SFG2040 FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA ETHIOPIAN ELECTRIC POWER (EEP) Ethiopia- Additional Financing for Energy Access Project Seven Towns Electricity Distribution Network Rehabilitation and Expansion Project RESETTLEMENT POLICY FRAMEWORK (RPF) Prepared by: Environmental Health Safety and Quality (EHS&Q) Environmental and Social Office February, 2016 LIST OF ACRONYMS AND ABBREVIATIONS ADLI Agricultural Development Led Industrialization ARCCH Authority for Research and Conservation of Cultural Heritage BP Bank Procedures CBO Community Based Organization EA Environmental Assessment EAFEAP Ethiopia Additional Financing Energy Access Project EHS & Q Environmental Health, Safety and Quality EPA Environmental Protection Authority EEP Ethiopian Electric Power EIA Environmental Impact Assessment ENREP Electricity Network Reinforcement and Expansion Project ESIA Environmental and Social Impact Assessment FDRE Federal Democratic Republic of Ethiopia GCRC Gross Current Replacement Cost GDP Gross Domestic Product HIV/AIDS Human Immuno Deficiency Virus/Acquired Immuno Deficiency Syndrome ICS Inter-connected System IDA International Development Association IEC Information, Education and Communication MoFEC Ministry of Finance and Economic Cooperation MoWIE Ministry of Water, Irrigation and Energy NGO Non–Government Organization OP Operational Policy PAPs Project Affected Persons PIU Project Implementation Unit PSDP Power Sector Development Programme PSP Power System Planning RAP Resettlement Action Plan ROW Right of Way RPF Resettlement Policy Framework SCS Self-contained System SE Supervision Engineer SIA Social Impact Assessment STIs Sexually Transmitted Infections TOR Terms of Reference UNAIDS United Nations Joint Programme for HIV/AIDS WB World Bank Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Table of Contents EXECUTIVE SUMMARY ...................................................................................................................... III 1. INTRODUCTION .................................................................................................................. 8 1.1. GENERAL BACK GROUND ........................................................................................................ 8 1.2. PRINCIPLES AND OBJECTIVES OF THE RPF .......................................................................... 10 1.2.1. The objectives of the Resettlement Policy Framework (RPF):..................................... 10 1.2.2. Principles of the Resettlement Policy Framework (RPF): ........................................... 10 1.3. THE IMPLEMENTING AGENCY .............................................................................................. 12 2. LEGAL AND INSTITUTIONAL FRAMEWORK ........................................................................ 13 2.1 POLITICAL ECONOMY AND GOVERNANCE IN ETHIOPIA ........................................................ 13 2.2 PROPERTY AND LAND RIGHTS IN ETHIOPIA ........................................................................... 14 2.3 ACQUISITION AND VALUATION OF LAND AND OTHER ASSETS ............................................... 15 2.4 HUMAN RIGHTS AND COMPENSATION .................................................................................... 17 2.5 DISPUTE RESOLUTION AND GRIEVANCE MECHANISMS .......................................................... 18 2.6. PROCEDURES FOR RESETTLEMENT ACCORDING TO THE WORLD BANK OP 4.12 .............. 18 2.7. COMPARISON OF THE NATIONAL POLICIES AND THE WORLD BANK OP 4.12 OPERATIONAL POLICY .......................................................................................................... 19 3. PROJECT DESCRIPTION ...................................................................................................... 25 3.1. THE PROJECT AREA .............................................................................................................. 25 3.2. DESCRIPTION OF PROJECT ACTIVITIES ................................................................................ 26 4. ENVIRONMENTAL AND SOCIAL CONTEXT AND BASELINE INFORMATION FOR SEVEN CITIES 29 4.1 DEBRAZEYIT /BESHOFTU/ TOWN ........................................................................................ 29 4.2 WOLAYITA SODO TOWN ..................................................................................................... 30 4.3. GONDER TOWN .................................................................................................................. 31 4.4. ADIGRAT TOWN ..................................................................................................................... 32 4.5. DEBRE MARKOS TOWN ......................................................................................................... 33 4.6. SHASHAMENE TOWN .............................................................................................................. 33 5. PUBLIC CONSULTATION AND DISCLOSURE ........................................................................ 35 5.1 PUBLIC CONSULTATION ............................................................................................................ 35 OBJECTIVE OF PUBLIC CONSULTATION ....................................................................................... 36 6. SOCIO -ECONOMIC IMPACT AND MITIGATION MEASURES ........................................................... 40 6.1. GENERAL IMPACT OF THE PROPOSED PROJECT .................................................................................. 40 6.2. NEGATIVE IMPACT................................................................................................................. 40 6.2.1. Socio-economic Impact ...................................................................................................... 40 6.2.2. Categories of Project Affected Peoples (PAPs) ................................................................. 41 6.3. PROPOSED MITIGATION MEASURES ............................................................................................... 43 7. ORGANIZATIONAL PROCEDURE AND RESPONSIBILITIES ............................................................... 44 7.1. PROCESSES FOR RAP PREPARATION, REVIEW AND APPROVAL .......................................... 44 7.2. METHOD OF ASSET VALUATION............................................................................................ 47 7.3. BASIS OF VALUATION ............................................................................................................ 48 7.4. ESTABLISHMENT OF PROPERTY VALUATION COMMITTEES AND COMPENSATION PROCEDURES ......................................................................................................................... 49 8. ELIGIBILITY CRITERIA .................................................................................................................... 50 8.1. ELIGIBILITY CRITERIA FOR VARIOUS CATEGORIES OF PAPS............................................. 50 8.1.1. Eligibility for Land ............................................................................................................. 51 8.1.2. Eligibility for Community Compensation .......................................................................... 51 EEP, Environmental and Social i Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 8.1.3. Eligibility for Loss of Property/Assets ............................................................................... 51 8.3 COMPENSATION FOR TEMPORARY LOSSES ............................................................................ 53 8.4. METHOD TO DETERMINE CUT-OFF DATES .......................................................................... 53 8.5. LAND TENURE ........................................................................................................................ 53 8.6. RELOCATION .......................................................................................................................... 54 9. IMPLEMENTATION AND REPORTING .......................................................................................... 61 9.1. IMPLEMENTATION OF THE RPF ............................................................................................ 61 9.2. ROLES AND RESPONSIBILITIES OF MAJOR ACTORS ............................................................................. 62 9.3. HEALTH AND SAFETY .................................................................................................................... 64 9.4. REPORTING PROCEDURE ............................................................................................................... 65 10. SOURCES OF BUDGET ................................................................................................................ 67 11. MONITORING AND EVALUATION ARRANGEMENTS .................................................................... 68 11.1. PURPOSE OF MONITORING .................................................................................................. 68 11.2. Monitoring Framework (Internal and External) ............................................................... 69 11.2.1. Internal Monitoring ......................................................................................................... 69 11.2.2. External Monitoring and Evaluation .............................................................................. 70 11.3. INDICATORS TO MONITOR ................................................................................................... 71 11.4. MONITORING PRINCIPLES ................................................................................................... 74 12. ESTIMATED BUDGET................................................................................................................... 75 13. CLEARANCE AND DISCLOSURE OF RPF ........................................................................................ 75 REFERENCE....................................................................................................................................... 76 ANNEXES .......................................................................................................................................... 77 ANNEXE 1 ......................................................................................................................................... 77 WORLD BANK POLICIES AND PROCEDURES OP 4.12 & BP 4.12 ................................................ 77 ANNEX 1: EEP ADDITIONAL FINANCING RAP/ARAP EXTENDED SCREENING CHECKLIST .......... 103 ANNEXES 2 ..................................................................................... ERROR! BOOKMARK NOT DEFINED. ENVIRONMENTAL AND SOCIAL CLAUSES ............................... ERROR! BOOKMARK NOT DEFINED. ANNEXES 3 ..................................................................................... ERROR! BOOKMARK NOT DEFINED. RESETTLEMENT ACTION P LAN – RAP GUIDELINE ................... ERROR! BOOKMARK NOT DEFINED. ANNEX 4: ABBREVIATED RESETTLEMENT ACTION PLAN CONTENT ......... ERROR! BOOKMARK NOT DEFINED. ANNEX 5: SAMPLE GRIEVANCE PROCEDURE FORM...................................................................... 105 ANNEX 6: NATIONAL RELEVANT LAWS ................................... ERROR! BOOKMARK NOT DEFINED. ANNEX 7: PROCLAMATION ON EXPROPRIATION OF LANDHOLDINGS FOR PUBLIC PURPOSES AND PAYMENT OF COMPENSATION PROCLAMATION ................ ERROR! BOOKMARK NOT DEFINED. ANNEX 9: PROCLAMATION ON RURAL LAND ADMINISTRATION AND LAND USE PROCLAMATION ................................................................ ERROR! BOOKMARK NOT DEFINED. ANNEX 10 .................................................................................................................................... 107 EEP, Environmental and Social ii Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- EXECUTIVE SUMMARY Introduction It is found useful to have a policy document establishing principles and procedures that will govern the mitigation of adverse social impacts induced by the additional Financing for Energy Access Project operations, and to share with various stakeholders in the Power sector. Therefore, the purpose of the RPF is to clarify the policies, principles and procedures that will govern the mitigation of adverse social impacts induced by the Additional Financing for Energy Access Project. It is very unlikely that significant land acquisition and property losses will occur during the implementation of the proposed project. However, small amounts of land acquisition and property losses may occur during implementation of the various components of the project and hence, the project triggers OP 4.12 of the World Bank safeguard policy for involuntary resettlement. This Resettlement Policy Framework (RPF) has been prepared for the purpose of establishing the principles and procedures to be applied in the event that involuntary resettlement, loss of land or other fixed assets, disturbance affecting livelihood or natural resource limitations leading to nonphysical displacement would arise as a result of the proposed investment implementation. The RPF is developed based on the World Bank Operational Policy 4.12 and the relevant national laws and regulations will form the basis for resettlement planning. The RPF addresses issues of social impacts of the project like issues of land acquisition resulting from implementation of subproject investments that may or will result in loss of property or disturbance affecting livelihoods. A complementary safeguard document for this project, the Environmental and Social Management Framework (ESMF) addresses physical environment and social impacts and can be applied together with this RPF in its environmental and social impacts identification section. This RPF document will be used by all implementers of the project in order to ensure that all social safeguards issues related to Involuntary Resettlement/land acquisition and or restriction of access to and use of natural resources are adequately addressed and that the relevant capacity and training needs are established in order for the recommended measures to be implemented effectively. The RPF seeks to ensure that affected communities are meaningfully consulted, participated in the planning process, adequately compensated to the extent that their pre-displacement incomes have been restored, and the process is a fair and transparent. This Resettlement Policy Framework (RPF) outlines overall resettlement EEP, Environmental and Social iii Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- objectives and principles as well as funding mechanisms and organizational arrangements for any resettlement operation including the preparation, review, approval and implementation of Resettlement Action Plan/Abbreviated Resettlement Action Plan (RAP/ARAP). A key element of resettlement activities is the development and implementation of cost effective and accessible grievance handling mechanism. Grievances will be actively managed and tracked to ensure that appropriate resolution and actions are taken. A clear time schedule will be defined for resolving grievances, ensuring that they are addressed in an appropriate and timely manner, with corrective actions being implemented and the complainant handled as early as possible to address specific concerns raised by the project affected persons in timely fashion and in an impartial manner. The RPF and RAP/ARAP implementation will be monitored and supervised, so as to assess/track whether the objective of the Policy on Involuntary Resettlement is achieved and whether the project affected people have had their livelihoods restored to levels prior to project or improved. The rationale for preparing this RPF is that: The specific site for potential project intervention is not yet known and the Project components are not expected to have significant social impacts. However, since one cannot be sure whether environmental and social impacts will or will not occur in all the project components, it is proposed that precautionary measures be taken to ensure that planned activities do not affect livelihoods of the surrounding population. Project Description The current Ethiopian situation reveals that only 53 % of the population has access to electricity (strategic and investment office EEP, 2015). The population’s limited access to electricity constitutes a major barrier to economic development and to the provision of social services in rural areas. To overcome this situation the government of Ethiopia is contemplating to supply reliable power supply to urban and rural towns. In light of this, the government of Ethiopia contemplates to rehabilitate the distribution system for seven Cities namely: Beshoftu/ Debrazeyit/, Wolayita Sodo, Gonder, Adigrat, Debre Markos, Shashamene and Harar. EEP, Environmental and Social iv Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- The main objective of the Distribution Rehabilitation project is to rehabilitate and expand the distribution network of the 7 cities to ensure safe system operation and enable connection of new customers. The major Project component of the Distribution System Rehabilitation and expansion Project for the seven proposed towns includes the following: 1. Rehabilitation of the distribution Network 2. Construction of medium and low voltage Network Legal and Institutional Framework This resettlement Framework considers both the Ethiopian and the World Bank (WB) legal documents and guidelines. The Constitution of the Federal Democratic Republic of Ethiopia (FDRE) has adequate provisions on environmental and compensation aspects. Based on the Constitution, the Environmental Policy of Ethiopia, Proclamations on Environmental Impact Assessment (EIA), Pollution Control, Land Expropriation and Compensation and others have been issued to strengthen the sporadic efforts of environmental protection in a coordinated and standardized manner. In addition, sectoral Environmental Guidelines and Manuals have started to be produced in different sectors and the Ethiopian Electric Power (EEP) is part of this endeavor. The WB’s Safeguard Policies, have been used for the preparation of this Framework document. The Policies include those on Environmental Assessment (EA), Forestry, Involuntary Resettlement, and Physical Cultural Resources. Concerning the institutional arrangement, the Government of Ethiopia has established the Ministry of Environmental and Forest and there are Regional Environmental Protection Bureaus and it is under process to realize the establishment of Environmental Units within sectoral Ministries and Organizations. Ministry of Water Irrigation and Energy has established Environmental Impact Assessment and Social Development Office and EEP has established Environment and Social Office to address Environmental and Social issues in its activities. Public Consultation As part of the RPF preparation process for the Additional Finance project Seven Towns Distribution Rehabilitation and expansion, Public consultations were carried out in the Seven Towns namely: Bishoftu/Debrazeyit, Wolayita Sodo, Gonder, Adigrat, Debremarkos, Shashamene and Harar. EEP, Environmental and Social v Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- The consultations were held on 15-30 Sep, 2015 and were conducted by the Environment and Social team of EEP. The consultations were conducted by meetings held at the respective towns with sector bureaus involved in the implementation of the Urban Distribution rehabilitation and expansion project and by conducting discussion meetings with town dwellers. The main agenda for the consultation discussions were focused on providing information about the Distribution rehabilitation and expansion Project with emphasis on the project positive impact and potential environment and social negative impacts and mitigation measures. During the consultation discussions made in the seven towns and several general and specific issues, questions, concerns and opinions were raised by the participants. Many of the participants expressed the problems related to the interruption of electric power in the towns. They expressed their hope that the distribution rehabilitation and expansion project will solve the problem of electric interruption and enable for new electric connection to new customers. More importantly, it was suggested and the EEP agreed that the compensation payment for loss of assets shall be paid before the construction or rehabilitation works began and the Project office shall prepare itself for this work. Strategic Environmental and social Impacts of the Project The Project is formulated to provide the communities of the country with reliable electric supply at low cost. However, all the locations of these towns are not known at this stage; thus the predicted impacts are more of generic and sectoral type. Positive Impacts The Project is a development project designed for the benefit of the population in the project area, and is likely to have the following overall positive impacts • Relieve pressure on biomass resource of the country and thereby reduce the loss of the biodiversity by providing alternative source of energy. • Improve access to social services (education, health, water supply, etc…) • Stimulate economic development • Provide job opportunities thereby create income generation means for the respective communities in the project areas. Negative Impacts As a result of the planned construction activities, potential negative Social impacts are likely to occur and the impacts may include crop damage, relocation of houses and cutting of trees. EEP, Environmental and Social vi Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- During the construction works, dust emission may be produced. Similarly, noise pollution arising from construction works may disturb the neighboring communities and local fauna temporarily. The major negative impacts anticipated in this regard include expropriation of land for substations expansion (if there is any), access road and pole foundation civil works. That is, crops of the farmers and urban dwellers may be affected temporarily and some houses may need to be relocated. Although it is proposed that the distribution line would follow as much as possible, the existing road network, the lines may traverse, in some cases looking for shorter distances, culturally sensitive sites like graveyards, archaeological sites, etc. Proposed Mitigation Measures To mitigate any potential negative environmental impacts, EEP should: Influence the adaptation of a route with minimum effect on the bio- physical as well as the socioeconomic and cultural environment. ensure the safe disposal of creosote-treated poles at its storage facilities; employ and deploy manual labor to maintain the access roads and right-of- ways, as appropriate, regularly monitor the rehabilitation to avoid any oil or waste water leakages include Environmental and Social Clauses for Contractors in the contract documents and monitor their implementation; In addition: The compensation for land and properties should be implemented as per Proc. 455/2005 and the provisions in the RPF. Project affected people should be consulted and be involved in decision- making at different stages of the Program. PCB-free transformers and capacitors should be ordered and the import process be followed strictly prior to project implementation. EEP, Environmental and Social vii Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 1. INTRODUCTION 1.1. General Back ground With an estimated population of over 94 million (2012)1, Ethiopia is the second populated Sub Saharan African country next to Nigeria. The rate of population growth is estimated at 2.73 % per year. About 17 % of the population is urban and 83 % rural. Electricity power coverage stands at 53 % and power demand is projected to increase by an average rate of 32 % per year for the coming five years2). As of 2015, the main national energy supply sources are hydropower 88 %, diesel generators 11% and wind and geothermal 1% . The current Ethiopian situation reveals that only 53 % of the population has access to electricity (strategic and investment office EEP, 2015). The population’s limited access to electricity constitutes a major barrier to economic development and to the provision of social services in rural areas. To overcome this situation the government of Ethiopia is contemplating to supply reliable power supply to urban and rural towns. Considering the substantial resource potentials and in response to the growing demand for power, the government of Ethiopia is pursuing a strategy to increase power generation capacity from the present 2,000 MW to about 15,000MW through construction of various sizes of power dams in different parts of the country. To complement the hydropower generation, the strategy also encourages innovative energy solutions, such as wind harvesting, geothermal and solar energy technologies biomass and biogas. In realizing this strategic power development goal, the Ethiopian Electric Power (EEP) in the past 7 to 10 years has constructed and completed 6 medium and large-scale hydropower dams including the Ashgoda (Tigray) and Adama II (Oromia) wind farms. Additionally four major dams including the Great Renaissance Dam on River Nile (GERD) are currently under construction. EEP to improve existing systems stability and reliability of power services, is undertaking transmission line upgrading and enhancements. This project is part of the GoE plan to rehabilitate and expand the distribution network in the target seven cities to ensure safe system operation and enable connection of new customers in seven major cities namely: Adigrat, Beshoftu, Debre Markos, Gonder, Harar, Shashamene and Wolayita Sodo. 1. World Bank Data Sheet on Ethiopia, 2014 2. Gilgel Gibe I (2004), Gilgel Gibe II (2009), Tekezie (2009), Beles (2010), Gilgel Gibie III (2013) and Finacha Amerti (2013, and Gilgel Gibe IV, Gilgel Gibe V and GERD are under construction, Tigray Online (2014) EEP, Environmental and Social 8 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- This RPF is prepared for the purpose of establishing the principles and procedures to be applied in the event that involuntary resettlement, loss of land or other fixed assets, disturbance affecting livelihoods or natural resource limitations leading to nonphysical/physical displacement would arise as a result of the Additional Financing for Energy Access Project. The rationale for preparing this RPF is that: a) The Project components are not expected to have significant social impacts. However, since one cannot be sure whether environmental impacts will or will not occur in all the project components, it is proposed that precautionary measures be taken to ensure that planned activities do not affect livelihoods of the surrounding population. b) EEP found it useful to have a policy document establishing principles and procedures that will govern the mitigation of adverse social impacts induced by the Project operation as identified by the complementary ESMF and captured as positive and negative impacts of this project to share with various stakeholders in the power sector, and c) Ensure that investments are carried out in an environmental and socially sustainable manner. Public consultation and information dissemination to the community was one of the main issues. It was too important to inform the community about the project, including the positive, adverse impact and mitigation measures regarding environmental social and economic situations. To obtain the information about the needs and priories of the communities, as well as information about the reactions to the proposed projects and activities and also to inform the community about various option on relocation and rehabilitation activities. The public consultation was held in all 7 cities. Namely: Adigrat, Beshoftu, Debre Markos, Gonder, Harar Shashamene and Wolayita Sodo. At the time of public consultation the team has made discussion with the communities including city administrative, government officials, Ethiopian Electric Utility regional and district representatives, community elders, religious leaders, Women and different community members. The details of munities of meeting and list of contacted persons are annexed. EEP, Environmental and Social 9 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Analysis of Alternatives There are several alternatives to the Project under consideration including the “do-nothing” – base case-scenario. The alternatives may be diesel generation, wind energy and solar energy. However, all these scenarios have their own limitations that make them less feasible and sustainable than the proposed Project. 1.2. Principles and Objectives of the RPF 1.2.1. The objectives of the Resettlement Policy Framework (RPF): • Establish the Additional Finance for Energy Access 7 Towns Electrification Project resettlement and compensation principles and implementation arrangements; • Describe the legal and institutional framework underlying Ethiopian approaches for resettlement, compensation and rehabilitation; • Define the eligibility criteria for identification of project affected persons (PAPs) and entitlements; • Describe the consultation procedures and participatory approaches involving PAPs and other key stakeholders; and • Provide procedures for filing grievances and resolving disputes. 