?1k+f*P O4.464 Rhd4fflT 1T-flkh THE FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA VIMirip *'7gp q ETHIOPIAN ROADS AUTHORITY Tb$FIf#11?3 11C 1770 114.A hfnq A.tp Post Office Box 1770 Addls Ababa Ethiopia Pth, 11 I&&1-49FS 11hMb Cable Address Highways Addis t1k1* 211880 VAAh Ababa TC 551-71-70/79 Telex 21*880 Tel. No. 551-71-70/79 Public Disclosure Authorized 4h* 251-11-5514866 Fax 251-11-55?4866 Trc Ret. No. i 23 &ab AIR_____ s. AddbsAbaba V1lt4k 1 3 20O3F
Ato Negede Lewi Senior Transport Specialist World Bank Country Office Addis Ababa Ethiopia Public Disclosure Authorized Subject: APL I// - Submission of final RAPs
Dear Ato Negede,
As per the provisions of the timeframe set for the pre - appraisal and appraisal of the APL III Projects, namely:
4. Aposto - Wendo - Negelle,
Public Disclosure Authorized 5. Gedo - Nekemte, 6. Gondar - Debark, and
4. Yalo - Dallol, we are hereby submitting, in both hard and soft copies, the final resettlement action plans (RAPs) of the Projects, for your information and consumption, addressing / incorporating the comments received at different stages from the Bank.
Since7 y, (9 oz531( f Public Disclosure Authorized
ZAIO WOLDE GEBRIEL / fs Eth,,pian Roads Authority
thirecfor General ,; RP510 v 4 FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA ETHIOPIAN ROADS AUTHORITY
CONSULTANCY SERVICES FOR FEASIBILITY STUDY ENVIRONMENTAL IMPACT ASSESSMENT AND DETAILED ENGINEERING DESIGN AND TENDER DOCUMENT PREPARATION FOR YALO-DALOL ROAD
ABREVIATED RESETTLMENT ACTION PLAN
Action Cc5 FILE (Co/alpha/pilame ot *) Lri/C:r GR/TF ESVv Co!/Rg Adm Prc, - I1
IN ASSOCIATION WITH J &w
AND
LA SABA ENGINEERING
March 2007 Y at1o-DJJioI Rotul PRoject - 4 hbrei t'jetdRe/R,^settlmeult a t a Pl,iPa
TABLE OF CONTENT
LIST OF ABBRENVIATIONS ...... 1. EXECUTIVE S IN'IAR ...... 3 1.1. Introduction ...... 3 1.2 Objective ...... 3 1.3 Methodolog ...... 3 1.4 Institutional an(i Legal Framework ...... 3 1.5 P'roject Roa(d Description ...... 4 1.6 Socio-economic Description of The Project Area ...... 4 I.6. I LthnicitN. I1 La neILIUand rcligion ...... 4 1(- colnori. \cti \ it! ...... 4 1.6.3 Road Net\\ork in tLl IjccAra...... 4 1.6.4 Social ()rlaniatitn olFthe Ar 5...... 1.7.Potential Impacts of the Project Area ...... 6 1.8 The Project's Impact on Livelihood and Houses ...... 7 I l lIi..ihiIit.t ( iti.i a ...... 7 1.9 RAP Implementation and Grievance Redress Mechanism ...... 9 1.10 Monitoring and Evaluation ...... 10 1.11 Compensation estimates ...... 10 2. Description of Project ...... 11 2.1 Introduction ...... 11 2.2 Background of the Project ...... 11 2.3 Project Context ...... 11 3. POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK ...... 13 3.1 Resettlement/Rehabilitation Policy Framework ...... 14 4. Socio Economic Situation of the project area Zone 2 and Zone 4) ...... 16 4.1. Economic Activities and Development Needs ...... 16 4.1.1 AlL National Rcu.ional att...... 16 4.2 Transport System and Travel Patterns ...... 20 42. 1 Iohilit\ a111dS,nltienlu Itattel1n t'.At'aar Pastorialists ...... 2) 4.3. Social Organization of The Afar ...... 21 4.4 Role of Women and Men in Afar Society ...... 23 4.5 Tourist sites ...... 23 5. Impact of new road on Humani and Social Environment ...... 25 6. Project affected PEOPLE and prop)erties ...... 32 6.1 Houses and Other- Properties Affected by The Project ...... 32 6.2 The Project Affected Population ...... 33 6.3 Compensation for I'AP ...... 33
Fin,,road to?dAt(t. li -ilt.I. ol N/SI Iln-L iinerieng 1 )ilo-Duelol Roadl Project- -Abbreviajted ReseCtl'eOWelit -Icotioll Pli/ii
6.4 Methods of Valuing Replacement Cost for the Affected Houses ...... 33 6.5 Replacement Cost ...... 34 6.6 Compensation Procedure ...... 34 6.7 Eligibilitv Criteria and Project Entitlement ...... 34 6.8. Vulnerable Hotisehol(ds ...... 36 7. Institutional Framework ...... 37 7.1. Ethiopian Roads Authorit ...... 37 7.2 Local Government Institutions ...... 37 7.3 RAP Implementing Institution ...... 38 7.3.1 Nlemibhers the RAP lmiplemenitiglg Team ...... 39 7.3.2 AN\areness 0-catiner rlgrmn iy Institutional Strengthening ...... 40 7.33. (iOric\ance Rctrcss NMlehanis ...... 40 7.. \Ionitorl ijc I n,-,I \ iII...... 40 7. o Budget R eteL1iC.,.It or RAP I el and \I&L...... 41 7.4 Disclosure ...... 42 Budget ...... 42
Aniex I : Tenanits of The affected I-louses: Lost Property and Area of Lost Plot
Annex 11: MiLute of (onsultationL 1 \\ ii I ocal Officials
Annex Ill: World Banik: Oper-ationial Polic\ 4. 12
Fint rotI(I in7 OsSxCi11(17 w'ith J& WaWOSA BA I zl.-.i, hi ! 9 )' ,lo-Dtlol Road Pr{ojectf - hhIei ited Re.%ettlel,eii l-i, PcjionP LIST OF ABBREVIATIONS
ADLI ANg ricultural-D)ev elopmiient-Led Industrialization ANRS Afar National Re,ional State ARAP Abbrev iated Resettlemlenlt Actioni Plan BOPED Buireau of Planning and Fconomic Development CEDEP Conisultants ior 1Economnic l)evelopmnent and Environmental Protection CSA Central Statistical Authoritv CSE Conservation Strategy of Ethiopia EEPA Ethiopian EnvironmenitaLl Protection Authority EIA Environmental Impact Assessmient EIS Environmental limpact Sitemlent EMA Ethiopian Mapping Autor-itn EMSB Environmental Monitoring and Safety Branch EPA Environmental Protectioll ALuthoritv EPE Environmental Policv of 'thiopia ERA Ethiopian Roads Autllorit EWCO Ethiopian Wildlife Conservation Organisation EWNHS Ethiopian Wildlife and Natural History Society GCRC Gross Current Replacemiienlt C(ost IDA International Developm-nent Association IEC Information. Education and Conimunication IPS Industrial Projects Service IUCN World Conservationi Union (Inter-national Union for Conservation of Nature) masl meter above sea level mbsl meter- below sea level MCE Metaferia Consultim,l Enrineers MFEC Ministry of Finance and Economic Development OP Operational DirectiVe PAP Project Affected Persoiis RA P Resettlemnenit Action P'lan RCS Reo2jonal Conservation Strategy RECC Re,ional Environmental Co-ordination Committee RoWB Riul-t-of-Wav Braniclh RRA Reoional Rural Roads Authorities RSDPSI' Road Sector- Developinent Programme Sub-Project SIA Social Impact Assessmiienit
k'inuiroa li avsolc/(tion1 ii1hJ&J V 7d S-IB-A En-inc'erienm Yiflo-D(Ilo(l Road Proj/e(t Il)lh IIei iaterL' esettlRt/ ,,t t,tioll Phllu TNRS NieravNationial Reolonal State UJNCI1) 1linited Nationis Coniferenecoinvi-oironment on and Development WCN'I C' World Conservation Nlonitorline C(eniter
Finjiroad in CI.socLIioli a1itih .J&1 anid71SABA Eng-ineehring2 I'alo-DaIlol Rotad Project -Abbreviwled ReseLttle'ieni,t Acti,o Plan 1. EXECUTIVE SUMMARY
1.1. Introduction
'I'he project road is part ol' thc app. 500 kim new road links from Kasamender on the Dese - Mille road in the SoutIl to Dalol in the North. This Kasamander - Dalol route alignimlenit Iollo\S closely\ the Western boarder of Afar Regional State, complementing wvell the road netvork in VWestern Afar. One of the most important development objective ot' the road is to prolimote agricultural potential in the Afar region and to provide iitra regional links bet\\een the important market places in eastern and northerin Afar Re-tion.
The road projcct is approximately 138 kin fLully situated within the Afar Region connectint) the \soredas Yalo. Mcgale. and Ab Ala and their capitals to each other. This Abbreviated Resettlemncit Actioni Plan (ARAP) wvas carried out for this proposed road project.
1.2 Objective
The central objective of the consulting services is to prepare Abbreviated Resettlement Action Plan (ARAP) for the Yalo - Ab Ala section of the domain Yalo-Dalol Road Project. The RAP assesses the amnoun1t of relocation catised by the construction of the project road and prepare actions to be taken. and institutional arrangement to address the issues at stake, including hbud-ect.
1.3 Methodology
The methodology adopted in collecting necessary data for the preparation of RAP was througIl public conisultationis: primary data collection from people residing along the alignment: and inventorizing the structul-es found within the right of way. Based on the collected data preparationi of the RAP was ulidertaken and its implementation arrangclelemlts definhed.
1.4 Institutional and Legal Framework
'I'he R,u ii k ii' l'liabilitationi Polic\ Framex\ork clarifies the principles of social impact mitigationi in the process of addressing social impacts induced by project operations. It prov ides g-uidelinLes to stakeholders participating in the reliabilitationi/resettlemlienit operations to ensure that project affected persons (PAPs) wilinot be impover ished by the adverse social impacts. The basic principles imply that PAPs should be compensated for loss of assets at replacement costs; be given opportillities to share project benefits: and be assisted in case of relocation or resettlement. Focus is Onl restorilng the income earning capacity of the affected persons by im ing Or at least sustaininig the living conditions prior to project operations or to resettlement. This is iline \\ ith the World Bank requirements.
Thle policy framework sufficienitly places emphasis both on the compensation issues and the process reqtired for the implementation of resettlement/displacement. According to this polc> framne\\ork a resettlement action plan (RAP) needs to be prepared onlyI if the nproject affects more than 200 persons. On the other hand the
Fintnroital in assoc iSSttoii ni ith J& iiand SA B-i Enlgineerin/g 3 )'alo-DtIlol Road,l Pioject - -1hbrei,ited ResOettleI,,Ie Ictioll Phl/l Banlk's :)1. 4. 12 Para. 25 states thlzt --\\ herie imnpacts on the enti-e displaced population are minor. olr e\\ er than '200 pcopIe ire displaced. an abbreviated resettlement action plan (ARAP) mav be aeured \\t tihe borroNNer.- OP 4.12'. lootnote 25 delilles *'impacts are conisidered nminor' it'the affected people are not physically displaced and less thaii 10% of their productive assets are lost". As per the requirement of this World Bank OP 4. l 2 gLuideline the consultant has carried out this ARAP for the project road.
1.5 Project Road Description
Thei most important dexelopnicnt objective of the road is to promote agricultural potential in the Afar region and to provide intra regional links between the importanit market places in eastern and northei'n Afar Region. In addition, the Project Road is part of some 400-500 kiml neN\ road coninecting Kasamander on the Dese-Mille Link Road in the south to Dalol near the FLthiopia-Eritrea Border in the north. The region is believed to have minier-al deposits. primarily gold. marble and base metals. The desire is to open the area to exploration and subsequenIt resource extraction.
TIhe Alfar Region's maini marketable product is livestock and salt. The project road coninects the Woredas Yalo. Ma-ale and Ab-Ala and their capitals to each others and to the neighbourinlg Tig,ra\ Regioni. offering an excellent access for the Afar livestock and salt to the mar-ket. FLirther. the coninection also offers import route for the much needed grain products of the Tig-ray Region to these Afar Region Woredas. Since this i'oad would be the first all-\x hether-road v\ithin the area it would be an important asset in the developmenit of tlhe area.
1.6 Socio-economic Description of The Project Area
1.6.1 Ethnicity, language and religion
8 Afar ethnic grlOUp constitutes an oVerw\\rhelming majority (91. %) of the population. Afar language is \ delr spoken in the region as it is the mother tongue for the majority of the population (90.8%/o). Overwhelming majority (95.6% of the population) of the Atfar Region are Muslim.
1.6.2 Economic Activ'itv
Primary occLupationi is livestock rearing or pastorialism (92%). Crop production, trade and mixed a-riculture are the othel occupations. Regarding secondary employment of pastorialists. it is almost non-existenit. Therefore about 91% are without secondary occupationi except for a very small proportion of agro-pastoral community. Low level of secondary occupationi has reduced the capacity of generating additional income for the pastoral community econiomlyN and. thereby has limited the food security status of the househlold cconorn!
1.6.3 Road Netwvork in the Project Area
The road network and motorized traffic in the project area is at much lower level than other zones in Afar Region. Ti'ansport in many parts of the project area is done mainly on foot and by pack animals. Thei'e exists a limited road network cleared between Ab- .Ala and Me-al witl1out motolizcd traffic. Between Megale and Yalo there is a track used du-ring the 1militar\ operations I ears ago! but it is out of service. In general. the basic road intrlasIL-Ictur-e fOr induced development does not exist in the project area.
Finuroad/ill .CSLt IIif)I ,,iitid J&H'Ua1IS4B-I EnBgineen'ing 4 )'alo-DtIhol Rotadt Project - -l1hbbeviated Rettleln(ltI ctiiIon PlaIn
1.6.4 Social Organizatioii of the Afar
Social or-anization of the Afar is made up of vast territorial units. each consisting of humanl and livestock popLulationi. These ulnits provide the largest permanent groups in the Co111111LInitr and give indi\ idUal melilbers their social identity and their principal claimil on1nlatulral reCSOLurCCe. ( ISu.lkIN. thc liveCstock population is superior in number to that of the human population. and therefore the ultimate objective of pastoral production system is to matclh larue her-d size with the available water and g,razing resources.
The maini iit of social or-anization is the kinship group made of different herding, famnilies tha,t are affiliated to eaLchi otlhe- througTh consanguine and marriage ties. Kinhshiip group contiols the propcrt\ righlts and succession In the local commulnity. Other importanit elements hinclude famik ulnits formed through polygamous marriage and other territorially organized herding groups. Kinship, descent and marriage are essential in organizinig economic and property relations e.g. management and use of rangelands and x\ater resouIces. Marriage practices are based on Islam law (polygamous marriage). The strulctule of Afar family is patriarchal.
Thle tx\o maini traditional institUtions are called Idola and Fiema. There are strict by- laws that govern the instituitioni to trial various social and economic cases among the existing clans. Bv-laws are transferred from one generation to another and the content is improved/modified according to the social and economic conditions of the respective clans. As a result certain rules and regulations of the traditional institutions vary from one clan to another. M1ost of the time these institutions deal with a number of civil anid criminal trials that are the responsibility of the woreda and/or higher level coUrts.
Table l.l. Summary of Main Findings
RRegion - Afar Zone Zone 2 and Zone 4 Road length 138 kimn Road Status Earth Siurfaced Trail Roacl FLuniction Classification Access Road Proposecl Surfacing Type A) Natural Gravel Wearing Course --- -_ B) Crushed Gravel Wearing Course Affectedc Households'PAPs 15 households, having 120 family size Size of Aflected Farimilanicd Non Affected Houses and Fences . fIlousing lhouses (Resident) FFence 12 fences (made from stone piling and branches) Affected Public LUtilities * Fencing Masonry fence (Health Centre) * Electricity Poles 6 \vooden poles . rele. I'oles 2 \ooden poles
Fininroatd in eassoL luoio 1;1//h J& 1,,7l1 SI BA l-/,inL'erimng } alo-Dalol Rod Project - -. hbbrei'iited Resettleinelit Actioln Planil
1.7.Potential Impacts of the Project Area
Positive lmpacts As road is ne\~ to the project arca CILlitc sienif-icant positive change is anticipated to take place. The following are the major positive ilmpacts
1. Improved access to and for services. particularly those related to animal feed and health. \WOuld enicourage people to reside close to them. This implies that the nomilads \will be encouraged to lead a settled li\elihood in the long run.
2.Ethnic compositioni. language anid rcligion may also become more diversified construction of the road.
3.With increased accessibility agricultural extension programmes can increase, particularly to develop pastuL-c prodLuctioni in Megale using irrigation. Increased cereal productioll of agro-pastorialists and other diversification to improve food security can be expected wkith increased exteision services.
4. Veterinarv medicinies can be supplied if and only if the area is accessible. With accessibility the cost of veterinary services is expected to drastically decrease.
5. Along the newv road there are potential tourist attractions. Some of them are already visited also by the population of Tigra\ Region (Megale hot springs) and if accessible, have furtlher development potential.
6. Road is alonr the "salt roLite". thereb\ it provides improved access to salt between Yalo and Dalol.
7.With motorized traffic and easier access to hij-ei towns in the area, availability of e.g. teachers. healthi workers etc. would increase and they would continue residing in the concerned areas. With increased accessibility number of NGOs and other donors is expected to iicrease in the airea.
Adverse lImpacts
No major adverse effect is expected in the project area because of sparse populatioln densitx. However. the following adverse impacts are possible to occur as result of the new road. The occurienice of the adverse eft'ects can be minimized if the appropriate mitigationi are taken.
1. Large proportion of youLng populationi implies that many people are sexually active and prone to sexLiall\ tranisiltted diseases.
2. The other adverse el'fect of the necx road may be the gradual declining of old social value systems, local CuStOm1lS and practices to be replaced by the new cultural and new value s\stems. This is attributed to the nlflux of new diverse inhabitants and new technology to the project area.
3. The project area lacks services like fuel station and maintenance services which are esseiitial lfor propcrly functioning tranisport system. This may limit transport operators from usinig the road in the desi-ed level of service.
Finnro(a in7 (lasocihlim? wi/i J& W11 IdSAB.A En,gineerin"g 6 lu't/l-DtIoo Roa(t Project - -IAbhrei'iaitedResettlet' et/t -Iction Pl(n
4. The x\ater needed for the road project is anticipated to be collected from the limited num,bher oft'ater sources alrcad\ in LIse by the permanent and seasonal local users. The water needed ftor the road pro'cct is going to impose additional pressure over these sources and creates inconvenience on water fetching by the local people and animal. 5. Risk of conflict between project \\orkers and residents may be caused if local customs are brokeni. Some of the local CuIStOmIns that have serious consequences are: trespassiig Afar households and violating rules set to Afar women.
-6. Speeding car and noise of car- can be causes for f'atal accident to animal herl .8 The Project's Impact on Livelihood and iHoLuses
The project affects ftew houses and other property located in Aba Ala town only. No structure ill be affected in the rest of the alignment. In Ab Ala town the project causes relocation of 3 houses owned by 3 households: partially affects 12 houses belonging to 12 houselholds. Tlhe Ab Ala Health centre also losses a strip of land while 8 electricitV poles and 2 tele poles are located within the right-of-way.
The total project affected population are 120 living in 15 households. This implies an average family size to be 8. The sex composition of the PAP is 53 men & 67 women. All the PAP housellold heads arc menl.
The 3 full at'cted l-lHs \\ill lose alilmost all of the plot area and housing facility. 'IThese IIl-is will receivc f'Lill coMpensation to rebuild new houses the households will also be relocated in the same locality in equal size of replacement plots. The 12 partially affected HHs will be able to contilue living within their present plot without any need f'or relocation on new plot of land. They will be compensated for the lost plot from uLLutilized land available behinid their houses.
1.8 The Project's limpact on Livelihood and Houses T'he pl( jcCt atlects Ic x\ houses and othcl propertN located in Aba Ala town only. No structure w ill be affected In the rest ol'thie aligliment. In Ab Ala town the project causes relocation of 3 houses owned by 3 houselholds: partially affects 12 houses belonging to 12 households. The Ab Ala Health centre also losses a strip of land while 8 electricity poles and 2 tele poles are located w ithIn the ridit-of-w aN
The total project affected populationi are I120 li\ ing In 15 households. This implies an average famil\ size to be 8. The sex composition of the PAP is 53 men & 67 women. All the PAP househlold heads are meni.
The 3 fully affected HHs w\ill lose ahilost all of'thie plot area and housing facility. These HHs will receive full compenisation to rebuilid nexw houses the households will also be relocated in the same locality in equal size of replacemilenit plots. The 12 partially affected HHs will be able to contilue living within theil- presenit plot wvithout any need for relocation on new plot of land. They w,ill be compenisated for the lost plot from unutilized land available behind their houses.
1.8.1 Eligibility Criteria
Past experiences of the compensation process indicate that setting some criteria is very important to identify eligible individuals for comilpensation. In this regard setting a particular
Finnroad in iffSoCiUliOf, itiih J& 11cuid S-l B.A Enineerilg 7 I olo-D/oll Road Project -- .Abhrei itee RctR!se!ttlelielit I ctiolI P1(1/I date as a cut off date is esseintial. Indi\ Iduals whose properties inventoried prior to this date are eligible for any compenisationi.
Once the Woreda and town level compenisationi committees approve holdings and use rights of an individual who would lose houses, crop lands, permanent trees, fruit trees, business installations and other properties, individuals will be eligible for compensation. Eligibility for compensation are discussed in the World Bank OP 4.12 procedures for resettlement / rehabilitation, proclamiiationi No 455/2005 of the federal government of Ethiopia, article 44(2) of the constitution, an(d ERAs' resettlemiient /rehabilitation framework. These are adopted as part of this RAP.
According to the World Bank OP 4.12, (2001). procedures, the following project affected citizens would be eligible for compensationls.
* Those who have formal legal right to land (including customary and traditional rights recognized by law of the country). * Those who do not have formal legal rights to land at the time of the cenisus begins but have a claim to such lands assets: provided that such claims are recognized un(der the laws of the country or become recognized through a process in the resettlement plan. a Those who have no recognizable legal right or claim to the land they are occupying. Proclamation No 455/2005 of the federal democratic republic of Ethiopia. Article 2(1) stipulates the issue like this:- * A landholder whose holdinig has been expropriated shall be entitled to payment of compensation for his property situated on the land and for perm-lanienit improvements he imade to such lands. However, prospectors or individuals whio may come to the project area after the cut of date for an anticipation of compensationis or other reasons are not entitled for compensation. Hence, based on the above-mentioned legal platforms and international policy frameworks. all project-affected individuals (except encroachers after the cut off date) have a legal and a policy backup to be eligible for compenisation.
