece of land in compensation for the
restriction 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 price
Loss of perennial crop Compensation of lost income for a certain period of time, to be determined
following regional/woreda practice Or Ethiopian Regulation No. 135/2007
Loss 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.
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1 Introduction
This report is the Resettlement Policy Framework (RPF) for the Water Supply and Sanitation
Program (WaSH II Program). The WaSH II sub programs 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 programs are
similar to that of WaSH I sub programs, 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
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(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 programs) also participated in updating this RPF. In addition,
consultations with about 201 peoples 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
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including AfDB.
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
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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
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 Programs.
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.
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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.
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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
WaSH II - Resettlement Policy Framework
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piece of land is needed and people are affected because they have houses or other permanent or
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 771 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-Pump
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Drilled well None Hand-Pump Drilled well with submersible pump
Small capacity, on-site storage and treatment
Limited piped distribution network with a few public taps, or on-site distribution
Spring 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 None Pastoral 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
Pressure transmission and distribution system with public and private taps
Drilled well(s) with submersible pump(s)
Raw water treatment plant and treated water storage
Pressure transmission and distribution system with public and private taps
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.
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,
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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 882: Potential Environmental and Social Impacts of Rural Water Supply Systems
System Potential Adverse Impacts R1 - Rural Hand-Dug Well with Hand-Pump and R2 - 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 pad R3 - 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
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 m
3/day. This level
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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 993: Potential Environmental and Social Impacts of Pastoral Water Supply Systems
System Potential Adverse Impacts
R6 – 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 livestock
R7 – 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
R8 – 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
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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 10104: Potential Adverse Environmental Impacts of Urban Water Supply Systems
Component Potential Adverse Environmental Impacts (Bio-Physical)
Spring Catchment
- 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
- Disturbance to topsoil created by earthmoving works and heavy vehicle traffic at construction phase - 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
- Disturbance to topsoil created by earthmoving works and heavy vehicle traffic at construction phase - Noise, dust and vibration
Raw Water Treatment Plants
- Disturbance to topsoil created by earthmoving works and heavy vehicle traffic at construction phase - 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 - Loss of flora and fauna
Transmission Pipelines
- Disturbance to topsoil created by earthmoving works and heavy vehicle traffic at construction phase - Potential leaks at operation phase with health risks associated with standing water - Dust at construction phase - Loss of flora and fauna
Distribution - Disturbance to topsoil created by earthmoving works and heavy vehicle traffic at
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Component Potential Adverse Environmental Impacts (Bio-Physical) Pipelines construction phase
- 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 11115: Potential Adverse Social Impacts of Water Supply Systems
Componen
t
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 water
Impacts 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 12126: Potential Environmental and Social Impacts of Sanitation Systems
System Potential Adverse Impacts Latrines and other individual sanitation Systems
- Impact on groundwater in situations where water table is shallow - 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
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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 and
Resettlement 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 programs) 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 13137: 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 30 Ananoshesho 13 13 26
2 SNNPR Meska Debube Shershera 30 24 54 3 Afar Amibara Andido 24 21 45
4 Somalia Kebere Beyah
Kebere Beyah 10 4 14 Hare 5 17 22
Jigjiga Carbikebek 6 4 10 Total 4 5 7 110 91 201
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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
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
WaSH II - Resettlement Policy Framework
15
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
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
WaSH II - Resettlement Policy Framework
16
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 programs 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 programs is very small as compared to
the size of land each individual possess. Nonetheless, if larger size of land is required only from
one 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 programs among themselves. In addition, there is a trend to assign the
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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 programs 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 programs, 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
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
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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 programs. 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
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
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19
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
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.”
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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.
4.2 Ethiopian Proclamation No. 455/2005
General Overview
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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,
Pay compensation in accordance with this proclamation to landholders whose holdings
have been expropriated.
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.
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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
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
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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
payable under this proclamation, and submit same to the council of ministers for approval.
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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 Policies
4“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”.
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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
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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 programs 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 programs. 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
WaSH II - Resettlement Policy Framework
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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 Representatives
Woreda
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.
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According to OP 4.12, the resettlement plan or resettlement policy framework should include
measures to ensure that the displaced persons are:
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 are
Provided assistance (such as moving allowances) during relocation; and
Provided 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; and
Provided 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).
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Vulnerable Groups
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;
5 “Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative program designs.”
WaSH II - Resettlement Policy Framework
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Costs associated with displacement and resettlement will be internalized into subprogram
costs to allow for fair comparison of processes and sites;
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
WaSH II - Resettlement Policy Framework
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affects their sustainability.
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
6 Depreciation (or wear) coefficients are usually applied by Government valuers. This would not be
acceptable under World Bank policies.
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5.2.1 Overview of the ESMF Process
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):
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.
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
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ESMF/RPF
SCREENING
NO LAND ACQUISITION
IMPACT IDENTIFIED LAND ACQUISITION
IMPACT IDENTIFIED
MORE THAN 200
INDIVIDUALS
AREAFFECTED
Less than 200
INDIVIDUALS
AREAFFECTED
Figure 2. Resettlement Policy Framework process
Census of affected
people and affected
assets Development of a RAP
Review and approval
of
RAP by the RPMU,
FPMU, and WB
Disclosure of the RAP
in-country and through
the WB Infoshop
Delivery of
compensation
and other entitlements
as per this RPF, and
the specific RAP
STANDARD ESMF
PROCESSES
Census of affected
people and affected
assets
Development of RAP
Review and approval
of
RAP by the
RPMU/FPMU
and World Bank In-
country and WB
infoshop disclosure*
Delivery of
compensation
and 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
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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 Packages
It 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 14148: 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.
