SFG3544 V2 FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA MINISTRY OF LIVESTOCK AND FISHERIES RESETTLEMENT POLICY FRAMEWORK (RPF) FOR LIVESTOCK AND FISHERIES SECTOR DEVELOPMENT PROJECT (LFSDP) ADDIS ABABA July, 2017 Contents Abbreviations and Acronyms ...................................................................................................................... iv Glossary of Terms ......................................................................................................................................... v Executive Summary ...................................................................................................................................... 8 1. Introduction ............................................................................................................................................. 10 1.1. Background ............................................................................................................................ 10 1.2. Description of the Project ...................................................................................................... 11 1.2.1. Project Development Objective ................................................................................... 11 1.2.2. Components and Scope of the LFSDP ........................................................................ 12 1.3. Objectives and Principles of the RPF .................................................................................... 16 1.3.1. Objectives of the RPF .................................................................................................. 16 1.3.2. Principles of the RPF ................................................................................................... 17 1.4. Methodology .......................................................................................................................... 19 2. Baseline Data on Environmental and Social Conditions of LFSDP Regions ..................................... 24 2.1. Physical Environment ............................................................................................................ 24 2.2. Socio-Demographic Characteristics....................................................................................... 24 2.2.1. Southern Nations and Nationalities and Peoples Region (SNNPR) ............................ 24 2.2.2. Oromia Regional State................................................................................................. 25 2.2.3. Tigray Regional State .................................................................................................. 26 2.2.4. Amhara Regional State ................................................................................................ 26 2.2.5. Gambella Regional State ............................................................................................. 27 2.2.6. Benishangul-Gumz Regional State .............................................................................. 28 3. Legal and Regulatory Frameworks ......................................................................................................... 29 3.1. Political Economy and Governance in Ethiopia ................................................................ 29 3.2 Property and Land Rights in Ethiopia............................................................................... 30 3.3 Acquisition of Land and Valuation of Assets .................................................................... 31 3.4. Entitlement for Compensation ........................................................................................... 34 3.5. Legal Arrangements for Dispute Resolution and Grievance Redress Procedures ................ 35 3.6. World Bank’s Operational Policies and Procedures for Involuntary Resettlement (OP 4.12) 36 3.7. Comparison between the National Legislation and the World Bank OP 4.12....................... 36 4. Stakeholder Participation and Consultation Summary ........................................................................... 43 General Concerns, Views and Recommendations on Priority Value Chains ............................... 44 5. Estimated Populations, Nature of Displacement and Categories of Project Affected People (PAPs) 47 5.1. Categories of Project Affected Peoples (PAPs) ..................................................................... 47 5.2 Number of PAPs ................................................................................................................ 48 5.3 Eligibility Criteria for Various Categories of PAPs .......................................................... 48 8.4 Method to Determine Cutoff Date ..................................................................................... 57 i 8.5 Valuing Affected Assets .................................................................................................... 58 8.6 Livelihood Restoration....................................................................................................... 59 9. Organizations, Procedures and Responsibilities ................................................................................. 61 9.1 Processes for RAP Preparation, Review and Approval ..................................................... 61 9.1.1 Sub-Project Screening ............................................................................................. 61 9.1.2 Socio-Economic Census and Asset Inventory ........................................................ 62 9.1.3 Development of RAP and ARAP ........................................................................... 63 9.1.4 Preparation of an Abbreviated Resettlement Action Plan (ARAP) ........................ 64 9.1.5 Review and Submission to Woreda or Regional EFCC Bureau ............................. 65 9.2 RAP/ARAP Implementation Agencies .............................................................................. 65 9.3. Institutional and Implementation Arrangements for Safeguards ........................................... 67 10. RAP/ARAP Implementation Procedure and Schedule .......................................................................... 72 10.1 RAP/ARAP Implementation Procedures ........................................................................... 72 10.2. RAP/ARAP Implementation Schedule ................................................................................ 74 11. LFSDP Grievance Redressing Mechanism Operational Guide ............................................................ 75 World Bank Grievance Redress Services..................................................................................................... 79 12. PUBLIC CONSULTATION PLAN AND DISCLOSURE .................................................................. 80 12.1 Public Consultation Overview .............................................................................................. 80 12.2 Objectives of the Public Consultations ................................................................................. 81 12.3 Consultation and Participation Process ................................................................................. 81 12..3.1 Planning Phase ........................................................................................................... 82 12.3.2 Data Collection Phase ................................................................................................. 82 12.3.3 Implementation Phase................................................................................................. 83 13. RPF Implementation Budget and Funding Arrangement...................................................................... 85 13.1 Monitoring and Evaluation of Impacts ............................................................................................... 86 13.2. Purpose of Monitoring ......................................................................................................... 88 13.3. Monitoring Framework (Internal and External) .................................................................. 89 13.3.1. Internal Monitoring.................................................................................................... 89 13.3.2. External Monitoring and Evaluation ......................................................................... 90 13.3.3. Indicators to Monitor ................................................................................................. 92 13.4 Reporting Requirement ...................................................................................................... 93 13.5 Completion Audit............................................................................................................... 95 13.6. Disclosure ............................................................................................................................ 96 14. Key Processes: Restriction of Access to Natural Resources ................................................................. 97 Technical Annexes....................................................................................................................................... 99 Annex 1: LFSDP RAP/ARAP Extended Screening Checklist ..................................................... 99 Annex 2: Census Survey and Land Asset Inventory .................................................................. 101 Annex 3: Resettlement Action Plan – RAP Guideline ............................................................... 105 Annex 4: Abbreviated Resettlement Action Plan - ARAP Content ........................................... 111 Annex 5: LFSDP Grievance Redressing Mechanism Operational Guide .................................. 112 ii Annex 6: National Relevant Laws .............................................................................................. 120 Annex 7: Proclamation on Expropriation of Landholdings for Public Purposes and Payment of Compensation Proclamation ....................................................................................................... 123 Annex 8: Compensation and Expropriation Regulations............................................................ 129 Annex 9: Proclamation on Rural Land Administration and Land Use Proclamation................. 134 Annex 10: Operational Manual: OP 4.12, Annex A - Involuntary Resettlement Instruments ... 141 Annex 11: Community Consultations Attendance Sheet............................................................ 148 Annex 12: Sample Photos of Community Consultations ........................................................... 161 Table 1: Social Safeguards Screening Information. .................................................................................... 19 Table 2: List of Sample Woredas Visited for the preparation of RPF ........................................................ 20 Table 3: List of Institutions Consulted for the Preparation of RPF ............................................................ 21 Table 4: List of Number of Community Consultation Participants by Region ........................................... 23 Table 5: Comparison of Ethiopian Legislation and World Bank’s Operational Policy .............................. 38 Table 7-Entitlement Matrix ......................................................................................................................... 52 Table 8- LFSDP Implementation Institutional Roles and Responsibilities................................................... 68 Table 9-Woreda and Kebele Compensation and Resettlement Committee (CRC) Composition and Responsibility .............................................................................................................................................. 70 Table 10 Indicative Outline of a RAP Budget .............................................................................................. 85 Table 11 Indicators of RAP or ARAP Impacts .............................................................................................. 88 Table 12 Monitoring Indicators................................................................................................................... 93 Table 13 RAP/ARAP Implementation Monitoring Template ...................................................................... 94 iii Abbreviations and Acronyms AGP Agricultural Growth Program ARAP Abbreviated Resettlement Action Plan CBO Community Based Organization CRC Compensation and Resettlement Committee EFCC Environment, Forest and Climate Change ESA Environment and Social Assessment ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan ESS Environmental and Social Safeguard FGD Focus Group Discussion GTP Growth and Transformation Plan HH Household IAs Implementing Agencies IPMP Integrated Pest Management Plan LFSDP Livestock and Fisheries Sector Development Project LMP Livestock Master Plan MoANR Ministry of Agriculture and Natural Resource M&E Monitoring and Evaluation MoLF Ministry of Livestock and Fisheries NGO Non-Government Organization NPCU National Project Coordination Unit PAPs Project Affected Persons PDO Project Development Objective OP Operational Policy PAD Project Appraisal Document PAP Project Affected People PCU Project Coordination Unit PME Participatory Monitoring and Evaluation PMP Pest Management Plan SNNPR Southern Nations, Nationalities and Peoples’ Region RAP Resettlement Action Plan REFCCB Regional Environment, Forest and Climate Change Bureau RPCU Regional Project Coordination Unit ROW Right of Way RPF Resettlement Policy Framework SIA Social Impact Assessment VC Value Chain iv 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 A field survey carried out to identify and determine the number of Project Affected Persons (PAPs) or Displaced Persons (DPs) as a result of land acquisition and related impacts. The census provides the basic information necessary for determining eligibility for compensation, resettlement, and other measures emanating from consultations with affected communities and the local government institutions. 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. Cut-off-Date The cut-off date is the date of commencement of the census of PAPs or DPs within the LFSDP program area boundaries. This is the date on and beyond which any person whose land is occupied for EASP program, will not be eligible for compensation. The establishment of the cut-of 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 are Mechanism 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 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 Land acquisition means the possession of or alienation of land, buildings, or other v Acquisition assets thereon for purposes of the project. Project Project affected persons (PAPs) or Displaced Persons (DPs) are persons affected by Affected land and other assets loss as a result of EASP activities. These person(s) are Persons (PAPs) affected because they may lose, be denied, or be restricted access to economic or Displaced assets; lose shelter, income sources, or means of livelihood. These persons are Persons (DPs) 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 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. Rehabilitation Rehabilitation assistance is the provision of development assistance in addition to Assistance compensation such as livelihood support, credit facilities, training, or job opportunities, needed to assist PAPs or DPs restore their livelihoods. Replacement Replacement cost refers to the amount sufficient to cover full recovery of lost Cost 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 value. Resettlement The RAP is a resettlement instrument (document) to be prepared when sub-project Action Plan locations are identified. In such cases, land acquisition leads to physical (RAP) 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. The Policy RPF sets out the objectives and principles, organizational arrangements, and Framework funding mechanisms for any resettlement, that may be necessary during vi (RPF) 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) and Entitlements 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. 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. vii Executive Summary The Livestock and Fisheries Sector Development Project (LFSDP) is an investment program aiming at enhancing livestock and fisheries productivity and commercialization in Ethiopia. The project focuses on supporting and boosting the growth and transformation of smallholder producers and processers in the highlands with big livestock potential in selected value chains. The rationale behind the project initiative lies in the necessity to deal with the deficiencies and poor performance in the sector. The serious limitations that need to be addressed include inadequate livestock services and inputs, low market access, limited private investments in the sector, and major gaps in relevant government policies and institutional frameworks. LFSDP has (i) Component A: Linking Farmers to Markets; Component B: Strengthening National Institutions and Programs; and (iii) Component C: Project Coordination, Monitoring and Evaluation, and Knowledge Management. The first component will be implemented in 58 Woredas. As the complementary Social Assessment (SA) has shown, there will be situations where land acquisition will be necessary for sub-project activities, in which case loss of land and land access will result, with the consequence of involuntary resettlement on limited scale. Therefore, the World Bank’s Safeguards Policy of OP 4.12 is triggered. The identification of sub-projects and the conduct of feasibility studies will be carried out during the implementation of the project. Accordingly, this Resettlement Policy Framework (RPF) is prepared with a view to establishing the principles and procedures that will be followed or adhered to in the event of loss of land or other assets, disturbance to livelihoods and/or natural resources, and involuntary resettlement resulting from the implementation of LFSDP. The 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). A key element of resettlement activities is the development and implementation of cost effective and accessible grievance handling mechanism. Grievances will be actively managed and tracked to ensure that appropriate resolution and actions are taken. A clear time schedule will be defined for resolving grievances, ensuring that they are addressed in an appropriate and timely manner, with corrective actions being implemented if appropriate and the complainant being informed of 8 the outcome. The approach and procedure for Grievance handing for LFSDP is included in this RPF. The RPF and RAP/ARAP implementation should be monitored and supervised so as to assess/track whether the objective of the Policy on Involuntary Resettlement is achieved and whether the project affected people have had their livelihoods restored to the levels prior to project or improved. This RPF also has a provision in to that effect. The RPF is complemented by a Social Assessment that assesses key socio-economic factors that require consideration; identifies vulnerable groups, historically disadvantaged, underserved peoples and ethnic minorities that may be excluded from the project and be adversely affected as a result, and the necessary impact mitigating measures; and, recommends in the early stage of project preparation the appropriate measures towards addressing World Bank requirements on social safeguards triggered by the project (OP 4.10 and OP 4.12). The complementary Environmental and Social Management Framework (ESMF) is designed to address the environmental and social impacts of the project, and will be adopted together with the RPF. The implementers of LFSDP are responsible for identifying and undertaking investment activities in the context of the RPF. In order to ensure that all environmental and social safeguards issues are adequately addressed, the relevant capacity building and training needs will be fulfilled on the basis of the recommendations put forward in the accompanying Social Assessment. The consultation for the preparation of this RPF was conducted in six regional states of Oromia, Amhara, SNNP, Tigray, Benishangul-Gumz, and Gambella and 17 sample woredas of the total 58 participating project woredas. In each sample Woreda, fieldwork was undertaken in two selected kebeles as focal communities. Community consultations and focus group discussions were the main methods of field data collection. The participants of community consultations and FGDs comprised smallholder farmers, cooperative members, women, youths, and elders, as well as experts at regional and woreda livestock and fisheries bureaus/offices. Regarding the total number of Consultation participants, 95 relevant institutions and 198 (116 males and 82 female) individuals at national, regional, woreda and kebele level contributed their vision, mentioned their concern and ideal recommendations for the proposed LFSDP components and sub project activities. 9 1. Introduction 1.1. Background The development of the livestock and fisheries sector is becoming one of the major priority area for the Government of Ethiopia, and stands as a pillar in GTP2. Thus, despite the neglect over the years, the livestock sector is gaining significant attention towards achieving multiple development goals such as; (i) contribute to the overall economic growth including increase in the volume and value of exports; (ii) contribute to poverty reduction both in the highland and lowland areas; (iii) contribute to improved food security and nutritional outcomes for rural and urban households; and (iv) support the country’s green growth priorities. In accordance with this, the Government has put in place the institutional basis with the creation of the Ministry of Livestock and Fisheries (MoLF) in October 2015, and the recent approval of the Livestock Master Plan (LMP) based on a rigorous livestock sector analysis. The main justifications for increased investment in the sector are (i) Ethiopia has the largest livestock population in Africa, which can be a major asset for economic growth, poverty reduction, improved food security and nutritional outcomes; (ii) the livestock sector is underperforming despite its enormous potential; (iii) public services to the agricultural sector have prioritized crop production over livestock husbandry; (iv) the delivery of services with respect to animal feed, animal health and animal breeding is faced with systemic and operational challenges; (v) low private investment in livestock sector limits opportunities for intensification and commercialization of livestock production; (vi) weak market linkages, high cost of basic inputs, and low access to appropriate financial capital have undermined smallholder livestock production systems; and (vi) weak institutional capacity is further hindering of the growth of the sector. To expand the potential of the national and export livestock markets, significant improvements are required: strengthening market linkages, increasing per capita consumption and greater awareness of the nutritional value of milk and livestock products, increasing value addition, and improving food safety and quality measures. Most of all, there is a need to rethink the roles of the public and private sectors; considerable opportunities exist to increase private investment in production, processing and service provision, while strengthening national programs’ capacity and government’s regulatory roles. It is in this context that the Government is now giving greater attention to the sector. The Government of Ethiopia has recently completed the LMP, which lays out an ambitious vision for the transformation of the sector. In view of this, there is a strong rationale for the design of a livestock sector development project to address the weak performance of the sector, limited access to quality livestock services and markets, limited participation of the private sector, and the existence of institutional and policy gaps. The preparation of the Livestock and Fisheries 10 Sector Development Project (LFSDP) is envisaged based on the need to deal with these challenges. The primary/direct beneficiaries of the project fall under three categories: smallholder subsistence farmers; about 60% of project beneficiaries fall under this category, and the project will support these to acquire good animal husbandry and/or fisheries and aquaculture practices. Small-scale producers and processors with improved animal husbandry and/or fish and aquaculture practices; these represent about 30% of project beneficiaries, and the project will facilitate their linkage with the market and help them become organized functional and legally recognized cooperatives/groups. Small-scale specialized livestock producers and processors operating as viable cooperatives; these constitute 10% of project beneficiaries, and the project will help in linking them to major market outlets and thereby increase their productivity. LFSDP will operate in 58 woredas of six national regional states of the country, selected on the basis of their high potential for the development of the targeted value chains (VCs), the suitability of agro-ecological conditions, and access to markets. The regional states where the project woredas are located are the following: Oromia, Amhara, Southern Nations, Nationalities and Peoples Region (SNNPR), Tigray, Benishangul-Gumz and Gambella. 1.2. Description of the Project 1.2.1. Project Development Objective The Project Development Objective (PDO) is to “increase productivity and commercialization of producers and processors in selected value chains, strengthen service delivery systems in the livestock and fisheries sectors, and respond promptly and effectively to an eligible crisis or emergency”. LFSDP targets four priority value chains (dairy, poultry, fish and aquacultures, and red meat). These value chains are considered strategic for achieving food security, national supply of livestock products, and their potential for growth and innovation. The primary/direct beneficiaries of the project fall under three categories: smallholder subsistence farmers; about 60%, and the project will support these to acquire good animal husbandry and/or fisheries and aquaculture practices. Small-scale producers and processors with improved animal husbandry and/or fish and aquaculture practices; these represent about 30% of project beneficiaries, and the project will facilitate their linkage with the market and help them become organized functional and legally recognized cooperatives/groups. Small-scale specialized livestock producers and processors operating as viable cooperatives; these constitute 10% of project beneficiaries, and the project will help in linking them to major market outlets and thereby increase their productivity. 11 1.2.2. Components and Scope of the LFSDP 1.2.2.1. Project Components The proposed project comprises of three main components and ten subcomponents. The project is structured around three inter-dependent components supporting a number of LMP priority interventions: (i) Component A: Linking Farmers to Markets; Component B: Strengthening National Institutions and Programs; and (iii) Component C: Project Coordination, Monitoring and Evaluation, and Knowledge Management. The first component will be implemented in 58 Woredas. It is designed to support sustainable productivity increase and commercialization in the selected four commodity value chains. The second component has a national coverage although directing its main applications in priority towards the first component. It will support immediate and long term human and institutional capacity development of the key actors in the livestock and fisheries sectors, and support the finalization and implementation (in project areas and for the targeted value chains) of five priority strategic national programs. The third component will support project coordination and implementation and effective monitoring and evaluation of project’s performance. The project will pay attention to equitable participation of gender and youth and it will mainstream nutrition and climate smart techniques and technologies in all its activities. Component A: Linking Farmers to Markets (US$103 million) This component will finance a program of activities aimed at increasing productivity and commercialization of producers and processors in selected value chains and targeted areas by improving their access to critical knowledge, services, inputs, equipment and productive infrastructure, and increasing their linkages with markets and value chains. To achieve these objectives, the component will address all steps of the transformation pathway through the implementation of three type of sub-projects (sub-components A2 A3 and A4), each supporting a specific set of interventions and training approach tailored to the beneficiary’s needs in the pathway. A first sub-component (A1) will establish the enabling environment for the successful implementation of these sub-projects. Sub-component A.1. Enabling Sub-Projects Implementation. The sub-component will finance preparatory analyses and activities to enable the implementation of sub-components A.2, A.3 and A.4. These upfront investments will include: (i) studies for the grouping of Woreda, based on a production and commercial infrastructure mapping, as well as the clustering criteria used by ATA (i.e. livestock and fisheries production potential, storage and processing capacity, access to markets, institutional environment1); (ii) assessments to identify beneficiaries within the group of Woredas (subsistence2, improved and specialized producers and processors and cooperatives), based on their position in the Ethiopia Good Practices (Good Animal Husbandry Practices - GAHP and Good Aquaculture and Fisheries Practices -GAFP) checklist (tools developed under 1 Criteria used by ATA to identify clusters under the Agricultural Commodity Cluster/ ACC Program. 2 Special attention will be given to inclusively target underserved peoples and vulnerable groups as potential beneficiaries as identified in the Social Assessment (Social Development Plan, see PAD Annex 7). 12 component B); (iii) training to Development Agents (DAs) on sub-Project's approach and process; (iv) beneficiaries’ monitoring to assess transformation throughout the pathway; and (v) feasibility study for establishing a Line of Credit (LoC) during project implementation. Sub-component A.2. Support to Subsistence Farmers and Unemployed Youth. The sub- component will support the transformation of level 1 beneficiaries (i.e. livestock and fisheries smallholder subsistence men and women farmers, subsistence fishermen/women, unemployed youth from farming families) into level 2 beneficiaries (i.e. improved cooperatives of small and medium-size producers and primary processors, and future young entrepreneurs). To enable this transformation, the sub-component will finance basic sub-projects focusing on establishing primary cooperatives3 and mastering minimum good practices (Eth-GAP1), supported by basic training, public extension and advisory services, inputs, basic equipment and small-scale infrastructures. Basic sub-projects will be prepared jointly by the beneficiaries and the DA. Level 1 direct beneficiaries will represent 70 percent of total direct beneficiaries of component A, i.e. 325,000 households. Sub-component A.3. Support to Improved Cooperatives. The sub-component will support the level 2 beneficiaries (improved cooperatives) through the implementation of intermediate sub- projects based on the productive partnerships approach, defined as an association, facilitated by the project through a sub-Project, between cooperative(s) of supplier(s) of a given products and buyer(s) (individual4 or cooperative). The partnership is materialized through the joint preparation and implementation of the sub-Project, and is ‘formalized’ through a commercial contract defining the agreement reached by the partners such as the agreed quantity and quality of products to be supplied / bought, the periodicity, the pricing policy, etc. Sub-projects will be prepared jointly by project beneficiaries and suppliers and/or buyers of products. The project, supported by ATA as specialized services provider, will act as the main facilitator for establishing and implementing these partnerships. These intermediate sub-projects will focus on improving both the level of cooperatives organization and intensification of production, and the efficiency of the cooperative buyers, through the implementation of improved good practices (Eth-GAP2) supported by Farm Field School training, public and private services, inputs, equipment and small/medium-scale infrastructures. Level 2 direct beneficiaries will represent 23 percent of total direct beneficiaries of component A, i.e. 108,000 households. Sub-component A.4. Support to Specialized Cooperatives and Municipalities. The sub- component will support level 3 beneficiaries (specialized cooperatives of sellers and buyers, and municipalities) through the implementation of advanced sub-projects based on the Productive Partnership approach. The advanced sub-projects will focus on linking value chain actors through formal contracts and the implementation of specialized good practices (Eth-GAP3) supported by specialized training, private and public advisory services, specialized inputs and equipment and medium-scale productive and commercial infrastructures. Level 3 direct 3 An indicative provision of about 5% of the total cost of the level 1 basic sub-Projects is secured to support underserved peoples and vulnerable groups to form primary cooperatives including those identified in the Social Assessment (Social Development Plan). 4 In the case of individual buyer (supermarket, institutional buyer, etc.), the support of the project through the sub- Project will be directed to the cooperative entity only. The benefit for the individual partner would consist on some level of guaranty to receive more regular quantity of better quality products. 13 beneficiaries will represent 7 percent of total direct beneficiaries of component A, i.e. 33,000 households. Component B: Strengthening National Institutions and Programs (US$56 million) The component will carry out a program of activities to improve the immediate and long-term human, organizational and institutional capacity of MoLF and key public and private actors and cooperatives of the livestock and fisheries sectors through, inter alia: Sub-component B.1. Human Resources and Organizational Capacity Development. The project will provide support to: (a)carry out a capacity development needs assessment to identify MoLF’s immediate and long-term needs in terms of human resource development, organizational development, and institutional and legal framework development; prepare a Capacity Development Program (“CDP”) based on the results of the assessment; validate the CDP through a national consultation workshop. Once approved, the recommended interventions of the CDP will be embedded in the capacity development activities of the project at federal and regional levels, and in the 58 targeted Woredas as the project’s contribution to the implementation of the CDP. Sub-component B.2. Policy, Planning and Coordination. The component will aim at: (a) improve monitoring and assessment of the livestock and fisheries sectors, including development and rolling out of a data analysis and monitoring system for the livestock and fisheries sector; acquisition of critical equipment for necessary surveys and training programs for its extension as well as the update of the CSA questionnaires; (b) provide support for: conducting an evidence-based technical review of current policies, laws and regulations and the drafting and/or updating of new ones, stakeholder consultations processes and policy dialogue between public, private and associative actors, and consensus building to ensure that new policies reflect the views and needs of women, youth, smallholder farmers and larger participants in the livestock and fisheries sector; and (c) provide provision to conduct training and awareness campaigns related to various policy aspects, and support pilot operations to test the decentralized implementation of new/upgraded policies. Sub-component B.3. Sustainable Animal Health, Extension, and Advisory Services. Under this sub-component, the project will (a) (a) contribute to the overall development of capacity of the MoLF through the rehabilitation and construction of training facilities (FTC, T-VET, National Training Centre on Poultry), the provision of transport means (motorcycles and mountain bikes) and critical field equipment for Livestock and Fisheries field staff at Woredas and Kebeles level; (b) reinforce the capacity of the public Veterinary Services (“VS”) through the establishment of private animal health services networks and the development of partnerships between the public authorities, the private veterinarians, and the associative actors; and the strengthening of the surveillance and diagnostic capacities of the National Animal Health Diagnostic and Investigation Centre and regional laboratories; and (c) strengthen the Extension & Advisory Services (“EAS”), including by developing a roadmap for improved livestock and fisheries EAS; promoting, introducing and implementing innovative EAS such as the Ethiopian Good Animal Husbandry Practices (GAHP) and Good Aquaculture and Fisheries Practices (GAFP) approach and the Livestock and Fisheries Farmers’ Field School (L&F-FFS). 