Resettlement Policy Framework

FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA
ADDIS ABABA WATER AND SEWERAGE AUTHORITY
Public Disclosure Authorized
RP520
URBAN WATER SUPPLY & SANITATION PROJECT
RESETTLEMENT POLICY FRAMEWORK
DRAFT
PREPARED FOR:
PREPARED BY:
ADDIS ABABA WATER AND SEWERAGE AUTHORITY

F.GIOVANNETTI, 6 RUE F. MAURIAC, 84000 AVIGNON, FRANCE
25 January 2007
Revision 1
AAWSA Resettlement Policy Framework
Contents
EXECUTIVE SUMMARY ................................................................................................................. A
THE PROJECT ............................................................................................................................... A
POTENTIAL IMPACTS ON LAND, PEOPLE AND LIVELIHOODS ...................................................... A
LEGAL BACKGROUND ................................................................................................................... B
RESETTLEMENT AND COMPENSATION PRINCIPLES .................................................................... B
RPF PROCESSES .......................................................................................................................... C
ENTITLEMENTS ............................................................................................................................ C
OTHER RPF PROVISIONS.............................................................................................................D
1
SCOPE OF THE REPORT INTRODUCTION ...................................................................1

1.1 SCOPE AND CONTENTS OF THIS REPORT............................................................................1
1.2 KEY DEFINITIONS ...............................................................................................................1
PROJECT DESCRIPTION AND PROJECT POTENTIAL IMPACTS..............................3

2.1 PROJECT OBJECTIVES .......................................................................................................3
2.2 PROJECT COMPONENTS .....................................................................................................3
2.2.1 Component 1: Addis Ababa Water Supply and Sanitation ....................................3
2.2.2 Component 2: Secondary City Water Supply and Sanitation ................................4
2.2.3 Key Inputs for Components 1 and 2 ......................................................................5
2.2.4 Key Outputs for components 1 and 2 ....................................................................5
2.2.5 Component 3: Project Management and Monitoring and Evaluation ..................5
2.3 POTENTIAL LAND IMPACTS OF PROJECT ACTIVITIES .......................................................5
LEGAL FRAMEWORK ...........................................................................................................6

3.1 THE CONSTITUTION OF ETHIOPIA, 1995...........................................................................6
3.1.1 Protection of the Right to Private Property...........................................................6
3.1.2 Ownership of Land and of Immovable Assets Built on Land ................................6
3.1.3 Expropriation and Resettlement ............................................................................6
3.2 THE CIVIL CODE OF THE EMPIRE OF ETHIOPIA, 1960.....................................................7
3.2.1 Expropriation for Public Interest ..........................................................................7
3.2.2 Indirect Expropriation...........................................................................................8
3.3 LAND TENURE REGIME IN ETHIOPIA .................................................................................8
3.4 RURAL LAND ADMINISTRATION PROCLAMATION, 1997 ...................................................9
3.5 WORLD BANK SAFEGUARD POLICY ON INVOLUNTARY RESETTLEMENT ......................... 10
PRINCIPLES, OBJECTIVES, AND PROCESSES RELATED TO

COMPENSATION AND RESETTLEMENT IN THE UWSS PROJECT......................... 11
4.1 PRINCIPLES AND OBJECTIVES ......................................................................................... 11
4.1.1 Regulatory Framework ....................................................................................... 11
4.1.2 Minimization of Displacement............................................................................. 11
4.1.3 Cut-Off Date and Eligibility ................................................................................ 11
4.1.4 Livelihood Restoration ........................................................................................ 13
4.1.5 Compensation......................................................................................................13
4.1.6 Consultation Grievance mechanisms ...............................................................13
4.2 PROCESSES ....................................................................................................................... 13
4.3
4.4
4.5
4.6
4.7
4.2.1 Overview of the ESMF Process........................................................................... 13

4.2.2 Overview of the RPF Process.............................................................................. 14
CENSUS OF AFFECTED ASSETS AND AFFECTED HOUSEHOLDS .....................................16
RESETTLEMENT ACTION PLAN ........................................................................................ 16
ABBREVIATED RESETTLEMENT PLAN ............................................................................. 16
SITUATIONS WHERE LESS THAN 10 PEOPLE ARE AFFECTED........................................... 16
WORK PACKAGES.............................................................................................................. 16
AFFECTED ASSETS, AFFECTED PEOPLE AND ENTITLEMENTS............................17

5.1 LAND ................................................................................................................................17
5.1.1 Estimates of Surfaces Potentially Required......................................................... 17
5.1.2 Categorization of Land Needs............................................................................. 17
5.1.3 Land Tenure Regimes .......................................................................................... 18
5.2 OTHER POTENTIALLY AFFECTED ASSETS.......................................................................18
5.3 ENTITLEMENTS ................................................................................................................18
RESETTLEMENT AND COMPENSATION .......................................................................21

6.1 METHODS FOR VALUATION OF AFFECTED ASSETS ........................................................ 21
6.1.1 Ascertaining Eligibility ....................................................................................... 21
6.1.2 Land and Rights-Of-Way ..................................................................................... 21
6.1.3 Structures............................................................................................................. 21
6.1.4 Crops ...................................................................................................................21
6.1.5 Auditing ............................................................................................................... 22
6.2 RESETTLEMENT AND COMPENSATION ............................................................................. 22
6.2.1 Resettlement Land Replacement.......................................................................22
6.2.2 Compensation......................................................................................................22
6.2.3 Auditing ............................................................................................................... 23
CONSULTATION AND DISCLOSURE ............................................................................... 24

7.1 CONSULTATION ON THE RESETTLEMENT POLICY FRAMEWORK ....................................24
7.2 CONSULTATION ON RAPS AND ARPS .............................................................................. 24
7.3 DISCLOSURE REQUIREMENTS ......................................................................................... 24
GRIEVANCE MANAGEMENT MECHANISMS................................................................25

8.1 POTENTIAL GRIEVANCES/DISPUTES ............................................................................... 25
8.2 PROPOSED GRIEVANCE MANAGEMENT MECHANISM ..................................................... 25
8.2.1 Registration of Grievances..................................................................................25
8.2.2 First Instance Amicable Settlement .................................................................. 25
8.2.3 Appeal to Court ...................................................................................................26
VULNERABLE PEOPLE .......................................................................................................28

9.1 IDENTIFICATION OF VULNERABLE PEOPLE ....................................................................28
9.2 POTENTIAL ASSISTANCE ACTIVITIES TO VULNERABLE PEOPLE ....................................28
10
MONITORING AND EVALUATION...................................................................................30

10.1 GENERAL OBJECTIVES OF MONITORING & EVALUATION .............................................. 30
10.2 AUDITING AND MONITORING DURING IMPLEMENTATION ............................................. 30
10.2.1 Scope and Content...............................................................................................30
10.2.2 Reporting............................................................................................................. 30
ii
10.3 EVALUATION .................................................................................................................... 31

10.4 REPORTING ...................................................................................................................... 31
11
IMPLEMENTATION RESPONSIBILITIES AND FUNDING .......................................... 32

11.1 IMPLEMENTATION RESPONSIBILITIES ............................................................................ 32
11.2 BUDGET ............................................................................................................................32
11.3 ARRANGEMENTS FOR FUNDING ...................................................................................... 34
APPENDIX 1: LIST OF ACRONYMS ............................................................................................35

APPENDIX 2: FRAMEWORK FOR THE CENSUS OF AFFECTED ASSETS AND
AFFECTED PEOPLE ............................................................................................................. 36
AFFECTED PLOT SHEET............................................................................................................. 36
AFFECTED BUILDING SHEET .....................................................................................................37
AFFECTED HOUSEHOLD SHEET ................................................................................................38
APPENDIX 3: OUTLINE OF A RESETTLEMENT ACTION PLAN......................................... 40
APPENDIX 4: OUTLINE OF AN ABBREVIATED RESETTLEMENT PLAN......................... 42
APPENDIX 5: TEMPLATE ITEMIZATION OF A RAP/ARP BUDGET .................................. 43
APPENDIX 6: TEMPLATE OF A CLAIM REGISTRATION AND FOLLOW-UP FORM ....44
APPENDIX 7: TEMPLATE OF A CONSULTATION MEETING MINUTE FORM ............... 46
Tables
Table 1: Estimated Land Requirements for Systems Considered Under the UWSS Project.........................17
Table 2: Impact / Entitlement Matrix ............................................................................................................19
Table 3: Implementation Responsibilities .....................................................................................................32
Figures
Figure 1: ESMF Process Environmental Baseline Assessment and Environmental Review .....................14
Figure 2: RPF Process ...................................................................................................................................15
Figure 3: Grievance / Dispute Management Mechanism ..............................................................................27
iii
EXECUTIVE SUMMARY
THE PROJECT
The Urban Water Supply and Sanitation Project is a project to enhance water supply and
sanitation in Addis Ababa and four other Ethiopian cities. Its objectives are essentially:
To reduce the supply-demand gap for potable water in selected urban areas in
Ethiopia:
To improve access to improved sanitation in selected urban areas of Ethiopia; and
To improve the performance of selected urban water and sewer utilities through
sector reform and increased private sector participation.
The UWSS will include three main components:
o
Component 1: Addis Ababa Water Supply and Sanitation