1.2.2. Principles of the Resettlement Policy Framework (RPF): The RPF is guided by a set of policy principles described below. • Involuntary resettlement and land acquisition will be avoided where feasible, or minimized, by exploring all viable alternatives. • Where involuntary resettlement and land acquisition is unavoidable: o Resettlement and compensation activities will be conceived and executed as sustainable development programs. o Displaced and compensated persons will be meaningfully consulted and will have opportunities to participate in planning and implementing resettlement and compensation programs. • Displaced and compensated persons will be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them. The RPF seeks to ensure that affected communities are meaningfully consulted, have participated in the planning process, are adequately compensated to the extent that their pre-displacement incomes have been restored, and the process is fair and transparent. EEP, Environmental and Social 10 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- The RPF therefore is prepared to guide and govern the sub- projects selected for financing and sets out the elements that will be common to all subprojects that will entail involuntary resettlement, which will not be known by the time of project appraisal. The RPF provides the basis for preparing Resettlement Action Plan (RAP)/Abbreviated Resettlement Action plan (ARAP) for individual subprojects (if required) once their location and scope are known. Whenever a project activity or subproject results land acquisition, a RAP, which is a detailed action plan for each subproject, will have to be formulated and approved by the EEP and the World Bank before the commencement of the physical work. Table 1.1 below, explains the screening process to be used to determine when to prepare a RAP Table 1.1: Social safeguards Screening Information: Social safeguards screening information Yes No 1 Will the project reduce other people’s access to their economic resources, like land, pasture, water, public services or other resources that they depend on? 2 Will the project result in resettlement of individuals or families or require the acquisition of land (public or private, temporarily or permanently) for its development? 3 Will the project result in the temporary or permanent loss of crops, fruit trees and Household infra-structure (such as granaries, outside toilets and kitchens, etc)? 4 Will the project require excavation near any historical, archaeological or cultural heritage site? 5 Might the project adversely affect vulnerable people (e.g., elderly poor pensioners, physically challenged, women, particularly head of Households or widows etc) living in the area? For all issues indicated by “Yes”, the project implementer is expected to explain how he/she intends to mitigate them. Implementation of the mitigation measures will require using the Resettlement Action Plan When a Resettlement Action Plan (RAP) is required, it will be prepared in accordance with guidance provided in this RPF, including Detailed Measurement Surveys, Identification (Census) of PAPs/displaced persons, and Public Consultation and Disclosure Procedures. The RPF follows the guidance provided in the World Bank Operational Policy on Involuntary Resettlement (OP EEP, Environmental and Social 11 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 4.12). The impacts of any potential resettlement activities will be monitored and evaluated as set out latter in this RPF. The RPF ensures that any possible adverse impacts of proposed project activities are addressed through appropriate mitigation measures, in particular, against potential impoverishment risks. 1.3. The Implementing Agency Ethiopian Electric Power (EEP) is the implementing agency under the Ministry of Water, Irrigation and Energy. The Ethiopian Electric Power (EEP) will be responsible for the power supply. Environmental Health Safety and Quality (EHS &Q) office, which is under EEP is responsible for managing operations concerning EHS and quality aspects, like: managing quality system, evaluating and managing environmental impacts and defining health and safety policies and operations. Environmental and Social Office works to make the power generation and transmission construction environmentally and socially sound and sustainable. The team works in line with the environmental proclamations, policies and international conventions enforcing EEP to comply. The major task of the Environment and Social Office is to conduct periodic monitoring in power projects and operational activities of EEP, Environmental and Social impact Assessment (ESIA) and Resettlement Action Plan (RAP). The team ensures whether or not the EEP power projects are complying with the approved environmental and social management plan and undertaking the appropriate mitigation measures accordingly. The team will be providing technical support and regular monitoring of identified potential risks and agreed solutions according to the WB social safeguard policy. EEP, Environmental and Social 12 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 2. LEGAL AND INSTITUTIONAL FRAMEWORK This RPF will apply the laws, legislations, regulations, and local rules governing the use of land and other assets in Ethiopia. This legal and institutional framework is presented in five sections:; (i) Human Rights and Compensation; (ii) Property and land rights, as defined by Ethiopian law and customary practice; (iii) Acquisition of land and other assets, including regulations over the buying and selling of these assets; (iv) compensation, in particular, the accepted norms influencing peoples’ basic rights to livelihood and social services; (v) Dispute resolution and grievance mechanisms, specifically the legal and institutional arrangements for filing grievances or complaints and how those grievances are addressed through formal and informal systems of dispute resolution; and (vi) Comparison with World Bank OP4.12, using equivalence and acceptability standards. 2.1 Political economy and governance in Ethiopia Land rights in Ethiopia do not explicitly provide private property rights. After the Proclamations No. 31/1975 and 47/19753, ownership of land was vested in the State, and Ethiopian citizens were given various forms of use-rights (usufruct) over land and other resources. Accordingly, 1995 Constitution Article 40(3) recognizes land as a common property of the Nations, Nationalities and peoples of Ethiopia and prohibits sale or any other exchange of land. In some cases, the user of land has ownership of his/her possessions with the right to benefits from the fruits of his/her labor. This includes crops, perennial crops, tress for timber, etc. found on the land or any other permanent fixtures such as residential house, business installations, stores and fences, amongst others (Proclamations No. 31/1975 and 47/1975). 1995 Constitution Article 40(7) reiterates and furthers this point by stating, “Every Ethiopian shall have the full right to the immovable property he builds and to the permanent improvements he brings about on the land by his labor or capital. This right shall include the right to alienate, to bequeath, and, where the right to use expires, to remove his property, transfer his title, or claim compensation for it.” Regional states are responsible for administering land, enacting law that is in conformity with the provisions on environmental protection and federal utilization policies (Proclamation No. 89/1997 and Proclamation No. 456/2005 Article 17(1)). Additionally, Zikre Hig Regulation No. 3Before 1975, the 1960 Civil Code of the Empire provide for private land ownership. As this law has been overruled by these laws and Proclamation No. 455/2005 regarding compensation, it should not serve as the legal framework for resettlement. EEP, Environmental and Social 13 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 6/2002 provides for the lease holding of urban land for a specific period of time, and also regulates the lease period for different functions, grade of land and payment of lease. Lastly, the law regulates manners of expropriation of land and designates land that can be expropriated for public use without payment of compensation. These rights over “holding land” are open-ended (no time limit on this usufruct), subject to a proof of permanent physical property, ability to farm continuously and meet administrative dues and obligations (1995 Constitution Article 40(3)). Furthermore, Proclamation No. 89/1997 confirms and details the Constitutional principle that holding rights on land can be assigned to peasants and nomads, and that these are to be secured from eviction and displacement. 1995 Constitutions Articles 40(4) and 40(5) provides for free land without payment for farmers and pastoralists. Lastly, Proclamation No. 80/1993 allows companies to attain access to land through auction, allocation, or lottery, similar to individuals. Overall, the Constitution protects against unlawful seizure of property, stating “Everyone shall have the right to his privacy and physical integrity. This right shall include protection form searches of his person, his home, his property and protection from seizure of property under his possession” (1995 Constitution Article 26). “Landholder” means an “individual, government, or private organization or any…other…organ which has legal personality and has lawful possession over the land to be expropriated and owns property situated thereon” (Proclamation No. 455/2005 Article 2(3)). The key institutional actors involved in resettlement are the local governments of Ethiopia at the woreda, urban administration, and kebele levels. This keeps in line with the Government’s policy of decentralization. The responsibilities of the federal and regional governments are confined to the actual project’s implementation. Agencies that tend to be included are the federal and regional Ministries of Finance and Economic Development and the ministries associated with the sector of the project. 2.2 Property and land rights in Ethiopia Land acquisition and property rights are defined in the 1995 Constitution Article 40(8), which empowers the Government to expropriate private property for public purposes subject to payment in advance of compensation commensurate to the value of the property. Under Proclamation No. 455/2005, expropriation of land and other assets are established in detailed procedures and time limits where land could be acquired after a request is received from the proponent along with compensation. EEP, Environmental and Social 14 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- The power to expropriate landholdings belongs to a Woreda (rural local government) or urban administration for a development project (Proclamation No. 455/2005 Article 3). The implementing agency is required to provide written notification, with details of timing and compensation, which cannot be less than 90 days from notification (Proclamation No. 455/2004 Article 4). Any entitled landholder who has been served with an expropriation order shall hand over the land to the local Woreda or urban administration within 90 days from the date of payment of compensation should the leaseholder accept payment. Furthermore, where there is no crop or other properties on the expropriated land, the title holder shall hand over the land within 30 days of receipt of expropriation order. Lastly, Article 4 gives power to use police force if a landholder is unwilling to hand over land. The implementing agency is responsible for gathering data on the land needed and works, and sending this to the appropriate officials for permission. It is also required to compensate affected landholders (Proclamation No. 455/2005 Article 5). For example, regarding the removal of utility lines, the relevant government body must give a written request to the affected landholder, and this body must determine a fair compensation within 30 days (Proclamation No. 455/2005 Article 6). Compensation must be paid within 30 days of the receipt of the valuation, and the landholder must vacate the land within 60 days of receipt of compensation. 2.3 Acquisition and valuation of land and other assets Valuations are often done at the Woreda and urban administration levels. These local government units establish valuation committees to value private properties (Proclamation No. 455/2005). In the case of publicly owned infrastructure with a designated right-of-way (ROW), the owners of the structures within the ROW would assess the value of properties to be removed. However, the law does not take into account depreciation values. The landholder is entitled to be compensated for the property on the basis of replacement. Permanent improvements to the land, equal to the value of capital and labor expended (Proclamation No. 455/2005 Article 7), are specified as valid basis for determining replacement value. Where property is on urban land, the law specifies that compensation “may not be less than constructing a single room in low cost house as per the region in which it is located.” It is also required that the cost of removal, transportation, and erection be paid as compensation for a relocated property, continuing its service as before. Compensation will also be based on current cost, cost of demolishing, moving, and reinstalling. Valuation formulae are to be provided by regulations (Proclamation No. 455/2005 Article 7). EEP, Environmental and Social 15 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Assets will be broken down into components to assess value (ANRS 28/2007 and Regulation No. 135/2007). Components for building costs include cost per square meter. Crops are subdivided into crops and perennial crops, and calculated based on yield per square meter of land multiplied by price per kilogram. Trees could be cut and used by owner plus payment of compensation for loss of continued income. The cost of machinery, labor for improvement, and any infrastructure as part of the improvement will be compensated based on current costs for the improvements made on land. The cost for the relocation of property will be on the basis of the cost incurred for relocation, such as payment for labor, machine used to remove and relocate, and transport. The amount of compensation for protected grass for grazing purposes shall be determined on the basis of productivity of grass per square meter based on the current price of grass. In addition to compensation to the grass, the owner of the grass can cut and collect the grass within the given period. Compensation for grass is calculated based on the area covered by the grass or area of protected grass per square meter multiplied by the current market price of the grass per square meter for ten years. (Note: more detailed instructions for compensation are included within Regulation No. 135/2007.) Further, assets will be classified as movable and immovable. For movable assets, compensation will be paid for inconvenience and other transition costs (Proclamation No. 455/2005 Article 7(5) and ANRS Regulation No. 51/2007). Immovable assets include residential houses, business installations, institutional structures, stores, fences and public service providing installation. In rural areas, they include seasonal crops, perennial fruit trees, timber trees and other cash crops. For losses that cannot be easily valued or compensated in monetary terms (e.g. access to public services, grazing areas, water points, fishing ponds, etc.), an attempt will be made to establish access to equivalent and culturally acceptable resources and earning opportunities (Proclamation No. 455/2005 Article 7(2)). In addition to compensation according to Proclamation No. 455/2005 Article 7, displacement compensation shall be paid equivalent to ten times the average annual income he/she secured during the five years preceding the expropriation of the land (Proclamation No. 455/2005 Article 8(3) and ANRS Regulation No. 51/2007). Compensation will be in an amount sufficient to reinstate displaced people to their economic position prior to displacement; the regionally relevant administration is required to give another piece of land to any person who lost his land in favor of a public project (Proclamation No. 455/2005 and ANRS Directive No. 28/2007). The assessment of compensation does not include the value of the land itself because land is a public property and not subject to sale in Ethiopia. The compensation in Ethiopia is for the property established (house, crops, grass, perineal crops, improvements made on land including preservation) and land for land with equivalent locational vale and fertility when available. EEP, Environmental and Social 16 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Those with informal, or undocumented rights, and those without titles or use right (e.g. squatters, encroachers) are eligible for specific assistance. Such assistance recognizes some “typical claim to use rights or even ownership” after occupation of unused or unprotected lands has been established. Informal use-rights are likely to have structures or land improvements that are eligible for compensation, as stated in Proclamation No. 455/2005. In general, valuation of property is to be carried out by a certified private or public institution or private consultants as per the valuation formulae (Proclamation No. 455/2005 Article 9). The committee must be made up of experts with relevant qualifications (Proclamation No. 455/2005 Article 10). This must be not more than 5 experts in rural areas and be designated by the Woreda or urban administration. A specialized committee of experts may also be set up separately if required. The local and federal governments have different roles in compensation. The Woreda and urban administrations are responsible that compensation is paid and giving rehabilitation support to the extent possible, and maintain data regarding properties removed from expropriated landholdings (Proclamation No. 455/2005 Article 13). The Ministry of Federal Affairs has the power and duty to ensure that there is compliance with Proclamation No. 455/2005 at the regional level, to provide technical and capacity building support in implementation at the regional level, and prepare the valuation formulae (Proclamation No. 455/2005 Article 12 and ANRS Proclamation No. 13.2006). 2.4 Human rights and compensation The people of Ethiopia are given the right to improved living standards and sustainable development and the right to be consulted with respect to policies and projects affecting their communities (1995 Constitution Articles 43(1) and 43(2)). Additionally, all international agreements and relations by the State must protect and ensure Ethiopia’s right to sustainable development (1995 Constitution Article 43(3)). Lastly, 1995 Constitution Article 44 guarantees the right to a clean and healthy environment. The 1995 Constitution Article 40(8) provides that “without prejudice to the right to private property, the Government may expropriate private property for public purposes subject to payment in advance of compensation commensurate to the value of the property.” The words “prior” and “adequate” are in line with the Universal Declaration of Human Rights. This manifests rights to citizens for basic services and programs, including facilities to guarantee education, health, and housing. EEP, Environmental and Social 17 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Persons who have been displaced or whose livelihoods have been adversely affected by a State program are provided, under the 1995 Constitution Article 44, to some form of compensation for their loss. This includes relocation expenses. 2.5 Dispute resolution and grievance mechanisms The Kebele (local level of government that is smaller than a Woreda) shall discuss and agree to the proposed expropriation (ANRS Proclamation No. 133/2006). The ANS Directive No. 7/2002 provides for the expeditious decision making system with regard to expropriation of urban land. It describes the composition of the jury members: a justice officer as chairperson, two residents of the town where the land is located, and two representatives of government offices. The decision of the Appeals Court regarding basic land expropriation issues is final; however, an appellant could take the cases related to the amount of compensation, delays in payment, or similar cases all the way up to the High Court. If misunderstandings and disputes arise between the principal parties (e.g. local government bodies and affected parties) involved in the resettlement and compensation process, the preferred means of settling disputes is through arbitration (Proclamation No. 455/2005). The number and composition of the arbitration tribunal may be determined by the concerned parties. Though Proclamation No. 455/2005 provides for appeals from valuation decision, such action will not delay the transfer of possession of land to the proponent. A complaint related to the amount of compensation shall be submitted to the regular court having jurisdiction (Proclamation No. 455/2005 Article 11(1)) if the administrative body for handling disputes has not yet been established. Appeals for dispute resolution may be referred to the regular Appellate Court (Proclamation No. 455/2005 Article 11(4)). 2.6. Procedures for Resettlement According to the World Bank OP 4.12 The World Bank’s Safeguard Policy OP 4.12 applies to all economically and /or physically affect persons regardless of the number of people affected, the severity of impact and the legality of land holding. The OP 4.12 further requires particular attention to be given to the needs of vulnerable groups such as those who are below the poverty line, landless, elderly, women and children, indigenous groups, ethnic minorities and other disadvantaged persons. The World Bank’s Policy requires that a RAP shall be prepared and cleared by the Bank prior to implementing resettlement activities. The Bank also requires that the provision of compensation and other assistance to Project Affected Persons, to restore livelihoods when these are affected EEP, Environmental and Social 18 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- appreciably, shall be done prior to the displacement of people. In particular, the policy requires that possession of land for project activities may take place only after compensation has been paid. Resettlement sites, new homes and related infrastructure, public services and moving allowances must be provided to the affected persons in accordance with the provisions of the RAP. The land acquisition aspects of this project will be done in accordance with the Ethiopia law and the World Bank’s policy on land acquisition. In comparison and bridging the gaps between the requirements under Nigeria Law and the World Bank, it is emphasized that the higher of the two standards/instruments (the more beneficial to the project affected persons) should be followed as it also satisfies the requirements of the lesser standard. 2.7. Comparison of the National Policies and the World Bank OP 4.12 Operational Policy There are significant gaps between Ethiopian laws and regulations and the requirements for resettlement as laid out in OP 4.12. These gaps relate to the general principles for resettlement, eligibility criteria, the notification period for expropriation and resettlement, and the procedures required throughout the resettlement process. As shown in Table2.I (below) highlight the differences between Ethiopian laws and World Bank policies regarding resettlement and compensation. Below is a short discussion of the most important differences. While OP 4.12 requires that compensation be completed prior to the start of the project, there are no similar timetables set out in Ethiopian laws or regulations. Additionally, there is no provision for relocation assistance, transitional support, or the provision of civic infrastructure under Ethiopian law. (See Table 2.I, Section II) Additionally, Ethiopian law does not make any specific accommodation for squatters or illegal settlers, other than recognition of some use-rights, such as when settlers can claim rights to the land. OP 4.12 requires that affected communities be consulted regarding project implementation and resettlement. Affected communities should also receive the opportunity to participate, implement, and monitor resettlement. However, Ethiopian law states that, when it is determined that a right of way must be established, the expropriation rights of the State take precedence, although the Constitution protects the individual’s use-rights. Ethiopian law makes no specific accommodations for potentially vulnerable groups such as women, children, the elderly, ethnic minorities, indigenous people, the landless, and those living under the poverty line. These groups are at highest risk to experience negative effects due to resettlement, and should receive special consideration during the preparation of a resettlement policy framework to assure that they can maintain at least the same standard of living after displacement takes place. EEP, Environmental and Social 19 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Finally, there is also no provision in the law that the state should attempt to minimize involuntary resettlement. However, this appears to be implicit in the country’s Constitution. To ensure the interest of project affected persons and mitigating the negative impacts of the subprojects, this RPF will be based on the existing national laws on expropriation and compensation payments. To bridge the gaps mentioned above and address the negative impacts of the resettlement activities on these groups, the following strategies will be followed: Capacity building training on different technologies, and technical support to participate/engage on different livelihood activities; Participate on different income generating/livelihood activities that AGP-II will create; Create access to finance/credit to participate/engage on different livelihood activities; Follow up and monitoring of the resettlement and livelihood restoration activities. EEP, Environmental and Social 20 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Table 2.1 Comparisons of National Legislation and World Bank Operational Polices Theme World Bank Op 4.12 Ethiopian Legislation Comparison Recommendations to Address Gaps Policy World bank OP4.12 has overall Proclamation No 455/2005 (Article The World Bank requirement World Band OP 4.12 overall Objectives policy objectives, requiring that: 3(1)) gives power to Woreda or for avoidance or objectives shall be applied to Involuntary resettlement should be urban administrations to minimization of involuntary avoiding or minimizing involuntary avoided wherever possible, or “expropriate rural or urban resettlement is not written resettlement to ensure resettlement minimized, exploring all alternatives. landholdings for public purpose into Ethiopian legislation. program is sustainable and includes Resettlement program should be where it believes that it should be Proclamation No 455/2005 meaningful consultation. sustainable, include meaningful used for a better does not indicate consultation with affected parties development…”This is supported by consultation with displaced and provide benefits to the affected Article 51(5) and Article 40(8) of the persons throughout the parties 1995 Constitution. resettlement process, rather Displaced persons should be assisted Proclamation No 455/2005 (Article only allows for a complaints in improving livelihoods etc or at 7(5) states that” the cost of and grievance process. least restoring them to previous removal, transportation and Although Proclamation No levels erection shall be paid as 455/2005 allows for some compensation for a property that form of support to the could be relocated and continue to displaced persons, it does serves as before.” not explicitly state that livelihoods should be restored to previous levels or improved. EEP, Environmental and Social 21 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Theme World Bank Op 4.12 Ethiopian Legislation Comparison Recommendations to Address Gaps Notification Article 10 of World Bank OP4.12 Article 4 of Proclamation No There is a gap in Displaced person should always be period requires that the resettlement 455/2005 requires notification in Proclamation No 455/2005 paid compensation and support /timing of activities associated with a sub - writing, with details of timing and to allow land to be before the land is handed over, as displaceme projects are linked to the compensation, which cannot be expropriated before per World Bank OP4.12. nt implementation of development less than 90 days from notification. necessary measures for program to ensure displacement or It requires that land should be resettlement take place, restriction of access does not occur handed over within 90 days of particularly before the before necessary measures for payment of compensation displaced person has been resettlement are in place. In payments. If there is no crop or paid. This can have serious particular, taking of land and related