14 Sub-component B.4. Development of Strategic National Programs. The project will provide support for the preparation and/or finalization and the implementation (in project areas and for the targeted value chains) of the following five priority strategic national programs: (i) Livestock Identification and Traceability System to support (a) the harmonization and integration of the various systems existing in Ethiopia through the preparation and implementation of a road map for harmonization and integration of the systems; and (b) contribute to the coordinated implementation of internationally and regionally recognized animal Identification, traceability and performance recording systems in the country. (ii) Priority Animal Disease Prevention and Control Program to support the prevention and control of major devastating diseases in the targeted value chains (i.e. the Newcastle Disease (ND) and the Peste des Petits Ruminants), by supporting the preparation of a ND control strategy and the implementation of said strategy in targeted areas; the extension in the highlands of the PPR Control Program currently implemented in the lowlands; and supporting the MoLF’s One Health program. (iii) National Feed and Forage Program to support the finalization and implementation of the program contributing primarily to the development of the forage component of the program in the project areas. The project will support the MoLF in finalizing the overall strategy and implementation plan for a National Feed and Forage Development Program and contribute to the implementation of the said program, particularly the development and expansion of the forage component of the program in the project areas. (iv) National Breeding Program. The project will support the MoLF in finalizing the adoption of the National Breeding Policy and co-develop with smallholders and larger farmers’ breeding strategies to implement the policy in the Project areas. It will also support the progressive development in the project areas of a performance recording systems for small-scale dairy cows and ensure the promotion of the use of Animal Genetic Resources adapted to the agro-ecological and socio-economic situation prevailing within the targeted farming systems. (v) Aquaculture and Fisheries Master Plan. The project will support the preparation of an Aquaculture and Fisheries Master Plan5 and its implementation in selected project areas, including the development of sustainable fisheries co-management plans and the strengthening of fish handling and processing facilities to reduce post-harvest losses. The project will contribute to the implementation of the legal framework, rules and regulations on fisheries and aquaculture, and support capacity building in the inland fisheries and aquaculture sub-sectors. Sub-component B.5. Contingent Emergency Response aiming at support immediate and rapid response to an Eligible Crisis or Emergency, as needed. Component C: Project Coordination, Monitoring and Evaluation, Knowledge Management (US$17 million): The objective of this component is to support project coordination, management, monitoring and evaluation, and learning needs. Sub-component C.1. Project Coordination. This window aims to support the Project 5 Note that some identified activities and investments in fisheries and aquaculture will be implemented at the beginning of the project and will not depend on the completion of the Aquaculture and Fisheries Master Plan. 15 implementation and coordination through financing of consulting services, goods, operating costs and training; Sub-component C.2. Monitoring, Evaluation and Knowledge Management to support the development of a Project progress and results monitoring and reporting system; the development of a Project monitoring and evaluation manual; and capacity development interventions and services, including organizing surveys (households, focus groups, participants of training events), conducting capacity needs assessments, facilitating action learning events, performing studies and analyses in relevant areas; and carrying out regular, mid-term and end of project progress evaluations, and a community and household survey. Sub Project Activities that may induce land acquisition and access restriction Based on the public and other stakeholder consultations held with the relevant regional and woreda level experts and various local groups, the sub-project activities with a high likelihood of potentially causing the loss of land and/or assets to the intervention, individually held or otherwise are the following: • Forage seed and forage production; • Intensive dairy farming; • Investment in cooperative/ feedlots; • Community and/or commercial ranches; • Small/big slaughter houses and export abattoirs; • Water resources development/water point construction projects; • Large-scale aquaculture ponds and other fishery infrastructures; • Livestock/poultry shades; • Market centers/shades. 1.3. Objectives and Principles of the RPF 1.3.1. Objectives of the RPF The overall objective of the RPF is to establish a framework which incorporates resettlement policies, principles and procedures that thus serves as a guide to LFSDP implementers. It is aimed at ensuring meaningful consultation of stakeholders and the project affected peoples (PAPs) are undertaken, appropriate preventative and mitigating measures are exhaustively considered and implemented before the implementation of the components of the project. The specific objectives of the Resettlement Policy Framework (RPF) are intended to: 1) establish the Livestock and Fisheries Sector Development Project (LFSDP) resettlement and compensation principles and implementation arrangements; 16 2) describe the legal and institutional frameworks underlying Ethiopian government’s approaches for resettlement, compensation and rehabilitation; 3) define the eligibility criteria for identification of project affected persons (PAPs) and entitlements; 4) describe the consultation procedures and participatory approaches involving PAPs and other key stakeholders; 5) describe the institutional frameworks and monitoring arrangements and 6) Provide procedures for filing grievances and resolving disputes. The RPF therefore is prepared to govern LFSDP as subprojects are selected for financing and sets out the elements that will be common to all subprojects that will entail involuntary resettlement, which are not known by the time of project appraisal. The RPF provides the basis for preparing Resettlement Action Plan (RAP)/Abbreviated Resettlement Action plan (ARAP) for individual subprojects (if required) once their location and scope of impact are known. Whenever a project activity or subproject results in land acquisition, a RAP, which is a detailed action plan for each subproject, will have to be formulated and approved by the various LFSDP implementing agencies and the World Bank before the activity or sub-project can be implemented. When a Resettlement Action Plan (RAP) is required, it will be prepared in accordance with the guidance provided in this RPF, including Detailed Measurement Surveys, Identification (Census), and Public Consultation and Disclosure Procedures. The RPF follows the guidance provided in the World Bank Operational Policy on Involuntary Resettlement (OP 4.12) and relevant GoE laws. The impacts of any potential resettlement activities will be monitored and evaluated as set out in section 11 of this RPF. The RPF ensures that any possible adverse impacts of proposed project activities are addressed through appropriate mitigation measures, in particular, against potential impoverishment risks. 1.3.2. Principles of the RPF Subprojects which may result involuntary resettlement in LFSDP are under component A and B. These mainly include support to the establishment of private multiplier of seeds and vegetative material; rehabilitation and protection of grazing areas; support conservation of indigenous breeds; basic business plans (dairy, dairy beef fattening, small ruminant, fishery, forage production, and support to rural women and youths in the four value chains); advanced business plans (dairy, small ruminants, dairy beef fattening, fishery, and poultry); establishment of infrastructure under Public-Private-Partnership (PPP) arrangement; and rehabilitation of infrastructure under Public-Private-Partnership (PPP) scheme 17 As the complementary Social Assessment (SA) has shown, there will be situations where land acquisition will be necessary for sub-project activities, in which case loss of land and land access will result, with the consequence of involuntary resettlement on limited scale. As a result, land acquisition and property losses will occur when implementing LFSDP subprojects. The identification of sub-projects and the conduct of feasibility studies will be carried out during the implementation of the project. Accordingly, this Resettlement Policy Framework (RPF) is prepared with a view to establishing the principles and procedures that will be followed or adhered to in the event of loss of land or other assets, restriction to access and use of natural resources, disturbance to livelihoods and/or natural resources, and involuntary resettlement resulting from the implementation of LFSDP. The RPF is developed based on the World Bank Operational Policy 4.12 and the relevant national laws and regulations, and will form the basis for resettlement 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). The RPF is guided by a set of policy principles described below. • 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: o Resettlement and compensation activities will be conceived and executed as sustainable development programs. o Displaced and compensated persons will be meaningfully consulted and will 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, implementation and monitoring processes, are adequately compensated to the extent that their pre-displacement incomes/livelihoods have been restored, and the process is fair and transparent. The RPF is complemented by a Social Assessment that: assesses key socio-economic factors that require consideration; identifies vulnerable and historically underserved groups that may be excluded from the project and be adversely affected as a result, and the necessary impact mitigating measures; assesses any potential adverse social impacts of LFSDP, and recommends in the early stage of project preparation the appropriate measures towards addressing World 18 Bank requirements on social safeguards triggered by the project (OP 4.10 and OP 4.12). Table 1 below, explains the screening process to be used to determine when to prepare a site specific plans. Table 1: Social Safeguards Screening Information. Social safeguards screening information Yes No 1 Will the project reduce/restrict other 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 physical displacement or economic impact requiring the acquisition of land (public or private, temporarily or permanently) for its development? 3 Will the project result in the temporary or permanent loss of crops, fruit trees and Household infra-structure (such as granaries, outside toilets and kitchens, etc)? 4 Will the project require excavation near any historical, archaeological or cultural heritage site? 5 Might the project adversely affect vulnerable people (e.g., elderly poor pensioners, physically challenged, women, particularly head of Households or widows etc) living in the area? 6 Will the project impose restriction of access to natural resources in legally designated parks or other protected areas resulting in adverse impacts on the livelihoods of the displaced persons? For all issues indicated by “Yes”, the project implementer is expected to explain how it intends to mitigate them. Implementation of the mitigation measures will require using appropriate resettlement instruments including, Resettlement Action Plan, ARAP, Livelihood Restoration Plan, and/or process framework. The Environmental and Social Management Framework (ESMF) prepared for LFSDP addresses bio-physical environmental and social impacts, and can be applied together with this RPF. The LFSDP implementers are responsible for identifying and implementing investment activities. This RPF document is to be used by all implementers of the LFSDP in order to ensure that all environmental and social safeguards are adequately addressed and that the relevant capacity and training needs are established in order for the recommended measures to be implemented effectively. 1.4. Methodology LFSDP is planned to be implemented in six regional states, namely: Oromia, Amhara, SNNP, Tigray, Benishangul-Gumz, and Gambella. Due to the pressure of time constraints, field data collection was limited to 17 sample RPF woredas of the total number of 58 project woredas. Purposive sampling was used to select a representative number of seventeen project woredas for the RPF. The selection was done in such way that the number of sample woredas was 19 proportional in relation to the regional distribution of the fifty-eight project woredas covered by LFSDP. Accordingly, the number of RPF woredas by project region is seven (Oromia), three (Amhara), three (SNNP), two (Tigray), one (Benishangul-Gumz) and one (Gambella). The sampling of RPF woredas was done with the involvement of the National Project Preparation Team members, who participated in the consultative discussions regarding which project woredas met the selection criteria as per the RPF objectives. The table below depicts the distribution of sample project woredas for the RPF by region. Table 2: List of Sample Woredas Visited for the preparation of RPF Region Zone Woreda Tigray Southeastern Hintalo Wajirat Eastern Kilite Awulalo Amhara West Gojjam Mecha, Bahir Dar Zuria North Shoa Basona Werana Oromia East Hararghe Kombolcha West Arsi Kore North Shoa Debre Libanos Ilu Aba Bora Becho Horo Gudru Abay Choman 20 West Shoa Jeldu Bale Dinsho SNNPR Segen Area Peoples’ Konso Sidama Hawassa Town Gamo Gofa Arba Minch Zuria Benishangul-Gumz Asossa Asossa Gambella Agnywa Abobo In each woreda, fieldwork was undertaken in two selected kebeles as focal communities. The sampling and selection of focal kebeles was done in consultation with the respective woreda leadership concerning which of the kebeles qualified for the conduct of fieldwork based on the characteristics features vis-à-vis the RPF objectives. In the interest of clear visualization, a map is presented below that shows the location of the RPF woredas. Community consultations and focus group discussions were the main methods of field data collection used. The participants of community consultations and FGDs comprised smallholder farmers, cooperative members, women, youths, and elders, as well as experts at regional and woreda livestock and fisheries bureaus/offices. 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 and benefits. 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. The stakeholder consultation for the preparation of the safeguard instruments including the Resettlement Policy Framework reached relevant institutions at National, Regional, Zone, Woreda level consulted using Focus Group Discussion (FGD), Individual/Expert Interview Participants for. The list of institutions consulted for the preparation of the RPF are attached in Annex- 2. Table 3: List of Institutions Consulted for the Preparation of RPF National and Region Woreda Number National 3 Konso 6 SNNPR Hawassa Town & Surrounding 4 Arba Minch Zuria 8 Benishangul- Gumz Asossa 3 Gambella Region Bureau 1 Abobo 8 Debre Libanos 2 Bora 3 Oromia Jeldu 9 Dinsho 4 21 Kore 5 Abay Chomen 5 Kombolcha 6 Tigray Kilite Awulalo 3 Hintalo Wajirat 4 Region Bureau 1 Amhara Mecha 4 Basona Werana 5 Bahir Dar Zuria 8 Grand Total 95 \ 22 Table 4: List of Number of Community Consultation Participants by Region Woreda Number Total Male Female SNNPR Konso 11 5 16 Hawassa Town & Surrounding 12 7 19 Arba Minch Zuria 10 7 17 Total 52 Benishangul-Gumz Asossa 5 3 8 Total 8 Gambella Abobo 4 2 6 Total 6 Debre Libanos 13 11 24 Bora 6 5 11 Oromia Jeldu 8 3 11 Dinsho 5 4 9 Kore 8 5 13 Abay Chomen 3 3 6 Kombolcha 6 5 11 Total 85 Tigray Kilite Awulalo 7 7 14 Hintalo Wajirat 4 4 8 Total 22 Mecha 6 3 9 Amhara Basona Werana 5 4 9 Bahir Dar Zuria 3 4 7 Total 25 Grand Total 198 23 2. Baseline Data on Environmental and Social Conditions of LFSDP Regions The primary geographic focus area of the LFSDP targeted value chains would be the rural and peri-urban areas of the high potential highland regions where the dairy, poultry, fisheries and aquaculture production systems dominate. While the crosscutting activities of the project will have a national coverage, the value chains activities will be implemented in the 58 (fifty-eight) Woredas of the following six regions: Amhara, Benishangul-Gumuz, Gambella, Oromiya, SNNPR, and Tigray. Furthermore, the project would follow the Government cluster approach and intervene in the existing or planned clusters of dairy, poultry and fisheries and aquaculture. This would enable the project to benefit from synergistic gains which might arise from other investment (infrastructure, private sector, etc.) coming in these clusters. The key physical and social characteristics of the proposed LFSDP areas are described below, which gives the basic sociocultural and physical context. 2.1. Physical Environment Climate The lowlands of LFSDP regions are characterized by high temperature and low precipitation, whereas the highland parts enjoy suitable temperatures and ample rainfall. In general, mean annual temperature in the six regions varies from less than 100c in high altitudes to over 300c in tropical lowlands. The amount, duration and intensity of rainfall in LFSDP regions also vary considerably. The annual rainfall in the regions ranges from 303-2,553 mm. Soil and Geology The major types of soil in LFSDP region include Nitosols, Vertisols, Cambisols, Acrisols, Luvisols, Lithosols, Aluvisols, Arenosols and Regolsols, most of which carry high agricultural potentials. However, soils on the highlands of the regions have been subjected to serious erosion due to human activities (deforestation, over cultivation, and poor farming practices). The Precambrian, Palaeozoic, Mesozoic, and Cenozoic rocks are the three main geologic formations found in the LFSDP regions. Additionally, the Proterozoic rock formation is found in Tigray Region. 2.2. Socio-Demographic Characteristics 2.2.1. Southern Nations and Nationalities and Peoples Region (SNNPR) (a) Demographic and Economic Features SNNPR covers an area of 111,000 km2, and accounts for 10% of the total area of the country. The region is home to more than 56 ethnic groups. SNNPR is located in the southern and south- western parts of the country. It shares borders with the neighboring counties of Sudan in the 24 west, and Kenya in the south. In the northwest, SNNPR borders with the Gambella Regional State and with Oromia Regional State in the east and north. According to the CSA, 2013 national population projection data of all regions from 2014-2017, SNNPR has a total population of 17,837,005 (8,843,499 males and 8,993,006 female). 15,130, 000 (84.8 %) of the population are rural inhabitants, and 2,707,000 (15.2%) urban dwellers. This region has an estimated average population density of 141 persons per square kilometer. Livestock production is the region’s major economic activity, followed by enset and coffee production, fisheries, irrigation, and eco-tourism. Teff, wheat, maize and barely are the main crops grown in most of the areas in the region. LFSDP will be implemented in 13 selected woredas of SNNPRS. (b) Ethno-Religious Features As ethnically the most diverse region of the country, SNNPR is inhabited by about 56 ethnic groups with their own distinct languages, cultures, beliefs and norms and value systems. These ethnic groups belong to the Omotic, Cushitic, Semetic, and Nilo Sahara linguistic families. In order of population size, the ten largest ethnic groups in the region are Sidama, Wolayita, Gurage, Hadiya, Gamo, Keffa, Gedeo, Kembata, Kullo, and Goffa. The major religious groups in the region are Protestants, Orthodox Christians, Muslims, traditional worshipers, and Catholics. 2.2.2. Oromia Regional State (a) Demographic and Economic Features With a total land area of approximately 353,000 km2, Oromia is the largest region of the country. Oromia is bounded by the country’s all regional states except Tigray. Oromia also shares common borders with the neighboring countries of Sudan and Kenya. According to the 2007 national census, the region has an estimated population of 27. 2 million, the largest of all the nation’s regional states. More than 87% of the people of Oromia live in rural areas while 13% reside in urban areas. The major crops grown in the region are coffee, wheat, barley, teff, sorghum and oil seeds. The average land holding per household in the rural areas is 1.14 hectares, compared to the national average of 1.01 hectares. 24% of the population is engaged in non-farm activities (compared to the national average of 25%). LFSDP will be implemented in 23 woredas of Oromia Regional State. (b) Ethno-Religious Features Twelve percent of the population in the region account for different non-Oromo ethnic groups (Amhara, Hadiya, Sidama, etc). Broadly speaking, there are five main sub-groups of Oromo. The 25 Western Oromo live mainly in the Wollega area and are settled agriculturists. The Northern Oromo live in Shoa and some areas of Wollo and are more integrated with the Amhara culture. These are generally bilingual, speaking both Amharic and Oromiffa. Some pockets of Northern Oromo are also found as far away as in Tigray. The Southern Oromo consist of smaller sub- groups without regional cohesion, and most are pastoralists leading a semi-nomadic lifestyle. The Eastern Oromo live in East and West Harerge zones including in the towns of Harar and Dire Dawa. The Borana make up the fifth Oromo sub-group inhabiting the southernmost parts of Ethiopia along the common border with Kenyan. Forty-eight percent of the population in region are adherents of Islam, followed by 30% Orthodox Christians, 18% Protestants, 3% traditional believers, 0.5% Catholics, and 1% others. 2.2.3. Tigray Regional State (a) Demographic Features Tigray Regional State accounts for a total land area of 53,000 km2, consisting of six administrative zones and 35 woredas. It shares borders with Eritrea in the north, Afar and Amhara national regional states in the east and the south, and Sudan in the west. According to CSA, 2013 national population projection data from 2014-2017 reported that the region has a total population of 4,960,003 (2,444,000 males and 2,516,003 female). The regional average land holding is estimated to be 0.5ha/household. Four woredas of Tigray are selected for the implementation of LFSDP. In Tigray, farm yields are generally lower in the middle highlands because of lower soil fertility and rainfall. The staple crops in western lowlands of Tigray are sorghum, maize, teff, barley and wheat. Tigray is home to typical Ethiopia’s grain species, notably different varieties of wheat and barley adapted to shorter or longer rainy seasons. (b) Ethno-Religious Features Other ethnic groups in Tigray consist of Amhara (1.63%), Irob (0.71%), Afar (0.29%), Agaw (0.19%), Oromo (0.17%) and a Nilo-Saharan-speaking Kunama (0.07%). In the region, 95.6% of the population are Orthodox Christians, 4% Muslims, 0.4% Catholics and 0.10% Protestants. 2.2.4. Amhara Regional State (a) Demographic and Economic Features The Amhara Regional State covers a total land area of approximately 154,000 km2. The regional average landholding is 0.3 ha/household. According to the CSA, 2013 national population projection data from 2014-2017, the region has a total population of 20,018,988, out of which 26 84% live in rural areas. Thirteen woredas of the region are selected for the implementation of LFSDP. Most of the region is on a highland plateau and characterized by rugged mountains, hills, valleys and gorges. Hence, the region has varied landscapes composed of steep fault escarpments and adjoining lowland plains in the east, nearly flat plateaus and mountains in the center, and eroded landforms in the north. Most of the western part is a flat plain extending to the Sudan lowlands. The high population growth rate of the region has led to severe land shortages and rapid natural resource degradation. Cereals, pulses, and oilseeds are the major crops grown in the Amhara. Principal crops include teff, barley, wheat, maize, sorghum and millet. Pulses include horse beans, field peas, haricot beans, chickpeas and lentils. The region also has large livestock resources. (b) Ethno-Religious Features Other ethnic groups include the Agaw/Awi (3.46%), Oromo (2.62%), Kamant (1.39%), and Argobba (0.41%). Of the total population of the Region, 82.5% are Orthodox Christians, 17.2% Muslims, 0.2% Protestants and 0.1% others. 2.2.5. Gambella Regional State (a) Demographic and Economic Features Gambella Regional State has a total land area of 29,782.82 km2, with a total population of 396,000 (207,000 males and 189,000 female) according to the CSA, 2013 national population projection data for 2014-2017. Of these, 68.7% inhabit in rural areas while 31. 3% live in urban areas. The region is located in the south-western part of Ethiopia, bordering with Oromia Regional State in the north and east, SNNPR in the south and east, and Benishangul-Gumz in the north. The Region also borders the Republic of South Sudan in the south and Sudan in the west. Ago-ecologically, the region is predominantly lowland (kolla), with a few midlands (weynadega). The region is endowed with abundant natural resources of expansive land and water. The region’s economy is predominantly agriculture, and land and water are the main source of livelihoods of the people. LFSD will be implemented in Abobo Woreda of Gambella. Ethno-Religious Features The major ethnic groups in Gambella are the Nuer (46%), Agnywa (21%), Majenger (7%), Komo (3%), and Opo (3%). Gambella is also a host region for people who migrated there at different times, locally called highlanders, accounting for 20% of the population. 27 The dominant faiths in the region are Protestant, Orthodox Christian, traditional belief, Islam Catholic, and others. 2.2.6. Benishangul-Gumz Regional State (a) Demographic and Economic Features According to the CSA, 2013 national population projection data from 2014-2017 accounts for a total of 50,380 km2, with a total population of 975,998 (495,000 males and 480,998 female). Of these, 80.63% live in rural areas. The region is located in the western part of Ethiopia, sharing borders with Gambella, Amhara, and Oromia regional states, and the Republic of South Sudan. The region is endowed with rich natural resources, which include fertile land, water, forest, minerals, and fish. Abay River and most of its major tributaries flow across the region that can be used for irrigation. The climate in the region is generally favorable for crop and livestock production, but agricultural remains at subsistence level mainly due to lack of experience, low technology, and underdeveloped infrastructure. (b) Ethno-Religious Features The major ethnic groups in Benishangul-Gumz are Berta (25.9%), Gumz (21.1%), Shinasha (7.5%), Mao (1.8%) and Komo (0.96%). Other groups include Amhara (21.3%), Oromo (13.3%), and Agaw-Awi (4.2%). In the region, 45.4% of the populations are Muslim, 33.3% Orthodox Christians, 13.53% Protestant, 0.6% Catholic and 7.09% practicing traditional beliefs. 28 3. Legal and Regulatory Frameworks 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 seven sections: (i) Political economy and governance in Ethiopia; (ii) Property and land rights in Ethiopia; (iii) Acquisition and valuation of land and other assets; (iv) Entitlement for compensation; (v) Dispute resolution and grievance procedures; (vi) Procedures for resettlement according to the World Bank OP 4.12, and (vii) Comparison between the national legislation and the World Bank OP4.12. 3.1. Political Economy and Governance in Ethiopia Land rights in Ethiopia do not explicitly provide private property rights. After the Proclamations No. 31/1975 and 47/19756, ownership of land was vested in the State, and Ethiopian citizens were given various forms of use-rights (usufruct) over land and other resources. Accordingly, the 1995 Constitution Article 40(3) recognizes land as a common property of the Nations, Nationalities, and Peoples of Ethiopia and prohibits sale or any other form of 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 labour. This includes crops, perennial crops, trees 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/she builds and to the permanent improvements he/she brings about on the land by his labour or capital. This right shall include the right to alienate, to bequeath, and, where the right to use expires, to remove his property, transfer his title, or claim compensation for it.” Regional states are responsible for administering land, enacting law that is in conformity with the provisions on environmental protection and federal utilization policies (Proclamation No. 89/1997 and Proclamation No. 456/2005 Article 17(1)). Additionally, Zikre Hig Regulation No. 6/2002 provides for the lease holding of urban land for a specific period of time, and also regulates the lease period for different functions, grade of land and payment of lease. 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 6 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. 29 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. The 1995 Constitutions Articles 40(4) and 40(5) provide free land without payment to farmers and pastoralists. Lastly, Proclamation No. 80/1993 allows companies to attain access to land through auction, allocation, or lottery, similar to individuals. Overall, the Constitution protects against unlawful seizure of property, stating “Everyone shall have the right to his privacy and physical integrity. This right shall include protection from searches of his person, his home, his property and protection from seizure of property under his possession” (1995 Constitution Article 26). “Landholder” means an “individual, government, or private organization or any…other…organ which has legal personality and has lawful possession over the land to be expropriated and owns property situated thereon” (Proclamation No. 455/2005 Article 2(3)). The key institutional actors involved in resettlement are the local governments of Ethiopia at the Woreda (Woreda Compensation and Resettlement Committee - CRC) and Kebele (Kebele CRC) levels. This keeps in line with the Government’s policy of decentralization. The responsibilities of the federal and regional governments are confined to the actual project implementation. Agencies that tend to be included are the Federal Ministry of Finance and Economic Cooperation and regional counterparts, the ministries associated with the sector of the project like the Ministry of Livestock and Fisheries in this case. For the detail of the responsibility of the CRCs, see section 6.2 (RAP/ARAP implementation agencies) of this RPF. 3.2 Property and Land 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. Under Proclamation No. 455/2005, purchases of land and other assets are established in detailed procedures and time limits where land could be acquired after a request is received from the proponent along with compensation. The 1995 Constitution of Ethiopia, Article 40(2), 40(4), 40(5) and 40(8) includes provisions that protect the Ethiopian citizen’s rights to private property and set conditions for expropriation of such property for state or public interests. For immovable property built on land, the Constitution states that “Every Ethiopian shall have the full right to the immovable property he builds on the land and to the improvements he brings about on the land by his labour or capital.” According to Article 40(8) of the Constitution, the State may expropriate private rights over land: “without prejudice to the right to private property, the government may expropriate private property for public purpose” with prior payment of adequate compensation. Again, Article 44(2) of the 1995 Constitution stipulates that all people who have been displaced or whose livelihoods have been adversely affected as a result of State 30 programs shall have the right to receive adequate monetary or other alternative compensation, including transfer with assistance to another locality. 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 titleholder 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. The implementing agency is responsible for gathering data on the land needed and works, and sending this to the appropriate officials for permission. It is also required to compensate affected landholders (Proclamation No. 455/2005 Article 5). For example, regarding the removal of utility lines, the relevant government body must give a written request to the affected institution, and this body must determine a fair compensation within 30 days (Proclamation No. 455/2005 Article 6). Compensation must be paid within 30 days of the receipt of the valuation, and the institution must vacate the land within 60 days of receipt of compensation. 3.3 Acquisition of Land and Valuation of Assets The Ethiopian legislation (Proclamation No. 455/2005, and Regulation No. 135/2007) clearly indicates the method for inventorying and valuing of those assets that deems eligible for compensation through proclamations and regulations. 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 located 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. This process ensures that replacement value or market value is used to compensate the PAPs as required by the World Bank’s OP4.12 and that the affected person is not worse off. 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, 31 the law does not take into account depreciation values. The landholder is entitled to be compensated for the property on the basis of replacement cost based on current market price to rebuild or replace the property impacted. Permanent improvements to the land, equal to the value of capital and labour 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 “should 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 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). 