SFG3461 Ethiopia Rural Safety Net Project Resettlement Policy Framework THE FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA MINISTRY OF AGRICULTURE AND NATURAL RESOURCES ETHIOPIA RURAL SAFETY NET PROJECT RESETTLEMENT POLICY FRAMEWORK (RPF) Natural Resources Directorate, PSNP Public Works Coordination Unit 21 June 2017 1|Page Ethiopia Rural Safety Net Project Resettlement Policy Framework Table of Contents Part I: Summary .............................................................................Error! Bookmark not defined. Part II: Basic Information ............................................................................................................... 4 Part III: Objectives of the RPF........................................................................................................ 9 Part IV: Rationale for RPF............................................................................................................ 11 Part IV: Community Consultations and Support for the Project RPF…………………..……….20 Part VI: Legal and Institutional Framework ................................................................................. 30 Part VII: Compensation for Land and Other Assets ..................................................................... 37 Part VIII: Implementation Schedule, Budget and Arrangement for Funding ........................... 4646 Part IX: Public Consultation and Disclosure Plan ........................................................................ 49 Part X: Monitoring and Evaluation of Impacts ............................................................................. 50 List of Annexes ............................................................................................................................. 52 ANNEX 1: World Bank Involuntary Resettlement Policy ....................................................... 53 ANNEX 2: Annotated Outline for Preparing a Resettlement Action Plan (RAP) .................... 65 ANNEX 3: Sample Grievance and Resolution Form................................................................ 60 ANNEX 4: Sample Table of Contents for RAP Consultation Reports………………………. 61 ANNEX 5: Glossary of Terms .................................................................................................. 63 ANNEX 6: Relevant Laws ....................................................................................................... 65 ANNEX 7: Lists of Participants in the Public Consultations on RPF………………………...67 2|Page Ethiopia Rural Safety Net Project Resettlement Policy Framework Abbreviations and Acronyms ARPA Abbreviated Resettlement Action Plan CBO Community Based Organization CDD Community Driven Development EPA Environmental Protection Authority ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework EPSNP Ethiopia Productive Safety Net Project GoE Government of Ethiopia GTP Growth and Transformation M&E Monitoring and Evaluation MEP Monitoring and Evaluation Plan MoA Ministry of Agriculture NGO Non-Governmental Organization OP Operational Policy PAP Project Affected People PRSP Poverty Reduction Strategy Paper PSNP Productive Safety Net Programme PWCU Public Works Coordination Unit (Federal) PWFU Public Works Focal Unit (Regional) RAP Resettlement Action Plan RoW Right of Way RPF Resettlement Policy Framework SIA Social Impact Assessment SNNPRS Southern Nations, Nationalities and Peoples Regional State 3|Page Ethiopia Rural Safety Net Project Resettlement Policy Framework Part I: Summary Background: Food insecurity has long been one of the defining features of rural poverty, particularly in drought-prone areas of Ethiopia. Poverty has been widespread in both rural and urban areas, but the magnitude has been much greater in drought-prone rural areas than in urban areas. The Government of Ethiopia decided that there was an urgent need to address the basic food needs of food insecure households via a productive safety net system financed through multi-year predictable resources, rather than through a system dominated by emergency humanitarian aid. Furthermore, the Government sought to shift the financing of the programme from food aid to cash. On this basis, within the framework of the national Food Security Programme, which emphasized the three interrelated pillars of food security that address food availability, access to food and utilization, the Government decided to develop a Productive Safety Net Project (PSNP). Following the launch of the PSNP in 2005, the food insecurity situation has shown gains in recent years, attributable to the PSNP and other, related programmes and activities. However, with rapid population growth, the absolute number of Ethiopians living in poverty is still high. PSNP IV built on the successes and lessons learned from the previous and current phases of the PSNP. It also supported the transition to a system of integrated social protection, and the integration of the two previous programs (PSNP and Household Asset-Building Programme (HABP) into a single program, and scaling up to a national rural program, in all regions. The Ethiopia Rural Safety Net Project (ERSNP) will support the Government of Ethiopia’s rural safety net, that brings together the Productive Safety Net Program (PSNP) and the humanitarian food assistance that is provided to meet the food needs of people negatively affected by drought. It will operate in eight regions (Afar, Amhara, Dire Dawa, Harare, Oromiya, Somali, SNNP and Tigray) and in all woredas in these regions. Through the PSNP, the Government provides predictable safety net support to 8 million chronically food insecure people. These people are selected into the program through a community-based targeting process. Households with able-bodied adult members are asked to work on community planned public works in exchange for their transfers, which they receive each month for six months of the year. Households with no able-bodied adults receive support without having to participate in Public Works. Transfers are provided in cash or food through the Government’s financial management and food management systems. Livelihoods activities (in some cases provided through NGOs) aim to enable PSNP clients to diversify and increase their incomes thereby moving out of poverty (and graduating from participation in the PSNP). The PSNP has been designed so that safety net support can be expanded in response to drought. The program has flexibility to provide extended months of support to existing clients and include additional households as temporary clients. To date, this scaling-up has only been financed through contingency budgets that were held within the Program at woreda and federal-level. Under the ERSNP, the Government will use the systems and procedures of the PSNP for “emergency” food or cash support to households affected by drought and other crises in the eight regions. In this way, 4|Page Ethiopia Rural Safety Net Project Resettlement Policy Framework the scaling-up of safety net support in response to drought will be through funds allocated to drought-response, be these humanitarian or development funds. Project Components: In order to support the Government of Ethiopia to improve the delivery of an effective and scalable safety net, this project will include three components: (i) Component 1: Safety net transfers for food insecure households in rural areas is focused on the delivery of predictable, timely transfers (both regular transfers to core beneficiaries and scaled-up transfers in response to shocks). It comprises the public works that most clients work on in exchange for their safety net transfers and nutrition sensitive interventions which supplement these public works conditions; (ii) Component 2: Enhanced access to complementary livelihood services will build on earlier experiences of the PSNP and continue to improve access to technical and financial livelihoods support services and household saving promotion; and (iii) Component 3: Institutional support to building safety net systems in rural areas will provide technical support to the institutional and system reform required to deliver an effective and scalable safety net in rural areas. It will also support the development and evolution of key instruments and tools, capacity building, and the management and administrative budgets for implementing the enhanced system. Given the integration of the PSNP with the delivery of humanitarian food assistance (in food and cash) an overriding aim of this component is to improve the systems and procedures for: (i) identifying households that are eligible for safety net support; and (ii) ensuring robust mechanisms and reporting for the delivery of this support whether in the form of cash or food. Resettlement Policy Framework (RPF). The RPF is prepared to establish resettlement and compensation procedures, implementation arrangement, criteria for identification of Project Affected People (PAPs) and resolving disputes. Expected Project Benefits: The economic benefits of the program are represented by (i) improvements in household wellbeing as a result of consumption smoothing, asset protection and the avoidance of negative coping behaviors; (ii) enhanced livelihoods through asset accumulation and increased productivity; (iii) increased use of social services, market access and agricultural productivity as a result of the infrastructure created through the community public works; and (iv) the efficiency gains from improved targeting and development of systems. Therefore, PSNP provides both protective and productive benefits at the household and the community levels. Identified Project Social Risks: Pastoralist and agro-pastoral communities are known to have complex social relations, are prone to conflicts and are located in the arid and semi-arid regions of the country where the environment is fragile. This increases the social risks associated with the Project. The project includes the development of social infrastructure subprojects which may require acquisition of land and reduce access to natural resources and thereby potentially result in loss of livelihoods. 5|Page Ethiopia Rural Safety Net Project Resettlement Policy Framework Part II: Basic Information Project Name: Ethiopia Rural Safety Net Project Project Development Objective: The Project Development Objective (PDO) is to support the Government of Ethiopia in improving the effectiveness and scalability of its rural safety net system. PDO-level Results Indicators: The key results for the proposed operation are the achievements that are most necessary to improve the effectiveness and scalability of the rural safety net system in Ethiopia. The effectiveness of the safety net can best be measured through progress in the accuracy of targeting, the timeliness of transfers, and the robustness of payment modalities. The scalability of the safety net can be measured through progress made in putting into practice the common framework for transfers that are delivered in response to drought. Strengthening the performance of the rural safety net along these parameters is anticipated to improve the impacts on food security and contribute toward poverty reduction. The key results are as follows: - Targeting accuracy. This indicator will assess whether the safety net transfers are reaching eligible households. Targeting is largely effective at identifying chronically food insecure households in the highland regions for regular support from the PSNP. However, the targeting accuracy of the PSNP has been considerably weaker in pastoral regions (specifically Afar and Somali). Regarding the targeting of humanitarian food and cash resources, there is no robust evidence. - Timely transfers. This indicator assesses the extent to which clients receive their transfers on time, as set out in a payment calendar. This indicator focuses on the percentage of safety net payments meeting performance standards, which will vary for (a) regular transfers as compared with transfers in response to transitory need and (b) payments in cash or food. 1 - Robust payment modalities, specifically for cash. This result focuses on planned improvements to the payment systems for transfers for regular safety net transfers and those provided in response to drought. In particular, it measures the expansion in the use of e- payments for cash transfers. - Common standards for PW planning. At present, planning of PW subprojects, which are funded through the PSNP or HFA, is carried out separately, with limited use of common standards. This indicator assesses the application of common standards through the percentage of rural safety net PW subprojects that have been screened using the GoE’s Environmental and Social Management Framework (ESMF). Project Beneficiaries The proposed project will target food insecure households in rural Ethiopia. The program will operate in eight regions: Afar, Amhara, Dire Dawa, Harar, Oromiya, Somali, Southern Nations, Nationalities, and Peoples (SNNP) Region, and Tigray. Direct program beneficiaries will include the 8 million people targeted as core beneficiaries by the PSNP and beneficiaries of HFA, the number for which will be determined though biannual needs assessments. Within the program, 1 Timeliness of payments in cash to core beneficiaries has largely met performance standards, and most of the improvements expected will be seen in pastoral regions where food has been the predominant mode of transfer and for transitory clients. 6|Page Ethiopia Rural Safety Net Project Resettlement Policy Framework efforts are under way to ensure that male and female members of food insecure households benefit equally. Project Description The proposed project will support the Government rural safety net, which brings together into a common framework the PSNP and the Humanitarian Food Assistance (HFA). Through the PSNP, the Government provides predictable safety net support to 8 million chronically food insecure people in chronically food insecure woredas in rural Ethiopia. These people are selected into the program through a community-based targeting process. Households with able-bodied adult members are asked to work on community planned PW in exchange for their transfers, which they receive each month for six months of the year. These adults participate in PW that rehabilitate the natural resource base, build health posts and schoolrooms, construct and rehabilitate roads, and build other public infrastructure as prioritized by the community. Women are exempt from PW during pregnancy and the first-year postpartum, during which they are linked with the Health Extension Program to receive antenatal counselling, growth monitoring, and other services. Labor- constrained households 2 receive unconditional transfers (PDS) and are linked with complementary social services where possible. Transfers are provided in cash or food through the Government’s financial management (FM) and food management systems and, in some cases, through the World Food Program and nongovernmental organizations (NGOs). 3 The PSNP also provides livelihoods support in the form of skills training, business planning, savings promotion, credit facilitation, and, where appropriate, employment linkages. For the poorest PSNP households that have completed the required trainings, the program also offers a livelihood transfer for the purchase of productive assets. The HFA provides food and cash transfers to households that are food insecure as a result of a shock, most often drought, in rural areas. The number of people supported by the HFA (and duration of this support) is determined though a biannual needs assessment. 4 The households are selected into the HFA through a community-based targeting process. Historically, the HFA provided only food transfers to households, increasingly, however, support is being provided in cash. While the needs assessment will recommend that households receive transfers each month for three to twelve months, the actual among of support is depending on the amount of funds allocated in response to the Humanitarian Appeal. Transfers are provided unconditionally, although in some areas households are encouraged to participate in public works. Transfers in food are provided through the Government’s food management systems and through the World Food Program and nongovernmental organizations (NGOs). Transfers in cash have been through the NDRMC. 2 Labor-constrained households are defined as households without able-bodied adults or female-headed households with a high dependency ratio (four or more dependents). 3 The U.S. Agency for International Development (USAID) funding to the Government’s PSNP is channeled through NGOs. This delivery modality is not described in detail in this document. Similarly, some donors finance the PSNP through the World Food Programme (WFP), which largely consists of the delivery of food transfers to PSNP households. 4 The GoE and its humanitarian partners typically conduct two large-scale, multiagency needs assessments per year. The field work for these assessments coincides with the preharvest phase of the two main agricultural seasons (meher and belg) and the two main rainy periods in the south and south-west pastoral areas (gu and dery in Somali region). The numbers and location of people defined as needing assistance, whether food or non-food (water, agriculture, and other), inform the geographic allocation of resources for any humanitarian response. 7|Page Ethiopia Rural Safety Net Project Resettlement Policy Framework The PSNP has been designed so that safety net support can be expanded in response to drought. The program has the flexibility to provide extended months of support to existing clients and include additional households as temporary clients. To date, this scaling-up has only been financed through contingency budgets that were held within the program at woreda and federal levels. Under the rural safety net, the Government has put in place a framework that brings together the PSNP and HFA in the eight regions. This framework sets out operational procedures that will be used by the PSNP and HFA. In many cases, this involves extending the systems and procedures of the PSNP to include the HFA. In others, this requires the PSNP to adopt the procedures of the HFA. This framework includes: (i) the biannual needs assessments will determine the food needs of households, including those in the PSNP; (ii) the selection of households into the PSNP and HFA using the same targeting and appeals structures; (iii) the adoption of common payment procedures (use of PASS, role of WOFED); (iv) the waiving of public works requirements for severe droughts for PSNP; and (v) the adoption of common reporting formats, audits and evaluations. To support the Government to improve the delivery of an effective and scalable safety net, this project will include three components. Component 1: Safety net transfers for food insecure households in rural areas is focused on the delivery of predictable and timely transfers (both regular transfers to core clients and transfers to households in response to shocks). It comprises the PW that most clients work on in exchange for their safety net transfers and the nutrition-sensitive interventions that supplement these PW conditions. Component 2: Enhanced access to complementary livelihood services aims to improve the access of PSNP clients to technical and financial livelihoods support services. Component 3: Institutional support to strengthening systems for the rural safety net will provide technical support to the institutional and system reform required to deliver an effective and scalable safety net in rural areas. It will also support the development and enhancement of key instruments and tools, capacity building, and the management and administrative budgets for implementing the system. 