other property on the land, it must consequences for those assets may take place only after be handed over within 30 days of affected, as they may be compensation has been paid and notice of expropriation. It further displaced without shelter or where applicable, resettlement sites gives power to seize the land livelihood. and moving allowances have been through police force should the provided to displaced persons. landholder be unwilling to hand over the land Eligibility World Bank OP4.12 gives eligibility Proclamation No 455/2005, Article According to World Bank The requirements of World Bank for to: 7(1) allows’ landholders’ to be OP4.12, eligibility for OP4.12, as described in Column 1 of Compensati Those who have formal legal rights eligible for compensation, where compensation is granted to this table, expected to be applied, on to the land; the term “landholder” (Article2(3) “affected parties". Ethiopian Those who do not have formal legal means” and individual, government Legislation only grants rights to land, but have a claim to or private organization or any other compensation to those with such land; and organ which has legal personality lawful possession of the Those who do not have recognizable and have lawful possession over land, and as per legal right or claim to the land the land to be expropriated and Proclamation No 456, those owns property situated thereon” with traditional possession i.e. Communal lands. It therefore does not recognize those without a legal right or claim as eligible for compensation. Compensati World Bank OP4.12 Article 6(a) Article 7 of Proclamation No. The World Bank requirement The World Bank requirements for on requires that displaced persons are 455/2005 entitles the landholder to for compensation and compensation must be followed, as provided with prompt and effective compensation for the property on valuation of assets it that per OP4.12 footnote 1, which states, compensation at full replacement the land on the basis of compensation and relocation “Where domestic law does not meet EEP, Environmental and Social 22 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Theme World Bank Op 4.12 Ethiopian Legislation Comparison Recommendations to Address Gaps cost for losses of assets attributable replacement cost; and permanent must result in the affected the standard of compensation at full directly to the project. If physical improvements to the land, equal to person must have property replacement cost, compensation relocation is an impact, displaced the value of capital and labour and a livelihood returned to under domestic law is supplemented persons must be provided with expended. them to at least equivalent by additional measures necessary to assistance during relocation and standards as before. This is meet the replacement cost residential housing, housing sites Where property is on urban land, not clearly stated in local standard.” See specific measures and /or agricultural sites to at least compensation may not be less than Proclamations. It is expected outlined in Section 8. equivalent standards as the previous constructing a single room low cost that the regulations and site. Replacement cost does not take house as per the region in which it directives will provide more depreciation into account. In term of is located. It also requires that the clarity and clearer guidance valuing assets. If the residual of the cost of removal, transportation and in this regard. asset being taken is not economically erection will be paid as viable, compensation for a relocated property continuing its service as before. Valuation formula are provided in Regulation No. 135/2007 Responsibil According to OP4.12, Article 14 and Article 5 of Proclamation No The process required for the As per the World Bank ities of the 18), the borrower is responsible for 455/2005 sets out the project proponent / requirements, project processes project conducting a census and preparing, responsibilities of the implementing implementing agency lacks included screening, a census, the proponent implementing, and monitoring the agency, requiring them to gather descriptive processes in local development of a plan, appropriate resettlement data on the land needed and works, legislations... management of compensation instrument. Article 24 states that the and to send this to the appropriate payments and monitoring and borrower is also responsible for officials for permission. If also evaluation of success. It must also adequate monitoring and evaluation requires them to pay compensation include proper consultation with the of the activities set forth in the to affected landholders. affected parties throughout the resettlement instrument. In process. addition, upon completion of the project, the borrower must undertake an assessment to determine whether the objectives of the resettlement instrument have been achieved. This must all be done according to the requirements of OP4.12. Article 19 requires that the EEP, Environmental and Social 23 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Theme World Bank Op 4.12 Ethiopian Legislation Comparison Recommendations to Address Gaps borrower inform potentially displaced persons at an early stage about the resettlement aspects of the project and takes their views into account in project design. EEP, Environmental and Social 24 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 3. PROJECT DESCRIPTION 3.1. The Project Area The country is composed of nine regional states and two Metropolitan City Administrations under the Federal Administration. The project will be implemented in five Regional Governments namely Oromia, SNNP, Amhara, Tigray and Harari. With In the five regional Governments the project found in seven cities specifically, Beshoftu/ Debrazeyit/, Wolayita Sodo, Gonder, Adigrat, Debre Markos, Shashamene and Harar of Ethiopia. Therefore, the approach followed in this case is that, since these locations could be find in different sections within the towns, it is better to describe the Social and environmental situations of the towns and the Regions. EEP, Environmental and Social 25 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 3.2. Description of Project Activities Project Description The original ENREP, in the amount of SDR 129.2 million (US$200 million equivalent), was approved by the World Bank Board on May 29, 2012. The PDOs are to improve the reliability of the electricity network and to increase access to electricity services in Ethiopia. ENREP consists of the following four components: • Component 1: Reinforcement of Electricity Network (US$100 million equivalent from IDA and US$20 million from GoE). This component supports grid upgrade and extension to improve the overall service delivery of the Ethiopian electricity network. • Component 2: Access Scale-Up (US$50 million equivalent and US$20 million from GoE). This component includes: (i) intensification of connections to households and villages in areas already covered by the grid; (ii) extension of the distribution network in selected areas; and (ii) enhancement of connectivity in newly connected areas. • Component 3: Market Development for Renewable Energy and Energy Efficient Products (US$40 million equivalent and US$10 million equity contribution from beneficiaries). This component leverages the market-based approach developed under the umbrella of Lighting Africa program4 to support the spread of off-grid renewable energy systems among households residing in areas far removed from the grid, or those in areas already covered who cannot afford a connection. Specifically, credit facilities to Private Sector Enterprises (PSEs) and Micro Finance Institutions (MFIs) have been set up under this component with the Development Bank of Ethiopia (DBE) serving as financial intermediary to provide financing for stand-alone renewable energy systems as well as energy efficient products, such as solar home systems (SHSs), solar lanterns, improved cook-stoves, biogas, etc. PSEs are approved retailers that can access the credit line to import and commercialize products. MFIs provide financing to households or small businesses in rural areas interested in installing biogas plants, SHSs, etc. • Component 4: Modernization Support (US$10 million equivalent). This component provides support to the modernization of the electricity sector initiated by the GoE, which ultimately led to the unbundling of EEPCo. Technical assistance targets planning capacity and operational efficiency improvements, contract management, asset management, and other good practices required for a utility to operate under commercial principles. A key activity financed under this component is the installation of an Enterprise Resource Planning (ERP), Customer Centric Applications and Decision Support System for EEU. This component also includes capacity building for DBE, MFIs, and the Ministry of Water, Irrigation and Energy (MoWIE). The main objective of the Urban Distribution Rehabilitation project is to rehabilitate and expand the distribution network in the target seven cities to ensure safe system operation and enable 4 See https://www.lightingafrica.org. EEP, Environmental and Social 26 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- connection of new customers in seven major cities namely: Adigrat, Beshoftu, Debre Markos, Gonder, Harar Shashamene and Wolayita Sodo. Universal Electrification Access Program, Seven Towns Electricity Distribution Network Rehabilitation and Expansion Project Feasibility Study (October 2015) prepared by EEP identified the following major works: 1. Additional overhead transformer stations will be erected to replace the existing 15 or 33/0.415 kV transformer stations to supply new developmental areas 2. Replacement of existing step-up transformers at the seven towns. 3. Reinforce the low voltage network with the construction of 415/230V overhead lines to supply new development areas and replace the existing old lines. 4. An additional wire will also be included in the cables to feed street light points. 5. The project will also enable the installation of service drop lines for the connection of 60,000 customers in the new development areas. Significant environmental and social impacts are not expected because the rehabilitation activities will all take place within the existing distribution system. Where new distribution lines erected, it usually follows the road infrastructure and environment and social impacts are minimum. The Urban Distribution Rehabilitation focuses on rehabilitating existing distribution systems of seven major cities with the following interventions: • Replacement of wooden poles by concrete poles (low voltage), • Replacement of wooden poles by concrete poles (medium voltage), • Replacement of medium voltage overhead lines, • Replacement of low voltage overhead lines, • Installation of pole mounted transformers The Purpose of the Urban Distribution Rehabilitation is: • Enhance reliable power supply, • Reduction of voltage drop and power loss, • Supply of electricity to new customers, and • Enhance aesthetics of the cities (by replacing old wooden poles with new concrete poles and installation of underground cable) EEP, Environmental and Social 27 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- The concrete poles to be used are normally about 8-12 meters high. This type of distribution line normally follows the road network except for bends and a curve where it is more economical to make shortcut if that is technically feasible. Causal labor will be recruited from the construction area thus providing employment opportunity to the local communities. No camp or other temporary facilities are required. The main structural intervention is the erection of concrete poles. However, the flexibility in the positioning of distribution poles and the relatively low costs of changing line direction mean that the alignment can be modified to avoid displacing any households, hence avoiding any land acquisition or resettlement of households. However, crop damage may occur during construction and a compensation plan will be prepared. EEP, Environmental and Social 28 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 4. Environmental and Social context and baseline information for seven cities 4.1 Debrazeyit /Beshoftu/ town Location: Bishoftu city /Debrezeyit / is found in Eastern Showa zone of Oromiya region located between 8043l-8045lN Latitude and 380056l-39l-39001E longitude and has an elevation of 1920m (6300ft). It is located at a distance of 47 km south east of Addis Ababa and 52 Km from Adama to the North West. Area in hectare: The total area of the city was 3,280 hectare in the year 1992 E. C and in 2002 E.C increased to 15,273 hectares. Population: According to CSA, 2007 censes the population projection made for 2014/15 for Bishoftu city is 154,310. Out of these 73,736 (48%) are Male and 80,574 (52%) are Female. And in terms of age distribution 62% of the population is categorized under age of 15-64 populations. For more information see the following tables. Table 4.1. Population size by the year Sex Population dynamics (E.C) 1976 1986 1999 2000 2001 2002 2003 2004 2007 Male 25,764 35,058 47,854 49,180 50,607 52,074 53,584 57,743 73,736 Female 27,891 38,314 52,260 53,582 55,136 56,734 58,379 65,377 80,574 Total 53,655 73,372 100,114 102,762 105,743 108,808 111,963 123,120 154,310 Source: - 1999 censes and population projection made for 2006.E.C. Religious groups: The majority of the inhabitants are followers of Ethiopian orthodox Christianity with 79.75% while 13.82% of the population are protestant and 4.98% of the population are Muslims (2007 population and housing census of Ethiopia). Ethnic groups: According to 1994 census the major ethnic groups includes Amhara (42.86%) and Oromo (39.4%) and all other group (9.44%). EEP, Environmental and Social 29 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Social services Education service: According to the data of Bishoftu town education office, in 2014, there are 57 kindergartens, 63 primary schools, 2 high schools, 2 preparatory schools and 3 TVET’s in the town. Health service: Bishoftu town has 2 hospitals, three heath care centers, Four junior centers, 18 private clinics seven private pharmacies one private rural drug vender’s, one malaria controlling centers and 19 other private health accessibilities are available. Based on these facilities, the health coverage of the Bishoftu City is 75%. This percentage coverage was calculated as the national standard that is one health centre is for 40,000 people. The data obtain from Bishoftu city administration health office indicates that 29 medical doctors, 21health officers, 64 nurses, 11 pharmacist, 6 sanitarians, 2 health assistances 42 community health extensions and 70 technicians are on providing government and non-government health institutions. Water supply: According to Bishoftu city administration 2014, Bishoftu city portable water coverage is 95%. 4.2 Wolayita Sodo Town Location: Wolayita sodo town is located southern part of Ethiopia in southern nation and nationalities and peoples of Ethiopia. Regional state Wolayita zone, at a distance of 390km from Addis Ababa through Shashemane and 329km through Hossaina and 167km from Hawassa the regional capital. Its geographical coordinate is 6054’N latitude and 37045’E longitude and located at an altitude about 1900m. Temperature: The average monthly temperature in the area ranges between 11.90C (August) and 26.20C (January) with a mean annual temprature18.90C. Population: Based on the 2007 census conducted by CSA Wolita sodo town has a total population of 76,050 of whom 40,140 are men and 35,910 women. Based on annual population predictions, the city population is growing at 4.8% at 2014 has a total population of 105591 of whom 55691 are men and 49900 women. Religious group: Based on CSA 2007, the majority of the inhabitants (54.61%) are Protestants, 38.43% are Ethiopian Orthodox Christians, 4.76% are Muslims and 1.28% are Catholics. EEP, Environmental and Social 30 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Social services Education services: In the city there are 30 non-government and private schools and 14 government schools and 12 KG schools and totally 44 regular schools are available. And also 3 government Colleges, 4 private colleges and 1Government University are giving service in the city for 21000 students. Health service: Wolita Sodo city has two hospitals, three health centres, 10 medium and 19 small clinics, 3 dental and 2 diagnostic laboratories and bed rooms are available. The number of medical personnel has come too increase from year to year. Water supply: According to Wolayita Sodo city administration, in 2014 the town portable water coverage is 76.4%. 4.3. Gonder Town Location: Gonder town is located in the northern part of Ethiopia in Amhara national regional state, north Gonder zone at a distance of 747km from Addis Ababa and 170km from regional capital Bahirdar. Its geographical coordinate is 120 45’ N latitude and 37045’ E longitude with an elevation of 2133 m.a.s.l. (6998ft). Total area: The town has an estimated area of 209.27km2 (80.80km2) Population: According to the data CSA, 2007 Gonder has a total population of 206987. Out of these 98,085 are male and 108,902 are female. Religious group: Based on Gonder city administration mayor office, 85% of population practiced Ethiopian orthodox Christianity while, 13% are Muslims and 2% are others. Social services Transport: Air transport is served by Gonder airport at Atse Tewodros Air Port. It is 18kmsouth of the city. Travel within Gonder is mostly done by minibuses and 3-wheels motor cycles (accommodating 3-4 passengers). Education service: According to the data of Gonder town mayor office, in 2014/15, the education coverage of Gonder city is 78% kindergartens, 91%, primary schools, 101% high schools, preparatory schools and 51% TVET’s in the town. EEP, Environmental and Social 31 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Health service: Based on data of Gonder town mayor office, the health coverage of the Gonder City is 75%. Water supply: According to Gonder town administration, 2015 the town portable water coverage is 100%. 4.4. Adigrat Town Location: Adigrat town is located in the northern part of Ethiopia, eastern zone of Tigray region at 140 160N latitude and 39029’E longitude with an elevation ranges from 2530- 2660 m.a.s.l. at a distance of 898km towards north from Addis Ababa and 125km from Mekele city. Total area: Based on the data obtained from Adigrat city municipality (2011), the town has an estimated area projected for 2012 is 19.34km2 (1934 ha). Population: Based on the 2007 national census conducted by CSA of Ethiopia, this town has a total population of 57,588 (26,010men and 31578 women), projected to reach 72781 i.e., 32872 male and 39909 female in 2012. Religion: According to 2007 census, 94.01% practiced Ethiopian Orthodox Christianity, while 3% of the populations are Catholics and 2.7% are Muslims, 0.2% are protestants and the remaining 0.022% are traditional and other religious groups. Social services Transportation: Adigrat town is located along Ethiopian highway 2, which connects the city with Addis Ababa and Mekele. In Adigrat Ethiopian highway 2, turns off the main highway to the west in the direction of Adwa. To the north of Adigrat, Ethiopian highway connects the city to Kokobay and Asmara in Eritrea. Education service: According to the data of Adigrat education office 2011, in 2010, there are 15 kindergartens, 22 primary schools, 4 high schools, 2 preparatory schools, 1 TVET’s, 3 colleges, 1 university in the town. Health service: According to data from Adigrat health office 2011, Adigrat city has 1 zonal hospital, 2 health centers, 1 medium and 3 lower clinics. Water supply: According to Adigrat city administration, 2015 the city portable water coverage is 71.93%. EEP, Environmental and Social 32 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 4.5. Debre Markos Town Location: Debre Markos town is located in north western Ethiopia in Amhara regional state, East Gojame zone, at a distance of 300km from A.A and 265km from Bahirdar the regional capital. Its geographical coordinate is 10021’N latitude and 37043’E longitude. Population: Based on CSA, 2007 Debre Markos town has a total population of 62,469 of whom 29,901 are male and 32,568 are female. Religion: According to census 2007, majority 97.03% of inhabitants practice Ethiopian orthodox Christianity. While, 1.7% is Muslim and 1.1% is Protestants. Ethnic group: The 1994 nation censes reported in Debre Markos town 97.12% were Amhara, 1.29% Tigrayan and 0.67% Oromo and all other ethnic groups 0.92%. Social service Road sector: Asphalt roads are only found in very few areas/routes/ mainly along the main routes. It covers 45.312km out of these 32.312km constructed by city administration and 13km by city road authority. Cobble and other stone works cover 126.057km. Since recent years, the city is taking initiations to develop main routes with standardized asphalt roads and cobblestones for inner roads. Water supply: According to Debre Markos town administration, 2015 the city portable water coverage is 95%. 4.6. Shashamene Town Location: Shashamene town is located in Oromia national regional state west Arisi zone 250km from Addis Ababa. The town is located 70 08’ 51’’N to 70 18’ 19’’N latitude and 38 0 32’ 43’’E_ 380 41’ 07’’E longitude. Population: The 2007 national census reported a total population for this town of 100,454 of whom 50,654 were men and 49,800 were women. Ethnic Group: Based on the 2007 Census report various ethnic groups are found in the town, Oromo (50.1%) constituted the large proportion of the total population. Next to Oromo, Amhara, EEP, Environmental and Social 33 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Guragie, Wolayita, Kembata, Tigray, Siltie, Hadiya and others formed about 17.3, 10.2, 9.7, 3.6, 3.1, 2.5, 1.1 and 2.4 percent respectively. Religious Group: Based on the 2007 Census report it is mentioned that, the largest proportion of the residents of the town was the followers of Orthodox Christian and Muslim religion, which constituted about 44.0% and 43.9% of the total population of the total population of the town respectively. Protestant, Catholic, and other religion followers constitute 10.1, 1.4 and 0.6 percent respectively. Social service Road sector: The road sector is mainly dominated by earthen road that constitute more than 60% of the total road networks. Asphalt roads are only found in very few areas/routes/ mainly along the main routes and five outlets of the cities. Since recent years, the city is taking initiations to develop main routes with standardized asphalt roads and cobblestones for inner roads. Education service: According to the data of city administration office 2010, there are 25 primary schools, 3 high schools, 2 preparatory schools. Health service: According to data from Shashamene health office 2011, Shashamene city has 1 hospital, 7 health posts, 3 health centers, 16 higher and medium clinics. There are also 12 pharmacies. 4.7. Harar town Location: Harar is the capital of the regional administration and is located in the south-western part of the region at about 525 km road distance east of Addis Ababa at an elevation of 1885m. Population: Based on the central statistics agency (CSA) in 2013 Harar town has an estimated total population of 215,000 of whom 108,000 were men and 107,000 women). Social services Telecommunication Services: According to Harar city administration 2014, Harar has has a modern digital microwave that enables telephone, Internet service, telex, fax, mobile telephone service, which provide access to communicate with anyone in any part of the world easily. EEP, Environmental and Social 34 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Postal Service: According to Harar city administration 2014, Harar has one main post office and five post agents. The main post office has 2000 private boxes of which 1,183 were rented. There are also 10 letter-collection boxes (five of them are found in the post agents). Electric Power: According to Harar city administration 2014, the city gets a 24 hours electric power services from the national grid. The total amount of electric power that Harar gets is 29 megawatt. Currently, closed circuit power supply has been applied to upgrade the power supply. Water: Groundwater resource is being developed at Asseliso locality in Dire Dawa administration for supply of water for Harar and other towns i.e. Aweday, Alemaya, Adelle and Dengego. Ten boreholes that are designed to produce about 287l/s water have been developed to supply water for the first phase design period (up to 2015). Now a day the project is completed and the society is getting service. Road: According to city administration out of the total length of roads in 2001, 18.1km was asphalt; 19.3km gravel has been expanded to 21.7km asphalt and 70 .9 km was gravel roads. 5. PUBLIC CONSULTATION and DISCLOSURE 5.1 Public consultation Public consultation and participation is a continuous process which identifies and discusses the key issues and impacts of the proposed project. Views from local residents, local leaders, surrounding institutions and development partners who in one way or another would be affected or have interest were sought through interviews and public meetings. Public participation includes both the information exchange (dissemination and consultation) and collaborative forms of decision making and participation. Dissemination refers to transfer of information from Project Office of EEP to the affected population. While Consultation generally refers to joint discussion between Project Office and the affected population, serving as a linkage for transfer of information and sharing of ideas. The level of information which is disseminated or the issues on which consultation takes place vary with the progress in the project process. As part of this RPF preparation process for the Additional Finance project Seven Towns Distribution Rehabilitation and expansion, Public consultation were carried out in the Seven EEP, Environmental and Social 35 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Towns namely: Bishoftu/Debrazeyit, Wolayita Sodo, Gonder, Adigrat, Debremarkos, Shashamene and Harar. The consultations were held on 15-30 Sep, 2015 and were conducted by the Environment and Social team of EEP. The consultations were conducted by meetings held at the respective towns with sector bureaus involved in the implementation of the Urban Distribution rehabilitation and expansion project and by conducting discussion meetings with and town dwellers. PAPs, including woreda administration and sector offices (Agriculture desk, municipality, the police, and other relevant Offices) are consulted through individual and group meetings to share information about the project. The main agenda for the consultation discussions were focused on providing information about the Distribution rehabilitation and expansion Project with emphasis on the project positive impact and potential environment and social negative impacts and mitigation measures. Brief explanation of project’s major objective, terms of implementation, possible environmental and Socio economic impact which may surface in due course of the projects implementation phase thereby, further raising their awareness thereof from the outset. Objective of public consultation The main objective of the public consultation is that to consult the community about the proposed project, its component and activities with the community. The Specific objective of information campaign and public consultation are: 1. To share fully the information about the proposed project, its component and its activities with the community; 2. To obtain information about the needs and priories of the communities, as well as information about their reactions to the proposed polices and activities; 3. To inform communities about various options on relocation and rehabilitation; 4. To obtain cooperation and participation of communities in activities required to be undertaken for resettlement planning and implementation; EEP, Environmental and Social 36 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 5. To ensure transparency in all activities related to land acquisition, compensation payment, resettlement and rehabilitation; 6. To establish a clear, easily accessible and effective compliant and grievance handling mechanism; 7. To assist communities in relocating or replacement of their houses. At the time of public consultation the team has made discussion with the local communities and local administrations including city administrative, government officials, Ethiopian Electric Utility regional and district representatives, community elders, religious leaders, Women and different community members. The issues mostly focused were; 1. Brief explanation of project’s major objective, terms of implementation and possible environmental and Socio economic impact that may surface in due course of the projects implementation phase, 2. The communities’ attitude toward the project is expecting employment opportunities and development income generation schemes during construction period. 