Finnroad inassOciallton i i lh J& Uf' andSAI BAI Enwgineering 8 I luO-DeuIlfRoa(J ProjeLt -. hbrei'iotle( Re,ettleinelt ActiOnI Phun Table 1.2. Entitlement Matrix
Entitlemilenit Mlatrix for Rural Population Temporarily Aftected Permanently Affected Land Land Crops/ Trees Vulnerable groups member Forgone henefits . Full compensation for . The value of the * Special attentions, for the duration ot expropriated farmiiland annual crops at compensations impact. use right current market based on the type E * Restore land after price. of impact and i; the duration of ' The current and the logistical supports o0 imnpact. discounted future values of the trees - affected. . Compensation for . Pa) compensation to * Compensation for * In addition to lost inconme based the land user that is annual crops based compensation on the average equivalent to ten times on the current market payments to the annual income the average annual value of the negative impacts secured for last the incomiie hie/she secured estimated production attributable five years during the five years that could have been directly to the preceding land preceding the land harvested from the project, special expropriation i expropriationi. damaged crops. attentions and lmultiplied by the . If a substitute land of . The compensation other logistical inumber of vears ot comparable value of fruit trees supports will be impact. producLiv ity can be and trees shall be offered. Restore land to its replaced to the based on the current original condition. landholder, theni the and net present value compensationl will be of the future benefits the average annual that could have been income he/she secured generated until a during the five vears similar new tree preceding the comes to maturity. expropriation of the
* As to the 1995 constitution ot thc F-ederal Demioc-ratic Republic of ittiiopia. there will not he a tenallt farmler. Thiis is striCtly stipulated in article 40(() oft the constitution, in that "land... slhall not be subject to sale or othier meanis of exchaange." * The compensation for affected rural residences is similar to the one stated to the urban population
1.9 RAP Implementation and Grievance Redress Mechanism
A RAP Team N\xill be formlled at Ab A\la \hose members ill cominig from various government institUtions. The local teams \x ill be coordinated by ERA. The team will constitute persons coming from administration, clan leaders, and experts. The role of the team is to take all responsibility in all stages of project implementation in the Ab Ala town.
Awareness creating program *\ill be organized for increasing the capacity of the team members to the level that the\ xxill be able to carrx otit the tasks assigned to them in the RAP. In case dispute arises berxxeen the RAP teamii and project affected persons the preferred option of' disptute settlement is thl-oIgh amicable means. This xvill save time and resources that may be expended, if the matter is takien to coturt. If amicable means fail to settle dispute arbitration is the next preferred means of settliing disputes. To this end an arbitral tribunal will be formed will formed at Ab Ala. The arbitral tribtnal , ill be established from the outset of the project.
Fiutnr,eoad Ji11 ()Lsoci(/loii it itll J& 11 aml SI BAI Enainecerin- 9 Yolo-Dailol Road Projectt-Abb-ei - iated Resettleinenii Altiol, Pllan
1.10 Monitoring and Evaluation
A I&F s\ stem and proceduLire has beeni cstLablishiecd in order to: * follow the implementationi ol the RAP according to agreed commitments by all partners. to assess the acquisitioni and rehabilitation activities, * to verify that project affected people receive their compensation, * to see to it that grievances and complainits by project affected people are addressed, * and to mitigate any arising prohlemils. The M&E procedures include internal upUpllo\ anid independent external assessment.
1.11 Compensation estimates The total estinated budget requiremilenit lor RAP Would be Birr 279 000.OOhe following table summarizes the finanicial budget requilemelIt for the compensation including the contingency amount. Table 1.3. Bud2et Requirement
Item description Total Budget (Birr) F Compensation for IosS of hoLuses 150 000.00 Compenisation foir loss of the l-lealthi Centr e renice 15 000.00 Colpenisationi for- loss of-electric ancl telephone poles 20 000.00 M&E bud-et 48 00000 Sub-Total 231 000.00 Contingenc\ 46.60000 Grand Total 279 000.00
Finuiroad in associalioil 'itll J& W a1n71SS B.A Enginetering 0 Ialo-DablolRoadl Project- Abbreviated Re,ettlemeltf AIetio n P/oII7 2. DESCRIPTION OF PROJECT
2.1 Introduction
The central objective of the coIsuIltilng services is to prepare Resettlement Action Plan (RAP) for the Yalo - Ab Ala sectioni of the domain Yalo-Dalol Road Project . The RAP assesses the amouLnt o0' reloc.ation caused by the construction of the project road anid prepar-e actions to betaken. and institutional arrangement to address the issues at stake, including budget.The comn1penisation principles from Resettlement Policy Framework (RPF) and the WB OP 4.12 were adopted. The methodologzv adopted in collecting necessary data for the preparation of RAP was through public consultations. primilarN data collection from people residing along the alignment, and invenitor-izing the structurles found within the r ight of way. Based on the collected data preparationi ol' the R.AXP \as undertaken and its implementation arran-ernent,t deleinied. 2.2 Background of the Project T'he Goverinmenit of the Federal Democratic Republic of Ethiopia (GoE) has formulated the Road Sector Development Programme (RSDP) covering the period 1997-2007. In January 1996. the Pro!)rarnrrme was submitted to a donors' conference in \vIlich the donor- comm11tanity responided b\ pledging some US$ 1.1 billion for the imiplemilenitationi ot the Prottrammine.
The NDF credit is part of the above donor support and includes financing of the Yalo- Dalol Road Project. i.e. Feasibility StLud\. Environmental Impact Assessment (EIA) and Detailed Enigineerinig Design and T-ender Document Preparation. It is expected that the International Developmaent Association (IDA) will support the actual constructioln provided the road is louInd feasible.
The Project Road is part of som01e 500 km ne\\ road connecting Kasamander on the Desie-Mille Link Road in the south to Dalol near the Ethiopia-Eritrea Border in the north. The section Kasamander-Yalo, south of the Project Road, was designed by Transport Constructioni Design Enterprise (TCDE) in 1999. The length of this section is 199 km. The first 100 km from Kasamander is under construction. The section Ab- Ala - Dalol, nor-th of the Pro ject Road was designed by TCDE in 2000 and totals 160 km. Consequently. the Project Road WLould form the central part of the Kasamander- Dalol Road. Thle di-ect distance between Yalo and Ab-Ala is 138 km.
2.3 Project Context
Ethiopia's road network comprises about 30000 km of classified roads including about 4000 km of asphalt roads. With a road density figure of about 27 km/1000 km2 and a populationi of more thani 62 millioni. Etliopia's access to ports. markets and services is amongst the lowest in sub-Saharan Africa. To address these problems and development constraints caused by poor condition and restricted access, the Government of Ethiopia formulated. in 1996, a ten-year Road Sector Development Program (RSDP). Since theni road investinenits are being planned and implemented in Ethiopia within the frarex\orlk of' this Program. These investments include the rehabilitatioin or upgrading of the ml1ainl trun1k, link and rural roads and construction of new roads to expanid the netx ork.
Finnrroa d in7 aS(JL'ciltiolI7 il'itlh J& 14 tnd S-I B-I Engineerinhg I I dao-DIJoltRo,ttl Projecrt - AI bre'iwted Reveuttleiieuii A ction PI1ill The project road is part of the app. 500 km new road links from Kasamender on the Dese - Mille road in the South to Dalol in the North. This Kasamander - Dalol route aliglmnnent 1`ollo\s closel thclAWestern boaider of Afar Regional State. complementiig well the road net ork in vWestel-rn Al:r,l as illustrated in Map 1.1 on the next page. This road wkould be the fir-st all \\ hetlihe road wvithin the area and thus, would be an importanit asset in the development of'the area.
I'he project road study is financed by NDF as part of a programme aimed to strengthen the road sector development in the four less developed Federal States, namely Afar, Somali, Benislianigul-GuLImuz and Gambella Regions The proposed road that connects three Woreda capitals in Afar Region is aimed to improve access to an area now inaccessesibic and M\here road delsit\ is low even to Ethiopian standards. This road is expected to enhialiLce marlkct access In the area and thus, induce economic grow\th and alle\ iate pO\ Cr't\
One of the most importanit development objective of the road is to promote agricultural potential in the Afar regioni and to provide intra regional links between the important market places in easterin and nor-thierin Afar Region. In addition, the Project Road is part of some 400-500 ksm ne\\ road coniniecting Kasamander on the Dese-Mille Link Road in the south to Dalol near the Ethiopia-Eritrea Border in the north. The region is believed to have minier-al deposits, primarily gold, marble and base metals. The desire is to open the area to explorationi and subsequent resource extraction.
The Afar Region's main marketable product is livestock and salt. The project road connects the Woredas Yalo, Magale and Ab-Ala and their capitals to each others and to the neighibouring Tigray Regionl. offering an excellent access for the Afar livestock and salt to the mar-ket. Further. the connection also offers import route for the much needed grain products of the ligra\ Region to these Afar Region Woredas.
This route, located entirely within Afar Region. follows earth surfaced trail from Yalo to Diminum village traversing a mostly flat terrain, utilising the dry wadi banks. The alignmilenit from Diminumil villa-e thenl t'ollows a seldom used and hardly passable trail across a mouLitainous stretch ol' app. 30 km to Nehile. From Nehile the alignment follows a more firequen1tl1 used carth surfaced track connectilig Nehile and Ab Ala.
'This route received best acceptance amionig the Afar population during the public consultationis. Detailed description of route conditions and entailed costing alternatives have been shown in chapter 4. I .3 as well as in the Preliminary Engineering Design Report. Sumimiary of the maini study results is presented here below.
Road length 13 8 km Constructioll Cost Estimlate II 514 000 USD Interinal Rate of RetuLr-i 2 3.X8 %
Finnroad ii ias ocialini 1 17J& U L(1 SAI B-i /Lwineering 12 jolo;-DaIlo Ro7d Pr Lje't - .1hrL-e'l iitL R.tReettlein oett Ictio Pl/an
Map 2.1 Yalo-Dalol Road Regional Context
/N
M,ll- w < ---E
Kuneba. ," s E-e ranh i4e r
Ab-Ala
4 C,-Af-a --
Megal.e v $ nDidigs-ala -
Yalo . / ; K S Seua
[-oqiya. Y 2Ly* 1
- . - t Mile \ TeFia . Kasan der
.- . '
[*Nbfagfi Dehabo Delbel .%
-Er-/ Ge'whe Kuhame.
' V . ., LEGEND
Mta Werer IV Project Road TCDE Seurveyed Road ;b:,' ,River4.shp River2.shp ft Afar town.shp . V Boundary.shp E Lake.shp Contfin.shp
3. POLICY, LEGAL AND INSTITUTIONAL FRAMEWORK
Fimnroad in nssoc itionL 11 ih J& U Ln7d S-4 BA En-iimeening 13 Yalo-Daliol Road PrujeCt - Ahbreviaied Resettle,,welil ILtiioI Pi(117 3.1 Resettlement/Rehabilitation Policy Framework
Resettlemilent and rehabilitationi alre recogilized civic rights in the Ethiopian legislation. Article 44 No.2 of the C'onstitItioll ot' the Federal Democratic Republic of Ethiopia states:
"AII personis who have been displaced or whose livelihoods have been adversely affected as a result of state programs have the right to commensurate monetary or alternative means of compenisation, including relocationi with adequate state assistance."
In addition, regaidinig displacemenit compensation for rural land holdings: P'roclamilatiol iio. 455/2()05: part thiee of'article 8 it states that:
"A1 rural *.i K wwhose land holding has been permanently expropriatedlshcll, in addition lo thie compensation pahla)ble under article 7 of this proclamation, be paid di.splaceinent compensation which shall be equiivalent to ten times the average atinutal inuc01nc hie secutred duriing tHe five veu.rs precedling the expropriation of the lund
'I'he aho\e texts conlstituIte the basis tor the compensation procedures established by the ERA has and are iikexs ise, the national legal framework for the present resettlement and rehabilitation policy framework.
Ful-ttlerimiore. by signing the cr-edit agreemnents for APLI and APL2, with IDA. The Federal Democr-atic Republic otf Ethiopia committed itself to abide the involuntary resettlemenit policy of' the World Bank. 'Thus, the legal frameworks of the RSDPSP are: the Federal constitutiol Ethilopia and the World Bank Operational Policy (OP) 4. 12 on involuntary resettlemenit.
Thle Resettlement/Reliabilitationi Policy Framework clarifies the principles of social ilimpact mitigatioln in the process of- addressing social impacts induced by project operations. It provides guidelines to stakeholders participating in the rellabilitatioi/'i-esettlemilenit operationls to ensure that project affected persons (PAPs) ill not be impoverished b\ the ad\ erse social impacts. Thle basic principles imply that PAPs shotild be compenisated lor loss of assets at replacement costs, be given opportunities to share project benefits: and be assisted in case of relocation or resettleimlent. Focus is Oni restoring the incoine earning capacity of the affected persons bv improving or at least SUstaigino the livii coinditions prior to project operations or to resettlement. This is inline \w ith the World Bank requirements.
The polic\ `'rameso-\r1 sLf'IiciCntl\ places emphasis both on the compensation issues and the process reqLlUred 'oir the imllplementation of resettlement/displacement. According to this policy framewnork a resettlement action plan (RAP) needs to be prepared only if the nproject affects more than 200 persons. On the other hand the Bank's OP. 4.12 Para. 25 states that "xvhere impacts on the entire displaced population are minor, or fewer than 200 people are displaced, an abbreviated resettlement plan may be ag,reed with the borro\ser." OP 4.12, footnote 25 defines "impacts are coilSide'rd 'minOr' if the affected pcople are not physically displaced and less than 10% of'their produIctive assets are lost". 'I'her-efore. as this is a Bank assisted project, OP 4.12 muIst be followed.
Finnroad iinISSOCiIlU/l11 v iih J& W1aind1 SABIBl'AEgiln''eriml, 14 Itlo-DaIol Road,l Project -A hAhrelviated Reseltlemein .I etioli P'hi,, ERA uses twvo methods to conduct valuation of property for resettles: replacement cost and compenisationi. Replacement-cost approach is based on the premise that the costs ol replacing prodLicti'\e assets that ha\c been damaged because of project activities or improper on-site marna-cmenlt can bc imeasured. Compensation approach is based on the wvillingness ol ox\ners of a resouL-ce to give up their rights to that resource. In genieral, four questionis will be addressed: w hat to compensate for (e.g. land, structures, businiess. fixed improvements or temporarx impacts); how to compensate; when to compensate; and how muclh to comlipenisate. The approach follows the Bank's requirement.
Fintirotad in Xs)clulmnIi t/h J& 1/ andI S.4BAI Engin7eerilg 15 Yalo-Dailol Roal Pro,ject -. Abbrleiieted Re,settlemeiiit -ction Plan 4. SOCIO ECONOMIC SITUATION OF THE PROJECT AREA ZONE 2 AND ZONE 4)
4.1. Economic Activities and Development Needs
4.1.1 Afar National Regional State
Prilmary occupation is livestocl\ rearin, or pastorialism (92%). Crop production, trade anid mixed agl-icLiltuLe arc the other occupations. Regarding secondary employment of pastorialists. it is almost noni-existenit. Therefore about 91% are without secondary occupation except for a very small proportion of pastoral community. Low level of secondary occupationi has reduced the capacity of generating additional income for the pastoral commtinity econom\ and, thereby, has not improved the food security status of the houselhold economn\.
Arimong the population agcd tel yvears and over 626 041 or 80.6% were reported to be economnically active and 149 663 or 19.3% economically inactive. Among the male popuilation 92.4% vere economically active and 65.2 % of female population. In urban areas women are almost equally active than men and in rural areas men are significantly more active wlichi reflects the fact that women's work as housewives is not considered as being economically active. This is also reflected in Zones 2 and 4:
In Zone 2: Economilicall) active male 93.30% (72 266): female 51.1% (30 893). In Zone 4: Economically active male 94.7 (45 101 ); female 68.0% (24 980)
Livestock rear-inig/pastorialisimi
The Afar are specialized in the prodtiction of livestock. They herd cattle and camels as primary livestock: goats and shlep as secondary livestock, and donkeys as means of transportationi. The ilmportanice of animals in the socio-economic life of the Afar can be seen by looking at the relative size of each herd, which may run in hundreds and thousands, depending on the human population that is dependent on the herd. Livestock and livestock by-products provide the main proportion of household food and cash income. Dry range lands. characterized by sandy soils and long-lasting dry season, constitute the enNvironimental setting. Maintenance of animals is based on feeding g-rass and plants, which become scarce during the dry season. Livestock mortality is very high due to the environlimient. In addition, animal disease is frequent and reduces productivity. Livestock production is based on grazing resources and availability of water. Provision of veteriiary services is scanty in the region. Livestock rearing is therefore dependent upon climatic changes. The survival rate of camels is relatively high during drouLht. and the households that own camel also cope up consuminll camel milk. Small stocl\s particularly goats exist with camels despite of drought coniditiolns. Most AfJar are pastorialists but are restr-icted in their movements by harsh arid climatic conditions. A number of them in Awsa's territory have long been settled cultivators in the lower Awash River valley arotlid irrigated agriculture schemes along the middle Awash. However. Afar pastorialists remiain vulnerable for various reasons. They are essentially trekkers. bringintg animiials and caravans of goods to traders. Trading lines controlled b I-lighhlanders or Issa Somliali and price mechanisms are not in the hands of the Afar (except ghee bhLtter. duLm1 palms and up to now the Dalol salt). Consequently. Afar traditionial economyl appear-s to be particularly vulnerable for lack of cash and
Finnroatd in assn)ci(itol with J& W cic S.A B.A Eng,ineelring 1 6 )'alo-Dailol Roal Project -AbI rehtijted Re%ettlemewt . Ictioll P1(111 income generating alternati\es. As far as resource management is concerned, pastorialists are facing \Nayane bush encroachment (prosopisjulifora) infesting grazing areas.
Livestock are private propertNy. Idi idually ownied by both male and female members of'the familN. Rangelands and \xatcr resouIrces are managed as a common property and usually controlled bv each clan or sub-clan Unllits. Each clan or sub-clan apply rules of traditional and social contr-ol. \\hich regulate the access and coordinate the actions of individual managers in the utilizationi ol'natural resources.
Livestock rearing is almost the onl\ meanis of survival for the Afar population. This implies, that anN developmenit intervention should take into consideration the specific requiremilenits of the li\ cstock econom\ . In addition. development interventions shoLild SUpport developiment ol'fecondarx mniiLs of income to reduce vulnerability caused by single product based econom\. Road to be constructed shoulid improve access to and for veterinary services, markets and grazinig areas. In addition, it should provide access to other extensioni services available within the government structure. In this respect. development of woreda ceniters as service providers is crucial and it cannot be done without proper road network. Meanwhile, road should provide access to any available and affordable veterinary services to reachi the livestock. In addition, the movements ol' the livestock during thc \eaLr. anid to and from market places where livestock are sold and goods purc-hased. are important In order to provide access to veterinary services to the areas \x here the majoritN of the livestock resides at certain times. Livestock marketirin, in Zoiie 2 and 4
The major markets ftor Zone 2 livestock grazers are Ab-Ala, Mehoni (in Tigray Region) and Kunleba. Ab-Ala is the major trading centre of goats. Market takes place on Thursda\s. 'I'here are also fe`\ sheep. cattle and camels for sale. The supply of the market comiles from distant places like Afdera, Erebti, and Teru woredas. Traders take the livestock they bougIht in Ab-Ala to markets in Mekelle, Woukro and Adigrat in Tiglra Regionl. The suppl\ of livestock market day is 2625 heads.
Mehoni is a toxxn located in -igrar Re-ion and is not the most important livestock market for Afars but rather is reported to be a place where Afars buy grain. However, also livestock marketing takes place at Mehoni market.
Zone 4 is adjacent to the highlands of Tigray and Amhara regions. Most of the markets for the populationi of Zone 4 are located in Amhara region. Most important markets are Yalo. I-lara. Alamata and Alellesuba. Although the Yalo market occurs on Tuesdays most the traders come to the market once a month. There is a trend for the price of livestock to fall down. The onlN thime price of livestock increases is when there is good har\est in the neiglhbouLring1 highiland areas which leads to increase in livestock demanid in these areas. Alamata is a market located in Tigray region. Only few Afars come to Alamata market, and they do not come to sell livestock but buy grain.
Location of the market cenitr-es v ithiln and outside of the Afar region are far. It takes 2- 3 days to trek marketable livestock. ILoss of weight of animals is inevitable, which meanis lo\\ price. Limited nubLIeClr ot buLers is also a critical problem in determiniling livestock price. DuIieng draughit tlime as the amount of milk obtained froimi the community's livestock is not enough and families are forced to sell their livestock with lo\\ price. Price of grain comrin, from the highland areas in contrast is very high. Supply of cereals in the market is ver\ low as a result price for cereals very high.
Fiinn,-oadl iii 1s1i0i1 ilhb .J& If 'oel SAI B-i En,-in,eerin- 17 I ialo-Doilol Road Project -A bbreviated Re,settlemenrt 1Ltion Planii
'I'ie maini reason for Afar population] to cross the regional border to Tigray Region is for livestock marketing and purchasing oftgrain. There is very liited movemiienit from Tigray Region to Afar Re-ion across the border area. Markets in Afar Reaion are less developed and no sucIh goods arc available there that are not available in Tigray Region markets. Nlarkets in Tii-ra\ Regioni are at long distance for Afar population and herding the livestock to these areas leads inevitably to the loss of weight of the livestock to be sold and. accordingly. lesser price. It can be argued, that if the internal Afar markets were more developed and the goods (grain) available in the Afar markets, the travelinoi needs of Afar- population would decrease in Tigray Region and be more targeted toxards the developing Afar markets (MCE. 2000). They would still sell livestock in Tigra\ Region wien there is a real need, but the main markets xxould be xxithin the Afar Region. De\elopiment of the Afar Region markets in the areas where the livestock resides most of the time would ensure, that livestock does not lose its value wxhen traveling long distances.
Agropastorial iSm
In A akr rcgion land is comm unal l o\\xncd property. It is owned and utilized by the Afar- clani. Lach clan has a territorial Unit for exclusive use of the respective can. Recentlv. hoxxever, the clans have reached consensus that each and every clan will have the riglht to graze their livestock in any clan territory provided it respects the territorial supremacy of the other clan. Forced by the recurrent drought and the continuously increasing price of cereals there are indications that the Afar commnLllity is taking up non-pastoralist activities such as agro-pastoralisin as secondary occupation. Households that are engaged in agro- pastoiralisimn com01prise 32.7% of the total number of households in the Region. Out of the total number of kebeles in Zone 2. Ab-Ala woreda, residents of 8 kebels are producinig rainfed agricultural crops including maiz, sorghum, barely and teff. Kebeles are: Dergamrio. Adi Harmeli. Worker Guibi. Asengalo, Hidmo, Whedet(ketea), Hirdan and \Wesema. Majority of the people have permanently settled in the area. Their livestock is herded during the dr\ period to the grazing area by young people. Remainine, memilber-s of the faamilx remliain in their respective location producing crops.
In Megale woreda in Zone 2 there are about 82 pastoralists who are practicing rainfed crop production inciuding surghum. maiz. teff, chick pea and barley in six kebeles. Kebeles are Afdar (51 persons). Aradut (7 persons), Keritu (10 persons), Gubdaba (6 persons) and Faro (4 personis). In Eva woreda in Zone 4 about 120 households are growing maize in three kebeles. In Aura woreda about 39 persons cultivate crops includinag maize. sorehumlil and tef'Ion a small plot of land in 6 kebeles. The yield level from these small plots ot land is x ery loxv.
Agropastorialism is practiced particularly in Ab-Ala and Megale woredas. In case or road constructioni access to extensioni services available within the government is a key for improved productivity. Road alignment to be selected should provide access to the areas x\here agropastorialism is pr-acticed. This wxould improve vulnerable economy by providing an alternative source of livelilhood. (MCE, 2000) Conflict over resources
The most ser-ioLus conflict in the At:ar Region is the conflict between Afar and Issa who control and claim a lar-e area of' land xxithin the Afar territory. Conflict is over the
1 Fitnroal II OSN(L'i l(/ 11/i//h J,& U amiS, B-A Etginee'rinig 1 8 i'Jabo-Di1ol Roadi Project -. Abhreiitited Resettlelmielnt 14ction Plan natural resoul-ces, but has chian-ed its nature to a more political conflict. There are also conflicts betmeen Afar and Oroino. and Afar and Amhara over the utilizationi of the grazing areas and water points. In Zone 2, Ab-Ala woreda there is internal conflict over grazinj land and \water points with people from Tigray Region. Conflict areas include Arado kebele and Ra\a Azebo woreda in Tigray Region, Gelaiso and Hintalo Wajerat kebeles in Tigra\ Region. and Kuneba woreda. Wesama kebele and Deragaina in Tigra\ Region. In Me-ale \oreda there is a conflict over grazing and water points within and out of the \oreda deinarcation. Conflict areas are located between the following locations: bet\ween AredU and Adaldera: Kenito and Rava Azeba and partially W'ajerat. Gubidalia and Adi\a rat (Mehoni). In Zone 4. there are conflict areas between the E\\a \oreda in Afar and Amhara Region caused again by grazing land and water points. Conflict areas include Gubena Mormor (Ewa), Harara and
_Filwoha (Habru). Mersa and Sirinka areas in Amhara Region. People of Aura woreda have a conflict area between people of Kobo woreda.