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, labour 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. A more detailed instruction for compensation is included in Directive No. 135/2007. The formula for calculating the amount of compensation payable in accordance with the Proclamation and the Directive 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 2. Compensation for crops = the total area of the land (in square meters) x value of the crops per kilo gram x the amount of crops to be obtained per square meter, plus cost of permanent improvement on land 3. Compensation for unripe Perennial Crops = number of plants (legs) x cost incurred to grow an individual plant, plus cost of permanent improvement on land, 4. Compensation for ripe Perennial crops = the annual yield of the Perennial Crops (in Kilograms) x the current price of the produce of the perennial crops, plus cost of permanent improvement on land 5. Compensation for relocated Property = cost of removal, plus cost of transferring, plus cost of reinstallation, 6. Compensation for protected grass = area covered by the grass per square meter x the current market price of the grass per square meter 32 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)). Urban immovable assets include residential houses, business installations, institutional structures, stores, fences and public service providing installations. In rural areas, these 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, a 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 relevant local administration is required to provide another piece of land to any person who lost his/her land in favour 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. 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 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 located 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. 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 Ministry of Agriculture and Natural Resources, the Ministry of Livestock and Fisheries in connection with this project 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). ➢ All LFSDP subprojects intervention shall go through Environmental and Social impact screening as per the ESMF and RPF. For subprojects confirmed to have adverse impact, socio-economic survey will be conducted to determine scope and nature of 33 impact due to the intervention of proposed sub-project. Then Resettlement Action Plan (RAP) or Abbreviated Resettlement Action Plan (ARAP shall be prepared to address the adverse impacts and key social issues. ARAPs/RAPs will be provided to the Woreda or Regional Environment, Forest and Climate Change Bureau (REFCCB) respectively, depending on the scale of the subproject and its Involuntary Resettlement impact, for review and clearance for each LFSDP Subproject to be considered eligible for Bank financing. The outline of RAP is provided in Annex 3. ➢ The project will explore alternative design and site to avoid physical relocation and property losses, and where it is not feasible to avoid relocation, property losses and restriction of access to natural resources, a RAP/ARAP shall be prepared to mitigate (The outlines of RAP and ARAP are provided in Annex 3 and Annex 4 respectively). ➢ For all subprojects/household-based interventions which pass through areas inhabited by vulnerable groups, underserved peoples, ethnic minorities and potential adverse impact should be identified and given special considerations during the sub project screening and site specific RAP/ARAP/LRP preparation. The generic LFSDP related potential social impacts and mitigation measures are included in the complementary Social Assessment as potential risk and mitigation measures. 3.4. Entitlement for Compensation The people of Ethiopia are given the right to improved living standards and sustainable development and the right to be consulted with respect to policies and projects affecting their communities (1995 Constitution Articles 43(1) and 43(2)). Additionally, all international agreements and relations by the State must protect and ensure Ethiopia’s right to sustainable development (1995 Constitution Article 43(3)). Lastly, the 1995 Constitution Article 44 guarantees the right to a clean and healthy environment. Eligibility for compensation is discussed in Article 44(2) of the 1995 Constitution and Proclamation No 455/2005. These gives entitlement only to those who have formal legal rights over their land holdings (properties). 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.” According to Article 7(1) and (2), “a landholder whose holding has been expropriated shall be entitled to payment of compensation for his property situated on the land and for permanent improvements he/she made to the land”. “The amount of compensation for property situated on the expropriated land shall be determined on the basis of the replacement cost of the property”. 34 The 1995 Constitution Article 40(8) provides that “without prejudice to the right to private property, the State may expropriate private property for public use with the prior payment of adequate compensation.” The words “prior” and “adequate” are in line with the Universal Declaration of Human Rights. This manifests rights to citizens for basic services and programs, including facilities to guarantee education, health, and housing. Persons who have been displaced or whose livelihoods have been adversely affected by a State program are provided, under the 1995 Constitution Article 44, to some form of compensation for their loss. This includes relocation expenses as provided in the Entitlement Matrix. 3.5. Legal Arrangements for Dispute Resolution and Grievance Redress Procedures The constitution provides a broad framework for systematizing Grievance Redress Mechanism concept with its emphasis on respect for human rights and fundamental freedom, especially the right of access to justice, rule of law and democratic governance. Based on the provisions of the Proclamation 455/2005 and regional/city directives has put in place grievance redressing mechanisms. In local governments where complaint hearing organ is not established, a complaint regards to amount of compensation shall be submitted to a regular court (Proclamation 455/2005 article 11 (1). 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. A decision is made based on the time stated on directives to be issued by respective local governments. An appeal is made to a regular appellate court or municipal tribunal court (Proclamation 455/2005 11 (4), by a dissatisfied party. However, before a grievance is officially made, the department responsible for valuation at woreda level revises the valuation process based on logged complaint7. Unsatisfied appellant proceeds to the grievance hearing section, which hierarchically reaches up to the zone level. If an appeal is not addressed as per the interest of the appellant, the case can be taken to a regular court. An appeal to regular appellate court must be made within 30 days of the administrative decision. The court’s decision is final. However, an appellant could take the case to High Court in relation to procedural issues like the amount of compensation, delays in payment and related cases. According to the regulation 455/2005, execution of an expropriation order will not be delayed due to complaint regarding compensation payments, thus a person can only appeal after showing proof that he /she has handed over the property to appropriate organ. Even if the city’s grievance redress system looks straight forward and the city claims appeals are few in number, scaling up of the redevelopment/renewal scheme is likely to create congestion and backlog on the existing grievance redress system. To avoid such cases, to make the existing practice more transparent 7 According to directive 19/2014, clearly states that to minimize complaints from PAPs and transparency, observers are elected by PAPs (at least ¾ of PAP should be present during the election) to observe the inventory of assets. Data collected at this level are entered in to an automated formula to estimate the value of an asset. 35 and participatory and expedite grievance hearing, project level, community based, - compensation, resettlement and grievance hearing -community should be introduced/established. This committee will remain functional throughout the project implementation phase. Composition, Roles and responsibilities, will be defined by the RAP. 3.6. World Bank’s Operational Policies and Procedures for Involuntary Resettlement (OP 4.12) The World Bank’s Safeguard Policy OP 4.12 applies mainly to Components A and B of LFSD and to all economically and/or physically affected persons regardless of the number of people affected, the severity of impact and the nature of land holding. The OP 4.12 further requires particular attention to be given to the needs of vulnerable groups such as those who are below the poverty line, landless, elderly, women and children, indigenous groups, ethnic minorities and other disadvantaged persons. The World Bank’s Policy requires that a site specific resettlement action plan, RAP shall be prepared and cleared by the Bank prior to implementing resettlement activities. The Bank also requires that the provision of compensation and other assistance to Project Affected Persons, to restore livelihoods when these are affected appreciably, shall be done prior to the displacement of people. In particular, the policy requires that possession of land for project activities may take place only after compensation has been paid. 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. 3.7. Comparison between the National Legislation and the World Bank OP 4.12 There are some gaps between Ethiopian laws and regulations and the requirements for resettlement as laid out in OP 4.12. In some cases, the Ethiopian laws and regulations are not compatible with the Bank’s OP 4.12 provisions. Below is a short discussion of the most important differences. While OP 4.12 requires that compensation be completed prior to the start of the project, there are no similar timetables set out in Ethiopian laws or regulations. There is no provision in the Ethiopian laws for relocation assistance, transitional support, or the provision of civic infrastructure under Ethiopian law. According to the Proclamation 455/2005, the landholder whose land to be expropriated shall handover the land within 90 days from the date of payment of compensation. OP 4.12 requires that affected communities be consulted regarding project implementation and resettlement. Affected communities should also receive the opportunity to participate, implement, and monitor resettlement. However, Ethiopian law states that, when it is determined that a right of way must be established, the expropriation rights of the State take precedence, although the Constitution protects the individual’s use-rights. 36 However, no specific provision is made in the Ethiopian laws (proclamation 455/2005 and regulation 135/2007) to accommodate the potential adverse impacts of development projects for the vulnerable groups such as women, children, the elderly, historically disadvantaged ethnic minorities, the landless, and those living under the poverty line. These groups are at highest risk to experience negative effects due to resettlement, and should receive special consideration during the preparation of a site specific resettlement action plan to assure that they can maintain at least the same standard of living after displacement takes place. Finally, there is also no provision in the law that the state should attempt to minimize involuntary resettlement. However, this appears to be implicit in the country’s Constitution. Ethiopian law does not make any specific accommodation for squatters or illegal settlers, other than recognition of some use-rights, such as when settlers can claim rights to the land. This could be addressed, through Squatters or illegal settler’s entitlement to the impact on the property, and resettlement assistance including moving allowance and livelihood restoration. To bridge the gaps mentioned above and address the negative impacts of the resettlement activities on these groups, the following strategies will be followed: ➢ Capacity building training on different technologies, and technical support to participate/engage in different livelihood activities; ➢ Participate in different income generating/livelihood activities that LFSDP will create; ➢ Create access to finance/credit to participate/engage in different livelihood activities; ➢ Follow-up and monitoring of the resettlement and livelihood restoration activities. 37 Table 5: Comparison of Ethiopian Legislation and World Bank’s Operational Policy Theme World Bank Op 4.12 Ethiopian Legislation Comparison Recommendations to Address Gaps Policy World bank OP4.12 has overall Proclamation No 455/2005 The World Bank requirement for World Bank OP 4.12 Objectives policy objectives, requiring that: (Article 3(1)) gives power avoidance or minimization of overall objectives shall be to Woreda or urban involuntary resettlement is not applied to avoid or Involuntary resettlement should be administrations to written into Ethiopian minimize involuntary avoided wherever possible, or “expropriate rural or urban legislation. Proclamation No resettlement to ensure minimized, exploring all landholdings for public 455/2005 does not indicate resettlement program is alternatives. purpose where it believes consultation with displaced sustainable and includes that it should be used for a persons throughout the meaningful consultation. Resettlement program should be better development. This is resettlement process, rather only sustainable, include meaningful supported by Article 51(5) allows for a complaints and consultation with affected parties and Article 40(8) of the grievance process. Although and provide benefits to the affected 1995 Constitution. Proclamation No 455/2005 parties allows for some form of support Proclamation No 455/2005 to the displaced persons, it does Displaced persons should be (Article 7(5) states that “the not explicitly state that assisted in improving livelihoods cost of removal, livelihoods should be restored to etc or at least restoring them to transportation and erection previous levels or improved. previous levels shall be paid as compensation for a property that could be relocated and continue to serves as before.” 38 Theme World Bank Op 4.12 Ethiopian Legislation Comparison Recommendations to Address Gaps Notification Article 10 of World Bank OP4.12 Article 4 of Proclamation Article 3 of Proclamation No. Displaced person should period /timing requires that the resettlement No 455/2005 requires 455/2005 requires any always be paid of activities associated with a sub - notification in writing, with landholder who has been served compensation and support displacement projects are linked to the details of timing and with an expropriation order to before the land is handed implementation of development compensation, which hand over the land to the woreda over, as per World Bank program to ensure displacement or cannot be less than 90 days or urban administration within OP 4.12. restriction of access does not occur from notification. It 90 days from the date of before necessary measures for requires that land should be payment of compensation or, if resettlement are in place. In handed over within 90 days he refuses to receive the particular, taking of land and of payment of payment, from the date of related assets may take place only compensation payments. If deposit of the compensation in a after compensation has been paid there is no crop or other blocked bank account in the and where applicable, resettlement property on the land, it name of the woreda or urban sites and moving allowances have must be handed over within administration as may be been provided to displaced persons. 30 days of notice of appropriate. Article 4 states that expropriation. It further where there is no crop, perennial gives power to seize the crop or other property on the land through police force expropriated land, the holder should the landholder be shall hand over the land to the unwilling to hand over the woreda or urban administration land within 30 days from the date of receipt of the expropriation order Eligibility for Those who have formal legal rights Proclamation No 455/2005, According to World Bank World Bank OP/BP 4.12 Compensation to the land; Article 7(1) allows’ OP4.12, eligibility for eligibility measures will be landholders’ to be eligible compensation is granted to used to bridge this gap as Those who do not have formal for compensation, where “affected parties". Ethiopian in column 1 of this table. legal rights to land, but have a the term “landholder” Legislation only grants claim to such land; and (Article2(3) means” an compensation to those with OP 4.12, explicitly states individual, government or lawful possession of the land, that those without legal Those who do not have title on affected land will private organization or any and as per Proclamation No 456, recognizable legal right or claim to be compensated for their 39 Theme World Bank Op 4.12 Ethiopian Legislation Comparison Recommendations to Address Gaps the land other organ which has legal those with communal lands as structures and may qualify personality and have lawful presented under definition 12. It for other resettlement and possession over the land to therefore does not recognize rehabilitation assistance, at be expropriated and owns those without a legal right or replacement cost. property situated thereon” claim as eligible for compensation. Land for land According to the World Bank OP 4 According to Proclamation The World Bank policy clearly The LFSDP RPF document replacement 12, land for land replacement is the No. 455/2005, article 8 states the preference to offer acknowledges in an event preferred option for Displaced sub-articles 3 and 4, land “like to like” (eg. Land for land, where there is a Persons (DPs) who rely on and opt for land compensation will or house for house) discrepancy between the to continue with land-based be applied to PAPs who compensation over cash national law and WB livelihood. And DPs losing more might lose their land who compensation; Whereas it is OP 4.12 guidelines, than 20% of their total agricultural rely on and opt to continue conditional in Ethiopian law, as the WB policy prevails. land are entitled to a land with land-based livelihood. it is stated: “Where the woreda replacement option based on their administration confirms that a choices. substitute land which can be easily ploughed and generate comparable income is available for the land holder”, that replacement land will be provided. Compensation World Bank OP 4.12 Article 6(a) Article 7 of Proclamation The World Bank requirement for The World Bank requires that displaced persons are No. 455/2005 entitles the compensation and valuation of requirements for provided with prompt and effective landholder to compensation assets, states that compensation compensation must be compensation at full replacement for the property on the land and relocation must result in the followed, as per OP 4.12 cost for losses of assets attributable on the basis of replacement affected person must have footnote 1, which states, directly to the project. If physical cost; and permanent property and a livelihood “Where domestic law does relocation is an impact, displaced improvements to the land, returned to them to at least not meet the standard of persons must be provided with equal to the value of capital equivalent standards as before. compensation at full 40 Theme World Bank Op 4.12 Ethiopian Legislation Comparison Recommendations to Address Gaps assistance during relocation and and labour expended. This is not clearly stated in local replacement cost, residential housing, housing sites Proclamations. It is expected that compensation under and /or agricultural sites to at least Where property is on urban the regulations and directives domestic law is equivalent standards as the land, compensation may will provide more clarity and supplemented by additional previous site. Replacement cost not be less than clearer guidance in this regard. measures necessary to does not take depreciation into constructing a single room meet the replacement cost account. In term of valuing assets. low cost house as per the standard” If the residual of the asset being region in which it is taken is not economically viable, located. It also requires that the cost of removal, transportation and erection will be paid as compensation for a relocated property continuing its service as before. Valuation formula are provided in Regulation No. 135/2007 Responsibilitie According to OP4.12, Article 14 Article 5 of Proclamation The process required for the As per the World Bank s of the and 18), the borrower is No 455/2005 sets out the project proponent / requirements, project project responsible for conducting a census responsibilities of the implementing agency lacks processes included proponent and preparing, implementing, and implementing agency, descriptive processes in local screening, a census, the monitoring the appropriate requiring them to gather legislations... development of a plan, resettlement instrument. Article 24 data on the land needed and management of states that the borrower is also works, and to send this to compensation payments responsible for adequate the appropriate officials for and monitoring and monitoring and evaluation of the permission. If also requires evaluation of success. It activities set forth in the them to pay compensation must also include proper resettlement instrument. In to affected landholders. consultation with the addition, upon completion of the affected parties throughout 41 Theme World Bank Op 4.12 Ethiopian Legislation Comparison Recommendations to Address Gaps project, the borrower must the process. undertake an assessment to determine whether the objectives of the resettlement instrument have been achieved. This must all be done according to the requirements of OP4.12. Article 19 requires that the borrower inform potentially displaced persons at an early stage about the resettlement aspects of the project and takes their views into account in project design. 42 4. Stakeholder Participation and Consultation Summary In order to create community awareness about the project, it was crucially important to carry out consultations with various community groups such as women, youths, cooperative members, elders and religious leaders, as well as historically underserved peoples and ethnic minorities. The consultations provided the opportunity to enhance community understanding and appreciation of the significance of the project and the social and economic benefits it entailed, build the trust of target beneficiaries, and secure their acceptance and support for its smooth implementation. Community consultations were conducted primarily with the objective to prepare an acceptable RPF based on the assessment of LFSDP sub-project activities that may involve land acquisition and involuntary resettlement, while at the same time ensuring consistency with OP 4.12 requirements the World Bank. Accordingly, the consultations enabled beneficiary groups to prioritize their felt needs and concerns, and express their views on anticipated risks and benefits, thereby strengthening their interest and commitment to fully participate at all phases of the project management. In order to create community awareness about LFSDP, it was crucially important to carry out consultations with various community groups such as women, youths, cooperative members, elders and religious leaders, as well as historically underserved peoples and ethnic minorities. The consultations provided the opportunity to enhance community understanding and appreciation of the significance of the project and the social and economic benefits embedded, build the trust of target beneficiaries, and secure their acceptance and support for its smooth implementation. Accordingly, the consultations enabled beneficiary groups to prioritize their felt needs and concerns, and express their views on anticipated risks and benefits, thereby strengthening their interest and commitment to fully participate at all phases of the project management. Based on the public and other stakeholder consultations held with the relevant regional and woreda level experts and various local groups, the sub-project activities with a high likelihood of potentially causing the loss of land and/or assets to the intervention, individually held or otherwise are the following: • Construction/rehabilitation of Technical and Vocational Training Center • Upgrading Farmers Training Center • Rehabilitation of the Jersey Farm • National Training Centre on Poultry • Commercial forage seed and forage production; • Intensive dairy farming; 43 • Investment in cooperative/commercial feedlots, agro-parks; • Community and/or commercial ranches; • Small/big slaughter houses and export abattoirs; • Small-scale chicken abattoirs • Building for Fish or Poultry hatchery • Shelter, storage facilities for forage, small barns • Water resources development/water point construction projects; • Large-scale aquaculture ponds and other fishery infrastructures; • Improved housing and storage for semi-intensive dairy and fattening cooperatives • Slaughtering area (intermediate) and rehabilitation of cattle / small ruminants small-scale abattoir (advanced)Livestock/poultry shades; • Market centers/shades. General Concerns, Views and Recommendations on Priority Value Chains Concerns were expressed about the possible repeat of past experiences, where the local populations were informed about the imminent launch of development projects. But the announced interventions never materialized after high expectations were raised among the people through the promises made by the authorities. Hence, projects should be properly planned involving target communities from design to evaluation, so that they are not only talked about, but will also be implemented to their benefit as promised. The failure to undertake widely publicized projects will lead to complaints and loss of trust by the communities about similar future initiatives. Smallholder farmers in the project woredas of underserved regions (Benishangul-Gumz and Gambella) emphasized the need for continuing consultations with target communities at all important levels during the life of the project. It is usual for projects to be implemented without keeping beneficiaries adequately informed and actively involved. They reiterated that consultations should not be a one-off exercise and instead be done on a regular basis. Moreover, concerns were expressed regarding continuity and timeliness in the provision of services, inputs and assets by value chain in the course of the project. A further possible risk facing the project identified by smallholder farmers is what they described as the present haphazard and unplanned land allocation. Abundant land is available in Beneshangul-Gumz and Gambella regions, as they put it. But considerable work needs to be done to make sure that the political leadership allocate land in a responsible and accountable manner, with a view to manage land for sustainable and value added generation of resource. In this respect, concern is widely shared by farming communities that a sufficient amount of available land may not be set aside for the livestock development projects, and so there is a need to seek ways of getting this addressed. 44 The ownership of the project particularly by the political leadership of the concerned regional government sector bureaus down to woreda and kebele offices was discussed as a possible risk factor for the success of the project. It was reiterated that executive sector stakeholder involved in steering committees needed to exhibit strong commitment, in-depth knowledge about the intervention and the desire to contribute to effective project management for the achievement of the intended outcomes. In sum, the community consultations enabled participants to prioritize their felt needs and concerns in connection with the selected value chains in the project. • Community members highly appreciated the focus of the project on empowering women and youth and contributing to fair resource distribution among these groups. They acknowledged that many of the value chains identified by the project offered opportunities for historically disadvantaged groups to productively engage in and benefit from the range of sub-projects supported by the intervention. • Landless and unemployed youths have high chances of being productive and making fast progress in an organized venture, because of being energetic, enthusiastic and quick to learn. As for young girls, female household heads and elderly women who are resource poor, these can be supported to effectively engage in poultry raising. Poultry production does not require a lot of working capital and large area of land, and brings returns faster, which makes it fit particularly for resource poor community members. As a result, such women are likely to become successful in poultry raising, if the project gives them access to credit with affirmative action/preferential treatment. Not demanding high labor, it is a venture in which women and the elderly can engage with relative ease. • Women in project woredas of DRS stated, they had limited exposure to animal raising practice and that the project should support them with the provision of access to acquiring the necessary knowledge, skills, and methods of managing dairy farm and animal fattening. • The major concerns raised during the consultations as risks requiring mitigation interventions focused on weak market linkages and unprofitability of product selling prices, the scarcity and unaffordability of concentrate animal feed supplies, short supply of improved variety and exotic breeds, and the limited availability of suitable land/work space for dairy, poultry and fattening. • In connection with lake fishing, the main concerns raised as risks related to overfishing, the use fishing nets that fail short of the required national legal standards, the pollution lakes, the consequent threat posed to the fish resource. siltation resulting from the expansion of crop cultivation of the lake buffer zones, the absence of laws or the non- enforcement of existing ones. • It may thus be concluded, based on the range of community consultations held in all sample woredas, that the concerned local communities have assured with certainty their 45 interest, commitment and broad support for the project. They have affirmed their readiness to fully participate in the project and contribute their part to its success. 46 5. Estimated Populations, Nature of Displacement and Categories of Project Affected People (PAPs) This Resettlement Policy Framework considers project affected people as those who stand to lose as a consequence 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 might occur through land expropriation and restricted or reduced access to important livelihood resources. 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 or not they have legal title to the land. Particular 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. Even if, the participating regions and proposed sample woredas are known, at this stage, as the scope and number of sub projects are not defined, the number of PAPs and the required land for such projects cannot be estimated. Thus, the adoption of a framework approach to manage involuntary induced land take by any of the LFSDP sub projects. The activities in LFSDP that are expected to have some land acquisition or restriction of access are presented in the table below: 5.1. Categories of Project Affected Peoples (PAPs) 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 individuals These are individuals whose assets may be lost, including land, property, other assets, and/or access to and use of natural and/or economic resources as a result of activities related to sub- project(s). Project affected households These are groups of PAPs in one household and where one or more of its members are directly affected by LFSDP. These include members like the head of household, male, and female members, dependent relatives, tenants, etc. 47 Underserved Peoples and Vulnerable Groups 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 (including properties rented from Kebele and used as source of income). Therefore, land acquisition might impact their lives adversely. From these households, LFSDP will use the vulnerability context analysis to identify the and vulnerable groups and the social analysis provided in the complementary Social Assessment to target the underserved peoples. The National Social Protection Policy identified vulnerable groups encompassing 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. Similarly, households with elderly or seriously ill persons are eligible for additional support. Generally, the LFSDP will ensure that its activities have not differentially impacted these segments of the population. 5.2 Number of PAPs It is not possible to determine the number of Project Affected People (PAP) at this stage in the project as the number of sub-projects and specific sites have not been determined. 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 sub-projects have been identified. The individual sub-projects of LFSDP activities will be identified during project implementation by local communities in a participatory process. For each sub-project, which might require physical and/or economic resettlement, the number of PAPs will be established through a RAP/ARAP preparation which will be elaborated before the start of any sub project implementation. 5.3 Eligibility Criteria for Various Categories of PAPs The involuntary taking of land results in relocation or loss of shelter; and loss of assets or access to assets or loss of income sources or means of livelihood, whether or not the PAPs must move to another location or not. 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. Eligibility Criteria Both Article 44(2) of the 1995 Constitution and Proclamation No 455/2005 present Ethiopian legal framework for eligibility for compensation. These two legal documents give entitlement 48 only to those who have formal legal rights over their holdings (properties). 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. To ensure the interest of project affected persons and mitigating the negative impacts of the projects, this RPF was prepared based on the existing national laws on expropriation and compensation payments and World Bank’s involuntary resettlement policy. Whenever conflicts arise between the Ethiopian laws and World Bank’s policy provisions with the higher and more inclusive standard for the PAPs will be used. Whenever, there is no agreement on the higher standard the World Bank policy prevails. Eligibility to Land for Land Compensation Article 8 sub-articles 3 and 4 of Proclamation 455/2005 grants land for land compensation to PAPs who might lose their land with formal/legal use rights over the land. 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 to that individual or household. 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 are public toilets, market places, school buildings and health centres, religious centres, or access to alternative source of natural resources to restore their livelihoods (including community grazing lands, social activity areas) and other ventures identified as viable. The rationale for this is to ensure that the pre-project socio-economic status of communities where adversely impacted, is also restored through the alternative livelihoods provided. Most sub-projects of LFSDP 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. 49 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 following national legislations: 1. Proclamation No 455/2005 - Expropriation of Landholdings for Public Purposes and Payment of Compensation which establishes the legal principles and framework for expropriation and compensation. 2. Council of Ministers Regulations No. 135/2007, on the Payment of Compensation for Property Situated on Landholdings Expropriated for Public Purposes which provide the procedures for application of Proclamation No 455/2005. According to Proclamation No 455/2005, for PAPs who lose their property, they will be compensated for the property they lost including for permanent improvements they 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 without factoring depreciation. 