P164336 Ministry of Peace Lowland Livelihoods Resilience Project, Federal Project Coordination Unit (LLRP-FPCU) Lowland Livelihoods Resilience Project (LLRP) Resettlement Policy Framework March 6, 2019 Addis Ababa, Ethiopia 0 Table of Contents List of table.................................................................................................................................................... 4 List of figure .................................................................................................................................................. 4 Abbreviations and Acronyms ........................................................................................................................ 5 Executive Summary....................................................................................................................................... 8 1. Introduction .............................................................................................................................................. 1 1.1. Background ........................................................................................................................................ 1 1.2. Justification for Preparation of the Resettlement Policy Framework ............................................... 3 1.3. Objectives of the Resettlement Policy Framework............................................................................ 3 1.4. Principles of the RPF .......................................................................................................................... 4 1.5. Methodology...................................................................................................................................... 6 2. Overview of the Lowland Livelihood Resilience Project (LLRP) ................................................................ 8 2.1. Project Development Objective (PDO) .............................................................................................. 8 2.2. The Lowland Livelihoods Resilience Project (LLRP)........................................................................... 8 2.3. Potential Impacts of the LLRP ........................................................................................................... 9 2.3.1. Potential Positive Impacts........................................................................................................... 9 2.3.2. Potential Negative Impacts and mitigation Measures .............................................................. 10 2.6. Method and Basis of Valuation ........................................................................................................ 25 2.7. Method to Determine Cut-off Date ................................................................................................. 28 2.8. Baseline Data on Environmental and Social Conditions of LLRP Regions ........................................ 29 2.8.1. Physical Environment ................................................................................................................ 30 2.8.2. Socio-Economic Condition ........................................................................................................ 31 2.8.3. Rangeland Management in Lowland Parts of Ethiopia ............................................................. 32 2.8.4. Pastoralist Livelihoods in Ethiopia ............................................................................................ 33 2.9. Institutional Responsibilities ........................................................................................................... 33 2.10. Anticipated Subproject Types and Locations ................................................................................. 38 3. Legal and Institutional Framework ......................................................................................................... 40 3.1. Political Economy and Governance in Ethiopia ............................................................................... 40 3.2. Ethiopian Laws on Pastoralist and Minority Group ......................................................................... 41 3.3. Land Tenure and Land Policy ........................................................................................................... 42 3.4. Formal Land Use Right and Administration ..................................................................................... 43 3.5. Customary Practices in Land Use Right and Administration ............................................................ 43 1 3.6. Property and Land Use Rights in Ethiopia ........................................................................................ 45 3.7. Acquisition and Valuation of Land and other Assets in Ethiopia ..................................................... 45 3.8. Eligibility and Entitlements for Compensation ................................................................................ 47 3.9. Compensation Procedures and Civil Work Schedule ...................................................................... 48 3.10. Voluntary Land Donation .............................................................................................................. 49 3.11. Entitlements and Compensation ................................................................................................... 51 3.12. Compensation for Land and other Assets ...................................................................................... 52 3.13. Dispute Resolution and Grievance Redress Procedures ................................................................ 53 3.14. Requirement of the World Bank Policy for Resettlement /OP 4.12/ ............................................ 54 3.15. Gaps between the National and World Bank Legal Requirements ............................................... 55 4. Community Consultation ........................................................................................................................ 61 4.1. Views of the Community .................................................................................................................. 61 4.2. Summary of Public Participation and Consultation with Stakeholders in Implementing Regions .. 61 4.3. Concerns Raised During Consultation .............................................................................................. 66 4.3.1. Property Right ........................................................................................................................... 66 4.3.2. Provision of Social Services ....................................................................................................... 66 4.4. Outcomes of the Community Consultation and Focus Group Discussion Sessions......................... 67 4.4.1. General Agreements ................................................................................................................. 71 4.4.2. General Level of Understanding on LLRP .................................................................................. 72 4.4.3. Lessons Learned ........................................................................................................................ 72 4.5. Stakeholder Analysis ........................................................................................................................ 72 5. Organization, Procedures and Responsibility ..................................................................................... 79 5.1. Processes for RAP Preparation, Review and Approval ................................................................. 79 5.1.1. Sub-Project Screening ............................................................................................................... 79 5.1.2. Socio-Economic Census and Asset Inventory ........................................................................... 80 5.1.3. Categories of Affected People .................................................................................................. 80 5.2. Development of RAP and ARAP ....................................................................................................... 81 5.2.1. Resettlement Planning Principles and Process ......................................................................... 84 5.2.2. Preparation of a Resettlement Action Plan (RAP) .................................................................... 84 5.2.3. Preparation of an Abbreviated Resettlement action Plan (ARAP) ............................................ 85 5.2.4. Preparation of a Process Framework ........................................................................................ 86 5.3. Review and Submission of RAP or ARAP .......................................................................................... 87 5.4. RAP/ARAP Implementation Agencies .............................................................................................. 87 2 5.5. Indicative capacity building activities .............................................................................................. 90 5.6. Institutional Arrangements for Environmental and Social Safeguards............................................ 91 5.7. Preparation of a Subproject of LRP .................................................................................................. 95 5.8. Review of a Subproject of LLRP........................................................................................................ 96 6. RAP/ARAP Implementation Procedure and Schedule ............................................................................ 99 6.1. RAP/ARAP Implementation Procedure ............................................................................................ 99 6.2. RAP/ARAP Implementation Schedule ............................................................................................ 100 6.3. Implementation Schedule .............................................................................................................. 101 7. Grievance Redress Mechanism ............................................................................................................. 103 12. Sources of Funding and Arrangement for Funding....................................................................... 109 9. Consultation and Participation Process ................................................................................................ 111 9.1. Public Consultation and Disclosure Plan ........................................................................................ 111 9.2. Data Collection Phase .................................................................................................................... 112 9.3. Planning Phase ............................................................................................................................... 112 9.4. Implementation Phase ................................................................................................................... 113 9.5. Monitoring and Evaluation Phase .................................................................................................. 113 9.6 Disclosure Policies and Procedures................................................................................................. 113 10. Monitoring and Evaluation Arrangements ......................................................................................... 114 10.1. Introduction ................................................................................................................................. 114 10.2. Monitoring Principles ................................................................................................................... 114 10.3. Monitoring Framework ................................................................................................................ 114 10.3.1. Internal Monitoring............................................................................................................... 115 Internal Monitoring: GRM................................................................................................................. 115 10.3.2. External Monitoring and Evaluation ..................................................................................... 115 10.4. Completion Audit ......................................................................................................................... 116 10.5. Indicators of LLRP Impacts ........................................................................................................... 116 Annex I: Glossary of Terms ................................................................................................................... 119 Annex II: LLRP -RAP/ARAP Screening Checklist..................................................................................... 121 Annex III: Census Survey and Land asset Inventory .............................................................................. 124 Annex IV: Resettlement Action Plan-RAP Guideline ............................................................................. 129 Annex V: Sample Grievance Procedure Form ....................................................................................... 134 Annex VI: List of RPF Participants ......................................................................................................... 136 3 List of table Table 1: Social Safeguards Screening Information.................................................................................. 6 Table 2: Entitlement Matrix. ....................................................................................................................... 12 Table 3: Stakeholders engagement and responsibilities. ...................................................................... 35 Table 5: Gap Analysis and Measures to Fill the Gap. .......................................................................... 56 Table 6: List of Sample Woredas visited and the number of Consulted Community Members for RPF Preparation. ...................................................................................................................................... 62 Table 7: Profile of experts and officials involved in KII and FGD sessions for RPF preparation. ... 64 Table 8: Summary of Issues and Responses Presented At Consultation Meetings. ............................ 67 Table 9: Stakeholder Analysis ................................................................................................................. 73 Table 10: RAP/ARAP Implementation Agencies and their Responsibilities....................................... 88 Table 11: Woreda and Kebele Compensation and Resettlement Committee (CRC) Composition and Responsibility. ........................................................................................................................................... 89 Table 12: Indicative Outline of a RAP Budget ........................................................................................ 109 Table 13: Types of verifiable indicators .................................................................................................. 116 List of figure Figure 1: Steps for the preparation of RAP or ARAP........................................................................... 83 Figure 2: Proposed Grievance Redress Mechanisms ........................................................................... 106 4 Abbreviations and Acronyms AFs Affected Families AHP Animal Health Post APs Affected Persons ARAP Abbreviated Resettlement Action Plan BoAL Bureau of Agriculture and Livestock BoWYC Bureau of Women, Youth and Children BoFED Bureau of Finance and Economic Development BoPD Bureau of Pastoral Development CAC Community Audit Committee CAHW Community Animal Health Worker CDD Community-driven Development CIF Community Investment Fund CIG Common Interest Group COSOP Country Strategic Opportunities Program CPF Country Partnership Framework CRGE Climate Resilient Green Economy CSA Central Statistical Agency CSMC Community Sub-project Management Committee DAs Development Agents DPs Displaced Persons DRDIP Development Response to Displacement Impacts Project DRSLP Drought Resilience and Sustainable Livelihoods Program ESMF Environment and Social Management Framework ESS Environmental and Social Safeguard FGD Focus Group Discussion F-PCU Federal Project Coordination and Implementation Unit FSC Federal Steering Committee FTWG Federal Technical Working Group GIRP Grievance Investigation and Resolution Process GMG Gender Mainstreaming Guide GoE Government of Ethiopia GRM Grievance Redress Mechanism GRS Grievance Redress Service IDA International Development Association IDDRSI IGAD’s Drought Disaster Resilience Sustainable Initiative IFAD International Fund for Agriculture Development IGA Income Generating Activity 5 LRP Livelihood Restoration Plan KDC Kebele Development Committee KII Key informant interview LLRP Lowland Livelihoods Resilience Project MoAL Ministry of Agriculture & Livestock MoFEC Ministry of Finance and Economic Cooperation MFI Micro Finance Institution MoP Ministry of Peace MoU Memorandum of Understanding MoT Ministry of Trade MoWIE Ministry of Water, Irrigation and Energy NAP National Adaptation Plan OP Operational Policy PAP Pastoral and Agro-pastoral PAPs Project Affected Persons PAPREG Pastoral and Agro-pastoral Research and Extension Group PAPTC Pastoral and agro-Pastoral Training Center PBSP Promoting Basic Services Program PCDP Pastoral Community Development Project PCU Project Coordination Unit PDO Project Development Objective PIM Project Implementation Manual PPEs Personal Protection Equipments PRA Participatory Rapid Assessment Appraisal PTCs Pastoral Training Centers RMC Rangeland Management Committee RAP Resettlement Action Plan RMIP Rangeland Management& Investment Plan R-PCU Regional Bureaus of the Project Coordination and Implementation Unit RPF Resettlement Policy Framework RPLRP Regional Pastoral Livelihoods Resilience Project RUSACCO Rural Savings and Credit Cooperative RSC Regional Steering Committee SA Social Assessment SDG Sustainable Development Goal SI Strategic Investment SLMP Sustainable Land Management Program SNNPR Southern Nations, Nationalities and People’s Region TA Technical Assistance 6 TGRI Traditional Grievance Redress Institution WCST Woreda Cluster Support Team WDC Woreda Development Committee WoFED Woreda Office for Finance and Economic Development WTC Woreda Technical Committee WoPD Woreda Office for Pastoral Development WB World Bank 7 Executive Summary The Lowland Livelihood Resilience Project (LLRP)aims to enhance rangeland management, livelihood improvement and diversification, and market dimensions to promote livelihoods resilience components of the intervention. As part of the World Bank’s standard, it is essential to develop a Resettlement Policy Framework (RPF) to reduce the potential adverse impacts of the project on the environmental and social settings of the intervention areas. The RPF details agreed policies, guidelines and procedures to be integrated into the implementation of the project in selected Woredas and Kebeles of the LLRP regions. The proper implementation of the RPF ensures compliance with applicable laws and regulations of the Government of Ethiopia (GoE) as well as relevant World Bank operational policies and procedures. The LLRP is planned to assist approximately 2.5 million male and female Pastoralists and Agro- Pastoralists (PAP). The primary beneficiaries of LLRP are selected individuals, households, and communities. These will include (i) pastoralists and agro-pastoralists in the targeted rangelands; (ii) those opting out of pastoralist or those interested in taking up alternative forms of livelihoods; and (iii) the populations in the selected woredas and kebeles who gain access to social services. Furthermore, private enterprises engaged in commercial businesses in the areas, public institutions delivering public goods and services, cooperatives and Micro Finance Institutions (MFIs) engaged in financial and non-financial service provision and government line department engaged in the target regions will benefit directly or indirectly. It will be implemented in 100 Woredas selected from Afar, Somali, SNNP, Oromia, Benishangul Gumuz and Gambela regional states. In most cases, the spatial dataset will be maintained based on rangeland characteristics, livelihood zones, economic domains, and geographic features that will be used as an input to outline several distinct, mutually exclusive woreda clusters. The LLRP will be financed bythe International Development Association (IDA) of the World Bank and the United Nations International Fund for Agricultural Development (IFAD). It is indicated 1 that the financial resource is going to be accompanied by matching fund contributions from the Government of Ethiopia (GoE) and the beneficiary communities. The total project cost, over the six years, is USD 514 million. GoE will provide complementary funding for the salaries of all project staff at Federal Project Coordination and Implementation Unit (F-PCU) not directly hired by the project. In addition, GoE will provide project office spaces at the Ministry and in the 100 Woredas. The LLRP has four project components including; (i) Component 1: Integrated Rangeland Development and Management; (ii) Component 2: Livelihood Improvement and Diversification; (iii) Component 3: Improving Basic Services and Capacity Building; and (iv) Component: 4: 1 World Bank (October 2018). Project appraisal document: Lowland livelihoods resilience project (LLRP)- (P164336) 8 Project Management, Monitoring and Evaluation. The RPF is directly related to the implementation of the first component of the LLRP; that is, Component 1.Integrated Rangeland Development and Management; Component 2: Livelihood Improvement and Diversification, and Component 3: Improving Basic Services and Capacity Building. In the case of the second component of the LLRP; sub component 2.1. Enhance pastoral and agro pastoral production system and sub component 2.2. Promoting livelihood diversification and market access implies need for land. The third component of the LLRP with a specific emphasis on sub component 3.1 “Provision of Basic Social Services and Infrastructure” which will have clear land requirements for the construction and expansion of basic social infrastructures. This Resettlement Policy Framework (RPF) is prepared with the clear purpose to address social and environmental impacts which may arise because of LLRP proposed subproject activity implementation. LLRP activities may entail physical or economic displacement of people. If the displacement of people is not properly managed, it may in turn result in violation of human rights, environmental degradation and loss of livelihoods. Proper management of displacement can avoid the concomitant problems with possible minimum impact on people and the environment. Thus, the purpose/rationale of this RPF is based on the Ethiopian legal frameworks and World Bank Operational Policy 4.12. Ethiopia has policy and legal frameworks which assist the administration of resettlement and/or compensation payment for the displaced persons. These policy and legal frameworks are guided by universally accepted principles, such as; compensation payment which is prompt (advance or prior) and adequate. Further, this RPF is developed based on the World Bank Safeguards Policy 4.12 and the relevant national laws and regulations and will form the basis for resettlement and restriction of access to and use of natural resources planning. The RPF seeks to ensure that affected communities are meaningfully consulted, involved in planning, and adequately compensated for in a fair and transparent manner. This Resettlement Policy Framework (RPF) outlines the overall resettlement objectives and principles, the funding mechanisms, and the resettlement operational arrangements including the preparation, review, approval and implementation of Resettlement Action Plan, Abbreviated Resettlement Action Plan (RAP/ARAP), or Livelihood Restoration Plan (LRP) based on the scope of impact. Grievances will be actively managed and tracked to ensure that appropriate resolution and actions are taken. A clear schedule will be defined for resolving grievances, ensuring that they are addressed in an appropriate and timely manner, with corrective actions being implemented. The approach and procedure for Grievance handing for LLRP is included in this RPF. In addition to this RPF, a complementary Environment and Social Management Framework (ESMF) and Social Assessment (SA) documents have been prepared to deal with specific potential environmental and social concerns. The RPF is prepared using primary and secondary data. The qualitative data was collected from 20 sample Kebeles in 10 woredas. The Benishangul Gumuz national regional state was not 9 included in the study due to the ongoing instability. Primarily, purposive sampling was used to include the Woredas and accessibility was also used as an additional criterion. Focus group discussions were made using semi-structured checklist with male and female community members, religious leaders and elders. Attempts were made to include vulnerable community members like female household heads, people with disabilities, the old, and the poor. Key informants such as Development Agents (DAs), woreda experts from different line offices and Kebele chairmen, Pastoral Community Development Program III (PCDP-III) woreda focal persons, experts from Regional Bureau of Environment, Forest and Climate, and PCDP-III Regional Environment and Social Safeguard specialists were also consulted. With regards to the total number of Consultation participants, 103 relevant institutions and 555 (360 male and 195 female) individuals at national, regional, woreda and kebele level reflected their vision, expressed their concern and ideal recommendations for the proposed LLRP components and sub project activities. The implementation of project interventions will be undertaken in a decentralized fashion. Since there is safeguard implementation and monitoring capacity challenges especially at woreda and community level to implement the RPF and other safeguard instruments, the internal staff at all levels will be provided orientation, including training and skills upgrade to strengthen their capacity to carry out and report on social and environmental impact assessments for sub-projects as well as their implementation; and to ensure adequate and effective compliance and effect monitoring. Besides capacity building activities for effective implementation of the RPF and other safeguard instruments (SA and ESMF), technical assistance will be required at regional, woreda and kebele levels. The Project will work closely with civil society, research and academia, consultancy firms and the Bank’s safeguard specialists to implement all safeguards instruments. To sum up, the RPF describes the proposed LLRP project, identifies likely social and environmental impacts and proposes management measures to mitigate them during its implementation. Preliminary assessments of the potential environmental and social impacts of the LLRP have been elaborated and the respective measures to mitigate them outlined as well. The institutional framework for operationalization of the RPF will be defined based on the draft PIM presented by Ministry of Peace and specific recommendations for inclusion of some agencies that are deemed pivotal with regards to attaining meaningful inclusion of vulnerable groups and overall effective implementation of the project on the ground has to be made. For effective mainstreaming of the RPF into the institutions, capacity building strategies will be proposed with the most key being training and recruitment of in-house Environmental Management and Social Development Specialists as a long-term and sustainable solution to Ministry of Peace’s current limited capacity to effectively implement this RPF. Based on the preliminary assessments as the specific locations of the sub-projects are unknown at this point, overall, the impacts of the LLRP will be of small scale, localized and of short-term nature which can be effectively mitigated through the mitigation measures proposed and by strictly following the requirements and guidance in this RPF. 10 1. Introduction 1.1. Background The Ethiopian highlands, accounting for 40 percent of land area but over 85 percent of population, have been epicenter for economic and political power for centuries. The arid and semi-arid low- lands, accounting for 60 percent of land area, 12 to 14 percent of the population of mainly pastoral and agro-pastoral (PAP) communities, have traditionally been marginalized from the mainstream political and economic engagements of Ethiopia. In the Second Growth and Transformation Plan (GTP II), due emphasis is given to the expansion of potable water supply for humans and livestock, expansion of small-scale irrigation using surface and ground waters, strengthening the pastoral extension service system, integrating the implementation of social service institutions and infrastructures and institutional capacity building. Being dependent on traditional production methods; the proper identification of production methods, preparing plans for various agro- ecological zone, cross breeding, dairy development and reproduction of small ruminants were suggested as a means of transforming the sub sector2. The Lowland Livelihoods Resilience Project (LLRP) which is assisted by the World Bank is partly the result of the various previous development interventions. Among others, projects like Pastoral Community Development Project (PCDP III), the Regional Pastoral Livelihoods Resilience Sustainable Initiatives (RPLRP), Drought Resilience Sustainable Initiatives (IDRSI) and the recently launched one Development Response to Displacement Impacts Project (DRDIP) are frameworks for livelihoods resilience elements. The LLRP primarily focuses on rangeland and natural resource management, livelihood improvement and diversification, and market dimensions to promote livelihoods resilience components of the intervention. As part of the World Bank’s standard, it is essential to develop a Resettlement Policy Framework (RPF) to reduce the potential adverse impacts of the project on the environmental and social settings of the intervention areas. More specifically, the RPF drives from the World Bank’s involuntary Resettlement Policy OP/BP/4.12 which sets out safeguard measures where a Bank assisted project will involve involuntary resettlement of persons to make way for the implementation of the project, and where such, resettlement may result in loss of assets and create hardships for those being resettled. Thus, it is meant to address the social impacts of the LLRP focusing on issues such as acquisition of land resulting from the implementation of the sub-projects that may result in loss of property or disruption that affects the livelihoods and restriction of access to natural resources. 2Federal Democratic Republic of Ethiopia (2016). Growth and Transformation Plan II (GTP II). Volume I. pp. 122 and 135. 1 The main Project Development Objective (PDO) is to enhance livelihood resilience, productivity and commercialization systems among PAP communities in Ethiopia. The contribution of the LLRP will be manifested in a number of focus areas and strategic objectives including enhancing structural and economic transformation through increased productivity and broad-based economic growth, reduction of Government of Ethiopia’s (GoE’s) policy on vulnerabilities and improved environmental sustainability. It is at large expected to contribute to the achievement of the GTP II objectives by maintaining a stable macroeconomic environment and pursue comprehensive measures towards narrowing the saving-investment gap and bridging the widening trade deficit. In addition, the domestic, international and regional agendas, policies, strategies and development priorities are considered as a basis for the LLRP. According to the Project Appraisal Document (PAD), the LLRP is planned to assist approximately 2.5 million male and female pastoralists and agro-pastoralists (PAP) by implementing basic tasks of each project elements. The primary beneficiaries of LLRP are selected individuals, households, and communities residing in pastoral and agro-pastoral areas of Ethiopia. This includes (i) pastoralists and agro-pastoralists in the targeted rangelands; (ii) those opting out of pastoralist or those interested in taking up alternative forms of livelihoods; and (iii) the populations in the selected woredas and kebeles who gain access to social services. Furthermore, private enterprises engaged in commercial businesses in the areas, public institutions delivering public goods and services, cooperatives and Micro Finance Institutions (MFIs) engaged in financial and non- financial service provision and government line department engaged in the target region. The LLRP is going to be implemented within pastoral and agro-pastoral areas of Ethiopia. It will be implemented within 100 Woredas selected from the targeted regional states such as Afar, Somali, SNNP, Oromia, Benishangul Gumuz and Gambela based on cluster categorization. In most cases, the spatial dataset is maintained based on land cover, land use, and other geographic features that will be used as an input to outline a number of distinct, mutually exclusive clusters. The LLRP will involve two strategic investment sub-components. The first one is rangeland management and pasture improvement initiatives. These are more aligned with natural resources management objectives (pasture development, livestock routes, water resources development, and soil and water conservation). The second one is public economic infrastructure (including small scale irrigation), financing larger strategic infrastructure identified in the Rangeland Management and Investment Plan (RMIP). The LLRP will be financed by two development partners International Development Association (IDA) and the International Fund for Agricultural Development (IFAD). It is also indicated3 that the financial resource is going to be accompanied by the matching fund contributions from the Government of Ethiopia (GoE) and the beneficiary communities. The project will follow the 3 World Bank (October 2018). Project appraisal document: Lowland livelihoods Resilience Project (LLRP)- (P164336) 2 government’s channel II fund flow mechanism whereby funds will flow from IDA and IFAD to the Ministry of Peace (MoP). The total project cost, over the five years period, is USD 514 million. Preliminary assessment of the potential environmental and social impacts of the LLRP has been elaborated and the respective measures to mitigate them outlined. The study was conducted in 10 woredas both from pure pastoralist and agro-pastoralist selected purposively from each livelihood zones, of which 2 in Somali, 2 in Afar, 2 in Oromia and 2 SNNP and 2 in Gambela regional states. The two Woredas selected from Benishangul Gumuz regional state are not visited due to the ongoing instability at the region. The Resettlement Policy Framework (RPF) is prepared as a tool to be used throughout the LLRP implementation. The RPF will be publicly disclosed in impacted areas to set out resettlement and compensation policy, organizational arrangements and design criteria to be applied to meet the needs of the PAP who may be affected by the project. The Resettlement Action Plans (RAPs) for the LLRP will be prepared consistent with the provisions of the RPF. 1.2. Justification for Preparation of the Resettlement Policy Framework This is specifically designed to give attention to social concerns in to consideration with issues related to avoid, mitigate or compensate potential adverse impacts due to the proposed LLRP sub project activities on project affected people (PAP). Besides, it helps to properly plan for and address to these identified impacts. This in turn will help to influence the decision-making process in a positive way based on resettlement principles, development options, designing alternative approaches and implementation mechanisms, organizational arrangements, designing criteria to sub projects, participation of the potential beneficiaries particularly the Project Affected Persons (PAPs) and compensation modalities. In general, the process of the project preparation and screening is guided by Operational Policy (OP) 4.12 that dictates issues about (Involuntary Resettlement Policy). This is because, some project activities may involve land acquisition, loss of assets such as buildings, crops and other property of value like trees and plants, property modification and physical resettlement of parents/families. This is further compartmentalized in to (i) financing rangeland management and pasture improvement initiatives (like; small dams, check dams and area enclosures) and (ii) public economic investments (like; wider rangeland areas, bridges and tertiary roads, secondary and primary markets and abattoirs/slaughter house and small-scale irrigation scales). The stated sub- projects require land. 1.3. Objectives of the Resettlement Policy Framework Generally, the Resettlement Policy Framework serves as a guiding framework that outlines the principles, policies and procedures that govern the implementation of social impact mitigation on PAPs regarding the compensation for partial, full or other loss of property, disruption of livelihood, relocation or resettlement. The framework is valid for all sub-project activities implemented under the LLRP and attracting World Bank financing. Specifically, the resettlement policy framework 3 covers the following elements which are consistent with the provisions described in Ethiopian rules and regulations as well as World Bank standards: 1. Establishing principles, objectives and procedures for the preparation and implementation of resettlement plans, land acquisition, compensation mechanisms and methods of valuing affected assets, 2. Define eligibility criteria for identification and categorization of PAPs for compensation and other entitlements, 3. Review on legal and institutional frameworks underlying Ethiopian approaches for resettlement, compensation and rehabilitation; assessing gaps between borrower laws and regulations and WB policy requirements and suggesting measures for bridging these gaps, 4. Assess organizational and operational procedures for delivery of entitlements across various sectors and institutions, 5. Providing procedures for filling and resolving grievances (grievance redress mechanisms), 6. Describe the arrangements for funding resettlement and consultation mechanisms with various actors; and, 7. Indicate institutional arrangements for Resettlement Action Plan (RAP) preparation and implementation of the program. 1.4. Principles of the RPF This Resettlement Policy Framework considers project affected people as those who stand to lose because of the project, all or part of their physical and non-physical assets, including homes, productive lands, resources such as perennial and non-perennial crops, forests, commercial properties, and income-earning opportunities. Such impacts may be permanent or temporary. The principles outlined in this RPF to all economically and/or physically displaced persons regardless of the total number of people affected, the severity of the impact and whether they have legal title to the land. Attention will be paid to the needs of vulnerable groups among those economically and/or physically displaced especially those below the poverty line, the landless, the elderly, women and children or other economically and/or physically displaced persons who may not be protected through Ethiopian’s legislation related to land exploration. This RPF is guided by the following set of salient principles: • Involuntary resettlement and land acquisition will be avoided where feasible, or minimized, by exploring all viable alternatives. • Where involuntary resettlement and land acquisition is unavoidable: • Resettlement and compensation activities will be conceived and executed as sustainable development programs. 