Social Assessment. E2425 v4. Agricultural Growth Program. Final Report, 22 March March 2010

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1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized E2425 v4 March 2010 Government of Ethiopia, Ministry of Agriculture and Rural Development Agricultural Growth Program Social Assessment Final Report, 22 March 2010

2 Table of Contents Acronyms Executive Summary Objective of the Study Methodology Main Findings Socio-Economic Profiles of AGP Regions, Woredas and Kebeles Presence of Specific Vulnerable Groups Summary Statement on Triggering World Bank Safeguard OP Anticipated Positive AGP Impact Anticipated Social Risks Institutional Capacity at Woreda and Kebele Level Summary Statement on Triggering World Bank Safeguard OP Recommendations: Risk Mitigation Measures and Strategies Assessment Scope and Methodology Selection of Woredas, Kebeles and Target Groups Applied Definition of Vulnerable Social Groups Review of Data from Secondary Sources Socio-Economic Profiles of the AGP Regions Oromia National Regional State Southern Nations, Nationalities and People s Regional State Tigray National Regional State Amhara National Regional State Socio-Economic Profiles of Visited AGP Woredas and Kebeles Oromia Region SNNPR Amhara Region Tigray Region National Policies and Litterature Related to Vulnerable Groups Main Findings Introduction Major Vulnerable Social Groups Identified Presence of Specific Vulnerable Social Groups in AGP Woredas Women and Girls Youth

3 4.3.3 Children and Orphans Elderly Occupational Minorities Tribal Minorities Conflict-prone Households and Competition for Natural Resources Summary Statement on Triggering World Bank Safeguard OP Enabling Environment and Positive AGP Impacts on Vulnerable Groups Anticipated Social Risks Labor and Rural Employment Opportunities Access to Farm Land Conflict Prone Households Social-Environmental Linkages Social Capital and Informal Access to Finance Formal Access to Finance Non-Financial Services Institutional Capacity at Woreda and Kebele Level Gender Aspects of Kebele Level Institutional Capacities Gap filling and Missing Skills VSG Sensitive Cross-Sectoral Coordination Access to Information for All Monitoring Capacity Local Level Actor Coordination and AGP Task Forces Presence of Physical Cultural Resources Summary Statement on Triggering World Bank Safeguard OP Summary of Major Regional Variations and Similarities Recommendations: Risk Mitigation Measures and Strategies Conflict Resolution in Specific Locations Addressing Land Rent Issues Facilitating Women and Girls Participation in AGP Mitigating Effects of Customary Practices and HIV/AIDS Broaden Access to Business Development Services Broaden Access to Financial Services Recognizing Social-Environmental Linkages Physical Cultural Resources AGP Sub-Project Appraisal and Screening

4 7.10 Review of Guiding AGP Documents M&E of Vulnerable Social Groups and PCRs Training and Information Needs at Woreda and Kebele Levels Annexes AGP Results Framework Examples of Main Activities by Components AGP Monitoring Consequences of Polygamy Women of Occupational Minorities: Double Marginalization and Cyclical Poverty Trap Lists of People interviewed Field Sample Selection Criteria and Scores References

5 Acronyms AGP BDS BoFED BoLSA BoYSSA CCC CEFE CRC CSA ECEX ESMF FGD FHH GoE HEW ILO MFI MoARD MoCT MoTI MoWA MSE PANE PASPEP PCU PIM PPM SA SARDP SIYB VOCA VSG WARD WYSSA YSW Agriculture Growth Programme Business Development Service Bureau of Finance and Economic Development Bureau of Labour and Social Affairs Bureau of Youth, Sport and Social Affairs Community Care Coalition Competency Enhancement for Entrepreneurs Child Right Committee Central Statistics Authority Ethiopian Commodity Exchange Environmental and Social Framework Focus Group Discussions Female Headed Household Government of Ethiopia Health Extension Worker International Labour Organization Micro-Finance Institution Ministry of Agriculture and Rural Development Ministry of Culture and Tourism Ministry of Trade and Industry Ministry of Women Affairs Micro and Small Enterprise Poverty Action Network Plan for Accelerated and Sustained Development to End Poverty Project Coordination Unit Program Implementation Manual Participatory Planning Manual Social Assessment Sida-Amhara Rural Development Program Start and Improve Your Business Volunteers in Overseas Cooperative Assistance Vulnerable Social Group Woreda Agriculture and Rural Development Woreda Youth, Sport and Social Affairs Yem Special Woreda 5

6 1 Executive Summary 1.1 Objective of the Study This study feeds into the preparation process for the Agriculture Growth Program. Its main objective is to assess in a consultative process if the proposed AGP activities are likely to trigger the World Bank safeguard policies OP 4.10 on indigenous people and OP 4.11 on physical cultural resources. 1.2 Methodology This report presents findings from a desk review and extensive field visits to 4 AGP regions (Oromia, SNNPR, Amhara and Tigray) and 8 Woredas (Diga, Ambo and Dodola from Oromia; Wondogenet and Yem Special from SNNPR; Taqussa and S/Achefer from Amhara and Endamhoni from Tigray). At least one Kebele from each visited Woreda was comprehensively assessed. An initial meeting of the SA team with the World Bank responsible officers and AGP Task Force members clarified the final scope of work. Additional meetings with the WB were held during study implementation and reporting. The SA team also met with the consultant team drafting then ESMF for coordination purposes. The representative sample Woredas and Kebeles were selected according to a range of parameters derived from OP 4.10 and OP 4.11 during the Inception Period. Pre-designed checklists prepared during the Inception Period were used to collect socio-economic data and the Woreda s profile. Half-day consultation workshops were conducted at every visited Woreda with diverse sector office representatives. Here briefings about AGP took place and anticipated positive impacts and social risks were identified, consolidated and discussed. Consultation workshops with representatives from Kebele cabinet members, DAs and women representatives were held at Kebele level. Critical issues identified during Woreda and Kebele consultations were further assessed by using both pre-designed guide questions and triangulation methods using key informant interviews and focus group discussions with elders, women, occupational groups and youth. 467 individuals participated in consultative meetings at central, regional, Woreda and Kebele level. The study was carried out between January and March 2010 by a team of three national and one international expert. They were assisted by field facilitators in the 4 regions. 1.3 Main Findings Socio-Economic Profiles of AGP Regions, Woredas and Kebeles Youth makes up 27-28% of the total population in AGP regions and Oromia s youth population is in absolute figures, varies from 1.1 million in Tigray National close to 7.5 million and 47 % Regional State to 7.5 million in Oromia. Studies indicate that more of population is below age 14 than 68% of youths are unpaid family workers, landless and without formal employment. The large majority of people engage in subsistence farming (88.6 % in Amhara, where 47% of youth is landless). Resettlement schemes are common. In some Woredas in Tigray, average size of cultivated land plots is roughly 0.2 ha, which is even smaller than the regional average of 0.4 ha. 6

7 Children in all 4 regions make up 40-50% of population on average. In Oromia Woredas, average household size can reach 8.5 people. Land registration has taken place in all regions with between 50% (SNNPR) and 98% (Tigray) of HHs holding a first certificate. Conflicts around land use and ownership are increasing in all regions. ANRS recorded almost 1,6 million orphans in 2008 Agriculture investments have created substantial employment in all regions, especially in SNNPR. HIV/AIDS has had a major impact especially on Amhara. Polygamy and early marriage is common. The population size of the visited Woredas ranges from a low of 77,873 in Diga to 210,129 in Dodola. The share of FHHs in the total farm households varies more widely reaching between 11% (Diga) and 26% (Ambo) Presence of Specific Vulnerable Groups The SA team identified several social groups in AGP Woredas that are in a clearly disadvantaged or vulnerable position. They can be categorized as follows: a) Women and female headed households; categorically those women without access to farm land, female heads of households with little land and big family size including those with enough land but with shortage of labor and women in polygamous/early marriage with unclear property rights, In all AGP woredas visited, vulnerable groups make up at least half of the total population b) Youth who are unemployed and landless, c) Orphaned children and children who become child family heads whose inheritance right is abused by their custodians, and d) Elderly people who may have enough land but lack a social support network and can not access labor. Youth, children, orphans or elderly may have to be further gender disaggregated as specific proposed AGP activities may cause particularly negative impacts to either male of female members. Resource poor households are generally more vulnerable. In few AGP Woredas researched, additional location specific AGP risk groups were identified: a) Farmers who depend on communal land that is given out to foreign investors in a situation of extreme land shortage, b) Small occupational minorities that still experience forms of discrimination, c) Small tribal minorities that still experience forms of discrimination, d) Conflict-prone farming households who are victims of administrative boundary conflicts or conflict with migrants over use of natural resources Summary Statement on Triggering World Bank Safeguard OP 4.10 In relation to the Bank s safeguard policies, perceptions found in all visited Woredas show that the concept of indigenous people could not be broadly applied even though a small number of distinct occupational and tribal minorities was identified. 7

8 World Bank safeguards according to OP 4.10 will not be triggered with exception of the Woieto along Laka Tana shore in Amhara and the Fuga of Yem Woreda in SNNPR and possibly groups with similar characteristics in not yet researched other AGP Woredas Anticipated Positive AGP Impact There are ample opportunities for the success of AGP as the designed components are theoretically compatible even with needs and resources of vulnerable social groups. Demand and improved market prices for agricultural products encourage use of improved technologies and contract farming arrangements. Access to market information is enhanced and mobile phones are widely used. Woreda institutions do their best to organize different social groups, especially landless youth, in agriculture production and marketing activities. AGP can build on the many existing self-initiated and organized groups. Various dam projects createopportunites for irrigation agriculture. Growth corridors will benefit many AGP Woredas. New initiatives like the Community Care Coalition in Tigray support orphans, elders and disabled groups by mobilizing resources from different organizations in the Kebele and the community at large. Child Rights Committees monitor and protect the rights of children in all Woredas Anticipated Social Risks Labor and Rural Employment Opportunities In cereal surplus producing Woredas, the use of farm machinery such as combine harvesters has limited the absorption of the huge surplus labor and landless now exploit even closed forest areas for immediate income needs. If promotion of mechanized commercial farming under AGP proves to actually reduce employment, the program definitely will have to address this issue. In almost all Woredas, better-off households, those who diversify and small size FHHs are compelled to use cheap child labor. There is a risk that AGP actually encourages an increase in utilizing child labor in agricultural commodity chain activities. Access to Farm Land The SA team findings confirm other studies that suggest that many critical social issues can be directly or indirectly linked to unresolved land issues. For AGP one cannot think of sustained agricultural growth without strengthening tenure security. Access to farm land for the youth is a most critical issue. Existing informal land contracting arrangements are found to function without backing from land policies but numbers of conflicts are rising and hinder participation of landless youth in agricultural growth activities. In some places elders posses ten hectare or more of farm land. Many either don t have access to family labor or are challenged by family members to divide their land. Where polygamous marriage is common female land holding is discouraged. Conflict Prone Households Households living in conflict-prone localities and in capital intensive private commercial farm areas may require specific attention to be able to participate in AGP. Suddenly restricted access to grazing land, water and forest resources have resulted in stiff competition among communities that is not always resolved peacefully. If AGP aggravates such conflicts directly or indirectly, the program must also offers solutions for transparent conflict prevention and mitigation. 8

9 Social-Environmental Linkages Environmental degradation is likely to hit those hardest that are already disadvantaged. Traditionally, specific natural resources are utilised in a rural community primarily by specific groups and according to gender and age for either domestic or productive use. AGP Component 1 and 2 may change existing patterns in VSGs access to natural resources. Current and anticipated climate change impacts must be considered for choice of crops and production systems, training modules, size and allocation of infrastructure projects etc..not considering it could increase costs of interventions, as well as vulnerability with erratic weather patterns affecting e.g. food security. AGP Component 1 aims at increasing agricultural productivity. One-season commercial cash crop farming by outsiders does little to improve soil fertility. If resource poor HHs are to become part of AGP, the use of compost is a preferable choice, as it increases resilience when HHs do not have cash for purchase of synthetic fertilizers. Social Capital, Informal and Formal Access to Finance Self-initiated social organizations, with various local names are solidarity groups whose cohesiveness goes beyond serving the economic needs of members. Even male and female youth participate in them. Rural saving and credit cooperatives are emerging as strong financial intermediaries that also include women. Government established and supported groups often have a relatively large membership, but people interviewed in all four regions agreed that these organized groups often lack truly motivated members and are more easily disbanded than traditional groups. Especially polygamous households, but also women and youth that are often considered risk groups by credit committees, borrow from private lenders at extremely high interest rates. In cash crop areas, micro finance institutions are unable to meet demands for bigger loan size for growth-oriented and surplus producing farmers. Micro finance institutions often lack outreach in remote areas and don t offer products tailored to specific needs of vulnerable groups. Non-Financial Services One of AGP s sub-components is agribusiness development. Market uncertainties affect households and micro entrepreneurs, suggesting that working with non-financial services is just as important as providing rural credit. AGP must be prepared to work in an environment characterized by wastefulness associated to customary practices, low cash saving rates, a culture at preentrepreneurial stage, and an absence of properly tailored Business Development Support Services. Most of the BDS provided is not demand-driven and training is not market oriented and does not reflect available appropriate technologies. Youth and women have least market exposure and experience and are unlikely to become engaged in profitable AGP activities unless tailor-made interventions are designed to bring them onboard. Documented best practises for this exist Institutional Capacity at Woreda and Kebele Level Strong institutions at grass-roots level encourage trust, promote property rights and avoid the exclusion of the different sections of the population. Lower level government institutions are increasingly involved in community development. In the AGP-SA context, the Women and Child Affairs, Micro and Small Enterprise, Labour and Social Affairs, and Youth and Sport are among the 9