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. Displaced persons without legal title: In order to mitigate the adverse impacts of land take for people without legal title LFSDP will ensure duly assessed compensation to the property lost based on replacement cost without considering depreciation, access to the salvage material, opportunity to maintain their livelihood and relocation assistance that cover costs of relocation plus assistance to find alternative accommodation preferably in the community of residence. Additional measures include, ✓ Capacity building training in different technologies and technical support to participate/engage in different livelihood activities; ✓ Will be targeted in livelihoods restoration activities as articulated in the Livelihoods Restoration Section 8.6 below, as relevant for these groups; ✓ Rehabilitation assistance if required assistance with job placement, skills training; ✓ Participate in different income generating/livelihood activities of LFSDP; ✓ Create/facilitate access to finance/credit to participate/engage in different livelihood activities. Note: It is anticipated that LFSDP will, as part of the ESMF/RPF screening and project preparation processes, investigate closely potential project impacts on farmers’ livelihoods and fixed improvements to the land, so as ensuring negative impacts are avoided or minimized and 50 the assistance indicated above (i, ii, and iii) must be provided as a package to improve, or at least restore, lost livelihoods. Compensation for temporary losses: Households facing temporary loss of land will be treated as per the provision of Proclamation 455/2005 and the details provided in the Entitlement Matrix in Table 6 below, as the specific nature of LFSDP project activities require which is not now determined. According to Proclamation 455/2005 (Article 8 (2), a landholder whose landholding has been provisionally expropriated, shall be paid until repossession of the land, compensation for lost income based on the average annual income secured during the five years preceding the expropriation of the land. Entitlement for Compensation In Ethiopia, eligibility for compensation is given only to those who have formal legal use rights over their land holdings (properties). 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. According to Article 7 (1 & 2), a landholder whose holding has been expropriated shall be entitled to payment of compensation for his/her property situated on the land and for permanent improvements he/she made to the land. The amount of compensation for property situated on the expropriated land shall be determined on the basis of the replacement cost of the property. Compensation Entitlement Matrix for Various Categories of PAPs Based on the comparison between Ethiopian Law and World Bank OP/BP 4.12, compensation entitlement matrix has been consulted up on and agreed. Based on the consultation, the entitlement matrix has options to bridge the gaps between the requirements under Ethiopian Law and the World Bank OP/BP 4.12. Some issues in the entitlement matrix will be revised or determined at the time the resettlement plans are being negotiated and prepared. 51 Table 6-Entitlement Matrix Type of Loss Types of Impact Category of PAPs Compensation Entitlement/Benefits Agricultural • PAPs permanently losing less than Title holder • Cash compensation for the harvest or product from the affected land or land 20% of landholding affected (Land (farmer) asset, equivalent to ten times (ten years) the average annual income remains economically viable) s/he secured during the five years preceding the expropriation of the Renter/ Lease • land. compensation for the harvest or product from the affected land or Cash holder asset, equivalent to ten times (ten years) the average annual income s/he secured during the five years preceding the expropriation of the land. • PAPs permanently losing greater Title holders • Cash compensation for the harvest or product from the affected land or than 20% of landholding lost (Farmer) asset, equivalent to equivalent to ten times (ten years) the average (Land does not become annual income s/he secured during the five years preceding the economically viable) expropriation of the land. • Replacement land of same value of land lost and at location acceptable to PAPs where feasible. • Land for land replacement will be in terms of a new parcel of land of equivalent size and productivity with a secure tenure status at areas/ location acceptable to PAPs. Transfer of the land to PAPs shall be free of taxes, registration, and other costs. • Relocation assistance (costs of shifting, plus assistance in re- establishing economic trees, plus allowance up to a maximum of 12 months while short- term crops mature) Renter/Lease holder • Cash compensation equivalent to ten times (ten years) the average annual income s/he secured during the five years preceding the expropriation of the land. • Relocation assistance (costs of shifting, plus assistance in re-establishing economic trees, plus allowance up to a maximum of 12 months while short- term crops mature) Grazing land • PAPs land used for grazing Title holder/ farmer • Cash compensation for protected grasses on affected land for ten years. partially affected (Limited loss/ The amount of compensation for protected grass shall be determined on remaining area sufficient for the basis of the productivity of the land and the current market price of 52 Type of Loss Types of Impact Category of PAPs Compensation Entitlement/Benefits continued use) the grass per square meter as outlined in the Council of Ministers Regulation No. 135/200710 Renter/Lease holder • Cash compensation for protected grasses on affected land. The amount of compensation for protected grass shall be determined on the basis of the productivity of the land and the current market price of the grass per square meter • PAPs land used for grazing Title holder/ farmer • Cash compensation for protected grasses on affected land for ten years. severely affected (remaining area The amount of compensation for protected grass shall be determined on insufficient for continued use or the basis of the productivity of the land and the current market price of becomes smaller than minimally the grass per square meter accepted under zoning laws) • Replacement land of same value of land lost and at location acceptable to PAPs where feasible. Land for land replacement will be provided in terms of a new parcel of land of equivalent size and market potential with a secured tenure status at an available location which is acceptable to the PAP. • Transfer of the land to the PAP shall be free of taxes, registration, and other costs. • Relocation assistance (costs of shifting, plus assistance in re- establishing economic trees, plus allowance up to a maximum of 12 months while short- term crops mature) Renter/ lease holder • Cash compensation for protected grasses on affected land. The amount of compensation for protected grass shall be determined on the basis of the productivity of the land and the current market price of the grass per square meter Residential land • Land used for residence partially Title holder • Cash compensation at full replacement cost for affected assets situated affected (limited loss/less 20% of on land. Depreciation will not be considered, so that PAPs will be able holding and remaining land viable to replace the lost property. Renter/lease holder • Cash compensation equivalent to 10% of lease/ rental fee for the 10 The Regulation is attached in Annex-8. It set the principles and eligibility criteria for compensation. Values for the eligible assets are calculated without factoring depreciation based on current replacement cost taken from respective municipality for houses and agriculture office for crops and perennial trees. 53 Type of Loss Types of Impact Category of PAPs Compensation Entitlement/Benefits for present use) remaining period of rental/ lease agreement (written or verbal) • Land and assets used for residence Title holder • Cash compensation at full replacement cost without factoring severely affected (remaining area depreciation or replacement land of same value of land lost and at insufficient for continued use or location acceptable to PAPs where feasible becomes smaller than minimally • Land for land replacement shall be of minimum plot of acceptable size accepted under zoning laws) under the zoning law/ s or a plot of equivalent size, whichever is larger, in either the community or a nearby resettlement area with adequate physical and social infrastructure systems as well as secured tenure status. • When the affected holding is larger than the relocation plot, cash compensation to cover the difference in value will be provided • Transfer of the land by government to the PAP shall be free of taxes, registration, and other costs. • Relocation assistance (costs of shifting, plus assistance in re- establishing economic trees, plus allowance up to a maximum of 12 months while short- term crops mature) Renter/lease holder • Refund of any lease/ rental fees paid for time/ use after date of removal • Cash compensation equivalent to 3 months of lease/ rental fee • Assistance in rental/ lease of alternative land/ property • Relocation assistance (costs of shifting, plus assistance in re- establishing economic trees, plus allowance up to a maximum of 12 months while short- term crops mature) Buildings and • Structures are partially affected Owner • Cash compensation at full replacement cost for affected building and structures (Remaining structures viable for other fixed assets continued use) • Cash assistance to cover costs of restoration of the remaining structure Renter/lease holder • Cash compensation at full replacement cost for affected assets (verifiable improvements to the property by the tenant). • Disturbance compensation equivalent to two months or more rental costs as applicable 54 Type of Loss Types of Impact Category of PAPs Compensation Entitlement/Benefits • Entire structures are affected or Owner • Cash compensation at full replacement cost without factoring partially affected (remaining depreciation for entire structure and other fixed assets without structures not suitable for depreciation, or alternative structure of equal or better size and quality continued use) in an available location which is acceptable to the PAP. • Right to salvage materials without deduction from compensation • Relocation assistance (costs of shifting plus allowance) • Rehabilitation assistance if required (assistance with job placement, skills training) Renter/lease holder • Cash compensation at full replacement cost for affected assets (verifiable improvements to the property by the tenant) • Relocation assistance (costs of shifting) • Assistance to help find alternative rental arrangements • Rehabilitation assistance if required (assistance with job placement, skills training) Squatter/informal • Cash compensation at full replacement cost for affected structure dweller without depreciation • Right to salvage materials without deduction from compensation • Relocation assistance (costs of relocation plus 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) • Rehabilitation assistance if required assistance with job placement, skills training) Perennial crops • Crops affected by land acquisition PAP (whether owner, • Cash compensation equivalent to ten times (ten years) the average or temporary acquisition or renters, or squatter) annual income s/he secured during the five years preceding the easement expropriation of the land. Trees • Trees lost Title holder • Cash compensation at full replacement cost (the compensation cost for the trees will be calculated based on type, age and productive value of affected trees 55 Type of Loss Types of Impact Category of PAPs Compensation Entitlement/Benefits Temporary land • Temporary acquisition PAPs (whether owner, • Cash compensation at full replacement cost for any affected assets for acquisition renter, or squatter) that temporal time period plus compensation for loss of income during the period Loss or Loss of the communal lands: grazing The community, specific Restoration and rehabilitation of the lost communal properties and public relocation of land, market areas; public institutions: religious followers institutions physically; communal lands churches, mosques, public latrines, Pay compensation to restore the lost communal properties and public or structures schools, health posts, etc institutions with full replacement. (e.g. public latrines, markets, churches, etc. Livelihood Loss of income sources or economic All PAPs potentially Restoration or improving of the livelihood of affected PAPs as appropriate restoration bases (land-based or non-land-based eligible through devising income generation activities based on needs assessment; measures livelihoods) Safeguarding the livelihood of vulnerable persons through the provision of special assistances. Special Loss of income source, shelter, assets, or The underserved and Legally, Targetingifsquatters and no they possess asset, other no compensation vulnerable will segments of thebepopulation paid; affected provisions for trees, plants & crops, etc affected by vulnerable group If they possess assets, they by involuntary taking of land will be entitled for compensation with full vulnerable land acquisition.  replacement  cost calculated with updated market value; individuals or they could be targeted with shelter and incorporated in self-support projects. groups Entitled for the livelihood restoration and any rehabilitation support planned for the project affected persons.  56 8.4 Method to Determine Cutoff Date As per the Proclamation 455/2005, the Woreda compensation and resettlement committee (CRC) will set cut-off dates. Once the sub-project has been legally approved and a permit provided, a RAP will be prepared (if required) for the sub-project that may result in involuntary resettlement. The Woreda Compensation and Resettlement Committee (CRC) will set cutoff dates. Therefore, the start of the census date is the cut-off date 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. The cut-off date should be communicated using various forms of media and language appropriate to PAPs. The Woreda Compensation and Resettlement Committee (CRC) will set cutoff dates. Kebele level CRC will also be charged with the responsibility to notify PAPs about the established cutoff date and its significance. The potential PAPs will be informed through both formal notifications in writing and by verbal 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. The establishment of a cutoff date is required to prevent opportunistic invasions/rush migration into the chosen land areas thereby posing a risk to the subproject. Therefore, establishment of a cutoff date is of critical importance. A brief procedure for setting cutoff dates is given in Fig. 1 below. 57 LFSDP subproject area LFSDP subproject identification reviewed and approved CRC decide on the cutoff dates Affected persons communicated properly Community elders Identification of land user’s/ property owners Woreda office of Agriculture, DA, and Kebele Council Valuation of affected assets Figure 1: Procedure for determining cut-off dates and property valuation 8.5 Valuing Affected Assets As described in section 4.3 above, 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. Refer Annex 7, 8, and 9 of this RPF for detail of these proclamations and regulations. 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 2. 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 3. 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 4. 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 58 5. Compensation for relocated Property = cost of removal, plus cost of transferring, plus cost of reinstallation 6. 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 located 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. 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 2 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 5, will be given to PAPs based on a due process of consultation and adequate awareness on the procedure. 8.6 Livelihood Restoration [ The World Bank’s Operational Policy 4.12 requires that displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. ‘Livelihood’ refers to the capacity to gain a sustainable living – a flow of income and wealth accumulation – from a wide range of natural and social resources’. Livelihood improvement, therefore, is not accomplished by compensation for lost assets. The policies clearly state that the displaced should become net beneficiaries of the project that is displacing them, over and above any general benefits accruing to the nation or overall community from the project. LFSDP will implement the following strategies to assist PAPs, in 59 addition to compensation for their asset losses, to improve/restore their livelihood because of implementation of subprojects of LFSDP: ➢ Capacity building training in businesses which they to engage; ➢ Technical support in Business Plan Preparation, and implementation of the businesses; ➢ Organize them in cooperatives and individual owners with land-based or non-land based livelihood income generation alternatives as appropriate; ➢ Provision of material support, working and marketing premises, as per the business plan, to the organized micro and small enterprises (MSEs); ➢ Technically assist to launch the IGAs proposed in each business; ➢ Safeguard the livelihood of vulnerable group through special resettlement assistances, and ➢ Follow-up, supervision and monitoring of the implementation of business. Special Restoration Measures for Vulnerable Group/PAPs- the income restoration measures will also target the vulnerable persons to ensure that they are reasonably assisted to overcome potential economic shock from the project, and maintain the quality of life not less than their pre-project state because they are at higher risk than others based on their vulnerability status. The type of livelihood restoration suitable to each PAP will be identified by the resettlement committee in consultation with PAP. Alternatively, based on the scope of impact, a livelihoods restoration needs assessment and subsequently a livelihoods restoration plan will be prepared as required. 60 9. Organizations, Procedures and Responsibilities 9.1 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 LFSDP 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. These steps are described below. 9.1.1 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 LFSDP 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 LFSDP investment subproject, with the use of the screening tool as attached to the RPF (see Annex 1). This screening will be part of the environmental and social screening process for each LFSDP investment subproject as detailed in the ESMF. It will take place as early in the LFSDP 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 LFSDP IAs for review to Woreda Environment, Forest and Climate Change. If the Screening Report shows that no resettlement is required, the development of an Abbreviated or full 61 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. 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: ➢ 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. ➢ 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 LFSDP investment subproject, or no further documentation is required. Whenever, there is no physical resettlement and economic impacts are induced by the LFSDP activity, the same procedure applies based on the scope of impact and appropriate plans will be prepared. 9.1.2 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. In essence, the census will achieve the following: ➢ Provides initial information on the scale of resettlement to be undertaken; ➢ 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 ➢ Establishes indicators that can be measured at a later date during monitoring and evaluation. The socio-economic survey will be undertaken by the relevant IAs that are proposing the LFSDP investment subprojects with the use of the sample socio-economic survey indicated in Annex 2 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 2. 62 9.1.3 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 as set out in Figure 2 below, and also as illustrated in Box 1 and Box 2. Full descriptions of the RAP and ARAP are provided in Annex 3 and Annex 4 of this RPF respectively. ESMF/RPF Screening No Land Acquisition/Asset loss impact identified Land Acquisition/Asset lose impact identified Standard ESMF process/No further 1 to 99 Individuals are 200 or more individuals RAP or ARAP affected are affected required) • Census affected people and assets • Census affected people and assets • Development of an ARAP • Development of a Resettlement Action Plan (RAP) • Review and approval of the ARAP by the Woreda EPLAUA (most of • Review & approval of the time) or regional EPLAUA RAP by the Region EFCC, NPCU and the WB • Disclosure of the ARAP at the • Disclosure of the RAP through the WB community level and in the WB external website, and at the community level external website. • Delivery of compensation & other entitlements • Delivery of compensation as per as per this RPF, and the specific RAP this RPF and the ARAP Figure 2: Structure for RAP/ARAP Development According to the WB involuntary resettlement policy, 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/or lose 10 percent or more of their productive assets, then ARAPs are acceptable. Preparation of a Resettlement Action Plan (RAP) The preparation of a RAP will be done by the relevant IAs that is proposing the LFSDP investment subprojects, hiring independent consultant, in consultation with the affected parties, 63 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 3 and Annex 4 respectively. 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 i s 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. 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 and restoration of livelihood activities; 5. Detailed budget and implementation schedule; 6. Description of organizational responsibilities; 7. Framework for public consultation, participation, and development planning; 8. Description of provisions for complaints and appeals; and 9. Framework for monitoring, evaluation, and reporting For the detail information for RAP preparation and its detail content, refer Annex 3 of this RPF. 9.1.4 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. This needs to include at a minimum those aspects as set out in Box 2 below: Box 2: Required Elements of an ARAP • A census survey of displaced persons and valuation of assets; • Description of compensation and other resettlement assistance to be provided; • Consultations with displaced people about acceptable alternatives; • Institutional responsibility for implementation and procedures for complaints and appeals; • Arrangements for monitoring and implementation; and 64 • A timetable and budget It is likely that the LFSDP 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. 9.1.5 Review and Submission to Woreda or Regional EFCC Bureau Following completion of the RAP or ARAP for LFSDP investment subproject, the Woreda relevant LFSDP IA together with the Woreda CRC will submit the RAP to the Woreda Environment, Forest and Climate Change (EFCC) Office or the Regional EFSS Bureau (if the scale of the impact is major) 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. 9.2 RAP/ARAP Implementation Agencies A number of government institutions at different level will play a role in the implementation of the RPF and individual RAPs/ARAPs, in line with the general LFSDP institutional arrangements and national legislation. The development and implementation of the RAPs/ARAPs will be the responsibility of Woreda relevant IAs that is proposing LFSDP 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 LFSDP IAs, federal and regional level LFSDP coordination offices also play a key role for the implementation of the RAPs/ARAPs by providing technical supports and capacity building works. Woreda EFCC is the main responsible body in reviewing and approving the RAPs/ARAPs. Based on the screening conducted by the LFSDP, if the scope and scale, if the level of resettlement impact is relatively major, regional level IAs that is proposing LFSDP investment subproject for financing with the support of independent consultant will prepare the RAP/ARAP, and the Regional EFCC, National LFSDP Project Coordination Unit (NPCU) and the World Bank are responsible for the review and approval of the same. For the detail of responsibilities of LFSDP implementing agencies, see table 7 below. 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 for Livestock and Fisheries; Woreda Office of water and irrigation ; Woreda office of Trade and Marketing (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. 65 The Woreda CRCs are responsible for: ➢ evaluating the projects and determining if a RAP is necessary, establishing Kebele level CRCs; ➢ clarifying the polices to the Kebele CRCs; ➢ establishing standards to unit rates of affected assets and compensation estimates according to the guidelines in the RPF; ➢ coordinating and supervising implementation by Kebele CRCs as stipulated in the RPF; ➢ ensuring that appropriate compensation procedures are followed; and ➢ 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 avilable. The Kebele CRCs are responsible for: ➢ validating inventories of PAPs and affected assets; ➢ allocating land where required to permanently affected households; ➢ monitoring the disbursement of funds; ➢ guiding and monitoring the implementation of relocation; ➢ coordinating activities between the various organizations involved in relocation; ➢ facilitating conflict resolution and addressing grievances; and ➢ providing support and assistance to vulnerable groups (women, youth, and other disadvantages groups). 66 Table 7: RAP/ARAP Implementing Agencies and Responsibilities Task Tool Responsibilities Supporting Institutions/Agencies Screening Screening checklist Woreda LFSDP IAs Woreda and Kebele CRC Review and approval of National & the World Woreda EFCC and Woreda and Kebele CRC screening report Bank legal requirements, Woreda Implementing and this RPF Agencies Census and identification of Census Survey form Woreda LFSDP IAs Woreda and Kebele CRC PAPs (Annex 2) Land and asset inventory Land and asset inventory Woreda LFSDP IAs Woreda and Kebele CRC form (Annex 2) Development of RAP/ARAP RPF Woreda LFSDP IAs. If it Woreda and Kebele CRC is a RAP, it will be prepared by Woreda IAs supported with independent consultant Review and RAP/ARAP RPF Woreda and/ or Regional Woreda and/ or Regional approval EFCC, NPCU, and,the LFSDP IAs World Bank RAP/ARAP implementation RAP Woreda LFSDP IAs Regional relevant LFSDP IAs, Woreda/Kebele CRC RAP/ARAP M&E, and List of indicators Woreda and/ or Regional Woreda & regional reporting EFCC, Regional and relevant LFSDP IAs, Woreda LFSDP Woreda/Kebele CRC coordination units 9.3. Institutional and Implementation Arrangements for Safeguards MoLF and livestock and fisheries 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 Units (PCUs) will recruit Environmental and Social Safeguard experts to oversee ESS planning, implementation, monitoring and evaluation and reporting activities of the project. Woreda level implementation structures will include Woreda Project Appraisal Teams (WATs) to be established for each LFSDP Woreda with membership from the Woreda Offices of Livestock and Fisheries, Agriculture, Health, Cooperatives, Women Affairs and Youth 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 67 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 environment, forest and climate change offices or equivalents at all levels. A review of the documents compiled for the preparation of the LFSDP and the findings of the Social Assessment reveal that there is a capacity gap in fully implementing safeguard issues given the lack of experience of MoLF in implementing WB supported projects. Most notably, the absence of separate environmental and social safeguards units in the MoLF is observed as a major capacity gap. The institutional safeguards management approach to minimize the risk of safeguard issues being neglected or undermined and also ensure proper compliance, recruited safeguard experts, engineers and other project staffs as well as woreda 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 LFSDP 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 LFSDP Table 7- LFSDP Implementation Institutional Roles and Responsibilities Institution Responsibilities Ministry of Livestock and • Provides operational guidance to FPCU, RPCU and other implementing entities Fisheries (MoLF) involved to carry out LFSDP safeguards activities and report accordingly to the WB. • Overall responsibility and coordination of the LFSDP implementation • Ensure timely and effective execution of the activities, and in order to monitor progress towards the PDO • Establish one Project Coordination Unit (PCU) at Federal level, supported by PCUs at Regional and Woreda levels • Serve as common coordination bodies of the livestock activities being implemented, or to be implemented by the other World Bank-financed projects operating in the same regions Federal Project • Ensure the overall coordination of the project and will be directly accountable to Coordination Unit the Minister of Livestock and Fisheries or his/her representative. (FPCU) • Advised by the National Project Steering Committees and Project Technical Committees that will also be established at Federal, Regional and Woreda levels. • The FPCU will be headed by a National Project Coordinator to be assigned on a full time basis by the MoLF; • As the LFSDP implementing unit within MoLF, coordinates and manages LFSDP implementation including all day-to-day safeguards requirements, regularly liaising technically with all partner agencies, NGOs and private 68 sector actors involved in OFLP implementation; • Carries out and consolidates safeguards implementation and reporting (assisted by regional counterparts) which will be communicated to the WB through the MoLF; • Implementation of the project will rely on existing Government structures, to assist these structures in implementing the project, partnerships will be established with; a. Private and public service providers, including ATA, b. Private actors, c. Finance institutions and, d. Development partners (DPs) including ICARDA and FAO. Regional Project • Ensure the overall coordination of the project and will be directly accountable to Coordination Unit the Regional Bureau of Livestock and Fisheries or his/her representative. (RPCU) • Advised by the regional Project Steering Committees and Project Technical Committees. • The RPCU will be headed by a Regional Project Coordinator to be assigned on a full time basis by the RoLF. • As the LFSDP implementing unit within RoLF, coordinates and manages LFSDP implementation including all day-to-day fiduciary requirements, regularly liaising technically with all partner agencies, NGOs and private sector actors involved in OFLP implementation. • Carries out and consolidates safeguards implementation and reporting (assisted by Woreda counterparts). • Implementation of the project will rely on existing Government structures, to assist these structures in implementing the project, partnerships will be established with; a. Private and public service providers, including ATA, b. Private actors, c. Finance institutions and, d. Development partners (DPs) including ICARDA and FAO. • The role of Regional Bureau of Livestock and Fisheries in addition to the legally designated responsibility, will further be defined as it relates with the LFSDP through Project Implementation Manual (PIM) which will detail the organizational and technical procedures that will govern the project. • Oversees and ensures appropriate use of OFLP resources by implementing sector entities. Woreda Livestock and • Closely supervises and coordinates planning and implementation of LFSDP Fisheries Office activities in the Woreda; • Ensures that LFSDP achievements and challenges are discussed at Woreda Council meetings thus providing timely administrative and technical support to LFSDP implementation on the ground; • Acts proactively in resolving conflicts whenever these happen during LFSDP implementation in coordination with relevant sector offices; 69 • Ensures LFSDP Woreda coordinator gets the required support from sector offices when such support is required; • Liaises with Development Agents (livestock extension workers at Kebele level) to maintain two ways information flow on safeguards implementation, documentation, monitoring and reporting; • At the woreda level, LFSDP woreda coordinators hosted by the WoEFCC will provide advisory services; • TA to woreda sector offices and communities on safeguards matters, support site monitoring, and ensure local ownership of safeguards instruments, including liaising with the kebele and communities on maintaining a higher link with grant activity objectives; • The LFSDP woreda coordinators will also ensure proper safeguards documentation. Kebele level • The kebele administration with the Development Agent (Livestock extension workers) (a) coordinate inputs and interest into the LFSDP planning and implementation process; (b) assist in identifying livelihood activities along the LFSDP priority value chains; (c) participate in the implementation of the LFSDP activities; and (d) participate in site monitoring. • The Development Agent-Livestock extension workers at the kebele level will assist local communities in identifying potential LFSDP activities based on their needs and priorities through a participatory planning process. • The DAs at the kebele level will screen grant activities against the eligibility criteria and report screening results to the respective WoEFCCs at Woreda level. Table 8-Woreda and Kebele Compensation and Resettlement Committee (CRC) Composition and Responsibility Woreda Compensation and Resettlement Committee Kebele Compensation and Implementing Committee (Rural) • Woreda Administrator • Kebele Administrator (Chairperson); • Woreda Livestock and Fisheries Office • Kebele Development Agent (Livestock and Fisheries • Woreda Women, Children and Youth Office extension worker); • Woreda Heath Office • Representative of PAPs; • Woreda Education Office • Village Elder/Leader (rotating position with one Leader • Woreda Environment, Forest and Climate representing a number of villages and attending in Change Office rotation, depending on the village and affected party • Woreda Land use and planning Office being dealt with); representative • Representative from local NGO or CBO • Representative from local NGO or CBO • Community Representative Responsibilities Responsibilities The Woreda Committees are responsible for: The local Kebele Committees are responsible for: • Evaluating the LFSDPs on the ground investment • Validating inventories of PAPs and affected assets; activities and determining if a RAP is necessary, • Allocating land where required to permanently affected establishing Kebele level households; • Clarifying the polices to the Kebele compensation • Monitoring the disbursement of funds; 70 committees; • Guiding and monitoring the implementation of relocation; • Establishing standards to unit rates of affected • Coordinating activities between the various organizations assets and compensation estimates; according to involved in relocation; the guidelines in the RPF; • Facilitating conflict resolution and addressing grievances; • Coordinating and supervising implementation by and Kebele compensation committees as stipulated in • Providing support and assistance to vulnerable groups. the RPF; • Ensuring that appropriate compensation procedures are followed; and • Overseeing the project’s requirements related to social impacts included resettlement and compensation. 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 SCs, TCs and PCUs; Woreda SCs, TCs and PCUs; 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; • The national environmental and social safeguard policies and related legal and administrative issues; • 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). Proposed approaches to the Capacity building trainings • 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. • 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. 71 • The federal LFSDP coordination unit will organize a TOT for regional project implementing personnel and committee members. • Participants of the TOT will cascade the training to Zone and Woreda experts and members of SCs and TCs; • Trained zone and woreda experts and members of SCs and TCs 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. 