4 • Displaced and compensated persons will be meaningfully consulted and have opportunities to participate in planning and implementing resettlement and compensation programs. • Displaced and compensated persons will be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them. The RPF seeks to ensure that affected communities are meaningfully consulted, have participated in the planning and implementation process, adequately compensated to the extent that the pre- displacement incomes have been at least restored or improved and the process is fair and transparent. Meaningful consultations with the affected persons, local authorities and community leaders will therefore allow for establishment of criteria by which displaced person will be deemed eligible for compensation and other resettlement assistance. On the bases of OP 4.12, this RPF establishes eligibility criteria for various categories of PAPs to resettlement entitlements and other forms of assistances based on the range of impacts directly attributable to the project. Affected persons may be classified as persons: a) those who have formal legal rights to land or assets; b) those who do not have formal legal rights to land or assets at the time the census begins, but have a claim to land or assets that is recognized or recognizable under national law; or c) those who have no recognizable legal right or claim to the land or assets they are occupying or using (Para. 15). And the census of PAPs and asset inventory need to be undertaken as soon as possible to ensure accurate determination of eligibility for entitlement. For the LLRP, compensation and resettlement committee will establish a cutoff date for eligibility as soon as project designs are ready is the most efficient way to prevent fraudulent claims for assistance. Further information regarding eligibility for the different categories of potential project affected people is included in Table 1: Entitlement Matrix of this RPF. The RPF is therefore prepared to govern the sub-projects selected for financing and sets out the elements that will entail involuntary resettlement, which will not be known during the project appraisal. It ensures that any possible adverse impacts or proposed project activities are addressed through appropriate mitigation measures, against potential risks. The RPF provides the basis for preparing Resettlement Action Plan (RAP)/Abbreviated Resettlement Action Plan (ARAP), if required, once their location and scope are known. Whenever a project activity or sub-project results in land acquisition, a RAP, which is a detailed action plan, shall have to be formulated and approved by the World Bank before the commencement of the physical work. The impacts of any potential resettlement activities will be monitored and evaluated as set of this RPF. 5 Table 2: Social Safeguards Screening Information. S. Social Safeguards Screening Information Yes No N 1 Will the project reduce people’s access to their economic resources like, land, pasture, water, public services or other resources that they depend on? 2 Will the project result in resettlement of individuals or families for its development? 3 Will the project require the acquisition of land (public or private, temporarily or permanently) for its development? 4 Will the project result in loss of livelihoods of individuals or families for its development? 5 Will the project have an impact on livelihoods of squatters or encroachers? 6 Will the project result in temporary or permanent loss of crops, fruits, trees and household infrastructure (such as granaries, outside toilets and fences etc)? 7 Might the project adversely affect vulnerable people (e.g., elderly poor pensioners, physically challenged, poor women, women head of households, children without single or both parents, youth headed households, widows, HIV/AIDS patients, children living in a foster care and historically marginalized group of people etc) living in the area? 8 Will the project impose restriction of access to natural resources in legally designated parks, grazing lands or other protected areas resulting in adverse impacts on the livelihoods of the displaced persons? 9 Will the project require excavation near any historical, archaeological or cultural heritage site? 10 Will the project lead to the degradation of critical natural habitats, including those habitats that are (a) legally protected, (b) officially proposed for protection, (c) identified by authoritative sources for their high conservation value, or (d) recognized as protected by traditional local communities? 11 Will the project negatively affect the forest health and quality and, on the rights, and welfare of the people who depend on them? For all issues indicated by “Yes”, the project implementer is expected to show/demonstrate it intends to mitigate them. Implementation of the mitigation measures will require using appropriate resettlement tools including; Resettlement Action Plan, Abbreviated Resettlement Action Plan, Livelihood Restoration Plan, and/or Process Framework as required in OP 4.12. Source: World Bank (2005). Operational manual: environmental and social safeguard policies. 1.5. Methodology The RPF is prepared to maintain the balance of social safeguards standardization and empowering the PAPs in the process until they receive their entitlements. The output of the consultation is establishing a framework for the development of the RPF and subsequent RAPs. The preparation of this RPF used a participatory bottom-up approach that considers the active participation of federal, regional, zonal, woreda and Kebele level officials and experts on one hand and elderly, religious leaders, adult men and women, youth and poor of poor on the other hand. 6 The LLRP will be implemented in six regional states and across 33 zones and 100 woredas. Hence, the project will be covered; Afar (20 woredas from 5 zones), Benishangul Gumuz (9 woredas from 3 zones and one special woreda), Gambela (8 woredas from 3 zones and 1 special woreda), Oromia (18 woredas from 7 zones), Somali (36 woredas from 11 zones) and SNNPR (9 woredas from 2 zones). The sampling of the RPF woredas was done with the involvement of the members of the Project Design Team of MoP. Field data collection was limited to 10 sample woredas. In the Woreda selection, purposive sampling and, vulnerability and accessibility were used as a criterion to select the sample Woredas (2 from each involved region-Afar, Benshangul Gumuz4, Gambella, Oromia, Somali and SNNPR). Besides, additional criteria like maintaining the balance on pastoral and agro- pastoral contexts and security status were used while selecting woredas and Kebeles. 4 The RPF study was not conducted at Benishangul Gumuz regional state due to the ongoing instability during the field work. 7 2. Overview of the Lowland Livelihood Resilience Project (LLRP) 2.1. Project Development Objective (PDO) The LLRP intends to enhance livelihood resilience, productivity and commercialization systems among pastoral and agro-pastoral /PAP/ communities in Ethiopia. 2.2. The Lowland Livelihoods Resilience Project (LLRP) Project consists of four (4) major components: Component 1: Integrated Rangeland Development and Management Component 2: Livelihood Improvement and Diversification Component 3: Improving Basic Services and Capacity Building Component 4: Project Management, Monitoring and Evaluation But, a detailed illustration is made on the components and sub-components that require land acquisition. These are: Component 1: Integrated Rangeland Development and Management This component is related to the management of all-natural resources under which the pastoral and agro-pastoral production system operates, rangelands. It will be further strengthened by strategic investment in relation to market infrastructure. 1.1.Integrated Rangeland Management Planning sub-component: is entrusted with major objective and strategic goals of reducing degradation, encroachment and rehabilitating rangelands and enhancing improved forage production in that order. 1.2. Supporting strategic investments sub-component: will finance two types of strategic investments identified and prioritized in Rangeland Management Investment Plan (RMIP): the first investment focus on financing rangeland management and Pasture improvement initiatives, based on approved RMIPs. The second window will support strategic public economic investments (PEI) that cover a large geographic area encompassing several communities, and in some cases possibly several Woredas, associated with improved rangeland management, especially in fostering links between improved rangeland management, pasture development and livestock development and marketing. Component 3: Improving Basic Services and Capacity Building Various studies have revealed that the underdeveloped human capital is the characterizing future of the pastoral and agro-pastoral communities. In this regard, training and capacity building of both civil servants and members of the communities were found meager. Perhaps, in line with “the special attention given to PAP communities”, animal health technicians, micro-irrigation technicians and also other professionals have got training at various parts of the country as the findings of this study evidenced. However, given the longer period of marginalization of the 8 communities under consideration, the training and capacity building endeavors of so far could not bring about the desired changes. But, apart from the historic marginalization of the communities under consideration, the nature of the ongoing capacity building endeavors, the way they are implemented and the degree commitment from the side of concerned government offices is also clearly contributed to the persistence of the problem. As a tool of addressing these gaps, this component is further represented by (i) provision of basic social services and infrastructure and (ii) institutional capacity building and (iii) knowledge management, research and policy support. 3.1. Provision of Basic Social Services and Infrastructure Sub-Component: will support community sub-projects in targeted pastoral and agro-pastoral kebeles (sub-districts) to build demand-driven social and economic infrastructure. It will provide investment funds that together with community contributions will help expand and improve service delivery and build infrastructure for local development. A CDD approach will continue to be utilized and the PCDP III PIM would be revised to consider lessons derived from experience and to ensure implementation modalities are fit for purpose with sub-projects now also encompassing several communities as necessary. Investments will be identified, prioritized, implemented and monitored by beneficiary communities who will also be responsible for procurement and financial management of sub-projects. The subcomponent will comprise a Community Investment Fund (CIF) and related technical support to promote broad participation and community decision- making in local development. At local level, a menu of options, that includes but not limited to, education, health, veterinary service, potable water, spot improvements of village tracks and trails, small bridges, etc., would remain available for selection and financing through the CIF. 2.3. Potential Impacts of the LLRP 2.3.1. Potential Positive Impacts It is expected that LLRP will be beneficial to the communities and to the environment since environmentally and socially sound rangeland management and improvement activities will be implemented. The activities will include small scale and micro irrigation water resource development and management, water development for rural water supply and for livestock, market center development and commercialization as well as livelihood development and diversification. Besides, pasture rehabilitation and incorporation of forage crops into pastures; development implemented and managed properly, will bring livelihood resilience-oriented benefits to the community. More specifically; the proposed strategic options have multiple environmental and social benefits that can bring significant improvement in local livelihoods and ecosystem health. Some of the multiple benefits of LLRP to the community are listed below. The LLRP is expected to have the following positive impacts:  LLRP is designed to accommodate the livelihood, land use and resource management system of the local communities in the targeted regional states through participatory approach to communities’ rangeland management and livelihood activities; 9  Enhances participation of all stakeholders in planning, implementation and monitoring of projects and programs;  Increases knowledge and awareness of local communities on the economic, social and environmental benefits of rangeland;  In cases where land is needed and it is acquired involuntarily, it will make sure that all assets are compensated;  Increases the roles of women in rangeland management and conservation through gender mainstreaming in the rangeland sector;  The compensation and resettlement committees will create a platform on addressing complaints and grievances related to the implementation of resettlement and compensation claims in a way that addresses to the issues raised by title and non-title PAPs;  Demarcation of livestock routes will make control of diseases easier as veterinary staff can then manage the movement of livestock in cases of livestock disease out-breaks; 2.3.2. Potential Negative Impacts and mitigation Measures The LLRP activities may have some negative impacts on assets and livelihoods and may result in either economic or physical displacement. This RPF makes provisions to minimize the impacts through involvement of land users or landowners, pastoralist and agro-pastoralist and rangeland dependent communities where practical in order to minimize land acquisition cases. However, the exact locations of sub-projects are not known in sufficient detail the provisions made in this RPF will be used to accommodate all potential situations related to acquisition of land, access to and use restriction to natural resources. The synthesis of the key environmental and social risks and mitigation measures extracted from the community consultations on potential risks and proposed mitigation measures relevant to the RPF are presented below. Impacts of Land Acquisition One of the major potential negative impacts of the earth dam and tertiary road related construction works proposed in LLRP will require land and will affect farming land and grazing land which is used to grow crops (annual and perennial) and trees. Land required for the construction of these infrastructures are mainly of two types; namely land which is required permanently for the construction works, and land required for temporary works (storage and access road constructions). Land which is permanently required is for the construction of the LLRP infrastructures. The temporary land requirement is mainly for the construction of access roads and stores. The permanent dispossession of land will affect; a) Agricultural land b) Grazing land c) Perennial crops (or fruit trees) d) Different types of timber trees e) Nursery sites for trees f) Public & community assets/utilities 10 g) Houses/buildings, fence, and h) Other structures (e.g. burial grounds, granary, etc). Considering the nature of the project, the extent of land expropriation, it is unlikely that there will be anything other than a low level of (partial) impact as far as grazing land/agricultural landholders and the overall project are concerned. Strips of farmland and grazing land along the construction of the earth dam and tertiary road will be permanently and temporarily affected. The project will mitigate such risks through various forms of compensation based on scope of impact and availability of options (including land for land, provision of alternative grazing area, provision of alternative access route, cash compensation, etc.). Impacts on Housing Structures and Relocation The impact of the proposed sub project activities may extend on housing, farmland and grazing land does not initiate or require resettlement or relocation of project affected persons. In some locations of LLRP woredas, there could be a need to relocate few households who may not have enough land to build new housing structures in the remaining plot of land or may not have enough plot size to build new houses, in which case the provisions in this RPF will apply. Restriction of Access to Natural Resources The LLRP, based on the principles outlined in this RPF establishes the process that will be used for addressing social impacts due to the denial of access, or restrictive or limited access to or total loss of access to natural resources of people and communities in these areas. Accordingly, the project implementing entity will develop an action plan acceptable to the WB based on the nature of restrictions, as well as the type of measures necessary to mitigate any adverse impacts during preparation of sub project activities. The key process to be followed during enforcement of access and use restriction to natural resources is included in section See section 5.2.4. Preparation of a Process Framework. 11 Table 3: Entitlement Matrix. Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected Permanent Loss Grazing or farm Clan based land -Elite capture may be a potential risk for - Clan leader, -Both the clan leader and clan members are entitled land use right holders communities who are under clan-based clan members to get cash compensation. as a group but land or clan members. and poor and -If it is fair and suitable, the implementing agencies compensation is • Thus, consultation should be done powerless will use traditional resources distribution mechanism to be paid to the with both the clan leader and clan people may fail and allocate replacement grazing land as appropriate. individuals members. to get the - Land for land replacement: acceptable alternative • Identify the size of the land to be entitled grazing land to be agreed with affected PAPs. taken or donated compensation. - Compensation as per the productivity of the land • Survey members of the clan and the current market price of the grass per square • Document the agreement and meter. signature from all members of the clan, inter-clan or inter-village. Grazing land Arable land -loss of grazing area PAP who have Land for land replacement: acceptable alternative located along usufruct right to grazing land to be agreed with affected PAPs. the sub-project cultivate the - Compensation as per the productivity of the land implementation land & physical and the current market price of the grass per square sites present in the meter. project area Agricultural land Arable land Loss of agricultural land on temporary or PAP/Title -Land for land as the priority compensation and cash located along permanent basis. The scope of loss of holder, compensation for affected land equivalent to the sub-project agricultural land and the nature of Farmers who replacement value as the last option. have usufruct 12 Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected implementation acquisition may vary. See the following right to cultivate sites scenarios; the land Loss of agricultural land is less than 20% Tenant/lease -Cash compensation for the harvest or product from of the affected holding land remains holder the affected land or asset, equivalent to ten times the economically viable. average annual income s/he secured during the five years preceding the expropriation of the land. Greater than 20% of land holding lost PAP/ Title - Land for land replacement is the preferred option (the remaining land is not economically holder (land use where feasible/land is available, or compensation in viable) right holder) cash for the land acquired for the project activity. -Land for land replacement will be in terms of a new parcel of land of equivalent size and productivity with a secure tenure which is acceptable to PAPs. Transfer of the land to PAPs shall be free of taxes, registration, and other costs. -Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature) Tenant/Lease -Cash compensation equivalent to ten times the holder average annual income s/he secured during the five years preceding the expropriation of the land. -Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature 13 Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected -Relocation assistance (costs of shifting + allowance). Agricultural -Cash compensation equivalent to local average of 6 worker months’ salary -Assistance in getting alternative employment Commercial Loss of Land used for business partially affected Title holder/ Cash compensation for affected land Land commercial and (when the remaining land become viable business owner, Opportunity cost compensation equivalent to 5% of business for business, which is limited loss) Owner of the net annual income proportional to the productive land activities commercial and lost based on tax records for previous year (or tax business records from comparable business or estimates where activities such records do not exist). Full compensation payment to the owner of the business for the impact sustained -Relocate business or commercial activity to site acceptable to the affected persons Business owner Opportunity cost compensation equivalent to 10% of is lease holder net annual income proportional to the productive land lost based on tax records for previous year (or tax records from comparable business, or estimates where such records do not exist) 14 Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected Assets used for business severely Title Land for land replacement as a primary option. Land affected (the partially affected assets holder/business for land replacement will be provided in terms of a become insufficient for business owner new parcel of land of equivalent size and productivity purposes). 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 (no payments for registration and tax should be transferred to the PAPs). Relocation assistance (costs shifting + allowance), the cost of shifting and allowance will be determined based on the new business location). -Opportunity cost compensation equivalent to two months net income based on tax records for previous year (or tax records from comparable business, or estimates) Business person -Opportunity cost compensation equivalent to two is lease holder 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 will be determined based on the distance to the new relocation site). 15 Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected -Assistance in rental/ lease of alternative land/ property (for a maximum of six months) to reestablish the business in the new location. Residential land Housing Land used for residence partially Title holder Replacement residential land in a comparable and structures affected, limited loss (remaining land acceptable location for the PAPs A person who located in the viable for use). owns housing Cash compensation for affected property, site -A list of available structure in each infrastructure -A -Full compensation payment to cover the loss of affected community -Compensations person with no housing structure at replacement cost without taking provided -If agreement has been reached formal legal into consideration depreciation on mode of compensation settlement, rights or claim provide evidence. structures -Relocate housing structure to a site which is acceptable to PAPs Housing -Tenants (renters) will be compensated Rental/lease -Cash compensation equivalent to 10% of lease/ structures for the inconvenience but compensation holder, rental fee for the remaining period of rental/ lease located along will be paid to the urban Kebele or agreement (written or verbal) Tenants who the ROW municipal administrations. have rented Comparable or better dwelling house from the urban houses either Kebele administration for renters (tenants) at same from a kebele rental costs and displacement compensation administration or equivalent to the three month rent. from individual landlords. Title holder -Land for land replacement is the preferred option or (land use right compensation in cash at replacement cost according holder) to PAP’s choice. 16 Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected -Land for land replacement shall be of 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 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 Rental/lease Refund of any lease/ rental fees paid for time/ use severely affected holder after date of removal Remaining area insufficient for Cash compensation equivalent to 3 months of lease/ continued use or becomes smaller than rental fee minimally accepted under zoning laws Assistance in rental/ lease of alternative land/ property Relocation assistance (costs of shifting + allowance 17 Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected Building and Houses Structures are partially affected Owner -House to house swap, or structures Remaining structures viable for -Cash compensation for affected building and other continued use fixed assets at replacement cost -Cash assistance to cover costs of restoration of the remaining structure. -Cash compensation at replacement cost for affected structure and other fixed assets, based on material cost, construction and labor costs. The PAP will have the right to collect salvage materials (free of charge), without considering depreciation and transaction costs. Rental/lease -Approved site to re-locate. Moving costs will be holder provided. -Cash compensation for affected assets (verifiable improvements to the property by the tenant). -Disturbance compensation equivalent to two months rental costs Entire structures are affected and the Owner Cash compensation at replacement cost for entire remaining structures not suitable for structure and other fixed assets without depreciation, continued use or alternative structure of equal or better size and quality in an available location which is acceptable to the PAP. Owner -Right to salvage materials without deduction from compensation 18 Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected Relocation assistance (costs of shifting + allowance) -Rehabilitation assistance if required (assistance with job placement, skills training) Remaining structures not suitable for Rental/lease -Cash compensation for affected assets at continued use holder replacement cost (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/informa -Cash compensation for affected structure at l dweller replacement cost, without depreciation -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 project -Alternatively, assistance to find accommodation in rental housing or in a squatter settlement scheme, if available) 19 Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected -Rehabilitation assistance if required assistance with job placement, skills training) Not able to continue his/her business or Street vendor -Opportunity cost compensation equivalent to 2 not suitable to lead once livelihood. (informal months net income based on tax records for previous without title or year (or tax records from comparable business, or lease to the stall estimates), or the relocation allowance, whichever is or shop) higher. -Relocation assistance (costs shifting) Assistance to obtain alternative site to re-establish the business. Standing crops Crops affected Crops affected by land acquisition or PAP (whether -Provision of seedlings temporary acquisition or easement owner, tenant, or -Provision of cash compensation for value of crops squatter) lost, at current market value. For crops, rates are derived from the respective Woreda Agricultural Officers; and -Provision of cash compensation to cover the income foregone during the period that the PAP is without land. The cash compensation will be equivalent to the value of crop production lost, until the replacements are yielding to the same level (i.e., the period until the replacement seed/seedlings are producing – whether the same year for annual crops, or longer in the case of crops). or 20 Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected -Cash compensation equivalent to ten times the average annual income s/he secured during the five years preceding the expropriation of the land. Trees Trees and other Trees lost Title holder -Provision of seed or seedlings; plant species Land use right -Provision of cash compensation for value of crops located on the holder, lost, at current market value. For trees rates are land for the concession derived from the Ethiopia Forest Protection authority; structure for the holder, squatters, and infrastructure, communities and the -Provision of cash compensation to cover the income who utilize the infrastructure foregone during the period that the PAP is without land where trees easement areas land. The cash compensation will be equivalent to the and other plant value of tree production lost, until the replacements species are are yielding to the same level (i.e., the period until located the replacement seed/seedlings are producing – whether the same year for the average number of years for tree crops). -Cash compensation based on type, age and productive value of affected trees plus 10% premium Full compensation payment based on type, age and diameter of trees -Provide equivalent land nearby for replanting 21 Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected Business Temporary or Not able to continue his/her business or All affected -Owner: if permanent, cash compensation equal to employment permanent loss not suitable to lead once livelihood on persons one-year income; if temporary, cash compensation of business or temporary a basis. for the period of loss. Compensation based on tax employment declaration or official minimum salary. -Employees: allowance for lost wages during interruption, up to 3 months. Loss of land or Source of They may not have other sources of -PAPs without Provide equivalent land; restore at least or improve house income & income or livelihood formal rights for the livelihood of the PAPs prevailing before the livelihood land (squatters relocation period through various strategies of & encroachers) livelihood or income generating activities. Loss of land Loss of income Income could be reduced due to the loss Those persons Provide equivalent land; restore at least or improve and traditional of land who do not the livelihood of the PAPs prevailing before the rights physically reside relocation period through various strategies of in the project livelihood or income generating activities. area but have traditional rights to the land Loss of For loss of - The special support to FHH is because Vulnerable -Give special support and assistance -Kebele livelihood for farmland, trees, they lack resources, educational households who Administration will be responsible to construct new Vulnerable houses (own or qualifications, skills, or work experience lose live houses for vulnerable households and provide all the households rented) compared to men. farmland and other services to the vulnerable households. houses -FHH Restore at least or improve the livelihood of the will be given PAPs prevailing before the relocation period through special attention various strategies of livelihood or income generating and support for activities based on scope of impact of land take and the same implications on their livelihood (the Environment and benefits as their Social Expert in collaboration with the responsible 22 Land and Specifications Types of potential risk/impact Person(s) Compensation/Entitlement/Benefit Assets Affected male woreda sector office of the Micro and Small Scale counterparts Enterprise office will work on guiding and coaching the affected households on various alternative livelihood and income generating activities). Temporary Loss Temporary Grazing land Temporary acquisition PAP (whether Cash compensation for any assets affected (e. g. acquisition and housing. land use right boundary wall demolished, trees removed) holder, tenant, or squatter) Temporary loss Arable land List down affected and entitled PAP who have -Provide full compensation at replacement value. of arable land located along households -Rehabilitate land used usufruct right to the sub-project temporarily at the end of the cultivate the implementation construction period - Compensate for land sites crop loss from the temporarily occupied land Land used for Subject to negotiation between owner PAP/Owner • Contractor pays cash compensation at local construction and contractor (private or commercial rental rates for duration of use. activities public) • Land restored to original status at end of rental. • Environmental safeguard requirements 23 24 2.6. Method and Basis of Valuation Following specific review of the existing methods and basis of valuation available and practiced via the applicable laws in Ethiopia as indeed those of the Valuation and National Revenue Authority; where inadequacies are determined to exist, those proffered by the World Bank’s OP 4.12 can be incorporated to fill gaps if any. The two methods supported by the Bank’s OP 4.12 that can be incorporated into the existing methods to conduct the valuation of property for PAPs are Replacement Cost and Compensation Value. The amount of compensation will be determined according to proclamation No.455/2005, Part Three, Article 7. The amount of compensation will be paid at a replacement cost and considering of World Bank requirements. All compensations will be effected ahead of the commencement of civil works and starting the displacement process. The following methodology and procedures are suggested for the valuation of compensation rates for crops, trees, houses and other structure. However, these suggestions should be used in compliance with Council of Ministers Regulation 135/2007 (the presentations below are snapshots and details should be worked out based on the regulation. 1. All compensation will be at replacement value. 2. Depreciation and salvage value will not be deducted from the compensation value of assets. 3. Where market rate is used, it will be at current market rate. 4. Cash compensation is paid for loss of crops and trees that are found on the land that has been acquired. The relevant agricultural office of the locality considered establishes the compensation rates. It will be done in accordance with the proclamation, regulation and in consultations with Woreda administrations, the project office and MoP. The project office will execute the expropriation and the compensation for the loss of crops and trees. 5. Compensation rates for loss of crops and trees will be based on market values and cover a cash value of the loss estimated until the new crop or tree comes to maturity. Furthermore, it will take into account the distinction between various types of trees and their economic values; fruit trees versus non-fruit trees, etc. The process and the necessary actions to be taken will be concluded after consultations with Woreda administrations and MoP/BLAEP/BoAL. More specifically, fruit trees will be compensated for the value of lost production until another tree comes to the same stage of productivity. It could be done based on the following standards: - Number and type of trees (fruit bearing and non-fruit bearing), - Age of the tree, - Estimating the number of copies to be obtained from each tree per year, - Market price for each type of tree, - Sum of the stream of incomes from the tree, 25 - Sum of the discounted benefits 6. Compensation rates for houses and other structures: the unit established for houses, verandas, fences, and storage could be worked by using the following criteria: − Identify type and quality of the material used for the construction of the house and other structures - Estimate the cost of construction - Number of rooms and facilities available - Labor cost (skilled and unskilled) - Current market value of the house - Demolishing and transportation cost Replacement Cost: The replacement cost approach is based on the premise that the cost of replacing productive assets that have been damaged because of project operations are taken as a minimum estimate of the value of measures that will reduce the damage or improve on-site management practices and thereby prevent damage. The approach involves direct replacement of expropriated assets and covers an amount that is enough for asset replacement, net depreciation, moving expenses and other transaction costs. This minimum value is then compared to the cost of the new measures. This is arrived at, by analyzing current construction costs relative to design, materials employed, workmanship and final finish. Compensation Value: Compensation value is defined as an amount that is above the gross current replacement cost, including the costs for the inconvenience caused to the PAP by relocation, and enables the same PAP to build slightly better houses than what they currently occupy. Compensation for land, structures, business, fixed improvements and other temporary assets will be based on market valuation, productivity valuation, negotiated settlements, material and labor valuation, disposition of salvage materials and other fees paid. It should be noted that lack of title, license or permit would not be a bar to compensation because even squatters have construction costs relative to design, materials employed, workmanship and final finish. Indeed, “squatters”, may be deemed to be classified under 15 (c) of OP/BP 4.12 as “those who have no recognizable legal right or claim to the land they are occupying”. Under 15 (c) of the policy which deals with ‘Criteria for Eligibility’, squatters are provided resettlement assistance5in lieu of compensation for the land they occupy, and other assistance, as necessary, to achieve the objectives set out in this policy, if they occupy the project area prior to a cut-off date established by the borrower and acceptable to the Bank6.Persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance. All persons included in 15 (c) are provided compensation for loss of assets other than land. 5 Resettlement assistance may consist of land, other assets, cash, employment, and so on, as appropriate. 6 Normally, this cut-off date is the date the census begins. The cut-off date could also be the date the project area was delineated, prior to the census, if there has been an effective public dissemination of information on the area delineated, and systematic and continuous dissemination subsequent to the delineation to prevent further population influx. 26 If relocation of business becomes necessary, access to customers and suppliers will be considered. In addition, workers losing employment in the process of relocation should be entitled to transitional income support. Compensation for temporary impacts should include, but not limited to, the following: • Compensation equivalent to lost income required for the duration of impact; • Compensation equivalent to lost income required for loss of access; and • Physical restoration of assets (or access) required prior to return. Valuing affected assets: the Ethiopian legislation (Proclamation No. 455/2005, and Regulation No. 135/2007) clearly indicated the method for inventorying and valuing of those assets that deems eligibility for compensation. The formula for calculating the amount of compensation payable in accordance with the Proclamation and these Regulations are as follows: 1. Compensation for building = cost of construction (current value), plus cost of permanent improvement on land, plus the amount of refundable money for the remaining term of lease contract; 7. Compensation for crops = the total area of the land (in square meters) multiplied by the value of the crops per kilo gram, multiplied by the amount of crops to be obtained per square meter, plus cost of permanent improvement on land; 8. Compensation for unripe Perennial Crops = number of plants (legs) multiplied by the cost incurred to grow an individual plant, plus cost of permanent improvement on land; 9. Compensation for ripe Perennial crops = the annual yield of the Perennial Crops (in Kilograms) multiplied by the current price of the produce of the perennial crops, plus, cost of permanent improvement on land; 10. Compensation for relocated Property = cost of removal, plus cost of transferring, plus cost of reinstallation; 11. Compensation for protected grass = area covered by the grass per square meter, multiplied by the current market price of the grass per square meter. According to these legislations, valuation of property is to be carried out by a certified private or public institution or private consultants as per the valuation formulae (Proclamation No.455/2005 Article 9). The property situated on a land to be expropriated shall be valued by a committee of not more than five experts having the relevant qualification and to be designated by the Woreda and urban administration if the land is in a rural and urban area respectively (Proclamation No. 455/2005 Article 10). A specialized committee of experts may also be set up separately by the same organization (Woreda and urban administration) if required. Regulation No. 135/2007 clearly puts methods for inventorying and valuing different type of assets. The regulation also established a formula to calculate the amount of compensation payable. The Property Valuation Committee uses these provisions to value the affected assets. 27 Community compensation payments: In many cases sub-projects usually do not acquire land or other assets that belong to a community. Some examples could be a community center, school, or sacred sites, and if the acquisition happens in a sub-project, the whole community as a group will be compensated based on the land tenure system at the community level. The compensation will take the form of rebuilding of the facility or replacement of similar standard or equal or better standard necessary by local planning directive. The examples of community compensation could be the expansion of grazing areas; restoration of school buildings, public toilets, health accommodations; installation of water wells or pumps; formation of marketplaces; and renovation of community roads/infrastructures. The decision should be reached in a broad, inclusive, participatory community consultation held to understand the land tenure and community compensation systems acceptable to members of the target sub project community. All the concerned PAPs shall be informed, consulted and agreed with about the property valuation methodologies prior to the actual inventory. The committee will enumerate each asset and inscribe on a register included in Annex III of this RPF. Each asset enumerated by the committee should be given value. All compensation options and types must be clearly and plainly explained to the affected individual or household or the community. The Woreda CRC lists all property and surrender land and the types of compensation (cash and/or in-kind) sought. The compensation contract will be read aloud in the presence of the affected party and all others prior to signing it. The inventory and valuation will be signed and a copy given on the spot to the PAPs. This copy is not official until it is reviewed and approved by the Woreda Environment, Forest and Climate Change Office and returned to the PAPs. At that time, a copy of grievance procedure, presented in Annex V, will be given to PAPs based on a due process of consultation and adequate awareness on the procedure. In addition, PAPs will be entitled to transitional assistance which include moving expenses, temporary residence (if necessary), employment training and income support while awaiting employment and should have an option for full compensation if duration of impact is to exceed two years. In preparing the valuation, it should be at replacement cost. It should be noted that costs of construction vary from one locality to the other. 