10 offices that have direct mandates for supporting vulnerable groups. They are in different states of institutional maturity. Understaffing, Gap filling & Coordination A considerable staff shortage was recorded in all institutions working with VSGs. Besides numerical shortages, staff are also under/unqualified. Skills in mainstreaming of social, Woreda offices working with VSGs had an average staffing gap of 41% vulnerability or gender issues are virtually absent even in institutions expected to work with them. Staff members are also busy with gap filling outside their technical fields of expertise. They lack access to modern and efficient IT equipment and other office facilities. AGP must increase staff skills in socially sensitive project cycle management. The SA already shows that staff from Women and Social Affair and Youth Affairs offices that do not even have a Kebele level representation, have large capacity gaps in this respect. Splitting up Agriculture and Rural Development offices into separate desks prevents coordinated use of DAs. A lack of cross-sector planning is likely to impact negatively on AGP when it comes to applying socially inclusive approaches. Access to Information for All Staff of several social institutions in the visited Woredas was not aware of the program at all. AGP implementation will have to approach the issue of equitable access to information in a strategic manner. Experience from similar programs shows that crucial information about upcoming development initiatives like AGP first of all reaches local elites that may monopolize this knowledge. AGP design, budget allocation and implementation of investments and trainings must include awareness campaigns that reach even those groups that often are not participating in regular meetings at community levels. Monitoring Capacity Staff capacity in collecting, storing and monitoring of data on vulnerable social groups is very weak. A sound baseline and robust monitoring system with simple indicators would facilitate informed decision making on AGP at regional and federal levels in terms of reaching intended target groups. Local Level Actor Coordination and AGP Task Forces Implementation of AGP requires coordinated efforts among different sectors in decision making and continuous provision of advice. The process of forming AGP task forces is not yet completed. Inclusion of officers from relevant departments in the Woreda steering committee would strengthen the safeguard processes for the different social groups and physical cultural resources. It also ensures integration of socio-economic activities into Woreda as well as at local level development initiatives. Non-state actors often focus on poor and marginalized groups of society and possess experience on what works and what doesn t. AGP committees should definitely use the opportunity to tap into these experiences for making the program more responsive to needs of vulnerable groups in an efficient and effective manner. Kebele Associations can, together with Woreda sector office and DAs, play a significant role in implementing, monitoring and evaluating of AGP. 10

11 1.3.7 Summary Statement on Triggering World Bank Safeguard OP 4.11 Substantial numbers of sacred and ritual sites of religious and cultural importance (sacred trees, springs, rivers, ritual sites, graveyards, religious buildings etc) have been identified in all visited locations. Implementation of AGP sub-projects in the area of small irrigation schemes, water reservoir and dam excavation and rural roads construction is likely to impact negatively on PCRs. If AGP further increases pressure on already limited land resources for agricultural production, the encroachment on communal lands and forests surrounding sites of religious or cultural importance will also be accelerated. OP 4.11 will be triggered by AGP 1.4 Recommendations: Risk Mitigation Measures and Strategies Women and youth are specific AGP target groups. AGP must reflect the fact that they actually make up the majority of a typical Woreda population, are major productive actors in value chains and are crucial for any sustainable rural poverty alleviation. AGP can not afford to treat them as passive recipients or exclude them from full participation. To ensure that they and the other vulnerable social groups identified by the SA will participate in and benefit from AGP as intended it is crucial to: a) Revisit the program design/lfa and its components to create additional opportunities for these groups of society, b) Include mechanisms that promote their full participation in the entire sub-project cycle at operational level and c) Build the capacity for applying and evaluating these measures for staff entrusted with overseeing actual implementation of AGP activities. The PIM and other manuals applied in the field need to cover these aspects in simple yet comprehensive ways. Capacity building must ensure that vulnerability and participatory issues are truly understood and fully anchored within local implementing units. Training of DAs will be crucial in this respect. Conflict Resolution in Specific Locations Boundary conflicts and competition for remaining natural resources is risk for AGP. Land allocation to commercial farms causes massive resentments. AGP may encourage outsiders to enter productive areas without consulting with traditional users. AGP Task Forces and PCU, trained and assisted by conflict management specialists, must facilitate such consultations through traditional and modern conflict resolution mechanisms. Committees at Kebele level should address conflicts and benefit sharing issues, using a tool box that describes mechanisms for arbitration and compensations. Conflict matters must be incorporated in sub-project planning guidelines and screening criteria. Addressing Land Rent Issues A large % of male and female youth is landless, which may indirectly exclude them from AGP. A resurrection of the once planned but later discarded AGP land component may have to be considered to bundle all land-related activities that undoubtedly will merge during AGP implementation. Information that includes messages directly aiming at women, youth and other VSGs on existing legislation/directives on land contractual arrangements must be part of strategic AGP information dissemination activities and yet reflect regional differences in legislation. 11

12 Facilitating Women and Girls Participation in AGP Women can not be a productive force unless they have enough time for income generating activities, participatory planning exercises, training or forming of associations. Using existing regional strategies on gender mainstreaming, AGP initiatives should actively reduce work load of women and girls and make sure that an introduction of labor intensive production, processing, transporting, marketing or infrastructure maintenance activities does not create additional work load for them. Sub-project screening criteria must take up this issue. AGP should create access to appropriate technology for women in production, processing and transport as well as access to alternative energy sources to free time for AGP income generating activities. Mitigating Effects of Polygamy, Customary Practices and HIV/AIDS Polygamy, early marriage and HIV/AIDS cause labor shortage in resource poor HHs preventing them from diversifying income generating activities. AGP should support specific land titling to women, strengthen Child Right Committees, mainstream activities for countering HIV/AIDS in AGP and build required institutional capacity in AGP implementing units. Broaden Access to Business Development Services Many farmers remain in a pre-entrepreneurial stage, which is compounded by the absence of properly tailored Business Development Support Services. Particularly youth and women have the least exposure and experience for becoming competitive actors in commodity chains. The SA team recommends BDS to become a separate sub-component in AGP with specific interventions under a demand-driven value chain support cluster that relies on private and public BDS facilitators and trained agricultural subject matter specialists. Women, youth and VSGs should receive tailor-made training based on existing best practices from Ethiopia for developing business initiatives. Broaden Access to Financial Services Access to appropriate financial services is crucial throughout a value chain. Existing microfinance institutions have limited outreach with small enough loans to youth and women clients, while growth-oriented entrepreneurs cannot obtain sufficiently large loans. Appropriate financial services should be available to all farmers wishing to engage in income generating activities. Commercial banks and MFIs are main entry points for AGP. The introduction of Credit Guarantee Arrangements or Warehouse Receipts Systems is proposed. Both are generally applicable, but can be used for creating tailor made loan products specifically targeting women, youth and other VSGs. Recognizing Social-Environmental Linkages Social well being and environment are closely interlinked and already vulnerable groups are most likely to suffer from further environmental degradation. AGP cannot aggravate stress on already overused natural resources. Productivity gains must not only be achieved by using costly externally supplied inputs that resource poor HHs can not afford. The limited ability of vulnerable groups to adopt new crops/new technology must be considered. Mitigation measures against increasingly erratic weather patterns must be included in the program. Protecting Physical Cultural Resources The ESMF includes procedures for protection of PCRs. The PIM must detail mandatory measures once a PCR safeguard is triggered during a sub project screening process. PCR Interest Groups representing tribal and customary leaders, women and youths can act as whistle blowers for protecting PCRs. They should be able to formulate bye-laws with specific measures for safeguarding 12

13 PCRs. The Ministry of Culture and Tourism should receive capacity building and its regional and Woreda offices must be represented in all AGP structures. AGP Sub-Project Appraisal and Screening The SA team proposes a range of additional criteria for screening of sub-projects that need to be reflected in the PIM. Sub-project appraisal processes through Kebele or sub-kebele development committees must focus on effects and level of inclusion of women, youth and VSGs. Sector offices will be trained in application of social screening criteria. External experts will assess social impact of bigger dams, irrigation canal and feeder road construction. Review of Guiding AGP Documents The definition of AGP target groups still is inconsistent and proposed program activities can not be clearly enough linked to women, youth or other VSGs. The Guidelines for Environmental and Social Impacts of Subprojects of AGP must guarantee that the planning processes reflects interests of vulnerable groups identified by the SA and that compliance mechanisms to agreed social standards during sub-project implementation are in place. M&E of Vulnerable Social Groups and PCRs AGP must ensure that relevant government institutions (e.g. Women and Youth Affairs as well as Labour and Social Affairs) and NGOs/CSOs working with VSGs are part of technical and steering committees at all levels. They need capacity for undertaking baseline studies in their specific location, for defining M&E indicators and for analysis of changes in livelihood patterns. Training and Information Needs at Woreda and Kebele Levels The AGP Institutional Capacity Assessment must assess existing capacities in regard to gender and vulnerability issues. Staff from sector offices that are trained in social and gender analysis and mainstreaming should train existing Kebele level DAs to ensure integration of social issues in AGP implementation. Alternatively, specific Social Development Agents could be trained and put in place to ensure systematic work with VSGs at Kebele level. After a TNA, AGP should provide capacity building support and implement an information dissemination strategy social, gender, minority, and vulnerability issues but also insist that institutions crucial for AGP are staffed by people with relevant skills. Coordination between various actors working with VSG issues should be institutionalized within AGP. 13

14 2 Assessment Scope and Methodology The Social Assessment assesses if the AGP and its components will trigger the World Bank policies on Indigenous Peoples (OP 4.10), Physical Cultural Resources (OP 4.11) and other social issues outside social safeguards. Inception Period meetings with AGP Task Force members and the World Bank responsible officers clarified the final scope of work. Additional meetings with the WB were held during study implementation and reporting. The SA team also met with the consultants drafting the ESMF for coordination purposes. This report presents findings from a desk review and field visits to 4 AGP regions (Oromia, SNNPR, Amhara and Tigray) and a total of 8 Woredas (Diga, Ambo and Dodola in Oromia; Wondogenet and Yem Special in SNNPR; Taqussa and Achefer in Amhara and Endamhoni in Tigray). At least one Kebele from each visited Woreda was deeply assessed. Pre-designed checklists prepared during the SA Inception Period were used to collect socioeconomic data and draft the different Woreda profiles. Half day consultation workshops were conducted at every visited Woreda with diverse sector office representatives (see Annex for participants). Here briefings about AGP took place and anticipated positive impacts and social risks were identified, consolidated and discussed. Similar consultation workshops with representatives from Kebele cabinets, DAs and women and youth representatives were held at Kebele level. Critical issues identified during Woreda and Kebele level consultation workshops were further assessed by using both pre-designed guide questions and triangulation methods. At this level, two key informant interviews (male and female) and focus group discussion with youth and women groups (with 5 7 participants) and occupational minority and tribal groups (in some Kebeles) took place. A total of 467 individuals have participated in the consultative meetings at central, regional, Woreda and Kebele level. The study was carried out between January and March 2010 by Zelalem Anteneh (Team Leader and Social Scientist), Wubitu Abere (Gender Specialist) and Debebe Habtewold (Institutional Specialist). They were assisted by field facilitators in each of the 4 regions. Regional Focal persons provided valuable inputs. Jan Bargheer from ORGUT HQ provided technical backstopping during two missions to Addis Ababa. The ORGUT Ethiopia office gave logistical and administrative support. The team would like to thank all the other contributors not mentioned here. 2.1 Selection of Woredas, Kebeles and Target Groups The SA used a set of criteria modeled on WB safeguard policies to select sample Woredas and Kebeles (see annex). To ensure representativeness, the SA covered about 10% of the total 83 AGP Woredas. As the number of Kebele and population size of sampled Woredas varies, care was taken to include sample Kebeles that reflect most of the typical as well as critical social features of a Woreda. Final sample selection weighted different criteria and computed composite indices of four indicators: presence of highly vulnerable social groups, occupational minorities, new settlers and landless populations, 14

15 presence of large numbers of FHHs and pressing gender and youth issues, presence of AGP related and other development initiatives, and identified physical cultural resources and different religious beliefs. A similar selection of SA study groups was applied. The selection was made in a manner that FGD participants and Key informants represent the views of vulnerable social groups. The number of consulted groups and individuals were as follows (for full details see Annex): Table 1: Summary of Consulted Groups and Individuals at Region, Woreda and Kebele Levels Consultation Type Consultation Level Total SA Regions (Oromia, Amhara, Tigray & SNNPR) Woredas (8) Kebeles (9) Contacts made for Secondary Sources of socio-economic data Consultation W/Shop Key Informants FGD with youth groups FGD with women groups FGD with occupational /tribal minorities Total Applied Definition of Vulnerable Social Groups Field reality shows the difficulty of directly applying the definitions of indigenous people according to World Bank Safeguard Policies (OP 4.10): 1. Self identification as members of distinct indigenous cultural group and recognition of this identity by others, 2. Collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories, 3. Customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and 4. An indigenous language, often different from the official language of the country of origin. The team found that in every visited Woredas, the vast majority of people are mixed social and cultural groups, broadly sharing similar values and norms. It was generally difficult to single out any indigenous groups that meet all the above criteria. In line with the ToR, the SA team therefore focused on vulnerable social and cultural groups. It has considered vulnerability as a concept broadly encompassing all disadvantaged social groups in respect to their socio-cultural status as well as their sharing of benefits or negative effects of mainstream development activities and in this case AGP. Ideally, economic growth in the AGP case within the agriculture sector- is expected to be inclusive and broad based, creating equitable access to development resources and livelihood choices to all vulnerable social groups. The SA identified major vulnerable social groups in all 4 Woredas: landless and/or unemployed youth, different categories of female and child headed households, women victims of polygamous 15

16 marriage, orphans, several occupational and migrant minorities and elders without adequate means of social security. As some AGP Woredas host both voluntary and involuntary settlers (OP 4.12), the SA has made some investigations in Diga Woreda in Oromia. 3 Review of Data from Secondary Sources 3.1 Socio-Economic Profiles of the AGP Regions The current population size of Ethiopia is estimated to be about 73.9 million of which the four regional states constitute nearly 86% 1. The number of women and men is almost the same. The 2005 CSA household survey indicates that more than 80% of rural households are male headed 2. The proportion of female headed households is higher in urban centers (38%). The youth population is high when compared to other age categories. The current census shows that about 28% of Ethiopia s total population comprises youths aged (the AGP definition of youth is similar). A similar range of 27-28% was recorded in the AGP regions researched. In absolute figures, the youth population in the four regions varies from 1.1 million in Tigray National Regional State to 7.4 million in Oromia. The distribution of youth population in all AGP Woredas follows similar patterns with significant differences according to the physical size of each Woreda. Table 2: Size of Population and % of Men, Women and Youth by Region Region Total Population Youth Population Male Female Total Pop size Population Prop (%) Tigray 2,124,853 2,189,603 4,314,456 1,144, Amhara 8,636,875 8,577,181 17,214,056 4,854, Oromia 13,676,159 13,482,312 27,158,471 7,387, SNNP 7,482,051 7,560,480 15,042,531 4,069, Four Regions 31,919,938 31,809,576 63,729,514 17,456, Total Country 37,296,657 36,621,848 73,918,505 20,893, Source: CSA,2008 Some studies indicate that more than 68% of youths are unpaid family workers 3. They have fewer formal employment opportunities as other social groups possess. Unemployed youth, compared to the total unemployed population between the age of 15 and 64, is more than 67% of the total 4. According to the Youth Policy document (2005), the majority of the unemployed youth are females at about 71% of the total unemployed youth. Most unemployed youths are landless and often migrate to urban centers in search of labor. Nearly a third of them are married and most are illiterates 5. Specific data on AGP Regions is presented below. 1 CSA, 2008, Summary and Statistical Report of the 2007 population and Housing Census, Addis Ababa 2 CSA, 2006, 2005 Demographic and Health Survey, Addis Ababa 3 Klugman, J, 2005, Youth employment in Ethiopia: Stocktaking and Policy Questions, Addis Ababa 4 FDRE, 2004, National Youth Policy, Ministry of Youth, Sports and Culture, Addis Ababa 5 Berhanu D., Abraham, T. and Hannah, V.D., 2005, Characteristics and determinants of youth unemployment, underemployment and inadequate employment in Ethiopia, Employment Policies Unit. 16