10. RAP/ARAP Implementation Procedure and Schedule 10.1 RAP/ARAP Implementation Procedures Following the approval of the subproject RAP/ARAP, the process of implementation must take place. This will involve: • consultation (a continuation of the process entered into during the site selection, screening and RAP/ARAP development process) • notification to affected parties • documentation of assets • agreement on compensation • disclose in country and at the World Bank External site • 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 72 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 (see section 9 of this RPF) 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 LFSDP 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 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 LFSDP 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: • 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); • total landholdings verses affected portion; • inventory of assets affected; • the concerns, worries, and issues of the PAPs related with the resettlement process; and • 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 LFSDP IA lists all property and surrendered 73 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, MoLF, and at the community level using appropriate language. 10.2. RAP/ARAP Implementation Schedule It is essential that the timeframes and action plans associated with the RAPs/ARAPs are linked to the LFSDP implementation schedule. Provisions must be made for compensation and assistance prior to loss of access to the asset or resource. The assistance includes provision and preparation of resettlement sites with adequate facilities. For LFSDP 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 LFSDP 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 LFSDP subproject. 74 11. LFSDP Grievance Redressing Mechanism Operational Guide 11.1. Introduction A grievance is any concern or complaint raised by an individual or a group within communities affected by Livestock and Fishery Sector Development Project (LFSDP) supported activities. LFSDP 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 mechanisms (GRMs) can be an effective tool for early identification, assessment, and resolution of complaints on projects. GRMs are institutions, instruments, methods, and processes by which a resolution to a grievance is sought and provided. It is a way to receive, assess and resolve complaints that may arise from the LFSDP supported activities. Understanding when and how a GRM may improve project outcomes can help both project teams and beneficiaries improve results. GRMs will respond to needs better if they are established early as a measure to preempt rather than react to escalation of tensions with surrounding communities. An adequate social and environmental screening and/or impact assessment process is essential to the success of a GRM. A GRM provides a predictable, transparent, and credible process to all parties, resulting in outcomes that are seen as fair, effective, and lasting. A well-functioning grievance mechanism increases the likelihood that small disputes can be brought to a conclusion relatively quickly before they become deep-seated grievances, keeps ownership of the dispute in the hands of local people, and offers an early, efficient, and less costly way to address concerns. A well-functioning grievance mechanism can also provide valuable feedback to the project management unit by serving as an early warning system for wider problems, yielding insights from individual grievances that spotlight changes that might be needed to LFSDP operations or management systems, indicating possible systemic changes that might be needed to ensure that particular grievances do not recur. The goals of GRM are: 1) open channels for effective communication, 2) demonstrate that LFSDP is concerned about community members and their well-being, 3) mitigate or prevent adverse impacts on communities caused by LFSDP projects activities, 4) improve trust and respect, and 5) promote productive relationships. In LFSDP the activity plans originate from communities and add up to kebele, woreda, regional and federal levels. This ensures availability 75 of suitable avenue to identify major problems in the whole project implementation arrangement along with the possibilities of addressing the problems in the framework of the LFSDP with active participation from the community. Since they are the primary beneficiaries of the project, they are encouraged to participate fully in all aspects of the project including problem/need identification, preparation, work planning, implementation, monitoring, operation and maintenance. Therefore, the planning process follows a bottom-up approach to lay foundation for all of the interventions and to ensure sustainability. Since the whole process is participatory and transparent, the occurrence of complaint is very rare. Even though the existence of complaints is minimal, there should be a mechanism to address unforeseen events. To this effect, it is necessary to establish GRM in LFSDP which provides a transparent, and credible process to all parties, resulting in outcomes that are seen as fair, effective, and lasting. The GRM is an essential part of the safeguard instrument that intends to resolve complaints on the LFSDP subproject activities. It should address complainant concerns and complaints promptly, using an understandable and transparent process that is gender responsive, culturally appropriate, and readily accessible to all segments of the complainant persons. Generally, the Mechanism will ensure that (i) the public within LFSDP investment influence are aware of their rights to access, and shall have access to, the mechanism free of administrative and legal charges, and (ii) concerns arising from LFSDP activity in all phases are addressed effectively. Such kinds of approach are useful, among others, to improve outcomes of LFSDP implementation, help to prioritize supervisions, identify systematic implementation issues and trends, and promote accountability through creating more predictable, timely and results-oriented responses to citizen concerns. Accordingly, LFSDP PCUs (at federal and regional level) are required to set up the mechanism. To this effect, the following approaches will be followed. 11.2. Objective The objective of establishing the grievance redress mechanism in LFSDP is to address any complaint concern and complaints related to LFSDP activity implementation promptly and effectively. 11.3. Scope of Grievance Redress Mechanism The scope of the issues to be addressed in LFSDP GRM will be all complaints arising from LFSDP activity implementations. Any person within LFSDP targeted Woredas who has complaints regarding the activities of the LFSDP subprojects during preparation/designing, implementation and operation phases shall have access to the Mechanism. 11.4. Access to Grievance Redress Mechanism The MoLF/LFSDP Federal PCU in collaboration with concerned regional and woreda (Bureau of Livestock, and Woreda Livestock/Agricultural office) will make the public aware of the GRM through awareness creation forums, training and capacity building. Any person who has complaints regarding the activities of the LFSDP subprojects during preparation/designing, implementation and operation phases shall have access to the Mechanism. Contact details in 76 support of the Mechanism will be publicly disclosed and posted in the offices of concerned woreda offices, Kebele administration, kebele development centers/agriculture office and Farmers Training Centers (FTC). These will also be incorporated in the LFSDP information materials (e.g. reports, magazines, brochures, flyers and posters). 11.5. Grievance Investigation and Resolution Process (GIRP) The MoLF/LFSDP FPCU in collaboration with its regional and woreda counter parts established a clear GRM that allows any person, who has complaints regarding the activities of the LFSDP, to raise issues, feedback and complaints about the effects of LFSDP activities implementation/performance. Complaints can be communicated in written form using the standard complaint form to community subproject management committees (CSMC), to be established for each sub-project. All received complaints and responses given should be documented and copies sent to kebele development committee (KDC). At CSMC level unresolved complaints (if the complainant is not satisfied) will be brought to traditional grievance redress institution (TGRI) (depending on specific locality) and investigated and resolved. All received complaints and responses should be documented and copies sent to KDC, kebele administration and woreda development committee (WDC). Complaints unresolved at traditional grievance redress institution level (if the complainant is not satisfied) will be brought to KDC and investigated and resolved. All received complaints and responses should be documented and copies sent to CSMC leaders and WDC. Complaints unresolved at KDC (if the complainant is not satisfied) will be brought to WDC. At woreda level, all received complaints which were unresolved at KDC level will be reviewed by the WDC and sent to woreda steering committee for investigation and final decision. To this effect, a GRM with clear timeline and responsibility is required at different levels so as to be transparent, accountable and responsive. Accordingly, the steps of the (Grievance Investigation and Resolution Process) GIRP at each level are outlined as follows. 11.6. 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. 77 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 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 LFSDP coordinator at Woreda Office of Livestock/Agriculture records the issues in the registry, assess the appeal or the grievance and will organize meeting(s) for a woreda steering 78 committee. The woreda steering committee will review the decisin 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. World Bank Grievance Redress Services Communities and individuals who believe that they are adversely affected by the World Bank (WB) supported project may submit complaints to existing project-level grievance redress mechanisms or the WB’s Grievance Redress Service (GRS). The GRS ensures that complaints received are promptly reviewed in order to address project-related concerns. Project affected communities and individuals may submit their complaint to the WB’s independent Inspection Panel which determines whether harm occurred, or could occur, as a result of WB non- compliance with its policies and procedures. Complaints may be submitted at any time after concerns have been brought directly to the World Bank's attention, and Bank Management has been given an opportunity to respond. For information on how to submit complaints to the World Bank’s corporate Grievance Redress Service (GRS), please visit http://www.worldbank.org/GRS. For information on how to submit complaints to the World Bank Inspection Panel, please visit www.inspectionpanel.org. 79 12. PUBLIC CONSULTATION PLAN AND DISCLOSURE 12.1 Public Consultation Overview Public consultation and participation is a continuous process which identifies and discusses the key issues and impacts of the proposed project by the stakeholders. The consultation and participation process has different phases that include preparation and planning, implementation and monitoring and evaluation of operations. The level of information which is disseminated or the issues on which consultation takes place vary with the progress of the project process. The public consultation which includes public and community in general could further be divided into two groups that are public at large in the area of influence; and the affected community in the project area by the proposed sub-project activities. The public consultation methods include interviews, questionnaires and Focus group discussions, community meetings, and public hearings. The guidelines for public consultation include, among others, a requirement of major elements of the consultation program that should be timed to coincide with significant planning and decision-making activities in the project cycle. The consultation program may involve both formal and informal presentations and meetings with the target groups, information dissemination campaigns through fliers, posters, and radio announcements; and an opinion survey. During design and implementation, the implementing agencies at the Wereda level along with respective public and private partners will be responsible to carry out continued consultation. The consultation and information dissemination to the key stakeholders will include issues on the following aspects: ▪ The relevant details of the sub-projects; ▪ Community’s feedback on the design of the sub-projects; ▪ Issues of vulnerable groups including gender issues; ▪ Proposed community support activities for overall social development; ▪ The resettlement plan and various degrees of project impact; ▪ Details of entitlements under the resettlement plan and what is required of PAPs in order to claim their entitlements (a copy of the entitlement matrix in local language will be provided to the PAPs as applicable); ▪ Compensation process and compensation rates; ▪ If applicable, relocation and resettlement site development operation in order to obtain agreement and support of affected people in participating in these operations; ▪ Implementation schedule with a timetable for the delivery of entitlements; ▪ Detailed explanation of the established grievance process mechanism; ▪ The implementing agencies shall enlist the help of community leaders and other influential community officials in encouraging the participation of the PAPs in resettlement and community support activities; and, 80 ▪ Finally, they shall attempt to ensure that all vulnerable groups and women understand the process and that their needs are specifically taken into consideration. 12.2 Objectives of the Public Consultations The main objective of the public consultation is to consult the community about the proposed sub-project activities so as to get their support throughout the implementation of the project. The specific objectives of the public consultations on the other hand include the following: ▪ To share fully the information about the proposed project, its component and its activities with the community; ▪ To obtain information about the needs and priorities of the communities, as well as information about their reactions to the proposed polices and activities; ▪ To inform communities about various options on relocation and rehabilitation; ▪ To obtain cooperation and participation of communities in activities required to be undertaken for resettlement planning and implementation; ▪ To ensure transparency in all activities related to land acquisition, compensation payment, resettlement and rehabilitation; ▪ To obtain qualitative as well as quantitative information on viable income generation and livelihood interventions which PAPs could engage themselves, in order to restore their income and livelihood in a self-sustaining manner; ▪ To inform local authorities of all the potential impacts, agreed on a cut-off-date, solicit their views on the project and discuss their share of responsibility for the smooth functioning of the overall project operations. 12.3 Consultation and Participation Process Relocating or compensating people implies communication or dialogue with the stakeholders. After completion of the design or the design review, PAPs will be consulted individually and in groups depending on the context. The consultation and participation process will include four phases: i) data collection; ii) preparation and planning of operations; iii) implementation of operations; and iv) monitoring and evaluation. The relevant Wereda administration offices (or relevant departments) are responsible for coordinating the public participation and consultation process. The description of roles related to consultation along with various phases is described below. 81 12..3.1 Planning Phase Planning and coordination of the tasks of the various actors is the key to successful implementation of the expropriation /compensation arrangements. PAPs will be encouraged to participate in the planning and implementation of the intended program /project. Community Based Organizations (CBOs) also will take part in the consultation process. The following are the major actors proposed to participate in the planning process. ▪ Municipality and Wereda Administration (planning); ▪ PAPs (planning inputs, sounding board and advice-giving); ▪ Kebele Administration (Rural and Urban as required); ▪ CBOs locally based; and ▪ Other concerned bodies as required. Workshops will be organized at Wereda or Kebele level with the relevant stakeholders and government agencies, at project launching and at the commencement of every project identified as having adverse social impacts. The above stakeholders will be requested to participate in the decision making process and provide inputs in the area of their expertise in order to establish a coherent work plan. Also, PAPs will be consulted in an aim to obtain their positions on issues at stake. The requirements of their work programs /business activities will be incorporated into the expropriation /compensation plans. The workshops will focus on: ▪ Taking stock of the legal framework for compensation; ▪ Settling institutional arrangements and mechanisms for payment of compensation; ▪ Defining tasks and responsibilities of each stakeholder, and ▪ Establishing a work plan. The capacity of PAPs, Wereda and municipal authorities, and technicians will be developed while participating in relevant workshops. 12.3.2 Data Collection Phase In the data collection phase, the following organizations and groups are identified as the major actors for its implementation. ▪ Agriculture and Natural Resources Offices located at Wereda level (for agricultural data); ▪ Livestock and Fisheries Office; ▪ Municipalities (housing data); ▪ Rural/Urban Kebele Administration (household data); and ▪ PAPs (provision of other relevant data). 82 The above actors will constitute the main task force in the data collection phase. This process will include consultations with PAPs and other relevant stakeholders. The data collected will serve as an instrument for the monitoring of the social mitigation measures to be implemented. PAPs, including Wereda administration and sector offices (Agriculture desk, livestock and fisheries municipality, the police, and other relevant Offices) will be consulted through individual and group meetings to share information about the project. For example, owners of properties in the proposed LFSDP sites will be informed about actions to be taken and the rehabilitation or the resettlement measures anticipated in order for them prepare for the possible changes. In such meetings, PAPs will be involved and shall participate in the data collection phase by providing socio-economic information about their livelihoods. Their inputs will be integrated into the project implementation process, from the planning to the evaluation phase. The data collection phase will include two major processes: i) Execution of the social impact assessment (to be initiated/completed at project launching); and ii) Establishment of the presumed RAP for projects that would require it (to be initiated or completed before erection works). 12.3.3 Implementation Phase As stipulated in the Ethiopian legal framework and the WB Safeguard Policies (presented in this RPF), development projects should not impoverish the people within the project areas. Rather, the PAPs should gain from the projects and one aspect of their achievement is that adequate compensation should be effected prior to project implementation. The Regional Livestock and Fisheries Bureau and the local government administrations (Wereda, municipality, Kebele authorities, Peasant Associations) and other relevant bodies will conduct the execution of the expropriation/compensation operations. PAPs will be consulted about the compensation arrangements prepared. Amount of cash compensation for the affected property and crops will be presented to each eligible PAP for consideration and endorsement before cash payment or land for land compensation can be effected. On this basis, therefore, the pertinent Weredas or regional entities as the case may be should assign a team that is responsible for the effective and efficient implementation of the compensation estimated as per the valuation methods /techniques. The major actors in the implementation phase and their roles include: ▪ The Regional/Zonal Livestock and Fisheries Bureaus/Offices; ▪ The Ministry of Finance and Economic Cooperation (procurement of funds); 83 ▪ Wereda administration and municipality (facilitating the process of payment of compensation, valuation and compensation committee meetings, execution of compensation and land for land compensation); and, ▪ PAPs (endorsement of arrangements). The Ministry of Livestock and Fisheries, the Regional/Zonal Water, Mines and Energy Bureaus E will take part in follow-up, support and monitoring and evaluation aspects. 84 13. RPF Implementation Budget and Funding Arrangement In the case of LFSDP, any required physical resettlement will be financed through counterpart funds from the Government of Ethiopia and the proceeds from the LFSDP financing cannot be used for payment of compensation, rent or otherwise. At this stage, it is not possible to estimate the exact number of people who may be affected since the technical designs and details have not yet been developed. It is therefore not possible to provide an estimated budget for the total cost of resettlement that may be associated with implementation of LFSDP. However, when these locations are known, and after the conclusion of the site specific socio-economic study, information on specific impacts, individual and household incomes and number of affected people and other demographic data will be available, a detailed and accurate budgets for each RAP will be prepared. An indicative RAP budget outline can be found in Table 10.1 below: Table 9 Indicative Outline of a RAP Budget Asset acquisition Amount Total estimated cost Agency responsible or number Land Structure Crops and economic tress Community infrastructure Land Acquisition and Preparation Land Structures Crops areas and others Community infrastructure Relocations Transfer of possessions Installation costs Economic Rehabilitation Training Special Livelihood restoration for Vulnerable Groups Capital Investments Technical Assistance Monitoring Contingency # Item Costs Assumptions 1 Compensation for loss of Land For land acquisition purposes, based on /hectare Ethiopian average market cost, or from similar projects 85 Asset acquisition Amount Total estimated cost Agency responsible or number 2 Compensation for loss of Crops Includes costs of labor invested and average /hectare of of highest price of staple food crops and farm lost Ethiopian market prices 3 Compensation for loss of access Those affected would be provided with to pastoralists shared access, or alternate routes (decision If applicable agreed through consultation and participation of all) 4 Compensation for loss of access Data provided from the revised socio- to fishing resources. If applicable economic study will determine market values of catch, fish products etc. 5 Compensation for Buildings and This compensation may be in-kind or cash. Structures Costs for basic housing needs should If applicable include ventilated pit latrines, outside kitchen, and storage. 6 Compensation for Trees Includes costs of labor invested and average /year/tree of highest price of trees (and tree products) and Ethiopian market prices 7 Cost of Relocation This cost reflects the moving and /household Assistance/Expenses transportation allowance 8 Cost of Restoration of Individual Assumed to be higher than the GDP/capita Income in Ethiopia 9 Cost of Restoration of Household These costs reflect the livelihood restoration Income program of the RAP 10 Cost of Training Farmers, This is a mitigation measure involving pastoralists and other PAPs capacity building and involves PAPs and affected communities 13.1 Monitoring and Evaluation of Impacts Throughout implementation, LFSDP is required to carry out safeguard monitoring to ensure that the Project brings intended benefits, while ensuring that potential adverse environmental and social impacts are avoided or minimized. Safeguard monitoring will include environmental and social performance reviews by a local consultant contracted to visit a sample of Project woredas each year to assess compliance with safeguard instruments, determine lessons learnt, and provide guidance for improving future performance. Reporting formats will also include indicators on safeguards. Moreover, the RAP team at Woreda level will be expected to develop and implement a Monitoring and Evaluation Plan (MEP). The main indicators that the MEP will measure include: 86 (i) impacts on affected individuals, households, and communities to be maintained at their pre- project standard of living, and better; (ii) improvement of communities affected by the project; and (iii) management of disputes or conflicts. In order to measure these impacts, the RAP identifies the specific indicators to be monitored; define how they will be measured on a regular basis; and identify key monitoring milestones (e.g. at mid-point of the RAP implementation process). The Woreda Office of Livestock and Fisheries (WoLF), with the technical support of RAP team, and woreda project staff are responsible to: • Implement the RAP, monitoring and timely reporting to the Regional Bureau of Livestock and Fisheries. • Provide timely information to the project about all resettlement and compensation issues arising as a result of RAP or ARAP related activities. • Identify any grievances, especially those that have not yet been resolved at the local level and which may require resolution at the higher levels (e.g. by the Regional BoLF); • Document completion of project resettlement and compensation that are still pending, including for all permanent and temporary losses; The Regional Bureau of Livestock and Fisheries will establish a reporting system for the sub- project RAP that will: (i) Provide timely information to the project about all resettlement and compensation issues arising as a result of RAP or ARAP-related activities; (ii) Identify any grievances, especially those that have not yet been resolved at the local level and which may require resolution at the higher levels (e.g. by the Regional BoLF); (iii) Document completion of project resettlement and compensation that are still pending, including for all permanent and temporary losses; (iv) Evaluate whether all PAPs have been compensated in accordance with the requirements of this RPF, and that PAPs have better living conditions and livelihoods; and (v) Identify mitigation measures, as necessity, when there are significant changes in the indicators that may require strategic interventions (e.g. vulnerable groups are not receiving sufficient support from the sub-project). The RAP team will maintain, together with local officials, basic information on all physical or economic displacement arising from the sub-project. This includes an update, for example, on a quarterly basis, of the following: (i) Number of sub-projects requiring preparation of a RAP; (ii) Number of households and individuals physically or economically displaced by each sub-project; (iii) Length of time from sub-project identification to payment of compensation to PAPs; (iv) Timing of compensation in relation to commencement of physical works; 87 (v) Amount of compensation paid to each PAP household (if in cash), or the nature of compensation (if in kind); (vi) Number of people raising grievances in relation to each sub-project; (vii) Number of unresolved grievances. The Regional BoLF or the Federal LFSDP Support Unit will review these statistics to determine whether the RAP or ARAP implementation arrangements, as defined in this RPF, are effective in addressing RAP or ARAP-related issues. Financial records will be maintained by the sub- projects and the RPCU, to determine the final cost of RAP or ARAP implementation. The following indicators (in Table 11.1) can be used to monitor implementation of the RAP or ARAP. Table 10 Indicators of RAP or ARAP Impacts Monitoring (of Issues) Evaluation (of Impacts) Number of compensation (and valuation) not Changes (positive or negative) in PAPs conditions completed during transition process Number of sub-projects unable to settle Changes (positive or negative) in PAPs income and compensation after two years livelihood conditions Number of grievances filed Quality of grievances or disputes resolved (qualitative) Number of livelihood restoration programs Changes (positive or negative) in affected completed households’ income levels Pre-project production versus present production Equal or improved production per affected levels (crops for crops, land for land) household/homestead 13.2. Purpose of Monitoring The purpose of monitoring is to provide project management, and directly project affected persons, with timely, concise, indicative information on whether compensation, resettlement and other impact mitigation measures are on track to achieve sustainable restoration and improvement in the welfare of the affected people, or that adjustments are needed. In short, monitoring answers the question: Are project compensation, resettlement and other impact mitigation measures on time and having the intended effects? Monitoring verifies that: ➢ Actions and commitment for compensation, resettlement, land access, and development in the RAP/ARAP are implemented fully and on time; ➢ Eligible project affected people receive their full compensation on time, prior to the start of the main project activities on the corridors; 88 ➢ RAP/ARAP actions and compensation measures have helped the people who sought cash compensation in restoring their lost incomes and in sustaining/improving pre-project living standards; ➢ Compensation and livelihood investments are achieving sustainable restoration and improvement in the welfare of the PAPs and communities; ➢ Compliant and grievances are followed up with appropriate corrective action and, where necessary, appropriate corrective actions are taken; if necessary, changes in RAP/ARAP procedure are made to improve delivery of entitlements to project affected people; ➢ Vulnerable persons are tracked and assisted as necessary. 13.3. Monitoring Framework (Internal and External) Monitoring will consist of: a) Internal monitoring by the PCU as an integral part of the its management, working with the impacted communities; and b) External monitoring by the PCU appointed consultants, working with the impacted communities. 13.3.1. Internal Monitoring The internal monitoring, carried out by the PCU itself, is conventional monitoring related to factors such as numbers of persons affected, resettled, assistance extended, and other financial aspects such as compensation paid, etc. The internal monitoring must be carried out simultaneously with the implementation of the RAP/ARAP. The objectives of internal monitoring are: (i) Daily Operations Planning; (ii) Management and Implementation; and (iii) Operational Trouble Shooting and Feedback. The periodicity of internal monitoring could be daily or weekly depending on the issues and level. All aspects of internal M&E shall be supervised by the regional and federal LFSDP PCU teams and will provide high level evaluation of internal performance and impact monitoring and other reports. The PCU teams will be supplemented by staff with appropriate skills to carry out: • RAP/ARAP project resettlement requirements as defined by RAP/ARAP to be prepared for each subprojects; • Gathering and presentation of monitoring indicators to be used; • Designing and implementation of basic technique to be used for collecting information and feedback from PAPs, and reporting requirements and formats. Regular process report will be prepared and submitted as described in section 11.3 below. The internal monitoring will look at inputs, processes, and outcome of compensation/resettlement/other impact mitigation measures. Input monitoring will establish if 89 staff, organization, finance, equipment, supplies and other inputs are on schedule, in the requisite quantity and quality. Process monitoring will: • Assess program implementation strategies and methodologies and the capacity and capability of program management personnel to effectively implement and manage the programs; and • Document lessons learned and best practices and provide recommendations to strengthen the design and implementation of RAP/ARAP. Outcome monitoring will establish if agreed outputs are realized on time for: • Communication with the affected communities; • Agreed resettlement and compensation policies, procedures and rates; • Compensation for crops, buildings, and lost business; • Construction and occupation of infrastructure and housing; • Livelihood program delivery and uptake; • Grievance resolution; • Attention to vulnerable people. Outcome (or effectiveness monitoring) will determine the degree to which the program objectives and performance targets have been achieved. 13.3.2. External Monitoring and Evaluation This should be seen in the eye of compliance and impact monitoring. For compliance monitoring, federal LFSDP PCU will appoint a consultant to work closely with the PAPs to track the progress of RAP/ARAP implementation. The consultant (s) will be a person (s) with deep experience in the conduct of resettlement, hands-on experience in monitoring and evaluation, no previous involvement in this project, and proven ability to identify actions that improve implementation and mitigate negative impact of resettlement. The consultant will provide support in the proper implementation of resettlement program. It should also bring the difficulties faced by the PAPs to the notice of LFSDP PCUs so as to help in formulating corrective measures. As a feedback to the PCU and others concerned, the external consultant should submit quarterly report on progress made relating to different aspects of resettlement and livelihood restoration activities. Compliance monitoring will: • Determine compliance of RAP/ARAP implementation with RAP/ARAP objectives and procedures; • Determine compliance of RAP/ARAP implementation with the laws and regulations applicable; 90 • Determine RAP/ARAP impacts on standard of living, with a focus on the “no worse -off if not better-off” objective; • Determine international best practices; • Verify results of internal monitoring; • Assess whether the resettlement objectives have been meet, specifically whether livelihood program have restored the livelihood of PAPs and their living conditions have improved; • Assess the resettlement efficiency, effectiveness, impact and sustainability, drawing lessons for future resettlement activities and recommending corrections in the implementation process; • Ascertain whether the resettlement entitlements are appropriate to meet the objectives, and whether the objectives are suitable to PAPs conditions; • Assess grievance records to identify implementation problems and status of grievance resolution; • Ensure RAP/ARAP implementation is in compliance with the World Bank policy and the national legal requirement. Impact Monitoring/Concurrent Evaluation will be carried out simultaneously with the monitoring. For Concurrent Impact Evaluation, the M&E person who should have resettlement and social development experience shall: • Verify whether the objective of resettlement have been realized, particularly in the changes in the living standards; • Impact assessment is to be compared with the baseline values for key socioeconomics as given in the RAP/ARAP; • Assess whether the compensation is adequate to replace the lost assets; • Assess the level of satisfaction of the various assets provided as part of the RAP/ARAP implementation; • Based on the impact assessment, suitable remedial measures are to be proposed for any shortcomings; and • Remedial measures if PAPs are not able to improve their living standards. Thus, after one year the expropriation has been completed and the assistance to the PAPs has been made, there will be an independent external impact evaluation to assess whether the PAPs have improved their living conditions in relation with the baseline socioeconomic status established during the socioeconomic studies. Impact monitoring will cover issues such as: ➢ Public perception of the Project: judgments on the PCUs, project and RAP/ARAP implementation; ➢ Social structures: traditional authorities, community cohesion; 91 ➢ Economic status of PAPs: livelihood restoration and enterprise, employment, land holdings, non-agricultural enterprise; ➢ Cost of market for basket of essentials including rental accommodation; ➢ Employment: on the project and in the impact area. 13.3.3. Indicators to Monitor Indicators, which will be monitored during the project, may be divided into two categories. • Process input and output indicators for internal monitoring; and • Outcome or impact indicators for external monitoring. These are highlighted briefly below: Input indicators include the resources in terms of people, equipment and materials that go into the RAP/ARAP. Examples of input indicators in the RAP/ARAP are the sources and amounts of funding for various RAP/ARAP activities. Output indicators concern the activities and services, which are produced with the inputs. Examples of output indicators in the RAP/ARAP include (a) a database for tracking individual compensation; and (b) the payment of compensation for losses of assets. Process indicators represent the change in the quality and quantity of access and coverage of the activities and services. Examples of process indicators in the RAP/ARAP include: ➢ The creation of grievance mechanisms; ➢ The establishment of stakeholder channels so that they can participate in the RAP/ARAP implementation; ➢ Information dissemination activities. Outcome indicators include the delivery of compensation and other mitigation to avoid economic and physical displacement caused by the project. They measure whether compensation is paid and received, whether the affected populations who preferred cash compensation to in-kind resettlement assistance offered to them was able to use compensation payment for sustained income. Indicators that will be monitored broadly centered around delivery of compensation, resolution of grievance, land access, increase or decrease in PAPs assets, social stability, health, level of satisfaction of PAPs and number of PAPs that benefits from the livelihood restoration programs. Specifically, some monitoring indicators for RAPs/ARAPs are outlined in table below. The implementation, monitoring and tracking of the achievements of the various indicators will be the responsibility of the LFSDP implementing entities internally at various levels as applicable and reports will be aggregated to ensure proper flow of information from kebele-woreda-region- national levels. 