2.7. Method to Determine Cut-off Date As per the Proclamation 455/2005, the Woreda Administration in rural areas and Urban administration in urban areas provides the authority for the notification of the expropriation order. The Woreda compensation and resettlement committee (CRC) who are assigned by the woreda or urban administration for preliminary assessment to the LLRPs on the ground investment including determining if a RAP is necessary, clarifying the polices and principles of this RPF related with resettlement and compensation will determine the cut-off date. 28 The rural Woreda or Urban CRC will communicate to the Kebele CRC the determined cut-off- date for notification to the PAPs (please see the below paragraph on the responsibility of the Kebele CRC). Therefore, the Kebele CRC start of the census date is Kebele CRC will notify the cut-off- date when starting the census, and this should be fully communicated to all potential PAPs in the project affected area with sufficient lead time for these people to ensure their availability for the census using various forms of media and language appropriate to PAPs. Kebele level CRC is responsible to notify PAPs about the Woreda compensation and resettlement committee established cut-off-date and its significance. The potential PAPs will be informed through both formal notifications in writing and by oral notification delivered in the presence of the community leaders or their representatives. The local community leaders will play a crucial role in identifying users of land since most of them would have acquired their customary rights to use the land from their local authorities and leaders. After the census had been undertaken, the lists will be verified physically and will then be reviewed and approved by the Woreda Environment, Forest and Climate Change Office. Once these lists have been approved, thereafter, no new cases of affected people will be considered. 2.8. Baseline Data on Environmental and Social Conditions of LLRP Regions Ethiopia has great geographic diversity with high and rugged mountains, flat topped plateaus, deep gorges, incised river valleys and rolling plains. The Danakil Depression measures 125 m below sea level while the highest mountain is Ras-Dashen with 4,620 m above sea level. The drainage basins of Ethiopia in the western drainage systems include the Nile Basin, and in the main Ethiopian Rift Drainage Systems include the Awash River, the Rift Valley Lakes basin and in the eastern include the Genale and Wabe-Shebele basins. Ethiopia is believed to have the largest livestock population in Africa. A large number of livestock genetic diversities were reported. Studies estimated that about 25 breeds of cattle exist in the country though the livestock characterization is non-exhaustive (IBC, 2004). Ethiopia has diverse agro-ecological zones suitable for livestock production. Agriculture in the country is characterized by pastoralism in low land area and mixed farming systems in mid and highland areas (Arse et al., 2013). Cattle and sheep are in highland areas and camels and goats are the prominent domestic animals in the pastoral lowlands (Ayele et al, 2003). The total cattle population for the country is estimated to be about 56.71 million (CSA, 2015). During the years 2007/08 to 2016/17, there was a 25.1% growth in the number of cattle (CSA, 2017). Pastoral livelihoods are characterized by risk and uncertainty due to fluctuating environmental conditions and occasional shocks (Scoones, 1995). Traditionally, the vagaries of the natural environment are overcome through access to and management of communal rangelands, mobility of stock, and institutions for mutual assistance. However, high stock mortality during droughts is often seen as a symptom of inherent flaws in livestock production systems; barren rangelands are 29 taken as evidence of unsustainable grazing pressure and increasing land degradation (Hardin, 1968). Moreover, the very features that allow pastoral production systems to work – the communal land tenure and the free mobility – are often viewed as impediments to commercialization of land use, social integration, and, in a broad sense, the modernization and civilization of pastoral culture (Scott, 1998). The project intervention coverage of LLRP is expected to consider 100 priority Woredas which are in six regional states of Afar (20 woredas), Benishangul Gumuz (9 Woredas), Gambela (8 Woredas), Oromia (18 Woredas), SNNPR (9 Woredas) and Somali (36 Woredas). The LLRP will adopt woreda clusters approach to spatially cover range lands to be identified for project support. Selection criteria would be: i) pastoral or agro-pastoral woredas, ii) presence of rangelands or grazing unit with an institutional or governance structure that provides secured access to wet and dry season grazing, iii) opportunities for potential for strategic investments and market access for pastoralists and agro-pastoralist products, iv) potential for enterprise development along potential value chains; and v) presence of underserved communities lacking basic social services. The LLRP will be implemented in different agro-ecological and administrative regions characterized by different patterns of rainfall, temperature, growing periods, socioeconomic and biophysical environments. Majority of the areas in typically in the lowland agro-climatic zones where farming is crop-livestock mixed or annual/perennial crop-livestock mixed farming system is practiced. There are also some woredas which are highland agro-climatic zones (in Dega or high altitude and Dry Woina Dega or mid-altitude) with cereal crop-based or mixed crop-livestock faming systems, high altitude and high rainfall, high potential productivity and moderate to severe land degradation, longer growing periods and high population density. The environmental and socioeconomic milieu of the intervention areas are characterized by high to low production potential but with significant limitations due to severe land degradation, high agro-ecological variability and crop-livestock mixed or annual/perennial crop-livestock mixed farming system, low population density and land fragmentation. Those areas with potential access to markets to maximize return from livestock production, improve rangeland management systems, development potential for surface and ground water resources to increase production; and areas with critical importance for the protection of vital economic infrastructures from on-going or potential livelihood resilience related problems will be selected for intervention. 2.8.1. Physical Environment Generally, the physical environment of the project areas under the LLRP is mostly arid and semi- arid intersected by several large rivers such as the Awash, Wabe-Shebelle, Omo-Gibe and Genale- Dawa. In terms of relief and soil characteristics, these areas are lowland areas less than1,500m above sea level with yellow sand, yellow silt or red clay (oxidized) soils. Rainfall is erratic, and the mean annual rainfall is less than 900mm and annual mean temperatures are above 18 degree 30 celicus (Berehaagro-ecological zone less than 22 degree celicus and Weinadega agro-ecological zone 18-20 degree celicus). These areas face recurrent drought. Thorough knowledge of rangeland physical characteristics is essential for an understanding of range management problems. These physical characteristics include soil, climate and topography determine the type of vegetation and its productivity in the rangelands. Climate is a critical component to rangeland management. Precipitation is the most important element among the climatic factors vital for determining the type and productivity of vegetation in an area (Holecheck et al., 2005). On the bases of the climatic variable and the magnitude of animal use, two opposing schools of thought namely the equilibrium and non-equilibrium theories have emerged and been put into practical use. Advocates of the equilibrium theory argue that the densities of consumers (livestock) should be maintained at a level matching the carrying capacity of the rangelands. Those on the side of the non-equilibrium theory argue that the rangeland condition and trends are primarily dictated by rainfall variability (Behnke et al., 1993) and consider the traditional grazing resources management system to be the right way to go. These concepts have strongly influenced the development paths of rangelands over the years. 2.8.2. Socio-Economic Condition In Ethiopia, the rangelands are located around the periphery of the country, almost surrounding the central highland mass. Most of these areas are found below 1,500 meter above sea level (m.a.s.l.). The rangelands are in the east, northeast, southeast, and southern parts of the country where there is virtually no comparative advantage in sustainable crop-based livelihood transformation. Although, there are no accurate and reliable data indicating the area coverage, human population and other resources of the Ethiopian rangelands, it is estimated that the rangelands support pastoral and agro-pastoral communities of over 12 million people belonging to 29 ethnic groups in seven regions, and 122 districts on a grazing area of about 545,100 km2 that accounts for about 89% of the total land mass of the pastoral areas (Beruk, 2012). The major pastoral groups in Ethiopia, in terms of human population, livestock numbers and area occupied are the Afar in the northeast, the Borana Oromo in the south, and the Somali in the east and southeast of the country. In addition, there are smaller groups such as the Hamer, Arbore, Surma, Dassenetch, etc. who live in the extreme south of the country, and the Kereyu (Oromo) pastoralists in central Oromia (PCDP, 2015). Many of the species in rangeland ecosystems have multi-purpose uses. This is justified by their use as forage, medicaments, food, construction and cultural ritual activities. It is a food and feed source for the drought period, an early warning tree used as a tool to forecast that drought is to occur in the season to come alerting the community to get prepared to overcome the problem expected to come. Rangeland ecosystems are also rich in wild edibles that are used by communities to contribute to their food security. Communities use the wide range of wild plants and animals to supplement their diet, making it more diverse and nutritious, and thereby contributing to good health. 31 According to IGAD (2013), estimates of the total value of livestock sector exports were found to be slightly more than 4 billion Ethiopian Birr in 2009. It must be noted that domestic consumption outweighs exports by a factor of nearly five to one demonstrating the high economic contribution of livestock. Furthermore, people living outside rangelands depend on livestock produced within rangeland ecosystems for protein. Although significant improvements have been achieved over the last ten years, pastoralists remain underserved in terms of basic social services. Development issues faced by pastoralists include: (i) weak government institutions and limited public participation in local decision-making processes, (ii) poor access to social services; (iii) dependence on extensive livestock production with poorly developed support services, and uneven access to markets; (iv) long-term environmental degradation; (v) vulnerability to recurring droughts exacerbated by climate change; and (vi) increasing competition for natural resource use. 2.8.3. Rangeland Management in Lowland Parts of Ethiopia The pastoral and agro-pastoral areas of Ethiopia cover between 60 to 65% or around 78 million hectares of the country’s surface area. Low, variable rainfall means that rangelands, including extensive dry lands, predominate. Pastoralism tracks and utilizes the resulting patchily distributed water and other rangeland resources, and as such is the most suitable land use system for most of these areas. Rangeland resources are managed under collective common property arrangements. The pastoral community has managed their rangelands through their customary system for centuries. Such deep-rooted rangeland management tradition follows an ecosystem approach, which primarily depends on the seasonal availability of pasture and water. Customary institutions have traditionally managed access and protection of these reasons, but in some places the authority and ability of institutions to carry out these roles is being challenged by both natural and human- induced forces. In the last ten years, steps have been taken to improve the security of group rights in the country. Land certification (first level) and registration has to date mainly focused on individualized and sedentary rights. But increasingly attention is being given to group or communal rights including more mobile group rights (including those of pastoralists) both in land policy and legislation, and in land use planning and management activities on the ground. Afar and Somali regions have developed policies and legislation for pastoral communal lands, but these have not yet been implemented. Critical issues that need to be addressed in the continuing development of these policies, laws and regulations and their implementation include i) identifying the most appropriate land tenure system that works within the context of federal law7and Ethiopia’s Constitution yet provides for the effective functioning of the spatially and temporally flexible 7Namely the Federal Land Administration and Use Proclamation No. 456/2005, as well as the Federal Lands Expropriation and Compensation Proclamation No. 455/2005. 32 pastoral (and other rangeland) production systems; and ii) an accompanying governance system that can effectively govern and manage the ‘nested hierarchal’ sets of rights found in multi -use landscapes such as rangelands. 2.8.4. Pastoralist Livelihoods in Ethiopia Although they only form 6% of the country’s rural population, pastoralists inhabit a great part of the east and far south of the country. This is because only they can make a living out of the otherwise unpromising semi-arid environments where the rainfall will not support any crops. Although pastoralists consume far more milk than the cropping population, even than their agro- pastoral neighbors, only the better off minority of herders manages to live primarily on milk and meat. For the rest, the household economy centers on getting the cash to buy the grain that makes up the better part of their diet. In the main, it is the sale of animals and their products, destined chiefly for distant urban consumption that brings in the money. But poorer pastoralists with fewer animals to sell must usually supplement this by selling firewood or gums or bush products, or by paid work for others. Seasonal change means great fluctuations in milk availability and in animal condition and therefore sale prices. The annual hunger season is keenly felt by most pastoralists, and they are particularly at risk if the rains that bring this period to an end fail. 2.9. Institutional Responsibilities The project will be implemented under the overall responsibility of MoP. It will establish slim, dedicated Project Coordination and Implementation Units (PCIUs) at the Federal and Regional levels, directly accountable for implementation and for coordination. These PCUs will be guided by Federal and Regional Steering Committees and Technical Committees. Partnerships will be established with research institutions, universities, private sector and others, and service providers be recruited for strategic support where these may have a comparative advantage and high capacity. Participatory, community driven, bottom-up planning processes will form the basis of project- supported development plans. The project will support the institutionalization of these approaches through capacity building at all levels. The project will in particular continue the CDD approaches in provision of basic services and strengthen holistic planning across administrative boundaries when it comes to natural resource management and commercialization. LLRP would build upon this implementation structure and the built capacity, which include environmental and social safeguard implementation of the safeguard instruments (ESMF, SA, RPF and GMG). These entities and their staff are generally capacitated and ready to implement in the targeted 100 LLRP woredas in Afar, Benishangul Gumuz, Gambela, Oromia, SNNP and Ethiopian Somali regional states. At Federal level: the overall coordination and implementation of the project will be facilitated by the Federal Ministry of Peace (MoP) in collaboration with other relevant Ministries (e.g. MoH, 33 MoAL, MoT, MoWIE, MoWC, MoE and MoFEC). The MoP will use the organization structure and institutional arrangements established to coordinate and implement all Lowland Livelihood Resilience Project financed by the Government and development partners. The LLRP has its own Federal Steering Committee (FSC) and will use an independent and full responsible Federal Project Coordination and Implementation Unit (F-PCU). The LLRP Support Unit (LLRPSU) within the MoP is the core unit that coordinates the project activities. The MoP is responsible for the day-to-day program management, preparation of annual work plan and progress reports, monitoring/supervision of overall implementation progress; evaluation of program impacts, environmental and social safeguard, financial administration, procurement of goods and services. The Federal Steering Committee (FSC) has high level representations from the MoLA, MoT, MoWIE, MoFEC, PAPREG and BoPDs of the LLRP regions. The Committee is chaired by the one of the four State Minister in the MoP and will be responsible for (a) establishing policy guidelines and providing overall supervision for project implementation; (b) approving the annual federal and regional work plan, budget and the annual procurement plan; and (c) reviewing the annual implementation performance report to be prepared by the LLRP Support Unit, including environmental and social safeguard; and overseeing the implementation of corrective actions, when necessary. The Federal Technical Committee (FTC) is composed of senior technical staff from MoP, MoLA, MoT, MoWIE, MoFEC and BoPDs. Representatives from the development partners who are supporting LLRP are members of the committee. The FTC is responsible for providing technical advice to the MoP on coordination and synergies, technical issues of the LLRP and other similar projects, including environmental and social safeguard on the quality of project implementation reports, special study documents on policy, guidelines, documentation of best practices, and M&E reports. The LLRP-PSU will be led by an appointed senior technical staff as Federal Project Coordinator and Implementation at MoP. The unit will be responsible for the day-to-day management of LLRP and will be responsible for (a) preparation of consolidated annual work plan and progress reports; (b) monitoring and supervision of overall implementation progress and evaluation of project impacts; (c) financial administration; including environmental and social safeguard; and, (d) procuring goods and services. Regional: implementation will be led by the Bureau of Pastoral Development (BoPD). BoPD will use regional coordinator recruited for LLRP and responsible for approving annual work plan and progress reports from the Woredas. The reports would then be submitted to the Federal LLRP- PSU. A Regional Steering Committee (RSC) will be formed from heads of relevant sectors to provide guidance and leadership at the regional level. The RSC will meet quarterly to review performance, endorse the quarterly progress reports and provide necessary guidance on project implementation, and endorse the annual plan at the beginning of the fiscal year. 34 Woreda and Kebele level: the implementation of the project will be undertaken jointly by Woreda office for Pastoral Development (WoPD) through the Woreda Technical Committee (WTC), the Kebele Development Committee (KDC), and communities. The WoPD will assign an independent Focal Person who will take the lead responsibility in the overall implementation of the program. The WTC and KDC will assist communities in: (i) developing annual work plan and budgets for submission to the Region for endorsement and integration into the Regions’ work plan and budgets; (ii) facilitating community participation in watershed planning and rehabilitation; (iii) training; (iv)monitoring and evaluation; (v) dissemination of innovations in LLRP. The project follows a rangeland approach as the principal entry point and the project will identify rangeland (which might comprise of a cluster of woreda). Fully cognizant of the administrative structure, individual Woredas (which comprises of rangeland) will be the principal implementation unit of the project and will cascade down to Kebele and community levels for implementation. In recognition of the environment with weak capacity and institutions on ground, and in line with the spatial approach of the project, Woreda Cluster Support Teams will be established. They will have a dual mandate in i) providing technical support and capacity building to Woreda implementation; and ii) supporting cross-Woreda and holistic development planning. A project focal point and financial officer will directly support each project Woreda. The detailed implementation arrangements are found in the Project Implementation Manual. Table 4: Institutional responsibilities. Stakeholders Responsibilities Ministry of Peace 1. Provides operational guidance to F-PCIU, R-PCIU and other implementing entities involved to carry out LLRP safeguards activities and report accordingly to the WB. 2. Overall responsibility and coordination of the LLRP implementation. 3. Ensure timely and effective execution of the activities, and in order to monitor progress towards the PDO. 4. Establish one Project Coordination Unit (PCU) at Federal level, supported by PCUs at Regional and Woreda levels. 5. Serve as common coordination bodies of the line ministries being implemented or to be implemented by the other World Bank-financed projects operating in the same regions. 6. Follow up and ensure the provisions are provided to PAPs as per proclamation 455/2005 7. Prepare national valuation formula for the determination of compensation. 8. Overall management and budget allocation for the project implementation. 35 9. Coordinates and supports institutions and governance structures; 10. Establishes rangeland and pasture improvement monitoring information system. 11. Provides capacity building training for relevant stakeholders in both planning and implementation of Rangeland management and Investment Plans. 12. Ministry of Finance Approval and signing of credit with IDA and IFAD. and Economic 13. Release and approval of fund for compensation. Cooperation 14. Works on monitoring and evaluation of budget utilization. Ministry of Water,15. Assumes responsibility of coordinating and follow up of water resources Irrigation and Energy development, irrigation development and larger strategic infrastructure sub- projects. 16. Provides technical support on designing and construction of small-scale earth dams and irrigation schemes. Ministry of 17. Coordinates and supports regional assessments of rangeland areas and Agriculture and associated pastoral and agro-pastoral communities, institutions and governance Livestock structures; 18. Provides technical support on pasture development, livestock routes development, soil and water conservation, market infrastructure (primary, secondary and tertiary market) 19. Ministry of Transport Coordinates and supports the construction of tertiary roads; 20. Works in collaboration with MoAL and MWIE in the case of earth dam and tertiary road construction. MoH 21. Coordinates and supports the construction of animal health post; 22. Works in collaboration with MoAL and MWIE in the case of earth dam and other water source development sub projects. MoE 23. Coordinates and supports the construction of schools and hostel schools. Federal Project 1. Ensure the overall coordination of the project and will be directly accountable Coordination and to the Minister of Peace or his/her representative. Implementation Unit 2. Advised by the National Project Steering Committees and Project Technical (FPCIU) Committees that WoPD and BoFED will also be established at Federal, Regional and Woreda levels. 3. The FPCIU will be headed by a National Project Coordinator to be assigned on a full-time basis by the MoP; 36 4. Make sure that the principles of the WB and the components of the RPF are implemented properly and whenever there is a deviation from the policy framework it take corrective measures; 5. As the LLRP implementing unit within MoP, coordinates and manages LLRP implementation including all day-to-day safeguards requirements, regularly liaising technically with all partner agencies, NGOs and private. Regional Project 1. Ensure the overall coordination of the project and will be directly accountable Coordination and to the Regional Bureau for Pastoral Development or his/her representative. Implementation Unit 2. Make sure that the principles of the WB and the components of the RPF are (RPCIU) implemented properly and whenever there is a deviation from the policy framework it take corrective measures; 3. Advised by the regional Project Steering Committees and Project Technical Committees. 4. The RPCIU will be headed by a Regional Project Coordinator to be assigned on a full-time basis by the same unit. 5. As the LLRP implementing unit within RPCIU, coordinates and manages LLRP implementation including all day-to-day fiduciary requirements, regularly liaising technically with all partner agencies, NGOs and private sector actors involved in implementation. 6. Carries out and consolidates safeguards implementation and reporting (assisted by Woreda counterparts). 7. Implementation of the project will rely on existing Government structures, to assist these structures in implementing the project, partnerships will be established with; 8. a. Private and public service providers, including ATA, b. Pastoral and agro-pastoral research and extension group, c. Private actors, d. Finance institutions and, e. Development partners (DPs) 9. The role of Regional Bureau of Pastoral and Development Office in addition to the legally designated responsibility will further be defined as it relates with the LLRP through Project Implementation Manual (PIM) which will detail the organizational and technical procedures that will govern the project. 10. Oversees and ensures appropriate use of LLRP resources by implementing sector entities. 37 Woreda Pastoral 1. Closely supervises and coordinates planning and implementation of LLRP Development Office activities in the Woreda; 2. Ensures that LLRP achievements and challenges are discussed at Woreda Council meetings thus providing timely administrative and technical support to LLRP implementation on the ground; 3. Supervises and make a close follow up on the proper implementation of RAP, ARAP, LRP or process framework; 4. Acts proactively in resolving conflicts whenever these happen during LLRP implementation in coordination with relevant sector offices. Kebele level 1. The kebele administration with the Development Agent (Livestock extension workers) (a) coordinate inputs and interest into the LLRP planning and implementation process; (b) assist in identifying livelihood activities along the LLRP priority value chains; (c) participate in the implementation of the LLRP activities; and (d) participate in site monitoring. 2. The Development Agent-Livestock extension workers at the kebele level will assist local communities in identifying potential LLRP activities based on their needs and priorities through a participatory planning process. 3. The DAs at the kebele level will screen grant activities against the eligibility criteria and report screening results to the respective WTCs at Woreda level. 2.10. Anticipated Subproject Types and Locations The project aims to finance rangeland management and pasture improvement initiatives and public economic infrastructure. The investments will focus notably on small dams, cut-off drains and check dams, boreholes, nursery site and feed stores, bridges and tertiary roads, markets and abattoirs, small scale irrigation schemes. The prioritization of investments will be determined by both development needs and economic opportunities with respect to rangeland management and pasture development. While an equitable distribution of investments will be a consideration, more focus will be on identifying opportunities that can catalyse wider local economic benefits. An overall envelope for Rangeland Management and Investment Plans (RMIP) investments will be set, including an allocation for each Woreda to finance identified sub-projects. Proposals must include joint approval of the other Woredas in the cluster, the relevant Kebeles and be included in the Woreda Development Plans. At this pre-appraisal stage, it is not clear in which locations the activities will be targeted. However, it is highly likely that the improvement of the public infrastructure, economic facilities and investments will be following existing right of ways of current rangeland management and pasture development initiatives. 38 Component 1 has direct impacts from physical works at the following sites in Table 4 below, which may give rise to possible resettlement (viz.; small scale Irrigation construction and small dams) and possible compensation for small amounts of land acquisition or small portions of property loss (all other sites in Table 4) in accordance with ‘Policy Objectives’ 1 and 2 above or by application of ‘Impacts Covered’ and ‘Required Measures’ as stated in Appendix 2 extracted from OP/BP/4.12. The following are the type of the LLRP sub projects which will require land. The scope of land required will be determined based on the site specificity, scale and type of subproject activity; 1. Borehole drilling 2. Feeder Road construction 3. Small scale irrigation construction 4. Small scale dam construction 5. Construction of bridge 6. Construction of Pastoral and agro-pastoral Training Center 7. Construction of Animal Health Posts 8. Construction of Cattle crush 9. Nursery site 10. Fodder production site 11. Forage production site 12. Live Stock Market Center 13. Construction of animal slaughter house 39 3. 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 eight sections: 1. Political economy and governance in Ethiopia; 2. Ethiopian Laws on Pastoralist and Minority group; 3. Institutional arrangements; 4. Property and land rights, as defined by Ethiopian law and customary practice; 5. Acquisition of land and other assets, including regulations over the buying and selling of these assets; 6. Human rights and compensation the accepted norms influencing peoples’ basic rights to livelihood and social services; 7. 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 8. Comparison with World Bank OP4.12, using equivalence and acceptability standards. 3.1. Political Economy and Governance in Ethiopia Land rights in Ethiopia do not explicitly provide private property rights. After the Rural Land Proclamation No. 31/1975 and Extra Houses Proclamation 47/1975 8 , 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 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 labor 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 8 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 40 and Proclamation No. 456/2005 Article 17(1)). The law made the following provision for cash compensation for lost harvests: “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). 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. 3.2. Ethiopian Laws on Pastoralist and Minority Group The Ethiopian Constitution also recognizes the rights of pastoral groups inhabiting the lowland of the country. The constitution under article 40 (4) stipulates “Ethiopian pastoralists have a right to free land for grazing and cultivation as well as a right not to be displaced from their own lands”. The Constitutions under Articles 41(8) also affirms that “Ethiopian Pastoralists have the right to receive fair prices for their products, that would lead to improvement in their conditions of life and to enable them to obtain an equitable share of the national wealth commensurate with their contribution. This objective shall guide the State in the formulation of economic, social and development policies.” Pastoralist regions/areas recognized by the government are: Afar; Somali; Borena Zone and Fentele Woreda (Oromia); South Omo Zone, Bench-Maji Zone, and parts of Decha Wereda in Keffa Zone (SNNPR); and, Nuer Zone (Gambella). The pastoralists comprise approximately 12-15 million people that belong to 29 groups of Nations, Nationalities and Peoples9. Whilst government policies have strengthened, and resource allocations increased over the last decade10, pastoralist areas are still amongst the least served in terms of basic services. The Constitution also recognizes another group called “national minorities”. Article 54 (1) states that: “Members of the House [of Peoples Representatives], based on population and special representation of minority Nationalities and Peoples, shall not exceed 550; of these, minority Nationalities and Peoples shall have at least 20 seats.” These groups have less than 100,000 members and most live in the “Developing Regional States”. Owing to their limited access to socio-economic development and underserved status over the decades, the Ethiopian government 9Pastoralist Forum Ethiopia, http://www.pfe-ethiopia.org/about.html 10 PASDEP (2005 -2010), the previous five-year poverty reduction plan to GTP promoted more targeted assistance to marginalized areas – the emerging national regions and pastoralist/agro-pastoralist areas (MOFED, 2010) 41 has designated four of the country’s regions, namely: Afar, Somali, Benishangul -Gumz, and Gambela as Developing Regional States (DRS). In this respect, Article 89 (2) of the Ethiopian Constitution stipulates: “The Government has the obligation to ensure that all Ethiopians get equal opportunity to improve their economic situations and to promote equitable distribution of wealth among them”. Article 89 (4) states: “Nations, Nationalities and Peoples least advantaged in economic and social development shall receive special assistance”. 3.3. Land Tenure and Land Policy Proclamation, No.456/2005 discusses about rural land administration and use. The main aim of the Proclamation is to conserve and develop natural resources in rural areas by promoting sustainable land use practices. To encourage farmers and pastoralists to implement measures to guard against soil erosion, the Proclamation introduces a Rural Land Holding Certificate, which provides a level of security of tenure. The MoAL is tasked with implementing the Proclamation by providing support and co-coordinating the activities of the regional governments. Regional governments have an obligation to establish a competent organization to implement the rural land administration and land use law. Accordingly, the REPAs are responsible for rural land administration. The Proclamation states that if a land, that has already been registered, is to be acquired for public works or for investment, compensation commensurate with the improvements made to the land shall be paid to the land use holder or substitute land shall be offered. The Proclamation imposes restrictions on the use of various categories of land, for example wetland areas, steep slopes, land dissected by gullies, etc. The Proclamation addresses the right to hold rural lands; rural land measurements, registration and holding certificate; duration of rural land use right; transfer of land use rights distribution of rural lands; rural land use restrictions; and other related miscellaneous provisions. In addition, according to Proclamation number 455/2005 under Article 2(5), the use of land defined by the decision of the appropriate body in conformity with urban structure plan or development plan to ensure the interest of the people to acquire direct or indirect benefits from the use of the land and consolidate sustainable socio-economic development. This Proclamation under article 5 indicated the roles and responsibilities of the implementing agency. This Proclamation under article 8(1-3) further states a rural landholder whose landholding has been permanently expropriate shall, in addition to the compensation payable, be paid for them displacement compensation which shall be equivalent to ten times the average annual income he/she secured during the five years preceding the expropriation of the land provided. In addition, the proclamation highlighted that the woreda administration should confirm the availability of a substitute land which can be easily ploughed and generate comparable income for the landholder, and the compensation to be paid shall only be equivalent to the average annual income secured during the five years preceding the expropriation of the land. Land is significant natural resource for the pastoral and agro-pastoral communities in the process of earning life. Land belongs to the state in Ethiopia. The constitution of the federal government 42 under Article 40 (3) evidently point out that the right to ownership of land and all-natural resources is exclusively vested in the State and in the peoples of Ethiopia. It is articulated that “Land is a common property of the Nations, Nationalities and Peoples of Ethiopia and shall not be subject to sale or to other means of exchange”. The Article further in Sub-article 4 ensures that peasants and pastoralists right to obtain land without payment and the protection against eviction from their possession. The land policy of Ethiopia does not reflect the common property systems preferring to deal with simple concepts of individual or state property. The state by no means attempted to define and grant land rights to community groups and pastoral lands are still excluded from registration and land deed certification process unlike the agricultural highlands. 3.4. Formal Land Use Right and Administration The basic legal frameworks that operate the land issue in Ethiopia are generated from the1995 constitution. The development and practice of land administration legal frameworks at federal include: rural land administration, proclamation 89/1997 was the first proclamation that is replaced by proclamation 456/2005. For expropriation and compensation objectives, proclamation 455/2005 has been enacted at federal level. The latter two proclamations served the development of regional proclamations and regulation associated with land administration. Based on the Proclamation 455/2005, the regional states have crafted their own regulation and compensation for land and other property, have formulated their land policies and land laws. Among these land laws and policies of the regional states: Oromia Region proclamation 130/2007, and SNNP Region 110/2007, Afar Region 49/2009, Benishangul Gumuz 85/2010, Gambela Region 185/2011, and Ethiopia Somali Regional State 128/2013 are the latest and effect legal framework for the land associated issue at the regional level. 