17 3.1.1 Oromia National Regional State Oromia has the largest population size in the country at about 27.2 million (CSA, 2008). As the age structure depicts, about 47.6% of the total population is below the age of 14 and nearly 3.2% is above the age of 64. Youth population comprises about 27% while the economically active population (age 15-64) takes a proportion of 49.2%. The youth population, in total terms, is above 7.4 million. The dependent population, compared to the economically active population, is around 103 per 100 active persons. The region has good agricultural potential and recently attracted Oromia s youth population is investment in the agriculture sector. There are 316 operational close to 7.5 million and 47% of projects registered that relate to agriculture and agro-processing, population is below age 14 most of which are located in AGP zones (Arsi, Bale, East Wellega, East Shoa, and West Shoa). There are at least 19 agricultural projects in their planning stages. Parts of Oromia still have a significant forest cover. The demarcated forest area is about 922,208 ha of which 68% is located in AGP zones of Arsi, East Shoa, West Shoa, Jimma and West Wellega. The total coverage for un-demarcated forest is about 1,124,504 ha including an area of 706,184 ha located in AGP zones of Arsi, Bale, North Shoa and East Shoa. The Awash National Park and the Bale Mountains are also found in or close to AGP zones including East Shoa and Bale Southern Nations, Nationalities and People s Regional State SNNPR has an area of 110,931.9 square kilometer accounting for 10% of the total area of the country (BoFED/SNNPR, 2007). Population size is estimated to be about 15 million. The age structure is characterized by a high number of children below the age of 15 reaching nearly 47.6% of the total. Youth constitutes about 27.2%, roughly equivalent to national average. The current absolute size of youth population is about 4.0 million. 89 persons are dependent on 100 economically active persons, though this varies among the different ethnic groups. The highest dependence burden is exhibited in Burji, at 128 per 100 active persons. Konso and Sidama have a dependent population of 105 and 99, respectively. The least is recorded in Alaba with a rate of per 100 active persons. The Region has conducted land registration and issuance of certificates since Almost 1,490,000 households (50% of total HHs) have received land certificates. The green book is issued with two photos, designating joint rights of husbands and wives over the land. Such titling practice is similar to that of Amhara National Regional State, but quite different from Tigray and Oromia. A settlement programme was implemented in the region between 2004 and 2008 and about 46,000 people were settled in different rural areas of the region. Currently, there are significant numbers of settlers in four AGP Woredas including Decha, Esera, Basketo and Konta. The total number of people settled in these Woredas is about 3,271. The highest number of settlers is found in Esera and Decha followed by Konta. Private investment in agriculture and agricultural based industries has recently increased in the region. The number of licensed projects is 912 of which agricultural projects are 266. The investment in the agriculture sector has created employment opportunities for almost 90,000 people which are 17

18 about 51% of the total employment created by all other sector projects. There are about 20 agricultural and agro industry projects in six AGP Woredas engaging more than 38,000 employees Tigray National Regional State Tigray has an area of 53,000 square kilometer of which cultivated areas and grassland constitute 28% and 23%, respectively 6. Bush and shrub land covers nearly 36% of the total. Its population is estimated to be about 4.3 million. Youth population makes up more than 25% of the total. In absolute terms, the size of youth population is about 1.1 million. About 43.7% of the total population is below the age of 14 and nearly 4.4% is above 64. The dependent population compared to the economically active population (age 15-64) is about 93 individuals per 100 active persons. This figure is lower than in other regions. The Region has conducted land registration and issuance of certificates in each Woreda since Between 2005 and 2009, about 623,000 HHs (98%) received certificates. The second level certificate (including 13,000 new HHs) will be undertaken after a survey is completed. The first level certificate is light green, with no photo but with name of household head and the size of land in local unit. The number of projects licensed and implemented has significantly increased since The average number of agricultural projects implemented per year was nine. In 2009, investment in the agricultural sector alone created employment for almost 7,000 people which is about 40% of the total employment created by all other sector projects. Agricultural marketing in the region is supported by Tigray Agricultural Marketing Promotion Agency (TAMPA) which promotes national and international marketing of key commodities. It supports farmers and cooperatives with access to market information, encourages them to play an active role in marketing and processing, and provides training to develop entrepreneurship skills. It disseminates retail and wholesale price information through local radio and market leaflets ( Market Link Tigray ) every week. The agency s training has already benefited 4,800 farmers and other market actors. Trainings in leadership for 12,000 cooperative members are planned for in collaboration with the region s Cooperative Promotion Agency Amhara National Regional State Amhara National Regional State has an annual population growth rate of 2.67%, with a total estimated population of 17.6 million, accounting for roughly 25.5 % of the total population of Ethiopia (Statistical Abstract of BoFED, 2009); while in terms of geographical size the region covers only around 15% of the country. The overwhelming majority of the population i.e. nearly 88.6% resides in rural areas and is engaged mainly in subsistence agriculture. ANRS is divided into 10 administrative zones, which are further divided into 106 rural Woredas and 12 urban administrations, 2,896 rural and 341 urban Kebeles. Yet, the population distribution is uneven among zones and Woredas. North Gondar stands first in terms of population size while Wag Himra hosts the smallest number of people. In terms of population density, West Gojjam is very densely populated while Wag Himra is not. Generally, the highlands of the region are considerably more densely populated than the lowlands. 6 G. Tesfaye, 2006, Agriculture, Resource Management and Institutions: A Socioeconomic Analysis of Households in Tigray, Ethiopia, Ph.D Thesis, Wageningen University. 18

19 The age structure of the population is characterized by a high number of children. Child population at age 14 and under is nearly 43.45% of the total, while the proportion of youth (15-29) constitutes about 28.4% (in total numbers about 5.4 million) of the total population (CSA, 2004). HIV/AIDS has had a major impact on the region. In 2008 the region reportedly accounts for 32% of the country s total population living with the virus and 37% of the total orphans. There were 1, 551,527 7 orphans recorded of which 1,349,370 are found in rural areas. ANRS recorded almost 1.6 million orphans in 2008 A significant proportion of youth i.e. 47 % is landless. With the support of the SARDP program, the Region has conducted land registration and issuance of first level certificates since About 1,205,940 households (84%) have received land certificates. The green book is issued with two photos designating joint rights of husbands and wives over the land. According to the regional Environmental Protection and Land Administration Authority, informal land rental arrangements are widely practiced which has forced the regional government to issue directive 55/99 to resolve conflicts arising out of rental and user right disputes. Large parts of the region have lost much of their productive capacity due to land degradation and high population pressure. As a result, in the past seven years the regional government has voluntarily resettled a total of 145,907 people (73,295 households) in six agriculture potential Woredas of Laye Armachiho, Tach Armachiho, Tsegede, Metema and Quara of N/Gondar zone, and Jawi Woreda of the Awi zone. According to data obtained from BoFED s Development Indicators of the Region (2008), the plan for 2007/ 08 was to increase the population of settlers by 65,000 and to enable 450,000 people meet their food security needs. However, performance was as low as 14.1% and 12.54%, respectively. Data from the region s food security bureau show that, at present there are 64,648 settlers (25,242 households) in three AGP Woredas of Metema, Qura and Jawi that raises the total present number of settlers to 94,356 (39,141 households). Private investment has increased in the region particularly in agriculture and agricultural based industries. The number of agricultural projects licensed in 2009 alone was 519. With 2.2 Billion birr investment capital they have a potential of creating employment for up to 145,000 residents. From those licensed projects some 53% have started operation allowing 8,057 residents to gain permanent and 109, 902 individuals casual employment. Ongoing projects in Rib, Megech and Koga rivers will serve for irrigation based farming in Fogera, Dembia as well as north and south Achefer Woredas. The hydropower and irrigation project of Tana Beles will directly enhance agricultural growth for Bahirdar Zuria and Jawi AGP Woredas. The other important development of the region in relation to AGP is the six-year strategic plan ( ) that covers all the regions 128 rural and 38 urban Woredas and towns. These are divided into six clusters of growth corridors. Among them, all the AGP Woredas in West and East Gojjam, Awi, North and South Gondar and North Shewa zones are included. 3.2 Socio-Economic Profiles of Visited AGP Woredas and Kebeles The population size of the visited Woredas ranges from a low of 77,873 in Diga to 210,129 in Dodola. The number of women in all sample Woreda is between 48% and 50% which is more or less similar to that of the regional and national averages (CSA, 2008). The share of female headed households in 7 ANRS, Social Development Indicators (BoFED, 2008) 19

20 the total farm households varies more widely and makes up between 9% (Yem) and 33% (Endemahoni). The youth population (age 15-29) in the visited Woredas follows similar patterns to the national and regional averages. The proportion in all visited Woredas varies between 27% and 28% of the total population Oromia Region Diga Woreda The Woreda has a total of 23 Kebeles divided into 21 rural and 2 town Kebeles. The total population of the Woreda is 77,873 where more than 79% reside in rural areas. The Woreda accommodates more than 10 ethnic groups with diverse religious beliefs such as Protestants (38%), Orthodox (20%), Muslims (8%), and Catholics (2%) with non-believers and pagans constituting more than 32%. Some 27% of the population are youth and half of them are estimated to be landless. Information gathered from different sector offices of the Woreda show that there are at least 1,415 FHHs, 725 orphan children and 2,031 unemployed and landless people recorded. The Woreda hosts some 1,198 settler households from Eastern Harrarigie. These are voluntary settlers in the former two big state farms of the Derg era. The state farms have attracted diverse ethnic groups such as Amhara, Tigrie, Gurage, Wolayita and others, while earlier inhabitants are Oromo and Gumez. These ethnic groups have lived harmoniously until a bloody conflict took place some two years ago between Oromo and Gumez. These groups are increasingly competing for the Woredas natural resources (mainly water and forest land) Ambo Zuria Woreda Ambo Zuria Woreda is located 114 Kms to the West of the Capital- Addis Ababa. It accommodates 35 Kebeles with a total population of 110,800. All Kebeles but one are rural. Some 27 % of the population are youth aged FHHs constitute about 29% of the total population. The landless population in the Woreda is estimated to be 35% of total population. In view of the size of the landless population, the pressure on land is felt to be very high. However, foreign private investors have received big areas of farm land. The groups that sector offices considered most vulnerable are landless and unemployed youth, female victims of teenage marriage, FHHs with shortage of labour, orphans and the elderly without family support networks Dodola Woreda The Woreda is divided into 23 rural and 4 urban Kebeles with a population of 201,129. Some 85 % of the population are Muslim and the remaining are Orthodox and protestant Christians. Out of the Woreda s 23,631 households some 3,811 (16%) are FHHs. Youth population aged is estimated at 27%. Woreda officials estimate that more than 32% of the youth is landless and without permanent employment. Polygamous marriage creates fertile ground for promiscuous behaviour and prevalence of HIV/AIDS is very high resulting in many women to be widowed and many children to be orphaned. Customary practices have contributed to high fertility rate resulting in the average household size to be as high as 8.5 persons. 20

21 Mutually identified vulnerable social groups by different sector offices in the Woreda are women victims of polygamous marriage, landless youth, FHHs with small land and with big family size, child orphans, the elderly and those with disabilities and without social support means SNNPR Wondo Genet Woreda The Woreda is divided into 12 rural and 2 urban Kebeles with a total population of 122,000. The Woreda accommodates three major ethnic groups Sidama, Amhara and Guji-Oromo. Some 75% of the population are Protestants followed by Muslims (20%) and Orthodox Christians (5%). Wondogenet is endowed with rich natural resources such as water and forest. Cash crops like Khat, Enset, Coffee and fruits grow in the area. There are positive recent developments in dairy and poultry farms. The area is so fertile that farmers can harvest two to three times a year involving considerable cash transactions. The land administration of the Woreda is supported by USAID s Ethiopia Land Tenure Appraisal Program (ELTAP). Achievements regarding land registration and issuance of the green book to households are reported as low with only 346 households out of 13,162 expected households having received a green book. One of the explanations given for this is the ethnic-based territorial conflict between the Guji Oromo and neighbouring Kebeles of Sidama. As polygamous marriage is widely practiced, there is an ever increasing shortage of land. The existing land holdings by farmers can no longer fully engage all family members. Youth population of the Woreda constitute nearly 28% of the total population and most of them are unemployed and landless. They find casual employment only during peak harvest seasons. The other major vulnerable social group are the estimated 618 FHHs. In polygamous systems, women s subordination is very deeply rooted. Other vulnerable groups are large numbers of orphans and those families who are victims of the Guji-Sidama conflict Yem Special Woreda Yem Special Woreda covers an area of 665 Square Kilometers. The dominant local language is Yemisa. During the study period, a Yemisa language study team was working in the Woreda. The Woreda has 34 Kebeles of which 31 are rural and 3 small towns. There are a total of 165 villages in the Woreda and 8 registered cooperatives. The majority Muslim communities reside in 9 Kebeles (Shasho, Gessi, Asser, Konner, Ash, Saja, Tigri, Dori qeepho, Doritegu and Kalchi Got in Bolta area). Mosques are found at these Kebeles (SPW strategic plan ). Total population stands at 94,573 in 17,892 HHs (16,350 MHH and 1,542 FHH). Average family size per household is The population structure shows very high numbers of youth and children, which is an indication that fertility rate is high. Youth population comprises a total of 6,942, which is virtually landless. According to data from Woreda Agriculture and Rural Development, there are three major agroclimatic zones; Dega (16%), Woina dega (73%) and Kolla (11%). Total arable land area occupied by households and which is already measured and certified is 19,520 ha. In addition to these, 1,021 ha 8 Yem Special Woreda Agriculture and Rural Development Office. 21