92 Table 11 Monitoring Indicators Indicators Variable Consultation Number of people reached or accessing information, information request, issues raised, etc Consultation and reach out Number of local CBOs participating Compensation and re- Physical Progress of Compensation and Assistance establishment PAPs Number of PAPs affected (building, land, trees, crops, etc) Number of PAPs compensated by the type of loss Amount compensated by type and owners Number of replacement asset recovered Compensation disbursement to the correct parties Socioeconomic changes Level of income and standard of living of the PAPs Number of income restored, improved or declined from the pre-displacement levels Training Number of LFSDP-CU IAs, and CRC trained Grievance redress Number of cases referred to GRC/CRC mechanism Number of cases settled by GRC/CRC Number of cases pending with GRC/CRC Average time taken for resettlement of cases Number of GRC/CRC meetings Number of PAPs moved court Number of pending cases with the court Number of cases settled by the court Overall Management Effectiveness of compensation delivery system Timely disbursement of compensation Census and asset verification/quantification procedures in place Coordination between local community structures, PAPs, LFSDP IAs, and PCU 13.4 Reporting Requirement Monitoring reports of the RPF and RAP/ARAP implementation is prepared for the following tasks: internal monitoring, expert monitoring, completion audit and compensation. The LFSDP PCU both at regional and federal levels will prepare regularly (quarterly) performance monitoring report beginning with the commencement of any activities related to resettlement, including income restoration. A quarterly reporting on safeguards implementation performance is also mandatory as part of the requirement of the regular monitoring exercise. These reports will summarize information that is collected and compiled in the quarterly narrative status and compensation disbursement reports and highlights key issues that have arisen. As a result of the monitoring of inputs, processes, outputs and outcomes of RAP/ARAP activities, the PCU will be advised of the necessary improvements in the implementation of the RAP/ARAPs. Table 11.3 below shows the reporting template to be used for the reporting of the RAP/ARAP implementation. 93 Table 12 RAP/ARAP Implementation Monitoring Template Reporting format on land acquisition and property losses Name & Location of Sub-project: Project Sponsor: Project cost: Key Dates of implementation For example—application, approval, public consultation, court dates, work start dates etc Inventory of Land & Assets Acquired from Private Owners Name of Project Owner’s/user’s Land use: pasture, agriculture, Compensation Impact on Owners/land Component: % of total land residence, etc. paid. income of user Area(s) / (ha) and Inventory of any structures or other Other actions owner. plots(s) %taken fixed or productive assets (wells, taken for Impact on acquired fences, trees, field crops, etc) renters or lease or (ha) affected. users. informal land Indicate if land is rented or informally Dates users. used by another party. delivered. Indicate if non-owner users have assets, trees, crops, etc affected Indicate if land-based activity is primary source of income for owner or land user. 1. 2. 3. Inventory of Public, Community, or State Land Acquired Land parcels for Land type / land Ownership: State, community, other. Compensation, land transfer, or Project use: Forest, Structures or other fixed assets. other measures to mitigate impacts Components Area commons for on land users. Specify measures acquired / parcel grazing, other. and dates of delivery. 94 Public Awareness, Consultations, and Communication (Report on consultation/meeting process) Concerns raised at Concerns raised How these concerns were resolved? the public outside public consultation consultation Status of land Acquisition Completed Pending Court decision ongoing Special Assistance provided beyond cash compensation payment of acquired land Alternative land Relocation Livelihood restoration measures Summary of impact which it assistance addressed Identification Sources of Methods and channels used to contact Assistance provided to them information for them of vulnerable vulnerable groups groups For example elderly, disabled, widows, etc Grievance Redress process Mechanisms PAPs # and nature of Are the Grievance mechanisms and Any third party available for project awareness claims procedures affordable and accessible settlement mechanism, impacted persons to of the registered of involvement of register their grievance which community leaders, grievances and protocol successfully NGOs complaints. Report on how project monitoring (land acquisition) will be done to preclude any future social issues after the project is completed. 13.5 Completion Audit The LFSDP PCU shall commission an external party to undertake an 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 national legal 95 requirement related to expropriation of landholding and payments of compensation. LFSDP will also conduct a mid-term review/audit on the implementation of the RPF, ESMF and SA by independent third party. This will gauge the compliance and application of agreed safeguard instruments. The completion audit shall be undertaken after the RAP/ARAP inputs. The audit shall verify that all physical inputs committed in the RAP/ARAP have been delivered and all services provided. It shall evaluate whether the mitigation measures prescribed in the RAP/ARAP have the desired effect. The completion audit should bring to closure LFSDP PCU’s liability for resettlement. 13.6. Disclosure Each individual or household or community affected compensation dossier will be filed, confirmed and witnessed by the Woreda/Kebele Compensation and Resettlement Committee (CRC). The files should contain: i) required personal information of PAP and those that s/he claims as household members (community information if it is a community land/asset); ii) total landholdings of PAP and proportion of loss; iii) inventory of assets affected; iv) the concerns, worries, and issues of the PAPs related with the resettlement program; and v) other required information for monitoring and evaluation. Each PAP 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. The RAP/ARAP will be disclosed through the World Bank External Website, and MoLF website and Regional Bureaus of Livestock and Fisheries as applicable. The documents will be disclosed or put in accessable places at Woreda Offices of Livestock and Fisheries, at woreda and kebele administrations and community level in a culturally appropriate manner and in a form and language that are understandable and accessible. 96 14. Key Processes: Restriction of Access to Natural Resources The LFSDP, 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 economic assets and resources of people and communities in these areas. Accordingly, the basic process to be followed during site specific implementation of the LFSDP sub projects resulting in restriction of access include: • Collect Complementary Social baseline: building on the complementary Social Assessment, the LFSDP 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; • Assign a Focal Person: the social development officer at LFSDP national, regional and woreda counterparts should be primary contact persons to follow up sub projects inducing access restriction; • Conduct Special Compensation Program: the LFSDP 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; • Community Participation and Citizen Engagement during Implementation: LFSDP 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 LFSDP components and accompanying benefits. Citizen feedback and a series of consultations with community members, government officials, and representatives of CSOs will continue during implementation; • Establish Woreda and Kebele Resettlement Committee: this committee will handle issues of access restriction process in LFSDP implementation, which is similar to the resettlement committee captured in the RPF; • 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; • Develop Action Plan: based on the process stipulated above LFSDP will develop a process action plan to be submitted to the Woreda EFCC office, regional EFCC 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 97 restrictions of access to resources. Detailed action plan must be prepared together with the PAPs and stakeholders. An action plan may include, but not limited to, the following: • Description of agreed restriction with extent and time frame • Boundaries of the access restricted land/resources with brief description • Description of the community/stakeholders affected by access restriction • Measures to assist access restricted affected community/individuals/ stakeholders with time bound and financial sources; • Monitoring and evaluation arrangements • Impact mitigation measures (i.e. environmental and social impacts) with identified community and specific environment or location of the area that receive mitigation • Background of the socio-economic status of the community • Special measures concerning women and vulnerable groups • Capacity building plan (of the implementing agencies, community, stakeholders) • Roles and responsibilities of implementers, collaborators, community, stakeholders, etc. • Complaint entertaining and settling mechanism 98 Technical Annexes Annex 1: LFSDP RAP/ARAP Extended Screening Checklist The results of the Screening Report – whether an ESIA, ESMP, RAP or ARAP are required - will be included by the LFSD in the LFSDP Subproject Application Form. LFSDP Investment subproject name: Location: (e.g. region, district, 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 transfer to project Any plans for new construction Refer to project application for this information. 2. Impact identification and classification: When considering the location of LFSDP 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 Issues Site sensitivity Low Medium High Involuntary Low population density; Medium population High population density; major Resettlement dispersed population; legal density; mixed towns and villages; low-income families tenure is well defined; ownership and land and/or illegal ownership well-defined tenure; well-defined of land; communal properties; water rights water rights unclear water rights 99 Table 3: Checklist of Impacts LFSDP infrastructure & services: Roads, Footpaths & Street lighting, Water Potential for Adverse Impacts supply, etc None Low Medium High Unknown 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 LFSDP investment subproject under question? How will the LFSDP 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 LFSDP investment subproject appraisal. Approval/rejection: If proposal is rejected for environmental reasons, should the LFSDP 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_____________ 100 Annex 2: Census Survey and Land Asset Inventory 1. Socio-economic Household Datasheet of LFSDP PAPs Names 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 LFSDP 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 B. Information on Each Land Acquisition/Expropriation: Identification number Ownership (private, Municipal or Treasury) Name and address of registered owners Gender (Male/Female) Ethnical Minority (if yes, describe) Educational Level Primary occupation Monthly Income 101 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 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? 102 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? 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_________________________________________ ___ 103 3. Entitlements of LFSDP Investment Subproject Affected People Woreda: ________________; Kebele: ______________; Sub-Kebele/Village: __________________ Survey Name of Compensation for Land Compensation for structures Compensation for crops and trees Compensation for other assets and Total no. Head of losses (Birr) HH (e.g., graveyards, wells, businesses, etc) Quantity Unit Entitlement Quantity Unit Entitlement Quantity Unit Entitlement Quantit Unit price Entitlement (m2) price (Birr) (m2) price (Birr) (m2) price (Birr) y (Birr) per (Birr) (Birr) per (Birr) per (Birr) per (m2) m2 m2 m2 m2 104 Annex 3: 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 (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; 106 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: a. Agencies and offices responsible for resettlement activities and civil society groups like NGOs that may have a role in RAP implementation; b. Institutional capacities of these agencies, offices, and civil society groups in carrying out RAP implementation, monitoring, and evaluation; and c. Activities for enhancing the institutional capacities of agencies, offices, and civil society groups, especially in the consultation and monitoring processes. 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). Resettlement Measures 9. 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. Site selection, site preparation, and relocation 10. 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; 107 (iii)Procedures for physical relocation under the project, including timetables for site preparation and transfer; and (iv) Legal arrangements for recognizing (or regularizing) tenure and transferring titles to those being resettled. Housing, infrastructure, and Social Services 11. 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. Environmental Protection and Management 12. 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). Community Participation 13. 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; (ii) Summary of the consultations and how PAPs’ views were taken into account in p reparing 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 108 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. Grievance Procedures 14. 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). Implementation Schedule 16. 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 fiduciary arrangements consistent with the rest of the project governing financial management and procurement. Monitoring and Evaluation 18. 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 109 compensation, and using the results of RAP impact monitoring to guide subsequent implementation. 110 Annex 4: Abbreviated Resettlement Action Plan - ARAP Content An abbreviated resettlement action plan covers the following minimum elements: i. A census survey of displaced persons and valuation of assets; ii. Description of compensation and other resettlement assistance to be provided; iii. Consultations with displaced people about acceptable alternatives; iv. Institutional responsibility for implementation and procedures for complaints and appeals; v. Arrangements for monitoring and implementation; and vi. A timetable and budget. 111 Annex 5: LFSDP Grievance Redressing Mechanism Operational Guide 1. Introduction A grievance is any concern or complaint raised by an individual or a group within communities affected by Livestock and Fishery Sector Development Project (LFSDP) supported activities. LFSDP 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 mechanisms (GRMs) can be an effective tool for early identification, assessment, and resolution of complaints on projects. GRMs are institutions, instruments, methods, and processes by which a resolution to a grievance is sought and provided. It is a way to receive, assess and resolve complaints that may arise from the LFSDP supported activities. Understanding when and how a GRM may improve project outcomes can help both project teams and beneficiaries improve results. GRMs will respond to needs better if they are established early as a measure to preempt rather than react to escalation of tensions with surrounding communities. An adequate social and environmental screening and/or impact assessment process is essential to the success of a GRM. A GRM provides a predictable, transparent, and credible process to all parties, resulting in outcomes that are seen as fair, effective, and lasting. A well-functioning grievance mechanism increases the likelihood that small disputes can be brought to a conclusion relatively quickly before they become deep-seated grievances, keeps ownership of the dispute in the hands of local people, and offers an early, efficient, and less costly way to address concerns. A well-functioning grievance mechanism can also provide valuable feedback to the project management unit by serving as an early warning system for wider problems, yielding insights from individual grievances that spotlight changes that might be needed to LFSDP operations or management systems, indicating possible systemic changes that might be needed to ensure that particular grievances do not recur. The goals of GRM are: 1) open channels for effective communication, 2) demonstrate that LFSDP is concerned about community members and their well-being, 3) mitigate or prevent adverse impacts on communities caused by LFSDP projects activities, 4) improve trust and respect, and 5) promote productive relationships. 112 In LFSDP the activity plans originate from communities and add up to kebele, woreda, regional and federal levels. This ensures availability of suitable avenue to identify major problems in the whole project implementation arrangement along with the possibilities of addressing the problems in the framework of the LFSDP with active participation from the community. Since they are the primary beneficiaries of the project, they are encouraged to participate fully in all aspects of the project including problem/need identification, preparation, work planning, implementation, monitoring, operation and maintenance. Therefore, the planning process follows a bottom-up approach to lay foundation for all of the interventions and to ensure sustainability. Since the whole process is participatory and transparent, the occurrence of complaint is very rare. Even though the existence of complaints is minimal, there should be a mechanism to address unforeseen events. To this effect, it is necessary to establish GRM in LFSDP which provides a transparent, and credible process to all parties, resulting in outcomes that are seen as fair, effective, and lasting. The GRM is an essential part of the safeguard instrument that intends to resolve complaints on the LFSDP subproject activities. It should address complainant concerns and complaints promptly, using an understandable and transparent process that is gender responsive, culturally appropriate, and readily accessible to all segments of the complainant persons. Generally, the Mechanism will ensure that (i) the public within LFSDP investment influence are aware of their rights to access, and shall have access to, the mechanism free of administrative and legal charges, and (ii) concerns arising from LFSDP activity in all phases are addressed effectively. Such kinds of approach are useful, among others, to improve outcomes of LFSDP implementation, help to prioritize supervisions, identify systematic implementation issues and trends, and promote accountability through creating more predictable, timely and results-oriented responses to citizen concerns. Accordingly, LFSDP PCUs (at federal and regional level) are required to set up the mechanism. To this effect, the following approaches will be followed. 2. Objective The objective of establishing the grievance redress mechanism in LFSDP is to address any complaint concern and complaints related to LFSDP activity implementation promptly and effectively. 3. Scope of Grievance Redress Mechanism The scope of the issues to be addressed in LFSDP GRM will be all complaints arising from LFSDP activity implementations. Any person within LFSDP targeted Woredas who has complaints regarding the activities of the LFSDP subprojects during preparation/designing, implementation and operation phases shall have access to the Mechanism. 4. Access to Grievance Redress Mechanism The MoLF/LFSDP Federal PCU in collaboration with concerned regional and woreda (Bureau of Livestock, and Woreda Livestock/Agricultural office) will make the public aware 113 of the GRM through awareness creation forums, training and capacity building. Any person who has complaints regarding the activities of the LFSDP subprojects during preparation/designing, implementation and operation phases shall have access to the Mechanism. Contact details in support of the Mechanism will be publicly disclosed and posted in the offices of concerned woreda offices, Kebele administration, kebele development centers/agriculture office and Farmers Training Centers (FTC). These will also be incorporated in the LFSDP information materials (e.g. reports, magazines, brochures, flyers and posters). 5. Grievance Investigation and Resolution Process (GIRP) The MoLF/LFSDP FPCU in collaboration with its regional and woreda counter parts established a clear GRM that allows any person, who has complaints regarding the activities of the LFSDP, to raise issues, feedback and complaints about the effects of LFSDP activities implementation/performance. Complaints can be communicated in written form using the standard complaint form to community subproject management committees (CSMC), to be established for each sub-project. All received complaints and responses given should be documented and copies sent to kebele development committee (KDC). At CSMC level unresolved complaints (if the complainant is not satisfied) will be brought to traditional grievance redress institution (TGRI) (depending on specific locality) and investigated and resolved. All received complaints and responses should be documented and copies sent to KDC, kebele administration and woreda development committee (WDC). Complaints unresolved at traditional grievance redress institution level (if the complainant is not satisfied) will be brought to KDC and investigated and resolved. All received complaints and responses should be documented and copies sent to CSMC leaders and WDC. Complaints unresolved at KDC (if the complainant is not satisfied) will be brought to WDC. At woreda level, all received complaints which were unresolved at KDC level will be reviewed by the WDC and sent to woreda steering committee for investigation and final decision. To this effect, a GRM with clear timeline and responsibility is required at different levels so as to be transparent, accountable and responsive. Accordingly, the steps of the (Grievance Investigation and Resolution Process) GIRP at each level are outlined as follows. 6. Structure, Steps and Timeframe 6.1. 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 114 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. 6.2. 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. 6.3. 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 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. 115 6.4. 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 LFSDP coordinator at Woreda Office of Livestock/Agriculture 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. 116 6.2. Amharic version of Grievance application form ቀን:_____________________ የእንስሳትና ዓሳ ዘርፍ ልማት ፕሮጀክት የቅሬታ ማቅረቢያ ቅፅ 1. የቅሬታ አቅራቢ ስም…………………………… የሚገኝበትቦታ፣ወረዳ………………………… ቀበሌ…………………………………….ጎጥ………………………………………… የአካባቢዉ መጠሪያ ስም ……………………………………………………………………. 2. የቀርበው ቅሬታ ይዘት ………………………………………………………………………………………… ………………………………………………………………………………………… ……………… 3. የችግሩ መንስኤ (በቅሬታ አቅራቢው አስተያየት) ………………………………………………………………………………………… ………………………………………………………………………………………… ……………… 4. የቅሬታ አቅራቢው እንዲሆንለት የሚፈልገው ፍላጎት ………………………………………………………………………………………… ………………………………………………………………………………………… ……………… 5. የቅሬታ ተቀባይ ስም……………………………………………….. ፊርማ…………………………………………….. ቀን…………………………..…..………….. 117 6.3. Sample Grievance Procedure Form Grievance/Complaint 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 LFSDP implementing agency that is proposing LFSDP subproject for financing, and the subproject is to cause displacement. 118 7. Monitoring, evaluation and learning 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. 7.1. GRM performance reporting format Quarter_ Year_ Target Achievement Annual Up to S/N Activity Unit This This Up to this Achievement/ target this quarter quarter quarter planned (%) quarter Monitoring and No of 1 technical support woreda Awareness Male creation to Female 2 community, KDC, Total CSMCs Established and No of 3 functional GRM woreda Number of 4 grievance No. registered Number of 5 grievance No. resolved Types of cases Types 6 appealed of 119 cases Annex 6: National Relevant Laws Property Rights and Land Rights Law/Regulation Ownership of land is now vested in the State and Ethiopian citizens have only a use Public Ownership of Rural right (usufruct) over the land. This gives the user ownership of his/her possessions with Land (No 31/1975) the right to benefit from the fruits of his/her labor. This includes crops, perennial crops, trees for timber etc found on the land or any other permanent fixtures such as residential houses, business installations, stores and fences, amongst others. This overturned the 1960 Constitutional degree of private ownership of land. In 1975 Ethiopia nationalized urban land and extra houses ( Proc. No. 47/1975). Proclamation No. 47/1975 Residents have usage rights, urban centers must take inventory of land and plan sustainable land use. Urban residents get one plot of land for personal housing. A) All urban lands shall be property of the Government. B) Tenant shall be free from Proclamation No. 47/1975, payment to the landowner. C) Any person or family own only a single dwelling. Article 2(3), Article 6(1) and Article 11(1) According to these proclamations, land holders have open-ended usufruct rights over Constitution of their possessions (i.e. there is no time limit on this usufruct), subject to a proof of Ethiopia (No 1/1987, Article permanent physical residence, ability to farm continuously and should meet 13(2) and No 1/1995, Article administrative dues and obligations. In rural villages, farm households have a legal 40(3)) right to possess land through state mandated peasant associations. Proclamation No. 89/1997 establishes the principles of rural land administration, which Proclamation No. 89/1997 is devolved to the Regions "Federal Rural Land • states that each Regional Council shall enact a law on land administration, Administration which is in conformity with the provisions on environmental protection and Proclamation" federal utilization polices. Proclamation No. 89/1997 recognizes the lawfulness of "holding rights" over land; Proclamation No. 89/1997 "Federal Rural Land Administration Proclamation" Proclamation No. 89/1997 confirms and details the Constitution principle that holding Proclamation No. 89/1997 rights on land can be assigned to peasants and nomads, and that these are to be secured "Federal Rural Land from eviction and displacement; Administration Proclamation" It provides various details with respect to redistribution of land, including that this Proclamation No. 89/1997 redistribution is a Region responsibility "Federal Rural Land It establishes the possibility for Regions to perceive fees for the use of land and forest. Administration Proclamation" The leasehold policy (Proc No. 80/1993) allows individuals and companies to attain Proclamation No. 80/1993 access to land through auction, allocation, or lottery. Article 26 of the Constitution states that "Everyone shall have the right to his privacy Constitution Article 26 and physical integrity. This right shall include protection from searches of his person, his home, his property and protection from seizure of property under his possession." The 1995 Constitution of the Ethiopia, Article 40(2), 40(4), 40(5) and 40(8) includes Constitution Article 40(2) 120 Property Rights and Land Rights Law/Regulation legal frameworks that protect the Ethiopian citizen’s rights to private property and set Constitution Article 40(4) conditions for expropriation of such property for state or public interests. Constitution Article 40(5) Constitution Article 40(8) Article 40(3) vests the right to ownership of rural and urban land, as well as of all Constitution Article 40(3) natural; resources, in the government and in the peoples of Ethiopia; Article 40(3) recognizes land as a common property of the Nations, Nationalities of, Constitution Article 40(3) and peoples of Ethiopia and prohibits sale or any other exchange of land; Proclamation N° 89/1997 "Federal Rural Land Administration Proclamation" Article 40(4) guarantees the right of farmers to obtain land without payment and the Constitution Article 40(4) protection against eviction from their possession; and Article 40(5) guarantees the right of pastoralists to free land for grazing and Constitution Article 40(5) cultivation as well as the right not to be displaced from their own lands. Article 40(7) states that "Every Ethiopian shall have the full right to the immovable Constitution Article 40(7) property he builds and to the permanent improvements he brings about on the land by his labour or capital. This right shall include the right to alienate, to bequeath, and, where the right to use expires, to remove his property, transfers his title, or claim compensation for it. Article 41(9) sets out the State responsibilities to protect and preserve historical and Constitution Article 41(9) cultural legacies. The Research and Conservation of Cultural Heritage Proclamation No. 209/2000 of Proclamation No. 209/2000 Ethiopia defines cultural heritage broadly as "anything tangible or intangible which is the product of creativity and labour of man in the pre-history and history times, that describes and witnesses to the evolution of nature and which has a major value in its scientific, historical, cultural, artistic and handcraft content." • Prior approval of the Authority for Research and Conservation of Cultural Proclamation No. 209/2000, Heritage is required to remove from its original site of an immovable cultural Article 21/1 heritage (Art. 21/1). • Whenever registered, movable cultural heritage is encountered during the Proclamation No. 209/2000, execution of the project it is possible to remove such property by notifying the Article 21/2 Authority in advance (Art. 21/2). Zikre Hig Regulation No.6 2002 provides for the lease holding of urban land for a Zikre Hig Regulation No. specified period of time. It regulates the lease period for different functions, grade of 6/2002 land and payment of lease. It regulates manners of expropriation of land. It regulates that land could be expropriated for public use against payment of compensation Several Regions of Ethiopia have taken steps to develop regional land regulations. Regional Land Regulations • Land use Administration Proclamation, (No 456/2005 Article 17(1)) Eligibility for compensation is discussed in Article 44(2) of the 1995 Constitution and Constitution Article 44(2) Proclamation No 455/2005. These two legal documents give entitlement only to those Proclamation No 455/2005 who have formal legal rights over their holdings (properties). Proclamation No 455/2005, Article 2 (3) stipulates that “Landholder” means an Proclamation No 455/2005 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 121 Property Rights and Land Rights Law/Regulation property situated thereon.” Rural Land Administration and Land use Administration Proclamation (No. Proclamation No. 456/2005 456/2005 Article 17(1) gives regional states the power to enact regional laws for rural land administrations. The regional laws are to be consistent with the Federal Constitution (No. 1/1995, Article 52(2) (d)) Several regional states (including Amhara, Oromia and Tigray) are now building on Land Tenure the constitutional provisions to improve security of tenure, albeit within the general framework of State ownership of land. Leases are being introduced, that would guarantee lessees a long-term right of usage. Where leases are concluded between a regional administration and peasant farmers, it does not seem that these leases are reflected in any cadastral documentation (including maps) kept at woreda or region level. “Non-owners like renters and business are eligible for relocation and other assistance Uncited in finding a new location, compensation at replacement value for any immovable assets, compensation for loss of income during transition, assistance for physical transfer and follow-up services.” “People without titles or use right (e.g. squatters, encroachers) will be for specific Uncited assistance. They typically claim use rights or even ownership after occupation of unused or unprotected lands. They are likely to have invested in structures or land improvements that are eligible for compensation.” 122 Annex 7: Proclamation on Expropriation of Landholdings for Public Purposes and Payment of Compensation Proclamation Proclamation No. 455/2005 Expropriation of Landholdings for Public Purposes and Payment of Compensation Proclamation A PROCLAMATION TO PROVIDE FOR THEE EXPRORIATION OF LANDHOLDINGS FOR PUBLIC PURPOSE AND PAYMENT OF COMPENSATION WHEREAS, the government needs to use land for development works it carries out for public services; WHEREAS, urban centers of the country have, from time to time, been growing and the number of urban dwellers has been increasing and thereby land development for the construction of dwelling houses, infrastructure, investment and other services has become necessary in accordance with their respective plans as well as preparation and provision of land for development works in rural areas has become necessary; WHEREAS, it has become necessary to define the basic principles that have to be taken into consideration in determining compensation to a person whose landholding has been expropriated; WHEREAS, it has become necessary to define organs that shall have the power to determine and the responsibility to pay the compensation; WHEREAS, Article 51(5) of the Constitution empowers the Federal Government to enact laws regarding the utilization of land and it is deemed necessary to regulate in detail, based on the requirement of advance payment of compensation for private property expropriated for public purpose as provided for under Article 40(8) of the Constitution. NOW, THEREFORE, in accordance with Article 55 (1) of the Constitution, it is hereby proclaimed as follows; PART ONE GENERAL 1. Short Title This Proclamation may be cited as the "Expropriation of landholdings for Public Purposes and Payment of Compensation Proclamation No. 455/2005." 