3.5. Customary Practices in Land Use Right and Administration Apart from the stated affiliated rules and regulations, there are some costmary practices over land use, ownership and administration for some regional state like Somali and Afar regional states. Traditionally, these resources are managed through customary tenure systems. Within boundaries of the commons, the rights to common resources are vested in groups or communities that claim legitimacy to customary laws. Boundaries are closely defined. Rules are set that govern access, utilization, distribution of benefits, and transfer of use rights. Non-members are excluded except where there is a negotiated reciprocal arrangement, which is common among the Afar and Somali regional states. Customary Practices in Afar Community: In the context of Afar, the customary and government tenure systems are in frequent interaction with one another and have been subject to the influence of various socio-economic, cultural and political factors (Kelemework, 2013). The scholar 43 indicated that, most of the land in the affair community is communally administered and is predominantly used for communal livestock grazing. Moreover, in the Afar community, grazing land, and forests have been administered by the Sultanate or clan-based institutions. Each clan and sub clan has its own territory and access by others is subject to prior mutual consent. The customary institutions are mainly based on a clan system in which clan territories provide the framework for land resource utilization, management and administration. In the customary arrangement, only members of a clan have the right to claim land found within the clan territory. Traditionally land has been allocated by customary land administrators, based on orders from the sultan via clan leaders (Kedo-aba) (Kelemework, 2013). Clan land often comprises strategic resources such as grazing areas including dry season retreats, browsing resources, and water points. In addition, each clan has also communal graveyards, settlement areas (metaro) and ritual sites. Each clan has a well-established gerontocracy where the decision power regarding land and other natural resources rests on the village council consisting the clan leader, elders, the feima and local wise-men. The decisions given to the village council include exclusion of non-members, allocation of sites to non-members and determining resource use patterns. Based on these customary institutions, every member of the clan, by default, has the right to use the fruits of his clan’s land once he has the livestock to utilize the resources11. Along with the customary practices, the Afar Regional Government prepared a proclamation regarding rural land use and administration which revised in 2011. The key principle emphasized encompasses (Afar Regional State, 2011): 1. Ensuring the participation of the community in land use plan and implementation; 2. Every land user has the obligation to properly use and conserve the land. The holder is also guaranteed the right not to be displaced from the land; 3. Rural land remains to be the property of the State and the people and is not subjected to sale; 4. Women have equal rights with men in relation to the decision regarding land use; 5. Pastoralists and agro-pastoralists are guaranteed the right to have access to rural land; and 6. The event of eviction for public purpose, the holder has the right to get compensation for the property invested on the land. Customary Practices in Somali Community: Similarly, land is communally owned and managed in Somali by the sub-clan lineages occupying the territory with guurti-elders exercising day-to- day control over land. 11Bekele Hundie, (2015). Property Rights among Afar Pastoralists of Northeastern Ethiopia: Forms, Changes and Conflicts. Humboldt University of Berlin. 44 However, the Proclamation 128/2013 of rural Land use administration of Somali regional state, re-emphasizes that the ownership of the right to use the rural land is exclusively confirmed in the Constitution of Federal Democratic Republic of Ethiopia. Article 7 underscores that land dispute among pastoralists should be settled under the customary dispute settlement system, and the government is to help strengthen the system. The proclamation claims, as indicated in Article (5/1), to guarantee the rural land-use rights of pastoralists by ensuring that all men and women pastoralists have a right to access grazing land and use it for unlimited time. Moreover, Article (5/3) underscores that communal grazing land that has been used, should be delineated. 3.6. Property and Land Use Rights in Ethiopia Land acquisition and property rights are defined in the 1995 Constitution Article 40(8), which empowers the Government to expropriate private property for public purposes subject to payment in advance of compensation commensurate to the value of the property. The power to expropriate landholdings for a development project belongs to a woreda (rural local government) or urban administration (Proclamation No. 455/2005 Article 3). The implementing agency is required to provide written notification, with details of timing and compensation, which cannot be less than 90 days from notification (Proclamation No. 455/2005 Article 4). Any entitled landholder who has been served with an expropriation order shall hand over the land to the local woreda or urban administration within 90 days from the date of payment of compensation should the leaseholder accept payment. Furthermore, where there is no crop or other properties on the expropriated land, the title holder shall hand over the land within 30 days of receipt of expropriation order. Lastly, Article 4 (3) gives power to use police force if a landholder is unwilling to hand over land. 3.7. Acquisition and Valuation of Land and other Assets in Ethiopia Land valuations are often done at the woreda and urban administration levels. These local government units establish valuation committees to value private properties (Proclamation No. 455/2005). In the case of publicly owned infrastructure with a designated right-of-way (ROW), the owners of the structures within the ROW would assess the value of properties to be removed. However, the law does not consider depreciation values. The landholder is entitled to be compensated for the property based on replacement. Permanent improvements to the land, equal to the value of capital and labor expended (Proclamation No. 455/2005 Article 7), are specified as valid basis for determining replacement value. Where property is on urban land, the law specifies that compensation “may not be less than constructing a single room in low cost house as per the region in which it is located.” It is also required that the cost of removal, transportation, and erection be paid as compensation for a relocated property, continuing its service as before. Compensation will also be based on current cost, cost of demolishing, lifting, and reinstalling. Valuation formulae are to be provided by regulations (Proclamation No. 455/2005 Article 7). 45 Assets will be broken down into components to assess value (Directive No. 135/2007). Components for building costs include cost per square meter. Crops are subdivided into crops and perennial crops and calculated based on yield per square meter of land multiplied by price per kilogram. Trees could be cut and used by owner plus payment of compensation for loss of continued income. The cost of machinery, labor for improvement, and any infrastructure as part of the improvement will be compensated based on current costs. Property relocation is based on the cost to relocate property given that it is not damaged while being moved. The amount of compensation for loss of land that is used for grazing or production of grass is based on the area of land and the current price per square meter. (Note: more detailed instructions for compensation are included within Directive No. 135/2007.) Further, assets will be classified as movable and immovable. For movable assets, compensation will be paid for inconvenience and other transition costs (Proclamation No. 455/2005 Article 7(2)). Rural immovable assets include residential houses, business installations, institutional structures, stores, fences and public service providing installation. In rural areas, they include seasonal crops, perennial fruit trees, timber trees and other cash crops. For losses that cannot be easily valued or compensated in monetary terms (e.g. access to public services, grazing areas, water points, fishing ponds, etc.), an attempt will be made to establish access to equivalent and culturally acceptable resources and earning opportunities (Proclamation No. 455/2005 Article 7(2)). In addition to compensation according to Proclamation No. 455/2005 Article 7, displacement compensation shall be paid equivalent to ten times the average annual income he/she secured during the five years preceding the expropriation of the land (Proclamation No. 455/2005 Article 8(3)). Compensation will be in an amount sufficient to reinstate displaced people to their economic position prior to displacement; the regionally relevant administration is required to give another piece of land to any person who lost his land in favor of a public project (Proclamation No. 455/2005). The assessment of compensation does not include the value of the land itself because land is a public property and not subject to sale in Ethiopia. Those with informal, or undocumented rights, and those without titles or use right (e.g. squatters, encroachers) are eligible for specific assistance. Such assistance recognizes some “typical claim to use rights” after occupation of unused or unprotected lands has been established. Informal use- rights are likely to have structures or land improvements that are eligible for compensation, as stated in Proclamation No. 455/2005. In general, valuation of property is to be carried out by a certified private or public institution or private consultants as per the valuation formulae (Proclamation No. 455/2005 Article 9). The committee must be made up of experts with relevant qualifications (Proclamation No. 455/2005 Article 10). This must be not more than 5 experts in rural areas and be designated by the woreda 46 or urban administration. A specialized committee of experts may also be set up separately if required. The local and federal governments have different roles in compensation. The woreda and urban administrations are responsible that compensation is paid and giving rehabilitation support to the extent possible and maintain data regarding properties removed from expropriated landholdings (Proclamation No. 455/2005 Article 13). The FPCU, RPCUs with coordination of concerned Regional Bureau has a duty to ensure there is compliance with Proclamation No. 455/2005 at the regional level, to provide technical and capacity building support in implementation at the regional level and prepare the valuation formulae (Proclamation No. 455/2005 Article 12). 1. All LLRP community subprojects or other household livelihood diversification interventions shall go through Environmental and Social impact screening as per the ESMF. For subprojects confirmed to have adverse impact social survey will be conducted to determine scope and nature of impact due to resettlement. Then Resettlement Action Plan (RAP) shall be prepared to address the adverse impacts and key social issues RAPs will also be provided to the FPCU for review and clearance for each LLRP subproject or other livelihood interventions to be considered eligible for Bank financing. 2. Due to the fact the past legacies, the pastoral communities are among the community identified as historically underserved and because of the possibility minor of land acquisition in the Public Economic Investment (PEI) sub-projects, the project will explore alternative design to avoid physical relocation and where it is not feasible to avoid relocation, and if needed will obtain broad community support as part of the process of free, prior, and informed consultation to fully identify target beneficiaries’ views and ascertain their broad community support for the project” and will prepare a RAP in accordance with this Framework, compatible with cultural preferences and land acquisition plan. 3.8. Eligibility and Entitlements for Compensation Eligibility for compensation is discussed in Article 44(2) of the 1995 Constitution and Proclamation No 455/2005. Both give entitlement only to those who have formal legal rights over their land holdings. 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.” Article 2 (3) notes that compensation is paid to those who have legally occupied the land and those who have property on such land developed through their labor and capital. They will only qualify for the compensation if they occupied the project area prior to a cut-off date established by the Compensation and Resettlement Committees. Eligibility for Land: According to Proclamation No. 455/2005, article 8 sub-articles 4, land for land compensation in urban setting (urban land holder) will be applied to PAPs who might lose 47 their land. This is done only for those who have formal legal rights over the land, the size of which is determined by the urban administration. Persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance. PAPs who are entitled for compensation under the Ethiopian legislation will be compensated for the land they lose, and other assistance ensuring that they are (i) informed about their options and rights pertaining to resettlement, (ii) consulted and provided with technically and economically feasible resettlement and (iii) provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project. Eligibility for Community Compensation: It is important to note that the eligibility may also be claimed collectively, e.g. as a community or religious group, when the assets lost are of communal property or use. Individuals or families can claim individual eligibility for loss of assets of a private nature. Communities on communal land that permanently lose land and/or access to assets and or resources under statutory or customary rights will be eligible for compensation. Example of community compensation could be for public toilets, market places, school buildings and health centres, or access to alternative source of natural resources to restore their livelihoods. Most sub-projects do not normally take land and other assets belonging to a community, such as a community center, school, or sacred site, if this occurs in a sub-project, the community (as a whole) will be compensated. The compensation will be in the form of reconstruction of the facility (in case of damages) or replacement of at least the same standard or equivalent or better standard required by local planning regulation. Eligibility for Loss of Property/Assets: This includes loss of houses, crops and trees, structures, fixed improvements, businesses which should be compensated at market value, negotiated settlements, productivity valuation, material and labour valuation. PAPs that lose their property or assets will be compensated as per the entitlement matrix in Table 2 below. According to Proclamation No 455/2005, for PAPs who lose their property, will be compensated for the property they lost including permanent improvements made to such land. The amount of compensation for property situated on the expropriated land shall be determined on the basis of replacement cost of the property. The cost of removal, transportation and erection shall be paid as compensation for a property that could be relocated and continue its service as before. 3.9. Compensation Procedures and Civil Work Schedule Following survey to identify the specific PAP’s, conclusion of the valuation methods and procedures, the MoP/PCU and other relevant stakeholders will establish compensation procedures and draw up schedule of civil works. The MoP/PCU and relevant stakeholders will determine the need for other structures such as sub-committees to look specifically Rangeland Management and Pasture Improvement (for example Rangeland and pasture Improvement Sub-committee). 48 Eligibility and Entitlements Matrix below defines the eligibility for compensation and/or rehabilitation assistance for impacts/losses for different types of assets for different categories of project affected persons. 3.10. Voluntary Land Donation Guideline for voluntary land donation: The following are guidelines for voluntary land donations (VLD) for the LLRP. The project proposes to rely on VLD for subproject activities proposed under component 1. The principles in this guideline aim to minimize the risk of potential administrative or social coercion and unanticipated social impact as a result of the voluntary land decision especially when it involves vulnerable or disadvantaged community groups. I. Consultation 1. Voluntary land donations for a sub-project must be openly discussed in public consultations to establish that (i) the state is the legitimate owner of such land (ii) the donor (with user right and/or customary rights) is fully informed of the purpose of the donation and of the implications of donating the land (iii) the donor is aware that refusal is an option and should not be coerced. 2. For communal lands donated by the Kebele/Woreda, individuals using or occupying the land must also be identified and consulted to minimize the risk of settlers or migrants losing their livelihood due to the land donation decision. 3. For family lands, family members (including spouses) must be aware of the donation, to minimize the risks of cross-generational conflicts. 4. For government lands, through sub-project screening should establish that the land is free of claims (e.g. from squatters or encroachers), otherwise it triggers involuntary resettlement and follow up site specific Resettlement Action Plans are required. II) Assessing and minimizing social impact 1. Voluntary land donations must represent a small land proportion of the original land holding. (Some best examples ensure land donations will not exceed 10-20%of total land holding of the donor). 2. The proportion of land that may be donated must not be the donor’s main source of income and should not significantly affect the donor’s livelihood. 3. Donation of land should not occur if it requires any household relocation, loss of structures or fixed assets on affected portion of land. III) Documentation 1. Evidence of consultation (minutes of consultations indicating among others list of stakeholders and their affiliation or interest to the land, all agreed actions from the consultations, etc). 49 2. Assessment outcome of the impact of voluntary land donations. This could be a checklist mainstreamed in the sub-project environmental and social screening checklist or as a standalone. (Attached some examples of screening questions in Table 4 below) 3. A formal statement or documentation (e.g., a Memorandum of understanding, deed of donation, minute, etc.) for each instance of land donation establishing informed consent and signed by each owner or user involved. On the required contents of community level voluntary land donation documentation, the following are reporting issues are required. IV) Reporting 1. Number of subprojects requiring Voluntary Land Donation 2. The land size voluntarily donated to the project 3. Consultations held 4. Numbers of land donations processed and documented 5. Delivery of entitlement or assistance in compliance with the terms and conditions for VLD if any. 50 Table4 - Example of check-list to be used for assessment and monitoring of VLD 1. Has the legitimate land use right holder been established/identified? 2. Is this land free from contesting claims? 3. Are there any individuals or tenants using or occupying the land? 4. What is the land size being donated? 5. Is this donation for temporal or permanent use? 6. If temporal what is the agreed duration? 7. Is land use right holder losing more than 10-20% of their land holding? 8. Does tenant farmer or occupier of the land have alternative lands to support his/her livelihood? 9. Will land donation lead to physical displacement, loss of agricultural livelihood or assets, loss of economic trees? (if yes, this will be a case of involuntary resettlement and will require to follow on by the preparation of Resettlement Action Plans) 10. Were the land use right holders as well as tenants or occupiers consulted, aware of the purpose of the donation as well as right to refusal? 11. What are some of the concerns raised if any during the consultations? 12. Will these land use right holders or tenant farmers receive benefit from this sub project? 13. Are there any agreed conditions or incentives for the land donations? 14. If yes what are these conditions? 15. What is the agreed timeline for meeting these conditions? 16. Does the land use right holder know about the availability of the project GRM? 17. Does the land use right holder know about the availability of CRC? 18. Is the land use right holder aware of their rights to reclaim their benefits if their requests are appropriate and backed by the regulation (s)? These screening should be documented, once signed by the voluntary land donor (husband and wife or clan members as applicable). The detail formats will be further outlined in the LLRP PIM safeguards section. 3.11. Entitlements and Compensation Other Regional Proclamations and Regulations Based on the counselor of minister proclamation of 455/2005, the regional states have crafted their own regulation and compensation for land and other property, have formulated their land policies and land laws. Among these land laws and policies of the regional states: Oromia Region proclamation 130/2007, and SNNP Region 110/2007, Afar Region 49/2009, Benishangul Gumuz 51 85/2010, Gambela Region 185/2011, and Ethiopia Somali Regional State 128/2013 are the latest and effect legal framework for the land associated issue at the regional level. Zerfu Hailu, (2013) argued that, there are lower level laws, regulations and directives, developed in all the regions. Federal and regional land administration and land use proclamations provide unlimited period of use right to farmers, pastoralists and semi-pastoralists. 3.12. Compensation for Land and other Assets The House of People’s Representatives Proclamation No.455/2005. Accordingly, in the article 7 (1), a landholder whose landholding has been expropriated has given the right to get the payment of necessary compensation for his property situated on the land and for the permanent improvement he made to the land to be expropriated. On the other hand, under article 7 (2) of the proclamation No.455/2005, it is mentioned that the amount of compensation to be made for property located in the expropriated land should be decided based on the replacement of cost of the property. Furthermore, under article 7 (3) of the proclamation No.455/2005, it is underlined: “… the compensation is payable to an urban dweller, it may not, in any way, be less than the current cost of constructing a single room low cost house in accordance with the standard set by the concerned region” (FDRE, proclamation No. 455/2005 article 7(3). The following table summarized the regulation valuation system for varies properties supposed to be situated in the land under expropriation. Table 5: Summary of the regulation valuation system for varies properties supposed to be situated in the land under expropriation. Articles Property Item Compensation procedures Art 3 (1) Building The amount of compensation to be paid for a building is determined based on current cost per square meter or unit of construction comparable building. Art 4 Fences The amount of compensation for fence as a property is decided by calculating the current cost per square meter or unit required to build similar fences. Art 5(1) Crops The amount of compensation paid to crop shall be calculated by multiplying the amount of yield that have been collected from the land under expropriation at maturity by the current market price of the crop. Art 5(2) Crops The owner of the ripe crops in lieu of compensation shall harvest and collect crop within a fixed period according article 4 of proclamation No.455/2005. Art 6 (1) Perennial Crops The amount of the compensation supposed to be made for unripe perennial crops should be determined by the calculating the estimated of a growing plant. 52 Articles Property Item Compensation procedures Art 6 (2) Perennial crops The amount of compensation to be paid for ripe perennial crops should be decided based on the average annual yield, the current local market price of the crops and the cost of permeant improvement on the land. Art 7(1) Trees The amount of compensation to be paid for trees shall be determined on the basis of the level of growth of the trees and the current local market price per square meter per unit. Art 7(2) Trees **The owner of the tree may, in the lieu of the compensation cut and collect the three within fixed period of time according to proclamation No. 455/2005. Art 8 (1) Protected Grass The compensation for projected grass, shall be decided on the basis of the productivity of the land and the current market price of the grass per square meter. Art 8 (2) Protected Grass Stated the owner of the grass may in lieu of the compensation shall cut and collect the grass in with in fixed period of time as stated in art 4 of the Proclamation No.455/2005. Art 9 Permanent The amount of compensation for permanent improvement made on the rural improvement for land should be determined by calculating machinery, material, labour cost rural land utilized for clearing, moving, and tracing including the cost for water reservoir and the other agricultural infrastructural works. Art 10 Relocated The amount of the compensation to be made to the relocated properties shall be property determined by calculating the estimated cost of labour, material and transports expense incurred at the market. This value for removing and transportation and installing properties. Art 11 Payable to Where a mining site is expropriated pursuant to the provision of proclamation Mining site No.455/2005, the compensation due to license issue shall be determined by the relevant mining low in the country. Art 12 (1) Burial Ground The amount of compensation to be paid for a burial ground shall be decided based on the cost to be incurred for removing the grave stones, preparing other burial ground, transferring and the relocating the corpse and for conducting any religious/ cultural ceremonies then. 3.13. Dispute Resolution and Grievance Redress Procedures Proclamation No. 455/2005 has put in place grievance redressing mechanisms. In the proclamation art 11 (1) it is stated that stated that in local governments where complaint hearing organ is not established, a complaint regards to amount of compensation shall be submitted to a regular court. However, in local governments where an administrative organ is established, a landholder dissatisfied with his/her compensation can lodge their complaint to an administrative unit established for such purpose. As per this proclamation, the grievance redressing mechanism is dealt as follows: 53 1. 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. 2. The above organ shall examine the complaint and give its decision within short period of time, as specified by directives issued by the region. 3. 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. 3.14. Requirement of the World Bank Policy for Resettlement /OP 4.12/ The World Bank’s Safeguard Policy OP 4.12 applies to all components of the program, all associated activities, and to all economically and /or physically affected persons, regardless of the number of people affected, the severity of impact. The OP 4.12 further requires attention to be given to the needs of vulnerable groups as defined in the Ethiopian National Social Protection Policy and covered in the complementary Social Assessment. The World Bank’s Policy requires that a site specific resettlement action plan (RAP) shall be prepared and cleared by the Bank prior to commencement of any civil works. The Bank also requires that the provision of compensation and other assistance to Project Affected Persons shall be done prior to the displacement of people. Resettlement sites, new homes and related infrastructure, public services and moving allowances must be provided to the affected persons in accordance with the provisions of the RAP. This Resettlement Policy Framework considers project affected people as those who stand to lose because of the project, all or part of their physical and non-physical assets, including homes, productive lands, resources such as perennial and non-perennial crops, forests, commercial properties, and income-earning opportunities. Such impacts may be permanent or temporary. This RPF is guided by the following set of salient principles of Operational Policy 4.12 Involuntary Resettlement: • Involuntary resettlement and land acquisition will be avoided where feasible, or minimized, by exploring all viable alternatives. • Where involuntary resettlement and land acquisition is unavoidable: • Resettlement and compensation activities will be conceived and executed as sustainable development programs. • Displaced and compensated persons will be meaningfully consulted and have opportunities to participate in planning and implementing resettlement and compensation programs. • Displaced and compensated persons will be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them. The RPF seeks to ensure that affected communities are meaningfully consulted, have participated in the planning and implementation process, adequately compensated to the extent that the pre- displacement incomes have been at least restored or improved and the process is fair and transparent. Meaningful consultations with the affected persons, local authorities and community 54 leaders will therefore allow for establishment of criteria by which displaced person will be deemed eligible for compensation and other resettlement assistance. On the bases of OP 4.12, this RPF establishes eligibility criteria for various categories of PAPs to resettlement entitlements and other forms of assistances based on the range of impacts directly attributable to the project. Affected persons may be classified as persons: d) those who have formal legal rights to land or assets; e) those who do not have formal legal rights to land or assets at the time the census begins, but have a claim to land or assets that is recognized or recognizable under national law; or f) those who have no recognizable legal right or claim to the land or assets they are occupying or using (Para. 15). And the census of PAPs and asset inventory need to be undertaken as soon as possible to ensure accurate determination of eligibility for entitlement. Thus, this RPF is prepared to govern the sub- projects selected for financing and sets out the elements that will entail involuntary resettlement, which will not be known during the project appraisal. It ensures that any possible adverse impacts or proposed project activities are addressed through appropriate mitigation measures, against potential risks. The RPF provides the basis for preparing Resettlement Action Plan (RAP)/Abbreviated Resettlement Action Plan (ARAP), if required, once their location and scope are known. Whenever a project activity or sub-project results in land acquisition, a RAP, which is a detailed action plan, shall have to be formulated and approved by the World Bank before the commencement of the physical work. The impacts of any potential resettlement activities will be monitored and evaluated as set of this RPF. 3.15. Gaps between the National and World Bank Legal Requirements The following table presents the comparison of gaps between the GoE laws and the World Bank OP 4.12requirements and gap filling measures. The highest of the standards for the PAPs must be followed. 55 Table 6: Gap Analysis and Measures to Fill the Gap. Issue FDRE Law World bank OP 4.12 Comparison/Gaps Measures to Fill the Gap Property and Land Rights Squatters/Encroachers Ethiopian law does not make any OP 4.12 entitles compensation to For those without formal The WB OP 4.12, specific accommodation for all affected individuals regardless legal rights to lands or which has the higher ‘squatters’ or ‘illegal settlers’, other of landholding rights to land titles. claims to such land that standard applies. The than recognition of some use-rights, could be recognized under World Bank such as when settlers can claim rights the laws of the country, the OP/BP4.12 gives to the land. government should provide eligibility to: (i) those resettlement assistance in who have formal legal Ethiopian law states that, when it is lieu of compensation for rights to the land; (ii) determined that a right of way must land, to help improve or at those who do not have be established, the expropriation least restore those affected formal legal rights to rights of the State take precedence, persons’ livelihoods. land but have a claim to although the Constitution protects such land; and (iii) the individual’s use-rights. those who do not have recognizable legal right or claim to the land. Resettlement and Compensation Measures and Processes Policy Objectives Proclamation No. 455/2005 World Bank OP 4.12 objectives World Bank OP 4.12 overall World Band OP/BP4.12 (Article 3(1)) gives power to require that: objectives shall be applied to overall objectives shall Woreda or urban administrations to avoid or minimize be applied to avoiding or Involuntary resettlement should be “expropriate rural or urban involuntary resettlement to minimizing involuntary avoided wherever possible, or landholdings for public purpose ensure resettlement program resettlement to ensure minimized, by exploring all where it believes that it should be is sustainable and includes resettlement program is alternatives. used for a better development. This meaningful consultation. sustainable and includes is supported by Article 51 (1) and Resettlement program should be meaningful consultation. Article 40(8) of the 1995 sustainable, include meaningful Constitution. consultation with affected parties 56 Issue FDRE Law World bank OP 4.12 Comparison/Gaps Measures to Fill the Gap Proclamation No. 455/2005 and provide benefits to the affected (Article 7(5)) states that “the cost parties. of removal, transportation and Displaced persons should be erection shall be paid as assisted in improving livelihoods or compensation for a property that at least restoring them to previous could be relocated and continue to level. serve as before.” Notification Article 4 of Proclamation No Article 10 of World Bank OP4.12 Article 3 of Proclamation The provisions in this period/timing of 455/2005 requires notification in requires that the resettlement No. 455/2005 requires any RPF and the World Bank displacement writing, with details of timing and activities associated with a sub - landholder who has been OP 4.12 overall compensation, which cannot be less projects are linked to the served with an expropriation objectives shall be than 90 days from notification. It implementation of development order to hand over the land to applied. requires that land should be handed program to ensure displacement or the woreda or urban Displaced person should over within 90 days of payment of restriction of access does not occur administration within 90 always be paid compensation payments. If there is no before necessary measures for days from the date of compensation and crop or other property on the land, it resettlement are in place. Taking of payment of compensation or, support before the land is must be handed over within 30 days land and related assets may take if he refuses to receive the handed over, as per of notice of expropriation. It further place only after compensation has payment, from the date of World Bank OP/BP4.12. gives power to seize the land through been paid and where applicable, deposit of the compensation police force should the landholder be resettlement sites and moving in a blocked bank account in unwilling to hand over the land allowances have been provided to the name of the woreda or displaced persons. urban administration as may be appropriate. Article 4 states that where there is no crop, perennial crop or other property on the expropriated land, the holder shall hand over the land to the woreda or urban administration within 30 days from the date 57 Issue FDRE Law World bank OP 4.12 Comparison/Gaps Measures to Fill the Gap of receipt of the expropriation order Eligibility for Proclamation No 455/2005, Article Those who have formal legal rights According to World Bank World Bank OP/BP 4.12 Compensation 7(1) allows ‘landholders’ to be to the land; OP4.12, eligibility for eligibility measures will eligible for compensation, where the compensation is granted to be used to bridge this Those who do not have formal legal term “landholder” Article2(3) “affected parties". Ethiopian gap. The World Bank rights to land, but have a claim to meansan individual, government or Legislation only grants OP/BP 4.12 gives such land; and private organization or any other compensation to those with eligibility to: (i) those organ which has legal personality and Those who do not have lawful possession of the who have formal legal have lawful possession over the land recognizable legal right or claim to land, and as per rights to the land; (ii) to be expropriated and owns property the land. Proclamation No 456, those those who do not have situated thereon” with communal lands as formal legal rights to presented under definition land but have a claim to 12. It therefore does not such land; and (iii) those recognize those without a who do not have legal right or claim as recognizable legal right eligible for compensation. or claim to the land. Timing of There are no relevant constitutional or Implement all relevant resettlement OP 4.12 shall be applied to The World Bank OP 4.12 compensation legislative provisions that specify the plans before project completion and ensure displaced persons states that compensation payments and timing of completion of resettlement provide resettlement entitlements compensated and supported issues should be resolved displacement. and compensation. before displacement or restriction prior to handover of land to and settled before the of access. For projects involving the development initiative. civil work starts. restrictions of access, impose the restrictions in accordance with the timetable in the plan of actions. Measures for There are no specific laws or Livelihoods and living standards Ethiopian policy and The LLRP RPF livelihood restoration regulations specifying support for are to be restored in real terms to legislation would need to be acknowledges the and assistance livelihood restoration and transition pre-displacement levels or better. aligned with the Banks discrepancy, the WB and moving allowances. policy to effectively policy prevails. 58 Issue FDRE Law World bank OP 4.12 Comparison/Gaps Measures to Fill the Gap guarantee rights of all affected persons of involuntary resettlement. Assistance to Ethiopian law makes no specific OP 4.12 further requires attention These groups are highest risk TheWB policy prevails vulnerable groups accommodations for potentially to be given to the needs of prone to experience negative and assistance to vulnerable groups such as women, vulnerable groups such as those effects due to resettlement vulnerable groups will be children, the elderly, ethnic who are below the poverty line, and should receive special provided as per the minorities, indigenous people, the landless, elderly, women and consideration during the entitlement matrix in this landless, and those living under the children, indigenous groups, ethnic preparation of a resettlement RPF. poverty line. minorities and other disadvantaged policy framework. persons. Public consultation There are no specific laws or Consult project-affected persons, Despite the differences Provide project-affected and disclosure regulations specifying the process of host communities and local NGOs, identified, the practice has persons and local procedures consultation and disclosure as appropriate. Provide them been that where a mitigation NGOs/CSOs, local procedures. opportunities to participate in the plan affects local leaders, vulnerable planning, implementation, and communities, proceedings groups, media and monitoring of the resettlement are conducted in the local women as appropriate program, especially in the process language. This is significant the opportunities to of developing and implementing considering the composition participate in the the procedures for determining of those most likely to be planning, eligibility for compensation excluded under Ethiopian implementation, and benefits and development legislative and constitutional monitoring of the assistance (as documented in a protection for involuntary resettlement program. resettlement plan), and for resettlement (i.e., squatters). establishing appropriate and accessible grievance mechanisms. C. Cut-off date and disclosure of information 59 Issue FDRE Law World bank OP 4.12 Comparison/Gaps Measures to Fill the Gap Cut-off date and The constitution has outlined specific According to OP 4.12, states that In the case of the WB OP The LLRP RPF disclosure procedure and cut-off date for acut-off date is determined and 4.12., all compensation document acknowledges information launching the project and delivering communicated. The cut-off-date related issues should be in an event where there is compensation to the PAPs. At the could be the date the census begins. notified earlier and settled a discrepancy between earliest possible opportunity, the The cut-off date could also be the before civil works are the national law and WB Rural Woreda or Urban date the project area was started. OP 4.12 guidelines, the Administration directly or through the delineated, prior to the census, if WB policy prevails. assigned Woreda CRC will provide there has been an effective public notification regarding land acquisition dissemination of information on the to landholders and users. The land area delineated, and systematic and holders and/ or users will be informed continuous dissemination after the through both formal notification in delineation to prevent further writing and by verbal notifications population influx. The significance delivered in the presence of a Woreda of the cut-off-date should be clearly and Kebele representatives and notified, and the required community leader/elders. information communicated. N.B. In the case of conflict between the Ethiopian laws/regulations and World Bank OP 4.12, the latter will prevail. 60 4. Community Consultation 4.1. Views of the Community For adequate and inclusive consultation in the LLRP process and achieve free prior informed consultation leading to broad community support a LLRP Consultation and Participation Plan document was prepared to be used continuously throughout the life of the LLRP. Since some of the project activities; such as, investment on green infrastructure for integrated rangeland development and management component are expected to include small infrastructural projects that require some land acquisition (temporary or permanent) and could also potentially reduce/restrict access to natural resources (in the case of afforestation/reforestation and rangeland management etc.) involve land acquisition or restriction of access to common resources such as afforestation or pasture lands, there is a need for closer community consultation and participation. 