22 are leased to agricultural investment by individuals. Furthermore, a total of 1,723 ha are prepared for a subsequent lease agreement for agricultural investment. Communal land is not yet measured. There are diverse crops and trees growing in the Woreda. Major crops are cereals, pulses, oil crops, perennial crops, vegetables and fruits. Apples were introduced recently and harvesting is already started. Spices and root crops are other agricultural products Amhara Region South Achefer Woreda The Woreda is administratively divided into 18 rural and 2 town Kebeles with a total population of 167,533 of which only 12% live in towns and semi-towns of the Woreda. Some 98% of the population are orthodox Christians, while some 1.53% and only 0.07% are Muslim and Protestants. Even though region level data on FHHs was not available, the land administration office of the Woreda puts the number of total households at 38,235. Some 11,470 of these are FHHs or about 30% of the total households, often headed by young women. The Woreda was able to provide 24,550 male headed and 2,473 female headed households with first level land certification Almost 30% of households in the Woreda are headed by females (green book). However, the Woreda s achievement in land certification of 70.67% is lower than the aggregated regional coverage (84%). The Woreda administration estimates that out of the total registered 50,916 youth, 8,847 (17.4%) are unemployed and landless after a recent open land re-distribution. Even though reliable data was not available, the Woreda s HIV/AIDS secretariat indicated that there are more orphans found in the Woreda than in other Woredas of Amhara. Unlike Oromia and SNNPR regions, the female children s early marriage, commonly taking place below age 15, is a most prevalent problem. As a result, divorce and child neglect is very common. As there is a high rate of divorce, there is a concomitant prevalence of HIV/IDS infection, leading to a steadily growing number of orphans and female headed households. Furthermore, females who end up in divorce often choose commercial sex work as their only means of living. Youth in the Woreda has exerted extreme pressure on the administration to be given farm land. In response, the Woreda distributed open grazing lands to 2,940 male and 433 female youths, which has resulted in resentment by the communal land users Taqussa Woreda The Woreda is divided into 24 rural and 1 town Kebeles with total population of 137,284 of which only 10% live in the town of the Woreda s centre. Some 98% of the population are orthodox Christians, while some 2% represent Muslims. Woieto tribal group members are predominantly Muslim. Total youth population (15-29) is 12,604 of which 42.5% are landless. Most landless youth migrate to commercial farm areas in Metema, Humera and even to Sudan for casual employment. Lack of health care facilities reportedly causes a high premature death rate among migrating youth. The land administration and women and children affairs office put the number of FHHs at 5,233 out of the total 31,926 households, or about 16%. The Woreda was able to provide 5,880 male headed and 3,819 female headed households with first level certification (green book). However, the overall Woreda s achievement in land certification i.e % is considerably lower than the aggregated regional coverage (84%). 22

23 Early marriage starting from age 10 is still practiced in the Woreda although it has active Anti- Harmful Traditional Practices and Child Rights Committees. In relation to this, divorce and its associated consequences such as prostitution are reportedly high. The Woreda records 105 male and 119 female orphans below age 18. One important support mechanism practiced in most of the region s Woredas is the social fund contribution of civil servants for orphans. Every government employee contributes 3 to 10 Birr (based on salary level) to the fund which is managed by finance and economic development offices Tigray Region Endamehoni Woreda Endamehoni is located in the south of the Tigray region with a total area of 63,860 ha. The Woreda is divided into 18 Kebeles and further divided into 70 Kushets (villages). It has two agro-ecological zones with nearly 65% of the land mass in Woina-Dega climate zone and the remaining 35% in Dega. Main crops grown in the Woreda include wheat, barley, horse bean and peas. It has also a good potential for livestock husbandry and bee keeping. More than 65% of the farm community engages in mixed farming, 32% in crop agriculture alone and the remaining 2% in livestock husbandry. The land use estimate indicates that about 28% of the area is cultivated (including irrigated land of 1,192 ha) while the rest is covered with forest, grazing land or used otherwise. Forest area (community and state owned forests) is about 17% while grazing land makes up only 3% of the total area. The average size of cultivated land plots is very small particularly in Dega area, with a per capita size of roughly 0.2 ha, which is way below even the already low regional average of 0.4 ha. Land registration and certification has been conducted since Most farm households, about 16, 255 or 79%, have first level land certificates. Though not recorded by sex category, it is estimated that FHHs holding land certificate is between 25% and 30%. Endamohni has an estimated population of 89,015 with a density of 140 per sq. km, which is much higher than the region average of 86 people per sq.km. The number of youths (aged 15-29) is about 10,903. About 43% of them are landless. Vulnerable social groups, as identified by the sector offices and community at Kebele level, include FHHs (33% of total HHs), unemployed and landless rural youths, orphans, elderly people and disabled. Particularly, FHHs with a large number of children and/or those who lack access to agricultural family labor are the most severely affected social groups. These HHs comprise about 56% of the total number of FHHs. They often do not have access to land and depend on various informal economic activities (petty trading, charcoal making and selling, fuel wood collecting, traditional hair-braiding, etc). In some Kebeles, there are also returnees from previous settlement areas who still have not found adequate means of livelihood. The number of elders and disabled are about 2,296 and 1,204. Orphan population is estimated to be about 634, assisted either by their immediate relatives or the community. Child headed households are about 240. In most Kebeles, there are newly established Community Care Coalitions (CCC) which mobilize resources, both in kind and cash, and provide support to such vulnerable groups. The members of the coalitions include elders, religious leaders and NGOs working in the Kebeles. These coalitions have been recently initiated by the Youth, Sport and Social Affairs Offices. 23

24 Table 3: Major Population Characteristics of SA Woredas Region Woreda Total Social Characteristics Population Total HHs FHHs Youth (15-29) Oromia Diga 77,873 13,320 1,415 15,152 Ambo 110,796 18,690 4,860 29,915 Dodola 201,129 23,631 3,811 54,304 SNNPR Wondogenet 127,568 26, ,483 Yem Special 94,573 17,892 1,542 6,942 Amhara S/Achefer 167,533 38,235 11,470 50,916 Taqussa 142,989 31,926 5,233 12,604 Tigray Endamhone 89,015 20,480 6,820 10, National Policies and Litterature Related to Vulnerable Groups Women s Rights Policy: The policy aims at enabling women play constructive roles in political, social and economic spheres and there by share equal benefit with the rest of the citizens. It is learnt that the existing women s policy excludes the male counterpart, suggesting policy revision to encompass Gender policy items, as gender relations are key for democratic power relations. Article 35 sub article 7 of the Ethiopian Constitution states that women have the right to acquire administer, control, use, and transfer property, and have equal right with respect to use, transfer and control of land. However, studies show that (CSA 2003), Ethiopian women lack productive assets particularly land, and are underserved with agricultural extension services, credit, oxen and farm inputs. The land registration and co-certification is part of the response to above problems. As part of a policy measure, the government of Ethiopia has established Ministry of Women Affairs (MoWA) in 2006 for representing women issues in the Council of Ministers. National Action Plan on Gender Equality was developed as part of PASDEP. A study was undertaken by MoWA to understand the status of gender mainstreaming and review of the 1993 National Women s Policy and this has led to development of draft gender mainstreaming guideline at Federal level. Some regions have developed own gender mainstreaming guideline. These guidelines can serve as positive leverages to implement AGP The Ethiopian Youth Policy: The youth policy, which was ratified in 2004 aims at creating skilled youth with opportunities in self-employment through MSEs. The policy indicates that unemployed youth makes up more than 67% of the total unemployed between the age of 15 and 64 (FDRE, 2004). The majority of the unemployed of the youth constitutes females and this is about 71% of the total unemployed youth. The rate of employment is higher as job opportunities are very scarce in both rural and urban centers. Most of the unemployed youth are landless and often migrate to urban centers in search of labor. As a strategy, it is also indicated in PASDEP document that job creation for the youth should be pursued through private sector growth and strengthening investment climate (MoFED, 2006). AGP is well-positioned to make youth part of agriculture value chain based growth processes only if sub component activities are designed appropriately as a comprehensive inclusion of youth is unlikely to simply happen on its own. Land Use Right: The 1995 constitution (Article 40.3) clearly states that the ownership of urban and rural lands as well as of all natural resources is vested in the state and the people of Ethiopia, which shall not subject to sale or other means of exchange. The constitution also bestows every Ethiopian to have the right of using and acquiring land. The Federal Proclamation No. 455/2005 devolved responsibility for land policy to the regions, leading to considerable diversity among them. For 24

25 example, all regions except Amhara have legal provisions limiting the amount of land to be rented out to 50% of holding size and setting a maximum duration for rental contracts (Deininger, et al, 2007). It was also noted (ibid) that given the different times at which the process of land registration and certification started, marked differences were found in the share of households with certificates across regions from 93% in Tigray and 84% in Amhara to 54% in the south and 39% in Oromia. Facts in the field indicate that demarcation and land size was not properly measured mostly with tape and rope, neither was availability open land properly inventoried. Agriculture Development and Marketing Strategy: The strategy aims at boosting agricultural production, markets and infrastructures including Productive Safety Nets programs. The strategies count on the government to continue as sole-supplier of agricultural inputs (e.g. synthetic fertilizers) and technologies. It doesn t encourage the private sector to supply on competitive basis. Moreover, the two linked strategies have not addressed the issue of landlessness and unchecked population pressure which might affect the intended agriculture growth programs. Business Development Services: Facts in the field as well as existing studies (Hochschwender et al and Wolday 2004) showed a grim situation in entrepreneurship development in the country. Firstly, most of the non-farm and semi formal training and other BDS provided (either on subsidized cost or free of charge) by different bureaus and NGOs have been based on what the institutions perceived as the needs of the operators rather than on the real needs of the market for MSEs products. Hence, they were generally not demand-driven. Secondly, various forms of training currently provided to micro entrepreneurs have limited or no relationship with the market for those skills. Thirdly, the micro enterprise sector in Ethiopia is constrained by poor generation and adoption of appropriate technologies relevant to the sector coupled with ineffective dissemination of existing technologies. Fourthly, there is little access or appropriate linkages to markets and other infrastructures. PASDEP: As an overall pro-poor development, PASDEP encompasses mechanisms for accelerated development in all the sectors. However, it lacks focused plans to trigger changes on non-farm rural enterprises. None of the responsible agencies sectoral plans have clearly identified nor designed rural entrepreneurship development programs. It means there is a need to thoroughly assess the characteristics and their specific needs of existing non-farm enterprises so that they can become key actors in the AGP implementation. Industrial Development Strategy: There is good intention in the strategy that considers micro and small enterprises (MSEs) as seed-beds for the growth of medium and large-scale industries. But, in reality, there is a tendency of giving preferential treatment to bigger establishments, with substantial incentives provided to them (e.g. tax exemptions and holidays, matching grants, faster infrastructural support services, etc). On the other hand, MSEs are deprived of such services, which call for the need to consider providing demand-driven appropriate incentives and Business Development Services with subsidized cost. Proclamation on Supervision and Licensing of MFIs: Banking the un-bankable, using specialized financial service providers is only a relatively recent phenomenon in Ethiopia. Following the 1970s drought and associated famines in the country, NGOs had initiated subsidized credit schemes as part of their food security and poverty reduction programs. As the micro credit activities gradually 25

26 expanded, the need for operational and financial sustainability became an apparent issue. The much debated subsidized credit and undifferentiated social and economic objectives of NGO credit programs were ultimately resolved by microfinance Proclamation No. 40/1996. A separate proclamation No.147/98 is in place for registration and establishment of saving and credit cooperative societies. Data from the Association of Ethiopian Microfinance Institutions (AEMFI) show that in 2008, there were 27 MFIs throughout the country serving close to 1.7 million clients, (largely the rural poor) with a loan portfolio of Birr 2.6 billion (USD 195, 488, 720). Similarly, in 2006 there were 5,437 SACCOs with a total membership of 381,212 and close to 1 billion Birr (USD 75,187,969) in the form of savings and contributions. The National Bank of Ethiopia being the regulator and licensing authority outlines the requirements for MFIs licensing allowing them to mobilize public savings and provide the rural and urban poor with short-term loans with due attention given to women. However, it was learnt that short-term loans limit the long-term investments and growth of the borrowers. 26

27 4 Main Findings 4.1 Introduction AGP aims at increasing farmers agricultural productivity and incomes. The project targets women and youth in particular. Within the overall ESMF, this SA investigated if a) activities under the proposed AGP components will have a potentially negative impact on vulnerable groups identified in AGP target locations and b) if physical cultural resources may be negatively affected by the project. The research helps decide if WB safeguards OP 4.10 and OP 4.11 will be triggered. There SA team found that the currently proposed AGP components and activities are generally compatible with the needs of vulnerable social groups in the target locations researched. AGP will provide considerable opportunities for significant parts of rural communities that are directly engaged or otherwise related to agricultural production and value chains. It is believed that an AGP facilitated increase in agricultural production which is coupled with an increase in trade, can help to transfer surplus food more easily from high-potential areas to food insecure parts of the country. However, the SA team has identified a number of specific risks linked to several AGP components that need to be mitigated. The objective of AGP has singled out women and youth as a focal target groups. As an example, in Ambo Woreda of Oromia, 35% of population is landless and 29% belong to female headed households. In Ambo Woreda of Oromia, 35% of the population is landless and 29% belong to female headed households The SA team finds that many of the obstacles that prevent particularly women, youth and other vulnerable social groups relevant for agricultural sector development are not explicitly enough dealt with by the proposed AGP component and sub-component activities. At this stage, the definition of AGP target groups still seems somewhat inconsistent in the reviewed documents and proposed program activities can not be clearly enough linked to women or youth. The understanding of specific needs of specific target groups which are often summarized as farmers within units entrusted with implementing AGP at local level is still limited. AGP targets farmers with an entrepreneurial spirit in high-potential areas, but the SA team believes that with smaller design and approach adjustments, it will be possible to include a broader range of vulnerable social groups in the project. The SA team therefore proposes a range of measures to make AGP more inclusive, broad-based and sensitive towards the specific needs of specific target groups. These measures would be applied in a flexible manner to reflect the unique situations found in a specific locality. This would ensure that income generated through AGP support is: a) evenly distributed and that b) activities will not create additional work load or other burden for vulnerable groups, including women and youth. While the overall AGP design and activities do not trigger major social safeguards as such, certain issues will have to be resolved before AGP activities can commence. For example, in some AGP Woredas, tribal and administrative boundary conflicts need to be resolved in a process of free, prior, 27