Exter-nal conflict areas include coniflict between Afar and Issa, and Afar and neighiboring escarpment areas of Anihara. Oromia and Tigray Regions. Confronitation w ith neighbouring escar-pmiienit arcas ol Amihara. Oromia and Tigray Regions is solely a result of vested interest in resource use. Confrontation is sporadic and related to availabilit) of grazhiig areas and the need to use the escarpment areas for grazing. Highland farmers also trek their livestock into the territory of Afar Region in time of shortage of \vater and feed.
Project atfected \woredas are main coiillict areas being the bordering woredas between [igrav and Atfar Regions. Conh-ontation is sporadic and is not expected to causc major difficulties for the road use. Hlownever. the conflict exists and needs to be considered particularly in cross-border cases.
Development needs and priorities
According to the socio-economilic stud& undertaken in the Afar Region, the needs expressed by local author-ities. pastorialists and various agency representatives (mainly meni) include: \ater; healthi (humnan and animal): and education (Socio-Economic Rural Household Survey - Afar National Regional State, FDRE. Vol. I., November 1997). In addition to these priorities. various probleins have been identified for specific areas such as poor animal iriil.l tin. flooding and Awash river bed diversion, grazing land rehabilitation and securit\ for "border areas" with the Issa. Tigray and potentially with the Oromo. Recommenidations as stated in the study:
* [raining and capacit\ buildinig in marketing through pastoral market associatioiis in order to infect the terms of trade; * Market associationis to adopt a broader perspective like pastoral associations uising a holistic approach that would take into account water and grazing managemenit as \ell as niarketing; * Explor-e all possibilities obr economlilc activity diversification; * Water inter-venitionis: * Peace buildinig: * Ecological questioning of grazing rehabilitation through measures to control wavane proliferationi:
Fin,zroadlin; soclontU)1l iti!, J& W4 tim! S-ABA Engineeringiq 19 Yalo-Dalol Rotad Project - Abbreviated Resettlement 4ction Pltiin *ise of media. particularli the radio, for information dissemination camipahgns (Ill1 prcventioni. anlimal diseases, animal marketing etc.).
Identified developmenit needs provide the basis for understanding what kind of needs the road to be constructed should serve in the Afar Region. For most of the needs access is a crucial factor. Training and capacity building at the level of kebeles (pastorialist associations) does not succeed without improved access. Woreda Councils need to be in a position to provide the requil-ed assistance tog,ether with the support of zonal and regional adminlistiationi. Peace building requirements between Afar and TiglraN Regions iieed to be taken into consideration when deciding on the road aliign ient.
According to the study. developimienit priorities of Afar women are related to lack of basic social and other services and harmful socio-cultural practices. Following problems ot' \xomen w\ere repeatcdl\ cited, and they also reflect the general problems in the Afar Region as such: droUgit: lack of water, lack of access to health services and mills: lack ol'accessible roads. lack of market services; low price for livestock and lack of access to schools. In fewv cases crop growing activities were mentioned e.g. lack of agr-icIltural implements. New development trends are, however, coming to the Afar- society as well. Need for accepting other means of income than livestock rearing has becomlie evident due to decrease of reliance in rain resulting in prevalence of a series of drought seasons. Some x\omncn have started vegetable growing in Ab-Ala \\oreda. in li\a womeen are eni-saged as daily labourers in road construction and in Duleclha woreda some \\ornen are enga-ed in saving and credit programme. This indicates that there is room to involve wnomen to broaden the income generating base.
Needs of Afar xvomen reflect the development needs identified by men. However. there are fex\ additional aspects that can be specifically mentioned, particularly strong resistanice to traditional harimifuil practices. Afar society is a very traditional society \\here change is expected to take timie. However, traditional harmful practices constantlN degrade wornen and place thein in an unequal position with men. Some of tthe practices are even dangerous to the health of women e.g. female circuMcision. Without access to assistance (awareness raising, health centers and improved educationi) the situationi will not change. Road to be constructed should be in the areas where maxilmulm1 benefit of eradicationi of harmful traditional practices can be achieved.
4.2 Transport System andl Travel Patterns
4.2.1 Mobility and Settlement Pattern of Afar Pastorialists
Mobility and settlement pattern can be divided into permanent and temporary camps. Each clani has its own territor-ial Lillit bLit temporary migration is a common practice within anid/or OUt ot thle regiOnlal bOunIdary in search for grazing land and water for their livestock. Rclativel per-miianienit movement pattern of each clan is limited to territorial units. Eveni thouglh. the territorial limitation of clans for grazing land and water points is generally abandoned. there are still conflicts between clans over grazing areas. Migration status ol'the nomiladic pastorialists indicates that approx. 54% of the population stay in the sam1e place throughout the year implying that majority of the livestock is hearded to seasonal grazing areas by relatives and together with the herds of relatives. Migyration areas of the pastorialists who limit themselves withini Afar Region comlprise approx. 44.() of' pastorialists. and those who move out most of
Finnroaid inl (ISNOCiUi017 1'i/di J& Wand SABA En-ginee.ring 20 I't,lo-DDltI Roudl Piaojeier -. Abhtreiitiu I Rele'settle iel. I ctioii PlJll the time out of the Re-ion approx. 2.7%. and pastorialists who wander to various migrationi places in and out of the Region is only approx. 0.2%. In Ab-Ala woreda. Zone 2, the movement of pastorialists for grazing land and waterilng points is synchronized with seasonal changes. During the winter season they stav around Ab-Ala and Kala areas. During summer time they move to Bahri, Gelaisso, Ilaridan (Asha and Wegeri). Asengola (Adu and Mebha), Wesema (Gubal and Alitro) and Adi Harimieli (Ali and Subli) kebeles of the woreda.
Pastorialists of the Megale woreda, Zone 2, stay in Hafalafa, Faro, Ganduli, Sahli, Adu, Deriima. Lirno and Alobis areas of the woreda during the winter season. There is sufficient anioulIt of range and water resources. They also dig wells for their use in these areas. Durinig the dry season the\ go to Bekaru, Dima. Tonsa, Deraitu, Deringha Berahli Harineekli. Mantblu. Giminida and Daligna which provide relatively good water sources. During the drv seasoni the! travel 7-8 hours to find water sources for livestock and for the houselhold needs. Durling drought they move to Bahri located between Ab- Ala and Erebti. to Zone 4 (Yalo woreda), and to Tigray Region (Rayana Azebo and Dedeba woredas). In thime of drougLht periods they also move to mountainous areas includinio Wmaeria which is located bhet\een Ab-Ala and Megale woredas (also Haflu, Subula, Gimimda, Dande. SenId and Skel in Megale).
In general. pastorialists in Fwa and Aura woredas stay most of the time in their localities since there exists enoughl glazinig land and water. Chifera and Mille in Zone I are main grazing areas during the dry seasons. Also they go as far as Bati, Asayita, Hailk and Woldyia during the draught periods. There are two potential grazing sites betveen the boulidaries of' Aura and Kobo wsoredas. These areas are also causes of conflict between the two w\oredas. They also go as far as Yalo, Teru, Chifera, Asayita. Ewa and Mille w oredas during the droughlt period.
Mobilitv and settlemenit patterns indicate in which areas the services are needed to ensure support to the livestock and agropastrorialist economy of the Afar Region. There is already a tendency for the pastorialists to settle down and the whole family migration is reducing. Thereh. the areas \here families stay during the winter with suLfficienit grazing area and water are becoming more important in the Afar society. Still there is a need to mierate duri-ng the sumnmer time and particularly during drought for searchi of wnater liand tOdder.
4.3. Social Organization of The Afar
Social organizationi of the Afar is made up of vast territorial units, each consisting of human and livestock populationi. These units provide the largest pernanent groups in the commun1ity and give individual memilbers their social identity and their principal claim on natural resources. Usuallk. the livestock population is superior in number to that of the humani population. and therefore the ultimate objective of pastoral production system is to match large herd size with the available water and grazing resources.
The maill ulnit of social organization is the kinship group made of different herding families that are affiliated to eachi other through consanguine and marriage ties. Kinshilip gIourp colntiols the propert\ rights and succession in the local community. Other importalit elelimenits includc h:amil\ unlitS formed through polygamous marriage and other territorially organized herding groups. Kinship, descent and marriage are essenitial in orutanizina economiiic and property relations e.g. management and use of
Finnrofd in vsSOlcLltI? it /i/7 J& W ourd SA BA En-ineerin"g 21 }'alo-Dalol Road Pro.ject -Abbreviated Resettlemient A (ctiollPloil rangelanids and wkater resources. Marriage practices are based on Islam1 law (pOIk gaMous marriage). T'he strIucture of Afar family is patriarchal.
ThElte o mzaini tr-aditionial instituItiolns are called Idola and Fiema. There are strict bv- laxx s that go\ern the inlStitUtioln to trial various social and economic cases among the existing clan s. R3\-la\\s are tranisl'eied fromii one generation to another and the content is imiproved/miiodified according to the social and economic conditions of the respective clans. As a result certaini rules and regulations of the traditional institutions vary from one clan to another. M\ost ol'the time these institutions deal with a number of civil and criminal trials that are the responsibility of the woreda and/or higher level courts. Fiema is a yoUth association having a legislative. executive and judiciarN bodies CoIllpirilisig a chair, vice chail and judges (3). Fiema is established in all clans. When the case goes beyond its judical responsibilities it is transferred to sub-clan leader and finally to clan leader. ldola is elders association. It is formed at sub-clan and clan levels. and has also its legislative. exectitive and judiciary bodies. Chairpersonship is always held by sub-clan and clan leaders. Ambigious cases beyond the responsibility of the Idola are transfeired to jury of other clan leaders. Cases investigated by traditionial institutionis are e.g. adulter\. rape and murder. In handling of the cases. usuallk per-sonis fiom woreda governmllelnt (woreda council and/or police) attend the trial. They can comment on the verdict for further rectification or adapt it as it is. Generallk, traditional institutiolns have an important role in investigating civil and ccriminal cases in Afar society.
In each of'the clanl/Stib-clan there are chiefs/leaders/representatives responsible for any social. econlomilcal and political matters. In earlier times the persons were recognized on heredita-N basis. No\w, position is gained either through election or inherit and depending on the persons streng,tlh in decision-making. Prominent elders in each of the clan/sub-clan vJith clan leaders also play great role in decision making on matters like dispute settlement. usage and management of range lands, water and other natural resource. conflict resolution etc.
Mabilo is a loose, non-hierarchial socio-political structure, which exists at different levels of family structule. Memlbers of Ganda budda and Iniki budda mabilo are mostly middle aged married wnomen. Mabilo established at this level is mainly womnen's organization (men cani also participate). Mabilo is established to settle disputes, solve conitlicts between husbanids and wives and advice in case of problems.
Grazer (Pastorialist Association) has been established based on the organization model of the Peasant Association in the highlands, and were formed during the previous regime. Grazers are currenitly restructured and reorganized to carry out administrative function within the government system. They are recognized mainly on the basis of clans rather than on geographical area. Grazer would not function without the support of traditional institutiois. Traditional clan leaders play the most active role in decision making on social and political affairs including resource use and management that Grazer/Kebele Administration. Cooperative societies and farmers groups have been organized in somae parts of the Region, which indicates that they can be establislhed and promoted on1the basis of clan/sub-clan as appropriate.
In any development intervention, it is important to take into consideration the traditional decision-making structures of the Afar society. Despite of the newly established decentralized government structure, the traditional bodies still hold
Finin roa(l in as.wocitioi7 1i /ih J& It i/ndS-1 B. I n-I4iIe'esrilng 22 )'olo-DulIol Road Project - . I r athei'itedRevettlenielit .4Actioni Plian importanlt positioni amonigst the population. Constant commullication xx ith these bodies will increase social acceptabilit\ of the intervention. In addition. if conflicts occur betxeeien constliLctioll xxorkel-s anld local population, traditional decision-making bodies 'vill be ax\are of'the puL-pose ol'tlhe road construction. With their support conflicts can be solved in a peacefLul manner. 4.4 Role of Women and Men in Afar Society
Given the aridity of the phxsical environment and widely dispersed nature of the natuL-al resources. the A1\ar are ilkcl\ to increase their chances of survival by moviig fromi place to aniothier In scarchi ol' asture and ,\ ater. Efficiencv of the system depends on the collaboratixe ef'l'or-ts olfdifterent memnbers. Animals usually graze some distance awav from the camp and are cared for by young people. Men are responsible for mapping out the places ihere animiials xvith the human population will migrate. As memilbers of' patrollilng scouts voLic men are sent to search for water, browse and availability of salt. Men make decisionis on when and where to move, and this has to be co-ordiniated x\ ith othel hel-dilnI glOUpS so that the whole process is a collective task inlVOlx ilIg the COnlSCenSUS ofl a1nIII hrC of heidi ng fain ilies.
Women are active participants in the process of moving and locating human and animiial herd in a newv settlement site. They pack all household and other movable items and load them on a camel or donkey. In situations where only big animals move women usually stay behind and look after small stocks. Most of the activities Afar womern have responsibility ol' are associated with getting and processing food, maria-in- food rationing. tetchin, N\ood aiid firewood. Husband takes actively part in purchasing grain t'fromil the market and marketing, thereby, is done jointly. While wxomen take sheep and goat to the market, men sell cattle and camels. Long distance marketling is usually done by meni.
As regard decision making at the household level, most decisions are taken jointly by Nxomen and meni. Hoxvever. in most matters that affect the community decisions are done by men. When conitlicts over the use of range resoul-ces arise. it is men xvho get togethier. discuss and resolxe the coniflict. Women are largely left out from making decisions concernint comrninitt wide conicerins. Their routine role does not extend beyond domestic issues. There appears to exist no activity that falls outside Afar wx'oman's domaini except that mnci are exclusively responsible for defence and ensuring security in the communitx. Despite of this, the society adores masculine characters and tends to downgrade woman's role.
4.5 Tourist sites
Hot springs
In zone 2 and 4 of Afar Region there are a total of 47 hot springs. Concentration of the springs is in Megale xxoreda ( 16). Hot springs in other woredas are as follows: Erebti (6). Beriale (6). Ab Ala (8). KuLneba (4). Dalol (6), Teru (3). Awra (9). Uwxa (2). The list of the total nuinber of hot springs by w\oreda and their location has been attached to this report (Annex). At present most of the hot springs are inaccessible to people residing outside the region. Yet. some of them are visited by the local people, and people coming from surrounding woorcdas in Tigray Region who would be walking on foot. Water is believed to have special poxer of healing various disease.
Finirouidin a.ssocialiOjln Iitl J& ' and S.A B. Engiineering 23 Yalo-DIlol Roat Projec t -I hbreviited ResettlementAI ctio Pl/in The L eile hot SprIneinH Me-ale \\oreda is visited by. not only local and Tigray populationl. hut also b! people comingi f'romI Arnhara Region on foot.
One of'the hot springs in Berhale which is 135 km from Mekele, and accessible by road, used to be a recreationi area l'or forei-n and local tourists during the Emperor era. At present it is used only by local people. Debeha hot stream in Teru woreda which is accessible up to Teru toxxn. and at the distance of 3 hours on foot from TeruL is said to have highi potential fto r geothermal po\\er generation.
Lakes as attractions
There are fresh and salt water lakes in the Afar Region. Twelve relatively large lakes are identified in the region out of'\\hich thl-ee are located in Zone 2 and five in Zone 3. Thieir surface area varies fiomi 3)50 to II 300 hactares. There are also smaller lakes with area varvin(e bet een 31 to 25-Thectares. There are no lakes in Zones 4 and 5.
Lake Hasheni(te is the sole lake reported in the Atlas map of Tigray. The lake is located in Debubaws i zone in Olfa woreda northi of Korem town.
LDuring the detailed design of the aligiinmenit it is important that these attractions are taken into consideration. particularly the hot springs. Some of them are already visited also by the populationL l o igra> Region (Megale hot springs) and if accessible, have uLrtlher development potential.
Salt route
The Yalo-Ab Ala road is part ot'the rolIte that connects the only local salt production zone In the couLntry x\ ith the rest of the countr\ . Presently traditional salt production takes place in Dalol and its ieib1l ou-1-rhood. It is mainly transported by camel to market places. Completion ol'a road \NuIld increase the possibilities to transport to the market salt production and facilitate its distribution.
Fintirotid in ( ISA(CU110 111 I1/1 J& 1 Ml /S-IA-l EB.gAEii1-neerin 24 Ytlo-Dalol Road Pro iLe -. Abbrer iated/Re settleme11t I tioal Pla,, 5. IMPACT OF NEW ROAD ON HUMAN AND SOCIAL ENVIRONMENT
Social AcceptabilitN
The project road was identified and fuIlI supported in public consultations. The project road is t'ully situated in the Afra region connecting Yalo-Megale-and Ab Ala woredas. The route passes over the moLintainous area in Yalo woreda and continues onl the track up to Ab Ala to\\n. 'I'he consulted groups and the local population insisted that the\ x\ant to participate as labourer. during the road construction.. Leile. the center of Megale x\oreda, was established txxo years ago. In Leile there exists a woreda administration, one school. one ne\\lN constructed clinic. The construction of office for more government offices and residential area is on-going. The road will increase the possibilit\ of development of the market. properly functioning woreda administration and offices at Leile..
The ne\\ road is expected to bring major impact in development of market areas in Afar region. Movemenit would mainily increase from within the Afar Region. The populationi of Megale xvoreda xxoul_d have a chance to travel short distances to the Ab- ala and Yalo markets. There is alrcad\ a shorter access track road between Megale and Ab-Ala, so the the project road \\oLIld be more important in providing access to Yalo. that did not earlier exist.
Location of markets in Tigray and Amnhara Regions are at long distance for Afar -populationi and herding the livestock to these areas leads inevitably to the loss of weight of'the lixestock to be sold and. accordingly. lesser price. Price of grain coming from the hieliland areas is in conitiast is ver\ high. Supply of cereals in markets located in Afar reiioni is xerx lo\\ as a result price of cereals very high. It has been confirmed by the xxoreda adminiistrationi, and local population that The project road would facilitate internal market development in Afar region by providing access to Tigray and Amhara region traders to the markets. Development of the Afar Region markets in the areas where the livestock resides most of the time would ensure, that livestock does not lose its xalue xhen travelling long distances implying better livestock price. Market developmenit is also expected to increase supply of cereals and goods from Ab ala to N/legale and Yalo markets wxith lower price. As a result positive impact on availability of goods and lower price ot'cereals.
Lively co-operation has been established between the two regions, however, conflict occurs due to ethnic reasons and times when available resources become insufficient due to natural calamities. Contfrointationi has been sporadic and is not expected to cause major- diff'icu]lties fbr the road LIse. The road would facilitate increased co-operation hetxx een T'igax and Afar re-ions in reducing these conflicts through strengthened admi-nistrationi in the Afar worleda and kebele structure.
Fin7nroatl il1 (ssocti/li(1 iiiih iJ& WI'U/hI .5. -1B l E in7eer'1ing }'olo-Dof ol Road Project-. 4 bbrevialed Resettlement - et ion Pl/on Thle newly established decentralized government structure is more or less operational in Ab Ala w\oreda but, is less operationial In Megale and Yalo woredas. In these woredas the traditional bodies still hold important position amongst the population and are also memliber-s of executiVC colillllttee members of the zone and woreda administrationl. Constant commnii CltiO withl\ these bodies k\ill increase social acceptability of' the intervention. In addition, if conflicts occur between construction workers and local popuIlation, traditional decision-making bodies will be aware of the purpose of the road constructioll. With their support conflicts can be solved in a peaceful manner.
According to the data provided b\ the existing clinics malaria ranks between one to thl-ee top three diseases in the project area. Ther-efore, the in-coming project workers face high risk of contractingi malar-ia. Nloreover, the influx of huge number of project workers near local villages poses risk of expansion of malaria among the villagers.
According to the data provided by the existinig clinics water borne diseases belong to the top three diseases in the project area. Lack of clean potable water and open defecation are attributed to be the major causes of water borne disease. Unless proper sanitation facilities and clean \ater is available, the situation will be highly exasperated with the introductioll of camilp. Tf'he risk of water borne disease is as much for the in-coming workers as to the local people.
Resettlemenit/displacemiienit
Alignimlenit enitails mainlk construction of new road, even though some tracks are expected to be used as basis. Despite of new construction low level of resettlement/displacemenit is expected because the area is very scarcely populated. Populationi comprise of mainly nomadic pastoralists communities and small portion communllities practicing agro-pastorialist activities as secondary occupation. The settlemenit pattern has tendenc\ of becominiig less mobile than before. There will presumably be some people who will be displaced from there homes. It is expected that some farm plots and/or livestock grazing area might be endangered.
Along the project road m1ost of' the population reside in rural areas in the affected woredas who live in makie-shift housing. In case resettlement/displacement occurs, convenitionial houses are the ones expected to be displaced. There are three urban centers along the alignmenit where coniventional houses are built Ab Ala. Leile and Gugubdi. Most of the houses in the towns, except for few cases in Ab ala, lack corrugated iron roofl water and electrlicity therefore less compensation costs are expected in caLse resettlemicint, displacemilenit occurs.
In the Afar Region the percentage ol' single-headed households is low, those households accominodate almost one third of population. Single headed households are often the most vulnierable households. Special emphasis needs to be placed on ensuring appropriate resettlemenit terms and compensation for these households.
Demographic chan-es
Road might contr-ibute to the increased population in the three towns. Significant -increase of population is anticipated in Leile. the capital of Megale woreda because the permanenit population is onlk 300. at present. In general it is expected that population will settle more in towns because of improved access to. and possibly for services.
Finnroad it? IasXoClUal l i t1hJ& 1J UI,1/0SA-I B I IEngineerim" 26 Y)alo-Dalol Roatd Project -- hbI elrei'atereRe ettle,,weltt Aictio,i Pla...
Ethnic composition, languagc and religioni may also become more diversified particularly in to,\\ us. il the sc,r ice sector, which is expected to expand following the construCtioll of the road. cmploNs professionals from other parts of the country. particularly from Tigray and Afar regions. Employment of experts and professionals from other regionis is the present ti.ic applied at all levels is going to continue in Afar government, due to insufficient educated and skilled human resource base. Private sector expansion has also to follow similar pattern of employees from other regions. Therefore. co nILIllityith heterocynious ethnic origin and multi-religion and language back-round is lik ely to be the demographilc change occurrilng in the pro ject area, in the long rull.
Along the the project road sex ratio for children below one year falls outside acceptable range. This implies, that preference is given to boys after birth. Available family resources are used to ensulre that boys survive the first vulnerable years of childhood. This attitude is also reflected in later vears. In rural areas sex ratio is in most age -roups high1 i.e. there are more meni than women. Preference is given to the health care of meni and bo\s. an d e.g. maternal mortality rates remain high. The public consultation process has showvn that inaccessibility to be the main cause of low health service in the project area. Thle project area the project The project road may facilitate changing the imbalanice bet\seen sexes in the long run.
Change in a wav of life
In a mediuLIm-terimi. particular-IN in Yalo. Megale and Ab-Ala woredas quite significant change could take place for the nomads to increasingly settle down. Improved access to and for services, particulal Iy those related to animal feed and health, would encoura-e people to reside close to theli. Access to services is very low particularly in Yalo and Megale, but also in Ab-Ala woreda. Changes are expected to be quite significant both for both male and tfmale population in the Afar Region because of increased access to services. It is not expected that the change towards urbaniization ill be rapid and the level ot uL-banizationi will drastically increase.