3. The communities’ expectation to have electric power supply for their localities and improve their livelihood status. The team during all public consultations has explained that the project plays significant role in the development of the national economy such as industrial development, foreign exchange, enhancement of rural educational opportunities and general betterment of the way of life for the population by providing electrical energy from reliable and cheap hydro energy sources. As for the projects socioeconomic impacts, the team also explained that the project would play vital role in supporting and improving the local economy by supplying power for investment sectors, social service like health, education, creating employment opportunities to the local communities and it enables easy and accessible situation for women which reduces work load. Accordingly, the team has explained to all the participants that EEP would conduct proper and transparent compensation prior to project construction for the lost assets, be it Permanent or EEP, Environmental and Social 37 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- temporary as per the proclamation No. 455/2005 and regulation No 135/2007 on the payment of compensation for property situated on land holding expropriated for public purposes and as per the RPF. Summary of issues raised by the community The local communities attending the public consultation and government officials attitude at various levels was very encouraging. The participants of the meeting have expressed their hope that the distribution rehabilitation project will solve the problem of electric interruption in the towns. The distribution expansion will also enable the town dwellers the chance to have electric power to their homes and businesses. The respective stakeholders attending the meeting have come up with the following idea, which marked the meeting adjournment: 1. Since the project highly expected to avail employment opportunities to the local communities, the project owner shall be required to ensure that the local communities is the primary beneficiary of such opportunities by conducting all the required follow-ups to that effect. 2. The respected project affected households shall be entitled to all the reasonable compensation schemes, including the provision of replacement land, jobs, and other resettlement assistances. The following table summarizes the issues raised by the community and how the project responded the issues during the meeting. EEP, Environmental and Social 38 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Table 5.1. Summary of public consultation for seven cities Issues and concerns Responses to Address Concerns & Issues • Impacts on houses, fences during construction • Maximum effort will be made by rerouting the distribution line to minimize the adverse impacts on houses, fences. If the impacts are unavoidable compensation will be made with replacement • Crop and vegetation damage, loss of trees cost. during construction • Maximum effort will be made by rerouting the distribution line to minimize the adverse impacts on crop and loss of trees during survey time. If the impacts are unavoidable compensation will be • Safety issues during pole erection and line stringing made. • Appropriate precaution like placement of safety tags and indicators will be taken to avoid any • Noise pollution adverse damages on the community • Air pollution and soil erosion during • The schedule of construction works will be adjusted so as not to disturb the sleep of the persons construction living near. The noise levels would be monitored on site and in the surrounding communities • Currently there is no sufficient and continuous regularly. electric power supply • The equipment and machinery should be maintained in good state. • Issues of proper compensation payment, if there • Appropriate dust abatement will be provided is an intended loss of asset by the project. • Clearance of vegetation will be minimized to the extent possible. • Using proper erosion control methods including biological and physical means.(energy dissipaters, • Women mentioned that although they are grassing of slopes, etc) working in small scale microfinance cooperation to improve their income due to the insufficient • Protect the crops from being damaged by equipment or machinery electric supply there are not working efficiently. • The team also explained to all the participant that EEP would conduct proper and transparent compensation prior to project construction for the lost assets, be it Permanente or temporary as per the proclamation No. 455/2005 and regulation No 135/2007 on the payment of compensation for property situated on land holding expropriated for public purposes. • The project will help to minimize the problems happening due to shortage, insufficient, and cut off of electric power supply. EEP, Environmental and Social 39 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 6. SOCIO -ECONOMIC IMPACT AND MITIGATION MEASURES 6.1. General Impact of the proposed project The positive social impacts include the creation of short-term job opportunities and skill transfer to the local people. In the long term, the availability of a regular and reliable supply of electricity will contribute to the development and growth of small scale businesses, which in turn will create employment opportunities and increase income. Social service delivery institutions would provide improved services; new skills and knowledge could also be transferred to the area; and local market opportunities will be developed. In addition to this the proposed project improves the living standard of the community; reduce the burden of women and poverty in the country. The adverse social impacts induced by the different construction works will be monitored and mitigated. The detail design of the project will be carried out taking into account the mechanisms to reduce the adverse social and Environment impacts. Each sub project in the urban electrification will provide a report on the distribution line (or Right- of-Way) after mobilization. Those reports will identify: number and type of houses to be affected and or relocated, land acquisition report for the Right-of-Way (ROW), loss of assets and loss of access to assets and services and the number and location of persons to be affected by project operations. The impacts of Project operations on land acquisition will be limited in scope and time. Project operations will disturb, but not impair, the sources of livelihoods of the beneficiary populations. After the erection of the electric poles, farmers will continue to have access to their farmland and continue their farming activities. Also, farmers will still have ownership and access to their farmland and crops in the right of way. There will be temporary disturbance to homes, services and businesses during the upgrading and or construction of new distribution lines in the urban areas. In this case the RAP will be prepared and it includes all temporary and permanent encumbrances and provides appropriate mitigation measures. 6.2. Negative Impact 6.2.1. Socio-economic Impact This Resettlement Policy Framework considers project affected people as those who stand to lose as a consequence of the project, all or part of their physical and non-physical assets, including homes, productive lands, and resources such as perennial and non-perennial crops, forests, commercial properties, and income-earning opportunities. Such impacts may be permanent or temporary. This might occur through land expropriation and restricted or reduced access to important livelihood resources. EEP, Environmental and Social 40 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- The policy framework applies to all economically and/or physically displaced persons regardless of the total number of affected persons, the severity of impact and whether or not they have legal title to the land. Particular attention will be paid to the needs of vulnerable groups among those economically and/or physically displaced especially those below the poverty line, the landless, the elderly, women and children or other economically and/or physically displaced persons who may not be protected through Ethiopian’s legislation related to land exploration. 6.2.2. Categories of Project Affected Peoples (PAPs) Land acquisition for sub-projects may result in negative impacts to different categories of PAPs. Until the exact sub-project locations are determined, it is not possible to estimate the likely number of people who may be affected. However, the likely displaced (economically or physically) persons can be categorized into three groups namely: Affected individuals: These are individuals who risks losing assets, investments, land, property and/or access to natural and/or economic resources as a result of a sub-project. Project affected households: These are groups of PAPs in one household and where one or more of its members are directly affected by the project. These include members like the head of household, male, and female members, dependent relatives, tenants, etc. Vulnerable groups of people: From these households the project will separately identify the vulnerable members, such as those who are too old or too ill; children including orphans; families affected and/or infected by HIV/AIDS; vulnerable women; unemployed youth; people with disability; etc. Households headed by women that depend on sons, brothers, and others for supports are especially vulnerable. • Land Expropriation-short term There is no significant impact during distribution rehabilitation work of the project because of the fact that rehabilitation work will take place within the existing distribution line. Even if distribution expansion activities follow road structure, there might be temporal restriction of access for movement during working hours, due to replacement of poles and conductors. EEP, Environmental and Social 41 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- • Land Expropriation-Long term In the case of urban Electrification Access project the routing of distribution lines follows the existing road systems. The poles /towers are erected near the edge of the road and would be sited, as far as possible; to avoid any needs for resettlement. However, much of the land on the periphery of the cities could be farmland and during construction there will inevitably be some crop damage. Beside and beyond crop damage, the major negative impact anticipated in this regard is expropriation of land due to right-of-way (ROW). That is, the farmers and urban dwellers may lose their crops, houses and other properties forever. • Health and Safety The major impact on health and occupational safety is related to the work force engaged in construction and operation of upgrading works of the power distribution system, new expansion of distribution lines works in urban electric access project. Such project involves mobilization of labor force. The distribution system works is designed to use the local labor force, the risk of the transmission of communicable disease like STIS and HIV/AIDS in the work sites is expected. During the operation phase of the project, impacts are mainly related to electrocution (electric shock). • Impacts on Housing In urban centers, most houses are constructed from wood and mud, bricks and hollow blocks having corrugated iron sheet roof. The construction of distribution lines may cause demolition of fences or houses that are located in the corridor line. In places where there is estimated to be a large number of houses that would be affected by the construction and operation of the distribution line, it will be shifted and designed in a way to minimize the impact on PAPs. Most houses to be affected by the Project are those located in the corridor line and substation site. The affected houses will be compensated as per the law and rehabilitated by local authorities and the project office. EEP, Environmental and Social 42 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 6.3. Proposed Mitigation Measures To mitigate any potential negative social impacts, EEP should implement the following: • Need to prepare ARAP/RAP • Compensation for properties and land replacement should be implemented as per Proc. 455/2005, the ARAP/RAPs and WB OP 4.12. • Project affected people should be consulted and be involved in decision-making at different stages of the Program. • Compensation shall be paid prior to the start of the construction works • Influence the adaptation of a route with minimum effect on the bio- physical as well as the socioeconomic and cultural environment. • Employ and deploy manual labor to maintain the right-of-ways, as appropriate, • Include Environmental and Social Clauses for Contractors in the contract documents and monitor their implementation; Livelihood Restoration The World Bank’s Operational Policy 4.12 requires that displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. ‘Livelihood’ refers to the capacity to gain a sustainable living – a flow of income and wealth accumulation – from a wide range of natural and social resources. Livelihood improvement, therefore, is not accomplished by compensation for lost assets. The policies clearly state that the displaced should become net beneficiaries of the project that is displacing them, over and above any general benefits accruing to the nation or overall community from the project. The project will implement the following strategies to assist PAPs, in addition to compensation for their asset losses, to improve/restore their livelihood because of implementation of subprojects: Capacity building training on businesses which they want to engage; Technical support in Business Plan Preparation, and implementation of the businesses; and Follow up, supervision and monitoring of the implementation of business. EEP, Environmental and Social 43 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Special Restoration Measures for Vulnerable Group/PAPs The income restoration measures will also target the vulnerable persons to ensure that they are reasonably assisted to overcome potential economic shock from the project, and maintain the quality of life not less than their pre-project state because; they are at higher risk than others based on their vulnerability status. The type of livelihood restoration suitable to each PAP will be identified by the resettlement committee in consultation with PAP. As minimum indicator to be considered, PAPs level of education, age and present means of livelihood should be assessed. 7. ORGANIZATIONAL PROCEDURE AND RESPONSIBILITIES 7.1. Processes for RAP Preparation, Review and Approval EEP, Environmental and Social 44 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- The conditions of the land acquisition must be documented in the subproject application. RAP/ARAP is required if land needs to be acquired, such that people are displaced from land or productive resources and the displacement results in relocation, the loss of shelter, the loss of assets or access to assets important to production; the loss of income sources or means of livelihood; or the loss of access to locations that provide higher income or lower expenditure to business or persons. When a subproject is expected to cause physical and economic resettlement, RAP/ARAP must be prepared. The RAP will need to be as detail as possible in order to guide resettlement of each of the subprojects. The steps to be undertaken for each individual RAP include a screening process; a socioeconomic census and land asset inventory of the area and identification of the investment project Affected Parties (PAPs). This is followed by the development of a Resettlement Action Plan (RAP) or abbreviated RAP, RAP review and approval, implementation of the RAP and monitoring of RAP implementation and success. Preparation of a Resettlement Action Plan (RAP) The preparation of a RAP will be done by EEP, hiring independent consultant, in consultation with the affected parties, particularly in relation to the cut-off date for eligibility, disturbances to livelihoods and income-earning activities, methods of valuation, compensation payments, potential assistance and timeframes. The basic elements of a RAP and ARAP are provided in summary in Boxes 7.1 and 7.2 as indicated below. The full description of the RAP and ARAP are attached in this RPF in Annex - and Annex - respectively. In order that this is not an unnecessarily difficult process, the level of detail and extent of the RAP must be related to the extent of the resettlement impact. If the resettlement activities be minor (e.g. a very small percentage of a person’s land and livelihood is being required and less than 200 individuals affected), a relatively simple abbreviated RAP will be required. Where the resettlement impact is more major (e.g. the physical displacement of 200 or more individuals), a more extensive and detailed RAP will be required. The crucial aspect of a RAP process is that a specific, auditable process has been followed, that is appropriate to the impacts and that allows for consultation throughout the process. EEP, Environmental and Social 45 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Box 7.1. Contents of RAP 1. Identification of project impacts and affected populations; 2. Legal framework for land acquisition and compensation; 3. Compensation framework; 4. Description of resettlement assistance and restoration of livelihood activities; 5. Detailed budget; Implementation schedule; 6. Description of organizational responsibilities; 7. Framework for public consultation, participation, and development planning; 8. Description of provisions for complaints and appeals; and 9. Framework for monitoring, evaluation, and reporting Preparation of an Abbreviated Resettlement Action Plan An ARAP must be developed if the loss is a small percentage of the affected party’s livelihood, such as the loss of part of a fence surrounding a property or as is defined in the previous section – when between 1 and 199 individuals are affected. This needs to include at a minimum those aspects as set out in Box 7.2 below: Box 7.2. Required Elements of an Abbreviated RAP • A census survey of displaced persons and valuation of assets; • Description of compensation and other resettlement assistance to be provided; • Consultations with displaced people about acceptable alternatives; • Institutional responsibility for implementation and procedures for complaints and appeals; • Arrangements for monitoring and implementation; and • A timetable and budget Organizational Procedures for Implementation of RAP/ARAP The organizational procedures for delivery of entitlements show the procedures to be adopted in the delivery of entitlements for PAPs. The EEP will facilitate organizational procedures for delivery of entitlements according the FDRE Proclamation No. 455/2005 and World Bank Operational Policy on involuntary resettlement (OP 4.12). The principle of replacement cost based on market values plus transaction costs will apply for the compensation of project affected asset and property. Woreda Administrations, municipalities and rural Kebele administrations; will provide all administrative and organizational procedures for the delivery of entitlements for PAPS in consultation with the project office. Compensation payments will be made either in cash or EEP, Environmental and Social 46 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- transferred to their account following agreement to be made with individual PAPs. Disbursements will be ensured by the project office and will take place in the presence of the compensation committee. 7.2. Method of Asset Valuation Land valuations are often done at the Woreda and urban administration levels. These local governments establish valuation committees to value private properties (Proclamation No. 455/2005). In the case of publicly owned infrastructure with a designated right-of-way (ROW), the owners of the structures within the ROW would assess the value of properties to be removed. However, the law does not take into account depreciation values. The landholder is entitled to be compensated for the property on the basis of replacement cost based on current market price. Permanent improvements to the land, equal to the value of capital and labour expended (Proclamation No. 455/2005 Article 7), are specified as valid basis for determining replacement value. For Agricultural Land: Where land used for growing crops or a protected grass or pastoral land is expropriated for public purpose ,the possessor of such land shall, as much as possible be provided with a plot of land capable of serving similar purpose. Where a replacement land has been provided in accordance with article 15 of 135/2007 regulation with respect to expropriated land use for crops or perennial crop, displacement compensation equivalent to the following amount, shall be paid. The amount of displacement compensation payable with respect to land used for growing crops or perennial crop shall, were it is impossible to provide replacement land in accordance with article 15 of this regulation, be ten times the price of the average yield of crops or perennial crops obtained from the land. EEP, Environmental and Social 47 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- For Urban Land: Compensation of assets in urban will be based on the principle of at full replacement cost based on current market price. Replacement land will be provided on areas with similar or improved public infrastructure facilities and services and in the vicinity of the affected land, and the cost of any registration and transfer taxes. For Houses and Other Structures: It is the market cost of the materials to build a replacement structure with an area and quality similar to or better than the affected structure, The cost of transporting building materials to the construction site, The cost of any labour and contractors' fees, and The cost of any registration and transfer taxes. In case of temporary loss of assets, services and livelihood the compensation cost will be determined through a consultative process with the PAPs. Where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures so as to meet the replacement cost standard. 7.3. Basis of Valuation The basis of valuation is Gross Current Replacement Cost (GCRC). Gross Current Replacement Cost is defined as the estimated cost, based on market value of erecting a building as new having the same gross external area as that of the existing with the site works and services on a similar piece of land and also lost income. The valuation process will also consider the use of “compensation value” for affected properties. “Compensation value” is defined as “the amount to be paid to the leaseholder, based on current market price at replacement cost, including the costs for the inconvenience caused to the PAPs and to enable the same leaseholders to build slightly better houses than what they currently occupy”. Principle of Compensation The compensation of lost assets and properties is based on the willingness of owners of a resource to give up their rights to that resource. In general, the issue of compensation will address four questions: what to compensate for (e.g. land, structures, business, fixed improvements or temporary impacts, lost income); how to compensate; when to compensate; and how much to compensate. Following EEP’s practice, compensation is only paid to the PAPs after a written consent of the PAPs. Compensation for land structures, business, fixed improvements and other temporary impacts are based on, among other things, market valuation, productivity valuation, negotiated settlements, material and labor valuation, disposition of salvage materials and other fees paid. EEP, Environmental and Social 48 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- It should be noted that of legal title will not be a bar to compensation and all PAPs regardless of having legal title will get compensation. If there is a need to relocate business, or deny access to customers the lost income need to be compensated. In addition, workers losing employment in the process of relocating should get transitional income support. Compensation for temporary impacts should include but not be limited to the following: Compensation equivalent to lost income required for the duration of impact; Compensation equivalent to lost income required for loss of access; and, Physical restoration of assets (or access) required prior to return. In addition, PAPs will be entitled to transitional assistance which includes moving expenses, temporary residence (if necessary), employment training and income support. 7.4. Establishment of Property Valuation Committees and Compensation Procedures EEP, in consultation with Woreda Administration offices and Municipalities shall establish a Property Valuation Committee. The establishment of a property valuation committee will be in line with Proclamation No. 455/2005, Article 10. The following are proposed valuation committee members either in rural or urban areas. In rural areas the valuation and compensation committee members may include: 1. Wordea Administrator 2. Agriculture and Rural development office head 3. Kebele Administrator 4. Representative of PAPs 5. Representative of the project office In urban areas: 1. Head of the municipality or Urban Administration 2. Town planner/surveyor 3. Representative of PAPs 4. Representative of the Project office The amount of compensation will be determined according to Proclamation No. 455/2005, Part Three, and article 7. The amount of compensation will be paid at a replacement cost and also taking into account World Bank requirements. All compensations will be effected ahead of the civil works. EEP, Environmental and Social 49 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- The environmental and social unit of the project office will carry out household census of project affected persons and identify the impact and affected property. The following methodology and procedures are suggested for the valuation of compensation rates for crops and trees. Cash compensation will be paid for loss of crops and trees that are found on the land that has been acquired. The relevant agricultural office of the locality under consideration establishes the compensation rates. In accordance with the EEP procedures and in consultations with Woreda Administrations, the project office and EEP’s execute the expropriation and the compensation for the loss of crops and trees. The decisions taken will be, as is the practice, documented with meeting protocols and receipts upon payment. The documents will, as usual, be available at municipalities and Woreda government offices and at EEP. • The amount of compensation for crops shall be calculated by multiplying the amount of yield that would have been collected from the land at maturity by the current market price of the crops and multiply by ten • The owner of ripe crops may lieu of compensation harvest and collect the crops within the period fixed pursuant to article 4 of the proclamation. • Compensation for trees will be based on level of growth of the trees and the current local price per square meter or per unit. • The owner of trees may in lieu of compensation cut and collect the trees within the period fixed pursuant to article 4 of the proclamation. • The amount of compensation for a building shall be determined on the basis of the current cost per square meter or unit for constructing a comparable building. • Compensation procedures and rates for loss of houses and other structures are established in consultations between EEP, municipalities, Woreda Administrations, Kebele Administrations and PAPs. The process and the necessary actions to be taken will be concluded after consultations with Woreda Administrations and EEP. 8. ELIGIBILITY CRITERIA 8.1. Eligibility Criteria for Various Categories of PAPs The involuntary taking of land results in relocation or loss of shelter; and loss of assets or access to assets or loss of income sources or means of livelihood, whether or not the PAPs must move to another location or not. Meaningful consultations with the affected persons, local EEP, Environmental and Social 50 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- authorities and community leaders will therefore allow for establishment of criteria by which displaced persons will be deemed eligible for compensation and other resettlement assistance. Both Article 44(2) of the 1995 Constitution and Proclamation No 455/2005 present Ethiopian legal framework for eligibility for compensation give entitlement only to those who have formal legal rights over their holdings (properties). They will only qualify for the compensation if they occupied the project area prior to a cut-off date established by the Compensation and Resettlement Committees. To ensure the interest of project affected persons and mitigating the negative impacts of the projects, this RPF will be based on the existing national laws on expropriation and compensation payments and World Bank involuntary resettlement policy. 