8|Page Ethiopia Rural Safety Net Project Resettlement Policy Framework Part III: Objectives of the RPF This RPF, which is disclosed together with the ESMF, serves as a guide to project implementers to ensure that prior to implementation of any PW subproject likely to result in such impacts project- affected people are consulted, and appropriate preventative and mitigating measures are exhaustively considered and implemented. Specifically, the objectives of this Resettlement Policy Framework (RPF) are: 1. Establish the ERSNP resettlement and compensation principles and implementation arrangements; 2. Describe the legal and institutional framework underlying Ethiopian approaches for resettlement, compensation and rehabilitation; 3. Define the eligibility criteria for identification of project affected persons (PAPs) and entitlements; 4. Define a participatory process by which potential reduced access to resources is identified and mitigation measures established; 5. Describe the consultation procedures and participatory approaches involving PAPs and other key stakeholders; and 6. Describe implementation and monitoring arrangements 7. Provide procedures for filing grievances and resolving disputes. This RPF will apply to Public Works subprojects of Component 1. The RPF procedures will be carried out throughout preparation and implementation of the subprojects concerned, and potential impacts and implementation of the required mitigating or compensation measures will be tracked by the ERSNP Monitoring and Evaluation (M&E) system. Whenever a Resettlement Action Plan (RAP) is required, it will be prepared in accordance with guidance provided in this RPF, including detailed measurement surveys, identification of PAPs/displaced persons, and public consultation and disclosure procedures. This RPF follows the guidance provided in the World Bank Operational Policy on Involuntary Resettlement (OP4.12), as described in Annex 1. This RPF ensures that any possible adverse impacts of proposed project activities are addressed through appropriate mitigation measures, particularly against potential impoverishment risks. These risks can be minimized by: • Avoiding displacement of people without a well-designed compensation and relocation process; • Minimizing the number of PAPs, to the extent possible; • Compensating for losses incurred and displaced incomes and livelihoods; and • Ensuring resettlement assistance or rehabilitation, as needed, to address impacts on PAPs livelihoods and their well-being; • Ensure that ERSNP PW subprojects do not result in reduced access to resources. The project will not operate or cause restriction of access to legally designed parks and protected areas. 9|Page Ethiopia Rural Safety Net Project Resettlement Policy Framework In addition, PAPs should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs. 10 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Part III: Rationale for RPF This RPF will apply to the activities in Component 1: Safety net transfers for food insecure households in rural areas is focused on the delivery of predictable, timely transfers (both regular transfers to core beneficiaries and scaled-up transfers in response to shocks). It comprises the public works that most clients work on in exchange for their safety net transfers and nutrition sensitive interventions which supplement these public works conditions. ERSNP is expected to contribute to several social development outcomes, including: (i) improved livelihoods; (ii) increased capacity of beneficiary communities to manage their own development; (iii) improved social accountability; and (iv) broader community participation in the development process. The preparation of the ERSNP has drawn on important studies: (i) (2016) Impact Assessment conducted by the CSA, IFPRI and IDS; (ii) (2017) Gender in Lowlands Contextual Assessment conducted by independent consultants; (iii) (2017) Safeguards Implementation Verification in Afar and Somali Study (iv) (2017) Enhanced Social Assessment and Consultation conducted by the Ministry of Agriculture (MoA) designed to ascertain what programme design changes might be necessary with regard to underserved or particularly vulnerable peoples to make sure that their voices are fully heard and that their interests are fully reflected in the new design. During the course of the PSNP, various methods were adopted to introduce stronger social accountability into the programme. In the process lessons were learned from the Ethiopia Social Accountability Phase 2 Programme (ESAP2), which provides Ethiopians with the opportunity to communicate their views on the quality of service provision and areas of improvement needed. A two phased Pilot was carried out (with the second phase still ongoing until December 2017). As a result of these initiatives, an agreement was made to formally integrate the PSNP into next phase of ESAP (ESAP3 from 2018 – 2022). This integration will yield mutual benefits to both the PSNP and ESAP. The ERSNP will strengthen the PSNP’s Grievance Redress Mechanism. Kebele Appeals Committees (KACs) will be responsible for hearing and addressing complaints regarding the delivery of regular support to PSNP clients and safety nets in response to droughts. KACs were introduced by the PSNP in 2007 to guarantee timely and objective treatment for those who might have a grievance, on any aspect of PSNP implementation. KACs comprise community representatives and regularly receive complaints which are discussed and documented by the KACs with the results posted in a central location within the kebele. Complaints that cannot be resolved by the KAC are referred to woreda-level structures for resolution. 5 In recent years, there have been advances in the development of the government’s GRMs systems including through the establishment of the Ethiopian Institution of the Ombudsman and Regional and Woreda Public Grievance Hearing Offices. Regional and Woreda Grievance Hearing Offices include officers trained on procedures for receiving, assessing and investigating, and resolving grievances and complaints on public services coming from either groups or individuals. While recognizing the need to first resolve complaints and grievances at the project level, elements of the 5 In the past, KACs could refer complaints to the Woreda Council. In the future, KACs will be linked to the government’s core grievance redress systems. 11 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework rural safety net will be integrated into the government’s formal GRM structure. Grievance Hearing Offices have already begun to incorporate PSNP into their work. This has recently become more formalized with the development of a standardized manual for Regional Public Grievance Redress Offices including a module on linkages to the PSNP. Clear lines of communication will be put in place to link the KACs with this mainstream GRM structure. Similarly, there is potential for the Ethics and Anti-Corruption Commission to integrate elements of the PSNP into its structures. Moving forward, training for Ethics and Anti-Corruption Officers may include the rural safety net. Opportunities for other linkages will also be explored. To complement the GRM, progress on social accountability will continue with an Expanded PSNP Social Accountability Pilot (integrated into the Ethiopia Social Accountability Program, Phase 2 Bridging Phase) now under implementation in 19 woredas. CSOs are currently facilitating the implementation of social accountability tools such as Citizen Report Cards and Community Score Cards (including interface meetings between PSNP beneficiaries and service providers and the development of Joint Action Plans to improve performance of the PSNP)—including areas of improvement identified by communities. When the PSNP becomes fully integrated into the next phase of Ethiopia Social Accountability Program, the application of social accountability tools to the PSNP will be expanded to additional woredas. Direct negative social impacts of PW subprojects such as conflicts over the use of scarce resources are covered by an Environmental and Social Management Framework (ESMF), which identifies such impacts during the Screening process and identifies appropriate mitigating measures. In addition to this, other social issues are addressed by specialized instruments as follows: The Ethiopian constitution recognizes the presence in Ethiopia of different socio-cultural groups, including historically disadvantaged or underserved communities, as well as their rights to their identity, culture, language, customary livelihoods, socio-economic equity, etc. The Enhanced Social Assessment and Consultation has been conducted and a wide range of issues and recommendations have been made in order to ensure that the needs of these groups will be addressed by ERSNP in an appropriate manner. These findings have been used to address issues such as potential adverse impacts, and culturally appropriate services in the final project design. Under PSNP IV, PW sub-projects likely to lead to the physical relocation of households, or with impacts that might lead to involuntary resettlement or involuntary loss of assets or access to assets were ineligible. Under the ERSNP, PW sub-projects remain ineligible, but a Resettlement Policy Framework (RPF) has been prepared, in accordance with the World Bank safeguard policy OP 4.12, in case in the future some PW subprojects might lead to the involuntary acquisition of land, loss of assets, loss of income sources or means of livelihood, or involuntary restriction of access to natural resources. This determination would be made by the DA during the subproject Screening process. The RPF would then serve as a guide to project implementers to ensure that, prior to implementation of any sub-project likely to result in such impacts, project-affected people are consulted and appropriate preventive and mitigation measures are exhaustively considered and executed. However, such sub-projects, which were ineligible during the previous phases of the PSNP, will continue to remain ineligible during ERSNP pending completion and implementation of the computerized PA database and monitoring system capable of tracking such sub-projects. 12 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Thus under ERSNP all cases of loss of assets or access to assets are required to follow the procedures set out in this Resettlement Policy Framework (RPF). Description of Subprojects to which the RPF will be applied The major causes of food insecurity in Ethiopia include land degradation, recurrent drought, population pressure, and subsistence agricultural practices characterized by low input and low output. The Government policy of community-based watershed development is designed to address some of these issues, with a view to making the watershed productive and able to sustain the livelihoods of households within the watershed. ERSNP follows the approach of the previous phases of the PSNP in adopting this Government policy, whereby the programme of community-based watershed development is achieved by the implementation of an annual PW programme consisting of discrete PW ‘subprojects’. However, although many of the subprojects are aimed at enhancing the environment and increasing the productive capacity of the natural resource base, the subprojects also have the potential for adverse environmental impacts on human populations or the biophysical environment, particularly if their location and design do not follow good environmental practices. Eligibility Criteria ERSNP PW subprojects are labour-intensive, community-based activities designed contribute to watershed development, respond to the needs of Climate Change, Disaster Risk Management and Ethiopia’s Nutrition policy, and to provide employment for chronically food insecure people who have “able-bodied” labour. The Programme Implementation Manual (PIM) requires that to be eligible for financing under the ERSNP, the subprojects must be environmentally and socially sound. It specifies that projects should be adapted to local conditions and protect the environment. They should be based on sound technical advice, and adequate technical supervision should be available to ensure the quality of work. The subprojects are also required to meet the following criteria: • Labour intensity: Subprojects activities must be labour-intensive and use simple tools as much as possible. • Communal benefits: The subprojects must benefit the community as whole or groups of households within a given area. • Community acceptance: The subprojects must be accepted and approved by the community. They should have active community support and commitment. • Feasibility and sustainability: The subprojects must be feasible technically, socially and economically. They should be simple and manageable in implementation and also in on-going maintenance in order to be sustainable. • Productive: The subprojects should create durable community assets which should contribute to watershed development and to the reduction of poverty and food insecurity. • Gender sensitivity: Priority should be given to subprojects that are assigned to enable women to participate and which contribute to reducing women’s regular work burden and increase access to productive assets. 13 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Planned Location of Subprojects Subprojects will be implemented in rural areas, within the identified regions. In cropping areas, they are expected to be within around 5 kilometres of the homes of the intended beneficiaries, or less in areas of steep or difficult terrain. In pastoral areas, subprojects will be organized at strategic locations to which families can move or send selected able-bodied members. Types of Subproject The selection of subprojects to be undertaken under the Component 1 will be driven by the local planning process, which is well established in PSNP weredas. The planning process, which involves the DA and a Community Watershed Development Committee, includes inputs from both men and women as well as representatives from vulnerable groups, in order to identify community needs and prioritise activities based on those needs. This will allow a pipeline of subprojects to be developed. The planning process of all PW subprojects is subject to the PW ESMF process, which triggers use of this RPF. Priorities, desirable outcomes and connected activities will vary based on location. Examples of outcomes and activities in settled cropping areas such as are typically found in Tigray, Amhara, Oromiya and SNNPR, are outlined in the Table below. TABLE 1: EXAMPLES OF PW SUBPROJECTS AND EXPECTED OUTPUTS AND OUTCOMES Typical Subprojects Expected Outputs Expected Outcomes  Area closures/wood lots Improved land productivity Improved crop production,  Multi-layered/storied agro-forestry and soil fertility restoration crop yields and livelihoods  Physical conservation measures, e.g. hill side terracing.  Micro-niche development  Biological measures  Mulching of degraded areas  Removal of invasive plant species  Gully control Increased land availability Improved crop production  Land reclamation of degraded or for land-poor and landless and livelihoods previously unproductive land  Bench terracing  Small-scale irrigation Improved access to Improved health, improved  Stream diversion drinking and irrigation food production and  Spring development water livelihoods  Shallow wells  Small dams  Water ponds 14 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Typical Subprojects Expected Outputs Expected Outcomes  Drainage and water canals/conduits  Infiltration pits  Seepage control measures  Vegetative fencing and fodder belts Increased availability of Improved crop production,  Conservation measures fodder, livestock management and  Fodder seed collection livelihoods  Paddock systems  Water logging control  Multi-purpose nurseries  Repairing classrooms and health Improved school and Improved health and facilities health facilities education  Latrine construction  Classroom construction/renovation  Health post construction.  Rural access road Improved access to health, Improved health, construction/rehabilitation education and farmer education, marketing of on-  Market yards and storage training services and to farm and off-farm products,  Stock routes markets and livelihoods.  