Most of the nomiladic houses are of poor quality. It is expected that because of upgl-adilg/colnstrCtinlIg of road the accessibility as well as the mobility of the people in the area will increase. As a result the movemenit of goods to the rural areas will be enilanlced. TIher-efore. rtiral di,ellers who can afford will have access to pul-chiase -building materialls to improve thc qtLalitN of their houses. In general, access to goods that vere not ear-lier- available \ill irproxe.
High proportion of the road aliginment is located closely to the human and livestock water supplN sources. This ma inicrease the number and frequency of crossing and travelling aroulid the road in the short and medium term. This situation is likely to increase the risk of lix estock accidenit along the road.
Ihc Afar commli11un-itx residing In the rulal areas seem to have the desire of settling along the new road in order to get better access to socio-economic services and to sell local products to passers bye. This increases road side population, road side grazing thereby, increased frequency ol the humian and livestock crossing the new road. This situation is likelv to increase the risk of human and livestock accident along the road in the long term. ULisually it is the responsibilit\ of small children, mahilv that of girls.
Finnroad in associjlion it ith J& Wafnd SABA Engineering 27 hldo-DaI/ol Road Project --. Ahh1re'iirtedl Resettleinc7 rt Actioin, Pl/l to look after small stock herd the risk of humiani accident becomes much more higher since these grOUp are highilN vul,nerable.
Impact on gender, mainly womoinen
Attitudes towards school, particularll for girls, are negative in Afar Region. Awareness raisinlg is reqLlired amongst the population. In urban areas the balance of sexes in enrolimienit are moic halanced imnplying that increased awareness and access increase enrolimenit. Aw areness raising also requires improved access to population.
Clhaiges in the roles of womren and men are expected with the settling down of nomads. Improved access to educationi for girls will bring significant changes in women's job opportunities. In addition, improved services and information on eradication ol harimiful traditional travellin, \ ill be available. With improved quality ol the road. access to goods improves. \\hich migjtht change the travel needs of women.
With a better quality road sera ices like grinding mills might become closer reducing the work burdeni ot women. With the change of the diet of nomads towards cereals, the work burden of womnen has increased. Small busses might appear on the road providing an alternative for travelling on foot. It is expected, though, that majority of women might still continue traVellinlg on foot because of limited cash resources. Motorized transport might give an alterniative in case of emergencies. e.g. faster access to healthi centres. thereby reducilln healthi status of women in case of pregnancies. Both womeni and men wVould benefit of taster access to medicine in case of malaria. With a better road educational facilities can be reached quicker and safer which might increasingly encourage girls to go to school. Women might be posed to incr-eased risk of sexually transmitted diseases and unlwanted pregnancies due to the construction camps. Equally, construction workers -will be posed for the risk. This cani be mitigated to some extent with appropriate IEC- interventions. ho\kever, not completelN. No major health risk is expected in the local areas ol Afar region because of sparse population density and the traditional bye-laws that restr-ict Afar womnen firom contact ing outsiders.
Along the project road travel needs of womern and men differ. Women's travel needs are related to the houselhold chores. BuL-deni is heavy for women since the distances to services. water. Iliel wood etc. ar-e long. In detailed design of the road alignmenit it is necessar-N that the opinions and view\s of wNomen are addressed to reduce their work Lburdeni.
Impact on indityenous people
The new road is expected to have significant impact on the Afar population residing in zone 2 and 4 because it openls newn coniniection between Ab Ala and Yalo. The new coninectioni is e\pccted to bring the population of zone 2 and 4 closer and facilitate movemenit of the people along the route.
Induced developmenit
In the project area in Afar Region there is a limited road network (RR 10 cleared betw\een Ab-Ala and Mejalc) \ithout motorized traffic. Between Megale and Yalo the-e is a track used during the militarN operations, but it does not provide service for
Finnroad in associclion ilt/h J& W O/nd S.ABA Enini-ieering 28 Yalo-Dulol Roadl Project --.Ibblrelijit'ed Resettlewell,it lction Plan connectine betweeen Megale and Yalo. Some access roads exist between the regions, buIt no "corridor" connectingi Yalo and Ab-ala in the Afar Region exists.
'I'he advantage of having a road in the area would be improved transportation of livestock sector inputs and agricuItul-al inputs. Yalo is major livestock market while Megale is a major livestock grazin- area because water and better pastLire are available. The project road creates accessibility between the livestock supply area and the major market and is expected to cause maximum impact on livestock marketing within Afar region.
With increased accessibilitN agi icLIItural extension programmes can increase, particularl N to develop pastul-e prcoduction in Megale using irrigation. Increased cereal productioln of agro-pastorialists and othel diversification to improve food security can be expected \with incr-eased extension services. Road would also have positive impact on distributing cereals to Z.one 2 and 4 markets with lower prices, thereby decreasing the need for selling animals \Nith low price during the drought. As a result the marketinig system with in ANRS \Would improve.
Veterinary medicines can be supplied if and only if the area is accessible. With accessibilitv the cost of veterinary services is expected to drastically decrease. For example. the price of aniimal medicinie is six times more in Tigray than in Asayita. Concerined \oredas in ANRS puichiase medicine from Tigray because of access problems.
Mobility and settlement patterns indicate in which areas the services are needed to ensure support to the livestock and agropastrorialist economy of the Afar Region. There is already a tendency for the pastorialists to settle down and the whole family migration is reducing. Thereby. the areas where families stay during the winter with sulfficient grazing area and *ater are becoming more important in the Afar society. Still there is a need to migrate during the summer time and particularly during drought for search of w.ater and fodder. With improved services, better availability of water and fodder, it is expected that Atdr migration within and outside the Region might reduce and pastorialists becomiie miore settled. The project road supports development of Afar economv mainlIv in Yalo. MIe-ale and Ab ala woredas.
People can also easily have access to markets to sell their products with better prices. WAith improved access, goods wNill become more accessible and the existing markets are developed. Improved markets increase income generating activities to the local population through marketling of' theil products. Women would have a better potential to sell their products (e.gm.iats) in local markets. In addition, newv markets migilt develop along the road side.
Education is the key to the development of the entire region. Low school enrolnent rates in Afar Region indicate that it still lacks sufficient school and teacher network, and that future human resources for development are limited. In addition, there are big discrepancies in education ol' boNs and girls. This continues the existing situation where unequal opportullities between sexes prevail. Reasons for limited number of schools in Afar Region are also related to accessibility. Schools cannot be constructed where there is limited access. In additioni, even if schools exist, it is difficult to get teachers to areas without access to townils and centres. Quality of education suffers.
Finnrotad in7 ISSOC i/11m17 ii hihJ& 11 i(I SAi RI 1n'ieerilwg 29 Yalo-Daolo Roead, Project- AbAbreviated Resettlentemit A ction Plti,i In order to ensure that Afar populationi has an opportunity to administer its regional developmenit independently. in\estment in edLIcation is crucial. Improving the access in the previously non-accessible arcas w ill facilitate in this process. Improved and i'aster access might also impro\e the possibilities of girls to attend school. They are not expected to traxvel long distances to scilool. High illiteracN rate and lack of educational institutiolIs are a reflectioni of the same situation.
Along the project road there are potential tourist attractions. During the detailed design of the alignment it is imaportanit that these attractions are taken into consideration, particularly the hot springs. Soic ol' them are already visited also by the population of Tigray Region (N/legale hot springs) and if accessible. have further development potential. Road is along the "salt route", thereby it provides improved access to salt between Yalo and Dalol. In addition. Ab-Ala town and Yalo towns might become increasing market places for salt. Alternatives improve distribution of salt (access) within both regions. Increased investmiienlt in salt production by local people can also be expected. In a medium-term. increased use of hot springs is expected.
Road enables social ser\ ices to access previously inaccessible areas. The network of government services has incr-eased in the area during the last few years. However, it has been reported that it is difficult to get personnel or retain the existing personnel in their respective jobs. One reason is noni-existing access to transportation. With motorized traflic and easier access to bigger towns in the area, availability of e.g. teachers, health woorker-s etc. would incr-ease and they would continue residing in the concerined areas. WA'ith increased accessibilit\ nuLimber of' NGOs aiid other donors is expected to iicrease in the area.
New employment opportunities are required to decrease vulnerability. On the other hand large vorking age populationi is a potential labour force that could be utilized. During road constructioll employment opportunities should be given to local communlities to promote local economyv. Out of the working age population women are larger in numnber. EqLial emplo\inernt opportunities for men and wxomen need to be promiloted duriln) conistructioln.
The project area lacks services like fuel station and maintenance services which are essential for properl functioninig transport system. This may limit transport operators fiom using the road in the desi-ed level of service. Investors have to be sensitized about the up coming demanid for suchI services during construction time so that the services are available henin road starts se-rvice.
The othel ad\ erse eft'cct of the nex\ road may be the gradual declining of old social value svstems. local CLiStOms and practices to be replaced by the new cultural and new value svstems. This is attributed to the ilflux of new diverse inhabitants and new tc< hl 1 '. to the pro'ject area.
Large proportion of \oung populationi implies that many people are sexually active anid prone to sexuallx transmitted diseases. This needs to be taken into consideration during the road construction. Both conlstruction workers immigrating from other areas and the local population needs to be sensitized in the prevalence of HIV/AIDS and other sexuallv transmitted diseases. No m1ajor health risk is expected in the local areas of Afar region because of sparse populationi density and the traditional bye-law's that restrict Afar wnomen from contacting outsiders.
Finnrot,d in associtlion I'l, J& i L/i7dSB-A Engineering 30 Yalo-DitioIlRouidProject-- -1blreii('tedReLsettleLiLelIt lc-tion PlPni
C il1ip,k' ______'|4' pW1'l.r!' 'l .1. 111 .
The xNater needed for the road projcct is anticipated to be collected from the limited numiber of water sources already il use by the permanent and seasonal local users. The water needed ftor the road project is going to impose additional pressure over these sources and creates inconvenience on \ater fetching by the local people and animal
All the people and groups met Il the pLublic consuIltation process stressed that the local communlity should be given ,-pl n-,i:ii priority in positions not requiring skill. It has been made clear that depriving of this opportunity from the local people would be a cause of dispute for local people wxith the project. On the other hand, since the project area has hot clinate the in-cominiig laborers are likely to cost more than local laborers, ther-efore. the probability of bringing laborers from other regions is limited.
Risk of conitlict betxeeni pro ject \\orkers and residents may be caused if local customils are brokeni. SoIm1e ol'the local CuStOmns that have serious consequences are: trespassing Afar houselholds and violating ruLIles set to Afar women. Since huge proportion of the project area has not been accessible for long time the majority of livestock in the rural area are not familiar to vehicle. Speeding car and noise of car can be causes for tatal accident to animal herd. Animal herds that travel parallel to the road are equally at risk as those crossing the road.
It "as disclosed in the public colISItation meeting that in-coming civilians are not allowed to carr-y armamient . ii the authorization of Afar administration. Therefore, project workers coming from outside should follow this rule.
Livestock theft is a highl> penalized crime. In case animal theft occurs and the perpetratoI is apprehenided the cr-imiie is settled by paying huge sum of compensation which is calculated t'llo\\ ing the local Ib -laws.
Fi,i,iroid(in (ISSXOCic//ij)n u'itih J&U (m(lndI B.I Engiucring 31 'aIlo-Da1lol Rood Pro/jecl - Ahhreviated Rev,ettle,,ne, ActiUon Plt(,, 6. PROJECT AFFECTED PEOPLE AND PROPERTIES
Two staues iield work was carried out to inventorize the properties and people affected by the new road.
The first field work was carried out in 2001 dLiring the preparation of the detailed engineering design. During this stage a the selected preliminary affected 60 conventional houses x\hich are located in Yalo. Ab Ala. and Megale towvns. In the thiee towns 60 conventional buildin-s are found to be located within the right-of-way and are anticipated to be too close or fringing on design and so expected to be demolishied. The alignment does not affect no property, farn land nor house in the rural area.
The second field work * as carried out in 2003, after the Detailed Engineering Design was finialized. The final engineering design placed the aligninent with the greatest care ot illlilnmlzin the magtnitUde of hoLIses and other property to be affected within the right-of-way. The finding of the second field work showed that route will affect only 4 buildinos (2 partially and 2 fully). 5 electric poles. In the rural area the alignment has 2.4 ha of farnm land within the right-of -xnay.
In December 2006 a third field work is organized to verify the findings of the past findings on the existing 11ouses and other- property and collect data on the affected -houselholds and prepare the final RAP. In the following sections the findings of the last field work is presented.
6.1 Houses and Other Properties Affected by The Project
The finding of the third field trip shows that the affected houses and other property are located only in Aba Ala to\wn. No structure will be affected in the rest of the alignment. In Ab Ala town the project causes relocation of 3 houses owned by 3 houselholds; partially affects 12 houses belonging to 12 households. The Ab Ala llealth centre also losses a strip of land while 8 electric poles and 2 tele poles are located \\thin the rihht-of-w'ax. The 3 houses to be relocated are made from masonry with corrupated sheet (87 sq ni): \vood and mud with corrugated sheet (41sq m) and vwood and Iud with thatched roofing, (24aq ni). The total are of the 3 house to be relocated is 1050 sq m. In the partially affected houses no structure will be demiolished. Tlhe 12 house will lose plot area vithin the holdings of the houses. On average each house will lose 1/4 th area from their present plot. The total area lost lose of the partially affected house will be 1132 sq. m. The fences of these houses to be removed are made from tree braniches and stone piles which can be dismantled and transported easily. The health cenitre \ill lose 225 sq m area with fence made from vire and angel iron (5.5 ni) anid masonr\ (41 ni). (Annex I
Finnroad in t.ssocijolion i'ith J& Wand SA B.A Engineering 32 Y u,,o-D,I,Io Rovud Project -- 1hbreviititea l RCA elttlt'ewnIt Ic.tio, Plait 6.2 The Project Affected Population
The total project affected populatioll are 120 living in 15 households. This implies an average family size to be 8. The sex comilpositioni of the PAP is 53 men & 67 women. All the PAP houselhold heads ai-e ImenII. Out of the 15 households 5 families constitute pol-gamous marriaoe. 01' thcse po.IngamoLis ftamilies. 4 heads of households accommodate 2 \\]ves each and I ill-Il-I has 3 ksives. The ethnicity/religion followed bv the PAPs constitutes of AI.rl I Ili (9 HHs) and Tigrawots/christian (6 HHs). The majority of the HHHs ( 9 HlHs) are government employees while the remaining 5 IIHHs are engaged in farminci activit\ . al HHH is desiesed. 12 of the PAPs are presently living in the affected 11ouscs and the remaining 3 HHs' permanent address is outside Ab Ala town. (Anine>x I)
6.3 Compensation for PAP
The 3 full) affected HHs almost all of the plot area and housing facility is taken and PAP cannot re-establish themselves in the remaining compound are for the former use of the house. These HHs will receive ftull compensation to rebuild new houses The households will also be relocated in the same locality in equal area of plots of land g iven to themil in replacemlient to the lost area.
Thle 12 partiallk affected HHs xxill be able to continue living within their present plot without ani need for relocation on new plot of land. They will be compensated for the lost plot fr-om1 ullUtilized land available adjacent to their houses. The health centre will also be compenisated for the lost land in the same way.
T'his was conifirimied during the con1sultation meeting held with the local authorities. DuL-ilng that meeting the local authorities promised to provide land close by the present location of the 3 houses to be relocated as there is no shortage of land in that vicinity. Therefore, the 3 houses to be relocated will be housed within their present vicinity wvith the same location advantage as the current location. In compensation to the plot area lost by the partially affected -ifls, the local authorities promised to provide land from unutilized land adjacent to respective houses (Annex 11).
6.4 Methods of Valuing Replacement Cost for the Affected Houses
The basis of valuation of houses is Gross Current Replacement Cost (GCRC), in line wvith the Resettlemenit /Rehabilitation Policy Frame Work of the Ethiopian Roads Authorit\. (LRA. Resettlement iRehabilitation policy Framework, Novemnber 2006. pp-28). The GC'RC' is defined as the estinated cost of erecting a building as new having the same total exterinal area as that existling kxith the site works and services on a similar piece of land. The valuation process also consider the use of compensation value for atfected properties.
"Compensationi Value" is defined as the amount to be paid to the lease holder which is calculated as an amounlt lhich is above the gross current replacement cost, including the costs for the' inCOInVeniCenCe CaLiSed to the leaseholders by relocation, and to enable the same leaseholders to b uild slKhtIN better houses than what they currently occupy.
The compensation approach is based on the willingness of owners of a resource to give up their rights to that resource. Compensation for land structures, business, fixed
kiuniiroa 1l (tIASL itlII 0)1 l!; I J& XlW c .1 AB, iSIn-mlr L'crin3, Yalo-DaIlolRood Project -. 4hhrevi'ated Resettlement .I-tioln Plan ilmprovemilenits and othel teniporar\ iilmpacts are based on among other things market valuation. productivity vall-atio0n. negotiated settlemenits. material and labor valuation, disposition of salvage materials anltd othel fees paid.
6.5 Replacement Cost
The estimation of the unit costs was made through analysis of construction cost in the area and later on inatched w ith the data collected on current market value of similar housing facilit\ in that same vvicnity where the houses affected are located. The unit cost of constrLCtiling wood and mud houses is estinated to be birr 700/sq. in floor area. For stone and masonar% t\ pe o' 11housC the tinit cost is birr 1500/sq. m floor area. On the basis of these Ullit costs the estlimated budget requireincrit to compensate for the three houses replacement is bi-r 150 000.00. At present no dispute is anticipated on the magnitude of the quoted figture because the same amount was proposed by the owners
The cost for replacing the fencing ol'the health centre is estimated to be Birr 15 000.00 while the compenisationi cost lor relocatin- the electric and tele poles is Birr 20 000.00 The poles Nill be relocated h\ Lile scI-\ice proxiders themselves. upon pa\rment of relocation cost b\ ERA. Comlipenisationi xxill be completed prior to the commencement of the project.
6.6 Compensation Procedure
In line withi Art. 1478 of'the \ixii C'ode and as provided in the policy framework. all comiipenisationi \\ IiI he efl'lcted ale.ad of'the civil works.
ERA will establish compensation coimimittees in Ab Ala town comprising of representatives from local governments, representatives from project affect persons (PAPs) and the ERA right ot' \xa agenit. Institutions and Individuals responsible for the Implementation of compensation is discussed in the following section ( section 6). In general managing RAP's iilplemilenitation is the main responsible of ERA and the local atithorities. Relocationi and comilpensation will be the responsibility of the comimiittee. To this end the Impleinemitinig Committee will prepare practical relocation and compensationi schedule.
During the stage whiere actual comiipenisation will be executed all form of compenisationis \\ill be accomplished after ascertaining that the proper owners of the assets are identified. Fulids for- paniliym t of the compensation will be made by the ROW Branch or its Agent.
Compensation. both small aiid large am0oulnts. will be paid either in cash or by cheque, following agreemenit with indi Idual PAP's. Disbursements will be ensured by ERA and will take place in the presenicc ol' the Compensationi Imiplementing Committee as well as the spouse or spouses of'the individual PAP.
6.7 Eligibility Criteria and Project Entitlement Past experiences of the compensationi process indicate that setting some criteria is very important to identify eligible individuals for compensation. In this regard setting a
Finnrotad i7 UIsSoCiltion 1it1 J& ffeiiuSABAIl Engineering 34 1'uilo-D tIlo Road(l Projel -- I breviated Res e ittleaitecln I Oi,onl/lall
particular date as a cut off date is essential. Individuals whose properties inventoried prior to this date are eligible for any compensation.
Once the Woreda and town level compeinsation committees approve holdings and use rights of an individual who would lose houses, crop lands, permanent trees, fruit trees, business installationis an(d other properties, individuals will be eligible for compensation. Eligibility for comiipensation are discussed in the World Bank OP 4.12 procedures for resettlement / rehabilitationi, proclamation No 455/2005 of the federal government of Ethiopia, article 44(2) of the constitution, and ERAs' resettlement /rehabilitation framework. Thlese are adopted as part of this RAP.
According to the Wor-ld Banki OP 4.12, (2001), procedures, the following project affected citizens would he e ligible for coompensations.
* Those who have formal legal right to land (including customary and traditional rights recognized by law of the country). * Those who do not have formal legal rights to land at the time of the census begins but have a clailml Lo suchI lands assets: provided that such claims are recognized under- the laws of the country or become recognized through a process in the resettlemenit planl. * Those who have no recognizable legal right or claim to the land they are occupying.
Proclamation No 455/2005 of the federal democratic republic of Ethiopia, Article 2(1) stipulates the issue like this:-
* A landholder whose holdinig has been expropriated shall be entitled to payment of compenisationi for his property situated on the land and for permanent improvements he made to such lands. However, prospectors or individuals who may come to the project area after the cut of date for an anticipation of compensations or other reasons are not entitled for compensation. Hence, based oni the above-mlenitionied legal platforms and international policy frameworks. all project-affected individuals (except encroachers after the cut off date) have a legal and a policy backup to be eligible for compensation.
Finnroadi ISSOil/iOCi7 ii ah J& fWatSIBBI Engineering 35 Yala-Dalol Roatd Project - Ab1breviateLd Resettlement . Iction Plan
Table 6.1. Entitlement Matrix
-_ Entitlement MIatrix for Rural Population Temporarily Affected Permanently Affected Land Land Crops/ Trees member
Forgone benefits * Full compensation for * The value of the * Special attentions, for the duration of expropriated farl-land annual crops at compensations impact. use right current market based on the type a . Restore land after price. of impact and the duration of * The current and the logistical supports E z impact. discounted future values of the trees affected. Compensation for * Pay compenisation to * Compensation for * In addition to lost income based the land user that is annual crops based compensation on the average equivalent to ten times on the current market payments to the annual incomc the averaole annlual value of the negative impacts secured for last the income helshe secured estimated production attributable five years during the five years that could have been directly to the preceding land preceding the land harvested from the project, special expropriation expropriation. damaged crops. attentions and multiplied by the * If a substitute land of * The compensation other logistical number of years of comparable value of fruit trees supports will be impact. productivity canl he and trees shall be offered. E * Restore land to its replaced to the based on the current original condition. landholder-, then the and net present value compensation will be of the future benefits the average annual that could have been income he/she secured generated until a during the five years similar new tree precedino the comes to maturity. expropriation of the
______la nd * As to the 1995 Constitution of the Federal Demilocratic Republic of Ethiopia. there will not be a tenanlt farmier. Thlis is strictly stipuLlated in article 40(3) of the conistitution. in that "land... shall not be subject to sale or other- means of exchange. * The compensation for affected rural residences is similar to the one stated to the urban population
6.8. Vulnerable Households
The polic\ framework containis special mleasures and assistance for vulnerable affected people stich as female headed hotiselholds. disable persons, and the poor. The field sUrvevlhas sho\k n that the tenanits of the affected houses do not fall in the category of vulnerable households (Annie;x 1).
Finnroad in associtnon iwiih J& nd SABA Engineering 36 Yalo-Dalol Roatd Project - Ibbreviated Re.ettlIlement A ction Plan
7. INSTITUTIONAL FRAMEWORK
7.1. Ethiopian Roads Authority
The Right-of- Way Branchi (ROWB) in Contract Administration Division and the Environmental Managemient Branch (EMB) in Planning and Programming Division are the two ERA units involved in the identification and the mitigation of' enivironim1ienital and social impacts. The EMB is accountable for planniniig and monitoring \\hile the ROB is accountable for the implementation of expropriation/compensationi operations when required. The EMB addresses analytical issues suchi as 'I'ORs, Resettlement Action Plan (RAPs), EIA reviews, and evaluations, wille the ROWB is accountable for registration of (Project Affected People) PAI's. establishment of compensation committees, assessment and establishmilenit of' compensation rates and payment of compensation.