Component 1A: Increased access to water supply and sanitation, with an increase in water
production from 200,000 to 300,000 m3/day to meet basic services. This will be obtained
through capacity expansion at the Legedadi reservoir and water treatment plant, and deep
boreholes at selected sites within Addis Ababa, as well as a new well field located
northwest of the city. Distribution networks will be expanded to serve currently unserved
areas. The sewer system in the Kalite catchment will be extended, and public sanitation
facilities, managed by local service providers who charge a user fee, will be constructed.
Component 1B: Improved operational efficiency and demand management: This
component will mainly aim at reducing non-revenue water and improve operational
efficiency. AAWSAs financial management, billing/collection, and customer
management system will also be improved, and awareness for water conservation will be
created.
Component 1C: Institutional Reform, which will include:
sector policy development and revisions in the legal and institutional framework
for water supply and sanitation,
developing policies and measures for enhanced private sector participation and
financing in this sector,
improving utility governance and efficiency.
Component 2: Secondary City Water Supply and Sanitation:
Component 2A: Increased access to water supply and sanitation: this component will
mainly address water production issues, as well as the extension of distribution networks,
particularly in unserved areas and for new connections.
Component 2B: Improved operational efficiency: Operational efficiency will be improved
by reducing non-revenue water and improving financial management, billing and
collection, and customer management.
Component 2C: Institutional Reform: Enabling legislation will be developed to provide
more autonomy to the Water Boards and to develop procedures and codes of conduct.
Operator contracts with performance targets and performance incentives would also be
developed and tested.
Component 3: Project Management and Monitoring and Evaluation
POTENTIAL IMPACTS ON LAND, PEOPLE AND LIVELIHOODS
The Project will entail limited land acquisition, and therefore have overall limited impacts on
land, people and livelihoods. Main activities under the UWSS Project that may entail land
acquisition and/or displacement are the following:
Wells and well fields;

Rehabilitation of dams or reservoirs;
Water intakes from surface water bodies;
Raw water treatment plants and storage facilities;
Water distribution networks including pipelines, public standtaps, public water
kiosks and other distribution-related facilities;
Construction of power lines and related rights-of-way;
Waste water treatment plants, including treatment ponds and ancillary works.
No activities with large impacts on land are envisioned (such as the construction of new
storage dams and related reservoirs).
LEGAL BACKGROUND
The legislation applicable to compensation and resettlement in Ethiopia mainly includes the
following two pieces:
-
The Constitution, which established principles applicable to private property and its
protection, as well as the deprivation thereof for public interest, and puts forward general
principles applicable to compensation and resettlement (resettlement being an option, in
contrast with many other African countries),
The Civil Code (an old code dating back from the Empire), which includes detailed
provisions applicable to the calculation of compensation in the event of expropriation,
It is important to note that freehold private ownership of land is not recognized in Ethiopia,
as all land is deemed to be property of the State. In urban settings, residents are allocated
residential land under leasehold or tenancy arrangements, while in rural areas, allocation of
agricultural land under tenancy or sharecropping arrangements is the most common rule.
OP 4.12, the World Bank safeguard policy on Involuntary Resettlement, will apply to the
UWSS Project.
RESETTLEMENT AND COMPENSATION PRINCIPLES
The main principles that will apply to any resettlement and compensation activities that may
be required for implementation of the UWSS are the following:
General framework: Any impact of the UWSS Project on land and/or people (land
acquisition, resettlement, livelihood restoration of affected people) will be addressed in
compliance with the Constitution of Ethiopia, with other Ethiopian regulations, and with the
World Bank safeguard policy in involuntary resettlement (OP 4.12).
Minimization of displacement: In line with the World Bank safeguard policy OP 4.121,
the UWSS Project will minimize displacement through the following design procedures:
o Wherever inhabited dwellings may potentially be affected by a component of a subproject, the sub-project shall be redesigned (facility relocation, rerouting) to avoid any
impact on such dwellings and to avoid displacement/relocation accordingly;
o Wherever the impact on the land holding of one particular household is such that this
households may not be sustainable in the long term, even if there is no need to physically
Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable
alternative project designs.
o
o
o
o
displace this household, the sub-project shall be redesigned (facility relocation, rerouting)
to avoid any such impact;
For major water works like raw water treatment plants, minimization of land impact will
be factored into site and technology selection and design criteria;
Costs associated with displacement and resettlement will be internalized into sub-project
costs to allow for fair comparison of processes and sites;
To the extent possible, Project facilities will be located on public spaces;
Pipelines, public taps, other linear infrastructures (power lines) required by the UWSS
Project will be routed inside existing right-of-ways (roads, streets, power lines) wherever
possible.
Cut-Off Date and Eligibility:
In accordance with OP 4.12 and for each sub-project under the UWSS that may entail
displacement impacts, a cut-off date will be determined, taking into account the likely
implementation schedule of the sub-project.
In line with OP 4.12, the following three categories of affected people will be eligible to
Project resettlement assistance:
those who have formal legal rights to land (including customary and traditional
rights recognized under the laws of the country);
those who do not have formal legal rights to land at the time of the cut-off but
have a claim to such land or assetsprovided that such claims are recognized
under the laws of Ethiopia or become recognized through a process identified in
the resettlement plan
those who have no recognizable legal right or claim to the land they are
occupying.
Livelihood Restoration: where people are affected by land take, the aim of resettlement
will be that they should no worse-off if not better off after resettlement.
o
o
o
o
Compensation:
Compensation shall be paid prior to displacement;
Compensation will be at replacement value.
Consultation Grievance mechanisms: Consultation will include:
meaningful information and consultation, before and during the compensation and
resettlement process,
a specific grievance registration and processing mechanism.
RPF PROCESSES
Depending on the number of affected individuals, processes in the framework of this RPF will
include:
-
the development of a full Resettlement Action Plan (RAP) if more than 100 individuals
are affected by a given sub-project,
the development of an Abbreviated Resettlement Plan if between 10 and 100 individuals
are affected,
the census of affected people without specific requirements pertaining to documentation
disclosure if less than 10 people are affected.
ENTITLEMENTS
The following table summarizes the entitlements for each category of loss:
Type of Impact
Entitlement
Permanent loss of land held under

long-term urban lease
Replacement by a similar piece of land (similar in location, potential and

size), held under similar tenure arrangements (long-term urban lease)
OR
Cash compensation at replacement value, based on price per square meter
observed in recent transactions in the same area for similar types of land
Permanent loss of land held under

tenancy or sub-tenancy agreement
Replacement by a similar piece of land (similar in location, potential and

size), held under similar tenure arrangements (tenancy)
No cash compensation for loss of rented land
Loss of sharecropping rights over a

piece of agricultural land
Access to similar or better rights (at least sharecropping, or if possible

tenancy) over a piece land of similar agricultural potential
Right-of-Way with restrictions (for

example restriction on height of
trees and crops making certain
crops impossible)
Depending on the regime of occupation:

For long term urban leases, cash compensation of the loss in value
resulting from the restriction (usually in the order of 10 to 30% of the
total land value of the affected strip for right-of-ways associated with
pipeline and transmission line)
For tenancy and sub-tenancy agreements, no cash compensation;
access to a replacement piece of land in reason of the value of the
restriction
Temporary land occupation
Cash compensation for income lost during the period where plot was not
usable by user
Loss of uninhabited structure
Cash compensation at replacement value or replacement by a similar structure
Loss of inhabited dwelling
Resettlement in similar dwelling in a location with similar

economic/agricultural potential
Loss of annual crop
Compensation of lost harvest at market price if the crop could not be

harvested
Loss of perennial crops and

valuable trees
Compensation of lost harvest at market price if the crop could not be

harvested
PLUS
Compensation of the cost of planting (seedling plus labour)
PLUS
Compensation of the income lost during the period of time required to reestablish the plantation to a similar level of production (this period of time
depends on the species grown, it is generally in the range 1 year banana or
papaya trees for example - to 5 or 6 years for mango trees to be determined
following regional/woreda practice
OTHER RPF PROVISIONS
The full RPF report contains detailed provisions related with:

-
Monitoring and evaluation,

Grievance mechanisms,
Assistance to vulnerable people,
Implementation arrangements, and responsibilities for the different tasks involved by the
implementation of the RPF.
Scope of the Report introduction

SCOPE AND CONTENTS OF THIS REPORT
This report is the draft Resettlement Policy Framework (RPF) for the Urban Water Supply
and Sanitation (UWSS) Project. It has been prepared in December 2006 and January 2007 by
independent consultants contracted by AAWSA under World Bank financing.
The development of a RPF is a requirement for projects that may entail involuntary
resettlement under the World Bank safeguard policy on involuntary resettlement (OP 4.12,
December 2001). This RPF is fully endorsed by the Government of the Federal Democratic
Republic of Ethiopia and presented for public consultation through the World Bank Public
Information Centre.
This report includes the following chapters:
-
Description of the Project

Legal Framework
Affected People and Eligibility
Principles, Objectives and Processes
Resettlement and Compensation Packages
Implementation
Grievance Mechanisms
Monitoring and Evaluation
Arrangements for Funding
Appendix 1 presents the list of acronyms used throughout this document.

Appendix 2 provides a list of documents used for the development of this report.
KEY DEFINITIONS
Project: The UWSS Project.

Sub-Project: A water supply and/or sanitation project within the UWSS Project benefiting
one particular urban area or one town.
Project-Affected Person (PAP): Any person who, as a result of the implementation of the
Project, loses the right to own, use, or otherwise benefit from a built structure, land
(residential, agricultural, or pasture), annual or perennial crops and trees, or any other fixed or
moveable asset, either in full or in part, permanently or temporarily. Not all PAPs need to
move due to the Project. PAPs may include:
Physically Displaced People, i.e. people subject to Physical Displacement as

defined hereunder,
Economically Displaced People, i.e. people subject to Economic Displacement as