28 and informed consultations (OP 4.10) by involving all stakeholders. Some possible mechanisms for this are shown in the recommendations chapter of this report. The AS team expects that implementing the different AGP sub-components related to rural infrastructure (i.e. small scale irrigation schemes, construction of canals, reservoirs, dams and rural road development, etc) will have potentially negative impacts on physical cultural resources necessitating OP 4.11 to be triggered. The suggestions of this SA will be fed into the overall ESMF that was prepared in parallel to this study. The findings of several other studies related to social, environmental and physical cultural resources, particularly the Rapid Baseline and Institutional Assessment, need to be harmonized as well to determine the most relevant revisions or additions to the current AGP design. The Rapid Baseline should take into account the indicators set by SA for vulnerable social groups and PCRs. The SA team therefore provided a list of comments based on its field findings to the Rapid baseline exercise. Any revisions to the AGP design in terms of social inclusion must be: a) comprehensive enough to make a difference for vulnerable groups and yet b) simple enough for practitioners to apply without overburdening already lengthy participatory sub-project planning and screening processes. 4.2 Major Vulnerable Social Groups Identified The SA team understands vulnerability as a concept broadly encompassing all disadvantaged social groups in respect to their socio-cultural status as well as their sharing of benefits or negative effects of mainstream development activities. Theoretically, economic growth in the AGP case within the agriculture sector- should be broad based and holistic, creating equitable access and choices to vulnerable social groups. The SA team identified several social groups in AGP Woredas that are in a clearly disadvantaged position. They can be categorized as follows: a) Women and female headed households; categorically those women without access to farm land, female heads of households with little land and big family size including those with enough land but with shortage of labor and those women in polygamous/early marriage with insecure property rights, b) Youth who are unemployed and landless, c) Orphaned children and children who become child family heads whose inheritance right are abused by their custodians, and d) Elderly people who may have enough land but lack any social support network and can not access labor. In few AGP Woredas researched, additional location specific AGP risk groups were identified: a) Farmers whose communal land is given out to foreign investors in a situation where an extreme land shortage exists, b) Small Occupational minorities that still experience forms of discrimination, c) Small Tribal minorities that still experience forms of discrimination, 28

29 d) Conflict-prone farming households who are victims of administrative boundary conflicts or conflicts with migrants over natural resources. 4.3 Presence of Specific Vulnerable Social Groups in AGP Woredas In summary, in all visited Woredas vulnerable social groups, put together roughly, constitute more than half the total population. AGP is expected to open up opportunities indiscriminately. However, unless the very existence of such groups and the situation they live in is properly taken into account, there will be a danger of exclusion with potential impact of perpetuating poverty. The fast spread of HIV/AIDS causes extended and costly periods of illness and premature death. This creates widows, widowers and orphans, and sustained economic stress which prevents resourcepoor households from gainful engagement in AGP activities since cash for inputs, hiring of farm labor or marketing of produce is missing. Youth, children, orphans or elderly may have to be further gender disaggregated as specific proposed AGP activities may cause particularly negative impacts to either male or female community members. Particularly youth is likely to engage in AGP value chains and the program has to ensure that activities don t create a situation where male youth engages in cash income generation, whereas female youth is restricted to carrying out poorly rewarded labor in primary production Women and Girls In all AGP woredas visited, vulnerable social groups make up at least half of the total population Women s time poverty In a predominantly agricultural society like Ethiopia, women play a significant role in agricultural production, household work and income generating activities. Although men do most of the ox ploughing, women are involved in multiple tasks including land leveling, weeding, harvesting, threshing or storing in addition to their regular household duties. They particularly engage in backyard agricultural activities, including vegetable production, poultry raising and feeding and watering calves and shoats. In field work, women are particularly active in weeding during the growing season protection and winnowing during threshing operations. They are actually also ox ploughing in some AGP Woredas, (e.g. Diga and Dodola in Oromia). Furthermore, in Malaria prone and HIV/AIDS affected areas, women are responsible for taking care of the sick, elderly and orphan children. Women are normally also responsible for much of the marketing activities to earn extra income for meeting basic household needs. In Amhara region for instance, women work an estimated 16 hours per day while men are able to find at least a small amount of leisure time. Women time poverty and toil is usually a result of their gender role in productive, reproductive and community activities. Although they carry much of the burden, their role is not adequately recognized by the household and the community at large. The level of women drudgery is also linked with the overall economic status of the community. The more pervasive poverty is the higher workload women experience. Rural women particularly are tasked with carrying cereals for flour milling and fetching water and collecting fuel wood for ever increasing distances due to high environmental degradation. 29

30 Particularly the fuel wood issue is a growing concern in the country as most Ethiopians live on biomass burning for cooking and warming. There are no focused interventions relieving fuel wood shortages yet. Even the fuel wood saving stoves introduction has not reached to the needy rural communities due to various factors. In areas where fuel wood is depleted women prepare and pile dung as source of fuel. A study by Sustainable Land Use Management Association in Wuchale Jida Woreda in North Shoa Zone in Oromia (2009) described that women are responsible for fetching water, collecting crop residue and dung and then prepare dung pats that will serve at least for a year, normally piled around homestead. Such dung piles were observed by the SA team in Oromia and Amhara Region AGP Woredas. In enset growing areas, enset processing is another chore causing time poverty as it is an exclusive role of women. Appropriate technologies are not yet made available to relieve this work burden either. Even sub-standard appropriate technology around enset processing devices has not reached rural women. The widespread lack of access for women to appropriate technology-based means of transport that is crucial for more advanced marketing activities adds to time poverty affecting their overall productivity and welfare. These and several other factors not elaborated here lead to a situation where rural women have too little spare time to rest properly, to feed their children, to maintain household hygiene, address family matters and to focus on their personal health care that is directly related to their physical and mental strength. Female Headed Households Even though data on female headed households is limited, estimated figures at visited Woredas and Kebeles show that highest numbers are found in South Achefer, Endamehoni, Taqussa, Ambo and YSW with 11,470, 6,820, 5,233, 4,860 and 1,542, respectively. The lowest number of FHHs, which is 618, is found in W/Genet Woreda. A significant proportion of FHHs is made up by widows in childbearing age. Like them, FHHs with smaller family size but access to land face a shortage of labor. In both cases, they depend on external labor, either through renting or share cropping farming arrangements, leaving them only with partial benefits from their farm lands. Women from poorest households as well as resource poor FHHs and the elderly women are stuck in poverty, their main livelihood being charcoal and fire wood collection and sale. It is hard to imagine how such women will benefit from agriculture value chains unless specific interventions ensure their participation. Even women in better-off households suffer from customary practices as their spouses marry more than one wife. In such cases, land and property disputes are usually customarily resolved through Kalichas (spiritual clan leaders) whose existence is based on kinship counts and inheritance. If women prefer to follow official legal procedures, it is usually too expensive for them. It is not uncommon that the Kalichas arbitration mechanism favors men. In summary, vulnerability is felt considerably more by those women without access to farm land, female heads of households with little land and big family size including those with enough land but with shortage of labor and those women in polygamous marriage. 30

31 4.3.2 Youth In all studied Woredas landless youth population is at a record high, ranging from 17% to 43% where the least reported landless youth was in S/Achefer and the highest in Endamehoni. Most of the male youths are engaged in agricultural related activities such as casual labor works, contract farming and trading of agricultural produce. Female youths are engaged in homestead income generation activities like poultry, livestock rearing and vegetable production. Female and male youths who are either school leavers or drop-outs also secure incomes through MSE supported organized groups activities like livestock fattening, tree planting, irrigation canal and roof catchment construction or sand and stone collection for construction purposes Children and Orphans Although their exact numbers are not always known, all consulted people at Woreda and Kebele levels have a commonly shared concern on child vulnerabilities in general and the deprivation of orphans in particular. In most places, the estimated numbers of known orphans at Kebele level are definitely higher than the official records kept at Women and Child Affairs and Labour and Social Affairs offices. It was learnt that in tribal conflict-prone Woredas, the number of orphans is proportionately higher. Estimated figures show that there are 1,612 and 725 orphans in conflict prone W/genet and Diga Woredas respectively. As a comparison, the number of orphaned children in Endamehone, Ambo, Taqussa, Dodola and YSW are estimated to be only 634, 340, 224, 117 and 108. Even though complete data is not available, the Woreda s HIV/AIDS secretariat in S/Achefer of Amhara region indicated a number of orphans that is considerably higher as compared to other Woredas of the region. Recent studies by BoLSA estimate that the average number of orphans per rural Kebele is 79. In Amhara region, in general and in S/Achefer in particular, it was learnt that early marriage starting already at the age of 9 is still prevalent. This practice can be related to high rates of maternal death, divorce and prostitution. Coupled with high prevalence of malaria and the spread of HIV/AIDS in rural communities, the number of orphans and child family heads is likely to increase further. This situation has forced some Woredas to form CRC and Anti Harmful Traditional Practices Committees at Kebele levels. There is a substantial number of child family heads where the highest numbers 240, 224 and 129 was reported in Endamehoni, Dodola and Diga Woredas, respectively. The well-being and social protection of these orphans depends on their kin who serve as custodians. In some instances, orphans inheritance rights are abused by their own relatives and as a result, their benefit from inherited land is controlled by others. In relation to the spread of HIV/AIDS, the stress experienced by women also has obvious repercussions on children. In FHHs as well as in others, children (starting from age 7) are overwhelmingly engaged in family labor at the expense of their education. There are also children from poor households that are involved in paid works mostly in a type of bonded intra-household arrangements Elderly The national level population of the elderly above 65 years of age stands at 3.2% of the total population. AGP Woredas record similar figures. The elderly are often endowed with access to 31

32 resources and land, especially those with extended families that gained bigger areas of farm land during land redistribution in the Derg regime. In some visited Kebeles, these people possess 2 to 10 hectares of farmland or more that could gainfully employ 10 to 15 landless youths during farm peak seasons in ploughing, weeding and harvesting. However, in many places visited, there are elders who have completely lost their extended family ties and therefore lack the ability to fully utilize their land, thereby endangering their social security. Unless this group of elderly land holders receives special recognition through AGP supported activities, they will definitively be excluded and the valuable land they hold will remain largely idle Occupational Minorities SA field visits show that craft makers are no longer considered as clearly distinct occupational minorities. The SA team interviewed potters, smiths, weavers, tanners and carpenters who used to be marginalized groups living at the mercy of big land owners before land redistribution during the Derg regime. Today, some of them have completely abandoned their skills and become farmers with land use right while others have become town residents engaging in trade and other occupations. In some visited Kebeles, it was learnt that weaving and carpentry are now understood as acquired skills, while pottery and tannery are still treated as inherited skills attributed to minority groups. In all cases, however, occupation holders interviewed did not express feelings of serious exclusion or discrimination. Occupational groups such as tanners, weavers, smiths, potters and traditional carpenters exist in SA researched Woredas of Amhara region. As dominant social groups consider marriage with occupational minorities as a taboo, hereditary tanners usually intermarry with potters. There is no restriction among predominantly Muslim weavers and among smiths and carpenters. Most members of occupational minorities that do have access to farm land completely abandoned their craftsmaking. However, weavers were often found to have been replaced by their landless sons. Most potters, whose hereditary trait is claimed to be Jewish (felashas), have now migrated to Israel and their pottery works were acquired by non-felashas. The Yem occupational minorities are much engaged in pottery work. According to FGDs the level of occupational minority s segregation has reduced over time after the spreading of Orthodox and Evangelical Christianity in Yem Special Woreda. However, the SA team found that there is still weak social integration with other community members. Their average land holding is mostly small and this could easily exclude them from participation in AGP Component 1 (Agriculture production). There was a story related where students of minority background who had completed grade 1-4 and were now promoted to grade 5 at another location were marginalized to the extent that other students refused to share bench in class with them. This seems to be a typical occurrence and as a result of such discrimination, there is actually only one student in the location that by today has managed to reach grade 9. This long term discrimination has systematically denied children of the occupational minorities access to better education. Recently, the school-based discrimination has been addressed by initiating joint consultations among parents of the occupationally marginalized children and others. However, adults of minority background can be found as part of their Kebeles leadership team. 32

33 There were cattle fattening initiatives introduced for occupational minorities in Meleka and Oya Keepho Kebele but without much success. Reasons include low awareness on income diversification, lack of time to attend livestock management because of extensive engagement in pottery production and marketing. The minority also suffers from lack of grazing areas, water competition between human and livestock and lack of veterinary services needed to contain trypanosomiasis (livestock disease) caused by the tsetse fly. Pottery work is extremely labor intensive preventing women s from getting information about other initiatives in the villages (see also chapter 4.3.1). Moreover, pottery work has not been supported by appropriate technologies to alleviate work load of women. As part of the pottery process, burning of the raw pots consumes large volumes of fire wood and potters cut huge amounts of wood. In addition, shuttling pots 3 times per week to market points before and after market days at Deri and at Fofa town keeps them busy leaving little time to attend livestock, child care and even self care. More heavy shuttling services are born by women which is a cause for poor health among adult women. There is no appropriate technology to ease the transport burden either. The foot track is narrow following the gullies created as a result of excavation works for securing clay soil. A graph describing the situation of women in occupational pottery communities is included in the annex. Even the available appropriate technologies are expensive to these women or are unavailable in their area. The study team saw some ten pieces of an Enset processing device which had arrived recently. Woreda office of women Affairs now sets criteria to disburse it as an award to good performing association members. In Amhara Region, the different occupational groups provide farmers with much appreciated essential services. There is still no substitute for their products, particularly, the services of the black smiths in products related to farmers daily life (plough equipments). This has indeed created a reciprocal type of relationship in that the farmers provide labor or share harvests to the smiths so that their service is readily available as they work on fulltime basis. Contrary to carpenters and potters, the activities of smiths were found to have little environmental impact. Since tanners use nearby rivers and springs to soak and soften raw leather in drinking water sources, the smell and pollution is felt by community members. This has created stigma against tanners. Similarly, potters contribute to deforestation and gully formation and land degradation when they dig to find good quality clay. Land holding within Yem Fuga communities is highly fragmented. Children of occupational minority groups usually do not leave parental homes for schooling or change of occupation but rather remain in the village and share land from parents. The SA team also recorded a limited participation of women from minority background in organized economic development activities. Membership in microfinance associations was dominated by men and particularly resource poor women found that rules and regulations were not tailored towards their needs Tribal Minorities Although there are no official figures that can show the exact number of the Woieto tribal groups that live surrounding Lake Tana s shores, Woreda officials estimate their numbers to be households or a total population of 5,000 to 10,000. Adults and elders of these groups have equal 33