4.2. Summary of Public Participation and Consultation with Stakeholders in Implementing Regions Under LLRP, World Bank safeguard policy; OP/BP 4.12 will be triggered if any sub-projects that were found, upon screening as per the Project’s ESMF, to involve involuntary resettlement, acquisition of land and/or reduced access to natural resources. In addition to the OP4.12 requirements, this RPF will also apply the laws, legislation, regulations, and local rules governing the use of land and other assets in Ethiopia. In order to ensure the acceptance of RPF by communities and Woreda local government; public consultations were conducted in four Kebeles and four Woredas selected from Afar, Benishangul Gumuz, Gambela, Oromia, Southern Nation, Nationality and Peoples Region and Ethiopian Somali Region. Accordingly, 24 community consultation meetings were held at Kebele level and 10 consultation meetings with Woreda development committee conducted in four Woredas selected from each of four regions. Two Kebeles were selected from each sample Woredas that maintains the pastoral and agro-pastoral context in one hand and the objectives of the RPF on the other hand. Thus, the sample Woredas depicted in the following table (Table 6) was purposively selected in line with the above- mentioned criteria. 61 Table 7: List of Sample Woredas visited and the number of Consulted Community Members for RPF Preparation. S.N Region Zone Woreda Kebele Number of people Date-data consulted collection Male Female Total 1 Afar Zone-1 Dubti Debelina Halebiri 21 9 30 October 25-28, Hankasina Aredo 23 8 31 2018 Kori Guyah 36 15 51 Gulubule 39 9 48 Sub-total 127 41 160 2 Somali Fafen Gursum Araasa 5 28 33 December 12-15, Gulumorodi 4 27 39 2018. Harshin Kebele 01 19 6 14 Ferah Liben 17 9 29 Sub-total 45 70 115 3 Oromia West Gumbi Bordode Kenteri 14 6 20 December 04-07, Harerge Obens 15 7 22 2018. East Fentale Benti 23 8 31 Shewa Gelcha 21 9 30 Sub-total 73 30 103 4 SNNPR South Hamer Kola Kajo 17 8 25 1. November 27- Omo Anguda 14 3 21 28, 2018. Banatsemay Alkakibo 18 7 25 2. November 30- Shaba Arge 13 2 15 December 02, 2018. Sub-total 62 24 86 5 Gambela Nuwer Lare Magok 19 9 28 November 01- Nip Nip 14 6 20 04, 2018. Special Itang Dorong 26 7 23 woreda Pokumu 12 8 20 Sub-total 61 30 91 Grand total 360 195 555 The main methods of data collection include; community consultations and focus group discussions. The participants of community consultations and Focus Group Discussions (FGDs) comprised pastoralist, agro-pastoralist, Idir members, cooperative members, women/female household heads, youths, and elders, people with disabilities. Key informants such as Development Agents (DAs), Woreda experts from different line offices and officials (livestock, pastoral development, and agriculture/agriculture and land administration and environment protection 62 bureaus/offices), PCDP III Woreda focal persons12, Woreda Technical Committee members and PCDP III regional environment and social safeguard specialists 13 were also consulted. The consultation provided space to capture the views and experiences of these groups in regards to their assumptions and expectations of risk factors, concerns, challenges, benefits and potential community contribution. Community consultation guides and FGD checklist were prepared and used for the field data collection purpose. The community consultation guides focused on the potential impacts of the project by program component on vulnerable and underserved community groups pastoralist, agro-pastoralist, Idir members, cooperative members, women/female household heads, youths, and elders, people with disabilities. Key informants such as Development Agents (DAs), Woreda experts from different line offices and officials (livestock, pastoral development, and agriculture/agriculture and land administration and environment protection bureaus/offices), PCDP III Woreda focal persons The community consultation sessions were held with 555 people (360male and 195 female) pastoralist, agro-pastoralist, community-based organization members, cooperative members, women/female household heads, youths, and elders, people with disabilities. 12 Except Benishangul Gumuz and Gambela regional states. 13 Except Benishangul Gumuz and Gambela regions. 63 Table 8: Profile of experts and officials involved in KII and FGD sessions for RPF preparation. S.no Data collection methods and profile of participants I Key Informant Interview (KII) and FGD Participants Profile of experts and officials Key questions raised Administration Profile # 1. What is your view towards the LLRP project? levels 2. How do you evaluate the development activities 1 Afar Region President office chief officer, Regional Rural Livelihood 5 in your area? Program officer; 3. What is the existing status of health, education, Culture, tourism and heritage conservation; Regional agriculture, livestock and marker related services development learning and knowledge management expert; in the area? Regional PCDP M and E officer 4. What are the major challenges related to health, Woreda level Woreda administrators (1x2), Agriculture and natural 5 education, agriculture, livestock and marker resources head(1), Woreda finance and economic cooperation related service delivery in the area? bureau (1), Woreda pastoral development program officer (1) 5. What are the livelihoods related challenges faced Kebele level Keble chairmen’s (1x4) and youth representative (1) 5 by the community? 2 Gambela Region Regional level cabinet members* 25 6. Could you list down to five development Woreda Level Woreda administrators and deputy administrator (2x2); Lare 14 priorities of the community? Woreda council members (1x10), 7. Are women actively engaged on the Kebele level Kebele administrators (1x4) 4 community’s development activities? 8. Are women equally entitled to control natural 3 Oromia region Regional Pastoral Affairs Commission Head, Regional 2 resources and land? Pastoral Affairs Commission Communication Head. 9. Are you willing to donate your land if it is Woreda level Woreda administrators (1x2), woreda pastoral office head 6 needed for community development? (1x2), Woreda animal health officer (1) and Woreda planning 10. How is land or other asset compensation and budget officer (1) effected? Kebele level Kebele administrators (1x4), development agent (1) 5 11. What are the major economic activities of the 4 SNNP region Regional PCDP coordinator, regional ESS officer, Pastoral 11 community? Affairs Bureau, culture and heritage development directorate 12. Is customary law dominant in your area director, regional culture and development expert, regional compared to formal law? development learning and knowledge management, regional environment protection officer, regional land certification and 64 S.no Data collection methods and profile of participants registration officer, regional honey production expert, 13. Is there a prevalence of GBV and HIV/AIDS in regional special advisor to economic sector and head of South your area? Omo pastoral affairs department. 14. What types of economic options are available Woreda level Woreda administrators (1x2) and Woreda pastoral affairs 4 for youth? officer (1x2) 15. What development priorities do both male and Kebele level Kebele administrators (1x4) 4 female youths have? 5 Somali region Drought resilience and Livelihood Sustainability Program 3 16. How do you the involvement of civil society coordinator, Animal health development directorate director organizations in the area? and regional pastoral development directorate director. 17. You are cordially invited to suggest if there is Woreda level Woreda administrators (1x2), Woreda livestock head (1x2) 5 any additional idea. and Woreda Bureau of Finance and economic cooperation (1) Kebele level Kebele administrators (1x4) and Kebele livestock officer (1) 5 Total 103 NB: One among the members of the Gambela regional state’s cabinet members is female (Directorate director of women and children affairs bureau). She is also the only female participants from experts and government official’s category and the remaining 1 02 participants are male. The consultation was aimed at exploring and soliciting feedback from PAPs 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: 65 4.3. Concerns Raised During Consultation The following key elements of the RPF and the project were discussed during the public consultations, including land acquisition and compensation, entitlement matrix, institutional arrangement, grievance redress mechanism, monitoring and evaluation and other general features of the project, to seek broad community support. During the meetings, the facilitators briefed communities on the aim of RPF and why it is necessary to trigger OP 4.12 World Bank safeguard policy on land acquisition; the procedures and implementation arrangement of RPF. 4.3.1. Property Right In all target LLRP regions property right is inclined towards patriarchal segment of the population. The entitlement and property eight of women decrease as aridity and insecurity increases. The different views and concerns regarding property rights including women’s property rights is discussed in detail in the complementary Social Assessment. Overall, the study participants of both genders are quite aware of government policies and legislations regarding women’s equality in general and their legal land (and property) right. Yet, a few thinks that these policies and laws are not effective in practice. The co-existence of local customary practices and formal laws seems to have compromised the realization of women’s rights as illustrated in legislations and policy documents. This is particularly significant since customary structures often compete with, and at times work against, state structures and legal provisions. As a result, despite of people’s awareness of women’s rights and legal/policy instruments, apparently, implementation of these policies/laws or women’s interest/attempt seeking to secure rights or fight against violation seems limited for several reasons. These constraints are manifested in terms of; ritual and taboos embedded in the local belief system, norms of residence and territorialisation of lineages and sub-lineages, rules of inheritance in the context of local custom. 4.3.2. Provision of Social Services Basic services like water, health, education and access to basic infrastructures are the major concerns raised by all study participants throughout the five visited target LLRP regions. The major demand of the participants is access to water supply for human, livestock animals; small- scale irrigation and water for pasture and crop cultivation. Shortage of the water supply is common in almost all pastoral and agro-pastoral areas but it is also more serious problem at Kori woreda (Afar), Fentale and Gumbi Bordode woredas (Oromia), Hamer Woreda (SNNPR). In the case of Fentale and Gumbi Bordode woredas (Oromia) have expressed their concern to prevent flood risk. The second major concern is related to health service for human, livestock animals’ health and preventing animal disease. Our observation gives us a chance to indicate the fact that the health facilities for human are not fully functional and they have a serious shortage of drugs and devices that enable them to deliver appropriate and standardized health service. In the case of livestock 66 animal health, there are few numbers of animal clinics and animal health professionals. The participants from Gambela claimed that their livestock animals are prone to cross boarder disease which is introduced by Felata tribe. Both gender based violence (sexual assault, abduction and rape) and harmful traditional practices (Genital Mutilation, early marriage and inheritance marriage) are common on the five LLRP regions. But the first is more prevalent at Gambela, Somali, Afar and SNNPR while the latter is more practice in Gambela, Somali and Afar respectively. 4.4. Outcomes of the Community Consultation and Focus Group Discussion Sessions The community consultations revealed that the communities were interested in the project due to the successes observed in adjacent PCDP-III and other project Woredas. In all target Woredas that is during the discussion with community members in newly selected Woredas community members were not only unanimous in their interest and support for the project, but also are aware of the potential impact of some activities of the project components in terms of possible land acquisition or restriction of access to communal use natural resources. When compared to the kind of environmental degradation they are facing now, acquisition of small portion of their lands for construction of access roads or temporary restriction of access to communal grazing lands is the little price they are more than willing to pay. However, they said the approach should be with thorough discussion with community, elders, religious leaders/fathers, clan leaders and indigenous institutions before starting implementation of such activities. Therefore, they suggested that when the project begins implementation there should be participatory community consultation. Table 9: Summary of Issues and Responses Presented At Consultation Meetings. Issues and concerns Responses to address concerns and issue Water supply: water source human being is far Water supply: will be addressed under water from the kebele. The team has observed serious resource development sub project and strategic water supply problems at Kori Woreda (Afar), investment on water supply facilities. Fentale Woreda (Oromia) and Hamer woreda Potable water: will be addressed under improved (SNNPR). access to water resources. Potable water: There is serious problem at Kori Irrigation: will be addressed under strategic woreda (Afar), Fentale and Gumbi Bordode investments, particularly construction of small- woredas (Oromia), Hamer Woreda (SNNPR). scale irrigation. Irrigation: The agricultural land allocated to the Flood: will be addressed under strategic kebele is vast. They complained that the size of the investments, particularly construction of check canals supplying water to their agricultural land are dams or small-scale dams and cut-offs. not adequate to deliver water to the agricultural field and will need to be widened in order to prevent the overflow of water. 67 Issues and concerns Responses to address concerns and issue Flood: there is flood risk in the case of Fental and Gumbi Bordode woredas (Oromia) Health services: there is no adequate health service Health Services: will be addressed under in general and maternal and child care in particular. improving access to economic and social services Animal health clinics: animal health clinic and improving access to key resources. constructed by the government is very far from the Animal health clinics: will be addressed under village and could not provide the required service. improving access to economic and social services Animal disease: in the case of Gambela it is prone and improving access to key resources. to cross boarder diseases, especially animal Animal disease prevention: will be addressed diseases which are introduced by Felata14 tribe. under improving access to economic and social services and improving access to key resources. School facility: problem of school facility School facility and hostel: willbe addressed especially after grade four completion. Even the under improving access to economic and social existing schools are not well furnished and the services and improving access to key resources. educational activities is interrupted due to the seasonal mobility of the pastoral communities of all targeted regional states. Hostel schools: Have serious facility, food, sanitation and manpower related problems. Example, Banatsemay Hostel school. Pastoral land: Problem of pastoral land which lead Pastoral land: in most regions pastoral land are to scarcity of feed for animals. communal but in the case of Afar they are owned Shortage of land: land allocation to the kebeleis by clans. Thus, measures will be taken to one hectare for agriculture and one hectare for maintain equal access to resources.The clan pasture which is not enough to raise animals. leaders will be consultedto establish a ground rule Feeder roads: There is a need to repair existing that helps to benefit all members of the different road that connects the kebele with town especially clans who are residing in the same area or during the rainy season. Woreda. Shortage of land: communities will be accessed touse the grazing lands that exist within the nearby areas and some members of the community should engage in feed and forage production. 14 According to the participants, Felata tribe comes from Nothern Nigeria and Nothern Sudan; they stay at Gambela region from December to February. From the animal herds they bring to the area, they introduce new animal diseases and are putting the life of the wild animals found at the national park. 68 Issues and concerns Responses to address concerns and issue Feeder roads: willbe addressed under improvement of market infrastructure and strategic investment on key infrastructure. GBV: the practices are more prevalent at GBV and HTP: willbe addressed under Gambela,Somali, Afar and SNNPR. improving basic services and capacity building HTP: are more common in Gambela, Somali and component of the project particularly under Afar. There is Genital Mutilation, early marriage institutional capacity building and knowledge and inheritance marriage. management sub-components. Continuous awareness raising programs need to bepracticed and a joint committee consisting of BoWYC; police and justice department; community members and Woreda and Kebele development committees should work on resolving the GBV and HTP related problems. Livestock production and market: Market access: willbe addressed under Market access: problem of market access to their improvement of value and volume of agricultural product. In general, the livestock commodities, increasing the number of functional production and market system is poor in all regions. livestock markets and abattoirs/other processing Critical claims have been raised by the facilities set up and livelihood diversification and communities from Somali, especially with regards market linkages. to animal trading with the neighboring countries Market for milk and other animal (particularly Somali land) products:willbe addressed under increasing the Market for milk and other animal products: common interest groups engaged in commercially there is lack of market for milk products especially viable businesses, increasing the number of in Gambela, SNNPR and Somali regional states. enterprises supported by rural financial services (promoting value chain), working on market linkages and the establishment of Pastoral and agro-pastoral Savings and Credit Cooperatives (PASACCO) and Rural Savings and Credit Cooperatives (RUSACCO). IGA: There are various attempts in all regions in IGA: willbe addressed under increasing the terms of their involvement on IGA. But, there are common interest groups engaged in commercially serious problems in Gambela, SNNPR and Somali viable businesses, increasing the number of regional states. enterprises supported by rural financial services, working on market linkages and the establishment of Pastoral and agro-pastoral Savings and Credit Cooperatives (PASACCO) and Rural Savings and Credit Cooperatives (RUSACCO). It is important also to consider traditional associations like 69 Issues and concerns Responses to address concerns and issue Equip, Idir and Self Help Groups that facilitates the blossoming of the IGA activities of the community. Land acquisition and Compensation: On the Land acquisition and Compensation: the issues of land acquisition and compensation and Ethiopian constitution gives the right of reduce access to natural resource that might result ownership of land to the public /state. Individual because of involuntary resettlement by LLRP, the citizens are given the right to use the fruit of participants explained that they knew the labour expended on the land. Therefore, it is not implementation of community subprojects and possible to take any individual land or communal other household based interventions obviously need land for public development without adequate a piece of land and people may be affected because compensation. The individual lands are given acquired land will not be possible during and after voluntarily the compensation are not needed but if the LLRP investment project is implemented. the individual land are taken involuntarily for Moreover, they expressed their desire to participate public investment the affected peoples should be in the Rangeland management that requires compensated. traditional intermittent grazing land use leading to In short, the World Bank safeguards policy will restoration of the grazing land and the environment. be applied 1. Compensation for all affected communities regardless of their land holding is effected; 2. Land-to-land replacement in the case of lose of land; 3. Compensation is provided for loss of assets other than land. 4. Displaced persons should be assisted in their efforts to improve or restore their livelihoods (capacity building opportunities); Transparency and accountability: most Transparency and accountability: the project participants have expressed their fear that the will establish a system that enables to maintain project may not be implemented at all or it may not high level of transparency and accountability. be able to benefit the community. These concerns This system will be stretched from Federal to were strongly reflected at Fentale woreda (Oromia), Kebele level of administration. Lessons from Lare and Itang woredas (Gambela) and Hamer PCDOP III will be taken in to consideration while Woreda (SNNPR). mitigating the problem. Monitoring and evaluation: documentation, Monitoring and evaluation: Strict follow-up and follow up and Monitoring and Evaluation activities monitoring will be in place to complete the project on related problems. The team has seen critical time. This will be primarily carried out by the problems at Gambela, Somali and SNNPR regions establishment of community level monitoring systems to oversee the overall implementation of the project at and Woredas in that order. the grass root level. 70 4.4.1. General Agreements • There is a clear understanding by the local communities in regions that maintaining or recovering natural resources improves rangeland management, rainfall pattern and water availability, provides clean air, and contains wild animals, birds and source of biodiversity, while boosting productivity in honey and traditional medicine. • There is a general understanding that LLRP intervention in their respective regions will help sustain natural resources management and biodiversity (flora and fauna) of protected areas as well as increase the forest cover of the regions. • Participants of the consultation provided their broad community support through willingness to participate and commitment to protect their natural environment and address environmental problems and facilitate the implementation of LLRP. • The community reached an agreement that moving forward, donation of land for LLRP might be treated in a very cautious way and donation of communal land for the project should not stop them from the use of the natural resources such as grass, trees and other for their livelihoods. 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 region, the community revealed that most of land are communally owned and managed by the clan. No one can exploit Communal land without the permission of the Clan. In the case where land used by individuals is needed for project activities, the community has culture to compensate the affected people. However, the culture does not allow compensation in money terms for the potential project affected people. Rather in Afa Ada (which is the lowest social institution to guide the overall life of the residence at community and kebele level) it’s common to support the affected peoples in providing goat camels, and sheep etc. It was agreed that the project will place special consideration and attention on economic and physical dislocation to mitigate any negative impacts. • Almost all of them agree that land supply for such small development investment has not been an issue of concern until recently. They have confirmed that the preparation of RPF under LLRP 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 since the project (LLRP) engages the community in all stages of involuntary land acquisitions this will not happen. Holders donate their land voluntarily, it is not because they have plenty of land, it’s since they think for the bright future of their children and the benefit of the society at large. The land taken for the construction of a given subproject activity must undergo the process of consultation with the individual land holder or from communal land and if the land is given voluntarily. 71 4.4.2. General Level of Understanding on LLRP • The consultation evaluated the level of understanding and the adverse impact of poor rangeland management in their area and the positive impacts of soil and water conservation activities. • During the interactive consultation and discussions, the participants identified the causes for poor rangeland management as deforestation for agricultural expansion, population density, diminishing size of livestock heads and overgrazing. • Whereas, the potential impacts raised by consultation participants covered, diminishing water supply, declining agricultural productivity, flooding and higher risk of drought, health problem (both human and animal), and increasing social tension and conflicts. • Communities and participants suggested mitigation options of the poor rangeland status through the LLRP such as rangeland management, continued consultation and awareness creation, introducing alternative energy sources, improving livelihoods. 4.4.3. Lessons Learned The preparation of LLRP is informed by the lessons drawn from PCDP I, PCDP-II and PCDP-III and other similar initiatives implemented by the Ethiopian Government. - Rangeland management should be considered an integral part of rural development, and a more holistic approach is needed to support livelihood development in rural communities. Rural households face various constraints to grow their income and make their livelihoods sustainable. - Land Administration and Use is one of the four components of LLRP. Customary institutions have traditionally played an important role in the settlement of disputes involving rural land in the catchment areas. The designation and composition of these customary/informal conflict mediation institutions may slightly vary between regions/catchments. As the result, elders, family councils/trusted relatives, religious leaders, idirs etc. have won increased community acceptance and recognition in the settlement of land-related disputes. This is due to (i) trust and confidence in the indigenous dispute settlement institutions, (ii) minimize cost as well as time, (iii) contribute to the lessening of the burden on the regular judicial system. 4.5. Stakeholder Analysis Stakeholder analysis is essential to better understand the best way to implement the LLRP in general and the RPF. The stakeholder analysis consists of groups, organizations and institutions that could influence and contribute to the LLRP. The document is expected to evolve as the project progresses, since stakeholder identification is an on-going process. The stakeholder were mapped via reviewing stakeholder analysis guidelines; interviewing experts, government officials, ESS specialists and DAs. 72 Table 10: Stakeholder Analysis S.No. Stakeholders’ name. Degree of Degree of Why is LLRP How does the stakeholder What is the strategy to LLRP project stakeholder’s important to the contribute to the LLRP? engage the impact on the influence on stakeholders? stakeholders? stakeholders. the LLRP. 1 MoP Very high Very high Will enhance to Showing demonstrated -Signing MOU with provide services to the leadership and the donor. community by in a way commitments to LLRP -Consultative that meets the project initiatives; and meetings ministry’s objective contribute to its and goals. sustainability. -Joint planning and review meetings -Experience sharing visits -Sharing best-cases 2 MoAL Very high Very high Will enhance to Showing demonstrated -Signing MOU with provide services to the leadership and the MoP. community by in a way commitments to LLRP -Consultative that meets the project initiatives; and meetings ministry’s objective contribute to its and goals. Especially sustainability. -Joint planning and on issues related to review meetings rangeland management -Experience sharing and natural resources visits improvement. In additions to that the -Sharing best-cases expansion of livestock 73 S.No. Stakeholders’ name. Degree of Degree of Why is LLRP How does the stakeholder What is the strategy to LLRP project stakeholder’s important to the contribute to the LLRP? engage the impact on the influence on stakeholders? stakeholders? stakeholders. the LLRP. market infrastructure and livelihood diversification. 3 MoWIE Very high Very high Will enhance to Showing demonstrated -Signing MOU with provide services to the leadership and the MoP. community by in a way commitments to LLRP -Consultative that meets the project initiatives; and meetings ministry’s objective contribute to its and goals. Particularly, sustainability. -Joint planning and on water source review meetings development and -Experience sharing construction of dams visits and irrigation schemes. -Sharing best-cases 4 MoH Very high Very high Will enhance to Showing demonstrated -Signing MOU with provide services to the leadership and the MoP. community by in a way commitments to LLRP -Consultative that meets the project initiatives; and meetings ministry’s objective contribute to its and goals. Especially sustainability. -Joint planning and on issues related to the review meetings improvement of human -Experience sharing and livestock health visits services. -Sharing best-cases 74 S.No. Stakeholders’ name. Degree of Degree of Why is LLRP How does the stakeholder What is the strategy to LLRP project stakeholder’s important to the contribute to the LLRP? engage the impact on the influence on stakeholders? stakeholders? stakeholders. the LLRP. 5 MoE Very high Very high Will enhance to Showing demonstrated -Signing MOU with provide services to the leadership and the MoP. community by in a way commitments to LLRP -Consultative that meets the project initiatives; and meetings ministry’s objective contribute to its and goals. Especially sustainability. -Joint planning and on issues related to the review meetings improvement of -Experience sharing education services. visits -Sharing best-cases 6 MoT Very high Very high Will enhance to Showing demonstrated -Signing MOU with provide services to the leadership and the MoP. community by in a way commitments to LLRP -Consultative that meets the project initiatives; and meetings ministry’s objective contribute to its and goals. Especially sustainability. -Joint planning and on issues related to the review meetings construction of tertiary -Experience sharing roads. visits -Sharing best-cases 7 MoFEC Very high Very high Will enhance to Showing demonstrated -Signing MOU with provide services to the leadership and the MoP. community by in a way commitments to LLRP 75 S.No. Stakeholders’ name. Degree of Degree of Why is LLRP How does the stakeholder What is the strategy to LLRP project stakeholder’s important to the contribute to the LLRP? engage the impact on the influence on stakeholders? stakeholders? stakeholders. the LLRP. that meets the project initiatives; and -Consultative ministry’s objective contribute to its meetings and goals. Especially sustainability. -Joint planning and on issues related to the review meetings improvement of basic service delivery and -Experience sharing the effective utilization visits of financial resources. -Sharing best-cases 8 MoWC Very high Very high Will enhance to Showing demonstrated -Signing MOU with provide services to the leadership and the MoP. community by in a way commitments to LLRP -Consultative that meets the project initiatives; and meetings ministry’s objective contribute to its and goals. Especially sustainability. -Joint planning and on issues related to the review meetings prevention of GBV, -Experience sharing HTP and gender visits inequality. -Sharing best-cases 9 Other organizations High High Experience sharing and Experience sharing and -Review meetings working livelihood learning; avoiding learning; avoiding resilience and duplication of effort duplication of effort rangeland management(AfDB, 76 S.No. Stakeholders’ name. Degree of Degree of Why is LLRP How does the stakeholder What is the strategy to LLRP project stakeholder’s important to the contribute to the LLRP? engage the impact on the influence on stakeholders? stakeholders? stakeholders. the LLRP. UNDP, USAID and FAO) 10 Donor (WB/IDA and Very high Very high Donor would like to see Providing financial and -Sharing assessment IFAD) LLRP deliverables being technical support TORs, regular reports, met; and see the outcome best-cases, etc. of the initiative in the -Engaging in review government’s community meetings and experience development policy sharing visits provisions 11 Community leaders Very high Very high It helps to improve the By mobilizing the -Engaging in livelihood and enhance community and planning, review the economic contributing their shares meetings and improvement of both on conflict resolution and experience sharing the community leaders fighting to reduce GBV visits. and the whole and HTP. community as well. 12 Project Affected Very high Very high It helps to improve Either by -Engaging in People their livelihood, voluntary/involuntary land planning, review service provision and donation, support in terms meetings and economic resilience of of financial and kind/labor community the community/PAP. and own the project by development itself. initiatives or activities. 77 S.No. Stakeholders’ name. Degree of Degree of Why is LLRP How does the stakeholder What is the strategy to LLRP project stakeholder’s important to the contribute to the LLRP? engage the impact on the influence on stakeholders? stakeholders? stakeholders. the LLRP. 13 CSOs, CBOs and High High CSOs, CBOs and other Experience sharing and -Participate in other non- non-government learning; avoiding planning, government organizations duplication of effort implementation and organizations and Experience sharing and monitoring review the media working learning; avoiding meetings in the LLRP duplication of effort -Support through intervention area capacity building including awareness creation activities related to LLRP -Dissemination of information about LLRP 78 5. Organization, Procedures and Responsibility 5.1. Processes for RAP Preparation, Review and Approval The conditions of the land acquisition must be documented in the subproject application. RAP/ARAP is required if land needs to be acquired, such that people are displaced from land or productive resources and the displacement results in relocation, the loss of shelter, the loss of assets or access to assets important to production; the loss of income sources or means of livelihood; or the loss of access to locations that provide higher income or lower expenditure to business or persons. When a subproject is expected to cause physical and economic resettlement, RAP/ARAP must be prepared. The RAP will need to be as detailed as possible in order to guide resettlement of each of the subprojects. The steps to be undertaken for each individual RAP include a screening process, and a socioeconomic census and land asset inventory of the area and identification of LLRP investment project Affected Persons (PAPs). This is followed by the development of a Resettlement Action Plan (RAP) or Abbreviated Resettlement Action Plan (ARAP), RAP review and approval, implementation of the RAP, and monitoring of RAP implementation and success. 5.1.1. Sub-Project Screening The first step in the process of preparing individual RAPs is the screening process to identify the land/areas that may result in resettlement impacts. Subproject screening is used to identify the types and nature of potential impacts related to the activities proposed under LLRP and provide adequate measures to address the impacts. It also ensures that the proponent, in consultation with the local community members, chooses a site with the least environmental and social impacts and lowest chance of resettlement. Screening will be undertaken by the relevant Woreda Implementing Agencies- IAs (rural water/irrigation development agency/office, trade and marketing office, agriculture office, etc.) that proposes the LLRP investment subproject, with the use of the screening tool as attached to the RPF (see Annex II). This screening will be part of the environmental and social screening process for each LLRP investment subproject as detailed in the ESMF. It will take place as early in the LLRP investment subproject identification process as possible and will identify land that is to be taken for the subproject and PAPs who will need to be resettled and/or compensated. This will be in consultation with the affected persons to ensure that it takes all considerations into account and all potential impacts are identified. The Screening Report will be submitted by the relevant LLRP Woreda Technical Committee (WTC). If the Screening Report shows that no resettlement is required, the development of full Resettlement Action Plan is not necessary, but, sub project activities will go through the other environmental and social screening process as indicated in the ESMF. Especially 79 on cases whereby the PAPs contributes land voluntarily and when the individuals/households less than 10% of the plot of land considered for the project and if their livelihood not endangers; then the preparation of RAP or ARAP is not necessary. It is worth mentioning to state that OP 4.12. is triggered when there is an involuntary land acquisition for the sake of implementing the LLRP. All measures should be on the table in order to address impacts of the LLRP and a time-tested mitigation strategies needs to be applied to ensure all the possible impacts are addressed properly. 5.1.2. Socio-Economic Census and Asset Inventory An important aspect of preparing a RAP is to establish appropriate data to identify the persons/household/community and their assets who will be affected by the individual subproject, people eligible for compensation and assistance, and to discourage inflow of people who are ineligible for these benefits. The census will achieve the following: 1. Provides initial information on the scale of resettlement to be undertaken; 2. Identifies and provides data to fill those gaps in information and gives an indication of further socio-economic research needed to quantify losses to be compensated and, if required, to design appropriate development interventions; and 3. Establishes indicators that can be measured later during monitoring and evaluation. The socio-economic survey will be undertaken by the relevant IAs that are proposing the LLRP investment subprojects with the use of the sample socio-economic survey indicated in Annex III of this RPF. It will be accompanied by a land asset inventory to determine what assets will need to be compensated for during the resettlement process. The land and asset inventory will be done under close supervision of the sub-project CRCs. A sample inventory form can also be found in Annex III. The sample inventory form provides guidance on the details required during the census. 5.1.3. Categories of Affected People Land acquisition for sub-projects may result in negative impacts to different categories of PAPs. Until the exact sub-project locations are determined, it is not possible to estimate the likely number of people who may be affected. However, the likely displaced (economically or physically) persons can be categorized into three groups namely: Project Affected Persons (PAPs): are individuals whose assets may be lost, including land, property other assets, and/or whose access to natural and/or economic resources may be reduced because of activities related to sub-project(s). Project Affected Households: are groups of PAPs in one household and where one or more of its members are directly affected by the project. These include members like the head of household, male and female members, dependent relatives, tenants, etc. Underserved and Vulnerable groups of people: These include groups which are economically or socially tied to their land but the land might not be under legal ownership pursuant to GoE law 80 (including properties rented from Keble and used as source of income). Therefore, land acquisition might impact their lives seriously. From these households the project will separately identify the vulnerable members, such as those who are too old or too ill; children including orphans; families affected and/or infected by HIV/AIDS; vulnerable women; unemployed youth; people with disability; etc. Households headed by women that depend on sons, brothers, and others for supports are especially vulnerable. 