defined hereunder.
Physical Displacement: Loss of shelter and assets resulting from the acquisition of land
associated with the Project that requires the affected person(s) to move to another location.
Economic Displacement: Loss of income streams or means of livelihood resulting from land
acquisition or obstructed access to resources (land, water or forest) caused by the construction
or operation of the Project or its associated facilities. Not all economically displaced people
need to relocate due to the Project.
Project-Affected Household (PAH): A PAH is a household that includes Project-Affected
Persons as defined above. A PAH will usually include a head of household, his/her spouse
and their children, but may also include other dependents living in the same dwelling or set of
dwellings, like close relatives (e.g., parents, grandchildren).
Compensation: Payment in cash or in-kind at replacement value for an asset or a resource that
is acquired or affected by the Project at the time the assets need to be replaced. In this RAP,
cash compensation means compensation paid in cash or by cheque.
Cut-Off Date: Date of completion of the census and assets inventory of persons affected by
the project. Persons occupying the Project area after the cut-off date are not eligible for
compensation and/or resettlement assistance. Similarly, fixed assets established after the cutoff date are not eligible for compensation.
Resettlement Assistance: Support provided to people who are physically displaced by the
Project. Assistance may include transportation, and social or other services that are provided
to affected people during their relocation. Assistance may also include cash allowances that
compensate affected people for the inconvenience associated with resettlement and defray the
expenses of a transition to a new locale, such as moving expenses and lost work days.
Replacement Value: The rate of compensation for lost assets must be calculated at full
replacement value, that is, the market value of the assets plus transaction costs. The
replacement value must reflect the cost at the time the item must be replaced. With regard to
land and structures, replacement value is defined as follows:
Agricultural land: the market value of land of equal productive use or potential
located in the vicinity of the affected land, plus the cost of preparation to levels
similar to or better than those of the affected land, plus the cost of any registration
and transfer taxes;
Land in urban areas: the market value of land of equal size and use, with similar or
improved public infrastructure facilities and services, preferably located in the
vicinity of the affected land, plus the cost of any registration and transfer taxes;
Household and public structures: the cost of purchasing or building a new
structure, with an area and quality similar to or better than those of the affected
structure, or of repairing a partially affected structure, including labor and
contractors fees and any registration and transfer taxes.
In determining the replacement cost, depreciation of the asset and the value of salvage
materials are not taken into account, nor is the value of the benefits to be derived from the
Project deducted from the valuation of an affected asset.
Vulnerable Groups: People who by virtue of gender, ethnicity, age, physical or mental
disability, economic disadvantage, or social status may be more adversely affected by
resettlement than others and who may be limited in their ability to claim or take advantage of
resettlement assistance and related development benefits.
Project DESCRIPTION AND PROJECT POTENTIAL

IMPACTS
PROJECT OBJECTIVES
The proposed project development objectives are to:

Reduce the supply-demand gap for potable water in selected urban areas in
Ethiopia:
Improve access to improved sanitation in selected urban areas of Ethiopia; and
Improve the performance of selected urban water and sewer utilities through sector
reform and increased private sector participation.
In achieving these objectives, labor intensive construction methods for small diameter
distribution piping and improved services for low-income areas will be adopted.
As a result of the proposed project, urban residents in the cities where the project is
implemented will have increased access to potable water and improved sanitation facilities.
In these urban areas, the hours of water availability will be increased for those already using
piped water and, in addition, the water networks will be rehabilitated and expanded to provide
more people with piped supply.
The project will also increase access to improved sanitation facilities, mainly for low income
urban residents. In low income areas, the project will also provide improved drainage and
reduce un-controlled and unhealthy sewage flows.
The project will also undertake legal, institutional and sector reforms that will permit selected
urban water and sewer utilities to function in a more efficient manner, to deliver better service
and achieve a higher degree of financial sustainability.
Project components are designed to: (i) increase potable water supplies; (ii) increase access to
the piped and sewerage networks; (iii) rehabilitate existing piped networks; (iv) continue
reform of the sector, including the provision for private sector participation; and (v) ensure the
smooth implementation of the project.
The estimated total project budget is US$129 million. Several donors, including the World
Bank, are likely to be involved.
PROJECT COMPONENTS
Component 1: Addis Ababa Water Supply and Sanitation
Component 1A: Increased access to water supply and sanitation
To address the water supply crisis in Addis Ababa, water production must be increased from
200,000 to 300,000 m3/day to meet basic services. This component will finance capacity
expansion at the Legedadi reservoir and water treatment plant, and deep boreholes at selected
sites within Addis Ababa and a new well field located northwest of the city. It will also
finance the extension of the distribution network to unserved areas and new connections.
Special attention will be given to low-income areas by involving communities in the planning
process and improving drainage. The sewer system in the Kalite catchment will be extended,
and public sanitation facilities, managed by local service providers who charge a user fee, will
be constructed.
Component 1B: Improved operational efficiency and demand management
Given the high marginal cost of water in Addis Ababa and non-revenue water exceeding 35%,
operational efficiency must be improved and water conservation must be instilled in
consumers. Improved financial management, billing and collection, and customer
management are also essential in establishing financially viable water companies that can pay
the high cost of expansion. Financing under this sub-component will establish pressure zones
and leak detection areas within the distribution network. AAWSAs financial management,
billing/collection, and customer management system will also be improved, and awareness for
water conservation will be created. Catchment protection measures will be taken at the city
reservoirs.
Component 1C: Institutional Reform
Funding would be provided for:

sector policy development and revisions in the legal and institutional framework
for water supply and sanitation,
developing policies and measures for enhanced private sector participation and
financing in this sector,
-
improving utility governance and efficiency. Stakeholder consultation measures are also
included in this component.
Component 2: Secondary City Water Supply and Sanitation

Component 2A: Increased access to water supply and sanitation
Water production in the four secondary cities targeted by UWSS is 35 liters per capita per day
(lpcd), of which about 25 lpcd actually reaches consumers. In comparison, water production
in cities of this size in other countries in Africa is between 75 and 100 lpcd. On average,
water production should be doubled in these cities. This component will finance increased
water production as well as the extension of the distribution network, particularly in unserved
areas and for new connections. Selected low-income areas will receive special attention by
involving communities in the planning process for water distribution and public sanitation
facilities. Financing will also be available for the construction/expansion of waste water
treatment ponds and piped sewerage in higher density commercial areas.
Component 2B: Improved operational efficiency
The water utilities in the four participating cities perform reasonably well, but operational
efficiency could be improved by reducing non-revenue water and improving financial
management, billing and collection, and customer management. Under this sub-component
the materials, equipment and costs associated with establishing pressure zones and leak
detection areas will be provided, as will leak repairs in the distribution network and at service
connections. Financial management, billing/collection, and customer-management can also be
improved.
Component 2C: Institutional Reform
Funding will be provided to refine enabling legislation to provide more autonomy to the
Water Boards and to develop procedures and codes of conduct. Operator contracts with
performance targets and performance incentives would also be developed and tested.
Key Inputs for Components 1 and 2

-
Expand water production/distribution and waste water treatment/collection;

Add new service connections for water and waste water;
Create pressure zones within the distribution network;
Repair leaks in distribution piping and at service connections;
Replace old meters;
Improve financial management, billing/collection and customer-management systems;
Create public awareness for water conservation; and implement a catchment
management plan.
Consultant services for design and supervision of the civil works, financial management,
and water conservation will also be provided.
Key Outputs for components 1 and 2

-
To improve access to water, that is, increase the number of people with improved water
supply - water production, distribution, and connections will be increased to 90 percent of
households; 24 hour per day service will be provided to all areas within the city; and sanitation
plans will be implemented.
To improve operational efficiency and manage demand, non-revenue water will be
reduced by 10 percent, and 80 percent of costs will be recovered through tariff (i.e. recurrent,
renewal/replacement of short life assets, and expansion excepting distribution/connections for
low-income households).
To establish better performing utilities, autonomous water boards, with operators
working under performance based contracts will be established.
Component 3: Project Management and Monitoring and Evaluation
The project management will involve sector institutions at federal and regional levels, city
administrations and utilities. Funding would be provided for costs associated with project
implementation, to synthesize existing water and sanitation access data to determine baseline
figures and to monitor progress under this project and in meeting the overall water supply and
improved sanitation access goals under the Millenium Development Goals (MDG). This
component also includes training, workshops and other capacity building measures and
support for environmental and social management.
POTENTIAL LAND IMPACTS OF PROJECT ACTIVITIES
Main activities under the UWSS Project that may entail land acquisition and/or displacement
are the following:
Wells and well fields;
Rehabilitation of dams or reservoirs;
Water intakes from surface water bodies;
Raw water treatment plants and storage facilities;
Water distribution networks including pipelines, public standtaps, public water
kiosks and other distribution-related facilities;
Construction of power lines and related rights-of-way;
Waste water treatment plants, including treatment ponds and ancillary works.
Legal Framework
THE CONSTITUTION OF ETHIOPIA, 1995
The Constitution of the Federal Democratic Republic of Ethiopia, 1995, includes provisions
that protect the Ethiopian citizens rights upon private property and set the conditions for
deprivation of such property for State or public interest.
Protection of the Right to Private Property
Article 26 of the Constitution states that Everyone shall have the right to his privacy and
physical integrity. This right shall include protection from searches of his person, his home,
his property and protection from seizure of property under his possession.
Ownership of Land and of Immovable Assets Built on Land
The Constitution of Ethiopia, under Article 40, makes a clear distinction between:
-
Land, an inalienable common property of the nations, nationalities and peoples of

Ethiopia (the right to own rural and urban land as well as natural resources
belongs only to the state and the people, and
Immovable property built on the land: Every Ethiopian shall have the full right to
the immovable property he builds on the land and to the improvements he brings
about on the land by his labour or capital.
The State owns all Ethiopian land, both rural and urban. However, the Constitution recognizes
usage rights, especially in the rural areas (the right of Ethiopian peasants to free allotment of
land and not to be evicted therefrom is guaranteed), and full ownership over developments or
improvements built on State land. This includes the right to alienate developments, to remove
them, or claim compensation for them.
Expropriation and Resettlement
Provisions
Under Article 40, the Constitution provides that without prejudice to the right to private
property, the State may expropriate private property for public use with the prior payment of
adequate compensation. The use of the words prior and adequate, in line with the
Universal Declaration of Human Rights, is of particular significance.
Under Article 44, the Constitution states that Everyone who is uprooted from the place of his
residence by virtue of programmes undertaken by the Government, or one whose livelihood
has been affected shall have the right to receive adequate monetary or other alternative
compensation, including transfer, with assistance, to another locality.
Comments
In contrast with the laws of most African countries, which provide only for sheer monetary
compensation and do not mention resettlement as an option, the Constitution of Ethiopia
provides for either compensation or resettlement. The eligibility for
compensation/resettlement is broad as it encompasses one whose livelihood has been
affected. Ethiopia can be regarded in this respect as one of very few countries in the world to
have a livelihood-oriented legal approach to compensation/resettlement, rather than the usual
asset-oriented approach. This is all the more notable since it is fully consistent with World
Bank policies on involuntary resettlement that consider impacts on livelihoods, rather than
impacts on assets, as the basis for eligibility to assistance for resettlement.
THE CIVIL CODE OF THE EMPIRE OF ETHIOPIA, 1960