8.1.1. Eligibility for Land According to Proclamation No. 455/2005, article 8 sub-articles 3 and 4, land for land compensation will be applied to PAPs who might lose their land. This is done only for those who have formal legal rights over the land. Persons who encroach on the area after the cut- off date are not entitled to compensation or any other form of resettlement assistance. PAPs who are entitled for compensation under the Ethiopian legislation will be compensated for the land they lose, and other assistance ensuring that they are (i) informed about their options and rights pertaining to resettlement, (ii) consulted and provided with technically and economically feasible resettlement and (iii) provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project. 8.1.2. Eligibility for Community Compensation It is important to note that the eligibility may also be claimed collectively, e.g. as a community or religious group, when the assets lost are of communal property or use. Individuals or families can claim individual eligibility for loss of assets of a private nature to that individual or household. Communities on communal land that permanently lose land and/or access to assets and or resources under statutory or customary rights will be eligible for compensation. Example of community compensation could be for public toilets, market places, schools buildings and health centres, religious centres, or access to alternative source of natural resources to restore their livelihoods. The rationale for this is to ensure that the pre-project socio-economic status of communities where adversely impacted, is also restored. 8.1.3. Eligibility for Loss of Property/Assets This includes loss of houses, crops and trees, structures, fixed improvements, businesses which should be compensated at market value, negotiated settlements, productivity valuation, EEP, Environmental and Social 51 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- material and labour valuation. PAPs that lose their property or assets will be compensated as per the following national legislations: 1. Proclamation No 455/2005 Expropriation of Landholdings for Public Purposes and Payment of Compensation which establishes the legal principles and framework for expropriation and compensation. 2. Council of Ministers Regulations No. 135/200, on the Payment of Compensation for Property Situated on Landholdings Expropriated for Public Purposes which provide the procedures for application of Proclamation No 455/2005. According to Proclamation No 455/2005, for PAPs who lose their property, they will be compensated for the property they lost including for permanent improvements he made to such land. The amount of compensation for property situated on the expropriated land shall be determined on the basis of replacement cost of the property. The cost of removal, transportation and erection shall be paid as compensation for a property that could be relocated and continue its service as before. Displacement cost will also be compensated for the property situated on the expropriated land. 8.2. Displaced persons without legal title In order to ensure that displaced persons who do not have legal title are not adversely affected by the project they will be enabled to maintain their livelihood and assisted to secure accommodation as described below: Capacity building training on different technologies, and technical support to participate/engage on different livelihood activities; Participate on different income generating/livelihood activities that the project will create; Create access to finance/credit to participate/engage on different livelihood activities. Note: It is anticipated that the project will, as part of the ESMF/RPF screening and project preparation processes, investigate closely potential project impacts on farmers’ livelihoods and fixed improvements to ensure that negative impacts are avoided or minimized and the assistance indicated above (i, ii, and iii) must be sufficient to improve, or at least restore, lost livelihoods. Tenants: Assistance will be provided to legal tenants of property affected by the project to maintain their livelihoods and find alternative accommodation. Tenants of private landlords will seek redress from their private lessor by reference to the terms and conditions of their tenancy and civil law. EEP, Environmental and Social 52 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 8.3 Compensation for temporary losses According to Proclamation 455/2005, Article 8 (2), a rural landholder or holders of common land whose landholding has been provisionally expropriated, shall be paid until repossession of the land, compensation for lost income based on the average annual income secured during the five years preceding the expropriation of the land. 8.4. Method to Determine Cut-Off Dates The cut-off date is the time when the affected persons and their properties are assessed. No person will be eligible for houses built and crops sown in the project area after the census and inventory of assets. The establishment of a cut-off date is required to prevent opportunistic invasions/rush migration into the chosen land areas thereby posing a risk to the subproject. Therefore, establishment of a cut-off date is of critical importance. Once the sub-project has been legally approved and a permit provided, a RAP will be prepared (if required) for the sub-project that may result Involuntary Resettlement. As part of the RAP, a census will be undertaken to identify eligibility for resettlement and compensation. It is key, therefore, that the cut-off date, as established with regulatory authorities and in consultation with PAP’s, is fully communicated to all potential PAPs in the project affected area with sufficient time for these people to ensure their availability for the Census. The potential PAPs will be informed of the cutoff date through both formal notification in writing and by verbal notification delivered in the presence of the community leaders or their representatives. The PAPs will be informed that no payment of compensation with respect to any construction or improvement to building, any crops sown, perennial crops planted or any improvement on land where such activity is done after PAP’s census and inventory of their assets. This shall be discussed during consultation meetings and minutes of meetings shall be prepared and signed. In the event of project delay for more than two years, between the cut- off date and the actual resettlement, then there will be a need to update the socio-economic survey that was carried out for this RAP. 8.5. Land Tenure According to Proclamation No. 455/2005, part one, article 3, "Land holder means an individual, government or private organization or any other organ which has legal personality and has lawful possession over the land to be expropriated and owns property situated thereon". In the same Proclamation, part two, article 3(1), clearly states "A Woreda or an Urban Administration shall, upon payment in advance of compensation in accordance with this proclamation, have the power to expropriate rural or urban land holdings for public purpose EEP, Environmental and Social 53 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- where it believes that it should be used for a better development project to be carried out by public entities, private investors, cooperative societies or other organs or where such expropriation has been decided by the appropriate higher Regional or Federal government organ for the same purpose". Non-owners like renters and business are eligible for resettlement and other assistance in finding a new location, compensation at replacement value for any immovable assets, compensation for loss of income during transition, assistance for physical transfer and follow- up services. 8.6. Relocation PAPs will be relocated preferably in their own land holdings or in a place close to the area where they were residing. The RAP will address the requirement for residential plots and will be implemented with full participation of PAPs and the community. EEP, Environmental and Social 54 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 8.7. Grievance Redress Mechanisms Grievance redressing mechanisms have to be designed in view of the fact that project activities may upset the existing balance in society. The resettlement project will touch upon property issues, means of livelihood, and organization of social and spatial aspects that influence proximity to a set of environmental, economic, social, and spiritual assets. Therefore, the grievance redressing system has to be designed in such a way that it functions in a flexible manner. And the implementing agency has to incline to a pro-poor approach in all its decisions. Grievances will be actively managed and tracked to ensure that appropriate resolution and actions are taken. A clear time schedule will be defined for resolving grievances, ensuring that they are addressed in an appropriate and timely manner, with corrective actions being implemented if appropriate and the complainant being informed of the outcome. Grievances may arise from members of communities who are dissatisfied with (i) the eligibility criteria, (ii) community planning and resettlement measures, or (iii) actual implementation. This chapter sets out the measures to be used to manage grievances. The grievance procedure does not replace existing legal processes. Based on consensus, the procedures will seek to resolve issues quickly in order to expedite the receipt of entitlements, without resorting to expensive and time-consuming legal actions. If the grievance procedure fails to provide a result, complainants can still seek legal redress A local grievance hearing committee (GHC) will be established, consisting of representatives from the village or town, municipality, Woreda, or kebele administration, the displaced persons, town elders or influential personalities other than the displaced persons, and the church administration. Grievances should be settled amicably whenever possible. That is, positive discussions are made to convince the affected PAPs in the presence of the GHC. However, if the resolution of a case requires additional payment or any form of relocation of resources, the report shall be sent to the appropriate administrative executive for consideration. If the administrator agrees to the recommendation, he/she shall instruct the resettlement Unit to implement the amended provision; on the other hand if the recommendation of the GHC is such that it upsets legal frameworks, the aggrieved party may be advised to pursue the case in a normal law court. According to proclamation N0.455/2005, Article 11, sub article 1: “In rural areas and in urban centers where an administrative organ to hear grievances related to urban landholding is not yet established, a complaint relating to the amount of compensation shall be submitted to the regular court having jurisdiction.” EEP, Environmental and Social 55 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- In urban areas, a PAP who is dissatisfied with the amount of compensation may complain to an administrative organ and if the PAP is still not satisfied, may appeal to the regular appellate court or municipal appellate court within thirty days from the date of the decision. World Bank Group (WBG) Grievance Redress Service Communities and individuals who believe that they are adversely affected by a WBG supported program, may submit complaints to existing program-level grievance redress mechanisms or the WBG‘s Grievance Redress Service (GRS). The GRS ensures that complaints received are promptly reviewed in order to address program-related concerns. Program affected communities and individuals may submit their complaint to the WBG‘s independent Inspection Panel which determines whether harm occurred, or could occur, as a result of WBG non- compliance with its policies and procedures. Complaints may be submitted at any time after concerns have been brought directly to the WBG‘s attention, and WBG Management has been given an opportunity to respond. For information on how to submit complaints to the WBG‘s corporate Grievance Redress Service (GRS), please visit http://www.worldbank.org/GRS. For information on how to submit complaints to the WBG Inspection Panel, please visit EEP, Environmental and Social 56 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Table 8.1. Entitlement Matrix Person(s) Land and Assets Types of Impact Compensation/Entitlement/Benefits Affected Agricultural land Cash compensation for usage title Cash compensation for affected land affected land equivalent holder equivalent to replacement value taking into to market value account compensation rates as per Less than 20% of land government regulations and adding any holding affected additional measures as per OP 4.12. Land remains Tenant/ Cash compensation for the harvest or product economically viable. lease from the affected land or asset, equivalent to holder ten times the average annual income s/he secured during the five years preceding the expropriation of the land. Greater than 20% of Farmer/ Land for land replacement where feasible, or land holding lost Title holder compensation in cash for the entire Land does not become landholding according to PAP’s choice, taking economically viable. into account market values for the land, where available, plus transaction costs. Land for land replacement will be in terms of a new parcel of land of equivalent size and productivity with a secure tenure status at an available location which is acceptable to PAPs. Transfer of the land to PAPs shall be free of taxes, registration, and other costs. Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature ) Tenant/Lea Cash compensation equivalent to ten times the se holder average annual income s/he secured during the five years preceding the expropriation of the land. Relocation assistance (costs of shifting + assistance in re-establishing economic trees + allowance up to a maximum of 12 months while short- term crops mature Commercial land Land used for business Title Cash compensation for affected land, taking partially affected holder/ into account market values for the land, where business available. Limited loss owner Opportunity cost compensation equivalent to 5% of net annual income, or actual income loss, whichever is larger, based on tax records for previous year (or tax records from comparable EEP, Environmental and Social 57 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Person(s) Land and Assets Types of Impact Compensation/Entitlement/Benefits Affected business, or estimates where such records do not exist). Business Opportunity cost compensation equivalent to owner is 10% of net annual income, or actual income lease loss, whichever is larger, based on tax records holder for previous year (or tax records from comparable business, or estimates where such records do not exist). Assets used for business Title Land for land replacement or compensation in severely affected holder/busi cash according to PAP’s choice; cash ness owner compensation to take into account market If partially affected, the values for the land, where available, plus remaining assets become transaction costs. Land for land replacement insufficient for business will be provided in terms of a new parcel of purposes. land of equivalent size and market potential with a secured tenure status at an available location which is acceptable to the PAP. Transfer of the land to the PAP shall be free of taxes, registration, and other costs. Relocation assistance (costs of shifting + allowance) Opportunity cost compensation equivalent to 2 months net income based on tax records for previous year (or tax records from comparable business, or estimates) Business Opportunity cost compensation equivalent to person is 2 months net income based on tax records for lease previous year (or tax records from comparable holder business, or estimates), or the relocation allowance, whichever is higher. Relocation assistance (costs of shifting) Assistance in rental/ lease of alternative land/ property (for a maximum of 6 months) to reestablish the business. Residential land Land used for residence Title holder Cash compensation for affected property on partially affected, limited the land, plus transaction costs. loss Remaining land viable for present use. Rental/leas Cash compensation equivalent to 10% of lease/ e holder rental fee for the remaining period of rental/ lease agreement (written or verbal) Title holder Land for land replacement or compensation in cash according to PAP’s choice; cash EEP, Environmental and Social 58 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Person(s) Land and Assets Types of Impact Compensation/Entitlement/Benefits Affected compensation to take into account market values for the land. Land for land replacement shall be of minimum plot of acceptable size under the zoning law/s or a plot of equivalent size, whichever is larger, in either the community or a nearby resettlement area with adequate physical and social infrastructure systems as well as secured tenure status. When the affected holding is larger than the relocation plot, cash compensation to cover the difference in value. Transfer of the land to the PAP shall be free of taxes, registration, and other costs. Relocation assistance (costs of shifting + allowance) Land and assets used for Rental/leas Refund of any lease/rental fees paid for residence severely e holder time/use after date of removal affected Cash compensation equivalent to 3 months of Remaining area lease/ rental fee insufficient for continued Assistance in rental/ lease of alternative land/ use or becomes smaller property than minimally accepted Relocation assistance (costs of shifting + under zoning laws allowance) Structures are partially Owner Cash compensation for affected building and affected other fixed assets taking into account market values for structures and materials. Remaining structures viable for continued use Cash assistance to cover costs of restoration of the remaining structure Buildings and Rental/leas Cash compensation for affected assets structures e holder (verifiable improvements to the property by the tenant), taking into account market values for materials. Disturbance compensation equivalent to two months rental costs Entire structures are Owner Cash compensation taking into account market affected or partially rates for structure and materials for entire affected structure and other fixed assets without EEP, Environmental and Social 59 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Person(s) Land and Assets Types of Impact Compensation/Entitlement/Benefits Affected depreciation, or alternative structure of equal Remaining structures not or better size and quality in an available suitable for continued location which is acceptable to the PAP. use Right to salvage materials without deduction from compensation Relocation assistance (costs of shifting + allowance) Rehabilitation assistance if required (assistance with job placement, skills training) Rental/leas Cash compensation for affected assets e holder (verifiable improvements to the property by the tenant) Relocation assistance (costs of shifting + allowance equivalent to four months rental costs) Assistance to help find alternative rental arrangements Rehabilitation assistance if required (assistance with job placement, skills training) Squatter/in Cash compensation for affected structure formal without depreciation dweller Right to salvage materials without deduction from compensation Relocation assistance (costs of shifting + assistance to find alternative secure accommodation preferably in the community of residence through involvement of the project Alternatively, assistance to find accommodation in rental housing or in a squatter settlement scheme, if available) Rehabilitation assistance if required assistance with job placement, skills training) Street Opportunity cost compensation equivalent to vendor 2 months net income based on tax records for (informal previous year (or tax records from comparable without business, or estimates), or the relocation title or allowance, whichever is higher. lease to Relocation assistance (costs of shifting) the stall or Assistance to obtain alternative site to re- shop) establish the business. EEP, Environmental and Social 60 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Person(s) Land and Assets Types of Impact Compensation/Entitlement/Benefits Affected Standing crops Crops affected by land PAP Cash compensation equivalent to ten times the acquisition or temporary (whether average annual income s/he secured during acquisition or easement owner, the five years preceding the expropriation of tenant, or the land. squatter) Trees Trees lost Title holder Cash compensation based on type, age and productive value of affected trees plus 10% premium Temporary Temporary acquisition PAP Cash compensation for any assets affected acquisition (whether (e.g. boundary wall demolished, trees owner, removed) tenant, or squatter) Loss of Households living and/or Rehabilitati Training assistance for those interested Livelihood working on the project on individuals for alternative income generating area, including title Assistance activities; providing employment opportunities holders/non-title on the construction site for the PAPs. holders/daily laborers working in the market NB: ARCCH* = Authority for Research and Conservation of Cultural Heritages 9. IMPLEMENTATION AND REPORTING 9.1. Implementation of the RPF Environmental and Social Experts of EEP will be responsible to ensure that the ESIA and or RAPs are prepared in compliance with the Resettlement Policy Framework (RPF). Environmental and Social experts will also be responsible for periodic monitoring of the project to ensure compliance by the contractor with the proposed mitigation measures. The Project operations will establish Compensation Implementation Team responsible for implementing the compensation and where needed resettlement of PAP’s. The Unit will be consisting of professionals with appropriate disciplines. EEP, Environmental and Social 61 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- The implementation of RPF will be exercised in different stages of the projects, preconstruction, construction and operation phases. 9.2. Roles and Responsibilities of Major Actors The principal actors involved in the management and monitoring of environment and social concerns related to the implementation of the Program are the following: The Electricity Network Reinforcement and Expansion Project operations Project, The Environmental and Social office The Contractor, and The Supervision Engineer (SE) However, it is recognized and obvious that: Regional Governments, Woreda Administration, Woreda sector Offices (Agriculture and Rural Development office, land Administration and Environmental Protection offices, Education and Health offices, HIV/AIDS Office, Water Resource office, etc.) Kebele Administration, Project Affected People (PAPs) representatives, The Community, The MoWE, MoEF, and Local NGOs (as required) are also components of other stakeholders who may play an affirmative role in the process of the Program implementation. The major roles and responsibilities of each of the actors are presented in the following sections. Ethiopia- Additional Financing for Energy Access Project operation The Ethiopia- Additional Financing for Energy Access Project operation is the owner of the Project that undertakes the overall contractual follow-up to ensure a successful implementation of the RPF. The core responsibility of the Electricity Network Reinforcement and Expansion Project operations is that it makes sure that the principles and policies including compensation of project affected persons are applied as stipulated in the RPF, that is, compensations are made EEP, Environmental and Social 62 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- at replacement costs and as per the provision in Proclamation No. 455/2005. The Project office establishes an exclusive team/s to implement compensation. The composition of the compensation team/s should be as suggested in this RPF. Environmental and Social Office The role and responsibility of the Environmental and Social Office mainly focuses on: preparing of ESIA, TOR, review of ESIA and RAPs and periodic monitoring of the Program; that is, to ensure that the proposed mitigation measures have been implemented. Overall coordination on reporting will be ensured by the Environmental and Social Office. The project offices are responsible on procurement and tendering. However, the Environment and Social Office will provide technical support in making sure that the Environment and Social issues are included in the contracts and terms of references. The Environment and Social Office also provides regular monitoring and supervision support to projects. The Contractors The Contractors of the Project are responsible to undertake the construction works as per the design and the EMP (abide by contract documents). The Contractors, will prepare and submit their environmental protection plan (EPP) after approval by the respective SE. EEP, Environmental and Social 63 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- The Supervision Engineer (SE) The SE is responsible for the day-to-day monitoring of the Project implementation. They are essentially the proxies of the Environmental and Social Office at each subproject. The SE approves or rejects, as the case may be, the proposals and undertakings of the contractor in relation to the requirements of the contract documents. The Community The Communities will be consulted to ensure the overall project acceptability without which the Project would not be sustainable. In general, the community will be involved at different stages of the Program implementation, from the identification of adverse impacts, mitigation and up to decision-making level. Also, the voices of the communities will be reflected in the monitoring and evaluation reports. Authority for Research and Conservation of Cultural heritage (ARCCH) The Authority will be informed whenever there are significant cultural heritage sites in the project areas for further investigation. It will be the responsibility of the ARCCH to adequately mitigate any “chance finds” as per the guidelines in the ESMF. Ministry of Water, Irrigation and Energy (MoWIE) Ministry of Water, Irrigation and Energy is the regulatory body delegated to approve the ESIA and RAP document, give approval and monitor the performance of development projects. Ministry of Environment and Forest (MoEF) As the MoEF the Federal Competent Agency (CA), it mainly involves in the form of providing technical assistance. Local NGOs In project areas where there exists NGOs involved in energy-related interventions, EEP may approach the NGOs for their possible support for the implementation of the RAP and other mitigations to ensure the sustainability of the Program. NGOs are important specifically during the operation phase of the Program. 9.3. Health and Safety EEP, Environmental and Social 64 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- The contractor throughout the construction period will be required to use appropriate vehicles and comply with legal gross vehicle and axle load limits. They are also required to respect the standard driving speed limit. The contractor should minimize road safety hazards and inconvenience to other road users by taking all appropriate measures during the construction periods. During operational phase safety orientation in schools and other areas along the power line will further minimize impacts on the local communities. 