5.7. Number of PAPs It is not possible to determine the number of Project Affected People at this stage in the project as the exact foot print of the sub-projects is not known. The purpose of this RPF is therefore to establish the mechanisms by which the appropriate tools, screening checklists and RAPs/ARAPs will be implemented to mitigate potential resettlement impacts once exact impacts of sub-projects have been identified. For each sub-project, which might require physical and/or economic resettlement, the number of PAPs will be established through a RAP/ARAP which will be elaborated before project implementation. PAPs will be informed of their rights under national laws (GoE laws recognizing rights or use) and this RPF (and eventually RAPs), and the project will offer them adequate compensation as stated in the entitlement matrix together with culturally appropriate development opportunities. In the RAP, 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); (i) PAPs must be consulted about land acquisition and compensation and offered technical and financial options, including the most economically feasible alternatives; and (ii) PAPs should receive adequate compensation at full replacement cost based on current market price for losses of assets and access attributable to the sub-project. 5.2. Development of RAP and ARAP Following the socio-economic survey and identification of affected parties, a RAP or ARAP will be developed according to the structure. According to the WB involuntary resettlement policy, if 200 or more persons are affected, a Resettlement Action Plan (RAP) will be developed. In case whereby more than 200 people are affected but none of them are physically displaced and/or lose 10 percent or less of their productive assets, then ARAPs are acceptable. If the Screening Report shows that resettlement will be required, the preparation of RAP and ARAP will be carried out as per the following procedures: 1. If 200 or more persons are affected, a Resettlement Action Plan (RAP) will be developed. In cases where more than 200 people are affected, but none of them are physically displaced and none of them lose 10 percent or more of their productive assets, then ARAPs are acceptable. 81 2. If 1 to 199 persons are affected an Abbreviated Resettlement Plan (ARAP) will be developed; In both the above cases, the next step will be complete Step 2: to conduct a socio-economic survey and asset inventory to determine the extent of resettlement required. This will be followed by the preparation of a Resettlement Action Plan (RAP), Abbreviated Resettlement Action Plan (ARAP) and/or a Livelihoods Restoration Plan for the LLRP investment subproject, or no further documentation is required. Whenever, there is no physical resettlement and economic impacts are induced by the LLRP activity, the same procedure applies based on the scope of impact and appropriate plans will be prepared. 82 Figure 1: Steps for the preparation of RAP or ARAP Resettlement More than Yes Plan 10% of any Yes holdings 200 or taken? Resettlement Yes more Relocation Yes Plan individuals affected No required? Abbreviated Abbreviated No Resettlement Relocation Plan with Plan No Yes Land to be required? Economic acquired using Rehabilitation eminent domain Abbreviated No Resettlement Plan Restrict access to natural Process Framework No Yes resources OP 4.12 Does not apply No 83 5.2.1. Resettlement Planning Principles and Process The MoP/PCU in association with relevant ministries such as MoAL/MoWIE/MoH/MoE will provide the general direction for the planning of the relocation /compensation process; ensure coordination between various stakeholders concerned with the Project including those directly connected with resettlement and monitor the implementation. At launching of each project approved for bank financing, stakeholders will be consulted to establish planning principles and work arrangements aimed at identifying and mitigating adverse social impacts induced by the project’s activities. Baseline surveys, valuation of properties and payment of compensation are will be effected ahead of the commencement of works. All PAPs will be consulted in the process with respect to the instance affecting them and requiring compensation; whether in the context of resettlement / compensation or in the context of mitigating project related social impacts and other issues pertinent to the project or sub-project. The MoP/PCU will be expected to make arrangements and incorporate the relevant line ministries such as Ministry of Agriculture and Livestock, Ministry of Water, Irrigation and Electricity, Ministry of Health, Ministry of Education, Ministry of Women, Youth and Children, Ministry of Labor and Social Affairs and other line ministries or other private entity or NGO to conduct the survey and registration of PAPs and properties at Project sites, establish compensation arrangements in accordance with legal framework for doing so, effect the valuation of crops and trees and whatever asset or item of value affected, execute the valuation of houses and execute the payment of compensation. 5.2.2. Preparation of a Resettlement Action Plan (RAP) The preparation of a RAP will be done by the relevant IAs that is proposing the LLRP investment subprojects, hiring independent consultant, in consultation with the affected parties, particularly in relation to the cutoff date for eligibility, disturbances to livelihoods and income-earning activities, methods of valuation, compensation payments, potential assistance and timeframes. The basic elements of a RAP and ARAP are provided in summary in Boxes 1 and 2 as indicated below. The full description of the RAP and ARAP are attached in this RPF in Annex IV. In order that this is not an unnecessarily difficult process, the level of detail and extent of the RAP must be related to the extent of the resettlement impact. If the resettlement activities be minor (e.g. a very small percentage of a person’s land and livelihood is being required and less than 200 individuals affected), a relatively simple Abbreviated Resettlement Action Plan (ARAP) will be required. Where the resettlement impact is more major (e.g. the physical displacement of 200 or more individuals), a more extensive and detailed RAP will be required. The crucial aspect of a RAP process is that a specific and auditable process has been followed that is appropriate to the impacts and allows for consultation throughout the process. 84 Box 1: Contents of RAP. 1. Identification of project impacts and affected populations; 2. Legal framework for land acquisition and compensation; 3. Compensation framework; 4. Description of resettlement assistance, restoration of livelihood activities and entitlement matrix; 5. Detailed budget and implementation schedule; 6. Description of organizational responsibilities; 7. Framework for public consultation, participation, and development planning; 8. The implementation schedule and training/capacity building plan; 9. Conducting census and income and asset survey of all PAPs; 10. Description of impacts backed by quantification and measurement unit of its effect on the PAP 11. Description of provisions for complaints and appeals; and 12. Framework for monitoring, evaluation, and reporting For the detail information for RAP preparation and its detail content, refer, Annex IV of this RPF. 5.2.3. Preparation of an Abbreviated Resettlement action Plan (ARAP) An ARAP must be developed if the loss is a small percentage of the affected party’s livelihood, such as the loss of part of a fence surrounding a property or as is defined in the previous section – when between 1 and 199 individuals are affected. The level of details will be determined by the scope of impact of land take. This needs to include at a minimum those aspects as set out in Box 2 below: Box 2: Required Elements of an ARAP 1. A census survey of displaced persons and valuation of assets; 2. Description of compensation and other resettlement assistance to be provided; 3. Consultations with displaced people about acceptable alternatives; 4. Conducting census, on income and asset survey with quantified impacts, 5. Description of provisions for GRM, complaints and appeals; and 6. Institutional responsibility for implementation and procedures for complaints and appeals; 7. Description of impacts backed by quantification and measurement unit of its effect on the PAP 8. Arrangements for monitoring and implementation; and 85 9. A timetable and budget It is likely that the LLRP subprojects will require only an ARAP – or only a simple screening process and census, in most instances, ensuring that it is not over-burdensome, but at the same time ensuring a process has been followed. A full RAP may result in a large and detailed report, while an ARAP may require less pages documenting all steps in the process, as set out in Box 2 above. 5.2.4. Preparation of a Process Framework A process framework is prepared when Bank-supported projects may cause restrictions in access to natural resources in legally designated parks and protected areas. The purpose of the process framework is to establish a process by which members of potentially affected communities participate in design of project components, determination of measures necessary to achieve resettlement policy objectives, and implementation and monitoring of relevant project activities (see OP 4.12, paras. 7 and 31). Specifically, the process framework describes participatory processes by which the following activities will be accomplished 1. Collect Complementary Social baseline: building on the complementary Social Assessment, the LLRP implementing entity will conduct as needed, Participatory Rural Assessments to capture community’s voices on alternative means, identify potential conflicts and mechanism to address and come up with special assistance/initiatives for the community, particularly targeting for vulnerable groups. The findings of the study will guide the overall considerations and approaches in compensation and risk mitigation measures; 2. Assign a Focal Person: the social development officer at LLRP national, regional and woreda counterparts should be primary contact persons to follow up sub projects inducing access restriction; 3. Conduct Special Compensation Program: the LLRP implementing entity will develop a compensation package appropriate to PAPs in restoring and improving livelihoods. Special compensation measures could include but not be limited to, provision of alternative grazing area, priority in employment, provision of fodder, support in intensification and agricultural inputs; 4. Community Participation and Citizen Engagement during Implementation : LLRP will focus on increasing community engagement and participation in livestock, fishery and poultry management and decision-making. The participation and engagement forums would help familiarize LLRP components and accompanying benefits. Citizen feedback and a series of consultations with community members, government officials, and representatives of CSOs and CBOs will continue during implementation; 86 5. Establish Woreda and Kebele Resettlement Committee: this committee will handle issues of access restriction process in LLRP implementation, which is similar to the resettlement committee captured in the RPF; 6. Conflict resolution committee: Any potential conflicts between livestock, fishery and poultry-based livelihood community members impacted will make use of the Grievance redress committee stipulated in this RPF. The conflict resolution committee must include the participation of all stakeholders from all socio-economic backgrounds; 7. Develop Action Plan: based on the process stipulated above LLRP will develop a process action plan to be submitted to the Woreda office for Pastoral development, regional Pastoral Development Bureau or the World Bank for review and clearance based on the scope of impact. The Process action plan should be submitted and cleared before enforcing new restrictions of access to resources. 5.3. Review and Submission of RAP or ARAP Following completion of the RAP, ARAP or Resettlement Process Framework for LLRP investment subproject, the Woreda relevant LLRP IA together with the Woreda CRC will submit the RAP to the Woreda Environment, Forest and Climate Change (EFCC) Office or the Regional EFCC Bureau as applicable for approval and ensuring compliance with the RPF and the Ethiopian law. Capacity for RAP review and approval will be developed at Woreda level through training and technical assistance to ensure that all implementing agencies and other stakeholders involved discharge their different responsibilities effectively. 5.4. RAP/ARAP Implementation Agencies Several government institutions at different level will play a role in the implementation of the RPF and individual RAPs/ARAPs, in line with the general LLRP institutional arrangements and national legislation. The development and implementation of the RAPs/ARAPs will be the responsibility of Woreda relevant IAs that is proposing LLRP subprojects for financing. In this regard, the role of Woreda and Kebele level CRC is crucial. Woreda EFCC, Woreda administrations and Kebele Councils are mainly responsible for implementation of RAP/ARAP. Regional level line departments of LLRP IAs, federal and regional level LLRP coordination offices also play a key role for the implementation of the RAPs/ARAPs by providing technical supports and capacity building works. Woreda office for Pastoral Development is the main responsible body in reviewing and approving the RAPs/ARAPs. Based on the screening conducted by the LLRP, if the scope and scale, if the level of resettlement impact is relatively major, regional level IAs that is proposing LLRP investment subproject for financing with the support of independent consultant will prepare the RAP/ARAP, and the Regional ESS, National LLRP Project Coordination Unit (N-PCU) and the World Bank are responsible for the review and approval of the same. 87 Table 5: RAP/ARAP Implementation Agencies and their Responsibilities. Task Instrument Responsibilities Institutions/Agencies Screening Screening checklist Woreda LLRP IAs Woreda and Kebele CRC Review and approval National & the Woreda EFCC and Woreda Woreda and Kebele CRC of screening report World Bank legal Implementing Agencies requirements, and this RPF Census and Census Survey form Woreda LFSDP IAs Woreda and Kebele CRC identification of PAPs (Annex III) Land and asset Land and asset Woreda LLRP IAs Woreda and Kebele CRC inventory inventory form (Annex III) Development of RPF Woreda LLRP IAs. If it is a Woreda and Kebele CRC RAP/ARAP RAP, it will be prepared by Woreda IAs supported with independent consultant Review and RPF Woreda and/ or Regional EFCC, Woreda and/ or Regional RAP/ARAP approval NPCU, and the World Bank LLRP IAs RAP/ARAP RAP Woreda LLRP IAs Regional relevant LLRP implementation IAs, Woreda/Kebele CRC RAP/ARAP M&E, and List of indicators Woreda and/ or Regional EFCC, Woreda & regional reporting Regional and Woreda LLRP relevant LLRP IAs, coordination units Woreda/Kebele As indicated above, the role of the Woreda and Kebele level Compensation and Resettlement Committee (CRC) is crucial. The composition and responsibilities of each CRC is indicated as follows: The Woreda level CRC includes: Woreda Administrator; Woreda Office of Finance and Economic Cooperation; Woreda Office of water and irrigation (structures related to small dams, check dams and small scale irrigation ); Woreda Bureau of Education (schools and hostel schools), Woreda Bureau of Health (clinics and animal health posts ), Woreda office of Agriculture and Livestock (structures to livestock routes, livestock markets, slaughter houses and soil conservation and enclosure), Woreda office of small scale and Micro-enterprise (or other structures related to market center development and management) if the subproject that lead to involuntary resettlement is market center construction; Woreda Office for Women and Children; Woreda Office for Youth and Sport; Woreda EFCC; Community Representative; and Representative from local NGO or CBO. The Woreda CRCs are responsible for: 1. evaluating the projects and determining if a RAP is necessary, establishing Kebele level CRCs; 2. clarifying the polices to the Kebele CRCs; 88 3. establishing standards to unit rates of affected assets and compensation estimates according to the guidelines in the RPF; 4. coordinating and supervising implementation by Kebele CRCs as stipulated in the RPF; 5. ensuring that appropriate compensation procedures are followed; and 6. Overseeing the project’s requirements related to social impacts included resettlement and compensation. Kebele CRC include: Kebele Administrator (Chairperson); Kebele Development Agent (extension worker); two representatives from PAPs; Village elder/leader (rotating position with one leader representing a number of villages and attending in rotation, depending on the village and affected party being dealt with); women representative; and representative from local NGO or CBO if available. The Kebele CRCs are responsible for: 1. validating inventories of PAPs and affected assets; 2. allocating land where required to permanently affected households; 3. monitoring the disbursement of funds; 4. guiding and monitoring the implementation of relocation; 5. coordinating activities between the various organizations involved in relocation; 6. facilitating conflict resolution and addressing grievances; and 7. providing support and assistance to vulnerable groups (women, youth, and other disadvantages groups). Table 62: Woreda and Kebele Compensation and Resettlement Committee (CRC) Composition and Responsibility. Kebele Compensation and Implementing Woreda Compensation and Resettlement Committee Committee (Rural) • Woreda Administrator • Kebele Administrator (Chairperson); • Woreda Office for pastoral development • Kebele Development Agent (Livestock • Woreda Agriculture and Livestock office extension worker); • Woreda Water, Irrigation and electricity office • Representative of PAPs; • Woreda finance and Economic Cooperation office • Village Elder/Leader (rotating position with • Woreda Women, Children and Youth Office one Leader representing several villages and • Woreda Heath Office attending in rotation, depending on the • Woreda Education Office village and affected party being dealt with); • Woreda Environment, Forest and Climate Change • Representative from local NGO or CBO Office • Woreda Land use and planning Office representative • Representative from local NGO or CBO • Community Representative 89 Responsibilities Responsibilities The Woreda Committees are responsible for: The local Kebele Committees are responsible for: • Evaluating the LLRPs on the ground investment • Validating inventories of PAPs and affected activities and determining if a RAP is necessary, assets; establishing Kebele level • Allocating land where required to permanently • Clarifying the polices to the Kebele compensation affected households; committees; • Monitoring the disbursement of funds; • Establishing standards to unit rates of affected assets Guiding and monitoring the implementation of and compensation estimates; according to the relocation; guidelines in the RPF; • Coordinating activities between the various • Coordinating and supervising implementation by organizations involved in relocation; Kebele compensation committees as stipulated in the • Facilitating conflict resolution and addressing RPF; grievances; and • Ensuring that appropriate compensation procedures • Providing support and assistance to vulnerable are followed; and groups. • Overseeing the project’s requirements related to social impacts included resettlement and compensation. 5.5. Indicative capacity building activities Plan and carry out customized/tailored capacity building trainings for project implementing staff/experts, and project steering and technical committee members operating at federal, regional woreda and community levels. These include: Experts of the different implementing federal government sector ministries/agencies; experts of implementing regional government sector bureaus/agencies; regional PCIUs; Woreda PCIUs; and Kebele development agents and grassroots stakeholders. The prime focus of the indicative capacity building trainings to be delivered to these project implementing personnel and committee members is on; (i) the national environmental and social safeguard policies and related legal and administrative issues; and, (ii) the World Bank’s environmental and social safeguard policies and how to ensure compliance. The monitoring and reporting social safeguard requirements related with involuntary land take. The preparation, implementation, documentation and reporting of RPF and RAP specifically procedures and operational steps on involuntary resettlement, including the various provisions included in this RPF (process to be used to acquire land, entitlement, eligibility, compensation, GRM and other provisions). 90 Proposed approaches to the Capacity building trainings: 1. Carrying out prior need assessments in the project regions. Prior need assessments are important to identify existing gaps in knowledge, skills and attitudes in respect to implementing safeguard policies. 2. Environmental and social safeguard specialists (ESS) at federal and regional levels will be given trainings at national and international workshops organized by the World Bank, Ethiopian government and/or national and international training institutions. 3. The federal LLRP coordination unit will organize a TOT for regional project implementing personnel and committee members. 4. Participants of the TOT will cascade the training to woreda cluster level and Woreda experts and members of PCIU; 5. Trained zone and woreda experts will transfer the knowledge and skills acquired to kebele Development Agents (DAs). Kebele DAs will raise the awareness of Kebele Development Committees (KDCs) and get them sensitized on environmental and social safeguard issues. Independent consultants will participate in the conduct of specific skill trainings such as ESIA processes and methodologies. 5.6. Institutional Arrangements for Environmental and Social Safeguards The Environmental and Social Safeguard (ESS) is one of the program support section of the Lowland Livelihood Resilience Project (LLRP) with the aim to ensure that subproject activities to be implemented are not only technically, economically and financially viable, but are also environmentally friendly and socially acceptable for the sustainability of the LLRP investments. For the attainment of the LLRP development objective and ensuring environmental and social sustainability the following institutional arrangement will be used in existing and new target rangeland areas. MoP agencies/bureaus/offices at regional and woreda level will be responsible for implementing Environmental and Social Safeguard (ESS) requirements for the project. Depending on the nature and scope of sub-projects and legally vested mandates, safeguard assessments, documentations and approvals can be undertaken at federal, regional or woreda levels. Federal and regional Project Coordination and Implementation Units (F and R-PCUs) will recruit Environmental and Social Safeguard experts to oversee ESS planning, implementation, monitoring and evaluation and reporting activities of the project. In additions to that, Woreda Cluster Support Teams (WCSTs) will be established within each regions. This unit will play a strategic role in the overall spatial approach of the project, apart from providing technical support to woreda and lower level implementers. Depending on clustered woreda’s15 project implementation approach. 15 Woreda cluster will be established based o spatial project implementation approach. A given cluster will be consisting of 3-6 woredas having comparative similarity on rangeland characteristics, 91 The finding from the RPF study indicates that there should be a separate safeguard specialist for environmental and social domains of the project. Most compliance and grievances on previous interventions are either not well handled or they are delayed to be addressed. For instance in the case of Fentale Woreda of Oromia region and Hamer woreda of SNNP, it is stated that “there still PAPs who are not provided with the necessary compensation and replacement of their land that should be resolved right before the starting of the civil works related to the various projects. Furthermore, the PAPs are not getting the required attention even after appealing to the court.” These problems raised above are associated to the process of implementation of PCDP projects and other projects like the Ethio-Djibouti rail way project particularly in the case of Fentale and Gumbi Bordedo woredas of Oromia region. Similarly, in the case of SNNP it was stated that “the government officials or the government agencies were not executing their role in relation to the proper facilitation of the compensation or facilitating the replacement process for the involuntarily land acquisition.” This clearly, indicates that there is a need of environmental and social issues related enforcer at woreda cluster level and at woreda level respectively. Federal Project Coordination and Implementation Unit (F-PCU) – The F-PCU shall recruit/hire one Environmental and one Social Development Specialist (Safeguards and Gender) who will work closely with regional safeguard specialists, zonal and woreda focal persons assigned in each of the LLRP implementing regions. The environmental and social safeguard specialists (each one) shall consolidate all compliance and performance monitoring reports collected from the six regions. They will assist in monitoring and closely following up of the effective implementation of the Environmental and Social Management Framework (ESMF), Social Assessment (SA), Resettlement Policy Framework (RPF) and Gender Mainstreaming Guideline (GMG). Besides, they provide the required technical backstopping; review subproject and activity plan, design, cost, and baseline documents to ensure environmental and social factors and mitigation measures are incorporated; prepare monthly and annual work plan; organize annual and monthly review programs; collect and consolidate progress report and send the consolidated report to development partners on a quarter bases. Regional Project Coordination and Implementation Unit (R-PCU): The R-PCU will designate/recruit one environmental and social development specialist (safeguard and gender) who will follow the overall implementation of the ESMF, SA, RPF and GMG at woreda, kebele and community level. The regional safeguards team shall undergo training in environmental and social safeguards aspects of subproject preparation, review and approval. They will closely work with the regional infrastructure and rangeland specialists of the region during the planning and construction time to avoid the late occurrence (proactive engagement) of impacts on the environment and the community. They will collect the performance of safeguard activities from the woreda; undergo a detail analysis on the quality of reports, and the implementation of mitigation measures on a specified period. They will review the subprojects referred to the region for ESIA together with the regulatory institution or delegated regulatory authority. A consolidated 92 plan will be sent to the national project coordination unit through the M&E unit and a separate standalone report to the F-PCU safeguards specialists. Woreda Cluster Level: The LLRP at woreda cluster level is led by a steering committee. The Focal person at the woreda cluster 16 level is responsible for the overall coordination and monitoring of the environmental and social safeguard activities at woreda level. He/she will compile and consolidate quarter and annual implementation progress reports submitted by the woredas and will send to the R-PCU. He/she will facilitate the implementation of the review process for those subprojects sent to zonal environmental regulatory body for ESIA purpose; if a need arises. The woreda cluster level focal persons will support woredas in properly directing the steps while conducting the ESIA by own human resources at woreda level and/or by a consulting firm licensed by the MoEFCC or other international entities entrusted for the purpose. Woreda Level: The woreda focal person is responsible for coordinating the different stakeholders in the planning and implementation of the LLRP activities at grass root level, kebele and community level. He/she supports kebele Development Agents in the identification and screening of subprojects. However, for high and medium risk subprojects he/she should request support from safeguards experts either at woreda cluster level or regional levels after screening results. He/she will follow the implementation of mitigation measures that are planned in the Social Management Plan (SMP) and RPF. Besides, he/she will play a significant role in facilitating the WTC members to play their respective roles in designing the anticipated potential environmental and social impacts and the mitigation measures subjected to their concerned sector offices. He/she prepare and submit a consolidated report on the performance of the environmental and social safeguard activities along with the M&E. At Woreda level implementation structures will include Woreda Project Appraisal Team (WATs) to be established for each LLRP Woreda with membership from the Woreda Offices for Pastoral Development, Agriculture and Livestock Resources, Health, Education, Water, Irrigation and Electricity, Women and Children Affairs. WAT should be separate from the technical committee discussed earlier so that its members have no facilitation responsibilities under the project. In this way, it can maintain a degree of independence to appraise and review sub-projects, particularly from the perspective of ESS, technical soundness, gender equity, consistency with the Woreda Development Plan, compliance with rules, and any issues raised by the community audit and supervision committees as well as to track the achievement of milestones at different stages of sub- project implementation. Approval of ESS procedures and documents as well as conducting annual environmental and social audits will be the responsibility of ESS specialist or equivalents at all levels (Federal, Regional, Woreda Cluster and Woreda levels). 16 According to the FDRE PAD (October 12, 2018), a given woreda cluster will be consisting of 3-6 woredas based on the spatial and rangeland characteristics similarity. 93 Kebele level implementation: identification and initial environmental and social screening of subproject/activity of the RLLP starts from community and kebele level which are eligible for support. Kebele Development Committee (KDC) and Community Audit Committee (CAC) at kebele and community level, respectively, are responsible to follow up and timely monitor the implementation of the Environmental and Social Management Framework, Social Assessment (including the Social Management Plan), RPF and gender mainstreaming guideline and site- specific plans, such as ESMF and SMP as applicable. Development Agents at kebele level (Rangeland Management, Natural Resource Management, Pastoral Development, Livestock Development, Irrigation and/or others) have the responsibility to ensure the overall implementation of the ESMF, SA, RPF and GMG. A review of the documents compiled for the preparation of the LLRP and the findings of the RPF reveal that there is a capacity gap in fully implementing safeguard issues given the lack of experience of MoP in implementing WB supported projects. Most notably, the absence of separate environmental and social safeguards units in the MoP is observed as a major capacity gap. The best lessons that the LLRP adopted is from PCDPIII; in this project there is one ESS specialist at regional level. But, the implementation of the mitigation measure require using appropriate resettlement tools including; Resettlement Action Plan (RAP), Abbreviated Resettlement Action Plan (ARAP), Livelihood Restoration Plan (LRP) and Process Framework. Thus, the follow up and evaluation of the LLRP sub-projects and the implementation of the mitigation measures should be done by team of experts which consists; sociologist, economist and environmentalist. If not possible under any circumstances, it is better though to assign one environmental and one social safeguard specialist at all levels (Federal, Regional, Woreda Cluster and Woreda levels). By doing so, the institutional safeguards management approach to minimize the risk of safeguard issues being neglected or undermined and also ensure proper compliance, recruited safeguard experts, rangeland management or related experts, livelihood experts, engineers, community or social mobilization experts and other project staffs as well as woreda, woreda cluster level and regional level government employees will need to be trained in the environmental and social management procedures, World Bank’s environmental and social policies and government safeguard regulations. The institutional capacity building for the LLRP implementing and coordinating entities will encompass relevant procedures and operational steps on involuntary resettlement, including the various provisions included in this RPF (process to be used to acquire land, entitlement, eligibility, compensation, GRM and other provisions). The table below describes the various roles and responsibilities of implementing and coordinating entities involved in LLRP 94 Figure 2: Proposed Institutional Arrangement for Environmental and Social Safeguard Management MoP Federal Project Coordination and Environmental Social Safeguard Implementation Unit Safeguard Specialist Specialist Regional Project Coordination and Environmental and Implementation Unit Social Safeguard Specialist Clusters (3-6 Woredas) Focal Person that handle s CDD, Social safeguard and gender Issues of LLRP Woreda Focal Person for LLRP Kebele Focal Person for LLRP, DAs, KDC and CSMC NB: CDD-Community Driven Development, DAs-Development Agents, KDC-Kebele Development Committee and CSMC- Community Sub-Project Management Committee. 5.7. Preparation of a Subproject of LRP The planning and implementation of livelihood restoration plan (LRP) for Project Affected People (PAP) requires collective action and joint participation of all the stakeholders who have the project concerns. These stakeholders can be identified from the top level of public institutions to the grass root level structures: Federal Level, Regional Level, Woreda and Kebele Administration units. And, the participation of Project Affected Persons themselves is equally important (FDRE Ministry of Water, Irrigation and Electricity (2016). Besides, it is also quite demanding to consider the contribution of Non-Government Organization, other humanitarian aid organization and private firms. Their participation might be indirect or 95 direct during any attempts made for livelihood restoration plan (FDRE Ministry of Water, Irrigation and Electricity, 2016). Any type of project that can potential cause either physical or the economic dislocation of people need livelihood restoration plan. However, the range and level of specific LRP can be differing based on the projects’ density and extent of the impact. LRP must be assuring that the livelihoods of the people affected by the project should be reestablished to the level prevalent before the initiation of the project. However, as it is indicated by OP 4.12 o of the World Bank, simple livelihood restoration is not sufficient to safeguard affected population from adverse project induced effects such as competition for resources, employment, and the disruption of social support networks (Republic of Liberia, 2011). 5.8. Review of a Subproject of LLRP LRP would be forwarded for screening and approval to the relevant ministerial office in compliance with project administrative and institutional standards, all the approved sub projects that OP 4.12 and their respective sub-project LLRPs shall be subjected by the final approval of the World Bank to ensure compliance with the WB’s OP 4.12 guidelines ensuring that the subproject LLRPs are consistent with this LRP. In the other words, the review of LRP is stepwise process starting from the submission of subproject LRP by the Kebele administration team woreda team, and regional project management body. Then, LRP will be reviewed, and recommendation will be forwarded by the above- mentioned task force. The recommendations then given to other relevant stakeholders for further review and scrutiny on the compliance to the LRP. The task force will forward recommendations for approval, modification/revision or rejection to at relevant ministerial offices and the WB will also review, clear and disclose the document in its info shop (Federal Democratic Republic of Ethiopia Ministry of Water, Irrigation and Electricity, 2016). The preparation of livelihood restoration plan and its implementation can be done through mixed array of methods (Ministry of Water, Irrigation and Electricity, 2016). The detail is discussed as follows. 1. Needs Assessment- this involves the preparation and implementation of the livelihood restoration plan (LRP) for Project Affected Person/Households identified in the resettlement action in and with the area where the project underway. The PAPs then should be grouped based on components of project affecting them. 2. Community Consultation- Communication and consultation for with targeted community is vital for successful livelihood restoration plan. This also deals with issues regarding awareness creation towards the available business types, sense community ownership to the project and importance of the investment. The data gathered through community consultation is an instrumental to develop and implement the livelihood restoration. By 96 and large, consultation of PAP and working closely with them should continue from the entire LRP planning and implementation periods. 3. Identification of Vulnerable Groups- this involves the identification of vulnerable group include people with physical disability, mentally disabled, other lesser capabilities, and aged people. This vulnerable group should be involved in the program. For these groups, demands special supplementary livelihood restoration assistances than the rest of PAPs. The identification of persons and base of vulnerability can be gathered through direct in- depth interviews, physical observation and socio-economic baseline survey. The main goal of identifying vulnerable group is to consult and devise specific assistance programs for them. 4. Gender Analysis -gender Analysis is a part of survey and livelihood restoration information. Hence, social defined gender roles, relationships and responsibilities of both women and men with the context of social and economical of the project site should be examined. 5. Developing eligibility Criteria-this helps to identify the eligible PAPs to be covered by the LRP. The illegibility criterions are already stated in OP 4.12 of the World Bank. It is highly recommended to consider the general framework (OP) to identify eligible persons for the LRP. 6. Preference Census Survey-it is highly demanding to conduct Preference survey for PAPs in the preparation of restoration of interventions. PAPs are generally target of the survey. The assumption behind the survey is that, PAPs have their own preferred business type. And it is necessary to identify business preferences of all the PAPs. 7. Participatory Rapid Assessment Appraisal (PRA) Methods-the PRA can be adopted in many forms based on the type of information we are looking for. Commonly, Key informant interview, Focus Group Discussion (FGD) and Consultative public meeting. The representatives of PAPs Woreda officials, mayors, implementing partners, and Kebele leaders can be participants. The PRA focused on variables that complement the census survey as well as variables that are used as indicators for monitoring implementations. 8. Stakeholders Consultation- the Preparation of the LRP requires the close consultation of major implementing institutions at the National, regional, Woreda, municipality and Kebele unit including the PAPs. This will assist to device participatory LRP and its implementation in later phase. 9. Formation of Technical Committee-As participatory method of LRP intervention, the consultant (s) of the project need to craft a strategy to engage woreda and kebele level public institutions, so that they can participate throughout the LR planning and implementation. 97 10. Training and Capacity Building -training and the capacity building activity should be given for PAPs in collaboration and coordination with different stakeholder at regional, zonal, woreda, and kebele level. The training needs preparation of training modules. Business aspects, activities, options and other relevant topic can be major elements of the training module. 11. Preparation of Monitoring and Evaluation system-this involve the engagement of the members of participating offices, institution, stakeholders including the relevant ministerial office. 12. Community infrastructure Survey-it is very useful to make survey on community infrastructure that are affected by the project for LRP interventions. Facilities such as roads, dams, and water facilities can be studied by the survey. 13. Reviewing Reports and documents-Reports including technical and environmental reports, studies, official reports and other project related documents should be reviewed for successful LRP. This can assist to get in-depth information about the different aspects of the site. Legislative rules and policy documents that govern involuntary displacement and livelihood restoration can be reviewed here. 14. Valuation Survey-the valuation survey needs to know the value of properties affected by the project as basis of determining the total amount payable as part of assessment of the resettlement of compensation program. 