Expropriation for Public Interest
Provisions
The Civil Code of the Empire, although it refers to a general legal background (the
Constitution and laws of the Empire) which is no longer relevant, contains provisions related
with expropriation for public interest that appear to form the only detailed applicable
framework for compensation in Ethiopia.
Civil Code provisions apply to immovables under private property, which at the time when
the Civil Code was passed did include land. However, immovables do not include land any
more (as land is now State property, by contrast with the situation prevailing during the
Empire), and immovables should therefore now be understood as including structures,
plantations, improvements of various kinds made to land, etc
Articles 1460 to 1488 of the Civil Code (Expropriation) set the conditions and particulars of
expropriation. Main features are as follows:
-
Expropriation can be applied only subject to a declaration of public interest, which

has to be consulted upon by the general public through a procedure of public
inquiry2;
Immovables requiring expropriation are determined by the competent authorities;
Owners and usufructuaries are notified of the authorities intention to expropriate,
and can object;
The owners and usufructuaries have to inform the authorities of the compensation
amount they claim; compensation can be in kind (in the form of substitution land);
In case the authorities disagree with this proposal, an arbitration committee fixes
the amount; the affected individual can appeal to Court if he/she disagrees with the
proposed amount;
The amount of compensation is to be fixed according to the valuation of the
damage, assessed on the day when the Committee makes it decision, and taking
into account the increase of value arising from the construction of public works;
Where affected people appeal to Court, the expropriation order is suspended until
the Court makes its decision and the owner may stay within one year from the
appeal; after this one year period, the expropriating authorities may take
possession subject to having deposited the amount determined by the Committee.
Comments
The Civil Code of the Empire uses an asset-oriented approach to valuation and
compensation, which is understandable for regulations enacted in 1960. In this sense, it can be
regarded as in contradiction with the more recent Constitution, which has a livelihoodoriented approach, as mentioned above. However, the procedural requirements of the Civil
Code (declaration of public interest, claim for compensation from the affected person,
2
During which procedure any interested party may express his views or criticize the contemplated
project (Article 1465-3).
arbitration committee, appeal to Court) can be used3 as a framework for compensation and
resettlement.
Neither the Constitution nor the Civil Code provide guidelines for the calculation of
compensation. For instance, there is no reference to market value or net present value or
any other methodology.
Indirect Expropriation
Provisions
The Civil Code provides (Article 1486) that works that are carried out within one month or
less and which do not impair the normal exploitation of the immovable, and the installation of
underground pipes or aerial lines, poles and pylons can be carried out by way of indirect
expropriation. Indirect expropriation is a simpler, expedited expropriation process, but the
Civil Code (Article 1487) explicitly prohibits its use where dwelling houses are affected. In
contrast with normal expropriation, in the case of indirect expropriation, the authorities
may carry out the works and the owners will seek compensation later (within three years).
Comments
This latter provision, if applied, would contravene the Constitutional requirement that
compensation be prior, as well as World Bank safeguards. However, subject to
compensation being paid in advance to abide with more recent Ethiopian law and WB
policies, this process as described in the Civil Code may provide an adequate framework for
small works where a declaration of public interest is not required.
LAND TENURE REGIME IN ETHIOPIA
As mentioned above, rural and urban land belongs to the State. In this respect, the present
Constitution does not repeal the nationalization of land instituted by the Derg regime.
However, redistribution of land and forced resettlement during the Derg regime have resulted
in a counter-productive feeling of insecurity of tenure that the federal and regional states now
attempt to mitigate. In an attempt to build more confidence in land tenure, the Constitution
states that The right of Ethiopian peasants to free allotment of land and not to be evicted
therefrom is guaranteed.
Several regional states (including Amhara and Tigray) are now building on the constitutional
provisions to improve security of tenure, albeit within the general framework of State
ownership of land. Leases are being introduced, that would guarantee lessees a long-term
right of usage.
Where leases are concluded between a regional administration and peasant farmers, it does
not seem that these leases are reflected in any cadastral documentation (including maps) kept
at woreda or region level.
Still, the general principle remains, that in case of expropriation, land usage is not an
entitlement for monetary compensation, and only developments (such as trees, crops,
structures) give an entitlement for compensation. However, land usage is regarded in Ethiopia
3
And is used indeed, for instance by the Ethiopia Electricity and Power Corporation (EEPCO) for damrelated resettlement, like the World Bank-supported Gilgel Gibe resettlement project.
as an entitlement for resettlement (the bona fide user of a piece of land is entitled a right to a
similar piece of land in the resettlement site).
RURAL LAND ADMINISTRATION PROCLAMATION, 1997
Proclamation N 89/1997 Federal Rural Land Administration Proclamation establishes the

following:
-
It confirms the Constitution principle that land is a common property of the

Nations, Nationalities and Peoples of Ethiopia, and that it cannot be subject to sale
or exchange;
It establishes the principles of rural land administration, which is devolved to the
Regions;
It recognizes the lawfulness of holding rights 4 over land;
It confirms and details the Constitution principle that holding rights on land can be
assigned to peasants and nomads, and that these are to be secured from eviction
and displacement;
It provides various details with respect to redistribution of land, including that this
redistribution is a Region responsibility
It establishes the possibility for Regions to perceive fees for the use of land and
forest.
Holding rights are defined as the right any peasant shall have to use rural land for agricultural
purposes as well as to lease and, while the right remains in effect, to bequeath it to his family members,
and includes the rights to acquire property thereon, by his labour or capital, and to sell, exchange or
bequeath same.
WORLD BANK SAFEGUARD POLICY ON INVOLUNTARY RESETTLEMENT
OP 4.12 Involuntary Resettlement is to be complied with where involuntary resettlement

may take place as a result of the project; it includes requirements that:
- Involuntary resettlement should be avoided where feasible, or minimized,
exploring all viable alternative project designs.
- Where it is not feasible to avoid resettlement, resettlement activities should be
conceived and executed as sustainable development programs, providing sufficient
investment resources to enable the persons displaced by the project to share in
project benefits. Displaced persons should be meaningfully consulted and should
have opportunities to participate in planning and implementing resettlement
programs.
- Displaced persons should be assisted in their efforts to improve their livelihoods
and standards of living or at least to restore them, in real terms, to predisplacement levels or to levels prevailing prior to the beginning of project
implementation, whichever is higher.
According to OP 4.12, the resettlement plan or resettlement policy framework should include
measures to ensure that the displaced persons are:
-
informed about their options and rights pertaining to resettlement;

consulted on, offered choices among, and provided with technically and
economically feasible resettlement alternatives; and
provided prompt and effective compensation at full replacement cost (see
Definitions in chapter 1) for losses of assets attributable directly to the project.
If the impacts include physical relocation, the resettlement plan or resettlement
policy framework includes measures to ensure that the displaced persons are
o provided assistance (such as moving allowances) during relocation; and
o provided with residential housing, or housing sites, or, as required, agricultural
sites for which a combination of productive potential, locational advantages,
and other factors is at least equivalent to the advantages of the old site.
Where necessary to achieve the objectives of the policy, the resettlement plan or
resettlement policy framework also include measures to ensure that displaced
persons are:
o offered support after displacement, for a transition period, based on a
reasonable estimate of the time likely to be needed to restore their livelihood
and standards of living; and
o provided with development assistance in addition to compensation measures,
such as land preparation, credit facilities, training, or job opportunities.
Under its safeguard policy, the World Bank does not disburse against cash compensation and
other resettlement assistance paid in cash, or against the cost of land (including compensation
for land acquisition). However, it may finance the cost of land improvement associated with
resettlement activities.
The practical implication of this provision is that wherever land or structures have to be
compensated for, this has to be financed by the borrower.
10
Principles, Objectives, and Processes Related to

Compensation and Resettlement in The UWSS PRoject
PRINCIPLES AND OBJECTIVES
Regulatory Framework
Any impact of the UWSS Project on land and/or people (land acquisition, resettlement,
livelihood restoration of affected people) will be addressed in compliance with the
Constitution of Ethiopia, with other Ethiopian regulations, and with the World Bank
safeguard policy in involuntary resettlement (OP 4.12).
Minimization of Displacement
In line with the World Bank safeguard policy OP 4.125, the UWSS Project will minimize
displacement through the following design procedures:
Wherever inhabited dwellings may potentially be affected by a component of a
sub-project, the sub-project shall be redesigned (facility relocation, rerouting) to
avoid any impact on such dwellings and to avoid displacement/relocation
accordingly;
The same applies to structures used for commercial activities and other businesses;
Wherever the impact on the land holding of one particular household is such that
this households may not be sustainable in the long term, even if there is no need to
physically displace this household, the sub-project shall be redesigned (facility
relocation, rerouting) to avoid any such impact;
For major water works like raw water treatment plants, minimization of land
impact will be factored into site and technology selection and design criteria;
Costs associated with displacement and resettlement will be internalized into subproject costs to allow for fair comparison of processes and sites;
To the extent possible, Project facilities will be located on public spaces;
Pipelines, public taps, other linear infrastructures (power lines) required by the
UWSS Project will be routed inside existing right-of-ways (roads, streets, power
lines) wherever possible.
Cut-Off Date and Eligibility
In accordance with OP 4.12 and for each sub-project under the UWSP that may entail displacement
impacts, a cut-off date (see section 1.3 Definitions) will be determined, taking into account the likely
implementation schedule of the sub-project.
In line with OP 4.12, the following three categories of affected people will be eligible to Project
resettlement assistance:
a) those who have formal legal rights to land (including customary and traditional rights
recognized under the laws of the country);
b) those who do not have formal legal rights to land at the time of the cut-off but have a
claim to such land or assetsprovided that such claims are recognized under the laws
of Ethiopia or become recognized through a process identified in the resettlement plan
c) those who have no recognizable legal right or claim to the land they are occupying.
Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable
alternative project designs.
11
Persons covered under (a) and (b) above are provided compensation for the land they lose,
and other assistance as needed. Persons covered under (c) above are provided resettlement
assistance in lieu of compensation for the land they occupy, and other assistance, as
necessary, if they occupy the project area prior to the cut-off date. In practice, this means that
people usually considered as squatters are entitled to Project assistance as long as they are
present on site at the cut-off date.
However, persons who encroach on the area after the cut-off date are not entitled to
compensation or any other form of resettlement assistance.
12
All persons in the three categories above are provided compensation for loss of assets other
than land (i.e. structures and crops).
Livelihood Restoration
World Bank safeguard principle is that where people are affected by land take, the aim of
resettlement should be that they should no worse-off if not better off after the resettlement
has taken place.
Where impact on land use is such that people may be affected in the sustainability of their
livelihoods, preference will be given to land-for-land solutions rather than sheer cash
compensation, in consistency with the Constitution of Ethiopia and with OP 4.12. This applies
to people who are not necessarily physically displaced but who are affected by a land loss that
affects their sustainability.
Where necessary, affected people will be monitored in the rehabilitation of their livelihood.
Compensation
Compensation principles will be as follows:

Compensation shall be paid prior to displacement;
Compensation will be at replacement value.
By contrast with the depreciated or net value of a structure6, the replacement value (see also
Chapter 1) of structures includes the full cost of materials and labor required to reconstruct a
building of similar surface and standing. In other words, the affected person must be able to
rebuild their structure in a different location using the compensation paid for the old building.
Consultation Grievance mechanisms
Consultation is not only a requirement of WBs OP 4.12, it is simply a condition of success of

any resettlement and compensation activity, as both positive and negative experience has
amply demonstrated. Consultation mechanisms to be put in place at the very beginning of any
resettlement and compensation activities will include:
-
meaningful information and consultation, which is to take place:

before the process leading to displacement is launched in each particular location
concerned by a sub-project (see Section 7 for details on consultation),
o during this process,
o during the monitoring period after resettlement and compensation activities are complete,
a specific grievance registration and processing mechanism to be put in place (see
Section 8 for details on grievance management).
o
PROCESSES
Overview of the ESMF Process
Figure 1 presents an overview of the process that all sub-projects will undergo as per the
Environmental and Social Management Framework (presented in a separate document):
Depreciation (or wear) coefficients are usually applied by Government valuers. This would not be
acceptable under WB policies.
13
Figure 1: ESMF Process Environmental Baseline Assessment and Environmental Review
Environmental Baseline
Assessment
Environmental Review
No Specific
Impact
14
Figure 2: RPF Process
Environmental
Baseline Assessment
(EBA - See ESMF
for details on the
EBA)
Land Impact
Identified
Less than 10
individuals are
ffected
- Census of affected
people and affected
assets
- Delivery of
compensation and
other entitlements
as per this RPF
- No specific
documentation
disclosure
10 to 100 individuals
are affected
people and affected
assets
- Development of an
Abbreviated
Resettlement Plan
(ARP)
- Review and
approval of the
ARP by the World
Bank
- Disclosure of the
ARP through the
World Bank
Infoshop
- Delivery of
compensation and
No Land Impact
Identified
More than 100

individuals are
ffected
Common ESMF
Process (See ESMF
D
t)
people and affected
assets
- Development of a
Resettlement
Action Plan (RAP)
- Review and
approval of the
RAP by the World
Bank
- Disclosure of the
ARP through the
World Bank
Infoshop
- Delivery of
compensation and
other entitlements
this RPF and
15
CENSUS OF AFFECTED ASSETS AND AFFECTED HOUSEHOLDS
Where land acquisition must take place, and whatever the extent of the land acquisition, a
census will be carried out to inventory affected assets and affected households. Appendix 3
presents frameworks of forms to be used for this census, namely:
Affected plot form,
Affected structure form,
Affected household form.
RESETTLEMENT ACTION PLAN
The Resettlement Action Plan will be used where more than 100 individuals are affected by
the land acquisition. The outline of a RAP is given in Appendix 4.
ABBREVIATED RESETTLEMENT PLAN
The Abbreviated Resettlement Plan will be used where 10 to 100 individuals are affected by
the land acquisition. The outline of an ARP is given in Appendix 5.
SITUATIONS WHERE LESS THAN 10 PEOPLE ARE AFFECTED

Where there are less than 10 affected people, while there is no public disclosure requirement pertaining to
documentation, all other requirements contained in this RPF still apply.
WORK PACKAGES
It is recommended that RAPs and ARPs should be grouped in a way consistent with lots of civil works that
are defined by the Project Implementation Unit. This will ensure consistency in timing and approach.
16
Affected assets, affected People and entitlements

LAND
Estimates of Surfaces Potentially Required
The following table shows orders of magnitude for the potential land requirements of each of
the water supply and sanitation systems that may be considered under the UWSS Project (the
numbering of systems refers to that in the ESMF):
Table 1: Estimated Land Requirements for Systems Considered Under the UWSS Project
System
1 Spring catchment, treatment and gravity distribution
system
Typical Surface Needed (Estimates)

Overall 5,000 sq.m.
2 River intake (run of river), treatment works and

pressure distribution system
Variable from 5,000 sq.m. up to several

hectares
3 River intake (with dam), treatment works and pressure

distribution system
Variable from 5,000 sq.m. up to several

hectares
4 Well(s) with submersible pumps, treatment and

pressure distribution system
5,000 sq.m.
5 Combination of the above
Variable
6 Rehabilitation or expansion of existing system
Variable
7 Latrines and other individual sanitation systems
10 to 50 sq.m. per system
8 Piped sewerage system and waste water treatment

works
Variable depending on extent of system and

process
Categorization of Land Needs
Land required for the Project may fall under the following three categories:
Land permanently required for construction and operation (example: footprint of a
permanent facility like a reservoir, a well or a treatment plant);
Land temporarily required for the duration of construction activities (example:
access track that will be reclaimed after construction, or staging area that a
contractor will use for the duration of construction of a given facility);
Rights-of-Way, ie land that can still be used by its former users during operation
of the facility subject to certain restrictions (example: power line corridor, pipeline
corridor).
17
Land Tenure Regimes

Ownership and Usage Rights
As mentioned above, Ethiopian law does not recognize individual ownership of land. Land is
owned by the state, in urban as well as in rural areas. In rural areas, land is primarily managed
through traditional manners, and seldom do individuals hold documents ascertaining their
usage rights over it. Although there may be local variations, farmland is typically used under
individual customary rights while grazing land is held under community customary rights. In
urban areas, land usage is formalized through long term leasing agreements.
Tenancy and Sharecropping
Several types of tenancy and sharecropping systems can be practiced in Ethiopia:

Erta is a typical sharecropping arrangement whereby a farmer who has land
provides all farm inputs and land tax while another farmer with no land ploughs,
sows, and harvests. The two farmers then share the yield equally;
Other common sharecropping arrangements include oxen belonging to one farmer
being used to plough another farmers plot, the service being eventually paid by a
certain share of the harvest.
Land can also be informally leased for one or more crop seasons to investors or tenants.
OTHER POTENTIALLY AFFECTED ASSETS
Together with land, other immovable assets could potentially be impacted by construction of
a sub-project, for instance the following:
Buildings, whether inhabited or not,
Other structures (wells, channels, agricultural or commercial buildings, etc),
Trees and perennial crops,
Annual crops.
ENTITLEMENTS
All affected assets (and related affected people, ie. owners and users of the said affected
assets) located within the footprint of a sub-project shall be inventoried. Only affected assets
identified during the census will be eligible for compensation. Appendix 3 presents
frameworks of forms to be used for this census.
The following table presents the relationship between impacts and entitlements.
18
Table 2: Impact / Entitlement Matrix
Type of Impact
Entitlement
Permanent loss of land held Replacement by a similar piece of land (similar in location,
under long-term urban lease potential and size), held under similar tenure arrangements
(long-term urban lease)
OR
Cash compensation at replacement value, based on price per
square meter observed in recent transactions in the same area
for similar types of land
Permanent loss of land held Replacement by a similar piece of land (similar in location,
under tenancy or subpotential and size), held under similar tenure arrangements
tenancy agreement
(tenancy)
No cash compensation for loss of rented land
Loss of sharecropping rights Access to similar or better rights (at least sharecropping, or if
over a piece of agricultural possible tenancy) over a piece land of similar agricultural
potential
land
Depending on the regime of occupation:
Right-of-Way with
restrictions (for example
For long term urban leases, cash compensation of the
restriction on height of trees
loss in value resulting from the restriction (usually in
and crops making certain
the order of 10 to 30% of the total land value of the
crops impossible)
affected strip for right-of-ways associated with pipeline
and transmission line)
For tenancy and sub-tenancy agreements, no cash
compensation; access to a replacement piece of land in
reason of the value of the restriction
Temporary land occupation
Cash compensation for income lost during the period where

plot was not usable by user
Loss of uninhabited
structure
Cash compensation at replacement value or replacement by a

similar structure
Loss of inhabited dwelling
Resettlement in similar dwelling in a location with similar

economic/agricultural potential
Loss of annual crop
Compensation of lost harvest at market price if the crop

could not be harvested
Loss of perennial crops and

valuable trees
Compensation of lost harvest at market price if the crop

could not be harvested
PLUS
Compensation of the cost of planting (seedling plus labour)
PLUS
Compensation of the income lost during the period of time
required to re-establish the plantation to a similar level of
production (this period of time depends on the species grown,
19
it is generally in the range 1 year banana or papaya trees for

example - to 5 or 6 years for mango trees to be determined
following regional/woreda practice
20
Resettlement and Compensation