Child care centre construction Improved access to child- Improved mother and child care facilities care, health and safety Some beneficiaries are given an option to substitute participation in social service (‘soft conditionality’) programmes as a substitute for part or all of their PW labour-days. These will cover options such as the following: Typical Services Expected Outputs Expected Outcomes (Examples) (Examples)  Nutrition classes Improved knowledge of Improved nutrition status nutrition of community members  Ante-natal classes Improved knowledge of Improved health status of ante-natal care mother and child  Behavioural Change Improved knowledge of Improved community Communication classes use and benefits of latrines, health and nutrition status and of the use of health facilities 15 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Through the PW community-based planning procedure, the PW programme automatically reflects local needs. Thus the subprojects implemented will reflect site-specific features such as livelihood types, the condition of the natural resource base, local infrastructure, agro-climatic setting, etc. Subprojects in Pastoralist Areas In lowland pastoral and semi-pastoral areas the PW community planning process will be the clan or sub-clan/community rangeland, rather than the community watershed or micro-watershed. The emphasis is expected to be on interventions that reduce risk and increase the resilience of communities to shocks, such as: • Development of water points (using both traditional and innovative methods); • Reclamation and rehabilitation of grazing areas and creation of grazing reserves through improved water harvesting and conservation-based activities (rainfall multiplier systems for improved pastures, agro-pastoralist systems, irrigation, etc.); • Agro-forestry systems in grazing reserves to improve aerial pasture and multipurpose species, and access to fruits, dyes and gums; • Other initiatives related to livestock trade and livestock health; • Development of sustained agro-pastoral systems through rehabilitation of crusted and desertified areas (use of run-off/run-on systems integrated with dry-land conservation measures); and • Windbreaks and fodder belts in protected areas. Environmental and Social Context and Baseline Conditions Ethiopia depends principally on agriculture both for its economic growth and food security. Out of an estimated 91 million people, some 83% live in rural areas with agriculture (crop production and animal husbandry) as the main source of livelihood. Ethiopia’s current development agenda is governed by the Growth and Transformation Plan (GTP), the main goal of which is for Ethiopia to “extricate itself from poverty to reach the level of a middle-income economy by 2025.” To achieve the GTP‟s main goal and objectives, the Government of Ethiopia (GoE) has considered internalizing the climate induced risks and has embarked on developing the Climate Resilient Green Economy (CRGE) strategy in support of GTP. The vision of the CRGE is to achieve middle-income status by 2025 in a climate-resilient green economy. The services provided by natural resources including agriculture and livestock play a critical role for the livelihood of the majority of Ethiopia’s population. Agriculture is the key pillar of the economy and the most important source of growth. It accounts for almost 48% of GDP and 85% of export earnings. Agricultural production is mostly rain-fed and dominated by small-scale farmers and enterprises that contribute to 90% of agricultural production. Although much of the agriculture remains for subsistence purposes, still smallholders provide a large part of traded commodities, including for exports and about 70 percent of the raw material requirements of agro- based domestic industries. 16 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Agriculture, which is the critical element of economic growth and food security of the country, relies on sustainable management of land and water. The country, however, is experiencing low and declining agricultural productivity, persistent food insecurity, and rural poverty largely attributed to land degradation. Studies have shown that by the mid-1980s some 27 million ha or almost 50 percent of the Ethiopian highlands, which makes up about 45 percent of the total land area, was considered to be significantly eroded, of this 14 million ha was seriously eroded and over 2 million ha beyond reclamation. It is estimated that some 30,000 ha are lost annually as a result of soil erosion, representing over 1.5 billion tons of soil that is removed annually by a variety of land degradation processes. With its soil fragility, undulating terrain, and highly erosive rainfall, Ethiopia has continually faced challenges in conserving its soil fertility. Coupled with these natural constraints, the environmentally destructive farming methods that many farmers practice make the country highly vulnerable to soil erosion. Moreover, some sources estimate that close to one-third of the agricultural land is moderately to strongly acidic because of long neglect in soil conservation and destructive farming practices. The ERSNP woredas are located in Tigray, Amhara, Afar, SNNP, Oromiya, Somali regions, and in the rural parts of Dire Dawa and Harage Administrations. However, the environmental characteristics of these areas in which ERSNP will be implemented are more usefully demarcated by altitude, rather than administrative boundaries. Thus they are presented in Table 2 below, with their height above sea level, which is broadly correlated with temperature. 17 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Table 2: Eco-Climatic Zones and Potential Environmental Sensitivities 6 Eco-Climatic Zone Potential Sensitivities HIGH DEGA WURCH Very high elevation areas (>3200 m) principally Regeneration of natural resources in the high elevation in Wollo, Gonder and Gojam in Amhara; zones need to recognize the limited plant species dominated by grassland landscapes; rainfall is adapted to these highland conditions and the slower 1000-1600 mm. growth rates, potential for rapid rainfall runoff and the vulnerability to overgrazing and other human uses. DEGA High elevation areas (2000-3200 m) such as in The elevation changes, the relatively high rainfall and Tigray, Wollo, Gonder and Gojam in Amhara, the potential high soil erosion rates present and Harrege, Arsi and Bale in Oromiya; opportunities and constraints for environmental typically mixed coniferous shrubs and trees; rehabilitation and management of increasing land use rainfall is 1000-2000 mm. pressures in the Dega zone. WEYNA DEGA Mid-elevation areas (1500-2400 m) such as in The relatively high level of ecosystem productivity and the western half of Ethiopia covering Amhara, biotic diversity provides for significant natural Oromiya, SNNP and Tigray; typically mixed resources and the pressures of human uses, along with temperate forests and shrubs and riparian and the presence of important and sensitive natural habitats other vegetation associated with the Abbay but with generally high recovery rates if managed River and Awash River; rainfall is 800-1600 properly. mm. KOLLA Low elevation semi-arid areas (500-1500 m) of The semi-arid, dry savanna Kolla landscapes are western Tigray, western Gonder in Amhara, vulnerable to deforestation and overgrazing, variable southern Oromiya and northern Somali; dry rainfall, slower rates of recovery and wildfire potential; savanna landscapes; rainfall is in the range of soils are generally nutrient poor and moderate-high 200-800 mm. erodability. BEREHA Low elevation arid areas in Afar, Somali, Moisture and nutrient limitations, poor water holding Benshangul, Gumuz and Gambella and the capacity of soils, high livestock grazing pressures and western parts of Tigray and Gonder in Amhara, slow recovery rates present constraints in these mostly and eastern Oromiya (Harrerege and Bale); arid Arid landscapes that generally have low soil quality, and dry savanna landscapes; rainfall is generally high erosion potential and vulnerability to pastoral less than 200 mm. livelihoods. The target population consists of both settled highland areas and pastoral and agro-pastoral households. The ‘highland’ regions of Ethiopia are comprised of four regional states including: Amhara, Tigray, Oromia and Southern Nations, Nationalities and Peoples which constitute nearly 86% of the total population. Oromia is the largest regional state with an area of approximately 353,000 6 RDFE, May, 2004, Emergency Drought Recovery Project: Environmental and Social Management Framework. 18 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework km2 a population of approximately 30 million. SNNP covers an area of 111,000 km accounting for 10% of the total area of the country; it is home for more than 56 ethnic groups. Tigray has an estimated area of 53,000 km and an estimated population of 4.3 million people. Amhara has a population of 17.2 million, covering a total area of approximately 154,000 km. The highlands are among the most densely populated agricultural areas in Africa and characterized by a significant number of people who are vulnerable and underserviced. People living in these areas are typically subsistence farmers (less than 0.5 ha of land) and are largely dependent on rain- fed agriculture making them vulnerable to climate change and other shocks. While women play a significant role in agricultural productivity (carrying out an estimated 40-60% of all agricultural labour) they suffer from unequal access to resources and capacity building opportunities. Pastoralism in Ethiopia relates to both an economic livelihood system that is based primarily on extensive livestock production, and to the characteristics of communities that live in the arid and semi-arid lowlands of Ethiopia, which lie principally in Somali and Afar regions. Pastoralist households can be categorized into three groups: (i) the comparatively wealthy who hold substantial livestock assets; (ii) households with small herds and flocks and who, to some extent, depend upon cropping, petty trading or sale of their labor ("agro-pastoralists"); and (iii) those who are gradually abandoning pastoral livelihoods. Various factors affect success of pastoralists to grow their livestock production systems. The most important of these are access to good rangeland as well as mobility, access to markets, access to services (e.g., animal health care), and severity of climatic shocks. An increase in demand for livestock in both domestic and regional markets in neighboring countries such as Somalia, Djibouti, Kenya, and the Sudan has been driving changes in pastoralist livelihood systems. There has been an increase in the commercialization of livestock, resulting in consolidation of herds. Thus while some pastoral households have been able to improve their livestock-based livelihoods, others have been unable to maintain their traditional livelihoods as viable undertakings. As a result, a growing segment of the traditionally pastoralist population is dropping out of pastoralism, some into destitution. As a community, pastoralists have, in the past, been economically, socially and politically sidelined due to inadequate attention from policy makers. Although significant improvements have been achieved over the last ten years, pastoralists remain under-served in terms of basic social services. 19 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Part IV: Community Consultations and Support for the Project and the RPF In order to gather comments and requirements on the ESMF and RPF from communities and local government staff, public consultations were conducted in 2014 in regions which PSNP4 would serve, and all of which were being at that time served by PSNP III. In addition to the consultations with the communities, consultations were also held with woreda staff experienced in PSNP implementation. The consultations aimed at exploring and soliciting feedback from PAPs on key elements of the RPF, particularly the procedures and implementation arrangement, land acquisition and compensation, grievance redress, and community participation. The consultations, which provide PAPs the opportunity to contribute to the design and implementation of the PW sub- projects that they select, were very rich, given the long experience the communities and staff have of the PSNP, in some cases over nine years. The present ERSNP ESMF is an update of the PSNP 4 ESMF which is still in use, and is essentially the same ESMF. However, the opportunity was taken to update this Community Consultations section with additional consultations in 2017 so that lessons could be learned from areas of particular concern, notably Afar and Somali regions, and the parts of SNNPR and Oromiya Regions. This brought the grand total number of participants involved from 408 to 732. Consultation Methodology The invitations of community consultation meetings were announced for community members of the kebeles, and participants included women, men, youth and the elderly. Woreda-level consultations were held with staff from a selection of woredas, in order to provide as wide a range of opinions as possible. The community meetings in 2014 were facilitated by woreda staff and PSNP DAs. The woreda consultations were arranged by Regional PSNP PWFU staff. In total, 408 community members participated in 17 community meetings, and 45 woreda staff concerned with PSNP implementation in 28 woredas participated in woreda-level consultations. SNNPR: 21 and 22 May 2014, Tigray: 21 and 22 May 2014, Amhara: 5 and 6 June 2014, Somali 23 May, 23 May, 25 May and 25 May 2014, Afar: 30 May 2014, Oromiya: 13 May and 14 May 2014. In total 39, different woredas were covered by the consultations, set out as follows: Table 3: Consultations in 2014 were held as follows: Region Woreda Woreda Community No. of Total Consultations Respondents Consultations Communi Participan (Name of (Name of ty ts Woreda) Woreda, Kebele) Participa nts M F SNNPR Boloso Sore Agri-Dev. Officer 1 Gurage (Zone) PSNP M&E 1 Officer Amaro PW Coordinator 1 Gibe Agri-Officer 1 20 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework - - 1 A/Zuria Agr-Officer 1 Dala PW Coordinator 1 Hadiya PSNP M&E 1 Officer Gedeo SWC Expert 1 Gibe, Homacho 11 7 18 Dolocha, Matiya- 17 4 21 Danye Somali Meiso PW TA 1 Babile PW TA 1 Fik PW TA 1 K/Duhur PW Expert 1 K/Beyah PW TA 1 Degahbur, 15 4 19 Boodhley Degahbur, 14 4 18 Higlaley Kabribayah, Guyo 12 5 17 Kabribayah, Garbi 14 5 19 Oromiya Dodota Agrii-Food 1 Security “ TA 1 “ Nat Res Expert 1 “ HABP Agri- 1 Officer Sire NRM Process 1 Owner “ PSNP TA 1 “ SNSF TA 1 “ Food Sec Process 1 Owner “ HABP Agri-Bus. 1 Officer “ M&E, Agric. Office Dodota, Koro 19 2 21 Degaga Sire, Koloba Bale 17 2 19 Tigray Ofla PW Focal Person 1 Degua Tenben PW Focal Person 1 Mereblehe PW Focal Person 1 21 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Enderta, Arato 10 10 20 Kilite Awlailo, 11 12 23 Ainalem Amhara Shebel Berenta Agric. Office 1 Ziquala PW Specialist 1 Deuley Harewa Agric. Office 1 Tach Gayint Agric. Dev. Office 1 Albuko PW Nat Res Expert 1 Janamora PW Coordinator 1 Angolela Tra PW NRM 1 Specialist Mekdela Agr-Dev (PWFU) 1 Libokemekem, 16 6 22 Shamo Lay Gayint, 11 9 20 Sinchra Afar Ada’ar WPADO Head “ Disaster Prev/FSP Process Owner “ - “ Fin & Econ Dev Field Off. “ - Ada’ar, Jeldi 12 8 20 Higlaley 14 4 18 Bodhley 15 4 19 Guyo 12 5 17 Garbi 14 5 19 Total 28 Woredas 45 Woreda Staff 17 Community 408 Meetings participant s Issues Discussed during Consultations in 2014 PW ESMF and RPF Procedures The community meetings discussed the ESMF and RPF. The discussions on the ESMF focused principally on whether the community members have had experience of negative impacts from PSNP sub-projects in the past, whether they are satisfied with the way in which the ESMF is working, and what might be done to improve the implementation of the ESMF. The consultations involved the use of ESMF checklists to explain the concept and benefits of the ESMF procedures. Generally, the community members are already aware of the ESMF procedure, though some were not familiar. 22 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework There was strong feedback in all cases. As for effectiveness of the ESMF, in general it was found that the communities understand that the ESMF helps to avoid negative impacts, and in Tigray, for example, the members said that affected people are consulted, and that appropriate preventive and mitigating measures are executed. A typical response came from an Afar community, who said that since their sub-projects are planned and implemented with community participation, they did not generally experience negative impacts. Nonetheless it did occur sometimes, when there were quality problems in the implementation of the design. For example, it was noted in Tigray that quality problems in some water projects have in some cases given rise to negative environmental impacts. In the case of Amhara there is an example in one community road sub- project where no culverts were installed, which caused a flooding problem, and a hand-dug well, which, though having no negative environmental impacts, had a low discharge and was therefore unsustainable. Another Somali community, which is experienced in PSNP PW, said that they are satisfied with the planning and implementation of the sub-projects, but they would like to focus more on water projects in the future, for which the ESMF is a suitable procedure. In SNNPR and in pastoral areas it was agreed that community roads needed quality improvements, and also the location of water points, which in some cases have led to overgrazing, with consequent environmental problems. Overall, there was also a general call for more awareness-creation and training for the PW ESMF. In order to reflect the concerns above, the procedures for PSNP IV PW have been strengthened to include (i) More technical support for community roads from the woreda Roads Offices, (ii) An initiative is now underway (during 2014) to explore the harmonization of the PSNP PW roads programme with the higher-standard URRAP roads programme, (iii) New guidelines are now available for the design of pastoral PW sub-projects, (iv) Additional training will be given under PSNP IV to DAs in ESMF operations and roads and water project design, (v) Under PSBP IV a higher non-labour budget will be provided for the PW, in order to ensure that materials such as road culverts can be purchased and installed, (vi) Capacity improvements will be made at woreda level, including transport, to ensure stronger ESMF compliance monitoring. The principal difference between the PSNP III ESMF and the PSNP IV ESMF was the potential future eligibility of sub-projects potentially giving rise to impacts under OP 4.12, Involuntary Resettlement, and this was the other principal topic of discussion, under the topic ‘Land Acquisition and Compensation’. It was found that the communities are generally aware that the people of Ethiopia are given the right to improved living standards and sustainable development, that they have the right to be consulted with respect to policies and projects affecting their communities, and the right to sustainable development, and a clean and healthy environment. They are also aware of the right of the state to expropriate private property for public use, but that adequate compensation has to be provided, through a Woreda Valuation and Compensation Committee. Bearing in mind that these communities have many years’ experience of PSNP sub-project implementation under the present PIM, in which sub-projects giving rise to involuntary loss of assets have been ineligible, many of the informants repeatedly impressed upon the facilitators that such sub-projects lie outside the domain of the PSNP PW programme. They were at pains to explain that the current rules for PSNP PW sub-projects do not allow such sub-projects. 