15. Establishment of Grievance Resolution Mechanism-a method of the grievance solving should be established to receive, respond and address any complaints made to the Project during LRP intervention. 98 6. RAP/ARAP Implementation Procedure and Schedule 6.1. RAP/ARAP Implementation Procedure Following the approval of the subproject RAP/ARAP, the process of implementation must take place. This will involve: 1. consultation (a continuation of the process entered into during the site selection, screening and RAP/ARAP development process) 2. notification to affected parties 3. documentation of assets 4. agreement on compensation 5. disclose in country and at the World Bank External site 6. preparation of contracts, compensation payments and provision of assistance in resettlement Consultation: An essential element in the RAP/ARAP implementation process is consultation and public participation. This will be a continuation of the process entered into during the site selection, screening, census and RAP/ARAP development process, and will depend on the extent of the resettlement impact. The community and landholder would be informed of the approval of the RAP/ARAP and implications for all PAPs, as well as the likely implications in terms of resettlement, expropriation, and compensation. Essentially, this would need to be part of an ongoing process, to ensure that no affected individual/household is simply "notified" one day that they are affected in this way. Instead, this process seeks their involvement and wishes to inform communities in a participatory approach about the project, from the beginning. Public consultations and participation take place through individual, group, or community meetings, and are adopted as an ongoing strategy throughout the entire project cycle. The role of traditional political and cultural leaders, including community elders, in the participation strategy will be important. The CRC should ensure that these leaders and local representatives of PAPs are fully involved in designing the public consultation procedures. During implementation, PAPs will be informed about their rights and options. During public consultation, there is the need to negotiate compensation and resolve conflicts. Cost effective and accessible grievance redress is a very important process to ensure success of implementation of RAP/ARAP. Notification: Where a Woreda or an urban administration decides to expropriate a landholding in accordance with Proclamation No. 455/2005, it shall notify the landholder (PAPs), in writing, indicating the time when the land has to be vacated and the amount of compensation to be paid. In special cases where there are no clearly identifiable owners or users of the land or asset, Woreda relevant LLRP IA and CRC at Woreda and Kebele must notify the respective local authorities and leaders. According to Article 4 (2) of Proclamation No. 455/2005, the period of notification may not, in any way, be less than ninety days, if there is buildings and structures. The period of 99 notification for crops and where there is no crop, perennial crop or other property on the expropriated, land the holder shall hand over the land to the Woreda or urban administration within 30 days from the date of receipt of the expropriation order. Documentation: The relevant LLRPP IAs, together with Woreda and Kebele CRC, will arrange meetings with affected individuals and/or households to discuss the compensation process. For each individual or household or community affected, a compensation dossier containing the following information will be filled. These are: 1. required personal information on the affected party and those that s/he claims as household members (community information if it is a community land/asset); 2. total landholdings verses affected portion; 3. inventory of assets affected; 4. the concerns, worries, and issues of the PAPs related with the resettlement process; and 5. Required information for monitoring purposes. This information is confirmed and witnessed by the Kebele CRC. Dossiers will be kept current and will include documentation of lands surrendered and assets lost. Each concerned individual/household/community will be provided with a copy of the dossier at the time of negotiations. All claims and assets will be documented in writing. This is necessary so that the resettlement process for each individual PAP can be monitored over time. Agreement on compensation and preparation of contracts: All compensation options and types must be clearly and plainly explained to the affected individual or household or community. The Woreda LLRP IA lists all property and surrendered land and the types of compensation (cash and/or in-kind) sought. The compensation contract will be read aloud in the presence of the affected party and all others prior to signing it. Compensation Payments and Development Initiatives: All handing over of property such as land and buildings and compensation payments will be made in the presence of the affected party and the Kebele CRC. The Committee is also responsible in ensuring that development initiatives that are part of the resettlement package are implemented in an inclusive and participatory manner and to the benefit of the affected households. Disclosure: Following completion of the preparation of the RAP, the relevant implementing institution will submit the RAP to the Woreda Environment, Forest and Climate Change Office (WEFCCO) and World Bank for review, approval and ensuring compliance with the principles and procedures outlined in this RPF and the Ethiopian law. After approval by woreda WEFCCO, the RAP will be a legal document. The RAP will be disclosed through the WB External Website, MoP, and at the community level using appropriate language. 6.2. RAP/ARAP Implementation Schedule It is essential that the timeframes and action plans associated with the RAPs/ARAPs are linked to the LLRP implementation schedule. Provisions must be made for compensation and assistance 100 prior to loss of access to the asset or resource. The assistance includes provision and preparation of resettlement sites with adequate facilities. For LLRP subprojects/activities requiring relocation or resulting in loss of assets, this RPF further requires that measures to assist the project affected persons are implemented in accordance with individual RAPs/ARAPs. In the Implementation Schedule of each RAP/ARAP, details on resettlement and compensation must be provided. The schedule for the implementation of activities, as agreed between the Woreda and Kebele CRC, Woreda LLRP IA and PAPs must include: • target dates for start and completion of subproject implementation; • timetables for transfers of compensation (cash or kind) to PAPs; • timetables for the start of the development initiative or income generating activity; • dates of possession of land that PAPs are using (this date must be after transfer date for completed subproject to PAPs and for payments of all compensation); and • Link between RAP/ARAP activities to the implementation of the overall LLRP subproject. 6.3. Implementation Schedule It is essential that the time-frames and action plans associated with the RAPs are linked to the LLRP project implementation schedule. Provisions for compensation and assistance must be made prior to displacement in accordance with proclamation no 455/2005. The assistance includes provision and preparation of resettlement sites with adequate facilities. In particular, land and related assets may be taken away only after compensation has been paid and resettlement sites and moving allowances have been provided to the affected people. For project activities requiring relocation or resulting in loss of shelter, the RPF further requires that measures to assist the project affected persons are implemented in accordance with the individual RAPs. When approving recommendations for resettlement during screening, PAPs must confirm that the resettlement plans contain acceptable measures that link resettlement activity to civil works, in compliance with this policy. Proper timing and coordination of the civil works shall ensure that no affected persons will be displaced (economically or physically) due to civil works activity before compensation is paid and before any project activity begins. Timeframes The following key timeframes shall apply unless otherwise agreed between the executing agency and Resettlement Specialist, the Resettlement Committee and the PAPs; provided however, that no agreement to waive the timeframes shall adversely affect the rights or interests of PAPs, under this Framework: the inventory shall be completed at most four months prior to the commencement of work; (i) the Resettlement Plan shall be submitted to implementing agency for approval immediately after completion of inventory; and, (ii) civil works shall commence after compensation, resettlement and rehabilitation activities have been effected. 101 Comprehensive time frames shall be drawn up and agreed upon by all parties including the PAPs. Compensation payments for acquired land and affected assets and resettlement of households as described above, must be completed as a condition for the taking away of land and before commencement of the civil works under the project. Adequate time and attention shall be allowed for consultation of both the displaced and host communities before bringing in the new comers. The actual length of time will depend on the extent of the resettlement and compensation and will have to be agreed upon by all parties. A detail guideline on RAP/ARAP implementation guideline will be included in the project implementation manual. 102 7. Grievance Redress Mechanism PAPs will have opportunities to present complaints and grievances through the resettlement process as set out in the rural land administration proclamation. It sets out the grievance redress process and who is responsible at various stages). A grievance is any concern or complaint raised by an individual or a group within communities affected by LLRP supported activities. LLRP implementers should keep in mind that unanswered questions or ignored requests for information have the potential to become problems and should, therefore, be addressed promptly. Effectively addressing grievances from people impacted by the projects activities is a core component of managing operational risk. Redressing grievances of affected people should be an integral part of a project’s design, plan, and management. Setting up appropriate mechanisms to address community concerns, prevent adverse consequences and risks, and bring about positive changes in people’s lives and relationships is increasingly important in development projects. Resolving grievances of project-affected people at the lowest level, without allowing them to rise into higher levels, equally benefits both the aggrieved parties and the project implementers. Grievance redress mechanism is commonly used to receive and act on grievances or complaints reported by affected groups or concerned stakeholders to enable them get prompt actions from program implementers on issues of concern or unaddressed impacts and risks. Grievances can take the form of specific complaints for damages/injury, concerns about routine program activities, or perceived incidents or impacts. Identifying and responding to grievances supports the development of affirmative relationships between project and affected groups/communities, and other stakeholders. According to World Bank Grievance Redress, communities and individuals who believe they are adversely affected by a Bank-supported project may submit complaints to existing project-level grievance redress mechanisms or the Bank’s Grievance Redress Service (GRS). The GRS ensures that complaints received are promptly reviewed to address project-related concerns and impacts. Project affected communities and individuals may submit their complaint to the Bank’s Independent Inspection Panel, which determines whether harm occurred, or could occur, as a result of the Bank’s noncompliance with its policies and procedures. Complaints may be submitted at any time after concerns have been brought directl y to the Bank’s attention and Bank Management has been given an opportunity to respond. For information on how to submit complaints to the Bank’s corporate GRS, see http://www.worldbank.org/GRS, and Bank’s Inspection Panel, see www.inspectionpanel.org In the implementation process of the LLRP, there should be a grievance redress mechanism established to allow pastoral and agro-pastoral communities, project beneficiaries and stakeholders to complain/request about any decision of activities regarding inclusion in the census, eligibility and temporary or permanent loss of their land, assets or sources of income and their compensation. It is thus imperative to build up and practice traditional conflict resolution mechanisms during the implementation of LLRP. However, there is a need to consider context dependent format of traditional conflict redress mechanism of the six regions: Afar, Gambella, Oromia, SNNPR, Somali and Benishangul Gumuz. The traditional forms of managing issues can even be recognized and used by the government structures. In this respect, the lowland communities’ traditional conflict resolution mechanisms 103 have acknowledged more than the formal structure by the local communities. Various informants discussed this idea during community consultations, mainly in: Somali, SNNPR, Afar, and Oromia. Relating to this, key informants depicted the denb system in Hamar and Benna Tsemai of SNNPR, odiyash deganka in Harshin and Gursum Woredas of Ethiopian Somali region, Jarsuma, Aadaa, Safuu, Seera and Sinqee (which is common in the Gada system) in Fentale and Bordode Woredas of Oromia region, Makaboon in Afar, Wilokin Nuer and Carlok in Anyawa in Gambella region. These traditional institutions were often used as a common customary practice to solve particularly interethnic conflict, mainly caused by grazing and water resource. In order to make use of these traditional conflict resolution mechanisms among PAP communities, it is viable to provide suitable or culturally sensible trainings to respective stakeholders. Organizing or recruiting committees that are trusted and heard by communities of a certain ethnic group is a good precondition. This committee should also play substantial role in resolving conflicts that cross their boundary. They should further work strongly in the protection of conflicts within and outside their border before it intensifies and claim life and property. In Hamar and Benna Tsemai, many of the conflicts have been solved through the balabats who are the main go-betweens in conflict resolution. They play significant role in the daily activities of the community. The problem of participating balabats in the LLRP may be their absence during the frequent consultations and meetings in capacity building trainings provided by LLRP. This is because the balabats have different roles they are expected to convey in the community. It also requires consultation of the community at large during the implementation of the project in order to see a recognized cultural conflict resolution mechanism. So what is important in this regard is the selection of Zarsi–a collection of Donnza/elders committee that might be accountable to the balabats. Moreover, selected communities for the implementation of LLRP need to have constant awareness creation in a culturally sensible form about the GRM and project implementation. They should also take trainings on the design and deliberation process of the project. Besides, it is necessary to consider national, regional, zonal, and Woreda levels discussions and forums among PAP communities to strengthen their solidarity and integrity. This should be done by the MOP from the Federal down to the Woreda levels in collaboration with World Bank and IFAD. This SA for the future suggests various areas to be studied particularly areas such as the rhetoric relationships, coexistence, interethnic conflicts and its impacts in PAP communities. Key Considerations for LLRP GRM Procedure Disclosure of the GRM: GRM uptake location (assign focal person) need to be established at all levels (Federal, Regional, Woreda, and Kebele levels). Safeguard focal persons or experts should be responsible to establish the uptake location and work on its disclosure. The existence and condition of access to register (how, where, and when) shall be widely disseminated within the Project implementation areas at Kebele and Woredas where there may be grievances regarding any Project activities implementation. Expectation When Grievances Arise: When affected or concerned persons who have a concern present their grievance, they expect to be heard and taken seriously. Thus, the MOP and other respective regional, Woreda and Kebele levels implementing agencies and stakeholders, particularly safeguard experts or focal persons are requisite to provide adequate information to people that they can voice grievances and work to resolve without fear of retaliation or some sort of social retribution. 104 Grievance Submission Method: Complaints can use both formal and informal ways: telephone, e-mail, MoP websites, program staff, text message (SMS), in person, or strategically placed complaint boxes as necessary. But, once the complaint is received, it will have to be documented in writing using a standard format containing detailed timeline for resolving conflict/complaint. Registration of Grievances: complaints will be transcribed, recorded in a log using standard format, examined; investigated and remedial actions will be taken to settle. Any grievance that may arise from the operation will be filed in the first instance settlement procedure. Management of Reported Grievances: The procedure for managing grievances should be as follows: i. The affected or concerned person files his/her grievance, relating to any issue associated with the LLRP activities and/or environmental and social impacts and risks in writing or phone to the focal person. Where it is written, the grievance note should be signed and dated by the aggrieved person. And where it is phone, the receiver should document every detail. ii. The safeguard specialist or focal person will act as the Program Liaison with affected persons to ensure objectivity in the grievance process. iii. Where the affected or concerned person is unable to write, the focal persons or experts will write the note on the aggrieved person’s behalf. iv. Any grievances reported should be documented. v. At the Kebele levels, Kebele administrators will play a key role in managing complaints and disputes in close collaboration with the assigned/focal staffs at Regional and Woredas environmental and social focal person and PCIUs. To this end, the Kebele administrators need to be given awareness rising training on the procedures of grievance redress, documentation, and reporting. Grievance Log and Response Time: The process of grievance redress will start with registration of the grievance to be addressed, for reference purposes and to enable progress updates of the cases. The Register should contain a record of the person responsible for an individual complaint, and records of date for the complaint reported; date the Grievance Logged; date information on proposed corrective action sent to complainant (if appropriate), the date the complaint was closed out and the date response was sent to complainant. The Kebele, Woreda and regions should compliant lodger keep a journal with recording all grievances, date and results of the closure with all supporting documents available (completed compliant logging forms, decision minutes, emails, etc.) and ensure that each complaint has an individual reference number and is appropriately tracked and recorded actions are completed. The response time will depend on the issue to be addressed but it should be addressed with efficiency. Accordingly, the grievance at Kebele, Woreda and Regional levels should be addressed with in 20, 20 and 20 working days, respectively. Grievances Reporting Mechanism: The focal person or responsible body at all levels (Kebele, Woreda and Regions) will be responsible for compiling submitted and processed complaints/grievances on regular basis and report to relevant stakeholders every quarter. The Kebele should report the complaints registered and addressed to the Woreda Office for Pastoral Development every month. Following the structure hierarchical to the Woredas will report to the regions within two weeks after they received from the Kebele. The regions will report quarterly federal level to MOP safeguard experts. The following steps will be followed in complaints handling and dispute management: 105 Figure 2: Proposed Grievance Redress Mechanisms Registration of the grievance or dispute by social/community audit committee, Woreda focal person, cluster level focal person, Regional safeguard personnel or R-PCIU Activities Internal assessment of the nature of the grievance or dispute Decision as to method of addressing the grievance or dispute No Yes Complaint resolved At Kebele level through Traditional Resort to Woreda Office for Institutions/Social Audit Pastoral Development Final closure Comittee/KDC with records logged into the journal If not solved, Grievance processed by Cluster level Committee Complaint resolved The case resort to Regional No Final closure Level Steering Committee Yes Final closure with records logged into the journal Operational Definition. Social/Community Audit Committee: as the community-driven development is central to LLRP and communities themselves constitute the true implementing agencies. As such, they will identify, appraise, implement, monitor, and evaluate sub-projects by the Project at the local level. In addition, they will participate in participatory monitoring, evaluation and internal learning. The Social/Community Audit Committees will be the first level grievance resolution points who will accept, register, resolve, refer (if not resolved) and document at a local level. Note. For cases related with gender-based violence, sexual exploitation and abuse, the Woreda Women and Children Affairs office will be the first level reference. The project will allocate adequate resources for awareness creation on this GBV GRM. The Woreda Women and Children 106 Affairs Office will be provided with capacity building and orientation on the basic principles of GBV case management encompassing confidentiality, non-judgmental, service referrals for survivors, etc. The office will have a working procedure regarding the standards for services, referral, data collection, maintaining the best interest of the survivor. The details of the GBV GRM will be further elaborated in the project PIM and defined with the specific contexts of the respective Woreda Women and Children Affairs Office. The LLRP will not provide any resources for the respective Woredas without training/awareness regarding GBV/SEA to the Woreda Women and Children Affairs Office. Description of the Structure, Steps and Timeframe a. Grievance Investigation and Resolution Process (GIRP) at CSMC Step1: Complaint Form will be completed by any interested person or complainant and submitted to the CSMC. Step2: The CSMC will review, investigate and discuss on the issue and resolve the matter within three days from the date of application is received. The decision will be provided in written form to the complainant. All meetings/discussions will be recorded, documented and copies of the minutes will be sent to KDC. Step3: Based on the decision made, CSMC will act accordingly. Step 4: If the complainant is not satisfied by the response given by CSMC or if no response is received from community within three days after the registration of complaint, the complainant can appeal to the TGRI. b. Grievance Investigation and Resolution Process (GIRP) at TGRI Level TGRI could be initially formed for other/different purpose but they also deal with addressing different grievances arising within the community; such institutions could be Idir, Sirit, Ofosha, Yeakababi Shemagele depending on the locality. Step1: Appeal form will be completed by any interested person or complainant and submitted to traditional grievance redress institution (chairperson or facilitator depending in specific locality). Step 2: The facilitator or chairperson of TGRI will organize a meeting for the committee members and will review and resolve the complaint within seven days of receiving the appeal or compliant. All meetings will be recorded and filed. (Copies of the minutes of meetings will be provided to KDC (Development Agent), kebele administration and other concerned stakeholders. Step 3: If the complainant is not satisfied by the response given by traditional grievance redress institution or if no response is received within ten days, the affected persons can appeal to the KDC. c. Grievance Investigation and Resolution Process at KDC level Step1: Appeal form will be completed by any interested person or complainant and submitted to KDC. Step 2: The KDC based on the appeal or complaint received from complainant and document which is transferred from TGRI will review and further investigate. If the decision given at TGRI level is appropriate, the KDC will approve it; otherwise 107 if the appeal is valid, the team will resolve the issue within seven days from the date the application was received. The decision will be provided in written form to the applicants and also copies will be sent to KDC and to WDC. All meetings will be recorded and filed; Step 3: If the complainant is not satisfied by the response given by KDC or if no response is received from the KDC within seven days after the registration of complaint, the complainant can appeal to the WDC. d. Grievance Investigation and Resolution Process (GIRP) at the woreda level Step 1: Appeal form will be completed by any interested persons or complainant and submitted to WDC. Step 2: Based on the appeal or complaint received from complainant and assessment of WDC, the LLRP coordinator at Woreda Office for Pastoral Development records the issues in the registry, assess the appeal or the grievance and will organize meeting(s) for a woreda steering committee. The woreda steering committee will review the decision given at KDC level and endorse it if it is appropriate otherwise if the appeal is valid, the woreda steering committee will resolve the issue and give final decision within two weeks (14 days) of receiving the appeal or compliant. The decision should be provided to the applicant in written form. All meetings will be recorded, and copies of the minutes will be provided to all concerned stakeholders. 108 Sources of Funding and Arrangement for Funding Sources of Funding It is difficult at this stage to provide an estimate of the cost of resettlement and compensation activities related with the implementation of the LLRP as subprojects cannot be defined with enough level of detail to identify footprints and related impacts on land occupation, housing and livelihoods. Relevant sub-project under the LLRP 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. All costs related with resettlement comes from the MoP and Ministry of Finance. Table 73: Indicative Outline of a RAP Budget Asset Acquisition Amount or Total estimated Agency responsible number cost Land Structure Crops and economic trees Community infrastructure LandAcquisition and Preparation Land Structure Crops and economic trees Community infrastructure Relocations Transfer of possessions Installation costs Economic Rehabilitation Training Capital Investments Technical Assistance Monitoring External monitoring and evaluation Contingency S.no Item Unit Costs Assumption 1 Compensation for loss of Land /hectare For land acquisition purposes, based on Ethiopian average market cost, or from similar projects 109 2 Compensation for loss of Crops /hectare of farm Includes costs of labor invested and lost average of highest price of staple food crops and Ethiopian market prices 3 Compensation for loss of access to Pastoralists If applicable Those affected would be provided with shared access, or alternate routes (decision agreed through consultation and participation of all) 4 Compensation for loss of access to Agro- If applicable Same as above Pastoralists 5 Compensation for loss of access to fishing If applicable Data provided from the revised resources socio-economic study will determine market values of catch, fish products etc. 6 Compensation for Building and Structures If applicable This compensation may be in-kind or cash. Costs for basic housing needs should include ventilated pit latrines, outside kitchen, and storage. 7 Compensation for Trees /year/tree Includes costs of labor invested and average of highest price of trees (and tree products) and Ethiopian market prices 8 Cost of Relocation Assistance/Expenses /household This cost reflects the moving and transportation allowance 9 Cost of Relocation of Individual Income Assumed to be higher than the GDP/capita in Ethiopia 10 Cost of Restoration of Household Income These costs reflect the livelihood restoration program of the RAP 11 Cost of Training Farmers, Pastoralists, Agro- This is a mitigation measure Pastoralists and other PAPs involving capacity building and involves PAPs and affected communities 12 Gender sensitization This is a mitigation measure for GBV and HTP related problems by involving capacity building and involves PAPs and affected communities The woreda development committee with technical support of WCT and woreda sector office as well as RPCIU will prepare an appropriate Resettlement Budget. For this purpose, F-PCU will prepare short guideline help to prepare budget to implement the resettlement action plan. 110 9. Consultation and Participation Process Relocating or compensating people implies communication or dialogue with them and with other relevant stakeholders. The consultation and participation process will include four phases: (i) specific PAP data collection; (ii) preparation and planning of operations; (iii) implementation / execution of operations; and (iv) monitoring and evaluation. The PCIU will coordinate all four operations. 9.1. Public Consultation and Disclosure Plan An essential element in the RAP implementation process is consultation and public participation. This will be a continuation of the process entered during the site selection, screening, census and RAP development process, and will depend on the extent of the resettlement impact. The community and landholder would be informed of the approval of the RAP and implications for all PAPs, as well as the likely implications in terms of resettlement, expropriation and compensation. Importantly, this would need to be part of an ongoing process, to ensure that no affected individual/household is simply "notified" one day that they are affected in this way. Instead, this process seeks their involvement and wishes to inform communities in a participatory approach about the project, from the beginning. Public consultations and participation take place through individual, group, or community meetings, and are adopted as on-going strategy throughout the entire project cycle. The role of traditional and cultural leaders, including the community elders, in the participation strategy will be important. The RAP Team should ensure that these leaders and local representatives of PAPs are fully involved in designing the public consultation procedures. During implementation, PAPs will be informed about their rights and options. The LLRP implementation manual will include operational guidelines on inclusive and intergenerational consultation and participation steps that will be adhered during the preparation, implementation and monitoring of resettlement activities. Comprehensive Inclusion of stakeholders for consultation: for consultation during project implementation, sub project preparation, implementation and monitoring inclusive stakeholders consultation including project affected peoples will be undertaken. During consultations gender, intergenerational representation, different socio-economic groups, youth, minorities and vulnerable groups will be represented in consultations for the preparation of RAP/ARAP. The vulnerable groups in Ethiopia as the National Social Protection Policy encompass vulnerable pregnant and lactating women, children, the elderly, people with disabilities, labor constrained individuals and households, the unemployed, those exposed to natural and human made calamities, persons living with or directly affected by HIV and AIDS and other chronic debilitating diseases, victims of social problems such as drug users, beggars, victims of human trafficking and commercial sex workers and people with difficulties in accessing basic social services. Households headed by women that depend on sons, brothers, and others for supports are especially vulnerable. 111 Similarly, households with elderly or seriously ill persons are eligible for additional support. Generally, the LLRP will ensure that its activities have not differentially impacted these segments of the population. Further, the detail operational procedures for inclusive consultation will be included in the project implementation manual. 9.2. Data Collection Phase The main stakeholders or participants of the study will be PCU/MoP/MoAL,MoWIE,MoH, MoE, MoT, MoFEC, MoWYC, other organizations working on rangeland management and livelihood resilience (AfDB, UNDP, USAID, and FAO), donor (WB/IDA and IFAD), community leaders, clan leaders, religious/traditional leaders, vulnerable and underserved groups, and Project Affected People and possibly consultants formerly involved in project, government, PAPs (provision of data) and secondary data from government and other relevant sources. The PCU will coordinate the role of actors in the data-collecting phase. This process will include a survey to specifically identify PAPs for each subproject followed by consultations with PAPs identified and other relevant stakeholders especially the MoAL, MoWIE and project engineers together with PAPs about the extent of affect of the project on them. The data collected will serve as instruments for the monitoring of the social mitigation measures to be applied. During the survey, PAPs participation will relate to providing socio-economic information about their livelihoods. Also, PAPs will be consulted through meetings to discuss the social impacts of project operations and the mitigation measures suggested. The contributions of the PAPs will be integrated into the subproject implementation process, from planning to evaluation. Furthermore, data about the social impacts of the subprojects and the mitigation measures suggested will be communicated to the respective community with local languages and will be provided via WB portal. 9.3. Planning Phase Once again at this stage also the main stakeholders will be PCU/MoP/MoAL, PAPs (PAPs re planning inputs, sounding board and advice-giving on related issues) and representatives of local communities concerned. Planning and coordination of the tasks of various actors is key to a successful implementation of the expropriation / compensation arrangements. The PAPs will be consulted with the aim of obtaining their positions on issues at stake. Their requirements including issues of work, family and business activities will be incorporated into the expropriation and compensation, implementation and execution plans. The planning work and engagement with PAPs and other stakeholders will focus on: (a) taking stock of the legal framework for compensation; (b) settling institutional arrangements and mechanisms for payment of compensation; (c) defining tasks and responsibilities of each stakeholder; and (d) establishing a work plan. 112 9.4. Implementation Phase The main task bearers will be MoP/PCU/MoAL/MoWIE/MoH/consultants/PAPs (PAPs endorsement of arrangements). The execution of the expropriation / compensation operations will be conducted by the MoP/- and possible Sub-committees or other arrangements to be determined by the Ministry of Peace and relevant stakeholders. PAPs will be consulted about / involved in the compensation arrangements prepared. The methodology and procedures for actual payments or delivery of compensation package will be determined by PCU/stakeholders and PAPs such as receipt of cash amounts or land or effecting repairs to properties or moving assistance. 9.5. Monitoring and Evaluation Phase The major actors in this regard will be PCU / PSC / MoP/ MoAL/MoWIE/ Consultants / PAPs / NGO or other community representatives. The PCU will organize / convene project completion workshops with actors/stakeholders as listed here after completion of the expropriation / compensation operations but prior to the closure of the mitigation measures. The aim of that exercise is to assess progress in the operations executed, suggest corrective measures where needed and solve pending issues. After completion of all expropriation / compensation operations, consideration may be given for PAPs to be consulted in a household survey. The aim of that survey is to assess the impacts of the social mitigation measures implemented at the individual household level since it is likely that some PAPs may not attend meetings or speak openly about their experience or interpretation of the process, measures applied and outcome for them and their families. The findings of the survey and the workshops will be presented in the project completion report by the PCU. If the survey is considered useful or necessary, it would require budgetary allocation within the overall mitigation budget. 9.6 Disclosure Policies and Procedures This RPF will be disclosed at the World Bank’s external website and at the Government’s website to make it publicly accessible to any person interested to refer this document. All subsequentRAP/ARAP will be cleared/approved by the government of Ethiopia and the World Bank and the prior to its disclosure and the executive summary of the SA will be translated into local language as culturally appropriate (language, Afar, Somali, Oromiffa) manner and publicly disclosedin a culturally appropriate manner. For any changes made to these safeguards document, the same clearance and disclosure protocols will be followed. The Ministry of Peace will also distribute this document to relevant government institutions. 113 10. Monitoring and Evaluation Arrangements 10.1. Introduction It is important that the objective of the Policy on Involuntary Resettlement is achieved and therefore monitoring whether the project affected people have had their livelihoods restored to levels prior to project or improved is critical. To establish the effectiveness of the all the resettlement activities, this monitoring and evaluation (M&E) procedures for the RAP/ has been designed. With this, it is possible to readily identify problems and successes as early as possible. Monitoring involves period checking to ascertain whether activities are going according to the plan. It provides the feedback necessary for the project management to keep the performance on schedule. By contrast, evaluation is essentially a summing up, the end of the project assessment of whether those activities achieved their intended aims. 10.2. Monitoring Principles A monitoring and evaluation plan of the mitigation measures will be established. The scope of the plan will consider the size of the social impacts to be mitigated while respecting basic monitoring principles. The plans will describe: • The internal monitoring process; • Key monitoring indicators (a list of monitoring indicators which would be used for internal monitoring is to be developed/determined and provided); • Institutional (including financial) arrangements; • Frequency of reporting and content for internal monitoring, process for integrating feedback from internal monitoring into implementation; • Financial arrangements for external monitoring and evaluation, including process for awarding and maintenance of contracts for the duration of resettlement; methodology for external monitoring; • Key indicators for external monitoring, focusing on outputs and impacts; and • Frequency of reporting and content for external monitoring and process for integrating feedback from external monitoring into implementation. 10.3. Monitoring Framework Monitoring and evaluation will be a continuous process. The PCU will continuously record and review all expropriation / compensation activities and reports and discuss their contents / outcomes in its technical and stakeholder meetings. The PSC will directly monitor compensation costs review project activities, including social mitigation measures and provide guidance and coordinate the necessary follow-up of all other stakeholder roles impacting the acquisition, compensation, monitoring and evaluation exercise. 114 10.3.1. Internal Monitoring Internal monitoring will be conducted by the PCU, following the plan described here. Likewise, the communities will conduct their own monitoring based on their involvement in the planning of expropriation and compensation and based on their expectations and agreements. Quarterly or appropriately timed PCU progress reports will include a section on progress made regarding mitigation of adverse social impacts. Internal Monitoring: GRM As part of the internal monitoring of the RAP, a regular follow up and reporting of the GRM based on the following indicators, as part of the regular RAP, environmental and social implementation performance report. • Awareness creation to community on the availability, procedures, focal persons and resolution procedure of the project, including the committee members, • Number of sites/woredas established a functional GRM, • Number of grievances or disputes registered and resolved, • Number of cases referred to the next level of the GRC/CRC, • Number of cases pending with GRC/CRC, • Average time taken for settlement of cases, • Number of GRC/CRC meetings, • Number of PAPs who filed their case to formal court, • GRM Budget allocation and utilization • Number of cases settled by the court. 