The EMB and the ROWB provide the general direction for the planning of the expropriation/compensation tasks, ensure co-ordination in the mitigation of social imipacts among sub-pi-ojects. monitor and document the implementation. Basic principles regarding resettlemilenit/rehabilitation will be executed during the prolect preparationi phase as that is the phase that defines most actionis to be undertaken during project im1plemilentation.
7.2 Local Government Institutions
Zone
The Zone 2 -o\ernrnent or-,ano-Lrarn shows that the administration has 18 executi\e committee members. 9 advisors (clan leaders) and 27 support givilng employees. 'I'he executive comlittee members of zone 2 administration are representatives of the people and the 9 advisors are clan leaders. The inclusion of clan leaders in zone administration indicates that despite of the established formal administiationi set up the role of the traditional institutions is important.
Under- the zone adminiistiationi there are 8 sectoral offices namely Agriculture. Educatioll. HIcalti, Trade. Social affairs. finance, Economy Development. According to the iniforimiationi given during public consultation there is critical shortage of educated humani resource in the sectoral offices that only 50% of the positions have been filled. Poor logistics support and poor communication with the reegion also limit the capacity of the zone.
Woreda
At the \\orcda leVel there are 9 executive committee members and 7 support giving personnel. Clan leaders are members to the woreda executive committee. Sectoral office do not exist at the woreda level. At the woreda level the duties of sectoral office is ulidertaken by the Economic Developmelit Office (EDO) wvhich is accountable to the woreda administration. In the organo-gramn it is indicated that the woreda EDO is supposed to have 12 experts. The actual number ol'expei-ts in 7 in Ab ala is. The capacity of the
Fiunroabd in associatoII 10iiH7 J& W1and SdI B]A Engineering 37 1'alo-Dalol Roatd Project - Abbreviated Resettlentent A ctiow Plan
woredas is so loss that even finanicial maniagement of the woreda is handled by the zone finance department.
MunLici alit\
Ab Ala tovn municipality is responisible for the administration of the town. At this level there is the mayor one diploma holder engineering section expert and tvo support giving personnel. 'I'he capacity of the muniicipality is low that almost all support conies froml the zone structure.
7.3 RAP Implementing Institution
A coordinating mechanism has been identified for the implementation of RAP at local level. A RAP Team will be formed at Ab Ala whose members will comiiing from various government institutions. The team approach is chosen in order to address the lo institutionial capacity at local level and taking into considerationi the inportanit role ol social organizations in Afar. The members ol'fthe teams have di\ersified backg-round in educatioin, authority. experience, and exposure. 'TIhe combiniationi of administrative and clan authorities with the technical experts is assumed to strengthen the coordination units through exchange of ideas among the memlibers. The main duties and responsibilities of the coordinating units is implementing and monitoring and evaluation of the RAP.
Table 7.3. Role of Institutions for implementation of RAP
No. Institutions Responsibilities
-Disclosure and distribution of RAPs to main stakeholders -Coordination, implementation of RAPs. creation of comiipenisationi committees. monitoring and evaluation, reporting. I Ethiopian Roads -Coordination for the restoration of basic amenities like water, Author ity,(ERA) electionlic and telephone lines. -EnsuLinIg compliance with Ethiopian and World Bank policies, aand fair-ness in the calculation and delivery of compensation rehabilitation entitlements. -coordination of the various stakeholders offices under its direct supernisions, awareness creation may involve in monitoring and 2 Regiolnal Gover-nimienits 'C\.lualion of the implementation of the project. Ensurinig colimplianice with Ethiopian laws and fairness in the calculation and delivery of compensation rehabilitation entitlements. -Coordination of the whole resettlement issues, facilitations of 3 Zonal Administration land compenisations, restoration of services, monitoring Offices compensations, selection and confirmations of relocation sites. 4 Zonal wor-ks and urban -Preparation of site plans for the relocated PAPs and estimation development desks or ol'comilpenisation for affected houses and other individual departmenets productive installations. -Selections and identification of land for the relocated, 5 Mun1icipalities provisions of support for the restoration of livelihoods, giving ._ special attentions and support for the disabled, sick, elderly and
Finirotad in UASkmcl/wmm 1 1 .J& W' umlISA-BAI Ewginteering 38 Y'alo-DaloI Road Project -1Abbreijiwle(I Reseutleieei -ILtioln Pltol
ftemiale hleaded households - T Ensurin-g compliance with Ethiopian laws and fairness in the |calculation and delivery of compensation rehabilitation 6 Zonal agiricultural ieititlemilenits. Preparation of cost estimation for affected crops offices or desks |\ ith othel- committee members, cash crops and other Iundividuall owned vegetations. Supporting PAPs in the restorationi of their livelihoods. -Responisible in the restoration of affected k\ater supplies and 7 Urban water supply construction of new lines in areas where PAP relocated /housed. -Active participation in compensation committees. Organizing PAPs. awareness creation. Ensuring compliance with Ethiopian Kebele Associations laws and fairness in the calculation and delivery of 8 and Commnim it\ ciiompensation rehabilitation entitlements. Leader-s -Selection and identification of land for the relocated, provisions of support for restoration of livelihoods, giving special attentions and support for the disabled, sick elderly and >fmiiale headed households. 9 Representati\ es of PA -A ctixe participation in compensation committees. Ensuring the \\ell- heiig of PAPs and represent them in all findings. 10 Telecommillullcationi R-Restoration of telephone lines and construction oftnew ones for j -~P 5 _ _ ._ EEPCo -Restoration of electric lines and provisions of its services for relocated PAPs.
The local teams kxill be coordiniatedi b\ ERA. The team will constitute persons coming fromii administration. clan leaders, and experts. The RAP implemieittionlo teami will established at Ab Ala.
The role of the team is to take all responsibility in all stages of project implemenitationi in the Ab Ala towni1.
7.3.1 Members of the RAP lmplementing Team
The meileibe-silip ol'tic ZPC'' \\ill co nsists of'the following key stakeholders:
I. ERA sociologist 2. Zone administration vice chairpersoni 3. Woreda administrationl member (clan leader) 4. Mayor 5. Municipality engineer 6. One PAP 7. Consu taut
Fittinroadi/?7 (SS ct/(l//o ii ih J& 11 i ! .S-l B-I Entiineering 39 I olo-D/lol Rood(i Project- - hbrei itoted Resettl/c,eii ctionLPlaon
7.3.2 Awareness Creating Program for Institutional Strengthening
The present capacity of RAP team meinbers is not adequate to carry out the required tasks. Thei-ereore. am\areness creating program will be organized for increasing the capacitO ol' the miemilber-s to the level that they will be able to carr\ out the tasks assi-ned to themii in the RAP. The team members will make themselves clear about the duties expected from them. Any clarification about the scope of the project should be given by the client. The committee members in retur n 'ill elaborate to the Project Affected People so that the compensation program can proceed \with the f'ull participation of the people.
7.3.3 Grievance Redress Mechanism
In case dispute arises bet\\een the RAP team and project affected persons the preferred option of dispute settlemilenit is through amicable means. This will save thime and resources that ma! be expended. if the matter is taken to court.
If amicable meanis lail the next prel'erred option to settle dispute will be througIl arbitr-ationi. I'his in liie \\nith the Ethiopian law (see Arts. 3325-3336 of the Civil C.'ode) that permits M\hen dispute arises between the principal parties- in this case mainily between RAP Team and the project affected persons- arbitration to be preferr-ed means of settling disputes.
In the case of a dispute arising regarding, compensation in Ab Ala an arbitral tribunal will be formied. The arbitral tribunal will be established from the outset instead of leaving it to the disputants to appoint the arbitrators. This Would be the preferred option since it might take a lot of time to appoint arbitrators if left to the disputing parties. Individual members of the RAP team should by no means be memilbers of the arbitral tribunal since they have alreadv taklen a positionl.
Accordin-l\. the follo\\ in, be members of the arbitral tribunal:
i. One miemiiber firo m the /onie Administration 2. One memilber from the Woreda Adimiinistration 3. One memilber ftromii the Municipalit\ 4. One member elected b\ the PAPs
7.3.5 Monitoring and Evaluation
The puL-pose of' settilg Ml&L is to tollow the implementation of the RAP according to agreed commitimienits by all partners, to assess the acquisition and rehabilitation activities, to verify that project affected people receive their compensation, to see to it that grievances and complaints by project affected people are addressed, and to mitigate any arising problems. The procedures include internal ftolon\ up and indepenident external assessment.
Finni(t( in1U.SUicltiO ntl//l J& H indS. -I I Engin1eerin g 40 alo-DaIlol Road Project - Abbrevinted Resettlenieiit A ction Plan
Internal monitorinig
Thle RAP Implemilenitatioin I cam \i ill produce report monthl regarding their accomilplishimienits and subIllit to the ERA. The report will provide status of the compensationi process. Thle monthly reports will nonitor the following key indicators, in order to meet the requiremiient of the Bank:
* The timely disbursemilenlt of compensation * Compensation disbhIur. cIm1enIt to the correct parties * Public consultaltioll and urie\anice procedures in place and functioning. and * The physical progress of resettlement and rehabilitation
External Monitoring
In Iine vxith requilerilelm t ol thle OP 4.12. the ke) indicators for external monitoring. \x ill focus on oLtpILts and impacts. External Monitoring \will be conducted by the conisUltanit and by the federal and regional EPA.The consultant will conduct an e\aluation of the implementation of the RAP prior to the start up of the road conistruction and will continue to monitor progress during constructioni of the road as well monitor the impact of the RAP using the key output indicators.
7.3.6 Budget Requirement for RAP Team and M&E
The RAP Team will have the mandate, authority to ensure proper assessment and timely compenisationi to the PAPs. The task and responsibility of the team is challenging and tiresomie anid demands extra effort. The municipality engineer- will measure the size of land and property as well as assist in day-to- day tasks. It is recoinmienided to pay an allowance at the rate of birr 50 per day to the RAP team members.
The consultant will also assign professional to carry out external M&E. The recomimended allowvance rate for the consultant is birr 500.00 per day. Table 7.1. estimates the funlds requil-ed for the RAP Team.
Table 7.1. Funds Reqtuired for the RAP Team
No. Cost item Amount (birr) I Per diem for 6 members 60 days 50 birr/day 18 000.00 2 Per diem for I consultant 60 days 500 birr/day 30 000.00 TOTAL 48 000.00
Fiunroadl in aLssocIijfl Hoill7 J& It and .S-I BAI Engineering 4 1 lt,lo-Dtalol Ro,1 Prqj]Lctl .Abbrelvi(Ied(lReselttIlClemnt -Ac(tion, Plal
Composition of the implementing committee in urban and rural Areas
ERA
l
RAP implementing Committee RAP - Implementing Committee Urban Areas Rural Areas
| Representative of the Representative from the Municipality affected Woreda - Chairman
Representative from Woreda Representative from Woreda - Urban Development Office Agriculture Office - Member - Member
Representative from PAP Representative from PAP -Member - Member
7.4 Disclosure
The Abbreviated Resettlemenit Action Plan will be officially disclosed through Amharic and English newspapers b! ERA. The newspapers are distribLuted all over the country including the project area. Later on copies of the detailed ARAP will be distributed to local councils, local NGOs and the displaced persons in a form, manner. and language that are understandable to them. ERA will send the ARAP to the World Bank with authorization to make it available to the public througL1 its InfoShop. After the Bank has approved the final resettlement instrument, the Bank and ERA will disclose it again in the same manner.
Budget
The total estimated budget requirement for RAP would be Birr 277 200.00. The following table summarizes the financial budget requirement for the compensation including the contingency amount.
Table 7.2. Budget Requirement
Item description Total Budget ( Birr) Compensation tor loss of houses 150 000.00 Compensation for; loss of the Healthi C'entr-e oince 15 000.00 Compensation for Iloss of electric and telephone poles 20 000.00 M&E budget 48 000.00
Fintnroad i/7 (IssOCiunul? ,,,th J& W1u; SAI B.-A Enigineering 42 Yalo-DalO/ Road Prolject -. bbreviated Resettlement -Actioni Plan
Sub-Total 233 000.00 Contingency ('Q" ..) 46.600.00 Grand Total 279 600.00
I inl1nrotl(Il 1n7ISS Oe;it(n17 11 itfl J& W und MSAB. I Engineering 43 )'alo-DaloI Rot(I Projectt- Abbrei'aiedetResettlenwiiet A-Jtio0n Plan
ANNEX I
Project Affected People and Properties
Fiunrotad(in associafioalwith J& U ald S.I B.A Engineering Y(alo-Dailol Rodl Project -. Ahbrei,itted Resettle7ieiiI -Iction Plon
ANNEX II
Minute of Consultation Meeting with Local Authorities
Fijinroad idi v..snoclilol? lulitl J& $ u'u11S I /3 -I Eni4iteering ]atilo-Duhlol Roud Pro ject - -4bbrevijotrdRes, etl'ImIeflt I cli al Plan
This page translates the minute of consultation meeting conducted with local authorities attached as ANNEX 11in the next page.
Date of ConsuLItation: 6 December 2006
Place: Ab Ala Zone Administration Office
Agenda: Plot Replacemenit to Fulls and Partially Affected Houses
In the consulItation meeting the follo\ ing officials were present
I Ato As Hassen Nur HIussicCI: T'he Zonie Administrator
2. Ato Dima Hulimied Hassen: Woredea Representative
3. Haji Idris AsehadikLu: MeNor of-Ab Ala town
In the meeting the officials conifirimied that:
1. The 3 fullk affected houses \\ ill be relocated to land close to the present area. 2. the 12 partially affected houses will be provided with plots of land adjacent to their compounids.
Finnrotid in asXOcijlio) irilh J& 1'ei/ie SAB-I Enaimieering 3 Yalo-Dalol Road Project -Abbreviated Resettlement Action Plain
ANNEX I
Project Affected People and Properties PROJECT AFFECTED PEOPLE AND PROPERTIES
NANTS OF FULLY AFFECTED HOUSES me of HHH Family size |Ethnicity Religion Ocupation Plot area lost House facilty no of wives male female total area material area material licheayley Adhana 1 3 4 7 Tigrawot Christian Farmer 350 16 masonary 24 MWT kli Ibrahim 2 3 7 10 Afa r Muslim Gov Employee 350 30 masonary rahir Inhaba Abdu 1 1 4 5 Afar Muslim Gov Employee 350 35 masonary 6 MWS 7, 15, 221 - , -
NANTS OF PARTIALLY AFFECTED HOUSES kbdela Sebhat 2 6 4 10 Afar Muslim Gov Employee 100 (edir Melka _ 5 3 8 Afar Muslim Gov Employee 87.5 esfaye Kahsay 1 5 7 12 Tigrawot Christian Farner 75 addele Kahsay 1 4 5 9 Tigrawot Christian Farner 110 legus Haddish 1 4 3 7 Tigrawot Christian Farner 60 ,olomon Kahsay 1 4 6 10 Tigrawot Christian Farner 80 )ima Humed Hassen 2 5 7 12 Afar Muslim Gov Employee 60 rhmed Felum Mohan 2 6 6 12 Afar Muslim Gov Employee 140 brahim Ali Asire 1 4 5 9 Afar Muslim . 140 Ahmed Ali Ahmed 1 5 4 9 Afar Muslim Gov Employee 140 Haji Mohamed Sedic 3 Afar Muslim Gov Employee 140 Abrha Tekle - - 48 50-98_
MWS Mud Wood Sheet MWT Mud Wood Thatched Yalo-Dalol Road Project -Abbreviated Reset1lement Action Plan
ANNEX II
Minute of Consultation Meeting with Local Authorities f ~ 7+~ 27 /4 f ,w
~Q~/7>/ y4
/~/~(y7/"Ij (6~A' 1~~6///'~ 2; Yalo-Dalol Road Project-Abbreviated Resettlement Action Plan
This page translates the minute of consultation meeting conducted with local authorities attached as ANNEX II in the next page.
Date of Consultation: 6 December 2006
Place: Ab Ala Zone Administration Office
Agenda : Plot Replacement to Fully and Partially Affected Houses
In the consultation meeting the following officials were present:
1. Ato As Hassen Nur Hussien: The Zone Administrator
2. Ato Dima Humed Hassen: Woredea Representative
3. Haji Idris Asehadiku: Meyor of Ab Ala town
In the meeting the officials confirmed that:
1. The 3 fully affected houses will be relocated to land close to the present area. 2. the 12 partially affected houses will be provided with plots of land adjacent to their compounds. Yalo-Dalol Road Project -Ahbreviated Resettlemnen,t Actiont Plan
Annex III
World Bank: Operational Policy 4.12 I| THE WORLD BANK OPERATIONAL MANUAL OP 4.12
* rati nalDecemberOp 2001 OperationalII Policies Page 1of 38
Screening Guidelines
The Environmental Impact Assessment (including social) are processes EMSBodying various stages. Given that environmental studies require both time and financial resources as inputs and that some projects may generate impacts that are of little consequence, it has become an established practice to determine in advance whether or not, a particular project will generate major environmental and social impacts and be subjected to an environmental and social assessment study. The process of determining whether or not a project requires some environmental analysis to be conducted before implementation is called screening.
Within the roads sector, some of the projects generate impacts of consequence as experience elsewhere indicate. A series of studies (1995-1996) initiated by the Zambia National Roads Board through the Road Maintenance Initiative, supported by the World Bank, have shown that road rehabilitation and maintenance can generate environmental and social impacts such as: i) Destruction of wildlife habitats and loss of bio-diversity along road environments; ii) Increased soil erosion during road works leading to siltation of rivers and streams along roads; iii) Contamination of soils and water resources by chemical, oil and fuel spillage both during road works and road use; iv) Disruption of traditional lifestyles; v) Dislocation of social values, increased sexually transmitted diseases STDs and increased infections of HIV/AIDS among both local communities and project workers.
Screening Screening determines whether or not a project proposal requires detailed environmental and social impact assessment and, if so, at what level. Screening involves judging whether or not the expected impacts of a proposal on the social environment are likely to be of significant. While it is true that there are different approaches to screening, which could be categorized into, judgmental and predetermined, the approach suggested here is a sequential one involving several levels of consideration in determining the potential significance of impacts from a proposed road rehabilitation/construction project.
Suggested screening tools 1. Provisions made under national policies and legislation. 2. Use of a matrix checklist to identify impacts. 3. Use of a questionnaire checklist to determine significance of impacts. 4. Use of transects along and across the road.
These policies were preparedfor use by World Bank staff and are not necessarilY a comiplete treatnment of the subject. Il THE WORLD BANK OPERATIONAL MANUAL OP 4.12
Operational Policies December 2001
Provisions made under national policies and legislation Provisions made under the Ethiopian national policies and legislation could be used to address specific environmental concerns that may be affected by the construction and rehabilitation of roads as provided for under relevant policies and pieces of legislation. Notable policies and pieces of legislation with specific provisions on environmental and social impacts include: The National Environmental Action Plan (NEAP), National Environmental Procedure Manual, of the ERA's, Environmental Procedure Manual and Ethiopian labor laws.
Use of a matrix checklist to identify potential relationships and influences In order to understand the anticipated relationship between road construction/ rehabilitation activities and potential social impacts, matrix checklists will be used as illustrated in the example below.
Project Operations, Presumed Social Impacts and Mitigation Measures
Project Adverse Mitigation Major Social Operations Soc. Impacts Measures Benefits Next Steps Loss of land Compensation for Enhanced Borrow Pits Loss of houses land through communication Loss of revenue traditional tenure among villages from trees system Strengthened Compensation in purchasing cash for trees, capacity (for example, 3 Enhanced access years production to markets for value). host population. Quarry Diversions / Bridges Right of Way Accumulated Influx of migrant Building of a Enhanced quality Document Impact of workers workers camp of life for workers. capacity Project Influx of ad hoc Creation of a Prevention of building gains Operations "dealers." settlement area unplanned made in the Conflicts of for newcomers settlements. process of interest with Enhanced access implementing host population. . to social services the mitigation and to better measures. quality of life for host population.
These policies were preparedfor use by World Bank staff and are not necessarily a conmplete treatniet of the suibject. THE WORLD BANK OPERATIONAL MANUAL OP 4.12 . .December 2001 - Operational Policies Page3of38
Annex2: Outline of a Resettlement Action Plan (RAP) * Introduction - Project Background
* Brief introduction about the project * List of project components * Description of project components causing land acquisition and resettlement. Overall estimates of land acquisition and resettlement.
* Minimizing resettlement * Describe efforts made for minimizing resettlement * Describe the result of these efforts
* Census and Socio-economic Surveys
* Identify all categories of impacts (loss of property and assets; loss of livelihood; impacts on groups and communities) * Give formats and tables for census surveys * Provide outlines for socio-economic survey * Summarize process for consultations on the results of the census surveys * Describe need and mechanism to conduct updates, if necessary
* Resettlement Policy and Legal Framework
* Identify areas of conflict between local laws and World Bank policies, and project- specific mechanisms to address conflicts * Provide a definition of project affected persons * Describe entitlement categories for each category of impact * Describe method of evaluation used for affected structures, land, trees and other assets * Provide entitlement matrix
* Resettlement Sites
* Does the project need community relocation? Have these been approved by the PAPs? * Give layouts and designs of residential sites * Have the PAPs agreed to the strategy for housing replacement? Have the selected sites been explicitly approved by the PAPs describe the specific process of showing the sites to the PAPs and obtaining their opinion on them. * Describe the technical and feasibility studies conducted to determine the suitability of the proposed sites.
These policies were preparedforuse by World Bank staff and are not necessardlY a complete treatment of the subject. I THE WORLD BANK OPERATIONAL MANUAL OP 4.12 III~D1**December 2001 Operational Policies Page 4of 38
* Is the land quality/area adequate for allocation to all of the PAPs eligible for allocation of agricultural land ? * Give calculations relating to site requirements and availability. * Describe mechanisms for (i) procuring, (ii) developing and (iii) allotting resettlement sites * Provide detailed description of the arrangements for site development for agriculture, including funding of development costs.
* Institutional Arrangements
* Identify and discuss the institutions responsible for delivery of each item/activity in the entitlement policy * Describe the project resettlement unit - functions and organizational structure of the unit and coordination relationship * State how coordination issues will be addressed in cases where resettlement is spread over a number of jurisdictions. * Identify who will coordinate all agencies-with the necessary mandate * State when the project resettlement unit will be staffed. * Describe plans for training and development of staff in the resettlement t unit/local agencies. * Discuss initiatives taken to improve the long term capacity or resettlement institutions
* Income Restoration
* Briefly spell out the main restoration strategies for each category of impacts, and describe the institutional, financial and technical aspects. * Describe the process of consultation with project affected persons (PAPs) to finalize strategies for income restoration * How do these strategies vary with the area/locality of impact? * Are the compensation entitlements sufficient to restore income streams for each category of impact? What additional economic rehabilitation measures are necessary? * Does income restoration require change in livelihoods, development of alternative farmlands, etc., or involve some other activities, which require a substantial amount of time for preparation and implementation? * How does the action plan propose to address impoverishment risks? * Are choices and options built into the entitlements? If so, what is the mechanism for risk and benefit analysis of each option? What is the process of ensuring that PAPs have knowledge about alternatives and can make informed decisions? Is there a mechanism to encourage vulnerable groups among PAPs to choose lower risk options such as support in kind rather than cash? * What are the main institutional and other risks for the smooth implementation of the resettlement programs?