9.4. Reporting Procedure During the implementation of the Project, reports mainly originate from the SEs who is after the day-to-day progress of the works. The SE’s submits reports to the Project office, the EHS & Q for their follow-up and review and comment on the reports. EEP will submit copies of reports to the MoWIE (critical reports of critical sites calling for the attention of the MoWIE) for the prompt action of the latter and also submit copies of reports to the World Bank. The feedback of reports from Ethiopian additional financing energy access project operations (EAFEAP) and Environmental and Social Office should be provided to the SE’s within the time stipulated in the contract documents. EEP, Environmental and Social 65 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Figure 2: summarizes the reporting procedure/flow within EEP as well as between EEP and other pertinent stakeholders. MoWIE Feedback EEP, CEO Report WB Report Feedback Report Feedback EAFEAP EHS&Q Feedback Report SE Report Feedback Contractor EEP, Environmental and Social 66 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 10. SOURCES OF Budget As stated in the Constitution of FDRE, people affected by development projects have the rights to be compensated and resettled wherever the situation compels. This forms the bottom line for the commitment of the Government towards compensation and resettlement /rehabilitation. EEP will allocate budget for the implementation of compensation payment for the expropriated property by the distribution/transmission line. EEP has had prior experience with paying compensation for crop loss and for planning purposes; it has used a value of US$115 per kilometer of line. EEP will update the compensation estimate in consultation with property valuation committees that is to be established according to Proclamation No. 455/2005 and the RAPs/ARAPs and pay compensation before the construction of a particular Project component. Once the budget is approved and transferred to the project account, the implementation will be undertaken through coordinated effort and involvement of EEP’s Finance and Legal Divisions and EHS&Q. The valuation and estimate of property is to be done by a committee, established in accordance with article 7 of Proclamation No. 455/2005. The Finance Division is responsible for processing the estimated fund and finally the compensation payment will be disbursed through the Project office. EEP, Environmental and Social 67 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 11. MONITORING AND EVALUATION ARRANGEMENTS It is important that the objective of the Policy on Involuntary Resettlement is achieved and therefore monitoring whether the project affected people have had their livelihoods restored to levels prior to project or improved is critical. After completion of the resettlement /rehabilitation operations, it is expected that PAPs will have a better or improved way of life compared to their prior resettlement situation. Therefore, resettlement /rehabilitation operations need to be monitored To establish the effectiveness of the all the resettlement activities, this monitoring and evaluation (M&E) procedures for the RAP/ARAP has been designed. With this, it is possible to readily identify problems and successes as early as possible. Monitoring involves periodic checking to ascertain whether activities are going according to the plan. It provides the feedback necessary for the project management to keep the performance on schedule. By contrast, evaluation is essentially a summing up, the end of the project assessment of whether those activities actually achieved their intended goals. 11.1. Purpose of Monitoring The purpose of monitoring is to provide project management, and directly project affected persons with timely, concise, indicative information on whether compensation, resettlement and other impact mitigation measures are on track to achieve sustainable restoration and improvement in the welfare of the affected people, or that adjustments are needed. Monitoring will check the following: Are project compensation, resettlement and other impact mitigation measures on time and having the intended effects? Monitoring verifies that: Actions and commitment for compensation, resettlement, land access, and development in the RAP/ARAP are implemented fully and on time; Eligible project affected people receive their full compensation on time, prior to the start of the main project activities ; RAP/ARAP actions and compensation measures have helped the people who preferred cash compensation in restoring their lost incomes and in sustaining/improving pre- project living standards; Compensation and livelihood investments are achieving sustainable restoration and improvement in the welfare of the PAPs and communities; Compliant and grievances are followed up with appropriate corrective actions and, where necessary, appropriate corrective actions are taken; if necessary, changes in EEP, Environmental and Social 68 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- RAP/ARAP procedure are made to improve delivery of entitlements to project affected people; Vulnerable persons are tracked and assisted as necessary. 11.2. Monitoring Framework (Internal and External) Monitoring will consists of a) Internal monitoring by the Project office as an integral part of its management, working with the impacted communities; and b) External monitoring by the Project office with assisting hired consultants, working with the impacted communities. 11.2.1. Internal Monitoring The internal monitoring will be carried out by the Environmental and Social Experts of EEP. The concerned local administration (either woreda or municipality) will also conduct its own monitoring in collaboration with the EEP. The internal monitoring must be carried out simultaneously with the implementation of the RAP/ARAP. The objectives of internal monitoring are: (i) Daily Operations Planning; (ii) Management and Implementation; (iii) Operational Trouble Shooting and Feedback. The periodicity of internal monitoring could be daily or weekly depending on the issues and level of resettlement. All aspects of internal M&E shall be supervised by the project Environmental and Social teams. Regular process report will be prepared and submitted as described below. The internal monitoring will look at inputs, processes, and outcome of compensation/resettlement/other impact mitigation measures. Input monitoring will establish if staff, organization, finance, equipment, supplies and other inputs are on schedule, in the requisite quantity and quality. Process monitoring will: Assess program implementation strategies and methodologies and the capacity and capability of program management personnel to effectively implement and manage the programs; and Document lesson learned and best practices and provide recommendations to strengthen the design and implementation of RAP/ARAP. Outcome monitoring will establish if agreed outputs are realized on time for: • Communication with the affected communities; • Agreed resettlement and compensation policies, procedures and rates; • Compensation for crops, buildings, and lost business; EEP, Environmental and Social 69 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- • Construction and occupation of infrastructure and housing; • Livelihood program delivery and uptake; • Grievance resolution; • Attention to vulnerable people. Outcome (or effectiveness monitoring) will determine the degree to which the program objectives and performance targets have been achieved. 11.2.2. External Monitoring and Evaluation This should be seen in the eye of compliance and impact monitoring. For compliance monitoring, EEP will appoint a consultant to work closely with the PAPs to track the progress of RAP/ARAP implementation. The consultant (s) will be a person (s) with deep experience in the conduct of resettlement, hands on experience in monitoring and evaluation, no previous involvement in this project, and proven ability to identify actions that improve implementation and mitigate negative impact of resettlement. The consultant will provide support in the proper implementation of resettlement program. It should also bring the difficulties faced by the PAPs to the notice of EEP project office so as to help in formulating corrective measures. As a feedback to the EEP and others concerned, the external consultant should submit quarterly report on progress made relating to different aspects of resettlement and livelihood restoration activities. Compliance monitoring will: • Determine compliance of RAP/ARAP implementation with RAP/ARAP objectives and procedures; • Determine compliance of RAP/ARAP implementation with the laws, regulations and applicable; • Determine RAP/ARAP impacts on standard of living, with a focus on the “no worse-off if not better-off” objective; • Determine international best practices; • Verify results of internal monitoring; • Assess whether the resettlement objectives have been meet: specifically, whether livelihood program have restored the livelihood of PAPs and their living conditions have improved; • Assess the resettlement efficiency, effectiveness, impact and sustainability, drawing lessons for future resettlement activities and recommending corrections in the implementation process; • Ascertain whether the resettlement entitlements are appropriate to meet the objectives, and whether the objectives are suitable to PAPs conditions; EEP, Environmental and Social 70 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- • Assess grievance records, to identify implementation problems and status of grievance resolution; • Ensure RAP/ARAP implementation is in compliance with World Bank policy and the national legal requirement. Impact Monitoring/concurrent evaluation will be carried out simultaneously with the monitoring. For Concurrent Impact Evaluation, the M&E who should have resettlement and social development experience shall: Verify whether the objective of resettlement have been realized, particularly in the changes in the living standards; Impact assessment is to be compared with the baseline values for key socioeconomics as given in the RAP/ARAP; To assess whether the compensation is adequate to replace the lost assets; Assess the level of satisfaction of the various assets provided as part of the RAP/ARAP implementation; Based on the impact assessment, suitable remedial measures are to be proposed for any shortcomings; and Remedial measures if PAPs are not able to improve their living standards. Impact monitoring will cover issues such as: Economic status of PAPs: livelihood restoration and enterprise, employment, land holdings, non-agricultural enterprise; Cost of market basket of essentials including rental accommodation; Employment: on the project and in the impact area. 11.3. Indicators to Monitor Indicators, which will be monitored during the project, may be divided into two categories. • Process input and output indicators for internal monitoring; and • Outcome or impact indicators for external monitoring. These are highlighted briefly below: Input indicators include the resources in terms of people, equipment and materials that go into the RAP/ARAP. Examples of input indicators in the RAP/ARAP are the sources and amounts of funding for various RAP/ARAP activities. Output indicators concern the activities and services, which are produced with the inputs. Examples of output indicators in the RAP/ARAP include (a) a database for tracking individual compensation; and (b) the payment of compensation for losses of assets. EEP, Environmental and Social 71 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Process indicators represent the change in the quality and quantity of access and coverage of the activities and services. Examples of process indicators in the RAP/ARAP include: The creation of grievance mechanisms; The establishment of stakeholder channels so that they can participate in the RAP/ARAP implementation; Information dissemination activities. Outcome indicators include the delivery of compensation and other mitigation to avoid economic and physical displacement caused by the project. They measure whether compensation is paid and received, whether the affected populations who preferred cash compensation to in-kind resettlement assistance offered to them was able to use compensation payment for sustained income. Indicators that will be monitored broadly centered around delivery of compensation, resolution of grievance, land access, increase or decrease in PAPs assets, social stability, health, level of satisfaction of PAPs and number of PAPs that benefits from the livelihood restoration programs. Specifically some monitoring indicators for RAPs/ARAPs are outlined in table 10.1 below. EEP, Environmental and Social 72 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Table 10.1: Monitoring Indicators Indicators Variable Consultation Number of people reached or accessing information, information request, Consultation and reach issues raised, etc out Number of local CBOs participating Compensation and re- Physical Progress of Compensation and Assistance establishment PAPs Number of PAPs affected (building, land, trees, crops, etc) Number of PAPs compensated by the type of loss Amount compensated by type and owners Number of replacement asset recovered Compensation disbursement to the correct parties Socioeconomic changes Level of income and standard of living of the PAPs Number of income restored, improved or declined from the pre- displacement levels Training Number of IAs , and local administrations trained Grievance redress Number of cases referred to GRC mechanism Number of cases settled by GRC Number of cases pending with GRC Average time taken for resettlement of cases Number of GRC meetings Number of PAPs moved to court Number of pending cases with the court Number of cases settled by the court Overall Management Effectiveness of compensation delivery system Timely disbursement of compensation Census and asset verification/quantification procedures in place Coordination between local community structures, PAPs, and EEP The Actors in the monitoring and evaluation process include: The Environmental and Social Experts of EEP (for planning, coordination and monitoring) Municipality and woreda administration (for monitoring and evaluation) PAPs and NGO’s or private consultants as required (for evaluation) Ministry of Environment and Forest /Regional offices/ EEP in close co-ordination with other stakeholders such as municipalities and worda administrations will be the principal actor of the resettlement /rehabilitation operations. However, in the case of large-scale resettlement projects, EEP may conduct the monitoring through a consultant or an NGO who might have experience in the preparation of a Resettlement Action Plan (RAP). The frequency of monitoring may vary, depending on the magnitude and complexity of the operations. Field visits by EEP will be conducted at least once a month. Municipalities and woreda administrations will conduct their own monitoring, but when possible, this will be EEP, Environmental and Social 73 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- done together with EEP. MoWIE will be the responsible body to review the results of the monitoring and evaluation. 11.4. Monitoring Principles For each project with adverse social impacts, a monitoring and an evaluation plan of the mitigation measures will be established. The scope of the plan will, however, take into account the size of the social impacts to be mitigated while respecting the basic monitoring principles. External monitoring will be conducted through WB supervision missions. Given the limited social scientific capacity of EEP, the World Bank supervision missions should be coupled with capacity building inputs from an international resettlement expert. This would ensure: progress on the ground; strengthened analytical capacity and safeguarding of proper documentation of operations executed and the progress made. Before closure of the mitigation of adverse social impacts, EEP will consult a local NGO to conduct an evaluation of the mitigation measures executed. The evaluation report will be used as a planning instrument to correct pending issues and suggest a post-project monitoring period with the aim of ensuring that PAPs have not been subject to impoverishment induced by the EEP's project operations. Completion Audit EEP shall commission an external party to undertake an evaluation of RAP’s physical inputs to ensure and assess whether the outcome of RAP complies with the involuntary resettlement policy of the World Bank. The completion audit shall be undertaken after RAP inputs. The audit shall verify that all physical inputs committed in the RAP have been delivered and all services provided. It shall evaluate whether the mitigation measures prescribed in the RAP have the desired effect. The completion audit should bring to closure EEP’s liability for resettlement. EEP, Environmental and Social 74 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 12. ESTIMATED BUDGET The cost estimate is based on the cost estimate of Additional Financing for Energy Access Project RPF and ESMFMarch 2010. Therefore, updating that cost with an inflation rate of 8%, (August 2015 country level inflation rate FDRE Central Statistical Agency, issued in September 2015) the total estimated cost for meeting the estimated for environment and resettlement/social monitoring is about USD 337,905.37 (Birr 4,591,728.44) Out of the above total mitigation cost the estimated cost for environment and social monitoring is about USD 24,917.98 (Birr 338,605.39) and this is assumed to enable the Environmental and Social Office of EEP to conduct periodic monitoring works on project sites. Note: the budget for site specific Resettlement Action Plans (RAP) under Additional Financing for Energy Access Project will be determined based on the scope of impact (value of property, improvements made on the land, other related costs). The budget estimated herer is only for the implementation of the RPF and ESMF of the proposed project. EEP will allocate the required budget for site specific RAP compensation and other related costs when the needed. 13. CLEARANCE AND DISCLOSURE OF RPF The RPF document will be submitted to the Ministry of Water, irrigation and Energy (MoWIE) and the World Bank for their review and approval. The disclosure of RPF will be released on EEP's website and the World Bank and announced on the Ethiopian newspapers to the public. EEP, Environmental and Social 75 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- REFERENCE 1. Distribution Rehabilitation project, Abbreviated resettlement Action Plan June, 2010. 2. ESMF and RPF/Additional Financing for Energy Access Project, March 2010 3. Ethiopian Electric Power Corporation: Universal Electric Power Access Programme, 2005. 4. Ethiopian Roads Authority: Resettlement/Rehabilitation Policy Framework, December 2001. 5. Federal Democratic Republic of Ethiopia: The Constitution of Federal Democratic Republic of Ethiopia, 1995. 6. Federal Negarit Gazeta :Federal Democratic Republic of Ethiopia, Council of Ministers Regulation No. 18/1997, Ethiopian Electric Power Corporation Establishment Regulations, 1997. 7. Federal Negarit Gazeta: Federal Democratic Republic of Ethiopia, Proclamation No.455/2005, a proclamation to provide the expropriation of land holdings for public purposes and payment of compensation, July 2005. 8. Project Concept Note, Electricity Network Reinforcement and Expansion Project, November 2011. 9. World Bank: World Bank Operational Manual; Bank Procedures (BP 4.12), December 2001. 10. World Bank: World Bank Operational Manual; Operational Policies (OP 4.12), December 2001. EEP, Environmental and Social 76 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- ANNEXES ANNEXE 1: World Bank Policies and Procedures OP/BP 4. 12 These procedures were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. Note: OP and BP 4.12 together replace OD 4.30, Involuntary Resettlement. This OP and BP apply to all projects for which a Project Concept Review takes place on or after January 1, 2002. Questions may be addressed to the Director, Social Development Department (SDV). ____________________________________________________________________ 1. The planning of resettlement activities is an integral part of preparation for Bank-assisted. During project identification, the task team (TT) identifies any potential involuntary resettlement under the project. Throughout project processing, the TT consults the regional social development unit, Legal Vice Presidency (LEG) and, as necessary, the Resettlement Committee (see para. 7 of this BP). 2. When a proposed project is likely to involve involuntary resettlement, the TT informs the borrower of the provisions of OP/BP 4.12. The TT and borrower staff: (a) Assess the nature and magnitude of the likely displacement; (b) Explore all viable alternative project designs to avoid, where feasible, or minimize displacement; (c) Assess the legal framework covering resettlement and the policies of the government and implementing agencies (identifying any inconsistencies between such policies and the Bank's policy); (d) Review past borrower and likely implementing agencies' experience with similar operations; (e) Discuss with the agencies responsible for resettlement the policies and institutional, legal, and consultative arrangements for resettlement, including measures to address any inconsistencies between government or implementing agency policies and Bank policy; and (f) Discuss any technical assistance to be provided to the borrower (see OP 4.12, para. 32). 3. Based on the review of relevant resettlement issues, the TT agrees with the Regional social development unit and LEG on the type of resettlement instrument (resettlement plan, abbreviated resettlement plan, resettlement policy framework, or process framework) and the scope and the level of detail required. The TT conveys these decisions to the borrower and also discusses with the borrower the actions necessary to prepare the resettlement instrument, agrees on the timing for preparing the resettlement instrument, and monitors progress EEP, Environmental and Social 77 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 4. The TT summarizes in the Project Concept Document (PCD) and the Project Information Document (PID) available information on the nature and magnitude of displacement and the resettlement instrument to be used, and the TT periodically updates the PID as project planning proceeds. 5. projects with impacts under para. 3 (a) of OP 4.12, the TT assesses the following during project preparation: (a) The extent to which project design alternatives and options to minimize and mitigate involuntary resettlement have been considered; (b) progress in preparing the resettlement plan or resettlement policy framework and its adequacy with respect to OP 4.12, including the involvement of affected groups and the extent to which the views of such groups are being considered; (c) Proposed criteria for eligibility of displaced persons for compensation and other resettlement assistance; (d) the feasibility of the proposed resettlement measures, including provisions for sites if needed; funding for all resettlement activities, including provision of counterpart funding on an annual basis; the legal framework; and implementation and monitoring arrangements; and (e) If sufficient land is not available in projects involving displaced persons whose livelihoods are land-based and for whom a land-based resettlement strategy is the preferred option, the evidence of lack of adequate land (OP 4.12, para. 11). 6. Projects with impacts under para. 3 (b) of OP 4.12, the TT assesses the following during project preparation: (a) The extent to which project design alternatives and options to minimize and mitigate involuntary resettlement have been considered; and (b) progress in preparing the process framework and its adequacy in respect to OP 4.12, including the adequacy of the proposed participatory approach; criteria for eligibility of displaced persons; funding for resettlement; the legal framework; and implementation and monitoring arrangements. 7. The TT may request a meeting with the Resettlement Committee to obtain endorsement of, or guidance on, (a) the manner in which it proposes to address resettlement issues in a project, or (b) clarifications on the application and scope of this policy. The Committee, chaired by the vice president responsible for resettlement, includes the Director, Social Development Department, a representative from LEG, and two representatives from Operations, one of whom is from the sector of the project being discussed. The Committee is guided by the policy and, among other sources, the Resettlement Sourcebook (forthcoming), which will be regularly updated to reflect good practice. EEP, Environmental and Social 78 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Appraisal 8. The borrower submits to the Bank a resettlement plan, a resettlement policy framework, or a process framework that conform with the requirements of OP 4.12, as a condition of appraisal for projects involving involuntary resettlement (see OP 4.12, paras. 17-31). Appraisal may be authorized before the plan is completed in highly unusual circumstances (such as emergency recovery operations) with the approval of the Managing Director in consultation with the Resettlement Committee. In such cases, the TT agrees with the borrower on a timetable for preparing and furnishing to the Bank the relevant resettlement instrument that conforms with the requirements of OP 4.12. 9. Once the borrower officially transmits the draft resettlement instrument to the Bank, Bank staff—including the Regional resettlement specialists and the lawyer—review it, determine whether it provides an adequate basis for project appraisal, and advise the Regional sector management accordingly. Once approval for appraisal has been granted by the Country Director, the TT sends the draft resettlement instrument to the Bank's InfoShop.6 The TT also prepares and sends the English language executive summary of the draft resettlement instrument to the Corporate Secretariat, under cover of a transmittal memorandum confirming that the executive summary and the draft resettlement instrument are subject to change during appraisal. 10. During project appraisal, the TT assesses (a) the borrower's commitment to and capacity for implementing the resettlement instrument; (b) the feasibility of the proposed measures for improvement or restoration of livelihoods and standards of living; (c) availability of adequate counterpart funds for resettlement activities; (d) significant risks, including risk of impoverishment, from inadequate implementation of the resettlement instrument; (e) consistency of the proposed resettlement instrument with the Project Implementation Plan; and (f) the adequacy of arrangements for internal, and if considered appropriate by the TT, independent monitoring and evaluation of the implementation of the resettlement instrument. The TT obtains the concurrence of the Regional social development unit and LEG to any changes to the draft resettlement instrument during project appraisal. Appraisal is complete only when the borrower officially transmits to the Bank the final draft resettlement instrument conforming to Bank policy (OP 4.12). 11. In the Project Appraisal Document (PAD), the TT describes the resettlement issues, proposed resettlement instrument and measures, and the borrower's commitment to and institutional and financial capacity for implementing the resettlement instrument. The TT also discusses in the PAD the feasibility of the proposed resettlement measures and the risks associated with resettlement implementation. In the annex to the PAD, the TT summarizes the resettlement provisions, covering, inter alia, basic information on affected populations, resettlement measures, institutional arrangements, timetable, budget, including adequate and timely provision of counterpart funds, and performance monitoring indicators. The PAD annex shows the overall cost of resettlement as a distinct part of project costs. The project description in the Loan Agreement describes the resettlement component or subcomponent. The legal agreements provide for the borrower's obligation to carry out the EEP, Environmental and Social 79 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- relevant resettlement instrument and keep the Bank informed of project implementation progress. At negotiations, the borrower and the Bank agree on the resettlement plan or resettlement policy framework or process framework. Before presenting the project to the Board, the TT confirms that the responsible authority of the borrower and any implementation agency have provided final approval of the relevant resettlement instrument. Supervision 13. Recognizing the importance of close and frequent supervision to good resettlement outcomes, the Regional vice president, in coordination with the relevant country director, ensures that appropriate measures are established for the effective supervision of projects with involuntary resettlement. For this purpose, the country director allocates dedicated funds to adequately supervise resettlement, taking into account the magnitude and complexity of the resettlement component or subcomponent and the need to involve the requisite social, financial, legal, and technical experts. Supervision should be carried out with due regard to the Regional Action Plan for Resettlement Supervision. 14. Throughout project implementation the TL supervises the implementation of the resettlement instrument ensuring that the requisite social, financial, legal, and technical experts are included in supervision missions. Supervision focuses on compliance with the legal instruments, including the Project Implementation Plan and the resettlement instrument, and the TT discusses any deviation from the agreed instruments with the borrower and reports it to Regional Management for prompt corrective action. The TT regularly reviews the internal, and where applicable, independent monitoring reports to ensure that the findings and recommendations of the monitoring exercise are being incorporated in project implementation. To facilitate a timely response to problems or opportunities that may arise with respect to resettlement, the TT reviews project resettlement planning and implementation during the early stages of project implementation. On the basis of the findings of this review, the TT engages the borrower in discussing and, if necessary, amending the relevant resettlement instrument to achieve the objectives of this policy. 