METHODS FOR VALUATION OF AFFECTED ASSETS
Ascertaining Eligibility
Overall, valuation will be consistent with regional rules and practice, and with the World
Bank requirement that any lost asset be valued at replacement value (see 1.3 Definitions).
Determining eligibility is not always easy in areas where informal occupants have no
documents establishing their land occupation rights, which is often the case in the poorest
areas. Delimitation of plots and related crops will be done using local committees including
affected persons themselves, their neighbors, and community leaders and elders.
Land and Rights-Of-Way
Where applicable (see Table 2 above), land will be valued based on the following principles:
-
Either, where compensation rates exist, check that compensation rates meet the full
replacement value requirement, and application of these rates if they do meet this requirement;
Or, where there are no ready-to-use compensation rates, or if existing compensation
rates do not meet the full replacement value requirement:
o research on sale-purchase transactions recently occurred in the neighbourhood for similar
pieces of land, and record of land selling price;
o application of the average transaction price.
Where there are developments on land that need to be taken into consideration (for instance
irrigation structures, terraces, wells, etc), these will also be valued at full replacement
value.
Rights-of-Way will be valued according to an estimate of the loss in value resulting from the
restriction put upon land. Methodologies for doing that are, however, complex, as it is
generally necessary to capitalize (through the use of a Net Present Value) a recurrent loss. In
general, Rights-of-Way resulting from pipelines and transaction lines are valued at 10 to 30%
of the value of the land itself.
Structures
Valuation of structures will be undertaken on a case-by-case basis using rates available at

region/zone/woreda level, after a check that these rates meet the full replacement value
requirement. Wear coefficients will not be applied, in consistency with the replacement
value requirement. In the absence of established rates, valuation will take into account
reconstruction value, calculated from local contractors quotations, taking labor into
consideration.
Crops
Valuation of annual crops will be based on the income lost, ie. on the market value of the lost
harvest, which will be established using available rates or through a rapid survey of market
prices observed in the vicinity of the concerned location.
Valuation of perennial crops will be the sum of the following factors:
21
Loss of income during the period needed to re-establish the crop, ie. value of the harvest
(based as above on market prices) for the number of harvests lost during the period of reestablishment of the crop7;
Value of seedlings needed to re-establish the crop, and of all agricultural inputs needed
to re-establish the crops as it was;
Value of any perennial developments required to cultivate the crop, if relevant.
Valuation of timber trees will be based on the market price of timber that could be sold when
the tree is fully grown.
Auditing
The fairness of the valuation exercise, as well as its compliance with WB requirements, will
be audited according to provisions detailed in Section 10.
RESETTLEMENT AND COMPENSATION

Resettlement Land Replacement
As mentioned above (see Project Principles, 4.1), any sub-project that is assessed as
potentially impacting inhabited dwellings or households livelihoods will be redesigned,
resited, or reroute. Therefore, the UWSS Project is not expected to cause any significant
physical resettlement, be it caused by physical displacement (impact on dwellings) or
economic displacement (impact on livelihoods).
However, as mentioned in Table 2, any impact on land will be mitigated through replacement
of the affected plot by a plot of similar potential, ie:
Either of similar agricultural/economical characteristics and similar surface,
Or of greater surface if agricultural/economical potential is less than that of the lost
plot.
Compensation
Most if not all impacts on land, structures and crops will therefore be mitigated through
compensation, in-cash or in-kind, following asset valuation as above described.
Experience in various countries has shown that a fraction of compensation recipients may
misuse cash compensation as they would receive an amount of money that they are not
prepared to manage. They may engage in poorly considered investments or simply dilapidate
the money. Experience in Ethiopia has shown that such behavior was rare and that the vast
majority of people wisely used compensation they received in such projects as the
Demobilization or Emergency Recovery packages recently funded by the World Bank.
However, it is advisable that an in-kind compensation option be available to affected people
who may feel themselves vulnerable to misuse of large amounts of cash.
Options for items served as part of in-kind compensation can be as follows:
Agricultural equipment such as ploughs, hoes, etc,
Agricultural inputs (fertilizers, seeds, seedlings, etc),
For instance, if the re-establishment of a given crop takes 5 years up to the return of a normal
productivity, the compensation for this perennial will be based on 5 years of harvest.
22
Construction materials and equipment, such as corrugated iron sheets, cement

bags, brick moulds, small tools, etc,
School equipment (books, stationery).
In-kind items will be valued at their purchasing price and their value will be deducted from
the value of the total cash compensation due.
Compensation will be paid (or in-kind items delivered) prior to land being vacated.
Auditing
The actual delivery of entitlements will be monitored and audited according to provisions
presented in Section 10.
23
Consultation and disclosure

CONSULTATION ON THE RESETTLEMENT POLICY FRAMEWORK
As provided under WB policy OP 4.12, information and consultation on the UWSP

Resettlement Policy Framework shall be organized as follows:
Circulation of the draft RPF for comments to all relevant institutions (e.g. EPA,
Ministry of Water Resources, World Bank, and others as appropriate),
Communication of comments to the Consultant for incorporation into a final RPF,
together with WB comments,
Presentation of the executive summary of the draft RPF to Towns concerned by
the Project.
CONSULTATION ON RAPS AND ARPS

Two steps of information and consultation are proposed to be implemented in the course of the preparation
of RAPs and ARPs:
Initial information:
o This step should coincide with the cut-off date (information should not be
delivered in advance of the cut-off date to avoid encroachment of new
arrivals),
o Basic information will be provided to potentially affected people on the
Project, and resettlement and compensation principles as they are outlined in
this RPF,
o This step should take the form of one public meeting for each sub-project,
Consultation on draft RAP/ARP: once these are available in draft form, they
should be discussed with local authorities (e.g. Woreda and Kebelle Assemblies)
and affected communities, whose comments will be incorporated into final
documents.
Appendix 7 presents a template that can be used during both preparation and implementation of
resettlement activities to record minutes of consultation meetings.
DISCLOSURE REQUIREMENTS
The following documents are to be disclosed, in conformance with OP 4.12:
This Resettlement Policy Framework,
Abbreviated Resettlement Plans,
Resettlement Action Plans.
These documents will be disclosed after they have been reviewed and approved by the World
Bank. Documents will be available to the public in Amharic with an executive summary in
English. They will be kept available at the following locations:
-
The World Bank office in Addis Ababa (in paper form),

The World Bank Infoshop (in electronic form at www.worldbank.org and in paper form
at the World Bank headquarters in Washington, DC, USA),
At AAWSAs headquarters (in paper form),
At local government headquarters as appropriate.
24
Grievance management Mechanisms

POTENTIAL GRIEVANCES/DISPUTES
In practice, grievances and disputes that arise during the course of implementation of a
resettlement and compensation program may be related to the following issues:
Disagreement on plot boundaries, either between the affected person and the
expropriation agency or between two neighbors,
Disputed ownership of a given asset (two or more affected people claim that the
affected asset is theirs),
Disagreement on plot/asset valuation,
Successions, divorces, and other family issues resulting in disputed ownership or
disputed shares between inheritors or family members,
Where affected people opt for a resettlement-based option, disagreement on the
resettlement package (the location of the resettlement site does not suit them,
proposed housing or resettlement plot characteristics/agricultural potential are not
adequate in their view),
Disputed ownership of businesses and business related assets (quite usually, the
owner and the operator of a business may be distinct individuals, which give rise
to disputes in the event of compensation).
PROPOSED GRIEVANCE MANAGEMENT MECHANISM

Registration of Grievances
As long as one of their sub-projects entails resettlement and/or compensation, the

implementation agencies shall establish a register of resettlement/compensation related
grievances and disputes. The existence and conditions of access to this register (where, when,
how) shall be widely disseminated within the interested area of the town as part of the
consultation undertaken for the sub-project in general.
Any grievance that may arise from the Compensation/ resettlement action plan will be filed at
first instance to the implementation agency of the sub-project, and will be registered by the
agency for further action using the above mentioned registered.
First Instance Amicable Settlement
While there are courts of law for handling grievances, local communities may often be
reluctant to expose family members to courts of law, which could trigger the separation of
families or worsen conflicts between neighbours. Also, courts of law may be viewed as slow
and involving somewhat complicated procedures. People may prefer such matters to be first
handled by a first instance mechanism, on the model of traditional dispute-resolution
mechanisms.
In such compensation and resettlement operations, it usually appears that many grievances
have roots in misunderstandings, or result from neighbor conflicts, which usually can be
solved through adequate mediation using customary rules. Most grievances can be settled
with additional explanation efforts and some mediation. This is why a first instance of dispute
handling will be set up with the aim of settling disputes amicably, in the form of a locallyselected Mediation Committee (See proposed process in Figure 3).
25
This Mediation Committee will consist of the following members:

- Implementation agency;
- Local NGO (chairperson),
- Local representatives of Project Affected Persons (2 to 5) these should be
selected in the interested area / quarter of the interested town.
When a grievance/dispute is recorded as per above-mentioned registration procedures,
mediation meetings will be organized with interested parties. Minutes of meetings will be
recorded.
The existence and procedural details related with this first instance mechanism will be widely
disseminated to the interested population as part of the consultation undertaken for the subproject in general.
Appeal to Court
Courts of law shall be considered as a last resort option, which in principle should only be
triggered where first instance amicable mechanisms have failed to settle the
grievance/dispute. However the Constitution allows any aggrieved person the right of access
to court of law.
26
Figure 3: Grievance / Dispute Management Mechanism
Registration of the
grievance or dispute
Internal treatment of
the grievance or
Internal closure of
the grievance or
Complainant
satisfied with
outcome
YES
NO
Resort to Mediation
Committee
Final closure
Grievance processing by
Mediation Committee
Response of the
Mediation
One or the other

party resort to
NO
Complainant
satisfied with
outcome
YES
Final closure
27
Vulnerable People
IDENTIFICATION OF VULNERABLE PEOPLE
Vulnerable people are people who by virtue of gender, ethnicity, age, physical or mental
disability, economic disadvantage, or social status may be more adversely affected by
resettlement than others and who may be limited in their ability to claim or take advantage of
resettlement assistance and related development benefits. Vulnerable people potentially
eligible for specific assistance under this Resettlement Policy Framework are those who are
affected by the Project land acquisition, compensation and resettlement activities.
Vulnerable people include, but are not limited to:
disabled persons, whether mentally or physically;
refugees and internally displaced people;
seriously ill people, particularly people living with HIV/AIDS and other
illnesses;
the elderly, particularly when they live alone;
households whose heads are children;
households whose heads are female and who live with limited resources;
households whose heads have no or very limited resources; and
widows and orphans.
POTENTIAL ASSISTANCE ACTIVITIES TO VULNERABLE PEOPLE
The UWSS Project will assist vulnerable people insofar as they are affected by the UWSSrelated displacement and resettlement process. Such assistance may include the following
activities:
Identification of vulnerable people and identification of the cause and impacts
of their vulnerability, preferably through an identification mechanism devised
with, and implemented by the beneficiary community; this step is critical
because often vulnerable people do not participate in community meetings, and
their disability/vulnerability may remain unknown;
Identification of required assistance at the various stages of the process:
negotiation, compensation, moving;
Implementation of the measures necessary to assist the vulnerable person; and
Monitoring and continuation of assistance after resettlement and/or
compensation, if required, and/or identification of those entities, whether
Governmental or not, that could sustain the Projects assistance beyond its
period of activity.
Assistance may take the following forms, depending upon vulnerable persons requests and
needs:
Assistance in the compensation payment procedure (e.g., specifically explain
the process and procedures, make sure that documents are well understood);
Assistance in the post payment period to secure the compensation money and
reduce risks of misuse/robbery;
Assistance in moving: providing vehicle, driver and assistance at the moving
stage, assist the person in identifying his/her resettlement plot;
Assistance in building: providing materials, workforce, or building houses;
28
Counseling in matters such as family, health,