34 access to land and some of them are converted to Islam or Christianity. However, their cultural practice of eating wild animals such as Hippos and their leather and papyrus basketry works distinguishes them from dominant groups. They still live in isolated villages and are still endogamous. Their involvement in development activities is low and according to Woieto Key Informants, there is a subtle process of exclusion. For example, as they have little access to information, they are hardly involved in youth and women associations. Some group members also complain that their business performance, for example in village tea rooms and restaurants, has faced bankruptcy as non-woieto groups are ashamed of buying food and beverages from them. Similarly, in Yem Special Woreda there is no official or systematic marginalization of either the Fuga or the Yirfo in economic and political terms. There is no law that hinders them from having access to land, participating in beneficial labor arrangements, raising livestock, trading or participating in election and to become member of farmers associations or cooperatives. Yet, there are covert sociocultural rather than economic or political marginalization practices described. Fuga are still somewhat confined in separate villages, and are isolated in some aspects of social life associated with burial, credit and social festivities. Even though the introduction of Orthodox Christianity to Fuga has reduced their socio-cultural marginalization, Fuga with more land, oxen and income whose living standard may actually be better than that of other Yem are still looked down upon. This signals the need for AGP to be more actively inclusive to these distinct groups of people Conflict-prone Households and Competition for Natural Resources In the opinion of the SA team, households living in conflict-prone areas need particular attention according to the WBs safeguard policies (OP 4.10). Three types of affected households are identified: a) households who are victims of administrative boundary conflict, b) permanent residents and local groups whose land, trees, and natural resources are at stake due to high influx of migrants, and c) farmers whose communal land is given out to large scale private investors in a situation where an extreme land shortage exists. A high influx of migrants in Oromia Diga Woreda which are now illegally controlling farm land causes considerable grievances to landless youth and indigenous residents. Since most of the settlers from Harrar lack any sense of security over the land they currently use, they are not interested in investing in slow-growing crops such as Mango which is traditionally widely planted in the area. Instead their extensive agricultural farming of seasonal crops has led them to enter into contract farming arrangements with neighboring Gumez tribes. These ethnic groups have lived harmoniously and cooperatively until a serious bloody conflict took place some two years ago between Oromos and Gumez. These groups are now competing for the Woreda s water, forest and of course land. Both make historical claims as indigenous peoples. This has a potential risk of frustrating local residents further who already engage in a tit-for-tat type of conflict, making the area to be highly volatile and not suitable for long-term investments in sustainable agriculture as proposed by AGP. In Yem Special Woreda, intermittent conflicts between Kebeles from bordering Woredas were reported that were then addressed by the House of Federation through a referendum. However, 34

35 there are still conflicts flaring up around the bordering Kebeles that are now addressed by joint committees from both sides. The recent allocation of land to private commercial farm investors (e.g. In Dodola and Ambo Woredas) has created much resentment among residents, in particular youth. On the other hand, informants from different sector offices argue that the claimed land shortage would not be as severe as it is normally heard, had land resources been properly inventoried and measured using modern technology. Key informants argued further that proper and transparent land allocation is essential to resolve youth claims on open land. If AGP will invest in water-intensive agricultural production or processing, there is a high risk for causing or aggravating existing conflicts between up stream and downstream water users. For instance, there are various rivers likely to be tapped for SSI in lowland areas. Close participatory planning and joint identification of potential issues that may cause disputes in relation to borders, land allocation or water use rights must therefore be mandatory for AGP sub-projects. 4.4 Summary Statement on Triggering World Bank Safeguard OP 4.10 The SA team identified marginalized occupational and tribal minorities of the Fuga tribe in Yem Special Woreda of SNNPR and the Woieto tribe of Taqussa Woreda of Amhara region. Rather than facing visible and open exclusion, these groups are subtly distanced by the dominant cultures thus limiting their participation in community affairs. As a result, they resort to developing their subcultures domiciled in isolated villages. This means that some aspects of OP 4.10 of the Bank s definition of safeguard policy on indigenous people, i.e. customary cultural, economic, social or political institutions that are separate from those of the dominant society and culture applies to these groups. However, compared to the magnitude of other vulnerable social groups, these tribal minorities represent an insignificant number of people. The SA team proposes that a case by case application of the Bank s safeguard policy OP 4.10 in the process of AGP implementation as well as during sub-project screening will be applied in these two cases. Similarly, conflict prone households as well as in those communities whose open grazing land is taken by private commercial farm investors may require partial application of the Bank s safeguard policy that states that the access to and use of commons or natural resources needs to be safeguarded in a process of free, prior and informed consultation (OP 4.10). Consultations must take place between all those traditionally inhabiting an area with those external people who made agricultural investments in the area. It is possible that AGP will cause an increase of instances, where outsiders enter productive areas without fully consulting with its traditional users. Aim is to plan and agree on joint projects, their management and share of benefits. AGP Task Forces and PCU at various levels need to consider traditional conflict resolution mechanisms backed by tested national/international experiences and training through peace and conflict management specialists. AGP should develop a tool box that describes mechanisms through which Kebele-based arbitrations and compensations are implemented. At Kebele level, committees on grievance redressing and 35

36 benefit monitoring are established to handle complaints and issues related to the implementation of sub-components that affect private and community properties. Such issues should be incorporated in participatory sub-project planning guidelines and screening criteria. World Bank safeguards according to OP 4.10 will not be triggered with exception of Woieto along Laka Tana shore in Amhara and the Fuga of Yem Woreda in SNNPR and possibly groups with similar characteristics not yet identified in other AGP Woredas. 4.5 Enabling Environment and Positive AGP Impacts on Vulnerable Groups There are ample opportunities for the success of AGP as the designed components are generally compatible even with vulnerable social groups. The continuing effort by Woreda level institutions in organizing different social groups in economic undertakings creates a fertile ground to the program. With increasing demand for agricultural products and improved market prices for agricultural products, most male and female farmers feel encouraged to use improved agricultural technologies like modern farm equipments, improved seeds and fertilizers. Similarly, the youth is struggling to grab opportunities by entering in contract farming arrangements. Furthermore, customary practices have started to be questioned by women who are increasingly moving towards securing legally binding land titles and settlement of disputes arising from land and properties to be resolved by legal means. In Amhara, ongoing large and medium scale irrigation projects will create favorable conditions for growth in AGP Woredas. Dams in Rib, Megech and Koga rivers will serve for irrigation based farming in Fogera, Dembia as well as north and south Achefer Woredas. The hydropower and irrigation project of Tana Beles is expected to speed up regional development activities which will directly enhance agricultural growth for Bahirdar Zuria and Jawi AGP Woredas. Another important development of the region in relation to AGP is the six-year strategic plan ( ) that covers all the regions 128 rural and 38 urban Woredas and towns. These are divided into six clusters of growth corridors. All AGP Woredas in West and East Gojjam, Awi, North and South Gondar and North Shewa zones are included here. In Tigray, the Tigray Agricultural Marketing Promotion Agency (TAMPA) plays a significant role in promoting agricultural commodities both at national and international markets. It creates marketing efficiency through disseminating price information, and provision of trainings to farmers as well as to all market actors. The current activity of the agency in the marketing system is a good starting point for the AGP to make linkage with some marketing projects. The system laid down by the marketing agency vigorously facilitates the implementation of marketing aspects and value chains development envisaged particularly under AGP component 2. In Tigray, saving and credit establishments at Kebele level are the other potential entities that accelerate the implementation of AGP. Though they do not target all segments of the population, they have been serving the community for at last six years. It was found that the schemes do serve farmers with less stress and minimum bureaucratic procedures for depositing savings and taking loans. Most members take loans during planting and harvesting times. Almost all Kebeles in Endamehoni Woreda have saving and credit associations established with a revolving fund obtained from the World Bank. Again, this is a good opportunity for the AGP to effectively introduce improved techniques to boost agricultural productivity. It also facilitates implementing value chains development in the selected Woredas. 36

37 The other opportunity for the success of AGP are the efforts made so far in organizing vulnerable social groups in different economic activities. Unemployed and landless youths have been given attention and some feasible actions have been made to alleviate their problems. Depending on the available resources, youths are being organized and engaged in different agricultural related production including poultry and dairy production, sheep and goat raising, fattening, and apiculture. There are also a number of youth groups involved in vegetable production under irrigation schemes and cooperative marketing. The more successful of these initiatives are good starting points for the AGP to exploit, for example by providing resources for scaling up the already started activities. The newly established community care coalition (CCC) in Tigray is one of the most promising conditions to stand with the recurrent economic and social shocks facing vulnerable groups in each Kebele. The CCC supports orphans, elders and disabled groups by mobilizing resources from different organizations in the Kebele and the community at large. It has recently started to manage helping orphans to get access to education, supporting selected elders and disabled people with necessary basic needs. As this is linked with the productive capacity of the community, the trickle down effect works better as the agricultural growth programme is successfully implemented and resulted in increased agricultural productivity and production. The increased resources would easily be channeled towards the well-being and development of highly vulnerable social groups. This will, in the long run, enhance the productive capacity of some vulnerable groups, particularly of orphans. Ethiopia is a signatory on both the International Convention of Child Rights and the African Chapter on Child Rights. Existing conventions dictate the formation of CRCs at all levels. In Amhara and Tigray Regions, the SA team found strong child rights committees (CRC) at all levels (including schools) through which the rights of children are monitored and protected. CRCs at regional and Woreda levels are composed of various sector office staff (health, education, women affairs, and justice) chaired by Woreda or region YSSAs. The CRCs have further been structured under three subcommittees (protection, fund raising and advocacy) by which they create awareness on child rights convention and related issues, protect and rehabilitate affected children, and raise funds for protection and rehabilitation. In some places (e.g. W/Genet), access to market information is enhanced and mobile phones are widely used. Some farmers demand for credit and the amount of cash they need has gone beyond the capacity of existing financial service providers, which is then met by using informal saving and credit groups (Equibs) With the right type of implementation support, AGP will be able to build on existing self-initiated and organized groups, which already created a demand for support to bottom-up development processes. There is a fair chance that self employment and employment for both male and female youth within value chains will be created. As AGP supports skill and technology transfer, agricultural production and productivity certainly has the potential to increase the income of participating households. There is a realistic chance that some of this income, either through direct employment or through kick-starting of local economic cycles, will improve livelihoods particularly for vulnerable social groups. 37

38 Table 4: Expected Implementation of AGP Components and Positive Impacts Designed AGP Project Components C1. Agricultural Production/Commercialization 1.1. Strengthening of Farmers Organizations 1.2. Strengthening of Advisory services and support for farmers investment sub-projects 1.3. Marketing and agribusiness development C2. Rural Infrastructure Development 2.1. Market Infrastructure Development 2.2. Construction of Rural Feeder Roads 2.3. Small Irrigation Scheme Development Potential Positive Impacts Existence of self-initiated and organized women and youth groups - leverage on existing social capital Existing situations are enabling to promotes self-employment and employment opportunities for women/youth Boosts high demand for financial and nonfinancial services and thereby high skill and technology transfer Increased income trickling down to the livelihood betterment of vulnerable social groups, Preventive measures on HIV/AIDS integrated Investment in human capital, particularly on women s health and children s education enhanced Multi-stakeholder involvement will help the voices for vulnerable social groups reflected Women s work burden reduced Overall changes and impacts on vulnerable social groups monitored Informed decisions by households and exploitation by mid-men reduced 4.6 Anticipated Social Risks The SA team has identified a number of specific risks linked to several AGP components that need to be mitigated for achieving a broad participation of women, youth and other VSGs Labor and Rural Employment Opportunities In cereal surplus producing Woredas (e.g. Dodola), it was observed that farmers response to unpredictable rains has led them to use rented farm machineries such as combine harvesters and tractors during harvest and plough time. This tendency has actually limited absorption of the huge surplus labor, even on casual basis. It has also led the unemployed and landless youth to aggressively exploit the closed forest areas for immediate income needs. If promotion of capital intensive farming under AGP proves to actually reduce numbers of employment, the program definitely will have to address this issue. In almost all Woredas, it was learnt that better-off households and those who made decisions to diversify agriculture related economic activities are usually faced with shortage of family labor. In some Woredas (e.g. Diga and Dodola in Oromia) these households do not have positive attitudes towards the use of employed workers. In such cases, most of these households are compelled to use child labor of their own and their close relatives. Child labor is cheap and a widely preferred option, 38