23 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework In an Enhanced Social Assessment and Consultation with vulnerable PSNP beneficiary groups conducted in connection with the Bank’s Indigenous Peoples Policy OP 4.10, the consultants were asked to check on cases or complaints of involuntary loss of assets or access to assets. Their findings were that “in none of the PSNP woredas covered in this Social Assessment was the loss of assets or reduced assets reported as an issue”. Nonetheless, having understood that the design of PSNP IV would trigger OP 4.12, and thus potentially permit sub-projects causing involuntary loss of assets or access to assets, the communities emphasized that compensation must be adequate, and no objections were noted in respect of the entitlement matrix. In almost all cases the informants stressed that PSNP PW infrastructure is normally built on ‘communal’ land, by public agreement with the community. Several communities stressed that they preferred sub-projects that take community land rather than private land, because “as the benefit is for the whole community, any associated problem must be equally shared by all”. 7 The community reaction to the potential removal of the ban of sub-projects involving involuntary loss of assets or access to assets was initially fairly hesitatnt, in view of the tradition of constructing PW sub-projects on communal land. However, all communities agreed that it could occur in some cases that there would be loss of private assets, in which case adequate compensation should be paid, as set out in the entitlement matrix. In many of the woreda consultations there was a generally negative reaction to the proposal to allow sub-projects triggering OP 4.12, particularly in SNNPR and Oromiya regions, which account for over half the PSNP woredas. In Tigray, Amhara and Somali regions the proposal were generally accepted, though several respondents thought it unnecessary. Reasons given included that the change was unnecessary, doubt that adequate compensation would actually be provided, and “shortage of land” or “shortage of budget”, if this type of sub-project were to become common. There were also widespread concerns about capacity, particularly the need for strengthening the training of the DAs. There were strong views that is would be inappropriate for the DA to determine whether or not a sub-project involved involuntary loss of assets or access to assets, within the ESMF Screening process (which is normally delegated to the DA) – and even, in one case, that this would be “dangerous”. The almost universal reaction was that if sub-projects involving such impacts were to be allowed, the decision as to how to proceed – ie deciding whether the loss is voluntary or involuntary – should be addressed at a higher level. The general opinion at woreda level is that it is not appropriate for such determination to be made at DA level, and that the matter should involve technical and administrative staff at woreda level or above. It has therefore been concluded that if sub-projects with the potential to cause involuntary loss of assets or access to assets were to be eligible in future, they should be referred to the Woreda Valuation and Compensation Committee, or its equivalent, for further study in order to determine whether or not they trigger OP 4.12, and if required, to develop the RAP. This amendment has now been made in the ESMF and the RAP. Concerns were also expressed as to whether it will be feasible to produce RAPs within the framework of the PSNP. Given that even ESMF Screening has to be delegated to the kebele-based DA due to limited woreda capacity, there was doubt as to whether it would be feasible to develop 7 Metya Denga Kebele, Dallocha Wereda, SNNPR, 22 May 2014 at the Health Post. It may also be noted that a recent analysis of PSNP III Voluntary Asset Loss forms completed indicated that this procedure was applied overwhelmingly to community agreements to the use of communal lands. 24 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework RAPs, except on an exception basis. Some informants said it would be “tedious”, or would “take too long”. Most woreda staff estimated that a RAP would take several months to collect and compile the data, draw up the RAP and get it approved. Given the large number of sub-projects (some 46,000 annually), staff capacity limitations and the relatively short annual PSNP PW project cycle, this suggests that difficulties would be encountered if sub-projects triggering OP 4.12 were to become common. It has therefore been concluded that the ESMF should be modified in such a way as to encourage such sub-projects to be redesigned as far as possible, to avoid any involuntary loss of assets or access to assets. It is also noted that in order to satisfactorily meet the requirements of OP 4.12 it might be necessary to re-design the PSNP to allow a two-year cycle for the concerned sub-projects, ie. the RAP would be developed and compiled during the year following the basic design, and implemented during the PW season the following year. Until that time, subprojects potentially involving involuntary asset loss should continue to be ineligible. Livelihoods Strengthening ESMF Procedures The Livelihoods Strengthening ESMF (which is an SEA approach, and is substantially the same as the HABP ESMF) was also discussed in the 2014 woreda and community consultations, focused on the two principal formats: the Woreda Environmental Profile, and the Environmental Guidance for Business Plans. The woreda staff concerned were familiar with the procedure, and supported it; the most common concern across the regions concerned was that the DAs, who ensure that the ‘negative list’ is implemented, were in some cases unaware of the procedure (especially if they were new), or insufficiently trained. The logic and the benefits of the procedures were discussed with the communities. In the case of Oromiya, for example, the communities agreed with the formats but discussed at length the ‘negative list’ for their particular woreda, in the end agreeing with the Environmental Guidance. Because the community said that they have not seen any negative impacts of HABP activities to date, they questioned the need for an ESMF procedure, but were eventually satisfied that in the long term it is necessary. In conclusion, it was agreed that the Livelihoods Strengthening ESMF is functioning but needs more support at DA level, to ensure that in the long term, there are no negative impacts. Specifically, in the design of PSNP IV there will be sufficient budgets set aside for more intensive training – including refresher training – for the DAs in the Livelihoods Strengthening ESMF than there had been for the HABP ESMF. Community Consultations Update: 2017 In April 2017 the opportunity was taken to update the above findings by conducting additional consultations in areas of particular concern: Afar and Somali regions, and certain weredas in SNNPR and Oromiya. The consultations were as follows: Additional Community Consultations in 2017 Region Woreda Kebele Date No. of Participants Afar Elida’ar Gewagebeltiley 9 April 10 “ Elida’ar 12 April 23 Dewe Wahilona-Gedele 22 April 21 “ Kelentina Derseda 24 April 12 25 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Berehale Bure 29 April 12 “ Alla 20 April 5 Somali Ayisha Biyo Kabiyo 19 April 13 “ Dhegego Adhadile Boholhagare 28 April 16 “ Debofeld 29 April 18 Harshin Banqier 9 April 8 “ Lefo Islamodh April 8 SNNPR Meskan Ille (Gurage Zone) 15 May 14 Dalocha Jigena Lasho (Silte 16 May 26 Zone) Lemo Hayse (Hadiya 17 May 25 Zone) Oromiya Dodota Dodota Alam 13 May 34 “ - 27 May 5 (wereda staff) Arsi Negele Gubeta Ario 27 May 25 “ - 17 May 5 (wereda staff) Adami Tulu Jido Bocessa 18 May 38 Kombolcha “ “ - 18 May 6 (wereda staff) Total 12 Woredas 21 Community - 324 Participants Consultations Note: In general, population density in pastoral regions is much less than in settled, highland areas, so community meetings are often smaller, particularly when the men are away with the cattle. Issues Discussed during Consultations in 2017 PW ESMF and RPF Procedures In general, there is a somewhat higher degree of awareness and confidence among the communities in 2017, most likely due to greater experience of, and familiarity with, the PSNP PW programme. The general picture is that the communities are happy with the existing safeguard arrangements, and there is no desire on their part to introduce subprojects that would take people’s assets involuntarily – ie. trigger OP 4.12. Several communities suggested that there would have to be institutional strengthening before taking such a step. One aspect that does not seem to have changed, however, is that there is still a need for more and better training of the DAs, who have a high turnover rate, particularly in pastoral areas. Afar and Somali Regions There was considerable consistency between the responses of the communities in Afar and Somali Regions to the presentation of the principles and procedures of the ESMF and RPF. The government staff were generally aware of the ESMF, and the communities were in all cases satisfied that it was in general working well. Asked if they knew of any subprojects having negative impacts, they said they had not experienced any such impacts, with the exception of Elida’ar 26 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Woreda, where some community members thought there might be a slight increase in the incidence of malaria due to the construction of ponds. The mitigating measure implemented was the use of mosquito nets, and appropriate medication. Explaining why the majority of subprojects were having no negative impacts, all the communities stated that it is because they are deeply involved in the choice of subprojects, their design and location. For example, members at Wahilona-Gedele Kebele, who were generally quite aware of the ESMF, said, “Since our community knows what is good or bad for our environment, and also we have experience, we propose subprojects that don’t have bad consequences”. They were adamant that they have been enjoying reduced travel distances and improved services, so they are satisfied with the impacts of the public works. The community members said that since no subprojects involving involuntary loss have ever been allowed in the PSNP, the question of an RPF had not arisen in their kebeles. But they said that should such subprojects be allowed in future, the compensation rules were acceptable. As for land acquisition, private land was not common on Afar region, which is mainly pastoralist. Although limited, where private land occurs, it is inherited from forefathers, and thus compensation would be obvious – “common sense”. They also pointed out that building assets on open pasture land would be for the whole community, and the question of compensation would not arise. For example, the group at Kelentina Derseda Kebele said that thus far, no PSNP PW subprojects have ever taken anyone’s land; they are always constructed on communal land. They said, “The community discusses the benefits of the PW subproject, and decides together on the site. But had there been any requirements for loss of land, everyone knows what they would be entitled to”. After a presentation on the compensation rules, the respondents discussed the possible meanings of ‘private land’, stating that some plots are demarcated with stones and others cannot enter without authorization, and some ‘private’ land is not restricted for use by others. All participants stated that in their areas there are no initiatives that have dislocated people or taken away their assets or access to assets, but they agree on the procedures presented to them, were such situations to arise. Wahilona-Gedele Kebele members said they are well aware of what compensation would be needed if a subproject caused loss of assets or access to assets. They knew of such projects – such as a Telecommunications Corporation project of which the transmission towers took peoples’ property, but this had nothing to do with the PSNP. Regarding grievance redress, the participants stated that grievances are addressed by meetings attended by the clan leaders and the elderly. Grievances fall into two categories: exclusion from PSNP food support, and the PSNP rule of a ‘cap’ of only 5 persons per household. The grievance resolution process is not left only to the KAC; if resolution is not possible with the clan leaders and elderly, it goes to the Kebele Chairman, and then to the Wereda Office. The KACs have recently been strengthened. One important comment was made in the Gewagebeltiley Kebele meeting: “The regional officials have no more influence than the clan leaders”. SNNPR and Oromiya Regions In SNNPR, although the communities do not have in-depth knowledge of the ESMF procedures, they are aware that potential negative environmental and social impacts are considered in the selection, design and location of PW subprojects. In two of the three woredas Dalocha and Lemo) the DAs are well aware of the procedures of the ESMF and are implementing them, but in the case 27 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework of Meskan the DAs are new and have not yet received the annual training. However, all three weredas have a long history of satisfactory implementation of the ESMF. Neither the staff nor the communities reported negative environmental or social impacts, although several respondents reported the successful adoption of prescribed mitigating measures such as the fencing of community ponds, which indicates that they are aware of the potential impacts of badly designed subprojects. In Oromiya the responses were similar, the respondents noting that PWs in the three woredas concerned have contributed to significant environmental rehabilitation, particularly in Bocessa kebele, where two hilly areas have been completely rehabilitated under the PSNP PW programme. The SNNPR communities reported that no involuntary loss of assets had occurred from PSNP PW subprojects in their kebeles. It was noted that infrastructure subprojects are built on communal lands. However, they said that if there were to be private land involved, then the rule would generally be that the person who lost the land would receive compensation – typically double the area of the land lost, which gives such people extra benefits. Nonetheless all the communities said that such land loss has not occurred in their woreda. The responses in Oromiya were similar, with the exception of a case in Bocessa Kebele in which there was a disagreement involving a small- scale irrigation user group. One person had voluntarily allowed an irrigation canal to cross his land, but there was a temporary dispute as to whether the land that the user group gave him in compensation was adequate. (Even voluntary asset loss in Ethiopia is compensated). The Oromiya community members were not entirely opposed to allowing subprojects that take assets involuntarily, but they said that there should not really be such subprojects, as far as possible. However, if such subprojects were to be made eligible, the RPF would be an acceptable instrument to manage the impacts. As in all the community consultations, the suggestion that the PSNP PW programme might permit subprojects that trigger the RPF, ie involuntary asset loss, caused some disquiet. The SNNPR communities discussed the RPF at some length. In Dalocha and Lemo the DAs thought that they would be able to handle the RAP, were such subprojects to be taken off the negative list. However, not everybody agreed that the task should be left to the DAs. In Meskan, where the DAs are new, they were less confident. In general, there was a strong opinion that RAPs would need to be addressed at woreda level, but using data provided by the DAs. The Oromiya communities insisted that if subprojects triggering the RPF were to be permitted, no such developments should take place in their respective kebeles without active community involvement and agreement. If they were to be allowed, then compensation must be paid immediately, and that land-for-land compensation should take place before the subproject begins. In addition, processes involving involuntary loss of land should be fully documented and the report filed at kebele and woreda levels. They also said that there would be a need to carry out institutional strengthening of the Kebele Compensation Committee, including 2 religious leaders, and additional women and youths. In wereda meetings in Oromiya, the staff pointed out that developing a RAP is time-consuming and tedious work, and that the government would be cautious in allowing such subprojects that would make the government responsible for the compensation. Also they were concerned that budget limitations might prevent their being able to meet the terms of the RAPs. Finally, concern was expressed that the KAC members would have to be different from the members of the Kebele Compensation Implementation Committee. 28 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework The SNNPR communities expressed general satisfaction with the degree of community participation in PW planning and implementation, and reported that they attend the meetings of the general assembly for the endorsement of the kebele plans. In some kebeles in Oromiya the KAC was reported not to be working well, and needed strengthening. 