Assistance during the post-resettlement period, particularly if the solidarity
networks that the vulnerable person was relying on have been affected: food
support, health monitoring, etc.; and
Health care if required at critical periods, particularly the moving and transition
periods.
29

GENERAL OBJECTIVES OF MONITORING & EVALUATION
Evaluation and monitoring are key components of the Resettlement Policy Framework. They
have the following general objectives:
Auditing of compliance,
Monitoring of specific situations or difficulties arising from the implementation,
and of the compliance of the implementation with objectives and methods as set
out in this Resettlement Policy Framework;
Evaluation of the mid- and long-term impacts of the Resettlement and Relocation
Action Plan on affected households livelihood, environment, local capacities, on
economic development and settlement.
Auditing and monitoring aims to correct implementation methods during the course of the
Project, as required, while evaluation is intended at checking whether policies have been
complied with and providing lessons learnt for amending strategies and implementation in a
longer term perspective. Monitoring will be internal and evaluation external.
AUDITING AND MONITORING DURING IMPLEMENTATION

Scope and Content
Monitoring will aim to capture the following aspects:

-
Check on the census and valuation exercise, particularly with respect to:
The adequacy of valuation (does it meet the full replacement cost requirement),
The correct determination of eligibility (no flaws in the lists of eligible people: eligible
people are those that are actually affected),
Check that compensation entitlements are actually delivered before people are
displaced;
Social and economic monitoring: follow-up of the status of displacees/resettlers, cost of
housing in the displacement area, re-establishment of livelihoods including agriculture and
other activities;
Technical monitoring: supervision of infrastructure and housing construction where
relevant, commissioning and testing of the technical components of the resettlement housing;
Grievances and grievance management system;
Assistance in livelihood restoration: agriculture and business re-establishment and
assistance.
o
o
Reporting
The UWSS Project will keep the following statistics on an annual basis:
Numbers of households and individuals affected by Project activities,
Numbers of households and individuals relocated as a result of Project activities
and their destinations,
Amounts of compensation paid,
For each household having received compensation, date when displacement
occurred and date when compensation was actually delivered,
Number of grievances registered,
Construction: indicators relevant to the works being carried out.
An annual monitoring report will be developed internally by AAWSA.
30
EVALUATION
Reference documentation for the evaluation will be the following:

This Resettlement Policy Framework;
The Ethiopian laws and regulations as described above;
The applicable World Bank Safeguard Policies as they stand in January 2007, i.e.
OP 4.12 Involuntary Resettlement.
Evaluation has the following specific objectives:
General assessment of the compliance of the implementation of resettlement
activities with objectives and methods as set out in this document;
Assessment of the compliance of the implementation of resettlement activities
with laws, regulations and safeguard policies as stated above;
Assessment of resettlement and relocation procedures as they have been
implemented;
Evaluation of the impact of the resettlement and relocation programs on incomes
and standard of living, with focus on the no worse-off if not better-off
requirement;
Identification of actions to take as part of the on-going monitoring to improve the
positive impacts of the programme and mitigate its possible negative impacts, if
any.
REPORTING
As presented in the ESMF, AAWSA will develop an annual environmental monitoring report.
The report contents are detailed in the ESMF. These reports will include the description of
resettlement and compensation activities, and relevant monitoring indicators as described
above.
31
Implementation Responsibilities AND FUNDING

IMPLEMENTATION RESPONSIBILITIES
The following table presents responsibilities related with resettlement and compensation.
Table 3: Implementation Responsibilities
Level
Responsibility
Affected People
Participate in valuation commissions

Participate in censuses
Participate in mediation committees
Towns
Deal with land replacement at kebelle level for smaller water subprojects with minor land impact
Organize valuation commissions and censuses
Organize grievance management mechanisms, including
Mediation Committees
Check on censuses and valuation
Pay compensation
Participate in monitoring
Project Implementation
Unit (AAWSA)
Support towns in the organization of resettlement planning

(valuation commissions, censuses, payment of compensation)
Select consultants to develop ARPs and RAPs
Review draft ARPs and RAPs prepared by consultants
Organize public consultation and disclosure on draft ARPs and
RAPs
Participate in monitoring and evaluation (possibly through
consultants for the most significant resettlement activities, if any)
Consultation and disclosure on Resettlement Policy Framework
Check on censuses and valuation
Check on compensation delivery
Participate in monitoring
Consultants
Draft ARPs and RAPs
Government at Federal
Level and World Bank
Monitor compliance of resettlement activities with this RPF,

Ethiopian law and OP 4.12
BUDGET
It is difficult at this stage to provide an estimate of the cost of resettlement and compensation
activities related with the implementation of the UWSS as all components are not defined
32
with a sufficient level of detail to identify footprints and related impacts on land occupation,
housing and livelihoods.
Every sub-project under the UWSS will have to assess budget needs related with
compensation and resettlement in accordance with principles in this RPF, and identify and
secure the source of funding (see next section).
33
ARRANGEMENTS FOR FUNDING
According to its Involuntary Resettlement policy (OP 4.12), the Bank does not disburse
against cash compensation and other resettlement assistance paid in cash, or against the cost
of land (including compensation for land acquisition). However, it may finance the cost of
land improvement associated with resettlement activities.
As a result, the IDA loan under which the UWSS Project will be funded cannot finance cash
compensation or land acquisition for resettlement purposes.
Compensation and land acquisition for resettlement sites (if any need) will be funded by the
towns benefiting from the UWSS Project. This requirement should be an excellent incentive
to minimizing land impacts through appropriate design, siting and routes. Every sub-project
will have to assess budget needs for funding of compensation and resettlement, and to identify
and secure potential sources of funding.
In the unlikely event where resettlement housing would need to be constructed, this can,
however, be funded by the IDA loan, as well as related consulting services, supervision,
monitoring and evaluation.
34
Appendix 1: LIST OF ACRONYMS

ARP
EA
EBA
EIA
EMP
EPA
ESIA
ESMF
M&E
MWR
NGO
OD
OP
OPN
RAP
RECC
RPF
UWSS
WB
Abbreviated Resettlement Plan

Environmental Assessment
Environmental Baseline Assessment
Environmental Impact Assessment
Environmental Management Plan
Ethiopian Environmental Protection Agency
Environmental and Social Impact Assessment
Environmental and Social Management Framework
Ministry of Water Resources
Non Governmental Organization
Operational Directive
Operational Policy
Operational Policy Note
Resettlement Action Plan
Regional Environmental Coordination Committee
Resettlement Policy Framework
Urban Water Supply and Sanitation
World Bank
35
Appendix 2: FRAMEWORK for the census of affected

ASSETS AND AFFECTED people
AFFECTED PLOT SHEET
Reference:
Location:
Regional State:
Woreda:
Kebelle:
GPS Coordinates:
Surface: ____________________________________ m2
Description of soil:
Perennial Crops:
Annual Crops:
Trees:
Structures:
Users:
Owner:
Owner:
Owner:
Owner:
Owner:
Owner
Channels:
Owner:
Anti-erosive structures:
Owner:
Buildings:
Owner:
User 1:
Surface used:
Regime of tenure:
User 2:
Surface used:
Regime of tenure:
User 3:
Surface used:
Regime of tenure:
User 4:
Surface used:
Regime of tenure:
Valuation proposal (details of calculation on attached sheet):

Crops:
Structures:
Proposed distribution of compensation:

User 1:
User 2:
User 3:
User 4:
Date:
Prepared By:
36
AFFECTED BUILDING SHEET

Reference:
Location:
Regional State:
GPS Coordinates:
Woreda:
Kebelle:
Photograph number:
Owner: Full Name:

Address:
Description:
Permanent
Non permanent
Surface:
Number of rooms:
Walls:
Material
Condition
Roof:
Material
Condition
Floor:
Material
Condition
Annexes outside:
Latrine: Bathroom:
Kitchen:
Others:
Additional features:
Permanently Inhabited: By:
Regime of occupation:
Periodically Inhabited:
Regime of occupation:
By:
Valuation proposal (details of calculation on attached sheet)::
Proposed distribution of compensation:

User 1:
User 2:
User 3:
User 4:
Date:
Prepared By:
37
AFFECTED HOUSEHOLD SHEET

Household Reference:
Location:
Regional State:
Woreda:
Kebelle:
Reference of Affected Asset:

Type:
Structure
Plot
Crop
Reference of Affected Asset Sheet:
Household Information:
Head of Household:
Name: Age:
Identity Document:
Type:
Sex:
Number:
Composition of Household:
Number Name
Relationship with Sex

Household Head
Age
1
2
3
4
5
6
7
8
9
Socio-Economic Information:
Occupations:
Head of Household:
Other members of Household:
Number:
Occupation:
Number:
Occupation:
Number:
Occupation:
Number:
Occupation:
Total Estimated Household Cash Income:
38
Education level of Household Members:

Number:
Level:
Number:
Level:
Number:
Level:
Number:
Level:
Project Impact:
Assessment of the Impact of the Loss of the Affected Asset on Households Livelihood:
Proposed Compensation or Resettlement Package