39 leading better-off and poor households to enter into intra-household bonded labor arrangements using children to serve as herders, housemaids, livestock dung cleaners, fire wood collectors etc.. Be it due to customary practices or otherwise, there is very high fertility rate in the Woredas. In most cases significant proportion of female headed households with big number of children to support are overburdened. Other female headed households, with smaller family size, are also faced with shortage of labor thus resort to use their children s labor at the expense of their education. There is a risk that AGP actually encourages an increase in utilizing child labor in agricultural activities Access to Farm Land The SA team findings confirm other studies that suggest that many critical social issues can be directly or indirectly linked to unresolved land issues. For AGP one cannot think of sustained agricultural growth without strengthening its users' security over it. The original design of AGP considered this when discussing the inclusion of a lands component. AGP will definitely have to devise strategies dealing with these land and youth issues. Access to farm land by the youth will be the most important barrier to fully utilize the rural workforce. There are broadly two categories of youth in the studied Woredas. First, there are youth farmers with little or no education, but, without access to land user right of their own. The second category is youth school leavers and drop outs that usually tend to look for formal employments in rural towns. The former are mostly engaged in contract farming arrangements with households, in most cases the elderly and female headed households, who face shortage of labor. Existing informal land contracting (share cropping) arrangements in the visited AGP Woredas are found to function somewhat well without parallel backing from land policies. Although there are variations from one region to the other, lack of information and awareness on the legal provision on land use and contracting remains common. Vulnerable groups are often those with the least access to such information. This, coupled with the reliance on only verbal agreements made within the villages, has resulted in uncertainties and sometimes conflicts arise among those farmers who leasein and those who lease-out land. It is common that such conflicts cause a decrease in productivity thereby aggravating the underutilization of surplus labor in rural areas. With the aim of resolving conflicts arising out of informal land contracts, Amhara region has devised community-based mechanisms that involve both elderly men and women which could be emulated by other regions. Kebele level committees with representatives from sub-kebeles (Goths) have demonstrated to be effective in handling land disputes arising from breaches of trust in rental arrangements, inheritance claims by orphaned children and farm land boundary conflicts. All visited rural Woredas have little employment opportunities to absorb the landless youth. In response, most youths are obliged to enter into informal land use arrangements. Three types of arrangements become apparent: a) Youth readily avail their labour for those households with shortage of family labour. They earn income usually on piece rate basis. b) Youth who have secured savings resort to look for contract farming (sharecropping) usually for one harvest season. In this arrangement the contractor (the youth) need to provide oxen power, seeds and agricultural inputs to receive an equal share of the harvest. 39

40 c) The third modality is leasing land from households in need of cash, and it is usually done for more than one harvest season. This, however, requires a good sum of money for advance payments and the costs of developing the farm land and other needed farm inputs. In this arrangement, the leasing party collects the harvest and the leaser gets land rental income. In summary, as long as land disputes are peacefully handled by customary means, the interest of all involved actors is normally safeguarded. However, conflicts arising from disputes related to land use must be carefully considered within the existing land use legislation and AGP must have a tool box at its disposal to deal with such issues in a simple, transparent and well communicated manner. In some places the elders posses up to ten hectare and even more farm land. Two groups of elderly people are observed: those elders without extended family members with enough land but with shortage of labor and social support mechanism; and those elders with enough land and extended family members. In the case of the former, their weak negotiation positions have left them with little benefit when they enter in contract farming arrangements; sometimes they leave their farm to be idle. In the case of the later, some of these elders are confronted with intergenerational conflict with young family members who always claim shares of farm land to utilize. In areas where polygamous marriage is rampant (e.g. Dodola, W/Genet and Diga Settlers), customary practices discourage female land holding. Whenever the husband marries new wives, the share of land and property of the first and second wives is much reduced and mostly debated. Within the ESMF, the issue of land ownership should therefore be taken up as a potential barrier for the involvement of both women and youths in AGP supported value chains Conflict Prone Households Households living in conflict-prone localities (e.g.diga in Oromia and W/Genet in SNNPR) and in capital intensive private commercial farm areas (e.g. Ambo and Dodola) may require specific attention to be able to participate in AGP. Suddenly restricted access to grazing land, water and forest resources have resulted in stiff competition among communities that is not always resolved peacefully. If AGP aggravates such conflicts directly or indirectly, the program must also offers solutions for conflict prevention and mitigation Social-Environmental Linkages Social well being and environment is closely interlinked. Reversing environmental degradation and poverty eradication are mutually reinforcing imperatives and have to be implemented together in Ethiopia's development initiatives (PASDEP 2006). The World Bank has been encouraged to provide greater attention to environmental sustainability 9. Of relevance from the SA perspective is the fact that effects of environmental degradation are likely to hit those hardest that are already disadvantaged. Traditionally, specific natural resources are utilised primarily by specific groups and according to gender and age in a rural community for either domestic or productive use. If AGP Component 1 and 2 activities change such existing patterns in accessing, allocating and utilising natural resources, already vulnerable parts of society may suffer most. 9 The World Bank Group Environmental Strategy Concept Note

41 To reach the objectives of AGP activities, current and anticipated climate change impacts must be considered. Both Amhara Kebeles confirmed change in precipitation during the past decade, with more unpredictable rainy seasons and more intense rainfall. This will directly impact on the outcome of irrigation scheme investments and other infrastructural projects. Climate change must also be considered for choice of crops and production systems, training modules, size and In Amhara, one of the identified VSG tanners use cow urine for processing animal hides. One reason for their exclusion is the subsequent pollution of the kebeles drinking water. If alternatives our found for processing of hides, this might benefit the social status of tanners, as well as improve drinking water quality. allocation of infrastructure projects etc. 10. Seed banks of traditional crops and other measures have proven to increase resilience to future environmental change in Tigray 11. Not considering climate change could increase the costs of interventions, as well as the vulnerability of these Kebeles to erratic weather patterns affecting e.g. food security. Low productivity could in turn lead to migration and increased demand for child labour 12. Climate change is not considered in the ESMF, despite the fact that Ethiopian government has developed a NAPA identifying climate change as a major threat to development, and the World Bank has fully embraced the fact that climate change has a serious risk impact on development gains 13. AGP Component 1 aims at increasing agriculture productivity. For this an increased use of fertilizer is required. If resource poor HHs are to become part of AGP, the use of cheap and locally available compost is a preferable choice, as it increases resilience in years when HHs do not have access to cash for purchase of synthetic fertilizers. Moreover, using composts encourages recycling of organic material. So far, little is mentioned in the ESMF about fertilizer application. If new crops and technologies are introduced, they should be combined with traditional agricultural methods and there needs to be a social protection measure, e.g. farmer insurance related to crop productivity Social Capital and Informal Access to Finance In reference to AGP sub-component 1.1., particular attention is given to support for women and youth groups. There are two major types of such organized groups in the study Woredas. Some of them are culturally based and usually self-initiated organized groups. Others are organized and supported by government offices such as Youth and Sports, Women and Child Affairs and MSE Offices. In AGP locations visited, there are also some NGOs supporting organized youth and women groups in agro-forestry and handicraft activities (e.g. GTZ and International Friendship Association IFA in Dodola). Many of these donor-supported activities have already been documented in the AGP preparatory actor analysis. Self-initiated social organizations, with various local names such as Jige, Shene, Equib or Debo and Shengo or commonly known as Idir are the basis for social capital formation. These are real 10 See Ethiopia National Adaptation Plan for Action (NAPA) and World Bank Strategic Framework for Development and Climate Change, 2008, for guidance on climate change resilient development. 11 Seed banks are one of the key adaptation needs for Amhara, Oromia, SNNPRS and Tigray, identified by the NAPA National Adaptation Plan of Action for Ethiopia. 12 Observed in Tigray; The Development Fund, Climate change risks, Vulnerability and Adaptation measures in Tigray Communities, Ethiopia. 13 The World Bank Group Environmental Strategy Concept Note

42 solidarity groups whose cohesiveness goes beyond serving the economic needs of members, as they are also serving members social security needs during crisis situations in a sustainable manner. However, in Amhara and Tigray SA Woredas, Equib and Idir are less important compared to Oromia and SNNPR. Instead, Mahiber and Wobera (in Amhara) are found to be strong religious associations and labor cooperation groups, respectively. Both forms of community organizations serve as mutual support mechanisms for the elderly and other households in a crisis situation. On the other hand, rural saving and credit cooperatives are emerging as strong financial intermediaries that also include women. For example, in two visited Kebeles of S/Achefer and Taqussa Woredas, more than 375 women are actively participating in RuSaCCOs. There are self-help groups, which are largely organized by some local women in both rural and urban Kebele associations. These groups are in most cases composed of 10 to 15 women that reside closely in a village. Members make contributions regularly (on weekly, bi-weekly or monthly basis) as per their established rule using group elected chair women, secretaries and treasurers. The saving continues until it reaches a level that it accommodates members credit needs and the lending process. Eventually, members exchange experiences and advise on the type of activities members undertake. Sometimes, these women assume group activities such as traditional clothes made of hides, ornaments and wooden kitchen materials. Every member can borrow for any purpose at a fixed rate for a certain period. Self-help groups are considered financial intermediaries between informal financial markets (private lenders) and formal financial actors such as MFIs. Such systems are more advantageous over the informal and formal financial institutions as they do not require collateral and do not incur transaction costs. Such self-initiated groups, though limited in number and with small capital base, are found to be the main sources of finance for the poor social groups in most rural areas. The Jige is formed by involving members with modest cash contribution, mostly by youths for a reciprocal type of labor exchange during harvest, house construction as well as during weddings. Female youth are also involved in such arrangements to share labor and in village saving groups to exchange mutual support among them. Strong Jige groups were found to have a better chance of attracting land owners and better negotiating power to make conducive verbal agreements. The other community based organization, mostly formed by involving different Jiges is Shengo/Idir. It serves three major purposes: (i) to ensure decent funeral services, (ii) to serve members as social security during hard times, and (iii) it further serves as social court to resolve disputes and conflicts usually arising from issues related to multiple marriage and land contracting. Polygamous households must feed many dependents. As a result, male household heads are usually economically stressed in slack seasons. To cope with this situation, borrowing in kind (in exchange of cash for cereals) from private lenders is common. However, the payback is sometimes double than the amount of money borrowed. One of the reasons is the amount of harvest collected, particularly, during bumper production season, has inverse relation with the market price. In some cash crop areas (e.g. Wondogenet), high cash transaction in the area requires bigger amounts of money that is usually held by village level savings groups or can be provided by the microfinance institution. In this cereal producing area a high level social support network and cooperation is the dominant feature. 42

43 Government established and supported groups often have a relatively large membership. These groups are mobilized and formed mostly by Youth Affairs office and sometimes by Women and Child Affairs office. Once they are formed, they are linked to MSE promotion offices for organizational and income earning activity support. Finally, having established clear business activity plans they are referred to Woreda MSE Steering Committees and then are recommended for financial support from government-backed microfinance institutions. Exceptionally, in SNNPR (e.g. W/Genet), Youth Affairs office works directly with Woreda Agriculture and Rural Development office to link organized youth groups with agriculture related activities. The most frequent group activities are in the area of sand and stone collection, livestock fattening, grain marketing, forest development, sheep husbandry and small scale irrigation. Frequently encountered challenges include that such organization lack cohesiveness, organizational discipline and depend on outside facilitation. There are conflicting ideas on the optimum number of members that would ensure tangible income growth for participants. General management weaknesses and lack of business skills make members worried about their capital. Many people interviewed in all four regions agreed that these organized groups often lack truly motivated members and are more easily disbanded than traditional groups Formal Access to Finance Access to credit is found to be one critical factor for AGP to successfully achieve its objectives. In all visited Kebeles, there is at least one micro finance institution (MFI), and in some cases, there is more than one Saving and Credit Cooperative (SaCCs). With the exception of women-only SaCCs, women representation in mixed types of cooperatives is not more than 10%. Even worse, their representation in cooperative leadership positions is less than 2%. In the Woredas researched, some MFI s actually are more focused on serving women, while others are serving organized youth groups screened by Youth Offices and MSE Desks. However, women, youth and other farming households face two major barriers to access the MFIs services. One of the barriers is the group guarantee loan system which is the dominant lending modality in the absence of material collateral. This system is less preferred by borrowers, besides the loan size is too small to expand or diversify economic activities in a larger scale. The other barrier felt especially by growth-oriented farmers and youths is that existing loan products are rigid and small. Farmers therefore continue to become the prey of individual money lenders, who largely take the form of cash-for-in kind exchange. ACSI in Amhara region is the dominant MFI that serves both urban and rural Kebeles. However, unlike other regions, the MSE office in Amhara region has limited services in rural Kebeles. As a result, ACSI can not provide loans to rural youth who should be backed and recommended by the MSE office. Since unemployed and landless youths are generally labeled to be risk groups, they are always screened by Kebele credit committees to be excluded in the normal credit operations of ACSI Non-Financial Services One of AGP s sub-components is agribusiness development that considers building technical and entrepreneurial capacity of agri-business participants and demand-driven farmers projects. It was learnt that market uncertainties are extremely important sources of risks affecting households and micro entrepreneurs, suggesting that working with non-financial services is probably just as important as providing rural credit. 43

44 First, unfavorable price changes that mostly follow seasonal variations are reportedly the common type of market risk for the farmers across the SA Woredas. Significant increases in input prices or decreases in output prices can reduce or eliminate micro enterprise profits. In addition, an enterprise can be adversely affected by disruptions in vital business services such as marketing channels, and transport. Losses from market risks lower the return to the household's investment in the micro enterprise. Secondly, the commonly shared features of the visited Woredas are: (i) wastefulness and extravagant behaviours associated to customary practices, (ii) low saving habit in any form either cash or material, (iii) very low enterprising culture which is limited to a pre-entrepreneurial stage, and (iv) absence of properly tailored Business Development Services (BDS). Strong, bottom-up participation of women and youth is assumed in AGP. To say the least, youth and women have least exposure and experience to be competitive in the market. They are therefore unlikely to become fully engaged in the more profitable AGP activities, for example in agribusiness and in market-oriented agricultural commercialization, unless tailor-made interventions are designed to bring them onboard. Here, considerable experience from other programs is available to inform AGP. 4.7 Institutional Capacity at Woreda and Kebele Level Strong institutions significantly encourage trust, promote property rights and avoid the exclusion of the different sections of the population 14. Particularly grass root level institutions play an important role in maintaining the interest of the local people, safeguarding their physical cultural resources, facilitating development initiatives, as well as mitigating unexpected adverse effects. Currently, lower level government institutions in Ethiopia are increasingly involved in communities development efforts. These institutions include the different government and non-government organizations at Woreda and Kebele level. The structure of Woreda level administration is more or less similar in all regional states (MCB, 2007). Almost all sector ministries and bureaus at federal and regional levels are represented at Woreda level. In each visited Kebele, agriculture development agents for crop, livestock, natural resources and irrigation are found. AGP Kebeles with Farmer Training Centres can benefit from their extension capacity. However, regardless of presence of FTCs, development agents that monitor VSGs are not available. No specific entity at this level, besides NGOs and ad-hoc committees works systematically with social and vulnerability issues. AGP could help put in place such social development agents that are equipped with the necessary skills and implements to facilitate the inclusion of VSGs in AGP. In the AGP-SA context, the Women and Child Affairs, Micro and Small Enterprise, Labour and Social Affairs, and Youth and Sport are among the more important offices that have direct mandates and roles for organizing and supporting different social and vulnerable groups at Woreda level. All of these organizations, however, are in different states of institutional maturity. Many of them cannot yet achieve their objectives because of understaffing and lack of professional skills, planning and management capacity. 14 Laiglesia,