These policies were preparedfor use bv World Bank staff and are not necessarilv a complete treatment of the subject. I THfE WORLD BANK OPERATIONAL MANUAL OP 4.12 . * Implementation Schedule * List and briefly describe the chronological steps in implementation of the resettlement, including identification of agencies responsible for each step of the program. * Prepare a month-wise implementation schedule of activities to be undertaken as part of the resettlement implementation (Gantt chart) * Describe the linkages between resettlement implementation and initiation of civil works for each of the project components. * Costs and Budget * Clear statement of financial responsibility and authority. * Ensure that the cost of resettlement is included in the overall project costs. * Identify components, if any, to be funded by donors such as the World Bank, JICA, NORAD, DANNIDA, etc. * Resettlement costs should be a part of annual involvement plans. * Prepare a cost-wise, item-wise budget estimate for the entire direction of resettlement implementation, including administrative expense, monitoring and evaluation and contingencies. * List the sources of funds and describe the flow of funds. * Describe the specific mechanisms to adjust cost estimates by the inflation factor. * Describe provisions to account for physical and price contingencies. *: Participation and Consultation * Describe the process of consultation/participation in resettlement preparation and planning. * Describe the various stakeholders. * Describe the plan for disseminating information to project affected persons (PAPs), such as provisions for a booklet to inform PAPs and other stakeholders. * Describe examples of outcomes of participation and consultation, such as how local beneficiaries' views have influenced the design process, entitlements and support mechanisms, or other issues. * Have workshops been conducted, or are they planned? Who are the participants, and what are the expected outcomes? * Grievance Redress * Describe the step-by-step process for registering and addressing grievances * Provide specific details regarding registering complaints, response time, communication modes, etc. * Describe the mechanism for appeal These policies were preparedfor use hy World Bank staff and are not necessarily a complete treatment of the subject. Il THE WORLD BANK OPERATIONAL MANUAL OP 4.12 .I fly. .December 2001 Operational Policies Page 6 of 38 * Describe the provisions to approach civil courts in case other provisions fail. * Monitoring and evaluation * Describe the internal monitoring process * Define key monitoring indicators. Provide a list of monitoring indicators, which would be used for intemal monitoring. * Describe institutional (including financial) arrangements. * Describe frequency of reporting and content for internal monitoring. * Describe process for integrating feedback from internal monitoring into implementation. * Describe financial arrangements for external monitoring and evaluation, including process for awarding and maintenance of contracts for the duration of resettlement. * Describe methodology for external monitoring. * Define key indicators for external monitoring, focusing on outputs and impacts. * Describe frequency of reporting and content for external monitoring. * Describe process for integrating feedback from external monitoring into implementation. These politres were preparedfor use by World Bank staffanid are not necessarily a complete treatment of the subject. Il THE WORLD BANK OPERATIONAL MANIUAL OP 4.12 III D1December 2001 Operational Policies Page 7of 38 Annex 3: Methods of Valuation - World Bank Guidelines The text bellow is from the World Bank Resettlement & Rehabilitation Guidebook, found on the web at: http://essd.worldbank.org/sdv/guidebook/generic/gindex.htm Method of Valuation for structures, land, trees and other assets at Replacement cost. Replacement costs is the method of valuation of assets which helps determine the amount sufficient to replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of structures and assets should not be taken into account. For losses that cannot easily be valued or compensated for in monetary terms (e.g. access to public services, customers and suppliers; or to fishing, grazing or forest areas), attempts are made to establish access to equivalent and culturally acceptable resources and earning opportunities. * Replacement cost for houses and structures * Replacement cost for land * Replacement costs for other assets Method of Valuation for structures, land, trees and other assets Replacement cost for houses and structures Replacement cost is the market cost of the materials to build a replacement structure, plus the cost of transporting building materials to the construction site, plus the cost of any labor and contractors' fees, plus the cost of any registration and transfer taxes. ( the cost of the land upon which the house or structure sits is considered in Replacement cost for land). Method of Valuation for structures, land, trees and other assets Replacement cost for land For agricutlture land, replacement cost is the pre-project or pre-displacement, wvhichever is higher, market value of land or equal potential or use located in the vicinity of the affected land, plus the cost of landpreparation to levels similar to those of the affected land, plus the cost of any registrationand transfer taxes. For land in urban areas, replacement cost is the pre-displacement market value of land equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the affected land, plus the cost of any registration and transfer taxes. These policies were preparedfor ase by World Bank staff and are not necessarilv a complete treatment of the subject. TlIE WORLD BANK OPERATIONAL MANUAL OP 4.12 I . , ,.December2001 m Operational Policies Page 8 of 38 * Determining replacement cost in countries with active land markets * Determiniin replacement cost in countries with "mixed" land markets and property systems * Determining replacement cost in countries lacking land markets Method of Valuation for structures, land, trees and other assets Replacement cost for land * Determining replacement cost in countries with active land markets: Determining replacement cost of affected land can be relatively easy where active land markets exist (for example, in most regions of India, Pakistan, Bangladesh, and Thailand). In projects located in these areas, RAPs should include land market surveys. Private and independent real estate agencies, banks, or mortgage firms could be engaged to determine market prices for land, or to evaluate the adequacy of administratively set compensation. If Borrowers refuse to engage private professional agencies, or if legal restrictions preclude payment of fair market prices, solatiums, relocation or subsistence allowances, or other forms of cash assistance can be used to "top up" compensation to replacement cost levels. Alternatively, committees including PAPs or NGO representatives can be formed to participate in establishing land valuation, and helping PAPs to identify and purchase replacement land. Precedents in Practice I India, land committees have been established for several projects to identify or purchase replacement land from willing sellers. In the Orissa Water Resources Consolidation Project (Cr.2801) legal compensation was to be supplemented by "rehabilitation assistance grants" sufficient to purchase replacement land or other productive assets. The projects also promised reimbursement for, or exemption from, all transfer fees or taxes. In Bangladesh, the Jamuna Bridge Multipurpose Project (Cr.2569) replaced provision of administratively set compensation and an automatic 50% solatium with land purchase committees guaranteeing supplemental compensation sufficient to purchase replacement lands from a willing seller identified by the PAP. As long as the replacement land was within maximum allowable cost ceilings, the PAP could choose between more land of lesser quality, or less land of higher quality. Method of Valuation for structures, land, trees and other assets Replacement cost for land * Determining replacement cost in countries with "mixed" land markets and property systems: In some Borrower Countries (notably Indonesia and the Philippines), or in particular regions within Borrower Countries, formal property titling remains incomplete, leaving a complex melange of competing legal and customary claims upon land (see also Customary Claims and Common Property). In Indonesia, for example, untitled land continues to exist even in downtown Jakarta, with titled land valued 10-60% higher. In areas These policies were preparedfor uise by World Bank staff and are not necessarily a complete treatment of the subject. I THE WORLD BANK OPERATIONAL MANUAL OP 4.12 III D1~December 2001 Operational Policies Page9mof 38_ lacking coherent and integrated property systems, resource valuations may differ substantially and some property claims are likely to go unrecognized. Hence, establishing replacement cost requires much greater attention to the type of title and usage rights held by affected persons. And projects acquiring land in such areas should encourage vigorous information disclosure, negotiation or arbitration procedures, and independent grievance mechanisms. Precedents in Practice In the Philippines, resettlement plans for the Leyte-Luzon Geothermal Project (Ln.3746) called for negotiated settlements on land acquisition between PAPs and the National Power Corporation. In the event agreement could not be reached, compensation disputes would be addressed by an Independent Appraisal Committee, consisting of a real estate expert and representatives from the local land bank and the Philippines National Bank. Also in the Philippines, PAPs in the Transmission Grid Reinforcement Project (Ln.3996) could choose between compensation as evaluated by an independent appraiser or replacement land provided by the project. In Indonesia, resettlement plans for the pending Second Sulawesi Urban Development Project would give PAPs with insecure tenure (and those now in rental housing) tenurial rights in developed houseplots that cannot be sold for at least 10 years. Method of Valuation for structures, land, trees and other assets Replacement cost for land * Determining replacement cost in countries lacking land markets: Though both Vietnam and China are experimenting with mechanisms to increase individual or household tenure, land remains collectively or publicly owned and cannot be alienated. In China, the Bank accepts country practice of compensating the collectivities rather than affected households for expropriated land. (Affected households, in turn, receive replacement land or other forms of rehabilitation assistance from collectives or local authorities.) In Vietnam, by contrast, affected households often are directly compensated for loss of use of land. In the absence of land markets, replacement cost in these countries needs to be linked to the productive value of the affected land. Precedents in Practice In China, compensation for expropriated rural land is calculated as a multiplier (usually 3-6) of the average annual value of agricultural production over the preceding three years. Some project plans, gradually increase the multiplier to favor smaller average landholdings in affected villages. An additional resettlement "subsidy"- (allowance) for the people who need to be economically rehabilitated is also paid (and also is calculated as a multiplier). Where PAPs are relocated from one local jurisdictional unit to another, compensation and rehabilitation packages can be split among both. In some projects, the original unit of residence is compensated for These policies were preparedjbruse by World Bank sttfj and are not necessarily a complete treatment of the subject. I THE WORLD BANK OPERATIONAL MANUAL OP 4.12 II .,December 2001 uperational rolicies Page 10 of 38 loss of land while the unit of relocation receives rehabilitation assistance for providing alternative lands, jobs, or commercial opportunities. In the Xiaolangdi Resettlement Project (Cr.2605), however, all compensation and rehabilitation assistance goes to the local unit in the area of relocation; if collectives lose both land and PAPs they receive no compensation. National law limits combined compensation for land and economic rehabilitation to no more than 20 times the average annual productive value of the acquired land. In Vietnam, an emerging market permits land use rights to be bought and sold at highly fluctuating prices. Compensation rates payable in cash to project affected households were introduced by national decree (87-CP) in 1994, which sets minimum and maximum prices for various categories of land. The prices established in this decree are set administratively and may not represent replacement cost. Bank experience in Vietnam so far has mainly focused on the land-for-land option for people losing more than 20% of their total holding, and cash compensation for people losing less than 20%. New laws also allow for outright ownership (and alienation) of houseplots up to 200 square meters in size. The Irrigation Rehabilitation Project (Cr.271 1) provides 60% of replacement cost for non-owned homesteads (plus full compensation for the house or other structures) to be used for purchase of privately owned homesteads. In all instances, compensation is to be sufficient to purchase a 200-square-meter parcel. The conversion from use rights to outright, alienable ownership is considered as contributing to replacement cost. Method of Valuation for structures, land, trees and other assets Replacement cost for structures Calculating replacement costs * Schedule of rates obtained from the infrastructure department: The infrastructure construction departments in all countries have a schedule of rates for preparing estimates for construction projects, which Borrower agencies themselves use to assess costs for construction materials and labor. When applied to calculation of replacement cost, rates current for the period of actual replacement must be used. Method of Valuation for structures, land, trees and other assets Replacement cost for structures Calculating replacement costs * Rates quoted by contractors for similar structures in other construction projects / programs: Where rate schedules do not exist or are out of date, recent quotations by contractors for similar types of construction in the vicinity of the project can be used for calculating replacement cost. In projects offering the options of cash compensation or alternative accommodation, the construction cost estimates for alternative accommodation could be used for calculating cash compensation payable. These policles were preparedforuise by World Bank staff and are not necessarily a comtplete treatment of the subject. I THE WORLD BANK OPERATIONAL MANUAL OP 4.12 III December 2001 Operational Policies Page 11 of 38 Method of Valuation for structures, land, trees and other assets Replacement cost for other assets * For public infrastructure: in-kind replacement under force account within an agreed time schedule, or full compensation to the agency replacing the service is required. * For cultural property and community-owned facilities: in-kind replacement or compensation at replacement cost for land and structures (e.g., religious churches, mosques, temples, or shrines; private or community-operated schools; village meeting houses; local libraries). * For cash crops: Arrangements should be made to allow for harvest or market value should be paid for lost cash crops. In some countries average annual market value of crops for the previous 3 years is deemed appropriate as crop compensation. Compensation for subsistence crops can be in-kind, or can be an amount of cash sufficient to purchase equivalent supplies. * For trees: Where markets do not provide sufficient information about the value of fruit or timber, compensation for fruit-bearing and non-fruit-bearing trees should be at net present value calculated for the productive life. In the case of immature trees, a less costly alternative may be to directly replace seedlings. Other assets: Tubewells, graves, fishponds, poultry houses, fences, and other tangible assets should be replaced in kind (or with functional equivalents), relocated, or be compensated at replacement cost. These policies were preparedforlise by World Bankl staff and are not necessarily a complete treatment of the subject. I THE WORLD BANK OPERATIONAL MANUAL OP 4.12 III n1~December 2001 - Operational Policies Page 12 of 38 Annex 4: World Bank Operational Directive (OD) 4.30 This directive was prepared for the guidance of staff of the World Bank and is not necessarily a complete treatment of the subjects covered. OP. 4.12-----June 1990 Involuntary Resettlement Introduction 1. This directive describes Bankl policy and procedures on involuntary resettlement, as well as the conditions that borrowers are expected to meet in operations involving involuntary resettlement.2 Planning and financing resettlement components or free-standing projects are an integral part of preparation for projects that cause involuntary displacement. Any operation that involves land acquisition or is screened as a Category A or B project for environmental assessment purposes3 should be reviewed for potential resettlement requirements early in the project cycle (para. 20). 2. Development projects that displace people involuntarily4 generally give rise to severe economic, social, and environmental problems: production systems are dismantled; productive assets and income sources are lost; people are relocated to environments where their productive skills may be less applicable and the competition for resources greater; community structures and social networks are weakened; kin groups are dispersed; and cultural identity, traditional authority, and the potential for mutual help are diminished. Involuntary resettlement may cause severe long-term hardship, impoverishment, and environmental damage unless appropriate measures are carefully planned and carried out.5 Policy Obiectives 3. The objective of the Bank's resettlement policy is to ensure that the population displaced by a project receives benefits from it. Involuntary resettlement is an integral part of project design and should be dealt with from the earliest stages of project preparation (para. 28), taking into account the following policy considerations: (a) Involuntary resettlement should be avoided or minimized where feasible, exploring all viable alternative project designs. For example, realignment of roads or reductions in dam height may significantly reduce resettlement needs. (b) Where displacement is unavoidable, resettlement plans should be developed. All involuntary resettlement should be conceived and executed as development programs, with resettlers provided sufficient investment resources and opportunities to share in project benefits. Displaced persons should be (i) compensated for their losses at full These policies were preparedfor use by World Bank stiff and are not necessarily a conmplete treatment of the subject. I THE WORLD BANK OPERATIONAL MANUAL OP 4.12 III December 2001 Operational Policies Page 2001 replacement cost prior to the actual move; (ii) assisted with the move and supported during the transition period in the resettlement site; and (iii) assisted in their efforts to improve their former living standards, income earning capacity, and production levels, or at least to restore them. Particular attention should be paid to the needs of the poorest groups to be resettled. (c) Community participation in planning and implementing resettlement should be encouraged. Appropriate patterns of social organization should be established, and existing social and cultural institutions of resettlers and their hosts6 should be supported and used to the greatest extent possible. (d) Resettlers should be integrated socially and economically into host communities so that adverse impacts on host communities are minimized. The best way of achieving this integration is for resettlement to be planned in areas benefiting from the project and through consultation with the future hosts. (e) Land, housing, infrastructure, and other compensation should be provided to the adversely affected population, indigenous groups,7 ethnic minorities, and pastoralists who may have usufruct or customary rights to the land or other resources taken for the project. The absence of legal title to land by such groups should not be a bar to compensation. Resettlement Plannini2 4. Where large-scale8 population displacement is unavoidable, a detailed resettlement plan, timetable, and budget are required. Resettlement plans should be built around a development strategy and package aimed at improving or at least restoring the economic base for those relocated. Experience indicates that cash compensation alone is normally inadequate. Voluntary settlement may form part of a resettlement plan, provided measures to address the special circumstances of involuntary resettlers are included. Preference should be given to land-based resettlement strategies for people dislocated from agricultural settings. If suitable land is unavailable, nonland-based strategies built around opportunities for employment or self-employment may be used. Plan Content 5. The content and level of detail of resettlement plans, which will vary with circumstances, especially the magnitude of resettlement, should normally include a statement of objectives and policies, an executive summary, and provision for the following: (a) organizational responsibilities (para. 6); (b) community participation and integration with host populations (paras. 7-10); (c) socioeconomic survey (para. I 1); (d) legal framework (para. 12); (e) alternative sites and selection (para. 13); These policies were preparedfor use by World Bankt staff and are not necessarily a complete treatment of the subject. Il THE WORLD BANK OPERATIONAL MANtJAL OP 4.12 Operationalurn.Opeatinal PoliciesoiliesPage December14 of2001 38 (f) valuation of and compensation for lost assets (paras. 14-16); (g) land tenure, acquisition, and transfer (para. 17); (h) access to training, employment, and credit (para. 18); (i) shelter, infrastructure, and social services (para. 19); () environmental protection and management (para. 20); and (k) implementation schedule, monitoring, and evaluation (paras. 21-22). Cost estimates should be prepared for these activities, and they should be budgeted and scheduled in coordination with the physical works of the main investment project. Or2anizational Responsibilities 6. The responsibility for resettlement rests with the borrower. The organizational framework for managing resettlement must be developed during preparation and adequate resources provided to the responsible institutions. The organization responsible for resettlement should be strengthened when entities executing infrastructure or other sector- specific projects lack the experience and outlook needed to design and implement resettlement. One alternative is to create a special resettlement unit within the project entity: this can facilitate the involvement of other line agencies. Another alternative is to entrust resettlement to the regional or town administration that knows the population and area, can mobilize local expertise, speaks the resettlers' language, and will ultimately be responsible for the integration of resettlers into the host population and area. There also may be considerable scope for involving nongovernmental organizations (NGOs) in planning, implementing, and monitoring resettlement.9 Community Participation and Inte2ration with Host Population 7. Most displaced people prefer to move as part of a preexisting community, neighborhood, or kinship group. The acceptability of a resettlement plan can be increased and the disruption caused by resettlement can be cushioned by moving people in groups, reducing dispersion, sustaining existing patterns of group organization, and retaining access to cultural propertyIO (temples, pilgrimage centers, etc.), if necessary, through the relocation of the property. 8. The involvement of involuntary resettlers and hosts in planning prior to the move is critical. Initial resistance to the idea of involuntary resettlement is to be expected. To obtain cooperation, participation, and feedback, the affected hosts and resettlers need to be systematically informed and consulted during preparation of the resettlement plan about their options and rights. They should also be able to choose from a number of acceptable resettlement alternatives. These steps can be taken directly or through formal and informal leaders and representatives. Experience has shown that local NGOs can often provide valuable assistance and ensure viable community participation. Moreover, institutionalized arrangements, such as regular meetings between project officials and communities, should be provided for resettlers and hosts to communicate their concerns about the resettlement program to project staff throughout planning and implementation.1 I Particular attention must be given to ensure that vulnerable groups such as indigenous people, ethnic minorities, the landless, and women are represented adequately in such arrangements. These policies were preparedfor use by World Bank staff and are not necessarily a conmplete treatment of the subject. I THE WORLD BANK OPERATIONAL MANUAL OP 4.12 III DPDecember 2001 Operational Policies Page 15 of 38 9. The plan should address and mitigate resettlement's impact on host populations. Host communities and local governments should be informed and consulted. Any payment due the hosts for land or other assets provided to resettlers should be promptly rendered. Conflicts between hosts and resettlers may develop as increased demands are placed on land, water, forests, services, etc., or if the resettlers are provided services and housing superior to that of the hosts. Conditions and services in host communities should improve, or at least not deteriorate. Providing improved education, water, health, and production services to both groups fosters a better social climate for their integration. In the long run, the extra investment will help prevent conflicts and secure the project's aims. 10. Successful resettlement requires a timely transfer of responsibility from settlement agencies to the settlers themselves. Otherwise, a dependency relationship may arise, and agency resources may become tied up in a limited number of continually supervised schemes. Local leadership must be encouraged to assume responsibility for environmental management and infrastructure maintenance. Socioeconomic Survey 11. Resettlement plans should be based on recent information about the scale and impact of resettlement on the displaced population. In addition to describing standard household characteristics, socioeconomic surveys should describe (a) the magnitude of displacement; (b) information on the full resource base of the affected population, including income derived from informal sector and nonfarm activities, and from common property; (c) the extent to which groups will experience total or partial loss of assets; (d) public infrastructure and social services that will be affected; (e) formal and informal institutions (such as community organizations, ritual groups, etc.) that can assist with designing and implementing the resettlement programs; and (f) attitudes on resettlement options. Socioeconomic surveys, recording the names of affected families, should be conducted as early as possible to prevent inflows of population ineligible for compensation. Le2al Framework 12. A clear understanding of the legal issues involved in resettlement is needed to design a feasible resettlement plan. An analysis should be made to determine the nature of the legal framework for the resettlement envisaged, including (a) the scope of the power of eminent domain, the nature of compensation associated with it, both in terms of the valuation methodology and the timing of payment; (b) the legal and administrative procedures applicable, including the appeals process and the normal time-frame for such procedures; (c) land titling and registration procedures; and (d) laws and regulations relating to the agencies responsible for implementing resettlement and those related to land compensation, consolidation, land use, environment, water use, and social welfare. Alternative Sites and Selection 13. The identification of several possible relocation sites and the demarcation of selected sites is a critical step for both rural and urban resettlement. For land-based resettlement, the new site's productive potential and locational advantages should be at least equivalent These policies were preparedfor use by World Bank staff and (irenot necessarily a conmplete treatnment of the subject. TITl WORLD BANK OPERATIONAL MANUAL OP 4.12 III December 2001 Operational Policies Page 16 of 38 to those of the old site. The Bank encourages "land for land" approaches, providing replacement land at least equivalent to the lost land. For rural settlers, irrigation, land reclamation, tree crop development, intensification of production, and other innovations often can provide adequate production potential on limited amounts of land to resettle agriculturalists, even in countries with high population densities. In selecting sites, attention must be paid to the availability of sources of off-farm income (fishing, gathering forest products, seasonal wage employment) to complement farm income. For urban resettlers, the new site should ensure comparable access to employment, infrastructure, services, and production opportunities. For both rural and urban resettlement, the borrower needs to (a) develop institutional and technical arrangements for identifying and preparing relocation sites, e.g., pooling together small plots, wasteland reclamation, land leveling, and terracing; (b) draw up timetables and budgets for site preparation and transfer; (c) make legal arrangements for transferring titles to resettlers; and (d) consider, when necessary, a temporary freeze on land transactions within the relocation area to prevent land speculation. Though the Bank does not normally disburse against land acquisition, it can finance land improvement to accommodate resettlers. Valuation of and Compensation for Lost Assets 14. Valuation of lost assets should be made at their replacement cost. Compensation is facilitated by (a) paying special attention to the adequacy of the legal arrangements concerning land title, registration, and site occupation; (b) publicizing among people to be displaced the laws and regulations on valuation and compensation; (c) establishing criteria for determining the resettlement eligibility of affected households, e.g., households that have only partially lost their assets but are no longer economically viable should be entitled to full resettlement; and (d) developing mechanisms to prevent illegal encroachers and squatters, including an influx of nonresidents entering to take advantage of such benefits, from participating in the compensation arrangements, by an early recording of the numbers and names of affected populations entitled to compensation/rehabilitation. 15. Some types of loss, such as access to (a) public services; (b) customers and suppliers; and (c) fishing, grazing, or forest areas, cannot easily be evaluated or compensated for in monetary terms. Attempts must therefore be made to establish access to equivalent and culturally acceptable resources and earning opportunities. 