15. For projects with impacts covered under para. 3(b) of OP 4.12, the TT assesses the plan of action to determine the feasibility of the measures to assist the displaced persons to improve (or at least restore in real terms to pre-project or pre-displacement levels, whichever is higher) their livelihoods with due regard to the sustainability of the natural resource, and accordingly informs the Regional Management, the Regional social development unit, and LEG. The TL makes the plan of action available to the public through the Info Shop. 16. A project is not considered complete—and Bank supervision continues—until the resettlement measures set out in the relevant resettlement instrument have been implemented. Upon completion of the project, the Implementation Completion Report (ICR) valuates the achievement of the objectives of the resettlement instrument and lessons for future operations and summarizes the findings of the borrower's assessment referred to in OP 4.12, para. 24.12 If the evaluation suggests that the objectives of the resettlement instrument may not be realized, the ICR assesses the appropriateness of the resettlement EEP, Environmental and Social 80 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- measures and may propose a future course of action, including, as appropriate, continued supervision by the Bank. Country Assistance Strategy 17. In countries with a series of operations requiring resettlement, the ongoing country and sector dialogue with the government should include any issues pertaining to the country's policy, institutional, and legal framework for resettlement. Bank staff should reflect these issues in country economic and sector work and in the Country Assistance Strategy. 1. "Bank" includes IDA; "loans" includes credits, guarantees, Project Preparation Facility (PPF) advances, and grants; and "projects" includes projects under (a) adaptable program lending; (b) learning and innovation loans; (c) PPFs and Institutional Development Funds (IDFs), if they include investment activities; (d) grants under the Global Environment Facility and Montreal Protocol for which the Bank is the implementing/executing agency; and (e) grants or loans provided by other donors that are administered by the Bank. The term "project" does not include programs under adjustment operations. "Borrower" also includes, wherever the context requires, the guarantor or the project implementing agency. 2. See OP 4.12, Involuntary Resettlement. 3. Unit or department in the Region responsible for resettlement issues. 4. The Bank satisfies itself that the borrower has explored all viable alternative project designs to avoid involuntary resettlement and, when it is not feasible to avoid such resettlement, to minimize the scale and impacts of resettlement (for example, realignment of roads or reduction in dam height may reduce resettlement needs). Such alternative designs should be consistent with other Bank policies. 5. Such actions may include, for example, developing procedures for establishing eligibility for resettlement assistance; conducting socioeconomic surveys and legal analyses; carrying out public consultation; identifying resettlement sites; evaluating options for improvement or restoration of livelihoods and standards of living; or, in the case of highly risky or contentious projects, engaging a panel of independent, internationally recognized resettlement specialists. 6. See BP 17.50, Disclosure of Operational Information (forthcoming) for detailed disclosure procedures. 7. For projects with impacts covered under para. 3 (b) of OP 4.12, the analysis referred to in (b) and (d) above is carried out when the plan of action is furnished to the Bank (see para. 15 of this BP). 8. In case of resettlement policy framework, the borrower's obligation also includes preparing a resettlement plan in accordance with the framework, for each sub-project giving rise to EEP, Environmental and Social 81 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- displacement, and furnishing it to be the Bank for approval prior to implementation of the sub-project. 9. See OP/BP 13.05, Project Supervision. 10. The Plan is prepared by the regional social development unit in consultation with the TTs and Legal. 11. See OP/BP 13.05, Implementation Completion Report. 12. The ICR's assessment of the extent to which resettlement objectives were realized is normally based on a socioeconomic survey of affected people conducted at the time of project completion, and takes into account the extent of displacement, and the impact of the project on the livelihoods of displaced persons and any host communities. EEP, Environmental and Social 82 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- OP 4.12December 2001 These policies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. Involuntary Resettlement _________________________________________________________________ Note: OP and BP 4.12 together replace OD 4.30, Involuntary Resettlement. This OP and BP apply to all projects for which a Project Concept Review takes place on or after January 1, 2002. Questions may be addressed to the Director, Social Development Department (SDV). ____________________________________________________________________ 1. Bank experience indicates that involuntary resettlement under development projects, if unmitigated, often gives rise to severe economic, social, and environmental risks: production systems are dismantled; people face impoverishment when their productive assets or income sources are lost; people are relocated to environments where their productive skills may be less applicable and the competition for resources greater; community institutions and social networks are weakened; kin groups are dispersed; and cultural identity, traditional authority, and the potential for mutual help are diminished or lost. This policy includes safeguards to address and mitigate these impoverishment risks. Policy Objectives 2. Involuntary resettlement may cause severe long-term hardship, impoverishment, and environmental damage unless appropriate measures are carefully planned and carried out. For these reasons, the overall objectives of the Bank's policy on involuntary resettlement are the following: (a) Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative project designs. (b) Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits. Displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs. (c) Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. Impacts Covered 3. This policy covers direct economic and social impacts that both result from Bank-assisted investment projects, and are caused by: (a) The involuntary taking of land resulting in: EEP, Environmental and Social 83 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- (i) relocation or loss of shelter; (ii) lost of assets or access to assets; or (iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location; or (b) The involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. 4. This policy applies to all components of the project that result in involuntary resettlement, regardless of the source of financing. It also applies to other activities resulting in involuntary resettlement, that in the judgment of the Bank, are (a) directly and significantly related to the Bank-assisted project, (b) necessary to achieve its objectives as set forth in the project documents; and (c) carried out, or planned to be carried out, contemporaneously with the project. 5. Requests for guidance on the application and scope of this policy should be addressed to the Resettlement Committee (see BP 4.12, para. 7). Required Measures 6. To address the impacts covered under para. 3 (a) of this policy, the borrower prepares a resettlement plan or a resettlement policy framework (see paras. 25-30) that covers the following: (a) The resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are: (i) informed about their options and rights pertaining to resettlement; (ii) consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives; and (iii) provided prompt and effective compensation at full replacement cost for losses of assets attributable directly to the project. (b) If the impacts include physical relocation, the resettlement plan or resettlement policy framework includes measures to ensure that the displaced persons are: (i) provided assistance (such as moving allowances) during relocation; and (ii) provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the old site. (c) Where necessary to achieve the objectives of the policy, the resettlement plan or resettlement policy framework also includes measures to ensure that displaced persons are: (i) offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living; and EEP, Environmental and Social 84 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- (ii) provided with development assistance in addition to compensation measures described in paragraph 6(a) (iii), such as land preparation, credit facilities, training, or job opportunities. 7. In projects involving involuntary restriction of access to legally designated parks and protected areas (see para. 3(b)), the nature of restrictions, as well as the type of measures necessary to mitigate adverse impacts, is determined with the participation of the displaced persons during the design and implementation of the project. In such cases, the borrower prepares a process framework acceptable to the Bank, describing the participatory process by which: (a) specific components of the project will be prepared and implemented; (b) the criteria for eligibility of displaced persons will be determined; (c) measures to assist the displaced persons in their efforts to improve their livelihoods, or at least to restore them, in real terms, while maintaining the sustainability of the park or protected area, will be identified; and (d) potential conflicts involving displaced persons will be resolved. The process framework also includes a description of the arrangements for implementing and monitoring the process. 8. To achieve the objectives of this policy, particular attention is paid to the needs of vulnerable groups among those displaced, especially those below the poverty line, the landless, the elderly, women and children, indigenous peoples, ethnic minorities, or other displaced persons who may not be protected through national land compensation legislation. 9. Bank experience has shown that resettlement of indigenous peoples with traditional land-based modes of production is particularly complex and may have significant adverse impacts on their identity and cultural survival. For this reason, the Bank satisfies itself that the borrower has explored all viable alternative project designs to avoid physical displacement of these groups. When it is not feasible to avoid such displacement, preference is given to land-based resettlement strategies for these groups (see para. 11) that are compatible with their cultural preferences and are prepared in consultation with them (see Annex A, para. 11). 10. The implementation of resettlement activities is linked to the implementation of the investment component of the project to ensure that displacement or restriction of access does not occur before necessary measures for resettlement are in place. For impacts covered in para. 3(a) of this policy, these measures include provision of compensation and of other assistance required for relocation, prior to displacement, and preparation and provision of resettlement sites with adequate facilities, where required. In particular, taking of land and related assets may take place only after compensation has been paid and, where applicable, resettlement sites and moving allowances have been provided to the displaced persons. For impacts covered in para. 3(b) of this policy, the measures to assist the displaced persons are implemented in accordance with the plan of action as part of the project (see para. 30). EEP, Environmental and Social 85 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 11. Preference should be given to land-based resettlement strategies for displaced persons whose livelihoods are land-based. These strategies may include resettlement on public land (see footnote 1 above), or on private land acquired or purchased for resettlement. Whenever replacement land is offered, resettlers are provided with land for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the land taken. If land is not the preferred option of the displaced persons, the provision of land would adversely affect the sustainability of a park or protected area, or sufficient land is not available at a reasonable price, non-land-based options built around opportunities for employment or self-employment should be provided in addition to cash compensation for land and other assets lost. The lack of adequate land must be demonstrated and documented to the satisfaction of the Bank. 12. Payment of cash compensation for lost assets may be appropriate where (a) livelihoods are land-based but the land taken for the project is a small fraction of the affected asset and the residual is economically viable; (b) active markets for land, housing, and labor exist, displaced persons use such markets, and there is sufficient supply of land and housing; or (c) livelihoods are not land-based. Cash compensation levels should be sufficient to replace the lost land and other assets at full replacement cost in local markets. 13. For impacts covered under para. 3(a) of this policy, the Bank also requires the following: (a) Displaced persons and their communities, and any host communities receiving them, are provided timely and relevant information, consulted on resettlement options, and offered opportunities to participate in planning, implementing, and monitoring resettlement. Appropriate and accessible grievance mechanisms are established for these groups. (b) In new resettlement sites or host communities, infrastructure and public services are provided as necessary to improve, restore, or maintain accessibility and levels of service for the displaced persons and host communities. Alternative or similar resources are provided to compensate for the loss of access to community resources (such as fishing areas, grazing areas, fuel, or fodder). (c) Patterns of community organization appropriate to the new circumstances are based on choices made by the displaced persons. To the extent possible, the existing social and cultural institutions of resettlers and any host communities are preserved and resettlers' preferences with respect to relocating in preexisting communities and groups are honored. Eligibility for Benefits 14. Upon identification of the need for involuntary resettlement in a project, the borrower carries out a census to identify the persons who will be affected by the project (see the Annex A, para. 6(a)), to determine who will be eligible for assistance, and to discourage inflow of people ineligible for assistance. The borrower also develops a procedure, satisfactory to the EEP, Environmental and Social 86 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Bank, for establishing the criteria by which displaced persons will be deemed eligible for compensation and other resettlement assistance. The procedure includes provisions for meaningful consultations with affected persons and communities, local authorities, and, as appropriate, nongovernmental organizations (NGOs), and it specifies grievance mechanisms. 15. Criteria for Eligibility. Displaced persons may be classified in one of the following three groups: (a) those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country); (b) those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets—provided that such claims are recognized under the laws of the country or become recognized through a process identified in the resettlement plan (see Annex A, para. 7(f)); and (c) those who have no recognizable legal right or claim to the land they are occupying. 16. Persons covered under para. 15(a) and (b) are provided compensation for the land they lose, and other assistance in accordance with para. 6. Persons covered under para. 15(c) are provided resettlement assistance in lieu of compensation for the land they occupy, and other assistance, as necessary, to achieve the objectives set out in this policy, if they occupy the project area prior to a cut-off date established by the borrower and acceptable to the Bank. Persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance. All persons included in para. 15(a), (b), or (c) are provided compensation for loss of assets other than land. Resettlement Planning, Implementation, and Monitoring 17. To achieve the objectives of this policy, different planning instruments are used, depending on the type of project: (a) a resettlement plan or abbreviated resettlement plan is required for all operations that entail involuntary resettlement unless otherwise specified (see para. 25 and Annex A); (b) a resettlement policy framework is required for operations referred to in paras. 26-30 that may entail involuntary resettlement, unless otherwise specified (see Annex A); and (c) a process framework is prepared for projects involving restriction of access in accordance with para. 3(b) (see para. 31). 18. The borrower is responsible for preparing, implementing, and monitoring a resettlement plan, a resettlement policy framework, or a process framework (the "resettlement instruments"), as appropriate, that conform to this policy. The resettlement instrument presents a strategy for achieving the objectives of the policy and covers all aspects of the proposed resettlement. Borrower commitment to, and capacity for, undertaking successful resettlement is a key determinant of Bank involvement in a project. EEP, Environmental and Social 87 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 19. Resettlement planning includes early screening, scoping of key issues, the choice of resettlement instrument, and the information required to prepare the resettlement component or subcomponent. The scope and level of detail of the resettlement instruments vary with the magnitude and complexity of resettlement. In preparing the resettlement component, the borrower draws on appropriate social, technical, and legal expertise and on relevant community-based organizations and NGOs. The borrower informs potentially displaced persons at an early stage about the resettlement aspects of the project and takes their views into account in project design. 20. The full costs of resettlement activities necessary to achieve the objectives of the project are included in the total costs of the project. The costs of resettlement, like the costs of other project activities, are treated as a charge against the economic benefits of the project; and any net benefits to resettlers (as compared to the "without-project" circumstances) are added to the benefits stream of the project. Resettlement components or free-standing resettlement projects need not be economically viable on their own, but they should be cost-effective. 21. The borrower ensures that the Project Implementation Plan is fully consistent with the resettlement instrument. 22. As a condition of appraisal of projects involving resettlement, the borrower provides the Bank with the relevant draft resettlement instrument which conforms to this policy, and makes it available at a place accessible to displaced persons and local NGOs, in a form, manner, and language that are understandable to them. Once the Bank accepts this instrument as providing an adequate basis for project appraisal, the Bank makes it available to the public through its InfoShop. After the Bank has approved the final resettlement instrument, the Bank and the borrower disclose it again in the same manner. 23. The borrower's obligations to carry out the resettlement instrument and to keep the Bank informed of implementation progress are provided for in the legal agreements for the project. 24. The borrower is responsible for adequate monitoring and evaluation of the activities set forth in the resettlement instrument. The Bank regularly supervises resettlement implementation to determine compliance with the resettlement instrument. Upon completion of the project, the borrower undertakes an assessment to determine whether the objectives of the resettlement instrument have been achieved. The assessment takes into account the baseline conditions and the results of resettlement monitoring. If the assessment reveals that these objectives may not be realized, the borrower should propose follow-up measures that may serve as the basis for continued Bank supervision, as the Bank deems appropriate (see also BP 4.12, para. 16). EEP, Environmental and Social 88 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Resettlement Instruments Resettlement Plan 25. A draft resettlement plan that conforms to this policy is a condition of appraisal (see Annex A, paras. 2-21) for projects referred to in para. 17(a) above. However, where impacts on the entire displaced population are minor, or fewer than 200 people are displaced, an abbreviated resettlement plan may be agreed with the borrower (see Annex A, para. 22). The information disclosure procedures set forth in para. 22 apply. Resettlement Policy Framework 26. For sector investment operations that may involve involuntary resettlement, the Bank requires that the project implementing agency screen subprojects to be financed by the Bank to ensure their consistency with this OP. For these operations, the borrower submits, prior to appraisal, a resettlement policy framework that conforms to this policy (see Annex A, paras. 23-25). The framework also estimates, to the extent feasible, the total population to be displaced and the overall resettlement costs. 27. For financial intermediary operations that may involve involuntary resettlement, the Bank requires that the financial intermediary (FI) screen subprojects to be financed by the Bank to ensure their consistency with this OP. For these operations, the Bank requires that before appraisal the borrower or the FI submit to the Bank a resettlement policy framework conforming to this policy (see Annex A, paras. 23-25). In addition, the framework includes an assessment of the institutional capacity and procedures of each of the FIs that will be responsible for subproject financing. When, in the assessment of the Bank, no resettlement is envisaged in the subprojects to be financed by the FI, a resettlement policy framework is not required. Instead, the legal agreements specify the obligation of the FIs to obtain from the potential sub-borrowers a resettlement plan consistent with this policy if a subproject gives rise to resettlement. For all subprojects involving resettlement, the resettlement plan is provided to the Bank for approval before the subproject is accepted for Bank financing. 28. For other Bank-assisted project with multiple subprojects that may involve involuntary resettlement, the Bank requires that a draft resettlement plan conforming to this policy be submitted to the Bank before appraisal of the project unless, because of the nature and design of the project or of a specific subproject or subprojects (a) the zone of impact of subprojects cannot be determined, or (b) the zone of impact is known but precise sitting alignments cannot be determined. In such cases, the borrower submits a resettlement policy framework consistent with this policy prior to appraisal (see Annex A, paras. 23-25). For other subprojects that do not fall within the above criteria, a resettlement plan conforming to this policy is required prior to appraisal. 29. For each subproject included in a project described in para. 26, 27, or 28 that may involve resettlement, the Bank requires that a satisfactory resettlement plan or an abbreviated EEP, Environmental and Social 89 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- resettlement plan that is consistent with the provisions of the policy framework be submitted to the Bank for approval before the subproject is accepted for Bank financing. 30. For projects described in paras. 26-28 above, the Bank may agree, in writing, that subproject resettlement plans may be approved by the project implementing agency or a responsible government agency or financial intermediary without prior Bank review, if that agency has demonstrated adequate institutional capacity to review resettlement plans and ensure their consistency with this policy. Any such delegation, and appropriate remedies for the entity's approval of resettlement plans found not to be in compliance with Bank policy, are provided for in the legal agreements for the project. In all such cases, implementation of the resettlement plans is subject to ex post review by the Bank. Assistance to the Borrower 32. In furtherance of the objectives of this policy, the Bank may at a borrower's request support the borrower and other concerned entities by providing: (a) Assistance to assess and strengthen resettlement policies, strategies, legal frameworks, and specific plans at a country, regional, or sectoral level; (b) financing of technical assistance to strengthen the capacities of agencies responsible for resettlement, or of affected people to participate more effectively in resettlement operations; (c) financing of technical assistance for developing resettlement policies, strategies, and specific plans, and for implementation, monitoring, and evaluation of resettlement activities; and (d) financing of the investment costs of resettlement. 33. The Bank may finance either a component of the main investment causing displacement and requiring resettlement, or a free-standing resettlement project with appropriate cross- conditionalities, processed and implemented in parallel with the investment that causes the displacement. The Bank may finance resettlement even though it is not financing the main investment that makes resettlement necessary. 34. The Bank does not disburse against cash compensation and other resettlement assistance paid in cash, or against the cost of land (including compensation for land acquisition). However, it may finance the cost of land improvement associated with resettlement activities. 1. "Bank" includes IDA; "loans" includes credits, guarantees, Project Preparation Facility (PPF) advances and grants; and "projects" includes projects under (a) adaptable program lending; (b) learning and innovation loans; (c) PPFs and Institutional Development Funds (IDFs), if they include investment activities; (d) grants under the Global Environment Facility and Montreal Protocol, for which the Bank is the implementing/executing agency; and (e) grants or loans provided by other donors that are administered by the Bank. The term "project" does not EEP, Environmental and Social 90 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- include programs under adjustment operations. "Borrower" also includes, wherever the context requires, the guarantor or the project implementing agency. 2. In devising approaches to resettlement in Bank-assisted projects, other Bank policies should be taken into account, as relevant. These policies include OP 4.01 Environmental Assessment, OP 4.04 Natural Habitats, OP 4.11 Safeguarding Cultural Property in Bank-Assisted Projects, and OD 4.20 Indigenous Peoples. 3. The term "displaced persons" refers to persons who are affected in any of the ways described in para. 3 of this OP. 4. Displaced persons under para. 3(b) should be assisted in their efforts to improve or restore their livelihoods in a manner that maintains the sustainability of the parks and protected areas. 5. Where there are adverse indirect social or economic impacts, it is good practice for the borrower to undertake a social assessment and implement measures to minimize and mitigate adverse economic and social impacts, particularly upon poor and vulnerable groups. Other environmental, social, and economic impacts that do not result from land taking may be identified and addressed through environmental assessments and other project reports and instruments. 6. This policy does not apply to restrictions of access to natural resources under community-based projects, i.e. where the community using the resources decides to restrict access to these resources, provided that an assessment satisfactory to the Bank establishes that the community decision-making process is adequate, and that it provides for identification of appropriate measures to mitigate adverse impacts, if any, on the vulnerable members of the community. This policy also does not cover refugees from natural disasters, war, or civil strife (see OP/BP 8.50, Emergency Recovery Assistance). 7. For purposes of this policy, "involuntary" means actions that may be taken without the displaced person's informed consent or power of choice. 8. "Land" includes anything growing on or permanently affixed to land, such as buildings and crops. This policy does not apply to regulations of natural resources on a national or regional level to promote their sustainability, such as watershed management, groundwater management, fisheries management, etc. The policy also does not apply to disputes between private parties in land titling projects, although it is good practice for the borrower to undertake a social assessment and implement measures to minimize and mitigate adverse social impacts, especially those affecting poor and vulnerable groups. 