29 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Part V: Legal and Institutional Framework This RPF will apply the laws, legislation, regulations, and local rules governing the use of land and other assets in Ethiopia. This legal and institutional framework is presented in the following six sections: 1. Political economy and governance in Ethiopia; 2. Institutional arrangements 3. Property and land rights, as defined by Ethiopian law and customary practice; 4. Acquisition of land and other assets, including regulations over the buying and selling of these assets; 5. Human rights and compensation, in particular, the accepted norms influencing peoples’ basic rights to livelihood and social services; 6. Dispute resolution and grievance procedures, specifically the legal and institutional arrangements for filing grievances or complaints and how those grievances are addressed through formal and informal systems of dispute resolution; and 7. Comparison with World Bank OP4.12, using equivalence and acceptability standards. Political Economy and Governance in Ethiopia Land rights in Ethiopia do not explicitly provide private property rights. After the Proclamations No. 31/1975 and 47/1975 8, ownership of land was vested in the State, and Ethiopian citizens were given various forms of use-rights (usufruct) over land and other resources. Accordingly, 1995 Constitution Article 40(3) recognizes land as a common property of the Nations, Nationalities, and Peoples of Ethiopia and prohibits sale or any other exchange of land. In some cases, the user of land has ownership of his/her possessions with the right to benefits from the fruits of his/her labor. This includes crops, perennial crops, tress for timber, etc. found on the land or any other permanent fixtures such as residential house, business installations, stores and fences, amongst others (Proclamations No. 31/1975 and 47/1975). The 1995 Constitution Article 40(7) reiterates and furthers this point by stating, “Every Ethiopian shall have the full right to the immovable property he builds and to the permanent improvements he brings about on the land by his labor or capital. This right shall include the right to alienate, to bequeath, and, where the right to use expires, to remove his property, transfer his title, or claim compensation for it.” Regional states are responsible for administering land, enacting law that is in conformity with the provisions on environmental protection and federal utilization policies (Proclamation No. 89/1997 and Proclamation No. 456/2005 Article 17(1)). The law made the following provision for cash compensation for lost harvests: “A rural land holder whose land holding has been permanentlyexpropriated shall, in addition to the compensation payable [for property and improvements made on the land] be paid displacement compensation which shall be equivalent to ten times the average annual income he secured during the five years preceding the expropriation of the land.” (Art. 8(1) of Proc. 455/2005, Art.16(3) of Regulation 137/2007). 8 Before 1975, the 1960 Civil Code of the Empire provide for private land ownership. As this law has been overruled by these laws and Proclamation No. 455/2005 regarding compensation, it should not serve as the legal framework for resettlement. 30 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Additionally, ZikreHig Regulation No. 6/2002 provides for the lease holding of urban land for a specific period of time, and also regulates the lease period for different functions, grade of land and payment of lease. Lastly, the law regulates manners of expropriation of land and designates land that can be expropriated for public use without payment of compensation. These rights over “holding land” are open-ended (no time limit on this usufruct), subject to a proof of permanent physical property, ability to farm continuously and meet administrative dues and obligations (1995 Constitution Article 40(3)). Furthermore, Proclamation No. 89/1997 confirms and details the Constitutional principle that holding rights on land can be assigned to peasants and pastoralists, and that these are to be secured from eviction and displacement. The1995 Constitutions Articles 40(4) and 40(5) provide for free land without payment for farmers and pastoralists. Lastly, Proclamation No. 80/1993 allows companies to attain access to land through auction, allocation, or lottery, similar to individuals. 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)). Committee Representatives Woreda Resettlement and Compensation • Woreda Administrator or Deputy (Chair) Committee • Head of Woreda Office of Finance and Economic Development • Head of Woreda Office for Pastoral Development • Head of Woreda Office for Women, Children and Youth • Head of Woreda Office/Desk for Environmental Protection and Land Use Administration (if structure available at woreda) • Representative from KDC and Community leadership (traditional) Kebele Compensation Implementing • Kebele Administrator (Chairperson); Committee • The Development Agent (DA) concerned with implementing the ESMF (usually NRM DA); • Representative of PAPs (see definition below); 31 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework • Village elder or clan 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); • Chairperson of Community Project Management Committee Institutional Arrangements The key institutional actors involved in resettlement are the local governments of Ethiopia at the woreda, and kebele levels. This is in line with the Government’s policy of decentralization. For the purposes of this RPF, the Project will also establish ad hoc committees as follows: The Woreda ESMF Specialist is responsible for:  evaluating PW sub-projects to determine if a RAP is necessary;  clarifying the polices to the kebele Compensation Committees;  establishing standards to value affected assets and compensation estimates according to the guidelines in the RPF;  determining compensation package and presenting to Woreda Cabinet for approval;  coordinating and supervising implementation by kebele compensation committees 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. The Kebele Compensation and Implementing Committees are responsible for:  undertake an inventory of PAPs’ affected assets and submit to Woreda Resettlement and Compensation Committee;  allocating land (if compensation package approved by the Woreda Cabinet includes land), to 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. 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. 32 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework The power to expropriate landholdings for a development project belongs to a woreda (rural local government) or urban administration (Proclamation No. 455/2005 Article 3). The implementing agency is required to provide written notification, with details of timing and compensation, which cannot be less than 90 days from notification (Proclamation No. 455/2005 Article 4). Any entitled landholder who has been served with an expropriation order shall hand over the land to the local woreda or urban administration within 90 days from the date of payment of compensation should the leaseholder accept payment. Furthermore, where there is no crop or other properties on the expropriated land, the title holder shall hand over the land within 30 days of receipt of expropriation order. Lastly, Article 4 (3) gives power to use police force if a landholder is unwilling to hand over land. 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 landholder, 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 landholder must vacate the land within 60 days of receipt of compensation. Acquisition and Valuation of Land and Other Assets Land valuations are often done at the woreda and urban administration levels. These local government units establish valuation committees to value private properties (Proclamation No. 455/2005). In the case of publicly owned infrastructure with a designated right-of-way (ROW), the owners of the structures within the ROW would assess the value of properties to be removed. However, the law does not take into account depreciation values. The landholder is entitled to be compensated for the property on the basis of replacement. Permanent improvements to the land, equal to the value of capital and labor expended (Proclamation No. 455/2005 Article 7), are specified as a valid basis for determining replacement value. Where property is on urban land, the law specifies that compensation “may not be less than constructing a single room in low cost house as per the region in which it is located.” It is also required that the cost of removal, transportation, and erection be paid as compensation for a relocated property, continuing its service as before. Compensation will also be based on current cost, cost of demolishing, lifting, and reinstalling. Valuation formulae are to be provided by regulations (Proclamation No. 455/2005 Article 7). Assets will be broken down into components to assess value (Directive No. 135/2007). Components for building costs include cost per square meter. Crops are subdivided into crops and perennial crops, and calculated based on yield per square meter of land multiplied by price per kilogram. Trees could be cut and used by owner plus payment of compensation for loss of continued income. The cost of machinery, labor for improvement, and any infrastructure as part of the improvement will be compensated based on current costs. Property relocation is based on the cost to relocate property given that it is not damaged while being moved. The amount of 33 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework compensation for loss of land that is used for grazing or production of grass is based on the area of land and the current price per square meter. (Note: more detailed instructions for compensation are included within Directive No. 135/2007.) Further, assets will be classified as movable and immovable. For movable assets, compensation will be paid for inconvenience and other transition costs (Proclamation No. 455/2005 Article 7(2)). Urban immovable assets include residential houses, business installations, institutional structures, stores, fences and public service providing installation. In rural areas, they include seasonal crops, perennial fruit trees, timber trees and other cash crops. For losses that cannot be easily valued or compensated in monetary terms (e.g. access to public services, grazing areas, water points, fishing ponds, etc.), an attempt will be made to establish access to equivalent and culturally acceptable resources and earning opportunities (Proclamation No. 455/2005 Article 7(2)). In addition to compensation according to Proclamation No. 455/2005 Article 7, displacement compensation shall be paid equivalent to ten times the average annual income he/she secured during the five years preceding the expropriation of the land (Proclamation No. 455/2005 Article 8(3)). Compensation will be in an amount sufficient to reinstate displaced people to their economic position prior to displacement; the regionally relevant administration is required to give another piece of land to any person who lost his land in favor of a public project (Proclamation No. 455/2005). The assessment of compensation does not include the value of the land itself because land is a public property and not subject to sale in Ethiopia. Those with informal, or undocumented rights, and those without titles or use right (e.g. squatters, encroachers) are eligible for specific assistance. Such assistance recognizes some “typical claim to use rights or even ownership” after occupation of unused or unprotected lands has been established. Informal use-rights are likely to have structures or land improvements that are eligible for compensation, as stated in Proclamation No. 455/2005. In general, valuation of property is to be carried out by a certified private or public institution or private consultants as per the valuation formulae (Proclamation No. 455/2005 Article 9). The committee must be made up of experts with relevant qualifications (Proclamation No. 455/2005 Article 10). This must be not more than 5 experts in rural areas and be designated by the woreda or urban administration. A specialized committee of experts may also be set up separately if required. The local and federal governments have different roles in compensation. The woreda and urban administrations are responsible that compensation is paid and giving rehabilitation support to the extent possible, and maintain data regarding properties removed from expropriated landholdings (Proclamation No. 455/2005 Article 13). The Regional authorities have 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). 34 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework  All PSNP IV PW sub-projects will be Screened using the PW ESMF Screening procedure. For subprojects confirmed to have adverse impacts under OP 4.12, the DA will attempt to modify the design to avoid such impacts.  Where it is not feasible to avoid the adverse impacts, the DA will obtain broad community support as part of the process of free, prior, and informed consultation to fully identify PAPs’ views and ascertain their broad community support for the project. The Wereda ESMF Specialist will ensure that a Socio-Economic Survey is conducted to determine the scope and nature of the impacts. Then the Wereda ESMF Specialist will prepare a Resettlement Action Plan (RAP) in accordance with this RPF, addressing the adverse impacts and key social issues, compatible with cultural preferences, and incorporating a land acquisition plan.  All RAPs will be provided to the federal PWCU for review and clearance. Entitlements and Compensation The people of Ethiopia have the constitutional 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. 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. Dispute Resolution and Grievance Redress Procedures The kebele (local level of government that is smaller than a woreda) shall discuss and agree to the proposed expropriation (ANRS Proclamation No. 133/2006). The ANS Directive No. 7/2002 provides for the expeditious decision making system with regard to expropriation of urban land. It describes the composition of the jury members: a justice officer as chairperson, two residents of the town where the land is located, and two representatives of government offices. The decision of the Appeals Court regarding basic land expropriation issues is final; however, an appellant could take the cases related to the amount of compensation, delays in payment, or similar cases all the way up to the High Court. If misunderstandings and disputes arise between the principal parties (e.g. local government bodies and affected parties) involved in the resettlement and compensation process, the preferred means of settling disputes is through arbitration (Proclamation No. 455/2005). The number and 35 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework composition of the arbitration tribunal may be determined by the concerned parties. Though Proclamation No. 455/2005 provides for appeals from valuation decision, such action will not delay the transfer of possession of land to the proponent. A complaint related to the amount of compensation shall be submitted to the regular court having jurisdiction (Proclamation No. 455/2005 Article 11(1)) if the administrative body for handling disputes has not yet been established. Appeals for dispute resolution may be referred to the High Court (Regulation No. 51/2007). The regular court having jurisdiction within the region may also be involved in implementation and compensation of resettlement if the administrative organ to hear land grievances has not yet been established (Proclamation No. 455/2005 Article 11(1)). Similarly, if the land holder is not satisfied with the decision of the compensation grievance review committee, the case may be referred to the High Court (Regulation No. 51/2007). Comparison with World Bank OP 4.12 There are significant gaps between Ethiopian laws and regulations and the requirements for resettlement as laid out in OP 4.12. The Ethiopian laws and regulations are not completely compatible with the Bank’s OP4.12 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. Additionally, there is no provision for relocation assistance, transitional support, or the provision of civic infrastructure under Ethiopian law. Additionally, 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. 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. Ethiopian law makes no specific accommodations for potentially vulnerable groups such as women, children, the elderly, ethnic minorities, indigenous people, 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 resettlement policy framework 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. 36 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Part VI: Compensation for Land and Other Assets The RPF guidelines apply to Public Works under ERSNP, whether or not they are directly funded in whole or in part by ERSNP. The RPF applies to activities of community sub-projects or household livelihood diversification rural enterprises affecting those who would be physically displaced or who would lose some or all access to resources, and regardless of the total number affected, the severity of impact, and their legal status (e.g. the RPF guidelines apply also to those with ill-defined or no title to the land). The RPF provides special attention to the needs of vulnerable groups among the PAPs, especially poorer households, including the landless, elderly and disabled, women and children, vulnerable groups and ethnic minorities, and other historically disadvantaged. The activities in the ERSNP that could potentially have some land acquisition or restriction of access include the following: (a) rural feeder roads; (ii) social infrastructure; (iii) small-scale irrigation schemes; (iv) water supply subprojects (ponds, shallow wells, cisterns, water pipe line extension, spring development): (v) health posts; and (vi) rangeland management. If community members elect to voluntarily donate land/assets without compensation, they must be fully informed about the project and its grievance redress arrangements ahead of the agreement, and it must be documented that this act is performed freely and voluntarily, without any coercion . Although the exact number and locations of the projects are unknown, the following categories of PAP will be used in identifying the groups of PAPs for the purposes of determining impacts: Project Affected Persons (PAPs) are individuals whose assets may be lost, including land, property, other assets, and/or whose access to natural and/or economic resources may be reduced as a result of activities related to sub-project(s). Project Affected Households are groups of PAPs in one household and where one or more of its members are directly affected by the ERSNP. These include members like the head of household, male, and female members, dependent relatives, tenants, etc. Underserved and Vulnerable groups of people. These groups are tied to their traditional or customary lands and natural resources, but these lands might not be under legal ownership pursuant to national law. Therefore, land-take might impact them seriously, and the project will avoid, and if not feasible, will document land-take and use with the PAPs. They will be informed of their rights under national laws, including any national laws recognizing customary rights or use and the project will offer them adequate compensation as stated in the entitlement matrix together with culturally appropriate development opportunities. Furthermore, ERSNP will identify the vulnerable members in these households, such as those who are too old or too ill; children; those living with HIV/AIDS; women; unemployed youth; minority ethnic groups, etc. Households headed by women that depend on sons, brothers, and others for support are especially vulnerable. Similarly, households with elderly or seriously ill persons are eligible for additional support. In the RAP, 37 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework (i) All potential PAPs should be identified (through a scoping exercise) and informed about their options and rights pertaining to compensation for land and assets to be acquired by the sub-project(s); (ii) PAPs must be consulted about land acquisition and compensation and offered technical and financial options, including the most economically feasible alternatives; and (iii) PAPs should receive reasonable compensation at full replacement cost for losses of assets and access attributable to the sub-project. Screening by Wereda ESMF Focal Persons in conjunction with the Wereda Valuation and Compensation Committee: This process would lead to the creation of a list of the number and types of infrastructure (including buildings or other structures) that PW sub-projects will construct that may potentially involve acquisition of land, resettlement and/or reduced access to natural resources. This list will be presented to affected communities using a sensitization and consultation process. These consultations will be documented for each site (sub-project). In the case where sub-projects result in reduced access to natural resources, particularly for mobile populations the consultations will determine alternative but commensurate sources so that livelihoods are not affected. Measures to assist affected persons in their efforts to improve their livelihood will be documented. The project will also document methods and procedures by which communities will identify and choose potential mitigating or compensating measures to be provided those adversely affected and procedures by which adversely community members will be deciding among the options available to them. RAP Preparation. A consultative and participatory process for preparing a RAP will be started, as follows: (i) A socio-economic survey will be completed to determine scope and nature of resettlement impacts. (ii) The socio-economic study will be carried out to collect data in the selected sub-project sites. (iii) The socio-economic assessment will focus on the potential affected communities, including some demographic data, description of the area, livelihoods, the local participation process, and establishing baseline information on livelihoods and income, landholding, etc. Annex 2 sets out the detailed requirements for the RAP in detail. In summary, the RAP contains the following information: (i) Baseline Census; (ii) Socio-Economic Survey; (iii) Specific Compensation Rates and Standards; (iv) Entitlements related to any additional impacts; (v) Site Description; (vi) Programs to Improve or Restore Livelihoods and Standards of Living; (vii) Detailed cost estimates and Implementation Schedule. 