16. Vulnerable groups at particular risk are indigenous people, the landless and semilandless, and households headed by females who, though displaced, may not be protected through national land compensation legislation. The resettlement plan must include land allocation or culturally acceptable alternative income-earning strategies to protect the livelihood of these people. Land Tenure, Acquisition, and Transfer 17. Resettlement plans should review the main land tenure and transfer systems, including common property and nontitle-based usufruct systems governed by locally recognized land allocation mechanisms. The objective is to treat customary and formal These policies were preparedforuse bv World Bank staff and are not necessarilv a complete treatnient of the subject. Il THE WORLD BANK OPERATIONAL MANUAI, OP 4.12 III D1December 2001 Operational Policies Page 17 of 38 rights as equally as possible in devising compensation rules and procedures. The plan should address the issues raised by the different tenure systems found in a project area, including (a) the compensation eligibility of land-dependent populations; (b) the valuation procedures applicable to different tenure types; and (c) the grievance procedures available for disputes over land acquisition. Plans should contain provisions for conducting land surveys and regularizing land tenure in the earliest stages of project development. Planning should also anticipate the approximate time needed to acquire and transfer land. Access to Training, Employment, and Credit 18. Normally, general economic growth cannot be relied upon to protect the welfare of the project-affected population. Thus, alternative employment strategies are needed for nonagricultural displaced people, or where the land that can be made available is not sufficient to accommodate all the displaced farmers. The resettlement plan should, where feasible, exploit new economic activities made possible by the main investment requiring the displacement. Vocational training, employment counseling, transportation to jobs, employment in the main investment project or in resettlement activities, establishment of industries, incentives for firms to locate in the area, credit and extension for small businesses or reservoir aquaculture, and preference in public sector employment should all be considered where appropriate. Shelter, Infrastructure, and Social Services 19. To ensure the economic and social viability of the relocated communities, adequate resources should be allocated to provide shelter, infrastructure (e.g., water supply, feeder roads), and social services (e.g., schools, health care centers). 12 Site development, engineering, and architectural designs should be prepared for shelter, infrastructure, and social services. Since community or self-built houses are often better accepted and more tailored to the resettlers' needs than contractor-built housing, provision of a building site with suitable infrastructure, model plans, building materials, technical assistance, and ".construction allowances" (for income foregone while resettlers build their houses) is an option communities should be offered. Planning for shelter, infrastructure, and services should take into account population growth. Environmental Protection and Manayement 20. The screening process for an environmental assessment (EA) normally classifies projects involving involuntary resettlement as Category A. 13 The EA of the main investment requiring the resettlement should thus cover the potential environmental impacts of the resettlement. The resettlement plan must be developed in coordination with the EA and define the boundaries of the relocation area, and calculate incremental population density per land unit. In agricultural projects (involving, for example, relocation to the catchment surrounding a reservoir, or to a downstream command area), if the incoming resettled population is large in relation to the host population, such environmental issues as deforestation, overgrazing, soil erosion, sanitation, and pollution are likely to become serious and plans should either include appropriate mitigating measures, including training of oustees, or else should allow for alternative sites to be These policies were preparedforuse bv World Bank stafJ and are not necessarily a complete treatment of the suibject. Il THE WORLD BANK OPERATIONAL MANUAL OP 4.12 III Di..December 2001 Operational Policies Page 18 of 38 selected. Urban resettlement raises other density-related issues (e.g., transportation capacity, access to potable water, sanitation systems, health facilities, etc.). Constructive environmental management, provided through the EA's mitigation plan,l4 may provide good opportunities and benefits to resettlers and host populations alike (e.g., project- financed compensatory afforestation not only replaces the forests submerged by reservoirs but also offers gainful employment). If the likely consequences on the environment are unacceptable, alternative and/or additional relocation sites must be found. Implementation Schedule, Monitoring, and Evaluation 21. The timing of resettlement should be coordinated with the implementation of the main investment component of the project requiring the resettlement. All resettlement plans should include an implementation schedule for each activity covering initial baseline and preparation, actual relocation, and post-relocation economic and social activities. The plan should include a target date when the expected benefits to resettlers and hosts would be achieved. 22. Arrangements for monitoring implementation of resettlement and evaluating its impact should be developed by the borrower during project preparation and used during supervision. 15 Monitoring provides both a warning system for project managers and a channel for the resettlers to make known their needs and their reactions to resettlement execution. Monitoring and evaluation units should be adequately funded and staffed by specialists in resettlement. In-house monitoring by the implementing agency may need to be supplemented by independent monitors to ensure complete and objective information. Annual and midterm reviews are desirable for large-scale resettlement. The borrower should be required to continue impact evaluation for a reasonable period after all resettlement and related development activities have been completed. The borrower should also be required to inform the Bank about the findings. Bank Role and Project Options 23. The Bank supports borrowers' efforts through (a) assistance in designing and assessing resettlement policy, strategies, laws, regulations, and specific plans; (b) financing technical assistance to strengthen the capacity of agencies responsible for resettlement; and (c) direct financing of the investment costs of resettlement. The Bank may sometimes finance resettlement even though it has not financed the main investment that made displacement and resettlement necessary (para. 26). 24. The task manager (TM) should inform the borrower of the Bank's resettlement policy. Starting early in the project cycle, the TM with the support of Bank operational, research, and legal staff should assess government policies, experiences, institutions, and the legal framework covering resettlement. In particular, the TM needs to ensure that involuntary resettlement is avoided or minimized, that laws and regulations concerning displaced people provide compensation sufficient to replace all lost assets, and that displaced persons are assisted to improve, or at least restore, their former living standards, income These policies were preparedfor use by World Bank staff and are not necessarily a complete treatment of the subject. I TfIE WORLD BANK OPERATIONAL MANUAL OP 4.12 I . ] .December2001 OEperational POlicieS Page 19 of 38 earning capacity, and production levels. 25. The adequacy of the resettlement plan should be reviewed by appropriate social, technical, and legal experts. Resettlement specialists should visit the possible resettlement sites and review their suitability. In the case of large-scale relocation, such experts should be included in independent technical or environmental review boards. 16 26. Bank financing of resettlement can be provided as follows: (a) As a component of the main investment project causing displacement and requiring resettlement. (b) If large enough, as a free-standing resettlement project with appropriate cross-conditionalities, processed and implemented in parallel with the investment project that causes the displacement. The latter approach may better focus country and Bank attention on the effective resolution of resettlement issues. (c) As a sector investment loan.17 Where the specific resettlement needs of each subproject are not known in advance, the borrower would need to agree to resettlement policies, planning principles, institutional arrangements, and design criteria that meet Bank policy and requirements as a condition of the loan. An estimate should be provided of total population to be displaced and overall resettlement costs, as well as an evaluation of proposed resettlement sites. Road projects in sector investment loans should be screened by the implementing agency to ensure consistency with this directive, and approved individually by the Bank. For countries with a series of operations requiring resettlement, efforts to improve the policy, institutional, and legal framework for resettlement should form part of the Bank's ongoing country and sector dialogue with the government. These efforts should be appropriately reflected in economic and sector work and in country strategy papers and briefs. Processing and Documentation 27. The Regional Vice President (RVP) should be kept informed of major resettlement issues, and his guidance sought where necessary. The Regional Environment Division (RED), the Legal Department (LEG), and settlement specialists in Sector Policy and Research (SPR) should be consulted or included as necessary in peer reviews on involuntary resettlement issues throughout the project cycle. Identification 28. The possibility of involuntary resettlement should be determined as early as possible and described in all project documents. The TM should (a) briefly summarize in the Initial Executive Project Summary (Initial EPS) 18 the magnitude, strategy, and timing of the resettlement; (b) inform borrowers of the Bank's resettlement policy; (c) review past borrower experience with similar operations; (d) invite agencies responsible for resettlement to discuss their policies, plans, and institutional, consultative, and legal arrangements for resettlement; and (e) where appropriate, ensure that technical assistance is provided early to borrowers. Such assistance should include the use of Project Preparation Facility (PPF) resources19 for planning resettlement and building institutional capacity. These policies were preparedfor uIse by World Bank swaft and are not necessarily a conmplete treatment of the subject. I THl E WORLD BANK OPERATIONAL MANUAL OP 4.12 Operational PoliDecember 2001 Oe a in lPolicies Page 20 of 38 Preparation 29. During project preparation, the feasibility of resettlement must be established, a strategy agreed upon, the resettlement plan drafted, and budget estimates prepared.20 The full costs of resettlement should be identified and included in the total cost of the main investment project, regardless of financing source. The costs of resettlement should also be treated as a charge against the economic benefits of the investment project that causes the relocation. Any net benefits to resettlers (as compared to the "without project" circumstances) should be added to the benefit stream of the main investment. While the resettlement component or free-standing project need not be economically viable on its own, it should be the least- cost approach consistent with the policies laid out above. Appraisal and Negotiation 30. Submission to the Bank of a time-bound resettlement plan and budget that conforms to Bank policy is a condition of appraisal for projects involving resettlement, except for sector investment loans as discussed in para. 26. All final EPSs should confirm that this requirement has been met. The appraisal mission should ascertain (a) the extent that involuntary resettlement and human hardship will be minimized and whether borrowers can manage the process; (b) the adequacy of the plan, including the timetable and budget for resettlement and compensation; (c) the soundness of the economic and financial analysis; (d) the availability and adequacy of sites and funding for all resettlement activities; (e) the feasibility of the implementation arrangements; and (f) the extent of involvement of beneficiaries. At negotiations, the borrower and the Bank should agree on the resettlement plan. The resettlement plan and the borrower's obligation to carry it out should be reflected in the legal documents. Other necessary resettlement-related actions must be covenanted. The Staff Appraisal Report and the Memorandum and Recommendation of the President should summarize the plan and state that it meets Bank policy requirements. Implementation and Supervision 31. Resettlement components should be supervised throughout implementation.2 1 Supervision that is sporadic or left until late in implementation invariably jeopardizes the success of resettlement. Bank supervision missions should be staffed with the requisite social, economic, and technical expertise. Annual reviews of large-scale resettlement and in-depth Bank reviews of midterm progress are highly desirable. These reviews should be planned from the outset to allow the Bank and the borrower to make necessary adjustments in project implementation. Complete recovery from resettlement can be protracted and can often make it necessary to continue Bank supervision until well after populations have been relocated, sometimes even after a project has been closed. Ex- Post Evaluation 32. The project completion report22 submitted to the Operations Evaluation Department should evaluate resettlement and its impact on the standards of living of the resettlers and the host population. These policies wvere preparedfor tise bv World Bank staff and are not necessarily a ctomplete treatment of the subject. ITlHE WORLD BANK OPERATIONAL MANUAL OP 4.12 .I l .December 2001 Operational Policies Page 21 of 38 Involuntary Resettlement 1. Bank' experience indicates that involunta,y resettlement under development projects, if unmitigated, often gives rise to severe economic, social, and environmiental risks. production systems are dismantled; people face im-poverishment wvhen their productive assets or income soutrces are lost; people are relocated to environments where their produictive skills may be less applicable and the competition for resouirces greater; community institltions and social networks are weakened; kin groups are dispersed, and ciultuiral identity, traditional aluthority, and the potential for mutual help are diminished or lost. This policy incluldes safegulards to address and mitigate these impoverishment risks. Policy Objectives 2. Involuntary resettlement may cause severe long-term hardship, impoverishment, and environmental damage unless appropriate measures are carefully planned and carried out. For these reasons, the overall objectives of the Bank's policy on involuntary resettlement are the following: (a) Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative project designs.2 (b) Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits. Displaced persons3 should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs. (c) Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.4 1. "Bank" includes IDA, "loans" includes credits, guarantees, Project Preparation Facility (PPF) advances and grants: and "projects" includes projects under (a) adaptable program lending; (b) learning and innovation loans; (c) PPFs and Institutional Development Funds (IDFs). if they include investment activities: (d) grants under the Global Environment Facility and Montreal Protocol, for which the Bank is the implementing/executing agency: and (e) grants or loans provided by other donors that are administered by the Bank. The term "project" does not include programs under adjustment operations. "Borrower" also includes, wherever the context requires, the guarantor or the project implementing agency. 2. In devising approaches to resettlement in Bank-assisted projects. other Bank policies should be taken into account, as relevant. These policies include {, EnvironmentalAssessment. OP 4-(4-4Natw/al llabitats, 0 1' 4.11 Safeguarding CultuiralProperty in Bank-Assisted Projects, and Q044.20 Indigenous Peoples. 3. The term -displaced persons" refers to persons who are affected in any of the ways described in para. 3 of this OP. 4. Displaced persons under para. 3(b) should be assisted in their efforts to improve or restore their livelihoods in a manner that maintains the sustainability of the parks and protected areas. Note: OP and BP 4.12 together replace OP. 4.12, involutntary Resettlement. This OP and BP apply to all projects for which a Project Concept Review takes place on or after January 1, 2002. Questions may be addressed to the Director, Social Development Department (SD%'). These policies were preparedfor use by World Bantk-stuff and are not necessarilv a complete treatment of the sublect. IlTHE WORLD BANK OPERATIONAL MANNUAL OP 4.12 I.I OperationalDecember 2001 Operational Policies Page 22 of 38 Impacts Covered 3. This policy covers direct econom7zic and social impacts' that both result from Bank-assisted investment projects6 , and are caused by (a) the involuntaiy7 taking of landa resuilting in (i) relocation or loss of shelter: (ii) lost of assets or access to assets; or (iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location, or (b) the involuntary restriction of access9 to legally designatedparks andprotected areasresulting in adverse impacts on the livelihoods of the displacedpersons. 4. This policy applies to all components of the project that result in involuntary resettlement, regardless of the source offinancing. It also applies to other activities resulting in involuntary resettlement, that in the judgment of the Bank, are (a) directly and signiJicantly related to the Bank-assisted project, (b) necessary to achieve its objectives as set forth in the project documents, and (c) carriedout, orplanned to be carriedout, contemporaneously with the project. 5. Requests for guidance on the application and scope of this policy should be addressed to the Resettlement Committee (see B P 4.12, para. 7).1 5. Where there are adverse indirect social or economic impacts. it is good practice for the borrower to undertake a social assessment and implement measures to minimize and mitigate adverse economic and social impacts, particularly upon poor and vulnerable groups. Other environmental, social, and economic impacts that do not result from land taking may be identified and addressed through environmental assessments and other project reports and instruments. 6. This policy does not apply to restrictions of access to natural resources under community-based projects, i.e. where the community using the resources decides to restrict access to these resources. provided that an assessment satisfactory to the Bank establishes that the community decision-making process is adequate, and that it provides for identification of appropriate measures to mitigate adverse impacts. if any, on the vulnerable mEMSBers of the community. This policy also does not cover refugees from natural disasters, war, or civil strife (see ()P/jK 0,t)Emergency RecoveryvAssistance). 7. For purposes of this policy, "involuntary' means actions that may be taken without the displaced person's informed consent or power of choice. 8. 'Land" includes anything growing on or permanently affixed to land, such as buildings and crops. This policy does not apply to regulations of natural resources on a national or regional level to promote their sustainability. such as watershed management, groundwater management, fisheries management, etc. The policy also does not apply to disputes between private parties in land titling projects. although it is good practice for the borrower to undertake a social assessment and implement measures to minimize and mitigate adverse social impacts. especially those affecting poor and vulnerable groups. 9. For the purposes of this policy, involuntary restriction of access covers restrictions on the use of resources imposed on people living outside the park or protected area. or on those who continue living inside the park or protected area during and after project implementation. In cases where new parks and protected areas are created as part of the project. persons who lose shelter. land, or other assets are covered under para. 3(a). Persons who lose shelter in existing parks and protected areas are also covered under para. 3(a). These policies wvere preparedfor utse by World Bank staff and ore not necessarily a complete treatmient of the subject. IlTl IE WORLD BANK OPERATIONAL MANUAL OP 4.12 .-.. December 2001 OOperational Policies Page23of38 Required Measures 6. To acidress the imtipacts covered under para. 3 (a) of this policy, the borrower prepares a resettlement plan or a resettlement policy framework (see paras. 25-30) that covers the following: (a) The resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are (i) informed about their options and rights pertaining to resettlement; (ii) consulted on, offered choices among, and provided with technically and economically feasible resettlement altematives; and (iii) provided prompt and effective compensation at full replacement cost11 for losses of assets attributable directly to the project. (b) If the impacts include physical relocation, the resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are (i) provided assistance (such as moving allowances) during relocation; and (ii) provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the old site. 13 (c) Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also include measures to ensure that displaced persons are (i) offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living;14 and I10. The Resettlement Sourcebook (forthcoming) provides good practice guidance to staff on the policy. 11. "Replacement cost" is the method of valuation of assets that helps determine the amount sufficient to replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of structures and assets should not be taken into account (for a detailed definition of replacement cost, see Annex A, footnote I). For losses that cannot easily be valued or compensated for in monetary terms (e.g., access to public services. customers, and suppliers: or to fishing, grazing, or forest areas), attempts are made to establish access to equivalent and culturally acceptable resources and earning opportunities. Where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures necessary to meet the replacement cost standard. Such additional assistance is distinct from resettlement assistance to be provided under other clauses of para. 6. 12. If the residual of the asset being taken is not economically viable, compensation and other resettlement assistance are provided as if the entire asset had been taken. 13. The alternative assets are provided with adequate tenure arrangements. The cost of alternative residential housing. housing sites, business premises, and agricultural sites to be provided can be set off against all or part of the compensation payable for the corresponding asset lost. 14. Such support could take the form of short-term jobs. subsistence support. salary maintenance or similar arrangements These policies were preparedforuse by World Bank staff and are not necessartlv a complete treatment of the subject. Tl-iE WORLD BANK OPERATIONAL MANUAL OP 4.12 December 2001 Operational Policies Page 24 of 38 (ii) provided with development assistance in addition to compensation measures described in paragraph 6(a) (iii), such as land preparation, credit facilities, training, or job opportunities. 7. In projects involving involuntary restriction of access to legally designated parks and protected areas (see para. 3(b)), the nature of restrictions, as well as the type of measures necessary to mitigate adverse impacts, is determined with the participation of the displaced persons during the design and implementation of the project. In such cases, the borrower prepares a process framework acceptable to the Bank, describing the participatory process by which (a) specific components of the project will be prepared and implemented; (b) the criteria for eligibility of displaced persons will be determined; (c) measures to assist the displaced persons in their efforts to improve their livelihoods, or at least to restore them, in real terms, while maintaining the sustainability of the park or protected area, will be identified; and (d) potential conflicts involving displaced persons will be resolved. The process framework also includes a description of the arrangements for implementing and monitoring the process. 8. To achieve the objectives of this policy, particularattention is paid to the needs of vulnerable groups among those displaced, especially those below the poverty line, the landless, the elderly, wvomen and children, indigenous peoples,' 5 ethnic minorities, or other displaced persons who may not be protected through national land compensation legislation. 9. Bank experience has shown that resettlement of indigenous peoples with traditional land- based modes of production is particularly complex and may have significant adverse impacts on their identity and cultural survival. For this reason, the Bank satisfies itself that the borrower has explored all viable altemative project designs to avoid physical displacement of these groups. When it is not feasible to avoid such displacement, preference is given to land-based resettlement strategies for these groups (see para. 11) that are compatible with their cultural preferences and are prepared in consultation with them (see Annex A, para. I I). 10. The implementation of resettlement activities is linked to the implementation of the investment component of the project to ensure that displacement or restriction of access does not occur before necessary measuresfor resettlement are in place. For impacts covered in para. 3(a) of this policy, these measures include provision of compensation and of other assistance requiredfor relocation, prior to displacement, and preparation and provision of resettlement sites with adequate facilities, where required In particular, taking of land and related assets may take place only after compensation has been paid and, where 15. See '1' Indigenous Peoples. These policies vere preparedfor use by World Bank staff and are not n,ecessarily a complete treatment of the subject. THE WORLD BANK OPERATIONAL MANUJAL OP 4.12 * December 2001 Operational Policies De 2001 applicable, resettlement sites and moving allowances have been provided to the displacedpersons. For impacts covered in parai. 3(b) of this policy, the measures to assist the displacedpersons are implemented in accordance with the plan of action as part of the project (see para. 30). II. Preference should be given to land-based resettlement strategies for displaced persons whose livelihoods are land-based. These strategies may include resettlement on public land (see footnote I above), or on private land acquired or purchased for resettlement. Whenever replacement land is offered, resettlers are provided with land for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the land taken. If land is not the preferred option of the displaced persons, the provision of land would adversely affect the sustainability of a park or protected area, 16 or sufficient land is not available at a reasonable price, non-land-based options built around opportunities for employment or self-employment should be provided in addition to cash compensation for land and other assets lost. The lack of adequate land must be demonstrated and documented to the satisfaction of the Bank. 12. Payment of cash compensation for lost assets may be appropriate where (a) livelihoods are land-based but the land taken for the project is a small fraction of the affected asset and the residual is economically viable; (b) active markets for land, housing, and labor exist, displaced persons use such markets, and there is sufficient supply of land and housing; or (c) livelihoods are not land-based. Cash compensation levels should be sufficient to replace the lost land and other assets at full replacement cost in local markets. 13. For impacts covered under para. 3(a) of this policy, the Bank also requires the following: (a) Displaced persons and their communities, and any host communities receiving them, are provided timely and relevant information, consulted on resettlement options, and offered opportunities to participate in planning, implementing, and monitoring resettlement. Appropriate and accessible grievance mechanisms are established for these groups. (b) In new resettlement sites or host communities, infrastructure and public services are provided as necessary to improve, restore, or maintain accessibility and levels of service for the displaced persons and host communities. Alternative or similar resources are provided to compensate for the loss of access to community resources (such as fishing areas, grazing areas, fuel, or fodder). (c) Patterns of community organization appropriate to the new circumstances are based on choices made by the displaced persons. To the extent possible, the existing social and cultural institutions of resettlers and any host communities are preserved and resettlers' preferences wvith respect to relocating in preexisting communities and groups are honored. 16. See__ 1,'IU. Natural Habitats 17. As a general principle, this applies if the land taken constitutes less than 20% of the total productive area. These policies ivere preparedfori/se by' World Bank staff and are not necessarily a complete treatnient of the subject. IfTHE WORLD BANK OPERATIONAL MANUAL OP 4.12 I .. December 2001 OOperational Policies Page 26 of 38 Eligibility for Benefits'8 14. Upon identification of the need for involuntaty resettlement in a project, the borrowver carries out a census to identifv the persons wvho will be affected by the project (see the Annex A, para. 6(a)), to determine wvho will be eligible for assistance, and to discourage inflow of people ineligible for assistance. The borrower also develops a procedure, satisfactory to the Bank, for establishing the criteria by which displaced persons wvill be deemed eligible for compensation and other resettlement assistance. The procedure includes provisions for meaningfidl consultations with affected persons and communities, local authorities, and, as appropriate, nongovernmental organizations (NGOs), and it specifies grievance mechanisms. 15. Criteria for Eligibility. Displaced persons may be classified in one of the following three groups: (a) those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country); (b) those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets-provided that such claims are recognized under the laws of the country or become recognized through a process identified in the resettlement plan (see Annex A, para. 70); and'9 (d) those wvho have no recognizable legal right or claim to the land they are occupying. 16. Persons covered under para. 15(a) and (b) are provided compensationfor the land thev lose, and other assistance in accordance with para. 6. Persons covered under para. 15(c) are provided resettlement assistance20 in lieu of compensation for the land they occupy, and other assistance, as necessary, to achieve the objectives set out in this policy, if they occupy the project area prior to a cut-off date established by the borrower and acceptable to the Bank. 21 Persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance. All persons included in para. 15(a), (b), or (c) are provided compensation for loss of assets other than land. 18. Paras. 13-15 do not apply to impacts covered under para. 3(b) of this policy. The eligibility criteria for displaced persons under 3 (b) are covered under the process framework (see paras. 7 and 30). 19. Such claims could be derived from adverse possession, from continued possession of public lands without government action for eviction (that is. with the implicit leave of the government), or from customary and traditional law and usage. and so on. 20. Resettlement assistance may consist of land. other assets, cash, employment, and so on, as appropriate. 21. Normally. this cut-off date is the date the census begins. The cut-off date could also be the date the project area was delineated. prior to the census, provided that there has been an effective public dissemination of information on the area delineated, and systematic and continuous dissemination subsequent to the delineation to prevent further population influx. These policies wvere preparedforuse by World Bankt staff and ore not necessarly a complete treatment of the subject. Il THE WORLD BANK OPERATIONAL MANUAL OP 4.12 * OperationaDecember 2001 Operational Policies Page 27 of 38 RESETTLEMENT PLANNING, IMPLEMENTATION, AND MONITORING 17. To achieve the objectives of this policy, different planning instruments are used, depending on the type of project. (a) a resettlement plan or abbreviated resettlement plan is required for all operations that entail involuntary resettlement unless otherwise specified (see para. 25 and . ' ); (b) a resettlement policy framework is required for operations referred to in paras. 