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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 Variable
U6 – Rehabilitation or expansion of existing system Variable
Latrines and other individual sanitation systems 10 to 50 sq.m. per system
Piped 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:
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“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 15159: Impact / Entitlement Matrix
Type of Impact Entitlement
Permanent 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
Depending on the regime of occupation:
Cash compensation of the loss in value resulting from the restriction (usually in
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Type of Impact Entitlement
example restriction on
height of trees and
crops making certain
crops impossible)
the order of 10 to 30% of the total land value of the affected strip for right-of-ways
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 Matrix
Land &
Assets
Types of Impact Person(s)Affected Compensation/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
Farmer/ Title
holder
Land for land replacement where feasible,
or compensation in cash for the entire
landholding according to PAP’s
choice.
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Land &
Assets
Types of Impact Person(s)Affected Compensation/Entitlement/Benefits
economically
viable.
Land for land replacement will be in
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 )
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 +
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 land
Opportunity 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 Opportunity cost compensation
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Land &
Assets
Types of Impact Person(s)Affected Compensation/Entitlement/Benefits
lease holder equivalent to 10% 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)
Assets used for
business severely
affected
If partially affected,
the remaining
assets become
insufficient for
business purposes
Title
holder/busines
s 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 land
Rental/lease
holder
Cash 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
WaSH II - Resettlement Policy Framework
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Land &
Assets
Types of Impact Person(s)Affected Compensation/Entitlement/Benefits
minimum plot of acceptable size
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.
Relocation assistance (costs of shifting +
allowance)
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
Relocation assistance (costs of shifting +
allowance)
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
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
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Land &
Assets
Types of Impact Person(s)Affected Compensation/Entitlement/Benefits
not suitable for
continued use
an available location which is
acceptable to the PAP.
Right to salvage materials without
deduction from compensation
Relocation 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
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Land &
Assets
Types of Impact Person(s)Affected Compensation/Entitlement/Benefits
higher.
Relocation assistance (costs of shifting)
Assistance to obtain alternative site to re-
establish the business.
Standing
crops
Crops 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
Acquisitio
n
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.
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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.
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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
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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
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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
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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.
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Figure 223: Grievance / Dispute Management Mechanism
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
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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; and
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:
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Assistance in the compensation payment procedure (e.g., specifically explain the process
and procedures, make sure that documents are well understood);
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
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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)
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;
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(v) Site Description;
(vi) Programs to Improve or Restore Livelihoods and Standards of Living;
(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;
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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;
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.
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Evaluation of resettlement activities will be part of general assessment and review activities
undertaken for the Program as a whole.
10.4 Reporting
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 161610: Implementation Responsibilities
Level Responsibility
Affected
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 monitoring
Woredas
(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
Support woredas and towns in the organization of resettlement planning
(censuses, valuation, payment of compensation)
Select consultants to develop Resettlement Action Plans
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Unit 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
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.
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Appendix 1: Framework for the Census of Affected Assets & Affected People
Affected Plot Sheet
Reference:
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:
User 3: Surface used: Regime of tenure:
User 4: 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:
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Date: Prepared By:
Affected Building Sheet
Reference:
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:
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Date: Prepared By:
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:
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Number: Occupation:
Number: Occupation:
Number: Occupation:
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
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Proposed Package
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 impacts
1.1 General description of the program and identification of the program area
1.2 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;
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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,
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 any
4.3 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 communities
8. 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
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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
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
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C2 Vulnerable groups
C3 Coordination of additional mitigations
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:
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Chair (name, position):
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:
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Objective and agenda of the meeting:
Points addressed by Program:
Points raised by participants:
Follow- up activities:
Prepared by: Date:
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Appendix 7: Relevant Laws
Property Rights and Land Rights Law/Regulation
Ownership 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 of
Ethiopia (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
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Property Rights and Land Rights Law/Regulation
Administration
Proclamation N° 89/1997 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;
Proclamation N°
89/1997 "Federal
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.
Proclamation No.
80/1993
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)
Constitution Article
40(4)
Constitution Article
40(5)
Constitution Article
40(8)
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;
Constitution Article
40(3)
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;
Constitution Article
40(3)
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
Constitution Article
40(4)
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.
Constitution Article
40(5)
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.
Constitution Article
40(7)
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Property Rights and Land Rights Law/Regulation
Article 41(9) sets out the State responsibilities to protect and preserve
historical and cultural legacies.
Constitution Article
41(9)
The Research and Conservation of Cultural Heritage Proclamation No.
209/2000 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."
Proclamation No.
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
Regulations
Land use Administration
Proclamation, (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).
Constitution Article
44(2)
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))
Proclamation No.
456/2005
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
Land Tenure
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Property Rights and Land Rights Law/Regulation
any cadastral documentation (including maps) kept at woreda or
region level.
“Non-owners like renters and business are eligible for relocation and
other 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.”
Uncited
“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