38 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework The RAP will be prepared by the woreda team established to review sub-projects triggering OP 4.12, in collaboration with the Wereda Valuation and Compensation Committee. Once developed, the RAP will be appraised and endorsed by respective woreda development committees, and submitted to the Regional PWFU for review, who will forward it to the federal PWCU for approval. The Regional PWFUs will assign suitable specialists to assist with the reviews. The RPF procedure is followed for the implementation of each PSNP IV PW sub-project which has the potential to cause physical relocation, loss of shelter, loss of assets, or reduced access to assets. The following guidelines are used when a RAP is developed. (i) Consultation and participatory approaches. A participatory approach is adopted to initiate the compensation process. The consultations must start during the planning stages when the technical designs are being developed, and at the land selection/screening stage. The process, therefore, seeks the involvement of PAPs throughout the census for identifying eligible PAPs and throughout the RAP preparation process. (ii) Disclosure and notification. All eligible PAPs are informed about the PSNP IV PW subprojects and the RAP process. A cut-off date is established as part of determining PAPs eligibility. In special cases where there are no clearly identifiable owners or users of the land or asset, the RAP team must notify the respective local authorities and leaders. A “triangulation” of information – affected persons; community leaders and representatives; and other government agency; land valuation expert) – may help to identify eligible PAPs. The RAP must notify PAPs about the established cut-off date and its significance. PAPs must be notified both in writing and by verbal notification delivered in the presence of all the relevant stakeholders. (iii) Documentation and verification of land and other assets. The government authorities at both woreda and community local levels; community elders and leaders; will arrange meetings with PAPs to discuss the compensation and valuation process. For each individual or household affected by the sub-project, the RAP preparation team will complete a Compensation Report containing necessary personal information on the PAPs and their household members; their total land holdings; inventory of assets affected; and demographic and socio-economic information for monitoring of impacts. This information will be documented in a Report, and ideally should be witnessed by an independent or locally acceptable body (e.g. Resettlement Committee). The Reports will be regularly updated and monitored. (iv) Compensation and valuation. All types of compensation will be clearly explained to the individual and households involved. These refer especially to the basis for valuing the land and other assets. Once such valuation is established, the woreda development committee will produce a Contract or Agreement that lists all property and assets being acquired by the sub-project and the types of compensation selected. These options include in-kind (e.g. replacement housing) and cash compensation. All 39 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework compensation should occur in the presence of the affected persons and the community local leaders. Acquired assets will be compensated at replacement costs, and in calculating replacement cost, depreciation of structures and assets is not taken into account, nor is the value of materials salvaged by the PAP from an asset (e.g. building materials, the pump from a well etc.) acquired under a community project. For houses and other structures, the replacement value, if provided as cash compensation, is the market costs of materials to build a similar or better structure than the one affected, plus costs of labor/contractors, and the cost of any registration and transfer taxes. For agricultural land, the replacement cost is the pre-project or pre- displacement (whichever is higher) market value of land that is of equal size, or use plus the cost of any registration and transfer taxes. Displaced persons/families will receive relocation assistance to cover (i) the costs of moving from their previous to their new location, and (ii) an allowance equal to the local average costs of living during a two-month transition period to resettle in their new location of residence or business. (i) Community payments. Although most sub-projects do not normally take land and other assets belonging to a community, such as a community center, school, or sacred site, if this occurs in a sub-project, the community (as a whole) will be compensated. This compensation will be in the form of reconstruction of the facility (in case of damages) or replacement at least the same standard or equivalent or better standard required by local planning regulation. Examples of community compensation are expansion of grazing grounds; rehabilitation of school buildings, public toilets, health facilities; installation of wells or pumps; creation of market places; and reconstruction of community roads. (ii) Grievance procedure. Resolution of different types of grievances regarding land acquisition, resettlement and/or reduced access to natural resources will be attempted at different levels: • Solutions to grievances related to land acquisition impacts or reduced access to natural resources should be pursued at the community level with facilitation by Subproject RAP team together with design consultants in order to find technical solutions that avoid or further minimize the need for land acquisition or reduced access to natural resources use. • Solutions to grievances related to voluntary land donations (e.g. pressure on individuals to donate land) or sale of private land for project use should likewise be attempted at the community level with facilitation by the Wereda ESMF Specialist, assisted by other specialists as appropriate. The project team will describe the process for resolving disputes relating to reduced access to natural resources use that might arise between or among communities, and grievance that may arise from members of communities who are dissatisfied with community planning measures, or actual implementation • Solutions to grievances related to compensation amounts, delays in compensation payments or provision of different types of resettlement assistance should be pursued directly by the designated RAP team through liaison with the relevant actors. • Arbitration by appropriate local institutions such as Local Authorities, including a Resettlement or Land Committee and through community leaders • Where satisfactory solutions to grievances cannot be achieved, the aggrieved party may take the matter before the courts. 40 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework The sub-project RAP team will ensure that community members and in particular PAPs are informed about the avenues for grievance redress, and will maintain a record of grievances received, and the result of attempts to resolve these. This information will be entered into the ERSNP Management Information System (MIS) and be included in the regular progress reporting. All PAPs will be informed about how to register grievances or complaints, including specific concerns about compensation and relocation. The Entitlements Matrix below defines the eligibility for compensation and/or rehabilitation assistance for impacts/losses for different types of assets for different categories of project affected persons. Table 2. Entitlement Matrix Land and Types of Impact Person(s) Compensation/Entitlement/Benefits Assets Affected Agricultural Cash title Cash compensation for affected land land compensation for holder equivalent to replacement value affected land equivalent to market value Less than 20% of land holding Tenant/ Cash compensation for the harvest or product affected lease from the affected land or asset, equivalent to Land remains holder ten times the average annual income s/he economically secured during the five years preceding the viable. expropriation of the land. Greater than Farmer/ Land for land replacement where feasible, or 20% of land Title compensation in cash for the entire holding lost holder landholding according to PAP’s choice. Land does not Land for land replacement will be in terms of a become new parcel of land of equivalent size and economically productivity with a secure tenure status at an viable. available location which is acceptable to PAPs. Transfer of the land to PAPs shall be free of taxes, registration, and other costs. Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature) Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature) Tenant/Le Cash compensation equivalent to ten times the ase holder average annual income s/he secured during the 41 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Land and Types of Impact Person(s) Compensation/Entitlement/Benefits Assets Affected five years preceding the expropriation of the land. Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature) Relocation assistance (costs of shifting + allowance). Commercial Land used for Title Cash compensation for affected land land business partially holder/ Opportunity cost compensation equivalent to affected business 5% of net annual income based on tax records owner for previous year (or tax records from Limited loss comparable business, or estimates where such records do not exist). Business Opportunity cost compensation equivalent to owner is 10% of net annual income based on tax records lease for previous year (or tax records from holder comparable business, or estimates where such records do not exist) Assets used for Title Land for land replacement or compensation in business severely holder/bus cash according to PAP’s choice. Land for land affected iness replacement will be provided in terms of a new owner parcel of land of equivalent size and market If partially potential with a secured tenure status at an affected, the available location which is acceptable to the remaining assets PAP. become Transfer of the land to the PAP shall be free of insufficient for taxes, registration, and other costs. business Relocation assistance (costs of shifting + purposes allowance) Opportunity cost compensation equivalent to 2 months net income based on tax records for previous year (or tax records from comparable business, or estimates) Business Opportunity cost compensation equivalent to 2 person is months net income based on tax records for lease previous year (or tax records from comparable holder business, or estimates), or the relocation allowance, whichever is higher. 42 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Land and Types of Impact Person(s) Compensation/Entitlement/Benefits Assets Affected Relocation assistance (costs of shifting) Assistance in rental/ lease of alternative land/ property (for a maximum of 6 months) to reestablish the business. Residential Land used for Title Cash compensation for affected land land residence holder partially affected, limited loss Remaining land viable for present use Rental/lea Cash compensation equivalent to 10% of lease/ se holder rental fee for the remaining period of rental/ lease agreement (written or verbal) Title Land for land replacement or compensation in holder cash according to PAP’s choice. Land for land replacement shall be of minimum plot of acceptable size under the zoning law/ s or a plot of equivalent size, whichever is larger, in either the community or a nearby resettlement area with adequate physical and social infrastructure systems as well as secured tenure status. When the affected holding is larger than the relocation plot, cash compensation to cover the difference in value. Transfer of the land to the PAP shall be free of taxes, registration, and other costs. Relocation assistance (costs of shifting + allowance) Land and assets Rental/lea Refund of any lease/ rental fees paid for time/ used for se holder use after date of removal residence Cash compensation equivalent to 3 months of severely affected lease/ rental fee Remaining area Assistance in rental/ lease of alternative land/ insufficient for property continued use or Relocation assistance (costs of shifting + becomes smaller allowance) than minimally accepted under zoning laws 43 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Land and Types of Impact Person(s) Compensation/Entitlement/Benefits Assets Affected Buildings Structures are Owner Cash compensation for affected building and and partially affected other fixed assets structures Remaining Cash assistance to cover costs of restoration of structures viable the remaining structure for continued use Rental/lea Cash compensation for affected assets se holder (verifiable improvements to the property by the tenant). Disturbance compensation equivalent to two months rental costs Entire structures Owner Cash compensation for entire structure and are affected or other fixed assets without depreciation, or partially affected alternative structure of equal or better size and quality in an available location which is Remaining acceptable to the PAP. structures not Right to salvage materials without deduction suitable for from compensation continued use Relocation assistance (costs of shifting + allowance) Rehabilitation assistance if required (assistance with job placement, skills training) Rental/lea Cash compensation for affected assets se holder (verifiable improvements to the property by the tenant) Relocation assistance (costs of shifting + allowance equivalent to four months rental costs) Assistance to help find alternative rental arrangements Rehabilitation assistance if required (assistance with job placement, skills training) Squatter/i Cash compensation for affected structure nformal without depreciation dweller Right to salvage materials without deduction from compensation Relocation assistance (costs of shifting + assistance to find alternative secure accommodation preferably in the community of residence through involvement of the project Alternatively, assistance to find accommodation in rental housing or in a squatter settlement scheme, if available) 44 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Land and Types of Impact Person(s) Compensation/Entitlement/Benefits Assets Affected Rehabilitation assistance if required assistance with job placement, skills training) Street Opportunity cost compensation equivalent to 2 vendor months net income based on tax records for (informal previous year (or tax records from comparable without business, or estimates), or the relocation title or allowance, whichever is higher. lease to Relocation assistance (costs of shifting) the stall or Assistance to obtain alternative site to re- shop) establish the business. Standing Crops affected PAP Cash compensation equivalent to ten times the crops by land (whether average annual income s/he secured during the acquisition or owner, five years preceding the expropriation of the temporary tenant, or land. acquisition or squatter) easement Trees Trees lost Title Cash compensation based on type, age and holder productive value of affected trees plus 10% premium Temporary Temporary PAP Cash compensation for any assets affected (e. acquisition acquisition (whether g. boundary wall demolished, trees removed) owner, tenant, or squatter) 45 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Part VII: Implementation Schedule, Budget and Arrangements for Funding Budget It is difficult at this stage to provide an estimate of the cost of resettlement and compensation activities related to the implementation of ERSNP, since there is no experience in previous phases of the PSNP of permitting subprojects with potential impacts under OP 4.12. Thus the cost implications cannot be determined in advance. Relevant sub-project under the ERSNP will have to assess budget needs related with compensation and resettlement in accordance with principles in this RPF, and identify and secure the source of funding. Arrangements for Funding According to Involuntary Resettlement policy OP 4.12, “the [World] Bank does not disburse against cash compensation and other resettlement assistance paid in cash, or against the cost of land (including compensation for land acquisition). However, it may finance the cost of land improvement associated with resettlement activities.” Thus the World Bank loan under which the ERSNP will be funded cannot finance cash compensation or land acquisition for resettlement purposes. Compensation and land acquisition for resettlement sites (if any) will be funded by the government. This requirement should be an excellent incentive to minimizing land impacts through appropriate design, siting and routes. An indicative RAP budget outline can be found in Table I below. Table 3: Indicative Outline of a RAP Budget Asset acquisition Amount or number Total estimated cost Agency responsible Land Structure Crops and economic tress Community infrastructure Land Acquisition and Preparation Land Structures 46 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Crops areas and others Community infrastructure Relocations Transfer of possessions Installation costs Economic Rehabilitation Training Capital Investments Technical Assistance Monitoring Contingency # Item Costs Assumptions 1 Compensation for loss For land acquisition of Land purposes, based on /hectare Ethiopian average market cost, or from similar projects 2 Compensation for loss Includes costs of labor of Crops invested and average of highest price of /hectare of farm lost staple food crops and Ethiopian market prices 3 Compensation for loss Those affected would of access to be provided with pastoralists shared access, or alternate routes If applicable (decision agreed through consultation and participation of all) 47 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 4 Compensation for loss Data provided from of access to fishing the revised socio- resources. economic study will If applicable determine market values of catch, fish products etc. 5 Compensation for This compensation Buildings and may be in-kind or Structures cash. Costs for basic If applicable housing needs should include ventilated pit latrines, outside kitchen, and storage. 