26-30 that may entail involuntary resettlement, unless otherwise specified (see Aniex A); and (c) a process framework is prepared for projects involving restriction of access in accordance with para. 3(b) (see para. 31). 18. The borrower is responsiblefor preparing, implemienting, and monitoring a resettlement plan, a resettlement policy framework, or a processframework (the 'resettlement instruments"), as appropriate, that conform to this policy. The resettlement instrument presents a strategyfor achieving the objectives of the policy and covers all aspects of the proposed resettlement. Borrower commitment to, and capacity for, undertaking successful resettlement is a key determinant of Bank involvement in a project. 19. Resettlement planning includes early screening, scoping of key issues, the choice of resettlement instrument, and the information required to prepare the resettlement component or subcomponent. The scope and level of detail of the resettlement instruments vary with the magnitude and complexity of resettlement. In preparing the resettlement component, the borrower draws on appropriate social, technical, and legal expertise and on relevant community- based organizations and NGOs. 2 2 The borrower informs potentially displaced persons at an early stage about the resettlement aspects of the project and takes their views into account in project design. 20. The fidll costs of resettlement activities necessaiy to achieve the objectives of the project are included in the total costs of the project. The costs of resettlement, like the costs of other project activities, are treated as a charge againist the economic benefits of the project; and any net benefits to resettlers (as compared to the "without-project" circumstances) are added to the benefits stream of the project. Resettlement components orfree-standingresettlement projects need not be economically viable on their own, but they should be cost-effective. 22. For projects that are highly risky or contentious, or that involve significant and complex resettlement activities, the borrower should normally engage an advisory panel of independent, internationally recognized resettlement specialists to advise on all aspects of the project relevant to the resettlement activities. The size. role. and frequency of meeting depend on the complexity of the resettlement. If independent technical advisorv panels are established under s)!'14.0 Environmental .Assessment, the resettlement panel may form part of the ens ironmental panel of experts. These poli(ies were preparedforase by World Bant staff and are not necessarily o complete treatment ojthe stbje(t. TflIE WORLD BANK OPERATIONAL MANUAL OP 4.12 December 2001 Operational Policies Page 28 of 38 21. The borrower ensures that the Project Implementation Plan is fully consistent with the resettlement instrument. 22. As a condition of appraisal of projects involving resettlement, the borrower provides the Bank with the relevant draft resettlement instrument which conforms to this policy, and makes it available at a place accessible to displaced persons and local NGOs, in a form, manner, and language that are understandable to them. Once the Bank accepts this instrument as providing an adequate basis for project appraisal, the Bank makes it available to the public through its InfoShop. After the Bank has approved the final resettlement instrument, the Bank and the borrower disclose it again in the same manner.23 23. The borrower's obligations to carry out the resettlement instrument and to keep the Bank informed of implementation progress are provided for in the legal agreements for the project. 24. The borrower is responsible for adequate monitoring and evaluation of the activities set forth in the resettlement instrument. The Bank regularly supervises resettlement implementation to determine compliance with the resettlement instrument. Upon completion of the project, the borrower undertakes an assessment to determine whether the objectives of the resettlement instrument have been achieved. The assessment takes into account the baseline conditions and the results of resettlement monitoring. If the assessment reveals that these objectives may not be realized, the borrower should propose follow-up measures that may serve as the basis for continued Bank supervision, as the Bank deems appropriate (see also ', para. 16). Resettlement Instruments Resettlement Plan 25. A draft resettlement plan that conforms to this policy is a condition of appraisal (see Annex A, paras. 2-21) for projects referred to in para. 17(a) above.24 However, where impacts on the entire displaced population are minor, S or fewer than 200 people are displaced, an abbreviated resettlement plan may be agreed with the borrower (see Annex A, para. 22). The information disclosure procedures set forth in para. 22 apply. Resettlement Policy Framework 26. For sector investment operations that may involve involuntary resettlement, the Bank requires that the project implementing agency screen road projects 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 Aniex A, paras. 23- 25). The framework also estimates, to the extent feasible, the total population to be displaced and the overall resettlement costs. 23 See , Disclosuire of OperationalInformation (forthcoming) for detailed disclosure procedures. 24. An exception to this requirement may be made in highly unusual circumstances (such as emergency recovery operations) with the approval of Bank Management (see BP 4.12. para. 8). In such cases, the Management's approval stipulates a timetable and budget for developing the resettlement plan. 25. Impacts are considered "'minor" if the affected people are not physically displaced and less than 10% of their productive assets are lost. These policies were prepared for use by World Bank staff and ore not necessarily a complete treatmen, of the subject. IfTHE WORLD BANrK OPERATIONAL MANUAL OP 4.12 * II December 2001 Operational Policies De 2001 27. For financial intermediary operations that may involve involuntary resettlement, the Bank requires that the financial intermediary (Fl) screen road projects 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 Fl submit to the Bank a resettlement policy framework conforming to this policy (see A I paras. 23-25). In addition, the framework includes an assessment of the institutional capacity and procedures of each of the Fls 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 Fl, a resettlement policy framework is not required. Instead, the legal agreements specify the obligation of the Fls to obtain from the potential subborrowers 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. 28. For other Bank-assisted project with multiple subprojects26 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 AnncX A, paras. 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. 29. For each subproject included in a project described in para. 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. 30. For projects described in paras. 26-28 above, the Bank may agree, in writing, that subproject resettlement plans may be approved by the project implementing agency or a responsible govemment 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 be in compliance with Bank policy, are 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. Process Framework 31. For projects involving restriction of access in accordance with para. 3(b) above, the borrower provides the Bank with a draft process framework that conforms to the relevant provisions of this policv as a condition of appraisal. In addition, during project implementation and before to enforcing of the restriction, the borrower prepares a plan of action, acceptable to the Bank, describing the specific measures to be undertaken to assist the displaced persons and the 26. For purpose of this paragraph. the term -subprojects' includes components and subcomponents. Ihese policies wbere preparedfor use by World Bank staff and are not necessarilv a comiplete treatnment of the subject. Il THE WORLD BANK OPERATIONAL MANUAL OP 4.12 * lTs l* *December 2001 OperationalO Policies Page 30 of 38 arr-angements/for their implementation. The plan of action could take the form of a natuiral resources man1agem77entplan preparedforthe project. Assistance to the Borrower 32. In furtherance of the objectives of this policy, the Bank may at a borrower's request support the borrower and other concerned entities by providing (a) assistance to assess and strengthen resettlement policies, strategies, legal frameworks, and specific plans at a country, regional, or sectoral level; (b) financing of technical assistance to strengthen the capacities of agencies responsible for resettlement, or of affected people to participate more effectivelv in resettlement operations; (c) financing of technical assistance for developing resettlement policies, strategies, and specific plans, andfor implementation, monitoring, and evaluation of resettlement activities; and (d) financing of the investment costs of resettlement. 33. The Bank may finance either a component of the main investment causing displacement and requiring resettlement, or a free-standing resettlement project with appropriate cross- conditionalities. processed and implemented in parallel with the investment that causes the displacement. The Bank may finance resettlement even though it is not financing the main investment that makes resettlement necessary. 34. The Bank does not disburse against cash compensation and other resettlement assistance paid in cash, or against the cost of land (including compensation for land acquisition). However, it may finance the cost of land improvement associated with resettlement activities. Annex A: Involuntary Resettlement Instruments I . This annex describes the elements of a resettlement plan, an abbreviated resettlement plan, a resettlement policy framework, and a resettlement process framework, as discussed in (O)l4 I 2, paras. 17-31. Resettlement Plan 2. The scope and level of detail of the resettlement plan vary with the magnitude and complexity of resettlement. The plan is based on up-to-date and reliable information about (a) the proposed resettlement and its impacts on the displaced persons and other adversely affected groups, and (b) the legal issues involved in resettlement. The resettlement plan covers the elements below, as relevant. When any element is not relevant to project circumstances, it should be noted in the resettlement plan. 3. Description of the project. General description of the project and identification of the project area. 4. Potential impacts. Identification of These policies were preparedfor uise by World Banvk staff and are not necessaril) a complete treatment oJ the subject. TFI E WORLD BANK OPERATIONAL MANUAL OP 4.12 December 2001 Operational Policies Page31 (a) the project component or activities that give rise to resettlement; (b) the zone of impact of sutch component or activities: (c) the alternatives considered to avoid or minimize resettlement; and (d) the mechanisms established to minimize resettlement, to the extent possible, during project implementation. 5. Objectives. The main objectives of the resettlement program. 6. Socioeconomic studies. The findings of socioeconomic studies to be conducted in the early stages of project preparation and with the involvement of potentially displaced people, including (a) the results of a census survey covering (i) current occupants of the affected area to establish a basis for the design of the resettlement program and to exclude subsequent inflows of people from eligibility for compensation and resettlement assistance; (ii) standard characteristics of displaced households, including a description of production systems, labor, and household organization; and baseline information on livelihoods (including, as relevant, production levels and income derived from both formal and informal economic activities) and standards of living (including health status) of the displaced population; (iii) the magnitude of the expected loss-total or partial-of assets, and the extent of displacement, physical or economic; (iv) information on vulnerable groups or persons as provided for in 1 4.4 1 para. 8, for whom special provisions may have to be made; and (v) provisions to update information on the displaced people's livelihoods and standards of living at regular intervals so that the latest information is available at the time of their displacement. (b) Other studies describing the following (i) land tenure and transfer systems, including an inventory of common property natural resources from which people derive their livelihoods and sustenance, non-title-based usufruct systems (including fishing, grazing, or use of forest areas) governed by local recognized land allocation mechanisms, and any issues raised by different tenure systems in the project area; (ii) the patterns of social interaction in the affected communities, including social networks and social support systems, and how they will be affected by the project; (iii) public infrastructure and social services that will be affected; and These policies were preparedforuise by World Bank staff and are not necessarilv a complete treatment of the subject. Il THE WORLD BANK OPERATIONAI. MANUAL OP 4.12 OperationalDecember 2001 Operational Policies Page 32 of 38 (iv) social and cultural characteristics of displaced communities, including a description of formal and informal institutions (e.g., community organizations, ritual groups, nongovernmental organizations (NGOs)) that may be relevant to the consultation strategy and to designing and implementing the resettlement activities. 7. Legalfframework. The findings of an analysis of the legal framework, covering (a) the scope of the power of eminent domain and the nature of compensation associated with it, in terms of both the valuation methodology and the timing of payment; (b) the applicable legal and administrative procedures, including a description of the remedies available to displaced persons in the judicial process and the normal timeframe for such procedures, and any available altemative dispute resolution mechanisms that may be relevant to resettlement under the project; (c) relevant law (including customary and traditional law) goveming land tenure, valuation of assets and losses, compensation, and natural resource usage rights; customary personal law related to displacement; and environmental laws and social welfare legislation; (d) laws and regulations relating to the agencies responsible for implementing resettlement activities; (e) gaps, if any, between local laws covering eminent domain and resettlement and the Bank's resettlement policy, and the mechanisms to bridge such gaps; and (f) any legal steps necessary to ensure the effective implementation of resettlement activities under the project, including, as appropriate, a process for recognizing claims to legal rights to land-including claims that derive from customary law and traditional usage (see OlP 1' 2, para. 15 b). 8. Institutional Framework. The findings of an analysis of the institutional framework covering (a) the identification of agencies responsible for resettlement activities and NGOs that may have a role in project implementation; (b) an assessment of the institutional capacity of such agencies and NGOs; and (c) any steps that are proposed to enhance the institutional capacity of agencies and NGOs responsible for resettlement implementation. 9. Eligibility. Definition of displaced persons and criteria for determining their eligibility for compensation and other resettlement assistance, including relevant cut-off dates. 10. Valuation of and compensation for losses. The methodology to be used in valuing losses to determine their replacement cost; and a description of the proposed types and levels of These policies were preparedfor use by World Bank staff and are not niecessaril) a complete treatmenit of the subject. THE WORLD BANK OPERATION'AL MANUAL OP 4.12 December 2001 I Operational Policies Page 33 of 38 compensation under local law and such supplementary measures as are necessary to achieve replacement cost for lost assets.27 1. Resettlement measures. A description of the packages of compensation and other resettlement measures that will assist each category of eligible displaced persons to achieve the objectives of the policy (see OP)P 4.12, para. 6). In addition to being technically and economically feasible, the resettlement packages should be compatible with the cultural preferences of the displaced persons, and prepared in consultation with them. 12. Site selection, site preparation, and relocation. Alternative relocation sites considered and explanation of those selected, covering (a) institutional and technical arrangemientsfor identifying and preparing relocationsites, wvhether rural or urban, for which a combination of productive potential, locationaladvantages, and otherfactors is at least comparable to the advantages of the old sites, ivith an estimate of the time needed to acquire and transfer land and ancillary resources, (b) any measuires necessary to prevent land speculation or influx of ineligible persons at the selected sites; (c) procedutresfor physical relocation under the project, including timetablesfor site preparationand transfer; and (d) legal arrangementsfor regularizingtenure and transferring titles to resettlers. 13. Housing, infrastrlucture, and social services. Plans to provide (or to finance resettlers' provision of) housing, infrastructure (e.g., water supply, feeder roads), and social services (e.g., schools, health services); plans to ensure comparable services to host populations; any necessary site development, engineering, and architectural designs for these facilities. 1. With regard to land and structures, "replacement cost" is defined as follows: For agricultural land, it is the pre- project or pre-displacement. whichever is higher, market value of land of equal productive potential or use located in the vicinity of the affected land, plus the cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes. For land in urban areas, it is the pre- displacement market value of land of equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the affected land, plus the cost of any registration and transfer taxes. For houses and other structures, it is the market cost of the materials to build a replacement structure with an area and quality similar to or better than those of the affected structure. or to repair a partially affected structure. plus the cost of transporting building materials to the construction site, plus the cost of any labor and contractors' fees, plus the cost of any registration and transfer taxes. In determining the replacement cost, depreciation of the asset and the value of salvage materials are not taken into account, nor is the value of benefits to be derived from the project deducted from the valuation of an affected asset. Where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures so as to meet the replacement cost standard. Such additional assistance is distinct from resettlement measures to be provided under other clauses in 0(1' -12, para. 6. 2. Provision of health care services. particularly for pregnant women. infants, and the elderly. may be important during and after relocation to prevent increases in morbidity and mortality due to malnutrition, the psychological stress of being uprooted. and the increased risk of disease. These policies hv,ere preparedfor iuse by World Batk staff and are niot necessarilv a conmplete treatment of the siubject. THE WORILD BANK OPERATIONAL MANUAL OP 4.12 * *December 2001 - Operational Policies Page34of38 14. Environmental protection and management. A description of the boundaries of the relocation area; and an assessment of the environmental impacts of the proposed resettlement2 9 and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement). 15. Communiity participation. Involvement of resettlers and host communities, 3 0 including (a) a description of the strategy for consultation with and participation of r esettlers and hosts in the design and implementation of the resettlement activities; (b) a summary of the views expressed and how these viewvs wvere taken into account in preparingthe resettlement plan, (c) a review of the resettlement alternatives presented and the choices made by displaced persons regarding options available to them, including choices related to forms of compensation and resettlement assistance, to relocating as individualsfamilies or as parts of preexisting communities or kinship groups, to sustaining existingpatterns of group organization, and to retainingaccess to cultural property (e.g. places of worship, pilgrimage centers, cemeteries);3 and (d) institutionalized arrangements by which displaced people can communicate their concerns to project authorities throughout planning and implementation, and measures to ensure that such vulnerable groups as indigenous people, ethnic minorities, the landless, and wvomen are adequately represented. 16. Integration wvith host popuilations. Measures to mitigate the impact of resettlement on any host communities, including (a) consultationswith host communities and local governments, (b) arrangementsfor prompt tendering of any payment due the hosts for land or other assets provided to resettlers; (c) arrangementsfor addressingany conflict that may arise between resettlers and host communities; and (d) any measures necessary to augment services (e.g., education, water, health, and production services) in host communities to make them at least comparable to services available to resettlers. 17. Grievance procedures. Affordable and accessible procedures for third-party settlement of disputes arising from resettlement; such grievance mechanisms should take into account the availability of judicial recourse and community and traditional dispute settlement mechanisms. 3. Negative impacts that should be anticipated and mitigated include, for rural resettlement, deforestation, overgrazing, soil erosion. sanitation. and pollution: for urban resettlement. projects should address such density- related issues as transportation capacity and access to potable water, sanitation systems. and health facilities. 4. Experience has shown that local NGOs often provide valuable assistance and ensure viable community participation. 5. . itl(lanogement of CuiltuiralProperty in Bank-FinancedProjects. These poli(ies wvere preparedfor use by World Bank staff and are not necessarilv a coniplete treatmelit of the sutbject. Il THE WORLD BANK OPERATIONAL MANUAL OP 4.12 - EElDecember 2001 Operational Policies Page 2001 18. Organizationalresponsibilities. The organizational framework for implementing resettlement, including identification of agencies responsible for delivery of resettlement measures and provision of services; arrangements to ensure appropriate coordination between agencies and jurisdictions involved in implementation; and any measures (including technical assistance) needed to strengthen the implementing agencies' capacity to design and carry out resettlement activities; provisions for the transfer to local authorities or resettlers themselves of responsibility for managing facilities and services provided under the project and for transferring other such responsibilities from the resettlement implementing agencies, when appropriate. 19. Implementation schedule. An implementation schedule covering all resettlement activities from preparation through implementation, including target dates for the achievement of expected benefits to resettlers and hosts and terminating the various forms of assistance. The schedule should indicate how the resettlement activities are linked to the implementation of the overall proj ect. 20. Costs and budget. Tables showing itemized cost estimates for all resettlement activities, including allowances for inflation, population growth, and other contingencies; timetables for expenditures; sources of funds; and arrangements for timely flow of funds, and funding for resettlement, if any, in areas outside the jurisdiction of the implementing agencies. 21. Monitoring and evaluation. Arrangements for monitoring of resettlement activities by the implementing agency, supplemented by independent monitors as considered appropriate by the Bank, to ensure complete and objective information; performance monitoring indicators to measure inputs, outputs, and outcomes for resettlement activities; involvement of the displaced persons in the monitoring process; evaluation of the impact of resettlement for a reasonable period after all resettlement and related development activities have been completed; using the results of resettlement monitoring to guide subsequent implementation. Abbreviated Resettlement Plan 22. An abbreviated plan covers the following minimum elements:32 (a) a census survey of displaced persons and valuation of assets; (b) description of compensation and other resettlement assistance to be provided; (c) consultations with displaced people about acceptable altematives; (d) institutional responsibility for implementation and procedures for grievance redress; (e) arrangements for monitoring and implementation; and (f) a timetable and budget. 6. In case some of the displaced persons lose more than 10% of their productive assets or require physical relocation. the plan also covers a socioeconomic survey and income restoration measures. These policies oere preparedfor uise hy World Bank staff and are nor neressairily a complete treatment of the subject. Il THE WORLD BANK OPERATIONAL MANUAL OP 4.12 December 2001 Operational Policies Page 36 of 38 Resettlement Policy Framework 23. The purpose of the policy framework is to clarify resettlement principles, organizational arrangements, and design criteria to be applied to subprojects to be prepared during project implementation (see (p l' paras. 26-28). Subproject resettlement plans consistent with the policy framework subsequently are submitted to the Bank for approval after specific planning information becomes available (see OlP 4 12. para. 29). 24. The resettlement policy framework covers the following elements, consistent with the provisions described in OP 4A12, paras. 2 and 4: (a) a brief description of the project and components for which land acquisition and resettlement are required, and an explanation of why a resettlement plan as described in paras. 2-21 or an abbreviated plan as described in para. 22 cannot be prepared by project appraisal; (b) principles and objectives governing resettlement preparation and implementation; (c) a description of the process for preparing and approving resettlement plans; (d) estimated population displacement and likely categories of displaced persons, to the extent feasible; (e) eligibility criteria for defining various categories of displaced persons; (f) a legal framework reviewing the fit between borrower laws and regulations and Bank policy requirements and measures proposed to bridge any gaps between them; (g) methods of valuing affected assets; (h) organizational procedures for delivery of entitlements, including, for projects involving private sector intermediaries, the responsibilities of the financial intermediary, the government, and the private developer; (i) a description of the implementation process, linking resettlement implementation to civil works; (j) a description of grievance redress mechanisms; (k) a description of the arrangements for funding resettlement, including the preparation and review of cost estimates, the flow of funds, and contingency arrangements; (1) a description of mechanisms for consultations with, and participation of, displaced persons in planning, implementation, and monitoring; and (m) arrangements for monitoring by the implementing agency and, if required, by independent monitors. 1hese policies ivere preparedfor use by World Batik staff and are not necessarilv a coniplete treatmenitof the subject. I THE WORLD BANK OPERATIONAL MANUAL OP 4.12 I . , , .December2001 m Operational Policies Page 37 of 38 25. When a resettlement policy framework is the only document that needs to be submitted as a condition of the loan, the resettlement plan to be submitted as a condition of subproject financing need not include the policy principles, entitlements, and eligibility criteria, organizational arrangements, arrangements for monitoring and evaluation, the framework for participation, and mechanisms for grievance redress set forth in the resettlement policy framework. The subproject- specific resettlement plan needs to include baseline census and socioeconomic survey information; specific compensation rates and standards; policy entitlements related to any additional impacts identified through the census or survey; description of resettlement sites and programs for improvement or restoration of livelihoods and standards of living; implementation schedule for resettlement activities; and detailed cost estimate. Process Framework 26. A process framework is prepared when Bank-supported projects may cause restrictions in access to natural resources in legally designated parks and protected areas. The purpose of the process framework is to establish a process by which mEMSBers of potentially affected communities participate in design of project components, determination of measures necessary to achieve resettlement policy objectives, and implementation and monitoring of relevant project activities (see OP 4.1 2, paras. 7 and 31). 27. Specifically, the process framework describes participatory processes by which the following activities will be accomplished (a) Project componen2ts will be prepared and implemented The document should briefly describe the project and components or activities that may involve new or more stringent restrictions on natural resource use. It should also describe the process by which potentially displaced persons participate in project design. (b) Criteriafor eligibility of affected persons wvill be determined. The document should establish that potentially affected communities will be involved in identifying any adverse impacts, assessing of the significance of impacts, and establishing of the criteria for eligibility for any mitigating or compensating measures necessary. (c) Measures to assist affected persons in their efforts to improve their livelihoods or restore them, in real ter7ns, to pre-displacement levels, while maintaining the sustainability of the park or protected area will be identified. The document should describe methods and procedures by which communities will identify and choose potential mitigating or compensating measures to be provided to those adversely affected, and procedures by which adversely affected community mEMSBers will decide among the options available to them. (d) Potential conflicts or grievances within or between affected communities will be resolved. The document should describe the process for resolving disputes relating to resource use restrictions that may arise between or among affected communities, and grievances that may arise from mEMSBers of communities who are dissatisfied with the eligibility criteria, community planning measures, or actual implementation. These policies were preparedfor use by World Bank staff and are not necessardiY a complete treatnient of the subjectr IfllTHE WORl D BANK OPERATIONAL MANUAL OP 4.12 III D PDecember 2001 | Operational Policies Page 38 of 38 Additionally, the process framework should describe arrangements relating to the following (e) Administrative and legal procedutres. The document should review agreements reached regarding the process approach with relevant administrative jurisdictions and line ministries (including clear delineation for administrative and financial responsibilities under the project). (t) Monitoring arrangements. The document should review arrangements for participatory monitoring of project activities as they relate to (beneficial and adverse) impacts on persons within the project impact area, and for monitoring the effectiveness of measures taken to improve (or at minimum restore) incomes and living standards. These policies were preparedforuise by World Banti staff and are not necessarily a conmplete treatment of the subject.