Households Wishes
Proposed Package
Proposed Livelihood Restoration Package:

Households Wishes
Proposed Package
39
Appendix 3: Outline of A Resettlement Action Plan

Reference: OP 4.12, annex A.
1.
2.
3.
4.
Description of the sub-project and of its potential land impacts

1.1 General description of the project and identification of the project area
1.2 Potential impacts. Identification of
1.2.1 the project component or activities that give rise to resettlement;
1.2.2 the zone of impact of such component or activities;
1.2.3 the alternatives considered to avoid or minimize resettlement; and
1.2.4 the mechanisms established to minimize resettlement, to the extent possible, during
project implementation.
Objectives. The main objectives of the resettlement program.
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
3.1 the results of a census survey covering current occupants of the affected area to establish
a basis for the design of the resettlement program and to exclude subsequent inflows of
people from eligibility for compensation and resettlement assistance;
3.2 standard characteristics of displaced households, including a description of production
systems, labor, and household organization; and baseline information on livelihoods
(including, as relevant, production levels and income derived from both formal and
informal economic activities) and standards of living (including health status) of the
displaced population;
3.3 the magnitude of the expected losstotal or partialof assets, and the extent of
displacement, physical or economic;
3.4 information on vulnerable groups or persons as provided for in OP 4.12, para. 8, for
whom special provisions may have to be made; and
3.5 provisions to update information on the displaced people's livelihoods and standards of
living at regular intervals so that the latest information is available at the time of their
displacement.
3.6 Other studies describing the following
3.6.1 land tenure and transfer systems, including an inventory of common property
natural resources from which people derive their livelihoods and sustenance, nontitle-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;
3.6.2 the patterns of social interaction in the affected communities, including social
networks and social support systems, and how they will be affected by the project;
3.6.3 public infrastructure and social services that will be affected; and
3.6.4 social and cultural characteristics of displaced communities, including a description
of formal and informal institutions (e.g., community organizations, ritual groups,
nongovernmental organizations (NGOs)) that may be relevant to the consultation
strategy and to designing and implementing the resettlement activities.
Legal and Institutional Framework.
4.1 Summary of the information included in this RFP
4.2 Local legal specificities if any
4.3 Local institutional specificities
4.3.1 identification of agencies locally responsible for resettlement activities and NGOs
that may have a role in project implementation;
40
5.
6.
7.
8.
9.
10.
11.
12.
4.3.2 assessment of the institutional capacity of such agencies and NGOs; and
Eligibility. Based on this RPF, definition of displaced persons and criteria for determining their
eligibility for compensation and other resettlement assistance, including relevant cut-off dates.
Valuation of and compensation for losses. The methodology to be used in valuing losses to
determine their replacement cost; and a description of the proposed types and levels of
compensation under local law and such supplementary measures as are necessary to achieve
replacement cost for lost assets.
Resettlement measures:
7.1 Description of the packages of compensation and other resettlement measures that will
assist each category of eligible displaced persons to achieve the objectives of the policy
(see OP 4.12, para. 6).
7.2 Site selection, site preparation, and relocation. Alternative relocation sites considered and
explanation of those selected.
7.3 Legal arrangements for regularizing tenure and transferring titles to resettlers.
7.4 Housing, infrastructure, and social services.
7.5 Environmental protection and management.
7.6 Community participation. Involvement of resettlers and host communities
7.7 Integration with host populations. Measures to mitigate the impact of resettlement on any
host communities
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.
Organizational responsibilities. The organizational framework for implementing resettlement,
including identification of agencies responsible for delivery of resettlement measures and
provision of services; arrangements to ensure appropriate coordination between agencies and
jurisdictions involved in implementation; and any measures (including technical assistance)
needed to strengthen the implementing agencies capacity to design and carry out resettlement
activities; provisions for the transfer to local authorities or resettlers themselves of responsibility
for managing facilities and services provided under the project and for transferring other such
responsibilities from the resettlement implementing agencies, when appropriate.
Implementation schedule. An implementation schedule covering all resettlement activities from
preparation through implementation, including target dates for the achievement of expected
benefits to resettlers and hosts and terminating the various forms of assistance. The schedule
should indicate how the resettlement activities are linked to the implementation of the overall
project.
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.
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.
41
Appendix 4: Outline of An Abbreviated Resettlement Plan

Depending on the extent of the displacement, an ARP should be between 10 and 25 pages,
including annexes.
1.
2.
3.
4.
5.
6.
7.
8.
9.
Brief Description of the Sub-Project

Sub-Project Land Needs
i. Land Needs
ii. Justification and Minimization
Census Survey of Displaced Persons and Valuation of Assets
i. Methodology
ii. Results
iii. Affected Assets
iv. Socio-Economic Features and Affected Peoples Livelihoods
Description of Compensation and Other Resettlement Assistance
Consultation with Displaced People
Procedures for Grievance Redress
Monitoring & Evaluation
Institutional Responsibilities and Arrangements for Implementation
Timetable, Budget and Funding Arrangements
42
Appendix 5: Template itemization of a RAP/ARP budget

N
Item
(break down and detail as appropriate)
COMPENSATION
A1
Compensation for land acquisition
A2
Compensation for destruction and damage to crops
A3
Compensation for structures
A4
Disturbance allowance
A5
Contingencies other compensations

TOTAL COMPENSATION
Ethiopian Birrs
USD
RESETTLEMENT
B1
Resettlement land purchase
B2
Resettlement land development
B3
Housing construction
TOTAL RESETTLEMENT
ADDITIONAL MITIGATIONS
C1
Livelihood restoration measures
C2
Vulnerable groups
C3
Coordination of additional mitigations
C4
Grievance management
TOTAL ADDITIONAL MITIGATIONS
IMPLEMENTATION COSTS
D1
Surveying and asset pre-identification
D2
Valuation
D3
Coordination and works supervision
D4
Legal advice
D6
Monitoring
D7
Evaluation
TOTAL IMPLEMENTATION
CONTINGENCIES %
GRAND TOTAL
%
%
100%
43
Appendix 6: TEMPLATE OF A CLAIM REGISTRATION and

Follow-up FORM
Date :
Prepared by:
Aggrieved person:
Full name:
Residence:
Project registration number:
Reason for the claim (detailed description of the aggrieved persons version):
Composition of the mediation committee:
Chair (name, position):

District chief executive representative (name, position):
Project (name, position):
Other elders(name, position):
o
o
o
Report of mediation efforts:
Agreed solution:
Implementation of the agreed solution:
Close-out:
In case no settlement is reached:
Reason why no settlement could be reached:
44
Follow-up by claimant:
45
Appendix 7: TEMPLATE OF A CONSULTATION MEETING

MINUTE FORM
Date :
Venue:
Project participants:
Other participants (name, position) :
Total number:
Objective and agenda of the meeting:

-
Points addressed by Project:

-
Points raised by participants:

-
Follow-up activities:
-
Prepared by:
Date :
46
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Resettlement Policy Framework - UWSSP

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FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA

ADDIS ABABA WATER AND SEWERAGE AUTHORITY

Public Disclosure Authorized

Public Disclosure Authorized

URBAN WATER SUPPLY & SANITATION PROJECT

Public Disclosure Authorized

Public Disclosure Authorized

ADDIS ABABA WATER AND SEWERAGE AUTHORITY

AAWSA Resettlement Policy Framework

SCOPE OF THE REPORT INTRODUCTION ...................................................................1

PROJECT DESCRIPTION AND PROJECT POTENTIAL IMPACTS..............................3

LEGAL FRAMEWORK ...........................................................................................................6

PRINCIPLES, OBJECTIVES, AND PROCESSES RELATED TO

AAWSA Resettlement Policy Framework

4.2.1 Overview of the ESMF Process........................................................................... 13

AFFECTED ASSETS, AFFECTED PEOPLE AND ENTITLEMENTS............................17

RESETTLEMENT AND COMPENSATION .......................................................................21

CONSULTATION AND DISCLOSURE ............................................................................... 24

GRIEVANCE MANAGEMENT MECHANISMS................................................................25

VULNERABLE PEOPLE .......................................................................................................28

MONITORING AND EVALUATION...................................................................................30

AAWSA Resettlement Policy Framework

10.3 EVALUATION .................................................................................................................... 31

IMPLEMENTATION RESPONSIBILITIES AND FUNDING .......................................... 32

APPENDIX 1: LIST OF ACRONYMS ............................................................................................35

AAWSA Resettlement Policy Framework

Component 1: Addis Ababa Water Supply and Sanitation

POTENTIAL IMPACTS ON LAND, PEOPLE AND LIVELIHOODS

AAWSA Resettlement Policy Framework

Wells and well fields;

RESETTLEMENT AND COMPENSATION PRINCIPLES

AAWSA Resettlement Policy Framework

AAWSA Resettlement Policy Framework

Permanent loss of land held under

Replacement by a similar piece of land (similar in location, potential and

Permanent loss of land held under

Replacement by a similar piece of land (similar in location, potential and

Loss of sharecropping rights over a

Access to similar or better rights (at least sharecropping, or if possible

Right-of-Way with restrictions (for

Depending on the regime of occupation:

Temporary land occupation

Loss of uninhabited structure

Cash compensation at replacement value or replacement by a similar structure

Loss of inhabited dwelling

Resettlement in similar dwelling in a location with similar

Loss of annual crop

Compensation of lost harvest at market price if the crop could not be

Loss of perennial crops and

Compensation of lost harvest at market price if the crop could not be

OTHER RPF PROVISIONS

The full RPF report contains detailed provisions related with:

Monitoring and evaluation,

AAWSA Resettlement Policy Framework

Scope of the Report introduction

Description of the Project

Appendix 1 presents the list of acronyms used throughout this document.

Project: The UWSS Project.

Physically Displaced People, i.e. people subject to Physical Displacement as

Economically Displaced People, i.e. people subject to Economic Displacement as

AAWSA Resettlement Policy Framework

AAWSA Resettlement Policy Framework

Project DESCRIPTION AND PROJECT POTENTIAL