6 Compensation for Includes costs of labor Trees invested and average of highest price of /year/tree trees (and tree products) and Ethiopian market prices 7 Cost of Relocation This cost reflects the Assistance/Expenses moving and /household transportation allowance 8 Cost of Restoration of Assumed to be higher Individual Income than the GDP/capita in Ethiopia 9 Cost of Restoration of These costs reflect the Household Income livelihood restoration program of the RAP 10 Cost of Training This is a mitigation Farmers, pastoralists measure involving and other PAPs capacity building and involves PAPs and affected communities The woreda development committee with the technical support of the Regional PWFU will need to prepare an appropriate Resettlement Budget. For this purpose, the federal PWCU will prepare a short guideline. 48 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Part VIII: Public Consultation and Disclosure Plan An essential element in the RAP implementation process is consultation and public participation. This will be a continuation of the process entered into during the site selection, screening, census and RAP development process, and will depend on the extent of the resettlement impact. The community and landholder will be informed of the approval of the RAP and the implications for all PAPs, as well as the likely implications in terms of resettlement, expropriation and compensation. Importantly, this needs to be part of an ongoing process, to ensure that no affected individual/household is simply "notified" one day that they are affected in this way. Instead, this process seeks their involvement and wishes to inform communities in a participatory approach about the project, from the beginning. Public consultations and participation take place through individual, group, or community meetings, and are adopted as on-going strategy throughout the entire project cycle. The role of traditional political and cultural leaders, including the community elders, in the participation strategy will be important. The RAP Team should ensure that these leaders and local representatives of PAPs are fully involved in designing the public consultation procedures. During implementation, PAPs will be informed about their rights and options. 49 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Part IX: Monitoring and Evaluation of Impacts Throughout implementation, ERSNP is required to carry out safeguards monitoring to ensure that the Project brings intended benefits, while ensuring that potential adverse environmental and social impacts are avoided or minimized. Safeguards monitoring will include environmental and social safeguards performance reviews within the PW Reviews to assess compliance with safeguards instruments, determine lessons learnt and provide guidance for improving future performance. Reporting formats will also include indicators on safeguards and a summary of the consultation processes undertaken after the initial screening to identify sub-projects with social impacts. The document should review arrangements for participatory monitoring of project activities as they relate to both positive and negative impacts on persons within the project area, particularly on reduced access to natural resource use, and for monitoring the effectiveness of measures taken to improve (or at minimum restore) incomes and living standards Moreover, the Woreda ESMF Specialist will be expected to develop and implement a Monitoring and Evaluation Plan (MEP). The main indicators that the MEP will measure include: (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 Development Committee, with the technical support of the Woreda ESMF Specialist are responsible for: • Implementation of RAP, monitoring and timely reporting to the Regional PWFU. • Providing timely information to the project about all resettlement and compensation issues arising as a result of RAP 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 PWFU); • Document completion of project resettlement and compensation that are still pending, including for all permanent and temporary losses; The Regional PWFU will establish a reporting system for each sub-project RAP that will: (i) Provide timely information to the project about all resettlement and compensation issues arising as a result of RAP 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; (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). 50 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework The Regional PWFU 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; (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 Federal PWCU and Regional PWFUs will review these statistics to determine whether the RAP implementation arrangements, as defined in this RPF, are effective in addressing OP 4.12- related issues. Financial records will be maintained to determine the final cost of RAP implementation. The following indicators can be used to monitor implementation of the RAP. Table 4: Indicators of RAP Impacts Monitoring (of Issues) Evaluation (of Impacts) Number of compensation (and valuation) Changes (+/-) in PAPs conditions during issues not completed transition process Number of sub-projects unable to settle Changes (+/-) in PAPs income and livelihood compensation after two years conditions Number of grievances filed Quality of grievances or disputes resolved (qualitative) Number of livelihood restoration programs Changes (+/-) in affected households income completed levels Pre-subproject production versus present Equal or improved production per affected production levels (crops for crops, land for household/homestead land) 51 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework List of Annexes: Annex 1 World Bank Resettlement Policy Framework (Excerpt from World Bank Operational Policy 4.12, Involuntary Resettlement) Annex 2 Annotated Outline for Preparing a Resettlement Action Plan (RAP) Annex 3 Sample Grievance and Resolution Form Annex 5 Sample Table of Contents for Consultation Reports Annex 6 Glossary of Terms Annex 7 Relevant Laws Annex 8 Entitlement Matrix Annex 9 Consultation on RPF 52 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework ANNEX 1: World Bank Resettlement Policy Framework (RPF) [Excerpt from the World Bank OP4.12 Involuntary Resettlement, Revised April 2004] These policies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. OP 4.12 (Revised April 2004) applies only to projects that are governed by OP / BP 6.00,Bank Financing - that is, those in countries with approved country financing parameters. Other operational policy statements governing Bank financing that have been amended to reflect OP/BP 6.00 also apply to these projects. Projects in countries without approved country financing parameters continue to be subject to other operational policy statements governing Bank financing. Resettlement Policy Framework For sector investment operations that may involve involuntary resettlement, the Bank requires that the project implementing agency screen subprojects to be financed by the Bank to ensure their consistency with this OP. For these operations, the borrower submits, prior to appraisal, a resettlement policy framework that conforms to this policy (see Annex Ahttp://wbln0011.worldbank.org/Institutional/Manuals/OpManual.nsf/OPolw/C19E5F010F97E0 4485256B180070DD3E?OpenDocumenthttp://lnweb18.worldbank.org/Institutional/Manuals/Op Manual.nsf/58AA50B14B6BC071852565A30061BEB6/46FC304892280AB785256B19008197 F8?OpenDocumenthttp://wbln0018.worldbank.org/Institutional/Manuals/OpManual.nsf/whatne wvirt/CA2D01A4D1BDF58085256B19008197F6?OpenDocument, paragraphs 23-25). The framework also estimates, to the extent feasible, the total population to be displaced, and the overall resettlement costs. For financial intermediary operations that may involve involuntary resettlement, the Bank requires that the financial intermediary (FI) screen subprojects to be financed by the Bank to ensure their consistency with this OP. For these operations, the Bank requires that before appraisal the borrower or the FI submit to the Bank a resettlement policy framework conforming to this policy (see Annex Ahttp://wbln0011.worldbank.org/Institutional/Manuals/OpManual.nsf/OPolw/C19E5F010F97E0 4485256B180070DD3E?OpenDocumenthttp://lnweb18.worldbank.org/Institutional/Manuals/Op Manual.nsf/58AA50B14B6BC071852565A30061BEB6/46FC304892280AB785256B19008197 F8?OpenDocumenthttp://wbln0018.worldbank.org/Institutional/Manuals/OpManual.nsf/whatne wvirt/CA2D01A4D1BDF58085256B19008197F6?OpenDocument, paragraphs 23-25). In addition, the framework includes an assessment of the institutional capacity and procedures of each of the FIs that will be responsible for subproject financing. When, in the assessment of the Bank, no resettlement is envisaged in the subprojects to be financed by the FI, a resettlement policy framework is not required. Instead, the legal agreements specify the obligation of the FIs to obtain from the potential sub-borrowers a resettlement plan consistent with this policy if a subproject gives rise to resettlement. For all subprojects involving resettlement, the resettlement plan is provided to the Bank for approval before the subproject is accepted for Bank financing. For other Bank-assisted project with multiple subprojectshttp://wbln0011/Institutional/Manuals/OpManual.nsf/58AA50B14B6BC071852565A 53 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 30061BEB6/8BC51CC87982E5BD85256B18006D964D?OpenDocument26 that may involve involuntary resettlement, the Bank requires that a draft resettlement plan conforming to this policy be submitted to the Bank before appraisal of the project unless, because of the nature and design of the project or of a specific subproject or subprojects (a) the zone of impact of subprojects cannot be determined, or (b) the zone of impact is known but precise sitting alignments cannot be determined. In such cases, the borrower submits a resettlement policy framework consistent with this policy prior to appraisal (see Annex Ahttp://lnweb18.worldbank.org/Institutional/Manuals/OpManual.nsf/58AA50B14B6BC0718525 65A30061BEB6/46FC304892280AB785256B19008197F8?OpenDocumenthttp://wbln0018.wor ldbank.org/Institutional/Manuals/OpManual.nsf/whatnewvirt/CA2D01A4D1BDF58085256B190 08197F6?OpenDocument, paragraphs 23-25). For other subprojects that do not fall within the above criteria, a resettlement plan conforming to this policy is required prior to appraisal. For each subproject included in a project described in paragraphs 26, 27, or 28 that may involve resettlement, the Bank requires that a satisfactory resettlement plan or an abbreviated resettlement plan that is consistent with the provisions of the policy framework be submitted to the Bank for approval before the subproject is accepted for Bank financing. For projects described in paragraphs 26-28 above, the Bank may agree, in writing, that sub-project resettlement plans may be approved by the project implementing agency or a responsible government agency or financial intermediary without prior Bank review, if that agency has demonstrated adequate institutional capacity to review resettlement plans and ensure their consistency with this policy. Any such delegation, and appropriate remedies for the entity’s approval of resettlement plans found not to comply with Bank policy, is provided for in the legal agreements for the project. In all such cases, implementation of the resettlement plans is subject to ex post review by the Bank. 54 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework ANNEX 2: Annotated Outline for Preparing a Resettlement Action Plan (RAP) This template is extracted from OP 4.12 Annex A. Its full description can be found in the World Bank external website. 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: Description of the sub-project: General description of the sub-project and identification of sub- project area or areas. 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. Objectives: The main objectives of the resettlement program as these apply to the sub-projects. Socio-economic studies: The findings of socio-economic studies to be conducted in the early stages of project 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. 55 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 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 local 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. Legal Framework: The analysis of the legal and institutional framework should cover the following: (i) 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; (ii) 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; (iii) 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; (iv) Laws and regulations relating to the agencies responsible for implementing resettlement activities in the sub-projects; (v) Gaps, if any, between local laws covering resettlement and the Bank’s resettlement policy, and the mechanisms for addressing such gaps; and (vi) 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. The institutional framework governing RAP implementation generally covers: (i) Agencies and offices responsible for resettlement activities and civil society groups like NGOs that may have a role in RAP implementation; (ii) Institutional capacities of these agencies, offices, and civil society groups in carrying out RAP implementation, monitoring, and evaluation; and 56 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework (iii) Activities for enhancing the institutional capacities of agencies, offices, and civil society groups, especially in the consultation and monitoring processes. Eligibility: Definition of displaced persons or PAPS and criteria for determining their eligibility for compensation and other resettlement assistance, including relevant cut-off dates. 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: 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: 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; (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: 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. 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: 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: 57 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework (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 preparing the resettlement plan; and (iii) Review of resettlement alternatives presented and the choices made by PAPs regarding options available to them, including choices related to forms of compensation and resettlement assistance, to relocating as individual families or as parts of pre-existing communities or kinship groups, to sustaining existing patterns of group organization, and to retaining access to cultural property (e.g. places of worship, pilgrimage centers, cemeteries); and (iv) Arrangements on how PAPs can communicate their concerns to project authorities throughout planning and implementation, and measures to ensure that vulnerable groups (including indigenous peoples, ethnic minorities, landless, children and youth, and women) are adequately represented. The consultations should cover measures to mitigate the impact of resettlement on any host communities, including: (i) Consultations with host communities and local governments; (ii) Arrangements for prompt tendering of any payment due the hosts for land or other assets provided to PAPs; (iii) Conflict resolution involving PAPs and host communities; and (iv) 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: 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. 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: 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. 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 58 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 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: Arrangements for monitoring of RAP activities by the implementing agency, and the independent monitoring of these activities, should be included in the RAP section on monitoring and evaluation. The final evaluation should be done by an independent monitor or agency to measure RAP outcomes and impacts on PAPs’ livelihood and living conditions. The World Bank has examples of performance monitoring indicators to measure inputs, outputs, and outcomes for RAP activities; involvement of PAPS in the monitoring process; evaluation of the impact of RAP activities over a reasonable period after resettlement and compensation, and using the results of RAP impact monitoring to guide subsequent implementation. 