2, Definitions In this Proclamation, unless the context requires otherwise: 1) “compensation" means, payment to be made in cash or in kind or in both to a person for his property situated on his expropriated landholding; 123 2) "region" means any region referred to in Article 47 of the Constitution and includes the Addis Ababa and Dire Dawa city administrations; 3) "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; 4) "urban administration" means an organ to which urban administrative powers and duties have been given by law or delegated by the concerned government body to exercise such powers and duties; 5) "public purpose" means the use of land defined as such by the decision of the appropriate body inconformity with urban structure plan or development plan in order to ensure the interest of the peoples to acquire direct or indirect benefits from the use of the land and to consolidate sustainable socio economic development; 6) "utility line" means water, sewerage, electric or telephone line existing on or under a land to be expropriated for public purpose; 7) "implementing agency" means a government agency or, public enterprise undertaking or causing to be undertaken development works with its own force or through contractors. PART TWO EXPROPRIATION OF LANDHOLDINGS 3. Power to Expropriate Landholdings 1) A woreda or an urban administration shall, upon payment in advance of compensation in accordance with this Proclamation, have the power to expropriate rural or urban landholdings for public purpose where it believes that it should be used for a better development project to be carried out by public entities, private investors, cooperative societies or other organs, or where such expropriation has been decided by the appropriate higher regional or federal government organ for the same purpose. 2) Notwithstanding the provisions of Sub-Article (1) of this Article, no land lease holding may be expropriated unless the lessee has failed to honor the obligations he assumed under the Lease Proclamation and Regulations or the land is required for development works to be undertaken by government. 4. Notification of Expropriation Order 1) Where a woreda or an urban administration decides to expropriate a landholding in accordance with Article 3 of this Proclamation, it shall notify the landholder" in writing, indicating the time when the land has to be vacated and the amount of compensation to be paid. 2) The period of notification to be' given in accordance with Sub-Article (1) of this Article shall be determined by directives; provided however, that it may not, in any way, be less than ninety days. 3) Any landholder who has been served with an expropriation order in accordance with Sub-Article (1) of this Article, shall hand over the land to the woreda or urban administration within 90 days from the date of payment of compensation or, if he refuses to receive the payment, from the date 124 of deposit of the compensation in a blocked bank account in the name of the woreda or urban administration as may be appropriate. 4) Notwithstanding Sub-Article (3) of this Article, 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. 5) Where a landholder who has been served with an expropriation order refuses to handover the land within the period specified in Sub Article (3) of (4) of this Article, the woreda or urban administration may use police force to take over the land. 5. Responsibilities of the Implementing Agency The implementing agency shall have responsibilities to: 1) prepare detail data pertaining to the land needed for its works and send same, at least one year before the commencement of the works, to the organs empowered to expropriate land in accordance with this Proclamation and obtain permission from them; and 2) pay compensation in accordance with this Proclamation to landholders whose holding: have been expropriated. 6. Procedures for removal of Utility Lines 1) Where land over or under which utility lines, owned by federal or regional government office or public enterprise, pass is to be expropriated, the body requiring the land shall submit, in writing, its request to the owner by indicating the exact location of the lines to be removed. 2) The body which has received a request under Sub Artic1e (1) of this Article shall, within 30 days from receipt of such request, determine a fair compensation required to replace the lines to be removed and send details of its valuation to the requesting body. 3) The body which requested the removal of utility lines shall pay compensation to the owner within 30 days from the date of receipt of the valuation under Sub-Article (2) of this Article. The owner shall also remove the utility lines and vacate the land within 60 days from the date of receipt of compensation. PART THREE DETERMINATION OF COMPENSATION 7. Basis and Amount of Compensation 1) A landholder whose holding has been expropriated shall be entitled to payment of compensation for his property situated on the land and for permanent improvements he made to such land. 2) The amount of compensation for property situated on the expropriated land shall be determined on the basis of replacement cost of the property. 3) Where the compensation referred to under Sub- Article (2) of this Article 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. 4) Compensation for permanent improvement to land shall be equal to the value of capital and labour expended on the land. 5) 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. 125 6) Valuation formula for determining compensation for various properties and detail prescription applicable thereto shall be provided for by regulations. 8. Displacement Compensation 1) A rural landholder whose landholding has been permanently expropriate shall, in addition to the compensation payable under Article 7 of this Proclamation, 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. 2) A rural landholder or holders of common land whose landholding has been provisionally expropriated shall, in addition to the compensation payable under Article 7 of this Proclamation, be paid until repossession of the land, compensation for lost income based on the average annual income secured during the five years preceding the expropriation of the land; provided, however, that such payment shall not exceed the amount of compensation payable under Sub-Article (1) of this Article. 3) Where the woreda administration confirms that a substitute land which can be easily ploughed and generate comparable income is available for the land holder, the compensation to be paid under Sub-Articles (1) and (2) of this Article shall only be equivalent to the average annual income secured during the five years preceding the expropriation of the land. 4) An urban landholder whose landholding has been expropriated under this Proclamation shall: a) be provided with a plot of urban land, the size of which shall be determined by the urban administration, to be used for the construction of a dwelling house; and b) be paid a displacement compensation equivalent to the estimated annual rent of the demolished dwelling house or be allowed to reside, force or charge, for one year in a comparable dwelling house owned by the urban administration. 5) Where the house demolished is a business house, the provisions of Sub-Article (4) of this Article shall, mutatis mutandis apply, 6) When an urban land lease holding is expropriated prior to its expiry date, the lease holder shall, in addition to the compensation referred to under Article 7 of this proclamation and this Article, be provided with a similar plot of land to use it for the remaining lease period. The lease holder shall also be allowed to use the new plot of land for a longer period if its rent is less than the former land or the holding did not want take the land he can take the remain rant payment. 7) The detail prescriptions applicable to compensation payable under the Article shall be provided for by regulations. 9. Valuation of Property 1) The valuation of property situated on land to be expropriated shall be carried out by certified private or public institutions or individual consultants on the basis of valuation formula adopted at the national level. 2) Until such time that the Ministry of Federal Affairs, in consultation with the appropriate federal and regional government organs, ascertains the creation of the required capacity to take valuation of property as specified under Sub-Article (1) of this Article, such valuation shall be carried out by committees to be established in accordance with Article (10) of this Proclamation and owners of utility lines in accordance with Article (6) of this Proclamation. 126 10. Property Valuation Committees 1) Where the land to be expropriated is located in a rural area, the property situated thereon shall be valued by a committee of not more than five experts having the relevant qualification and to be designated by the woreda administration. 2) Where the land to be expropriated is located in an urban center, the property situated thereon shall be valued by a committee of experts having the relevant qualification and to be designated by the urban administration. 3) Where the property situated on a land to be expropriated requires specialized knowledge and experience, it shall be valued by a separate committee of experts to be designated by the woreda or the urban administration. 4) The working procedures for the committees established in accordance with this Article shall be determined by directives. 11. Complaints and Appeals in Relation to Compensation 1) In rural areas and in an urban center where an administrative organ to hear grievances related to urban landholding is not yet established, a complaint relating to the amount of compensation shall be submitted to the regular court having jurisdiction. 2) Where the holder of an expropriated urban landholding is dissatisfied with the amount of compensation, he may lodge his complaint to the administrative organ established by the urban administration to hear grievances related to urban landholdings. 3) 3/ The organ referred to in Sub-Article (2) of this Article shall examine the compliant and give its decision within such short period as specified by directives issued by the region and communicate its decision to the parties in writing, 4) A party dissatisfied with a decision, rendered in accordance with Sub-Article (I) and (3) of this Article may appeal, as may be appropriate, to the regular appellate court or municipal appellate court within 30 days from the date of the decision. The decision of the court shall be final. 5) The period specified in Sub-Article (4) of this Article for submitting an appeal shall not include the time taken to provide the appellant with a copy of the decision. 6) An appeal submitted, pursuant to Sub-Article (4) of this Article, by any landholder served with an expropriation order may be admitted only if it is accompanied with a document that proofs the handover of the land to the urban or woreda administration. 7) The execution of an expropriation order may not be delayed due to a complaint regarding the amount of compensation. PART FOUR MISCELLANEOUR PROVISIONS 12. Powers and Duties of the Ministry of Federal Affairs With respect to the implementation of this Proclamation, the Ministry of Federal Affairs shall have the powers and duties to: 1) Follow up and ensure that the provisions of this Proclamation are complied with in regions; 2) Give technical and capacity building support to regions so that they will be able to implement this Proclamation; 127 3) Prepare, in collaboration with other relevant organs of the Federal Government, national valuation formula for the determination of compensation payable under this Proclamation and submit same to the Council of Ministers for approval. 13. Responsibilities of Woreda Administrations and Urban Administration With respect to the, implementation of this Proclamation Woreda and urban administration" shall have the responsibilities and duties to: 1) Pay or cause the payment of compensation to holders or expropriated land in accordance with this Proclamation, and provide them with rehabilitation support to the extent possible. 2) Maintain data of properties removed from expropriated landholdings Particulars and conditions of maintaining such data shall be prescribed by directives. 14. Power to Issue Regulations and Directives 1) The Council of Ministers may issue regulations necessary for the proper implementation of this Proclamation. 2) Regions may issue directives necessary for the proper implementation of this Proclamation and regulations issued hereunder. 15. Repelled and Inapplicable Laws 1) The Appropriation of Land for Government Works and Payment of Compensation for Property Proclamation No. 401/2004 is hereby repealed. 2) No law, regulation, directive or practice shall, in so far as it is inconsistent with this Proclamation, be applicable with respect to matters provided for by this Proclamation. 16. Effective Date The Proclamation shall enter into force on the 151h day of July, 2005. Done at Addis Ababa, the 15thday of July, 2005 GIRMA WOLDEGIORGIS PRESIDENT OF THE FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA 128 Annex 8: Compensation and Expropriation Regulations Regulations No. 135/2007 on the Payment of Compensation for Property Situated on Landholdings Expropriated for Public Purposes Council of Ministers Regulations No. 135/2007 COUNCIL OF MINISTERS REGULATIONS ON THE PAYMENT OF COMPENSATION FOR PROPERTY SITUATED ON LANDHOLDINGS EXPROPRIATED FOR PUBLIC PURPOSES These Regulations are issued by the Council of Ministers pursuant to Article 5 of the Definition of Powers and Duties of the Executive Organs of the Federal Democratic Republic of Ethiopia Proclamation No. 471/2005 and Article 14(1) of the Expropriation of Landholdings for Public Purposes and Payment of Compensation Proclamation No. 455/2005 with a purpose of not only paying compensation but also to assist displaced persons to restore their livelihood. PART ONE GENERAL 1. Short Title These Regulations may be cited as the “Payment of Compensation for Property Situated on Landholdings Expropriated for Public Purposes Council of Ministers Regulations No. 135/2007” 2. Definitions In these Regulations unless the context requires otherwise: “Proclamation” means the Expropriation of Landholdings for Public Purposes and Payment of Compensation Proclamation No. 455/2005; 1. “Committee” means a property valuation committee established pursuant to the Proclamation; 2. “Crops” means any plant sown or planted and harvested in one season; 3. “Ripe crops” means plant sown or planted on a land holding to be expropriated for public purpose and that could be harvested within the notice period given under Article 4 of the Proclamation; 4. “Perennial crops” means species of crops harvested regularly for years; 5. “Building” means any structure constructed or under construction in an urban centre or a rural area for residential, manufacturing, commercial, social or any other service; 6. “Formula” means the methodology used for valuating compensation in accordance with these Regulations for Properties Situated on Landholdings Expropriated in Accordance with the Proclamation; 7. The terms “region”, “compensation”, “public purpose”, “utility lines” and “implementing agency” shall have the meanings given to them under the Proclamation; 8. “Person” means any natural or juridical person. 129 PART TWO ASSESSMENT OF COMPENSATION 3. Compensation for Buildings 1. The amount of compensation for a building shall be determined on the basis of the current cost per square meter or unit for constructing a comparable building 2. The compensation for a building shall include: a) The current cost for constructing floor tiles of the compound, septic tank and other structures attached to the building; and b) The estimated cost for demolishing, lifting, reconstructing, installing and connecting utility lines of the building. 3. The owner of a building shall have the right to claim compensation for the entire building by surrounding the total land in his possession where part of the building is ordered to be removed. 4. Compensation shall be paid only for the demolished part of a building where the owner prefers to use the unwanted part of the land; provided, however, that such preference shall be acceptable only where the condition of the partly demolished building conforms to the requirements of the appropriate city plan. 4. Compensation for Fences The amount of compensation for a fence shall be determined by calculating the current cost per square meter or the unit cost required for constructing a similar fence. 5. Compensation for Crops 1. The amount of compensation for crops shall be calculated by multiplying the amount of yield that would have been collected from the land at maturity by the current market price of the crops. 2. The owner of ripe crops may, in lieu of compensation, harvest and collect the crops within the period fixed pursuant to Article 4 of the Proclamation. 6. Compensation for Perennial Crops 1. The amount of compensation for unripe perennial crops shall be determined by calculating the estimated cost for growing the plant. 2. The amount of compensation for ripe perennial crops shall be determined on the basis of the average annual yield, the current local market price of the crops and the cost of permanent improvement on land. 7. Compensation for Trees 1. The amount of compensation for trees shall be determined on the basis of the level of growth of the trees and the current local price per square meter or per unit. 2. The owner of trees may, in lieu of compensation, cut and collect the trees within the period fixed pursuant to Article 4 of the Proclamation. 8. Compensation for Protected Grass 1. The amount of compensation for protected grass shall be determined on the basis of the productivity of the land and the current market price of the grass per square meter. 130 2. The owner of protected grass may, in lieu of compensation, cut and gather the grass within the period fixed pursuant to Article 4 of the Proclamation. 9. Compensation for Permanent Improvement on Rural Land The amount of compensation for permanent improvement made on a rural land shall be determined by computing the machinery, material and labour costs incurred for clearing, levelling and terracing the land, including the costs of water reservoir and other agricultural infrastructure works. 10. Compensation for Relocated Property The amount of compensation for a relocated property shall be determined by computing the estimated costs of labour, material and transport to be incurred at market value for removing, transferring and installing the property. 11. Compensation Payable to a Mining Licensee Where a mining site is expropriated pursuant to the provisions of the Proclamation, the compensation due to the licensee shall be determined by the relevant mining law. 12. Compensation for Burial-ground 1. The amount of compensation for a burial-ground shall be determined on the basis of the estimated costs to be incurred for removing the grave stones, preparing other burial-ground, transferring and relocating the corpse and for conducting religious and cultural ceremonies in relation thereto. 2. The amount of costs stipulated under Sub-Article (1) of this Article shall be determined on the basis of the current local market prices of materials, transport services and labour. 13. Formula The formula for calculating the amount of compensation payable in accordance with the Proclamation and these Regulations shall be as follows: 1. Compensation for building = cost of construction (current value). + cost of permanent improvement on land + the amount of refundable money for the remaining term of lease contract 2. Compensation for crops = the total area of the land (in square meters) x value of the crops per kilo gram x the amount of crops to be obtained per square meter + cost of permanent improvement on land 3. Compensation for unripe Perennial Crops = number of plants (legs) x cost incurred to grow an individual plant + cost of permanent improvement on land 4 Compensation for ripe Perennial crops = the annual yield of the Perennial Crops (in Kilograms) x the current price of the produce of the perennial crops + cost of permanent improvement on land 5. Compensation for relocated Property = cost of removal + cost of transferring + cost of reinstallation 131 6. Compensation for protected grass = area covered by the grass per square meter x the current market price of the grass per square meter PART THREE PROVISION OF REPLACEMENT LAND AND PAYMENT OF DISPLACEMENT COMPENSATION 14. Provision of Replacement Urban Land The provision of replacement land to an urban dweller whose landholding has been expropriated for public purpose shall be governed by directives issued by Regional States in accordance with Article 14 (2) of the Proclamation. 15. Provision of Replacement Rural Land Where land used for growing crops or a protected grass or pastoral land is expropriated for public purpose, the possessor of such land shall, as much as possible, be provided with a plot of land capable of serving a similar purpose. 16. Displacement Compensation for Land Used for Crops and Perennial Crops 1. Where a replacement land has been provided in accordance with Article 15 of these Regulations with respect to expropriated land used for crops or perennial crops, displacement compensation equivalent to the following amounts, shall be paid: a) The price of the annual average yield of crops obtained from the land; or b) The price of the annual average yield of perennial crops multiplied by the number of years required to attain the level of growth of the perennial crops. 2. The amount of displacement compensation payable with respect to land used for growing crops or perennial crops shall, where it is impossible to provide replacement land in accordance with Article 15 of these Regulations, be ten times the price of the average yield of crops or perennial crops obtained from the land. 3. The average annual yield of crops or perennial crops shall be calculated on the basis of: a) The yield obtained from the land for the last five years; or b) Where the land was used for less than five years, the yield obtained for the actual ears the land was used; or c) Where the crops or perennial crops have not yet started giving annual yield, the yield of similar crops or perennial crops obtained from a similar area of land in the locality for the last five years. 17. Displacement Compensation for Protected Grass or Grazing Land 1. Where a replacement land is provided in accordance with Article 15 of these regulations with respect to expropriated protected grass or grazing land, displacement compensation equivalent to the annual average income obtained from the land shall be paid. 2. The amount of displacement compensation payable with respect to the protected grass or grazing land shall, where it is impossible to provide replacement land in accordance with Article 15 of these Regulations, be ten times the annual average income obtained from the land. 132 3. The provisions of Sub-Article (3) of Article 16 of these Regulations shall, mutatis mutandis, be applicable with respect to calculating the average annual income derived from a protected grass or grazing land. 18. Displacement Compensation for Provisional Expropriation of Rural Land Where a rural land is expropriated only for a limited period of time, the multiplication factor for calculating the displacement compensation shall be the number of years for which the land is cleared; provided, however, that the compensation obtained by such calculation shall not exceed the amount payable under Article 16 or 17 of these regulations PART FOUR MISCELLANEOUS PRO VISIONS 19. Properties for which Compensation Is Not Payable There shall be no payment of compensation with respect to any construction or improvement of a building, any crops sown, perennial crops planted or any permanent improvement on land, where such activity is done after the possessor of the land is served with the expropriation order. 20. Furnishing of Data 1. The committee shall request the relevant federal, regional or other bodies to furnish any data necessary for determining the value of a property in accordance with the Proclamation and these Regulations. 2. Anybody requested under Sub-Article (1) of this Article shall hand over the data immediately to the Committee. 3. Where the data is not available with the requested bodies, the committee shall conduct its own survey on the local market price of the property. 21. Records of Property A Woreda or a city administration shall, for the purpose of the implementation of the Proclamation and these Regulations, record properties situated on a landholding subjected to an expropriation order. 22. Evidence of Possession and Ownership Any person who claims for payment of compensation in accordance with the Proclamation and these Regulations shall produce proof of legitimate possession of the expropriated landholding and ownership of the property entitling compensation. 23. Valuation Costs 1. Woreda and city administrations shall cover the costs of valuation of properties in accordance with these regulations, including payment of per diem to members of the Committee in accordance with the relevant laws. 2. The costs referred to Sub-Article (1) of this Article shall be covered by the concerned implementing agency where the expropriation is made upon its request. 24. Effective Date These Regulations shall enter into force on the date of their publication in the Federal Negarit Gazeta. Done at Addis Ababa this 4th day of July 2007 133 MELES ZENAWI PRIME MINISTER OF THE FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA Annex 9: Proclamation on Rural Land Administration and Land Use Proclamation PROCLAMATION NO. 456/2005 Federal Democratic Republic of Ethiopia Rural Land Administration and Use Proclamation WHEREAS, it is confirmed in the Constitution of the Federal Democratic Republic of Ethiopia that the right to ownership of land is exclusively vested in the state and in the people; WHEREAS, it has become necessary to sustainably conserve and develop natural resources and pass over to the coming generation through the development and implementation of a sustainable rural land use planning based on the different agro-ecological zones of the country; WHEREAS, it has become necessary to establish an information database that enables to identify the size, direction and use rights of the different types of landholdings in the country such as individual and federal and regional states holdings; WHEREAS, it has become necessary to resolve problems that arise in connection with encouraging individual farmers, pastoralists and agricultural investors and establish a conducive system of rural land administration; WHEREAS, it is deemed necessary to put in place legal conditions which are conducive to enhance and strengthen the land use right of farmers to encourage thei11take the necessary conservation measures in areas where mixed farming of crop and animal production is prevalent and where there is threat of soil erosion and forest degradation; WH EREAS, is has become necessary to establish conducive system of rural land administration that promotes the conservation and management of natural resources, and encourages private investors in pastoralist areas where there is tribe based communal landholding system; WHEREAS, Article 52 (2) (d) of the Constitution stipulates that the power entrusted to regions to administer land and natural resources is to be implemented in accordance with the law to be enacted by the federal state; NOW, THEREFORE, in accordance with Article 55 (1) of the Federal Democratic Republic of Ethiopia, it is hereby proclaimed as follows: Part One General 1. Short Title 134 This Proclamation may be cited as the Federal Democratic Republic of Ethiopia Rural Land Administration and Land Use Proclamation No. 456/2005," 2. Definition In this Proclamation, unless the context requires otherwise: 1) "Rural land'. means any land outside of a municipality holding or a town designated as such by the relevant law; 2) “Rural land administration" means a process; whereby rural land holding security is provided, land use planning is implemented, disputes between rural land holders are resolved and the rights and obligations of any rural landholders are enforced, and information on farm plots and grazing landholders are gathered analyzed and supplied to users; 3) “Rural land use", means a process whereby rural land is conserved and sustainably used in a manner that gives' better output; 4) "Holding right" means the right of any peasant farmer or semi-pastoralist and pastoralist shall have to use rural land for purpose of agriculture and natural resource development, lease and bequeath to' members of his family or other lawful heirs, and includes the right to acquire property produced on his land thereon by his labor or capital and' to sale, exchange and bequeath same; 5) “Family member" means any person who permanently lives with holder of holding right sharing the livelihood of the later; 6) "Rural land use plan" means a practice whereby the options that give greater economic benefits without,' causing land degradation and environmental pollution are determined and implemented from among the different use options a rural land can give on the basis of physical, economic and social information; 7) "Peasant" means member of a rural community who has been given a rural landholding right and, the livelihood of his family and himself is based on the income from the land; 8) “Pastoralist" me.ans a, member. of a rural community that raises cattle by holding rangeland and moving from one place to the other, and the livelihood of himself and his family is based on mainly on the produce from cattle; 9) "Semi pastoralist" means a member of a rural community whose livelihood is based mainly on cattle raising and to some extent on crop farming; 10) "Minimum size holding" means size of rural land holding the productivity of which can ensure the food security of a peasant and semi-pastoralist and pastoralist family, or which suffices for crop farming perennial crop farming, grazing, house construction and garden; 11) “Minimum private holding" means rural land in the holding of peasants Semi -Pastoralists and 'Pastoralists other bodies who are entitled by law to use rural land; 12) "Communal holding" means rural land which is given' by the .government to local residents for common grazing, forestry and other social services; 13) “State holding” means rural land demarcated and those lands to be demarcated in the future at federal or regional states holding; and includes forest lands, wild life, protected areas, state farms, mining lands, lakes, rivers and other rural lands; 135 14) "Holding certificate" means certificate of title issued by a competent authority as proof of rural land use right; 15) "Land registration" means the process whereby information on the expression of rural land use, right and holding is gathered, and analyzed; 16) “Land information system" means a system whereby rural land related information is gathered, analyzed, and distributed to users; 17) "Competent authority” means a body established in accordance with the constitution of a region to ensure that a system of rural land administration and utilization is realized in region; 18) "Person" means a natural or legal person. 3. Gender Reference The provisions of this Proclamation that are referring to masculine gender shall also apply to feminine gender. 4. Scope of Application This Proclamation shall apply to any rural land in Ethiopia. SECTIONTWO THE RIGHT TO HOLD AND USE RURAL LAND 5. Acquisition and Use of Rural Land 1) In accordance with land administration law; a) Peasant farmers/pastoralists engaged in agriculture for a living shall be given rural land free of charge; b) Any citizen of the country who is 18 years of age or above and wants to engage in agriculture for a living shall have the right to use rural land; children who lost their mothers and fathers due to death or other situation shall have the right to use rural land through legal guardians until they attain 18 years of age; c) Women who want to engage in agriculture shall have the right to get and use rural land. 2) Any person who is member of a peasant farmer, Semi-pastoralist and pastoralist family having the right to use rural land may get rural land from his family by donation, inheritance or from the competent authority, 3) Government being the owner of rural land, communal rural land holdings can be changed to private holdings as may be necessary; 4) Subject to giving priority to peasant farmers/semi-pastoralists and pastoralist: a) Private investors that engage in agricultural development activities shall have the right to use rural land in accordance with the investment policies and laws at federal and regional levels; b) Governmental and non-governmental organizations and social and economic institutions shall have the right to use rural land in line with their development objectives. 6. Rural land Measurement, Registration and Holding Certificate 136 1) The sizes of rural lands under the holdings of private persons, communities, governmental and non-governmental organizations shall be measured as appropriate using cultural and modern measurement equipment; their land use and level of fertility shall be registered as well in the data base center by the competent authorities established at all levels. 2) Rural landholdings described under Sub-Article 1 of this Article shall be measured by the competent authority and shall be given cadastral maps showing their boundaries. 3) Any holder of rural land shall be given holding certificate to be prepared by the competent authority and that indicates size of the land, land use type and cover, level of fertility and boarders, as well as the obligation and right of the holder. 4) Where land is jointly held by husband and wife or by other persons, the holding certificate shall be prepared in the name of all the joint holders. 5) The information that describes the holder of rural land, the holders of the bordering lands, the types of use, and the rights and obligation of the holder thereof shall be registered in the database and kept by the competent authority. 6) Any rural land that is held through lease or rental shall be registered by the competent authority. 7. Duration of Rural Land Use Right 1) The Rural land use right of peasant farmers, semi-pastoralists and pastoralists shall have no time limit. 2) The duration of rural land use right of other holders shall be determined by the rural land administration laws of regions. 3) Holder of rural land who is evicted for purpose of public use shall be given compensation proportional to the development he has made on the land and the property acquired, or shall be given substitute land thereon. Where the rural landholder is evicted by federal government, the rate of compensation would be determined based on the federal land administration law. Where, the rural land holder is evicted by regional governments, the rate, of compensation would be determined based on the rural land administration laws of regions. 