9. For the purposes of this policy, involuntary restriction of access covers restrictions on the use of resources imposed on people living outside the park or protected area, or on those who continue living inside the park or protected area during and after project implementation. In cases where new parks and protected areas are created as part of the project, persons who lose shelter, land, or other assets are covered under para. 3(a). Persons who lose shelter in existing parks and protected areas are also covered under para. 3(a). 10. The Resettlement Sourcebook (forthcoming) provides good practice guidance to staff on the policy. EEP, Environmental and Social 91 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- 11. "Replacement cost" is the method of valuation of assets that helps determine the amount sufficient to replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of structures and assets should not be taken into account (for a detailed definition of replacement cost, see Annex A, footnote 1). For losses that cannot easily be valued or compensated for in monetary terms (e.g., access to public services, customers, and suppliers; or to fishing, grazing, or forest areas), attempts are made to establish access to equivalent and culturally acceptable resources and earning opportunities. Where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures necessary to meet the replacement cost standard. Such additional assistance is distinct from resettlement assistance to be provided under other clauses of para. 6. 12. If the residual of the asset being taken is not economically viable, compensation and other resettlement assistance are provided as if the entire asset had been taken. 13. The alternative assets are provided with adequate tenure arrangements. The cost of alternative residential housing, housing sites, business premises, and agricultural sites to be provided can be set off against all or part of the compensation payable for the corresponding asset lost. 14. Such support could take the form of short-term jobs, subsistence support, salary maintenance or similar arrangements. 15. See OD 4.20, Indigenous Peoples. 16. See OP 4.04, Natural Habitats. 17. As a general principle, this applies if the land taken constitutes less than 20% of the total productive area. 18. Paras. 13-15 do not apply to impacts covered under para. 3(b) of this policy. The eligibility criteria for displaced persons under 3 (b) are covered under the process framework (see paras. 7 and 30). 19. Such claims could be derived from adverse possession, from continued possession of public lands without government action for eviction (that is, with the implicit leave of the government), or from customary and traditional law and usage, and so on. 20. Resettlement assistance may consist of land, other assets, cash, employment, and so on, as appropriate. 21. Normally, this cut-off date is the date the census begins. The cut-off date could also be the date the project area was delineated, prior to the census, provided that there has been an effective public dissemination of information on the area delineated, and systematic and continuous dissemination subsequent to the delineation to prevent further population influx. 22. For projects that are highly risky or contentious, or that involve significant and complex resettlement activities, the borrower should normally engage an advisory panel of independent, internationally recognized resettlement specialists to advise on all aspects of the project relevant to the resettlement activities. The size, role, and frequency of meeting depend on the complexity of the resettlement. If independent technical advisory panels are established under OP 4.01, Environmental Assessment, the resettlement panel may form part of the EEP, Environmental and Social 92 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- environmental panel of experts. See BP 17.50, Disclosure of Operational Information (forthcoming) for detailed disclosure procedures. 23. An exception to this requirement may be made in highly unusual circumstances (such as emergency recovery operations) with the approval of Bank Management (see BP 4.12, para. 8). In such cases, the Management's approval stipulates a timetable and budget for developing the resettlement plan. 24. Impacts are considered "minor" if the affected people are not physically displaced and less than 10% of their productive assets are lost. 26. For purpose of this paragraph, the term "subprojects" includes components and subcomponents. EEP, Environmental and Social 93 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Annex 2: Environmental and Social clauses; Urban Distribution Rehabilitation and Expansion Project 1. General a) The Contractor shall comply with any specific Environmental and Social Management Plan (ESMP) for the works he is responsible for. The Contractor shall inform himself about such an ESMP, and prepare his work strategy and plan to fully take into account relevant provisions of that ESMP. b) The Contractor shall prepare method statements indicating the period within which he/she shall maintain status on site after completion of civil works to ensure that significant adverse impacts arising from such works have been appropriately addressed c) The Contractor shall adhere to the proposed activity implementation schedule and the monitoring plan / strategy to ensure effective feedback of monitoring information to project management so that impact management can be implemented properly, and if necessary, adapt to changing and unforeseen conditions. d) Besides the regular inspection of the sites by the Supervising Engineer (SE) for adherence to the contract conditions and specifications, the Owner may appoint an Inspector to oversee the compliance with these environmental conditions and any proposed mitigation measures. Environmental protection authorities (EPA), regional environmental authorities or other relevant stake holders may carry out similar inspection duties. In all cases, as directed by the SE, the Contractor shall comply with directives from such inspectors to implement measures required to ensure the adequacy of rehabilitation measures carried out on the bio-physical environment and compensation for socio-economic disruption resulting from implementation of all works. e) The Contractor shall implement all measures necessary to avoid undesirable adverse environmental and social impacts wherever possible, restore work sites to acceptable standards, and abide by any environmental performance requirements specified in an ESMP. f) If the Contractor fails to implement the approved ESMP after written instruction by the Supervising Engineer (SE) to fulfill his obligation within the requested time, the Owner reserves the right to arrange through the SE for execution of the missing action by a third party on account of the Contractor. 2. Dust abatement a) The contractor shall minimize the effect of dust on the surrounding environment resulting from earth mixing sites, asphalt mixing sites, dispersing coal ashes, vibrating equipment, temporary EEP, Environmental and Social 94 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- access roads, etc. to ensure safety, health and the protection of workers and communities living in the vicinity dust producing activities. b) During the performance of the word and any operations appurtenants thereto, the contractor shall carry out proper and efficient measures, such as sprinkling with water or other means, whenever necessary to reduce the dust nuisance, and to prevent dust which has originated from his operations from damaging crops, cultivated fields, and dwellings or causing a nuisance to persons. The contractor will be held liable for any damage resulting form dust originating from his operations. 3. Noise due to construction activities The contractor shall ensure the noise levels emanating from machinery, vehicles and noisy construction activities (e.g. excavation, blasting) are kept at a minimum for the safety, health and protection of workers within the vicinity of high noise levels and nearby communities. The national noise limit standard for the residential area in day time is 55 dB while at night is 45dB. 4. River, Stream and Creek obstruction a) The contractor shall ensure the existing water flow regimes in rivers, streams and other natural or irrigation channels are maintained and/or re-established where they are disrupted due to works being carried out. b) The contractor shall take all possible steps to prevent pollution of streams, rivers and other natural water bodies / reservoirs. c) Bitumen, oils, lubricants and waste water used or produced during the execution of works will not be released directly into rivers, streams, irrigation channels and other natural water bodies/reservoirs with out prior treatments and also ensure that stagnant water in uncovered borrow pits is treated in the best way to avoid creating possible breeding grounds for mosquitoes. 5. Protection of archeological and historical sites a) Upon discovery of ancient heritage, relics or anything that might or believed to be of archeological or historical importance during the execution of works, immediately suspend and report such findings to the SE so that the appropriate authorities may be expeditiously contacted for fulfillment of the measures aimed at protecting such historical or archaeological resources. EEP, Environmental and Social 95 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- b) The contractors shall take the necessary measures for preventing that any person or equipment may damage the article or things and shall provide barricades, fences, and signals and, if necessary, protect against atmospheric agents, as directed by the engineer. Also guard service may be required by the engineer. c) The supervising engineer shall take the following measures: Notify the relevant department of antiquities Request for representative to make site inspection Secession of work in the vicinity of the find until the visit of representative; and Decision by the department of antiquities on possible salvage or excavation within 48-72hours of notification 6. Vegetation and wildlife a) Discourage construction workers from engaging in the exploitation of natural resources such as hunting, fishing, and collection of forest products or any other activity that might have a negative impact on the social and economic welfare of the local communities. b) The contractor shall care, in planning, constructing, maintaining and operating temporary works such as camps, roads, spoil, stockpile and construction facilities areas, to avoid unnecessary damage to areas of particular environmental interest, such as patches of remaining forest, valuable trees and erosion sensitive areas, as well as areas in which the presence of wildlife has been noted. c) In case some part of forest or single trees has to be removed ,or where erosion problems that may affect some portion of the permanent or temporary works are expected, and in any case where in the engineer's opinion it is beneficial for the land conservation, landscaping, seeding and planting of trees, as well as executing drainages and water control works may be required to the contractor, who shall carry out the work according to the prescriptions contained in the pertinent sections of these specifications. d) No valuable trees or crops shall be damaged or removed by the contractor during the execution of the works without the prior consent of the engineer. The contractor shall avoid forest reserves in as much as possible. However, where there are no other alternatives, permission shall be obtained from the appropriate authorities and an environmental impact study shall be conducted. EEP, Environmental and Social 96 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Areas with minimal vegetation cover such as flat and bare ground, or areas covered with grass only or covered with shrubs less than 1.5m in height, are preferred. The line route shall be clearly demarcated to minimize vegetation clearing and to avoid any unnecessary damage on other resources. h) Vegetation clearing shall be restricted to the area required for safe operation of construction work. i) Hunting in the proximity of camps and facilities and in general in the project area is strictly prohibited, even if allowed by local rules or regulation in force in Ethiopia and or in the project region. 7. Use of material The contractor, in as much as possible, shall use local materials to avoid importation of foreign material and long distance transportation. 8. Worksite/Campsite Waste Management All vessels (drums, containers, bags, etc.) containing oil/fuel/surfacing materials and other hazardous chemicals shall be banded in order to contain spillage. Used oil and hydraulic fluid generated on the construction sites must be collected in a closed container and stored temporarily in a safe place and sent to an authorized recycling depot. All drainage and effluent from storage areas, workshops and camp sites shall be captured and treated before being discharged into the drainage system in line with applicable government water pollution control regulations. The contractor shall take all possible steps to prevent pollution of streams, rivers, and other water supplies, at or in the vicinity of the site and shall comply with applicable laws, orders and regulations in force in the country of the works concerning the control and abatement of water pollution. Entry of runoff to the site shall be restricted by constructing diversion channels or holding structures such as banks, drains, dams, etc. to reduce the potential of soil erosion and water pollution. EEP, Environmental and Social 97 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Construction waste shall not be left in stockpiles along the road, but removed and reused or disposed of on a daily basis. If disposal sites for clean spoil are necessary, they shall be located in areas, approved by the SE, for landfill and where they will not result in material being easily washed into drainage channels. Whenever possible, spoil materials should be placed in low-lying areas and should be compacted and dressed with top soil and then planted with species indigenous to the locality. The contractor shall provide all sanitary facilities (e.g. garbage collection and disposal, drinking water facilities, etc.) are provided in construction workers camps. 9. Rehabilitation and Soil Erosion Prevention To the extent practicable, the Contractor shall rehabilitate the site progressively so that the rate of rehabilitation is similar to the rate of construction. The contractor shall reinstate natural drainage patterns where they have been altered or impaired. Ensure reshaped land is formed so as to be inherently stable, adequately drained and suitable for the desired long-term land use, and allow natural regeneration of vegetation. 10. Water Resources Management No construction water containing spoils or site effluent, especially cement and oil, shall be allowed to flow into natural water drainage courses. Site spoils and temporary stockpiles shall be located away from the drainage system, and surface run off shall be directed away from stockpiles to prevent erosion. 11. Traffic Management Location of access roads shall be done in consultation with the local community especially in important or sensitive environment. Access roads shall not traverse wetland areas. Upon the completion of civil works, all access roads shall be ripped and rehabilitated. 12. Disposal of Unusable Elements Unusable materials and construction elements such as electro-mechanical equipment, pipes, accessories and demolished structures will be disposed of in a manner approved by the SE. The EEP, Environmental and Social 98 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Contractor has to agree with the SE which elements are to be surrendered to the Client’s premises, which will be recycled or reused, and which will be disposed of at approved landfill sites. Unsuitable and demolished elements shall be dismantled to a size fitting on ordinary trucks for transport. 13. Repair of Private Property Should the Contractor, deliberately or accidentally, damage private property, he shall repair the property to the owner’s satisfaction and at his own cost. For each repair, the Contractor shall obtain from the owner a certificate that the damage has been made good satisfactorily in order to indemnify the Client from subsequent claims. In cases where compensation for inconveniences, damage of crops etc. are claimed by the owner, the Client has to be informed by the Contractor through the SE. This compensation is in general settled under the responsibility of the Client before signing the Contract. In unforeseeable cases, the respective administrative entities of the Client will take care of compensation. 14. Contractor’s Environment, Health and Safety Management Plan (EHS-MP) Within 6 weeks of signing the Contract, the Contractor shall prepare an EHS-MP to ensure the adequate management of the health, safety, environmental and social aspects of the works, including implementation of the requirements of these general conditions and any specific requirements of an EMP for the works. The Contractor’s EHS-MP will serve two main purposes: For the Contractor, for internal purposes, to ensure that all measures are in place for adequate EHS management, and as an operational manual for his staff. For the Client, supported where necessary by SE, to ensure that the Contractor is fully prepared for the adequate management of the EHS aspects of the project, and as a basis for monitoring of the Contractor’s EHS performance. The Contractor’s EHS-MP shall provide at least: a description of procedures and methods for complying with these general environmental management conditions, and any specific conditions specified in an EMP; EEP, Environmental and Social 99 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- a description of specific mitigation measures that will be implemented in order to minimize adverse impacts; a description of all planned monitoring activities (e.g. sediment discharges from borrow areas) and the reporting thereof; and the internal organizational, management and reporting mechanisms put in place for such. The Contractor’s EHS-MP will be reviewed and approved by the Client before start of the works. This review should demonstrate if the Contractor’s EHS-MP covers all of the identified impacts, and has defined appropriate measures to counteract any potential impacts. 14.1. Health and Safety In advance of the construction work, the Contractor shall mount an awareness and hygiene campaign. Workers and local residents shall be sensitized on health risks particularly of HIV/AIDS. Adequate road signs to warn pedestrians and motorists of construction activities, diversions, etc. shall be provided at appropriate points. Construction vehicles shall not exceed maximum speed limit of 40km per hour. 14.2. Traffic safety a) Ensure public safety, and meet traffic safety requirements for the operation of work to avoid accidents. b) The contractor shall be responsible for the safety along the roads related to the site, and he shall take all necessary precautions for the protection of the work and the safety of the public on the roads affected by his activities. c) Roads subject to interference by the work shall be kept open or suitable detours shall be provided and maintained by the contractor, who shall provide, erect, and maintain all necessary barricades, suitable and sufficient flashlights, flagmen, danger signals, and signs. The contractor shall submit his weekly activities schedule and the locations of his work along the existing public roads to the authorities concerned, and obtain all necessary approvals prior to commencement of the respective work. e) At the road crossings or in heavy traffic locations, the contractor shall carry out the work within the working hours as directed by the engineer, and after the completion of the work he shall immediately make the necessary backfill and pavement at the crossings. EEP, Environmental and Social 100 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- f) The contractor shall provide temporary passes and bridges to give an access to the existing villages, houses, etc., to the satisfaction of the engineer and the authorities concerned whenever he disturbs such existing way during the execution of the works. 15. Reporting The Contractor shall prepare monthly progress reports to the SE on compliance with these general conditions, the project EMP if any, and his own EHS-MP. It is expected that the Contractor’s reports will include information on: EHS management actions/measures taken, including approvals sought from local or national authorities; Problems encountered in relation to EHS aspects (incidents, including delays, cost consequences, etc. as a result thereof); Lack of compliance with contract requirements on the part of the Contractor; Changes of assumptions, conditions, measures, designs and actual works in relation to EHS aspects; and Observations, concerns raised and/or decisions taken with regard to EHS management during site meetings. It is advisable that reporting of significant EHS incidents be done “as soon as practicable”. Such incident reporting shall therefore be done individually. Also, it is advisable that the Contractor keeps his own records on health, safety and welfare of persons, and damage to property. It is advisable to include such records, as well as copies of incident reports, as appendixes to the bi-weekly reports. Example formats for an incident notification and detailed report are given below. Details of EHS performance will be reported to the Client through the SE’s reports to the Client. 16. Training of Contractor’s Personnel The Contractor shall provide sufficient training to his own personnel to ensure that they are all aware of the relevant aspects of these general conditions, any project EMP, and his own EHS-MP, and are able to fulfill their expected roles and functions. Specific training should be provided to those employees that have particular responsibilities associated with the implementation of the EHS-MP. General topics should be: EHS in general (working procedures); EEP, Environmental and Social 101 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- emergency procedures; and social and cultural aspects (awareness creation on social issues). 17. Cost of Compliance It is expected that compliance with these conditions is already part of standard good workmanship and state of art as generally required under this Contract. The item “Compliance with Environmental Management Conditions” in the Bill of Quantities covers these costs. No other payments will be made to the Contractor for compliance with any request to avoid and/or mitigate an avoidable EHS impact. EEP, Environmental and Social 102 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Annex 3: EEP Additional financing RAP/ARAP Extended Screening Checklist • Basic project Information Project Name Additional Financing for Energy Access Project Seven Towns Electricity Distribution Network Rehabilitation and Expansion Project Site area in ha Location (include Amhara, Tigray, Oromia and SNNP Regional States and Seven map/sketch): Towns: Beshoftu/ Debrazeyit/, Wolayita Sodo, Gonder, Adigrat, Debre Markos, Shashamene and Harar. Type of activity : Electric distribution system rehabilitation and expansion. Proposed Date of Works Commencement • Impact identification and classification: When considering the location of Additional Financing for Energy Access Project Seven Towns Electricity Distribution Network Rehabilitation and Expansion Project, rate the sensitivity of the proposed site in the following table according to the given criteria. Higher ratings do not necessarily mean that a site is unsuitable – it indicates a real risk of causing adverse impacts involving resettlement and compensation. The following table should be used as a reference. Additional Financing for Energy Access Project Seven Towns Electricity Issues Distribution Network Rehabilitation and Expansion Project Scope of Impact Significant Medium No Impact Involuntary • If the activity takes • If the activity takes • No land take resettlement more than 20% of less than 20% of • No economic or physical households land households land displacement • If it displaces greater • If it displaces less • No land acquisition than 200 people than 200 people • No non-Land Economic Displacement • Checklist of impacts Additional Financing for Energy Access Project Potential for Adverse Impacts Seven Towns Electricity Distribution Network Rehabilitation and Expansion Project (Conservation of existing forest, plantation, Rehabilitation of No Impact Significant Medium degraded land through afforestation and reforestation area closure etc.) Economic or physical resettlement required Does the activity take more than 20% of households land Does the activity displace greater than 200 people EEP, Environmental and Social 103 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- New settlement pressures created Other (specify): • Detailed questions Public participation/information requirements: Does the Additional Financing for Energy Access Project Seven Towns Electricity Distribution Network Rehabilitation and Expansion Project on the ground investment activity informed the public, consulted or involved in the process? Has consultation been completed? Land and resettlement: Will people’s livelihoods be affected in any way, therefore requiring some form of compensation? Will people need to be displaced, and therefore require compensation and resettlement assistance? Are the relevant authorities aware of the need for a Resettlement Process, involving a census, valuation, consultation, compensation, evaluation and monitoring? What level or type of compensation is planned? Who will monitor actual payments? Actions: List outstanding actions to be cleared before a project appraisal. Approval/rejection • Recommendations: Requires a RAP is to be submitted Requires a Census & Land Inventory to be submitted Does not require further social or environmental studies *Place tick in applicable box Reviewer: Name: Signature: Date: EEP, Environmental and Social 104 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Annex 4: Sample Grievance Procedure Form Name of Complaint: __________________________________ ID Number: __________________________________ Contact Address: Wereda ____________________, Kebele __________________, Village ____________________; mobile phone__________________) Nature of Grievance or Complaint: ______________________________________________________________________________ _____________________________________________________________________________ Summary of Discussion with Complaint ______________________________________________________________________________ ______________________________________________________________________________ Signature_______________________ Date: ____________ Review/Resolution Date of Conciliation Session: ______________________________________ Was complaint Present? : Yes No Was field verification of complaint conducted? Yes No Findings of field investigation: ______________________________________________________________________________ ______________________________________________________________________________ Summary of Conciliation Session Discussion: ______________________________________________________________________________ ______________________________________________________________________________ Was agreement reached on the issues? Yes No If agreement was reached, detail the agreement below: If agreement was not reached, specify the points of disagreement below: ______________________________________________________________________________ ______________________________________________________________________________ Name and Signature of GRC Members Name _______________________Signature_______________________ Date: ____________ Name _______________________Signature_______________________ Date: ____________ Name _______________________Signature_______________________ Date: ____________ Name and Signature of Independent Observer Name _______________________Signature_______________________ Date: ____________ Name and Signature Complaint Name _______________________Signature_______________________ Date: ____________ EEP, Environmental and Social 105 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- EEP, Environmental and Social 106 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- Annex 5: Munities of meetings a) EEP, Environmental and Social 107 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- EEP, Environmental and Social 108 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- EEP, Environmental and Social 109 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- EEP, Environmental and Social 110 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- EEP, Environmental and Social 111 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- EEP, Environmental and Social 112 Resettlement Policy Framework Ethiopia- Additional Financing for Energy Access Projects even cities Electricity Distribution Network 2016 Rehabilitation and Expansion Project- EEP, Environmental and Social 113 Resettlement Policy Framework