59 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework ANNEX 3: Sample Grievance and Resolution Form Name (Filer of Complaint): __________________________________ ID Number: __________________________________ (PAPs ID number) Contact Information : __________________________________ (Village ; mobile phone) Nature of Grievance or Complaint: ______________________________________________________________________________ _____________________________________________________________________________ Date Individuals Contacted Summary of Discussion ____________ __________________ ___________________________ Signature_______________________ Date: ____________ Signed (Filer of Complaint): ______________________________________ Name of Person Filing Complaint :__________________________( if different from Filer) Position or Relationship to Filer: __________________________________ Review/Resolution Date of Conciliation Session: ______________________________________ Was Filer Present? : Yes No Was field verification of complaint conducted? Yes No Findings of field investigation: ______________________________________________________________________________ ______________________________________________________________________________ Summary of Conciliation Session Discussion: __________________________________________________________________ ______________________________________________________________________________ __________________________ Issues _______________- ______________________________________________________________ Was agreement reached on the issues? Yes No If agreement was reached, detail the agreement below: If agreement was not reached, specify the points of disagreement below: ______________________________________________________________________________ Signed (Conciliator): ___________________________ Signed (Filer): ________________ Signed: ___________________________ Independent Observer Date: ___________________________ 60 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework ANNEX 4: Sample Table of Contents for RAP Consultation Reports 1.0 Introduction. 1.1 Project Description 1.2 Applicable Laws, Regulations, and Policies to Public Engagement 1.3 Project Lenders 2.0 Stakeholder Analysis 2.1 Areas of Influence/Stakeholders 2.2 Description of Stakeholders 3.0 Stakeholder Engagement 3.1 Previous Consultation Activities 3.2 Implemented Community Engagement Activities 3.3 Project Sponsor’s Community Engagement Plan 3.3.1 Phase 1 – Initial Stakeholder Consultation 3.3.2 Phase 2 – Release of the RAP Terms of Reference 3.3.3 Phase 3 – Release of RAP Consultation Report 4.0 Summary of Key Issues 5.0 Future Consultation Events 5.1 Phase 4 – Release of the RAP 5.2 Phase 5 – Ongoing project Communications 6.0 Disclosure Plan 61 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Tables Table 2.1: Consultation Activity Summary Table 3.1: Initial Government Agency Consultations Table 3.2: Summary of NGO Meetings Table 3.3: Sub-County Committee Composition Table 3.4: Summary of Community Discussions Table 3.5: Local Community Comments Table 4.1: Summary of Key Issues and Responses Table 5.1: Summary of Future Consultation Activities per Stakeholder Group TEMPLATE Table on Consultation Activity Summary Location and Meeting Attendees Discussion Summary Communities Dates Represented Example: 62 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework ANNEX 5: Glossary of Terms 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. Cutoff Date The cut-off date is the date of commencement of the census of PAPs or DPs within the EASP 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. 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 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 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 affected Persons (PAPs) because they may lose, be denied, or be restricted access to economic assets; lose or Displaced shelter, income sources, or means of livelihood. These persons are affected whether Persons (DPs) 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. 63 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Project Some projects make use of project implementing units (PIUs), which are generally Implementing separate units within the project recipient’s agency. The PIU is often composed of Unit (PIU) full time staff devoted to implementing the project, and have been encouraged to have separate teams with environment and social specialists who can carry out the activities, for example, as outlined in the RPF or RAP. Rehabilitation Rehabilitation assistance is the provision of development assistance in addition 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 assets Cost and related transaction costs. The cost should be based on Market rate (commercial rate) according to Ethiopian laws for sale of land or property. It is normally calculated based on a willing buyer-willing seller basis, but also applies in Ethiopia to acceptable market valuation or from an assessment from the Land Commission and government valuer. Resettlement The RAP is a resettlement instrument (document) to be prepared when sub-project Action Plan locations are identified. In such cases, land acquisition leads to physical displacement (RAP) 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 funding Framework mechanisms for any resettlement, that may be necessary during implementation. The (RPF) 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. Witness NGO Some RPFs refer to a witness NGO or an independent monitor that can be contracted or Independent to observe the compensation process and provide an independent assessment of the Monitor quality of the process. These are usually NGOs or other agencies that are not directly involved in the project and have a reputation for independence and integrity. 64 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework ANNEX 6: Relevant Laws Property Rights and Land Rights Law/Regulation Ownership of land is now vested in the State and Ethiopian citizens have Public Ownership of Rural only a use right (usufruct) over the land. This gives the user ownership Land (No 31/1975) of his/her possessions with the right to benefit from the fruits of his/her labor. This includes crops, perennial crops, trees for timber etc. found on the land or any other permanent fixtures such as residential houses, business installations, stores and fences, amongst others. This overturned the 1960 Constitutional degree of private ownership of land. In 1975 Ethiopia nationalized urban land and extra houses (Proc. No. Proclamation No. 47/1975 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 Proclamation No. 47/1975, be free from payment to the landowner. C) Any person or family owns Article 2(3), Article 6(1) only a single dwelling. and Article 11(1) According to these proclamations, land holders have open-ended Constitution of usufruct rights over their possessions (ie there is no time limit on this usufruct), subject to a proof of permanent physical residence, ability to Ethiopia (No 1/1987, farm continuously and should meet administrative dues and obligations. Article 13(2) and No In rural villages, farm households have a legal right to possess land 1/1995, Article 40(3)) through state mandated peasant associations. Proclamation N° 89/1997 establishes the principles of rural land Proclamation N° 89/1997 administration, which is devolved to the Regions "Federal Rural Land Administration • states that each Regional Council shall enact a law on land Proclamation" administration, which is in conformity with the provisions on environmental protection and federal utilization polices. Proclamation N° 89/1997 recognizes the lawfulness of "holding rights" Proclamation N° 89/1997 over land; "Federal Rural Land Administration Proclamation" Proclamation N° 89/1997 confirms and details the Constitution principle Proclamation N° 89/1997 that holding rights on land can be assigned to peasants and nomads, and "Federal Rural Land that these are to be secured from eviction and displacement; Administration Proclamation" It provides various details with respect to redistribution of land, Proclamation N° 89/1997 including that this redistribution is a Region responsibility "Federal Rural Land 65 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Property Rights and Land Rights Law/Regulation It establishes the possibility for Regions to perceive fees for the use of Administration land and forest. Proclamation" The leasehold policy (Proc No. 80/1993) allows individuals and Proclamation No. 80/1993 companies to attain access to land through auction, allocation, or lottery. Article 26 of the Constitution states that "Everyone shall have the right Constitution Article 26 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." The 1995 Constitution of the Ethiopia, Article 40(2), 40(4), 40(5) and Constitution Article 40(2) 40(8) includes legal frameworks that protect the Ethiopian citizen’s rights to private property and set conditions for expropriation of such Constitution Article 40(4) 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 Constitution Article 40(3) well as of all natural; resources, in the government and in the peoples of Ethiopia; Article 40(3) recognizes land as a common property of the Nations, Constitution Article 40(3) Nationalities of, 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 Constitution Article 40(4) payment and the protection against eviction from their possession; and Article 40(5) guarantees the right of pastoralists to free land for grazing Constitution Article 40(5) and cultivation as well as the right not to be displaced from their own lands. Article 40(7) states that "Every Ethiopian shall have the full right to the Constitution Article 40(7) immovable property he builds and to the permanent improvements he brings about on the land by his labour or capital. This right shall include the right to alienate, to bequeath, and, where the right to use expires, to remove his property, transfers his title, or claim compensation for it. Article 41(9) sets out the State responsibilities to protect and preserve Constitution Article 41(9) historical and cultural legacies. 66 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Property Rights and Land Rights Law/Regulation The Research and Conservation of Cultural Heritage Proclamation No. Proclamation No. 209/2000 of Ethiopia defines cultural heritage broadly as "anything 209/2000 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 Proclamation No. Cultural Heritage is required to remove from its original site of 209/2000, Article 21/1 an immovable cultural heritage (Art. 21/1). • Whenever registered, movable cultural heritage is encountered Proclamation No. during the execution of the project it is possible to remove such 209/2000, Article 21/2 property by notifying the Authority in advance (Art. 21/2). ZikreHig Regulation No.6 2002 provides for the lease holding of urban ZikreHig Regulation No. land for a specified period of time. It regulates the lease period for 6/2002 different functions, grade of land and payment of lease. It regulates manners of expropriation of land. It regulates that land could be expropriated for public use against payment of compensation Several Regions of Ethiopia have taken steps to develop regional land Regional Land regulations. Regulations Land use Administration Proclamation, (No 456/2005 Article 17(1)) Eligibility for compensation is discussed in Article 44(2) of the 1995 Constitution Article 44(2) Constitution and Proclamation No 455/2005. These two legal documents give entitlement only to those who have formal legal rights Proclamation No 455/2005 over their holdings (properties). Proclamation No 455/2005, Article 2 (3) stipulates that “Landholder” Proclamation No 455/2005 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.” Rural Land Administration and Land Use Administration Proclamation No. Proclamation (No. 456/2005 Article 17(1) gives regional states the 456/2005 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 Land Tenure building on the constitutional provisions to improve security of tenure, albeit within the general framework of State ownership of land. Leases 67 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Property Rights and Land Rights Law/Regulation 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 Uncited other assistance in finding a new location, compensation at replacement value for any immovable assets, compensation for loss of income during transition, assistance for physical transfer and follow-up services.” “People without titles or use right (e.g. squatters, encroachers) will be Uncited for specific assistance. They typically claim use rights or even ownership after occupation of unused or unprotected lands. They are likely to have invested in structures or land improvements that are eligible for compensation.” 68 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework ANNEX 7. List of Participates in the Public Consultations on RPF Amhara Name, status, sex and age of participants at Libokemekem Woreda Shamo Godguadit Kebele NO Name Status Sex Age 1 Worku Dessalegn Farmer M 20 2 Desale Engdayehu Farmer M 50 3 Guadie Embiale Farmer M 52 4 Wagshum Beyene Farmer M 56 5 Yirsaw Tigabie Kebele Cabinet M 45 6 Belayhun Engdaw Land admin committee M 52 7 Endalkew Chanie Watershed committee M 27 8 Muche Ferede Farmer M 69 9 Mekuria Andargie Farmer M 45 10 Berie Taye Farmer M 21 11 Kiflie Garede Farmer M 46 12 Dires Yalew Farmer M 65 13 Getaneh Sintie Kebele court Judge M 38 14 Mengesha Asefa Farmer M 28 15 Bosena wellie Farmer F 40 16 Maralem Muche Women affairs F 29 17 Gebayenesh Engdaw Farmer F 39 18 Lalew Abie Admin & security affairs M 36 19 Abeba Yigzaw Watershed comittee F 40 69 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework NO Name Status Sex Age 20 Mastewal Wubit Farmer F 26 21 Bewuketu Mesfin Cooperative leader M 47 22 Mastewal Wubet Farmer F 26 70 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Amhara: Name, status ,sex and age of participants at Lay Gayint woreda 01 kebele NO Name Status Sex Age 1 Zewudu Desalegn Farmer M 38 2 Engdashet Jenber Farmer M 70 3 Kes Abebaw Aber Speaker of Kebele council M 35 4 Asmare Tesema Farmer M 76 5 Adane Asmie Land admin committee M 42 6 Amerie Yimam Farmer M 65 7 Misgan Tadesse Farmer M 60 8 Chekolech Dessie Farmer F 43 9 Sintayehu Terefe 1 for 5 leader F 42 10 Tritie Yibabie Farmer F 35 11 Yeshi Baye Local arbitrator F 58 12 Fentaye Admasu Farmer F 53 13 Godada Admasu Farmer F 55 14 Alemnat Fentaye Farmer F 48 15 Siyoum Fentie Farmer M 35 16 Anley Amare Farmer F 48 17 Wuletaw mekonnen Farmer M 28 18 Debrie Tegegne Farmer F 60 19 Mebrie Addisie Farmer M 66 20 Alemnew Wubie Kebele Administrator M 42 71 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 72 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 73 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 74 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 75 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 76 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 77 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 78 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 79 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 80 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 81 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 2017 Community Consultations: Somali Region 82 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 83 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 84 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 85 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 86 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Community Consultations 2017 Afar Region 87 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 88 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 89 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 90 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 2017 Community Consultations Oromiya Region 91 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 92 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 93 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 94 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 95 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Amhara Name, status, sex and age of participants at Libokemekem Woreda Shamo Godguadit Kebele NO Name Status Sex Age 1 Worku Dessalegn Farmer M 20 2 Desale Engdayehu Farmer M 50 3 Guadie Embiale Farmer M 52 4 Wagshum Beyene Farmer M 56 5 Yirsaw Tigabie Kebele Cabinet M 45 6 Belayhun Engdaw Land admin committee M 52 7 Endalkew Chanie Watershed committee M 27 8 Muche Ferede Farmer M 69 9 Mekuria Andargie Farmer M 45 10 Berie Taye Farmer M 21 11 Kiflie Garede Farmer M 46 12 Dires Yalew Farmer M 65 13 Getaneh Sintie Kebele court Judge M 38 14 Mengesha Asefa Farmer M 28 15 Bosena wellie Farmer F 40 16 Maralem Muche Women affairs F 29 17 Gebayenesh Engdaw Farmer F 39 18 Lalew Abie Admin & security affairs M 36 19 Abeba Yigzaw Watershed comittee F 40 96 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework NO Name Status Sex Age 20 Mastewal Wubit Farmer F 26 21 Bewuketu Mesfin Cooperative leader M 47 22 Mastewal Wubet Farmer F 26 97 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework Amhara: Name, status ,sex and age of participants at Lay Gayint woreda 01 kebele NO Name Status Sex Age 1 Zewudu Desalegn Farmer M 38 2 Engdashet Jenber Farmer M 70 3 Kes Abebaw Aber Speaker of Kebele council M 35 4 Asmare Tesema Farmer M 76 5 Adane Asmie Land admin committee M 42 6 Amerie Yimam Farmer M 65 7 Misgan Tadesse Farmer M 60 8 Chekolech Dessie Farmer F 43 9 Sintayehu Terefe 1 for 5 leader F 42 10 Tritie Yibabie Farmer F 35 11 Yeshi Baye Local arbitrator F 58 12 Fentaye Admasu Farmer F 53 13 Godada Admasu Farmer F 55 14 Alemnat Fentaye Farmer F 48 15 Siyoum Fentie Farmer M 35 16 Anley Amare Farmer F 48 17 Wuletaw mekonnen Farmer M 28 98 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework NO Name Status Sex Age 18 Debrie Tegegne Farmer F 60 19 Mebrie Addisie Farmer M 66 20 Alemnew Wubie Kebele Administrator M 42 99 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 100 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 101 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 102 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 103 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 104 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 105 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 106 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 107 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 108 | P a g e Ethiopia Rural Safety Net Project Resettlement Policy Framework 109 | P a g e