8. Transfer of Rural Land Use Right 1) Peasant farmers, semi- pastoralist and pastoralist who are given holding certificates can lease to other farmers or investors land from their holding of a size sufficient for, the intended development in a manner that shall not displace them, for a period of time to be determined by rural land administration laws of regions based on particular local conditions, 2) The rural land lease agreement to be concluded in accordance with Sub-Article (1) of this Article shall secure the consent of all the members who have the right to use the land and be approved and registered by the competent authority, 3) A landholder may, using his land use right, undertake development activity jointly with an investor in accordance with the contract he concludes. Such contract shall be approved and registered by the competent authority, 4) An investor who has leased rural land may present his use right as collateral, 5) Any holder shall have the right to transfer his rural land use right through inheritance to members of his family. 9. Distribution of Rural Land 137 1) In accordance with land administration laws of the regions farmlands whose holders are deceased and have no heirs or are gone for settlement or left the locality on own wish and stayed over a given period of time shall be distributed to peasant farmers, semi-pastoralist and pastoralist who have no land and who have land shortage, 2) Distribution may be, undertaken on irrigable land in order to use irrigable land properly and equitably, 3) Upon the wish and resolution of peasants farmers, semi-pastoralists and pastoralists where land distribution becomes the only alternative, it shall be undertaken in such a way that it shall not be less than the minimum size of holding and in a manner that shall not result in fragmentation of land and degradation of natural resources, 4) Where peasant farmers, semi-pastoralist and pastoralists are evicted from their holdings for purpose of constructing irrigation structure, land distribution shall be undertaken to make them get equitable benefit from the irrigation development to be established. 10. Obligations of Rural Land Users 1) A holder of rural land shall be obliged to use and protect his land. When the land gets damaged, the user of the land shall lose his use right. Particulars shall be given in the land administration laws of the regions, 2) Where irrigation canals are constructed, the holder shall have the obligation to allow the construction of irrigation lines and other infrastructures if they cross his landholding, 3) The holder of rural land shall have the obligation to cooperate when requested by the competent authority to measure and survey his land, 4) Any rural landholder shall have the obligation to notify the competent authority when he abandons at will his land use right. 11. Determining Minimum Rural Land Holding Size and Encouraging Land Consolidation 1) Without prejudice to the former holding or farm plot size of a family, the farm plot to be given in the future shall not be less than the minimum size holding, 2) Where rural land is transferred by succession, it shall be made in such a way that the size of the land to be transferred is not less than the minimum size holding, 3) In order to make small farm plots convenient for development, farmers are encouraged to voluntarily exchange farmlands, 4) The information of the land its fertility of the farm plots which farmers intend to exchange holding shall be distributed through Kebele administration to let other farmers residing in the Kebele know about it, 5) A settlement and villagization program to be undertaken at the request and the participation of the community shall be undertaken taking into account the objective of land consolidation. 12. Dispute Resolution Where dispute arises over rural landholding right, effort shall be made to resolve the dispute through discussion and agreement of the concerned parties, 138 Where the dispute could not be resolved through agreement, it shall be decided by an arbitral body to be elected by the parties or be decided in accordance with the rural land administration laws of the region. PART THREE RURAL LAND USE RESTRICTIONS 13. Land Use Planning and Proper Use of Sloppy, Gully and Wetlands 1) A guiding land use master plan, which takes in to account soil type, landform weather, condition, plant cover and socio-economic conditions and which is based on watershed approach, shall be developed by the competent authority and implemented, 2) An equitable water use system shall be established between upper and lower watershed communities, 3) In any type of rural land where soil and water conservation works have been undertaken a system of free grazing shall be prohibited and a system of cut and carry feeding shall be introduced step by step, 4) The management of rural lands the slope of which is less than 30 percent shall follow the strategy of soil conservation and water harvesting. The details shall be determined by rural land administration law of regions, 5) Development of annual crops on rural lands that have slopes between 31-60 percent may be allowed only through making bench terraces, 6) Rural lands, the slope of which is more than 60 percent, shall not be used for farming and free grazing; they shall be used for development of trees, perennial plants and forage production, 7) Rural land of any slope which is highly degraded shall be closed from human and animal interference for a given period of time to let it recover, and shall be put to use when ascertained that it has recovered. Unless the degradation is caused by the negligence of the peasant farmers, semi-pastoralist and pastoralist the users shall be given compensation or other alternatives for the interim period, 8) Rural lands that have gullies shall be made to rehabilitate by private and neighboring holders and, as appropriate, by the local community, using biological and physical works, 9) Rural lands that have gullies and are located on hilly areas shall be rehabilitated and developed communally and as appropriate by private individuals, 10) The biodiversity in rural wetland shall be conserved and utilized as necessary in accordance with a suitable land use strategy. 14. Utilization of Rural Land for Villagization and other Social Services A strategy of settlement, vilIagization and development of social services that helps to bring about a better system of rural land utilization shall be formulated. 139 PART FOUR MISCELLANEOUS PROVISIONS 15, Rural Land Administration and use Study A system of study that focuses on identification of problems on land administration and use, and recommends solutions shall be established. 16. Responsibly of Federal Ministry of Agriculture and Rural Development The Federal Ministry of Agriculture and Rural Development shall: 1) have the responsibility to implement this Proclamation by providing the necessary professional support and by coordinating the competent authorities; 2) initiate, on the basis of the information gathered at national level and those to be obtained from time to time through monitoring and evaluation, development of new policy ideas, and the amendment of the existing policy, as necessary; 3) create the system for the exchange of information between regions and the Federal Government pertaining to rural land administration and use. 17, Responsibility of Regions 1) Each regional council shall enact rural land administration and Land use law, which consists of detailed provisions necessary to implement this Proclamation, 2) Regions shall establish institutions at all levels that shall implement rural land administration and Land use systems, and shall strengthen the institutions already established. 18. Obligation to Cooperate Any person shall have the obligation to cooperate with relevant bodies for the implementation of this proclamation. 19. Penalty Any person who violates this Proclamation or the regulations and directives issued for the implementation of this Proclamation shall be punishable under the applicable criminal law. 20. Repealed and Inapplicable laws 1) The Federal Government Rural Land Administration Proclamation No. 89/1997 is hereby repealed, 2) No law, regulation, directive or practice shall, in so far as it is inconsistent with this Proclamation, be applicable with respect of matters provided for in this proclamation. 21. Effective Date This Proclamation shall enter into force on this 15th date of July, 2005. Done at Addis Ababa, this 15th day of July, 2005 GIRMA WOLDEGIORGIS 140 PRESIDENT OF THE FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA Annex 10: Operational Manual: OP 4.12, Annex A - Involuntary Resettlement Instruments These policies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. OP 4.12 - Annex A- December, 2001, Revised February 2011 1. This annex describes the elements of a resettlement plan, an abbreviated resettlement plan, a resettlement policy framework, and a resettlement process framework, as discussed in OP 4.12, paras. 17-31. Resettlement Plan 2. The scope and level of detail of the resettlement plan vary with the magnitude and complexity of resettlement. The plan is based on up-to-date and reliable information about (a) the proposed resettlement and its impacts on the displaced persons and other adversely affected groups, and (b) the legal issues involved in resettlement. The resettlement plan covers the elements below, as relevant. When any element is not relevant to project circumstances, it should be noted in the resettlement plan. 3. Description of the project. General description of the project and identification of the project area. 4. Potential impacts. Identification of (a) the project component or activities that give rise to resettlement; (b) the zone of impact of such component or activities; (c) the alternatives considered to avoid or minimize resettlement; and (d) the mechanisms established to minimize resettlement, to the extent possible, during project implementation. 5. Objectives. The main objectives of the resettlement program. 6. Socioeconomic studies. The findings of socioeconomic studies to be conducted in the early stages of project preparation and with the involvement of potentially displaced people, including (a) the results of a census survey covering, (i) current occupants of the affected area to establish a basis for the design of the resettlement program and to exclude subsequent inflows of people from eligibility for compensation and resettlement assistance; (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) the 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 as provided for in OP 4.12, para. 8, 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. (b) Other studies describing the following 141 (i) land tenure and transfer systems, including an inventory of common property natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems (including fishing, grazing, or use of forest areas) governed by local recognized land allocation mechanisms, and any issues raised by different tenure systems in the project area; (ii) the patterns of social interaction in the affected communities, including social networks and social support systems, and how they will be affected by the project; (iii) public infrastructure and social services that will be affected; and (iv) social and cultural characteristics of displaced communities, including a description of formal and informal institutions (e.g., community organizations, ritual groups, nongovernmental organizations (NGOs)) that may be relevant to the consultation strategy and to designing and implementing the resettlement activities. 7. Legal framework. The findings of an analysis of the legal framework, covering (a) the scope of the power of eminent domain and the nature of compensation associated with it, in terms of both the valuation methodology and the timing of payment; (b) the applicable legal and administrative procedures, including a description of the remedies available to displaced persons in the judicial process and the normal timeframe for such procedures, and any available alternative dispute resolution mechanisms that may be relevant to resettlement under the project; (c) relevant law (including customary and traditional law) governing land tenure, valuation of assets and losses, compensation, and natural resource usage rights; customary personal law related to displacement; and environmental laws and social welfare legislation; (d) laws and regulations relating to the agencies responsible for implementing resettlement activities; (e) gaps, if any, between local laws covering eminent domain and resettlement and the Bank's resettlement policy, and the mechanisms to bridge such gaps; and (f) any legal steps necessary to ensure the effective implementation of resettlement activities under the project, including, as appropriate, a process for recognizing claims to legal rights to land--including claims that derive from customary law and traditional usage (see OP 4.12, para.15 b). 8. Institutional Framework. The findings of an analysis of the institutional framework covering (a) the identification of agencies responsible for resettlement activities and NGOs that may have a role in project implementation; (b) an assessment of the institutional capacity of such agencies and NGOs; and (c) any steps that are proposed to enhance the institutional capacity of agencies and NGOs responsible for resettlement implementation. 9. Eligibility. Definition of displaced persons and criteria for determining their eligibility for compensation and other resettlement assistance, including relevant cut-off dates. 10. Valuation of and compensation for losses. The methodology to be used in valuing losses to determine their replacement cost; and a description of the proposed types and levels of compensation under local law and such supplementary measures as are necessary to achieve replacement cost for lost assets.1 11. Resettlement measures. A description of the packages of compensation and other resettlement measures that will assist each category of eligible displaced persons to achieve the objectives of the policy (see OP 4.12, para. 6). In addition to being technically and economically feasible, the resettlement packages should be compatible with the cultural preferences of the displaced persons, and prepared in consultation with them. 12. Site selection, site preparation, and relocation. Alternative relocation sites considered and explanation of those selected, covering 142 (a) institutional and technical arrangements for identifying and preparing relocation sites, whether rural or urban, for which a combination of productive potential, locational 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; (b) any measures necessary to prevent land speculation or influx of ineligible persons at the selected sites; (c) procedures for physical relocation under the project, including timetables for site preparation and transfer; and (d) legal arrangements for regularizing tenure and transferring titles to resettlers. 13. Housing, infrastructure, and social services. Plans to provide (or to finance resettlers' provision of) housing, infrastructure (e.g., water supply, feeder roads), and social services (e.g., schools, health services);2plans to ensure comparable services to host populations; any necessary site development, engineering, and architectural designs for these facilities. 14. Environmental protection and management. A description of the boundaries of the relocation area; and an assessment of the environmental impacts of the proposed resettlement3and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement). 15. Community participation. Involvement of resettlers and host communities,4 (a) a description of the strategy for consultation with and participation of resettlers and hosts in the design and implementation of the resettlement activities; (b) a summary of the views expressed and how these views were taken into account in preparing the resettlement plan; (c) a review of the resettlement alternatives presented and the choices made by displaced persons regarding options available to them, including choices related to forms of compensation and resettlement assistance, to relocating as individuals families or as parts of preexisting 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);5and (d) Institutionalized arrangements by which displaced people can communicate their concerns to project authorities throughout planning and implementation, and measures to ensure that such vulnerable groups as indigenous people, ethnic minorities, the landless, and women are adequately represented. 16. Integration with host populations. 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 resettlers; (c) arrangements for addressing any conflict that may arise between resettlers and host communities; and (d) any measures necessary to augment services (e.g., education, water, health, and production services) in host communities to make them at least comparable to services available to resettlers. 17. Grievance procedures. Affordable and accessible procedures for third-party settlement of disputes arising from resettlement; such grievance mechanisms should take into account the availability of judicial recourse and community and traditional dispute settlement mechanisms. 18. Organizational responsibilities. The organizational framework for implementing resettlement, including identification of agencies responsible for delivery of resettlement measures and provision of services; arrangements to ensure appropriate coordination between agencies and jurisdictions involved in implementation; and any measures (including technical assistance) needed to strengthen the implementing agencies' capacity to design and carry out resettlement activities; provisions for the transfer to local authorities or resettlers themselves of 143 responsibility for managing facilities and services provided under the project and for transferring other such responsibilities from the resettlement implementing agencies, when appropriate. 19. Implementation schedule. An implementation schedule covering all resettlement activities from preparation through implementation, including target dates for the achievement of expected benefits to resettlers and hosts and terminating the various forms of assistance. The schedule should indicate how the resettlement activities are linked to the implementation of the overall project. 20. Costs and budget. Tables showing itemized cost estimates for all resettlement activities, including allowances for inflation, population growth, and other contingencies; timetables for expenditures; sources of funds; and arrangements for timely flow of funds, and funding for resettlement, if any, in areas outside the jurisdiction of the implementing agencies.6 21. Monitoring and evaluation. Arrangements for monitoring of resettlement activities by the implementing agency, supplemented by independent monitors as considered appropriate by the Bank, to ensure complete and objective information; performance monitoring indicators to measure inputs, outputs, and outcomes for resettlement activities; involvement of the displaced persons in the monitoring process; evaluation of the impact of resettlement for a reasonable period after all resettlement and related development activities have been completed; using the results of resettlement monitoring to guide subsequent implementation. Abbreviated Resettlement Plan 22. An abbreviated plan covers the following minimum elements:7 (a) a census survey of displaced persons and valuation of assets; (b) description of compensation and other resettlement assistance to be provided; (c) consultations with displaced people about acceptable alternatives; (d) institutional responsibility for implementation and procedures for grievance redress; (e) arrangements for monitoring and implementation; and (f) a timetable and budget. Resettlement Policy Framework 23. The purpose of the policy framework is to clarify resettlement principles, organizational arrangements, and design criteria to be applied to subprojects to be prepared during project implementation (see OP 4.12, paras. 26-28). Subproject resettlement plans consistent with the policy framework subsequently are submitted to the Bank for approval after specific planning information becomes available (see OP 4.12, para. 29). 24. The resettlement policy framework covers the following elements, consistent with the provisions described in OP 4.12, paras. 2 and 4: (a) a brief description of the project and components for which land acquisition and resettlement are required, and an explanation of why a resettlement plan as described in paras. 2-21 or an abbreviated plan as described in para. 22 cannot be prepared by project appraisal; (b) principles and objectives governing resettlement preparation and implementation; (c) a description of the process for preparing and approving resettlement plans; (d) estimated population displacement and likely categories of displaced persons, to the extent feasible; (e) eligibility criteria for defining various categories of displaced persons; (f) a legal framework reviewing the fit between borrower laws and regulations and Bank policy requirements and measures proposed to bridge any gaps between them; 144 (g) methods of valuing affected assets; (h) organizational procedures for delivery of entitlements, including, for projects involving private sector intermediaries, the responsibilities of the financial intermediary, the government, and the private developer; (i) a description of the implementation process, linking resettlement implementation to civil works; (j) a description of grievance redress mechanisms; (k) a description of the arrangements for funding resettlement, including the preparation and review of cost estimates, the flow of funds, and contingency arrangements; (l) a description of mechanisms for consultations with, and participation of, displaced persons in planning, implementation, and monitoring; and (m) arrangements for monitoring by the implementing agency and, if required, by independent monitors. 25. When a resettlement policy framework is the only document that needs to be submitted as a condition of the loan, the resettlement plan to be submitted as a condition of subproject financing need not include the policy principles, entitlements, and eligibility criteria, organizational arrangements, arrangements for monitoring and evaluation, the framework for participation, and mechanisms for grievance redress set forth in the resettlement policy framework. The subproject-specific resettlement plan needs to include baseline census and socioeconomic survey information; specific compensation rates and standards; policy entitlements related to any additional impacts identified through the census or survey; description of resettlement sites and programs for improvement or restoration of livelihoods and standards of living; implementation schedule for resettlement activities; and detailed cost estimate. Process Framework 26. 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). 27. Specifically, the process framework describes participatory processes by which the following activities will be accomplished (a) Project components will be prepared and implemented. The document should briefly describe the project and components or activities that may involve new or more stringent restrictions on natural resource use. It should also describe the process by which potentially displaced persons participate in project design. (b) Criteria for eligibility of affected persons will be determined. The document should establish that potentially affected communities will be involved in identifying any adverse impacts, assessing of the significance of impacts, and establishing of the criteria for eligibility for any mitigating or compensating measures necessary. (c) Measures to assist affected persons in their efforts to improve their livelihoods or restore them, in real terms, to pre-displacement levels, while maintaining the sustainability of the park or protected area will be identified. The document should describe methods and procedures by which communities will identify and choose potential mitigating or compensating measures to be provided to those adversely affected, and procedures by which adversely affected community members will decide among the options available to them. (d) Potential conflicts or grievances within or between affected communities will be resolved. The document should describe the process for resolving disputes relating to resource use restrictions that may arise between or among affected communities, and grievances that may arise from members of communities who are dissatisfied with the eligibility criteria, community planning measures, or actual implementation. (i) Additionally, the process framework should describe arrangements relating to the following 145 (e) Administrative and legal procedures. The document should review agreements reached regarding the process approach with relevant administrative jurisdictions and line ministries (including clear delineation for administrative and financial responsibilities under the project). (f) Monitoring arrangements. The document should review arrangements for participatory monitoring of project activities as they relate to (beneficial and adverse) impacts on persons within the project impact area, and for monitoring the effectiveness of measures taken to improve (or at minimum restore) incomes and living standards. Notes 1. With regard to land and structures, "replacement cost" is defined as follows: For agricultural land, it is the pre-project or pre-displacement, whichever is higher, market value of land of equal productive potential or use located in the vicinity of the affected land, plus the cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes. For land in urban areas, it is the pre-displacement market value of land of equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the affected land, plus the cost of any registration and transfer taxes. For houses and other structures, it is the market cost of the materials to build a replacement structure with an area and quality similar to or better than those of the affected structure, or to repair a partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labor and contractors' fees, plus the cost of any registration and transfer taxes. In determining the replacement cost, depreciation of the asset and the value of salvage materials are not taken into account, nor is the value of benefits to be derived from the project deducted from the valuation of an affected asset. Where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures so as to meet the replacement cost standard. Such additional assistance is distinct from resettlement measures to be provided under other clauses in OP 4.12, para. 6. 2. Provision of health care services, particularly for pregnant women, infants, and the elderly, may be important during and after relocation to prevent increases in morbidity and mortality due to malnutrition, the psychological stress of being uprooted, and the increased risk of disease. 3. Negative impacts that should be anticipated and mitigated include, for rural resettlement, deforestation, overgrazing, soil erosion, sanitation, and pollution; for urban resettlement, projects should address such density- related issues as transportation capacity and access to potable water, sanitation systems, and health facilities. 4. Experience has shown that local NGOs often provide valuable assistance and ensure viable community participation. 5. OP 4.11, Physical Cultural Resources. 6. The costs of establishing the grievance procedures for the project shall be included in the project costs. 7. In case some of the displaced persons lose more than 10% of their productive assets or require physical relocation, the plan also covers a socioeconomic survey and income restoration measures. -------------------- 146 147 Annex 11: Community Consultations Attendance Sheet 148 149 150 151 152 153 154 155 List of Group Discussion/Interview Participants for Social Assessment (SA) and Resettlement Policy Framework (RPF) Oromia Zone: North Shoa Woreda: Debre Libanos 1. Woreda Livestock and Fishery Resource Development Office, Head 2. Woreda Livestock and Fishery Resource Development Office, Natural Resource Management Expert Zone: Ilu Aba Bora Woreda: Bora 1. Woreda Livestock and Fishery Resource Development Office Head 2. Woreda Livestock and Fishery Resource Development Office, Forage Expert 3. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert Zone: West Shoa Woreda: Jeldu 1. Woreda Livestock and Fishery Resource Development Office, Deputy Head 2. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert 3. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert 4. Woreda Livestock and Fishery Resource Development Office, Diary Expert 5. Woreda Livestock and Fishery Resource Development Office Poultry and Fishery Expert 6. Woreda Livestock and Fishery Resource Development Office, Apiculture Expert 7. Woreda Livestock and Fishery Resource Development Office, Hide and Skin Expert 8. Woreda Livestock and Fishery Resource Development Office Head, Fattening Expert 9. Woreda Livestock and Fishery Resource Development Office , Input Supply Expert Zone: Horo Gudru Woreda: Abay Chomeb 1. Zone Livestock and Fishery Resource Development, Head 2. Zone Livestock and Fishery Resource Development, Deputy Head 3. Zone Livestock and Fishery Resource Development, Dairy Expert 4. Woreda Livestock and Fishery Resource Development Office, Head 5. Woreda Livestock and Fishery Resource Development Office, Deputy Head Zone: Bale Woreda: Dinsho 1. Woreda Livestock and Fishery Resource Development Office, Head 2. Woreda Livestock and Fishery Resource Development Office, Fattening Expert 3. Woreda Livestock and Fishery Resource Development Office, Poultry Expert 4. Woreda Livestock and Fishery Resource Development Office, Diary Expert Zone: West Arsi Woreda: Kore 1. Woreda Livestock and Fishery Resource Development Office, Head 2. Woreda Livestock and Fishery Resource Development Office, Forage Expert 156 3. Woreda Livestock and Fishery Resource Development Office, Dairy Expert 4. Woreda Livestock and Fishery Resource Development Office, Input Supply Exert 5. Woreda Livestock and Fishery Resource Development Office, regulatory Expert Zone: East Hararghe Woreda: Kombolcha 1. Woreda Livestock and Fishery Resource Development Office, Deputy Head 2. Woreda Livestock and Fishery Resource Development Office, Dairy Expert 3. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert 4. Woreda Livestock and Fishery Resource Development Office, AI Expert 5. Woreda Livestock and Fishery Resource Development Office, Fattening Expert 6. Woreda Livestock and Fishery Resource Development Office, Input Supply Expert Tigray Zone: South Eastern Woreda: Hintalo Wajirat 1. Livestock and Fishery Resource Development Work Process Owner 2. Livestock and Fishery Resource, Forage Expert 3. Livestock and Fishery Resource Development, Apiculture Expert 4. Livestock and Fishery Resource Development, Animal Husbandry Expert Zone: Eastern Woreda: Kilite Awulalo 1. Livestock and Fishery Resource Development Work Process Owner 2. Livestock and Fishery Resource Development, Forage Expert 3. Livestock and Fishery Resource Development, Veterinary Health Expert Amhara Bahir Dar 1. Livestock Resources Development Promotion Agency, Deputy Manager Zone: West Gojjam Woreda: Bahir Dar Zuria 1. Woreda Livestock and Fishery Resource Development, Veterinary Helath Expert 2. Woreda Livestock and Fishery Resource Development Office, Head 3. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert 4. Woreda Livestock and Fishery Resource Development Office, Forage Development Expert 5. Woreda Livestock and Fishery Resource Development Office, Dairy Expert 6. Woreda Livestock and Fishery Resource Development Office, input Supply Expert 7. Woreda Livestock and Fishery Resource Development Office, Livestock Extension Communication Expert 8. Woreda Livestock and Fishery Resource Development, Fishery Expert 157 Zone: West Gojjam Woreda: Mecha 1. Woreda Livestock and Fishery Resource Development Office, Dairy Expert 2. Woreda Livestock and Fishery Resource Development Office, Forage Development Expert 3. Woreda Livestock and Fishery Resource Development Office, Extension Communication Expert 4. Woreda Livestock and Fishery Resource Development Office, Plan and Program Expert Zone: North Shoa Worda: Basona Werana 1. Woreda Livestock and Fishery Resource Development Office, Head 2. Woreda Livestock and Fishery Resource Development Office, AI Expert 3. Woreda Livestock and Fishery Resource Development Office, Fishery Expert 4. Woreda Livestock and Fishery Resource Development, Veterinary Health Expert 5. Woreda Livestock and Fishery Resource Development, Livestock Development Work Process Owner SNNPR Zone: Sidama Woreda: Hawassa Town 1. Hawassa Town Administration Livestock and Fishery Resource Development Office, Forage Development Expert 2. Hawassa Town Administration Livestock and Fishery Resource Development Office, Animal Breeding Expert 3. Hawassa Town Administration Livestock and Fishery Resource Development Office, Fishery Expert 4. Hawassa Town Administration Livestock and Fishery Resource Development Office, Poultry Expert Zone: Segen Area Peoples’ Woreda: Konso 1. Woreda Livestock and Fishery Resource Development Office, Head 2. Woreda Livestock and Fishery Resource Development Office, Deputy Head 3. Woreda Livestock and Fishery Resource Development Office, Extension Work Process Owner 4. Woreda Livestock and Fishery Resource Development Office, Dairy Expert 5. Woreda Livestock and Fishery Resource Development Office, Animal Husbandry Expert 6. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert Zone: Gamo Gofa Woreda: Arba Minch Zuria 158 1. Woreda Livestock and Fishery Resource Development Office, Forage Development Expert 2. Woreda Livestock and Fishery Resource Development Office, Forage Development Expert 3. Woreda Livestock and Fishery Resource Development Office, Polluter Expert 4. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert 5. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert 6. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert 7. Woreda Livestock and Fishery Resource Development Office, Breeding Expert, Dairy Expert 8. Woreda Livestock and Fishery Resource Development Office Benishangul-Gumz Asossa 1. Regional Livestock and Fishery Resource Development Agency, Director 2. Regional Livestock and Fishery Resource Development Agency, Veterinary Health Work Process Owner 3. Regional Livestock and Fishery Resource Development Agency, Animal Husbandry Expert Zone: Asossa Woreda: Asossa 1. Woreda Livestock and Fishery Resource Development Office, Extension Work Process Owner 2. Woreda Livestock and Fishery Resource Development Office, Animal Husbandry Expert 3. Woreda Livestock and Fishery Resource Development Office, Veterinary Work Process Owner Gambella Region Gambella 1. Livestock and Fishery Resource Agency, Deputy Head Zone: Agnywa Woreda: Abobo 1. Woreda Livestock and Fishery Resource Development, Veterinary Helath Expert 2. Woreda Livestock and Fishery Resource Development Office, Marketing Expert 3. Woreda Livestock and Fishery Resource Development Office, Cooperatives Expert 4. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert 5. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert 6. Woreda Livestock and Fishery Resource Development Office, Veterinary Health Expert 7. Woreda Livestock and Fishery Resource Development Office, Human Resource Development Expert 8. Woreda Livestock and Fishery Resource Development Office, Animal Husbandry Expert 159 160 Annex 12: Sample Photos of Community Consultations Debre Libanos Woreds, North Shoa Zone of Oromia Asossa Woreda, Benishangul-Gumz Consultations with Diary Cooperative Members Consultations with Community Representatives Abobo Woreda, Asossa Zone of Gambella Mecha Woreda, West Gojjam (Amahara) Consultations Fishers Cooperative members Consultations with Organized Youth Group 161 Arba Minch Zuria Woreda, Gamo Goffa Zone (SNNPR) Community Consultation with Fishers’ Cooperative Members. Zeyese Kebele Konso Woreda, Sagen Peoples’ Zone (SNNPR) Community Consultation with Animal Fattening Group Members, Jarsso Kebele, Konso woreda 162 Konso Woreda, Segen Peoples’ Zone, SNNPR Community Consultations with youth Group, Jarsso Kebele Conversation with Animal Fattening Group, Ganta Kanchama, Kebele, Arba Minch Zuria Woreda 163