10.3.2. External Monitoring and Evaluation It is expected that external monitoring will be conducted through MoP supervision missions. It is to be determined whether MoP supervision mission (based on frequency of such missions associated with the Ministry’s work) will enough to monitor progress in the mitigation of adverse social impacts. The bank will determine whether these missions will be coupled with inputs from resettlement experts which will also serve to help with local capacity building for the ongoing exercise and future projects involving resettlement. This would help ensure progress on the ground, strengthen analytical capacity, and build on safeguards associated with documentation of operations executed in accordance with the resettlement plan and outcomes for PAPs. Before closure of the mitigation of adverse social impacts, the Bank and GoE- will determine whether an independent consultant or other independent entity such as an NGO university department be contracted to conduct an evaluation of the mitigation measures executed. The evaluation report will be used as a planning instrument to correct any unresolved or pending issues and suggest a post-project monitoring period with the aim of ensuring that PAPs are not worse off 115 in any respect associated with activities or operations of the LLRP, or not likely to be worse off, where LLRP project activities are not yet underway; and that mitigation activities associated with any potential disadvantages to PAPs are addressed by the project stakeholders concerned. 10.4. Completion Audit The LLRP F-PCU shall commission an external party to undertake the evaluation of RAP’s/ARAP‘s physical inputs to ensure and assess whether the outcome of RAP/ARAP complies with the involuntary resettlement policy of the World Bank, and the GoE legal requirement related to expropriation of landholding and payments of compensation. The completion audit shall be undertaken after the RAP/ARAP inputs. It shall evaluate whether the mitigation measures prescribed in the RAP/ARAP have the desired effect. The completion audit should bring to closure LLRP PCU’s at various level liability for resettlement. 10.5. Indicators of LLRP Impacts A number of objectively verifiable indicators (OVI’s) shall be used to monitor the impacts of the compensation and resettlement activities. These indicators will be targeted at quantitatively measuring the physical and socio-economic status of the PAPs, to determine and guide improvement in their social wellbeing. Therefore, monitoring indicators to be used for the RAP will have to be developed to respond to specific site conditions. As a general guide, the following Table 13 provides a set of indicators which can be used. Table 148: Types of verifiable indicators Monitoring Evaluation Outstanding compensation or resettlement contracts Outstanding individual or resettlement contracts. not completed before next agricultural season Communities unable to set Kebele level Outstanding Kebele-level compensation contracts. compensation after two years. Grievances recognized as legitimate out of all All legitimate grievances rectified. complaints lodged. Pre- project production and income (year Affected individuals and/or households before land used) versus present production and compensated or resettled in first year who have income of resettlers, off-farm income trainees, and maintained their previous standard of living at final users of improved mining or agricultural techniques. evaluation. Pre- project production versus present production Equal or improved production per household. (crop for crop, land for land). (a) Indicators to determine status of affected people A number of indicators would be used in order to determine the status of affected people (land being used compared to before, standard of house compared to before, level of participation in 116 project activities compared to before, how many kids in school compared to before, health standards, etc). Therefore, the resettlement and compensation plans will set two major socioeconomic goals by which to evaluate its success: • Affected individuals, households, and communities are able to maintain their pre-project standard of living, and even improve on it; and • The local communities remain supportive of the project. (b) Indicators to measure RAP performances In order to access whether these goals are met, the resettlement and compensation plans will indicate parameters to be monitored, institute monitoring milestones and provide resources necessary to carry out the monitoring activities. For example the following parameters and verifiable indicators will be used to measure the resettlement and compensation plans performance; • Questionnaire data will be entered into a database for comparative analysis at all levels of Local Governments, • Each individual will have a compensation dossier recording his or her initial situation, all subsequent project use of assets/improvements, and compensation agreed upon and received. • The Local Governments will maintain a complete database on every individual impacted by the sub-project land use requirements including relocation/resettlement and compensation, land impacts or damages • Percentage of individuals selecting cash or a combination of cash and in kind compensation, • Proposed use of payments • The number of contentious cases out of the total cases • The number of grievances and time and quality of resolution • Ability of individuals and families to re-establish their pre-displacement activities, land and crops or other alternative incomes • Mining and agricultural productivity of new lands • Number of impacted locals employed by the civil works contractors • Seasonal or inter-annual fluctuation on key foodstuffs • General relations between the project and the local communities (c) Indicators to monitor and evaluate implementation of RAPs Financial records will be maintained by the Local Governments and the executing agencies to permit calculation of the final cost of resettlement and compensation per individual or household. Each individual eligible for receiving compensation will have a dossier containing:- • Individual bio-data information, • Number of people s/he claims as household dependents • Amount of land available to the individual or household when the dossier is opened. Additional information will be acquired for individuals eligible for resettlement/compensation: 117 • Level of income and of production • Inventory of material assets and improvements in land, and • Debts. Estimated Budget: yet determined, and the number of PAPs cannot be identified, it is not possible to provide an estimated budget for the total costs of resettlement that may be associated with the implementation of the LLRP. Therefore, activities for individual RAPs for sub-projects will be funded like any other project activity eligible under the LLRP. Funding will be processed and effected through the programs financial processing arrangements. Funds for implementing inventory assessments and resettlement action plans will be provided by the implementing agency. In general, the cost burden of compensation will be borne by the respective implementing agency for RAPs undertaken in each of the LLRP regional states. The RAP for a sub-project would include an itemized, indicative budget and the implementing agency will finance this budget through the administrative and financial management rules and manuals like any other activity eligible for payment under the RCIP. This budget will be subject to the approval by the implementing agency. The implementing agency will have to finance the resettlement compensation because they will be impacting on the people’s livelihoods. Disbursements based on budgetary requirements, established by the RAPs in consultation with PAPs and local leaders, will be made through the relevant District Administration. 118 Annexes Annex I: Glossary of Terms Abbreviated An abbreviated RAP will be prepared if small percentage of the affected party’s Resettlement livelihood is lost or if fewer than 200 people are affected, which includes to the Action Plan minimum the following: (i) a detailed census and a valuation of their assets (ii) (ARAP) description of assets and other assistance to be provided (iii) consultation with displaced people about their alternatives (iv) grievance mechanisms and institutional accountability for redressing them (v) arrangements for monitoring and evaluation and (vi) timetable and budget. Census This is a complete survey of all PAPs along their income and asset losses. Compensation The payment in kind, cash or other assets given in exchange for the acquisition of land including fixed assets, is called compensation. These include other impacts resulting from activities to rehabilitate or cushion the impacts from displacement. Cutoff Date The cut-off date is the date of commencement of the census of PAPs or DPs within the LLRP program area boundaries. This is the date on and beyond which any person whose land is occupied for LLRP program, will not be eligible for compensation. The establishment of the cut-off date is required to prevent an opportunistic invasion /rush migration into the chosen project sites thereby posing a major risk to the intended investment project. Grievance The RPF contains a grievance mechanism based on policies and procedures that Mechanism are designed to ensure that the complaints or disputes about any aspect of the land acquisition, compensation, resettlement, and rehabilitation process, etc. are being addressed. This mechanism includes a procedure for filing of complaints and a process for dispute resolution within an acceptable time period. Implementation The RPF contains an implementation schedule that outlines the time frame for Schedule planning, implementation, and monitoring and evaluation of the RAPs for sub- projects, if applicable. Land Land refers to all types of agricultural and/or non-agricultural land and any structures thereon whether temporary or permanent and which may be acquired by the project. Land Acquisition Land acquisition means the possession of or alienation of land, buildings, or other assets thereon for purposes of the project. Project Affected Project affected persons (PAPs) or Displaced Persons (DPs) are persons affected Persons (PAPs) or by land and other assets loss as a result of EASP activities. These person(s) are Displaced Persons affected because they may lose, be denied, or be restricted access to economic (DPs) assets; lose shelter, income sources, or means of livelihood. These persons are affected whether or not they will move to another location. Most often, the term DPs applies to those who are physically relocated. These people may have their: standard of living adversely affected, whether or not the Displaced Person will 119 move to another location; lose right, title, interest in any houses, land (including premises, agricultural and grazing land) or any other fixed or movable assets acquired or possessed, lose access to productive assets or any means of livelihood. Project Impacts Impacts on the people living and working in the affected areas of the project, including the surrounding and host communities are assessed as part of the overall evaluation of the project. Project Some projects make use of project implementing units (PIUs), which are Implementing Unit generally separate units within the project recipient’s agency. The PIU is often (PIU) composed of full time staff devoted to implementing the project, and have been encouraged to have separate teams with environment and social specialists who can carry out the activities, for example, as outlined in the RPF or RAP. Rehabilitation Rehabilitation assistance is the provision of development assistance in addition Assistance to compensation such as livelihood support, credit facilities, training, or job opportunities, needed to assist PAPs or DPs restore their livelihoods. Replacement Cost Replacement cost refers to the amount sufficient to cover full recovery of lost assets and related transaction costs. The cost should be based on Market rate (commercial rate) according to Ethiopian laws for sale of land or property. It is normally calculated based on a willing buyer-willing seller basis, but also applies in Ethiopia to acceptable market valuation or from an assessment from the Land Commission and government valuer. Resettlement The RAP is a resettlement instrument (document) to be prepared when sub- Action Plan (RAP) project locations are identified. In such cases, land acquisition leads to physical displacement of persons, and/or loss of shelter, and /or loss of livelihoods and/or loss, denial or restriction of access to economic resources. RAPs are prepared by the implementing agency and contain specific and legal binding requirements to resettle and compensate the affected people before project implementation. Resettlement Resettlement assistance refers to activities that are usually provided during, and Assistance immediately after, relocation, such as moving allowances, residential housing, or rentals or other assistance to make the transition smoother for affected households. Resettlement The RPF is an instrument to be used throughout the project’s implementation. Policy Framework The RPF sets out the objectives and principles, organizational arrangements, and (RPF) funding mechanisms for any resettlement, that may be necessary during implementation. The RPF guides the preparation of Resettlement Action Plans (RAPs), as needed, for sub-projects. Rights and Rights and entitlements are defined for PAPs and DPs (with the cut-off date) Entitlements and cover those losing businesses, jobs, and income. These include options for land-for-land or cash compensation. Options regarding community and individual resettlement, and provisions and entitlements to be provided for each affected community or household will be determined and explained, usually in an entitlement matrix. 120 Vulnerable Vulnerable groups can include those households headed by women, children, the Individuals or handicapped, the elderly, victimized by HIV/AIDS, the socially stigmatized and Groups economically marginalized or the impoverished. The Bank project experience shows that these groups are often susceptible to hardship and may be less able than other groups to reconstruct their lives after resettlement, and thus requires special resettlement assistances. Witness NGO or Some RPFs refer to a witness NGO or an independent monitor that can be Independent contracted to observe the compensation process and provide an independent Monitor assessment of the quality of the process. These are usually NGOs or other agencies that are not directly involved in the project and have a reputation for independence and integrity. Annex II: LLRP -RAP/ARAP Screening Checklist The results of the Screening Report – whether an ESIA, ESMP, RAP or ARAP are required - will be included by the LLRP in the LLRP Subproject Application Form. LLRP Investment subproject name: Location: (e.g. region, Woreda, Kebele, etc) Type of activity: (e.g. new construction, rehabilitation, periodic maintenance) Estimated Cost: (Birr) Proposed Date of Works Commencement Table 1: Site Selection Physical Data Yes/No answers and bullet lists preferred except where descriptive detail is essential. Site area in ha Extension of or changes to existing alignment Any existing property to be compensated Any plans for new construction Refer to project application for this information. Impact identification and classification: When considering the location of LLRP investment project, rate the sensitivity of the proposed site in the following table according to the given criteria. Higher ratings do not necessarily mean that a site is unsuitable – it indicates a real risk of causing adverse impacts involving resettlement and compensation. The following table should be used as a reference. Table 2: Impact Identification and Classification 121 Issues Site Sensitivity Low Medium High Involuntary Resettlement Low population density; Medium population High population density; major dispersed population; density; mixed ownership legal tenure is well and land towns and villages; low- defined; income families and/or tenure; well-defined illegal ownership well-defined water rights of land; communal water rights properties; unclear water rights Table 3: Checklist of Impacts LLRP infrastructure & services: Potential for Adverse Impacts Roads, Footpaths & Street lighting, None Low Medium High Unknown Water supply, etc Economic or physical resettlement required New settlement pressures created Other (specify): Table 4: Detailed Questions Public participation/information requirements: Yes/No answers and bullet lists preferred except where descriptive detail is essential. Does the proposal require, under national or local laws, the public to be informed, consulted or involved? Has consultation been completed? Indicate the time frame of any outstanding consultation process. Land and resettlement: Yes/No answers and bullet lists preferred except where descriptive detail is essential What is the likelihood of land acquisition and property losses for the LLRP investment subproject under question? 122 How will the LLRP go about land acquisition and property losses? Will people’s livelihoods be affected in any way, therefore requiring some form of compensation? Will people need to be displaced, and therefore require compensation and resettlement assistance? Are the relevant authorities aware of the need for a Resettlement Process, involving a census, valuation, consultation, compensation, evaluation and monitoring? What level or type of compensation is planned? Who will monitor actual payments? Actions: List outstanding actions to be cleared before LLRP investment subproject appraisal. Approval/rejection: If proposal is rejected for environmental reasons, should the LLRP investment subproject be reconsidered, and what additional data would be required for reconsideration? Recommendations: Requires an RAP is to be submitted on date Requires an ARAP to be submitted on date Does not require further social studies Reviewer Name: _______________________; Sig: _______________; Date: _______________ Prepared by ----------------------------- Sig____________________ Date_____________ 123 Annex III: Census Survey and Land asset Inventory 1. Socio-economic Household Datasheet of LLRP PAPs Name of Interviewer Signature Date 1. Name of Supervisor 1. Name of Head of Extended Family: Number of Nuclear Families in Extended Residential Group (including household of head of extended family) Region: _________; Zone: _____________; Woreda: __________; Kebele: _________; Sub- Kebele:_________; Site/Village:_________ 2. Land Asset Inventory for LLRP investment sub-project Affected People A. General Information about Project Component: Type/brief description of component Site location Total amount of land (community assets expropriated) required for subproject (m2) When was site selected? Why was this site selected, and why is this amount of land necessary? Attach land plan or map Type/brief description of component B. Information on Each Land Acquisition/Expropriation: Identification number Ownership (private, Municipal or Treasury) 124 Name and address of registered owners Gender (Male/Female) Ethnical Minority (if yes, describe) Educational Level Primary occupation Monthly Income Location of job/business (within or outside the acquired land) Total size of plot (m2) Amount of plot required (m2)/% taken Expropriation status (if complete, give date of completion) Compensation amount (estimated or actual) If municipal or state land, are private individuals living on it? If municipal or state land, are private individuals using it for economic gain (cropping, grazing, fruit trees)? Will structures (houses, shops, utility buildings) or fixed assets (fences, wells, etc.) be affected? If so, list all structures and assets by purpose, name of owner or user, size (m2), and compensation amounts (actual or estimated). C. Information about Affected People: If houses (legally owned or occupied by squatters) are to be demolished, how many families reside there, and how many people are in each family? Are residents owners or tenants? If shops are to be demolished, how many people are paid employees? Do any of the affected people (owners, tenants, family members) need special assistance? If so, how many (by category: elderly living alone, blind, physically 125 disabled, mentally impaired, or other such as??)? What special assistance will be provided? D. Temporary Impacts: Identify all plots of land that must be used temporarily during the construction phase, but which will not be permanently expropriated. Describe compensation or other assistance negotiated with the owner for temporary use. Describe measures taken to ensure that land is returned to original or improved condition after temporary use is complete. E. Consultation: Description of Consultation undertaken with Project Affected People –PAPs (land and asset owners, people using the premises for businesses, squatters etc. ?? Public notification (means of notification ex. Workshops, radio announcement, public notices in the site, etc.) Who was invited? Who attended it? What kind of Contact information was provided? Issues raised during consultations What procedures agreed were agreed on as next steps? What Information was collected about the PAPs (affected households, business etc.??? How and when were the PAPs notified? Who met with the PAPs? How many meetings were held and which phase?? did they reach? 126 F. Grievance Procedures: Place and address to register grievance/complaints (eg , which office number or address was given or was there a phone line established, etc) Advertised???—public awareness of the process Which Project level person (s) were designated to follow-up on the resolution of the grievances? Consultative Grievances group/committee including community /municipality members, local authorities to review the negotiation process Court/payment for court process Total number of people affected by the land acquisition plan (sum of all categories above) and use attachment, if needed Reviewed By (Name and Title) ________________________________________________________ Signature_________________________________________ ___ 127 3. Entitlements of LLRP Investment Subproject Affected People Woreda: ________________; Kebele: ______________; Sub-Kebele/Village: __________________ Survey Name of Compensation for Land Compensation for Compensation for crops Compensation for other assets Total structures and trees and losses no. Head of (Birr) (e.g., graveyards, wells, HH businesses, etc) m2) Unit Entitlement Quantity Unit Entitlement Quantity Unit Entitlement Quantity Unit Entitlement Quantity Unit Entitlement price price price price price (Birr) (m2) (Birr) (m2) (Birr) (m2) (Birr (m2) (Birr) (Birr) (Birr) (Birr) (Birr) (Birr) per per per per per m2 m2 m2 m2 m2 128 Annex IV: Resettlement Action Plan-RAP Guideline The scope and level of detail of the RAP will vary depending on the magnitude and complexity of resettlement or displacement. The RAP is prepared based on the most recent and accurate information on the: (i) proposed resettlement and its impacts on displaced persons and other adversely affected groups; and (ii) legal issues affecting resettlement. The RAP covers elements that are specific to the project context. A broad outline of the RAP, as applied to sub-projects covered under a RPF includes, but is not limited to, the following: 1. Description of the Sub-project General description of the sub-project activities that will cause displacement and the efforts made to reduce the number of people affected. Description of the sites and services currently available and their distance from the site should be done. 2. Potential Impacts Identification of the: (i) the sub-project components or activities that require resettlement or restriction of access; (ii) zone of impact of components or activities; (iii) alternatives considered to avoid or minimize resettlement or restricted access; and (iv) mechanisms established to minimize resettlement, displacement, and restricted access, to the extent possible, during project implementation. 3. Objectives The main objectives of the resettlement program as these apply to the sub-project. 4. Socio-economic Study The findings of socio-economic studies to be conducted in the early stages of subproject preparation, and with the involvement of potentially affected people will be needed. These generally include the results of a census of the affected populations covering: (i) Current occupants of the affected area as a basis for design of the RAP and to clearly set a cut-off date, the purpose of which is to exclude subsequent inflows of people from eligibility for compensation and resettlement assistance; (ii) 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; (iii) Magnitude of the expected loss, total or partial, of assets, and the extent of displacement, physical or economic; (iv) Information on vulnerable groups or persons, for whom special provisions may have to be made; and (v) 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, and to measure impacts (or changes) in their livelihood and living conditions. There may be other studies that the RAP can draw upon, such as those describing the following: (i) Land tenure, property, and transfer systems, including an inventory of common property natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems 129 (including fishing, grazing, or use of forest areas) governed by locally recognized land allocation mechanisms, and any issues raised by different tenure systems in the sub project area; (ii) Patterns of social interaction in the affected communities, including social support systems, and how they will be affected by the sub-project; (iii) Public infrastructure and social services that will be affected; and (iv) Social and cultural characteristics of displaced communities, and their host communities, including a description of formal and informal institutions. These may cover, for example, community organizations; cultural, social or ritual groups; and non-governmental organizations (NGOs) that may be relevant to the consultation strategy and to designing and implementing the resettlement activities. 5. Legal Framework The analysis of the legal and institutional framework should cover the following: i. Draw upon information provided in this RPF, with updates or modifications if anything has changed since completion of RPF; ii. Scope of existing land and property laws governing resources, including state-owned lands under eminent domain and the nature of compensation associated with valuation methodologies; land market; mode and timing of payments, etc; iii. Applicable legal and administrative procedures, including a description of the grievance procedures and remedies available to PAPs in the judicial process and the execution of these procedures, including any available alternative dispute resolution mechanisms that may be relevant to implementation of the RAP for the sub-project; iv. Relevant laws (including customary and traditional law) governing land tenure, valuation of assets and losses, compensation, and natural resource usage rights, customary personal law; communal laws, etc related to displacement and resettlement, and environmental laws and social welfare legislation; v. Laws and regulations relating to the agencies responsible for implementing resettlement activities in the sub-projects; vi. Gaps, if any, between local laws covering resettlement and the Bank’s resettlement policy, and the mechanisms for addressing such gaps; and vii. Legal steps necessary to ensure the effective implementation of RAP activities in the sub-projects, including, as appropriate, a process for recognizing claims to legal rights to land, including claims that derive from customary and traditional usage, etc and which are specific to the sub-projects. 6. Institutional Framework The institutional framework governing RAP implementation generally covers: 1. a. Agencies and offices responsible for resettlement activities and civil society groups like NGOs that may have a role in RAP implementation; 2. b. Institutional capacities of these agencies, offices, and civil society groups in carrying out RAP implementation, monitoring, and evaluation; and 3. c. Activities for enhancing the institutional capacities of agencies, offices, and civil society groups, especially in the consultation and monitoring processes. 130 7. Eligibility Definition of displaced persons or PAPS and criteria for determining their eligibility for compensation and other resettlement assistance, including relevant cut-off dates. 8. Valuation of and Compensation for Losses The methodology to be used for valuing losses, or damages, for the purpose of determining their replacement costs; and a description of the proposed types and levels of compensation consistent with national and local laws and measures, as necessary, to ensure that these are based on acceptable values (e.g. market rates). 9. Resettlement Measures A description of the compensation and other resettlement measures that will assist each category of eligible PAPs to achieve the objectives of OP 4.12. Aside from compensation, these measures should include programs for livelihood restoration, grievance mechanisms, consultations, and disclosure of information. 10. Site selection, site preparation, and relocation Alternative relocation sites should be described and cover the following: (i) Institutional and technical arrangements for identifying and preparing relocation sites, whether rural or urban, for which a combination of productive potential, location advantages, and other factors is at least comparable to the advantages of the old sites, with an estimate of the time needed to acquire and transfer land and ancillary resources; (ii) Any measures necessary to prevent land speculation or influx of eligible persons at the selected sites; 1. (iii) Procedures for physical relocation under the project, including timetables for site preparation and transfer; and 2. (iv) Legal arrangements for recognizing (or regularizing) tenure and transferring titles to those being resettled. 11. Housing, infrastructure, and Social Services Plans to provide (or to finance provision of) housing, infrastructure (e.g. water supply, feeder roads), and social services to host populations; and any other necessary site development, engineering, and architectural designs for these facilities should be described. 12. Environmental Protection and Management A description of the boundaries of the relocation area is needed. This description includes an assessment of the environmental impacts of the proposed resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement). 13. Community Participation Consistent with the World Bank’s policy on consultation and disclosure, a strategy for consultation with, and participation of, PAPs and host communities, should include: (i) Description of the strategy for consultation with and participation of PAPs and hosts in the design and implementation of resettlement activities; 131 (ii) Summary of the consultations and how PAPs views were taken into account in preparing the resettlement plan; and (iii) Review of resettlement alternatives presented and the choices made by PAPs regarding options available to them, including choices related to forms of compensation and resettlement assistance, to relocating as individual families or as parts of pre-existing communities or kinship groups, to sustaining existing patterns of group organization, and to retaining access to cultural property (e.g. places of worship, pilgrimage centers, cemeteries); and (iv) Arrangements on how PAPs can communicate their concerns to project authorities throughout planning and implementation, and measures to ensure that vulnerable groups (including indigenous peoples, ethnic minorities, landless, children and youth, and women) are adequately represented. The consultations should cover measures to mitigate the impact of resettlement on any host communities, including: a. Consultations with host communities and local governments; b. Arrangements for prompt tendering of any payment due the hosts for land or other assets provided to PAPs; c. Conflict resolution involving PAPs and host communities; and d. Additional services (e.g. education, water, health, and production services) in host communities to make them at least comparable to services available to PAPs. 14. Grievance Procedures The RAP should provide mechanisms for ensuring that an affordable and accessible procedure is in place for third-party settlement of disputes arising from resettlement. These mechanisms should take into account the availability of judicial and legal services, as well as community and traditional dispute settlement mechanisms. 15. RAP Implementation Responsibilities The RAP should be clear about the implementation responsibilities of various agencies, offices, and local representatives. These responsibilities should cover (i) delivery of RAP compensation and rehabilitation measures and provision of services; (ii) appropriate coordination between agencies and jurisdictions involved in RAP implementation; and (iii) measures (including technical assistance) needed to strengthen the implementing agencies’ capacities of responsibility for managing facilities and services provided under the project and for transferring to PAPs some responsibilities related to RAP components (e.g. community-based livelihood restoration; participatory monitoring; etc). 16. Implementation Schedule An implementation schedule covering all RAP activities from preparation, implementation, and monitoring and evaluation should be included. These should identify the target dates for delivery of benefits to the resettled population and the hosts, as well as clearly defining a closing date. The schedule should indicate how the RAP activities are linked to the implementation of the overall project. 17. Costs and Budget The RAP for the specific sub-projects should provide detailed (itemized) cost estimates for all RAP activities, including allowances for inflation, population growth, and other contingencies; timetable for expenditures; sources of funds; and arrangements for timely flow of funds. These should include other 132 fiduciary arrangements consistent with the rest of the project governing financial management and procurement. 18. Monitoring and Evaluation Arrangements for monitoring of RAP activities by the implementing agency, and the independent monitoring of these activities, should be included in the RAP section on monitoring and evaluation. The final evaluation should be done by an independent monitor or agency to measure RAP outcomes and impacts on PAPs livelihood and living conditions. The World Bank has examples of performance monitoring indicators to measure inputs, outputs, and outcomes for RAP activities; involvement of PAPS in the monitoring process; evaluation of the impact of RAP activities over a reasonable period after resettlement and compensation, and using the results of RAP impact monitoring to guide subsequent implementation. 133 Annex V: Sample Grievance Procedure Form Grievance/Compliant Form Compliant Number Copies to forwarded to: Name of the Recorder and its Responsibilities (Original) Responsible Party/Agency to implement the Resettlement* Region (Copy) Complainant Woreda (Copy) CRC at Kebele and Woreda level Kebele Date Information about the Complainant Full Name including Surname Address Telephone number Region Woreda Kebele Site Date Signature of the Complainant Grievance Procedure Description of the compliance/grievance Does the grievance procedure advertised? public awareness of the process Which project level person (s) was designated to follow up on the resolution of the grievance? Consultative grievance group/committee including community/municipality members, two representatives from PAPs, local authorities to review the negotiation process Court/payment for court process *The responsible party is LLRP implementing agency that is proposing LLRP subproject for financing, and the subproject is to cause displacement. 134 A. GRM Monitoring Monitoring and evaluation is a process that helps to improve performance and achieve results. Monitoring and evaluation is used for measuring the effectiveness of the GRM and the efficient use of resources, and for determining broad trends and recurring problems so they can be resolved proactively before they become points of contention. Monitoring helps to identify common or recurrent claims that may require structural solutions and enables the project to capture any lessons learned in addressing grievances. Monitoring and reporting also create a base level of information that can be used by the project to give information back to communities. Monitoring indicators are included in the environment and social safeguard reporting template. The indicators include the establishment of GRM at different levels, the number of grievances registered and resolved, the time taken to redress a grievance, and the level of community satisfaction. The federal and regional environment and social safeguard specialists, monitoring and evaluation specialists, and the woreda experts will conduct GRM monitoring and report quarterly. B. GRM performance reporting format Quarter____________ Year _______________ S/N Activity Unit Annual Target Achievement target This Up to this This Up to Achievement/ quarter quarter quarter this planned (%) quarter 1 Monitoring and technical support 2 Awareness creation to Male community, KDC, CSMCs Female Total 3 Established and No of functional GRM Woreda 4 Number of grievance No. registered 5 Number of grievance No. resolved 135 6 Types of cases Types appealed of cases Annex VI: List of RPF Participants S/N. Name of Informant Position Mobile No. Woreda/Region 1 Kang Jak Itangworeda administrator 0954721884 ITANG 2 UwareUchan Deputy 0986464552 ITANG Itangworedaadministrator 3 GatwachBielzol Lareworedaadministrator 0910925013 Lare 4 Kanchile Lareworeda health bureau head Lare 5 Abdul Umed LareworedaWater bureau head Lare 6 TogneTiyang LareworedaEducation bureau Lare head 7 Bez Tor LareworedaAgriculture bureau Lare head 8 Tydor Tut LareworedaAnimal bureau head Lare 9 NyapiniTuat Lareworedawomen and children Lare bureau head 10 Chot Jock Lareworedafinance bureau head Lare 11 GachDugna Lareworedaculture and tourism Lare bureau head 12 Gam Gdchi LareworedaJustice bureau head Lare 13 Million Tekele SNNP regional PCDP 0911031687 SNNPR Coordinator 14 LopisoShambo SNNP regional ESS officer 0906464640 SNNPR 15 Solomon Ayele SNNP Pastoralist Affair 0926395660 SNNPR Bureau/awareness creation officer 16 MelkamGagedew SNNP Culture and Heritage 0916833613 SNNPR Development directorate Director 17 Aberramekuria Culture and heritage development 0913371653 SNNPR expert 18 DeguKassa regional development learning 0916124046 SNNPR and knowledge management expert 19 EyasuBarsumo Regional Environment protection 0942470482 SNNPR officer 20 HabtamuHoyesso Regional Land certification and 0911079807 SNNPR registration officer 21 AshenafiShiferaw Honey Production expert 0968652875 SNNPR 136 22 TadeleHyesso Regional Special Advisor to 0916305690 SNNPR Economic Sector 23 WorkenehKarna Head of South Omo Pastoral 0916130359 SNNPR Affairs department 24 Besufekad Head of Hamarworeda Pastoral 0916712165 SNNPR/Hamar affairs office 25 Paulos Head of BennaTsemaiworeda 0916856554 SNNPR/BennaT Pastoral affairs office semai 26 AkliluAbayneh South Omo zone Pastoral Affairs 0916284503 SNNPR/ Infrastructure development head 27 Gallo HamarworedaAdminstrator 0911066512 Hamar 28 NasirHussien Oromia Pastoral Affairs office 0944132105 Oromia Communication head 29 SirajWole GumbiBordode Pastoral Office 0913021731 GumbiBordode head 30 Abdella FentalePastoral Office head 0922306825 Fentale 31 Ibrhim Ahmed Fentaleworeda planning and 0920689032 Fentale Budget officer 32 Selim Wako GalchaKebele/Fentaleworeda 0913365966 Fentale development Agent 33 AmienAbdule ObensaleKebele Administrator 0920932412 GumbiBordode 34 DrAbdellaShemsadin GumbiBordode Animal health 0949003406 GumbiBordode officer 35 Mohammed Somali region Animal Health 0915059478 Somali development directorate director 36 Mohammed DRLSP regional coordinator 0915060569 Somali 37 JamickAhemed HarshinWoredaadminstrator 0915740024 Harshin 38 Seidobsiyee HarshinWoreda BOFED 0911851229 Harshin 39 Mohamed Abdi Harshinworeda Livestock office 0915104867 Harshin head 40 MewlidNuru GursumWoreda Administrator 0910302726 Gursum 41 AbdulahiAbdi GursumWoreda livestock head 0915118100 Gursum 42 AbdiAsraleka Fafen town center head 0915054856 Gursum 43 Hassen regional pastoral development 0911988213 Somali directorate director 44 YaredAsnake Fafen town livestock officer 0915054830 Gursum 45 Mohamed Hassen Regional President office Chief 0911795120 Afar officer 46 Omur Nuru Regional Livelihood Resilience 0910741649 Afar Program officer 47 Seid Ali PCDP-Regional Development 0911718082 Afar Learning and Knowledge Management 48 Alazar Yilma PCDP-Regional M and E officer 0913173063 Afar 137 49 Mohamed Ahmed Kuri Woreda-Acting Woreda - Afar-Kuri administrator Woreda 138 139 140 141 142 143 144 References Abubeker Mohammed (2018). 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