45 4.7.1 Gender Aspects of Kebele Level Institutional Capacities There is a concern that good policies / strategies are written but the process of translating provisions into operational practice is still wanting. For instance, women change package implementation was designed in a way that main committee and technical committee should handle the matter. Studies by ENDA in SNNPR (2009) indicated that the two major committees were not found functional according to design because of a variety of systemic problems and capacity gaps in understanding the real essence of gender mainstreaming. This shows the importance of building capacity of institutions at various levels to ensure the specific focus on women and youth as stated in the AGP overall development objective. Anecdotal evidence shows that qualified staff and better resources are based at higher levels of government institutions, for example the Regions. The lower level such as Kebeles where the brunt of the responsibility lies do neither have the necessary human resources and supplies (Office facilities and motor bicycles/cycles) for community work nor experienced staff for operation and monitoring purposes. Staff from concerned sector offices that are trained in gender analysis and mainstreaming to spearhead /oversee the planning process, monitoring and support in applying criteria for proper evaluation of AGP implementation in relation to women, youth and other VSGs should train and assist Kebele level DAs to ensure that social issues are integrated in AGP implementation. This obvious capacity gap can be addressed by the AGP Institutional Capacity Assessment that must include assessing existing capacities in regard to vulnerability issues. The problem is even bigger for staff Women and Social Affair and Youth Affairs offices working with vulnerable social groups as they do not even have a Kebele level representation. The Kebele level situation is indicated below: Identified Strengths by ICA Horizontal communication between Kebele management committee, agriculture, health, education, women and youth groups, and political leaders is relatively strong. Development groups are being established in the Kebeles with each group having about members who are led by a model farmer. Implications for AGP- SA The women affairs offices in Ambo, Diga, and Dodola Woredas reported that their sector is marginalized and decision making on pertinent matters affecting the lives of women is still an outstanding problem. Other anecdotal evidences shows that level of women focusedness depends on the personal goodwill of the political leader/administrator. There are limited women model farmers in each area. The possibility to be snatched by others is likely unless there is a lead person/contact DA for vulnerable social groups Gap filling and Missing Skills In all Woredas visited during the SA, a considerable staff shortage was recorded in those institutions, which closely monitor and follow the social, environmental and economic activities of the different social groups. In some Woredas, the number of available staff in each sector offices reaches only between 54% and 71% of a full staffing situation. On average, the visited Woredas offices working Woreda offices working with VSGs had an average staffing gap of 41% with VSGs had an average gap of 41% in human resource capacity. Another recurring observation is 45

46 that staff members are busy with gap filling and do not work in their intended technical fields of expertise although they lack specific knowledge for the position they try to fill. The women and child affairs office in most SA Woredas, which are supposed to play a significant role in promoting gender mainstreaming, are not well staffed. Besides numerical shortages, many staff are also under/unqualified for their positions. On top of staff shortages and skills issues, the office environment as such is not enabling the available staff to work competently. Staffs lack access to modern and efficient IT equipment that facilitate its activities and meet its institutional objectives and mission. The findings from the visited Woredas suggest that a gender and VSG baseline should become part of bottom up planning processes. This has to be done by sector staff sensitive to both vulnerable women and men s needs together with gender and VSG specialists. Gender mainstreaming skills and proven competencies need to be part of AGP implementation package so that relevant technical sectors work in tandem through adequate joint preparations for ensuring gender concerns are fully recognized and incorporated VSG Sensitive Cross-Sectoral Coordination In some studied Woredas, Agriculture and Rural Development offices are split up into separate Cooperatives Promotion, Land Use, and Livestock desks where the coordinated use of DAs among them suffers from weak coordination and lack of line management. A lack of cross-sector planning is likely to impact negatively on AGP when it comes to applying socially inclusive approaches. Staff of several social institutions in the visited Woredas was not aware of the program at all. Experts in these offices, after the consultation meeting, became much interested in making their contribution to the program and facilitate the implementation of each component and sub-component. AGP or another intervention, must assist in increasing staff skills in general project cycle management, especially in planning and analysis, monitoring and evaluation, but also specifically in the techniques of planning & budgeting, O&M and monitoring and evaluation that is sensitive to the needs of vulnerable community members. The comprehensive training of DAs will play a crucial role here Access to Information for All AGP implementation will have to consider the issue of equitable access to information. Experience from similar programs shows that crucial information about upcoming development initiatives like AGP first of all reaches local elites that may monopolize this knowledge for a considerable amount of time. For example, there is a risk that land is leased from unaware farmers at a very low price and that poor and vulnerable male or female farmers will be excluded from access to information. AGP design, budget allocation and implementation of investments and trainings must include awareness campaigns that reach even those that often are not participating in regular meetings at community levels. 46

47 4.7.5 Monitoring Capacity Some experts in some of the Woredas, though few in number, have good knowledge and familiarity with economic and social condition of the Woreda. They do possess in-depth knowledge of the area, particularly gained during the establishment of state-owned farms and other project interventions. However, as mentioned above, such experts are very few and have limited experience from participation in programs like AGP. In this regard, the number of experts and their capacity to implement and undertake M&E of the components and sub-components is questionable. It may require adequate number of qualified staffs to effectively implement the programme. Particularly, their capacity in collecting, storing and monitoring of data is very weak. There is severe dearth of reliable baseline data on vulnerable social groups at all levels. Such baseline data for M&E purposes at Woreda level could then be aggregated at regional and federal levels for more informed decision making on AGP (and other development interventions) in terms of reaching the intended target groups. A monitoring system with simple indicators should be put in place that captures exactly who benefited from program investments to prevent that AGP benefits are reaching only already betteroff local elites. Collection of data should at least include some of the indicators outlined in table Local Level Actor Coordination and AGP Task Forces As stated earlier, the implementation of AGP requires coordinated efforts among the different sectors. The active participation of these stakeholders in a) decision making and b) continuous provision of advice is crucial. Their participation is also essential to monitor the progress of the program at each step and speed up implementation when needed. Though a general readiness was observed to form AGP task forces, the process has not yet completed. Inclusion of officers from relevant departments in the highest policy body (Woreda steering committee) would definitely strengthen the safeguard processes for the different social groups and physical cultural resources. It also ensures the integration of socio-economic activities into Woreda as well as at local level development initiatives. Non-state actors are often having their focus on poor and marginalized groups of society. They also possess a lot of experience on what works and what doesn t. AGP committees should definitely use the opportunity to tap into these experiences for making the program more responsive to needs of vulnerable groups in an efficient and effective manner. The structure and composition of members in the Kebele cabinets is similar in all Woredas. Secretaries, who are mostly diploma graduates and are known as Kebele managers, are employees of the government and serve the cabinet. Kebele associations are the other government organizations, which are the lowest units that administer and facilitate development activities. These associations are actively involved in various tasks including mobilizing the community in development activities, organizing and supporting women and youth self-help groups, addressing disputes, and monitoring the different social activities within the Kebele. They are potential organizations, which can, together with Woreda sector office and DAs, play a significant role in implementing, monitoring and evaluating of AGP. 47

48 The SA team assumes that the AGPs Institutional Assessment will provide deeper insights into the selection of the most suitable local AGP counterpart units, their staffing and skills shortages and the strategies to build capacity before and during AGP implementation. What should be stressed here is the importance of including in that assessment an analysis not only of the more technical skills requirements emerging from AGP components, but also of the social and environmental parameters. Table 4: Expected Social Risks under Proposed AGP Components Designed AGP Project Components C1. Agricultural Production/Commercialization 1.4. Strengthening of Farmers Organizations 1.5. Strengthening of Advisory services and support for farmers investment sub-projects 1.6. Marketing and agribusiness development C2. Rural Infrastructure Development 2.1. Market Infrastructure Development 2.2. Construction of Rural Feeder Roads 2.3. Small Irrigation Scheme Development Potential Risks Disadvantaged and vulnerable social groups (women, children and elders) could be potentially excluded. In some Woredas, women s rights over land and other properties is at stake due to polygamous marriage. HIV/AIDS has left women to be widowed and men to be widowers, children to be orphaned with extreme effects on the rural workforce. Smooth implementation of AGP cannot be possible without solving existing tribal and administrative boundary conflicts seen in some Woredas. Informal land markets are potential sources of conflict plus unclear legal land contracting procedures would be an obstacle for the youth s participation in AGP. Low savings and enterprising culture will hinder AGP implementation. Limited coverage of financial services coupled with rigid lending system will be another limiting factor. Adaptation measures to anticipated climate change impact on farming systems are not considered. The magnitude and situation of vulnerable social groups is not given proper attention so that there will be a danger of exclusion from AGP as a whole. AGP has a potential negative impact on community-based sacred trees and ritual sites of religious and cultural importance. Disputes and downstream water shortages arising in small scale irrigation schemes. Proofing measures against anticipated climate change impact on infrastructure are not considered 48

49 5 Presence of Physical Cultural Resources Good information sources on larger historical, cultural and tourist attraction sites are well organized both at regional and federal levels. However, at community level, the SA team found considerable numbers of sacred and ritual sites of religious and cultural importance, which also need due consideration. Sites containing indigenous trees, forests, rivers or springs are revered in traditional spiritual beliefs and can also be important in terms of ecosystem services and biodiversity on which the people depend. If AGP further increases pressure on already limited land resources for agricultural production, the encroachment on communal lands and forests surrounding sites of religious or cultural importance will be accelerated. In such a situation, subsistence farmers belonging to vulnerable social groups may end up being those that pose the largest threat to PCRs! Other sites are open lands kept for important ritual ceremonies, social ruling and sanctions. Particularly AGP Component 2 has a potential for causing negative impact on physical cultural resources. Potential negative impacts would be caused by construction and operations of small scale irrigation schemes, water canals, reservoirs, dams and rural road, market and storage building, increased traffic, etc. but also by indirectly encouraging farmers to encroach on unused land surrounding such sites. Studied Woredas contain many worship places for the two dominant religions, primarily Christian churches and Muslim mosques. Moreover, the Geda System in Oromia Woredas and the Gudumale system of the Sidama culture in South uses various sites to practice their traditional beliefs. In both systems a certain clan is believed to be spiritually endowed to lead others. Every 5-8 years, elders give blessings to a leader who in turn, nominates jury members to form the systems temporary social ruling group. Social status and prestige is gained through this system, however, only men are privileged to be involved. These two systems traditionally use sacred trees to conduct ritual ceremonies. Particularly, indigenous trees such as Warka, Wanza, Kerero, Tikur Enchet and Dokma are highly precious. Open common spaces are used for their judicial processes and social sanctions. There are several ritual and religious places in Yem Special Woreda. There are steles in Meleka and Zofkar, the Angeri palace, man-made and natural caves and worshipped indigenous trees and forests. In addition, there are Orthodox Churches in 23 out of 31 rural Kebele administrations. Trees around Angeri Palace are sacred and respected by the local community. There is fear among the community that let alone cutting these trees even pointing fingers at the indigenous trees around the palace is believed to be a taboo leading to meqsefit. Table 5: Identified Physical and Cultural Resources in visited Woredas (OP 4.11) Type of PCRs Assessment Level Woreda Kebele Mountainous sites Diga Bekiltu Jirmi and Byiete Yem Sor and Gon, Shosher and Almama Natural Caves Yem, Endamehione Angeri, Sor and Gon, Weira, Tiger, Azgi Zemda, Meleka, Jemma, Mihibae 49

50 Hileselassie Washa Man made caves Yem Semu Awasho Stelles / Melisa and Zofkar Yem Idiya, Hot Springs (Wema ) Yem, W/Genet, S/Achefer Sor and Gon Springs Yem Meleka Water falls Diga, Wondogenet Abaye Yem Shosher and Almama, Kerzidoyo, Idiya, Angeri, Shemo and Metello, Ashe Indigenous, historical and sacred trees: Warka, Wanza (cordial abysinica), Kerero (amionguria altussima), Tikur Enchet (pygeum africanum) and Dokma (syzygium guineense), Zigba (podocarpus gracilior) Diga, Dodola, Yem, Taqussa All assessed Kebeles Zigba ( podocarpus gracilior), Korch (erythrina brucei), Wanza (cordia Africana), tid (juniperous procera), Koso (hagenya abyssinica), Kirkeha (arundiara alpine), sesa (albizia guminifera), bisana (croton macrostacyus), Doqma (syzigium guincense) Yem, S/Achefer, Taqussa Most kebelles Natural Forests Yem, W/Genet Samu Awsaho,Azgi zemda, Gessi, Saa imafo, Karawa and Oya Iretto, Oya Qepho, Meleka, Mosques, Churches, ruins and Cemeteries All Assessed Woredas All assessed kebeles Palace Yem Angeri Sites for cultural ceremonies (ritual places) Dodola, Diga, Ambo, Abaye, Deneba, Amaro Taqussa, S/Achefer Sites of public celebration Challo All Assessed Woredas In all kebeles Sites serving as customary social courts Wondogenet, Yem and all Deneba, Amaro the above Woredas Gilgal Ghibe II HEP Yem Meleka 5.1 Summary Statement on Triggering World Bank Safeguard OP 4.11 Substantial numbers of community-based sacred and ritual sites of religious and cultural importance have been identified by SA in all target locations, thereby necessitating OP 4.11 to be triggered. Implementation of AGP s Sub-components in the area of small irrigation schemes, water reservoir and dam excavation and rural roads construction is likely to affect these PCRs. These should be treated under the Bank s Procedures that... the borrower informs the bank of its procedures for identifying and mitigating potential impacts on PCRs including provisions for monitoring such impacts and for mitigating chance finds. World Bank safeguards according to OP 4.11 will be triggered 50

51 Oromia Amhara SNNPR Tigray AGP Ethiopia - Social Assessment 6 Summary of Major Regional Variations and Similarities Level of risk associated with an issue: 3 = high 2 = medium 1 = low 0 = no risk associated Social Risks & Constraints Areas with significance for AGP implementation 1. Vulnerable Social Groups Landless Youth Female victims of polygamy Female victims of early marriage Orphan children Child family heads Child-bonded labour Resource poor FHHs with labor shortage Elderly HH with labour shortage Conflict prone HHs Tribal & Occupational Minorities Socially excluded groups Discriminated tribal minorities PCRs Sacred springs, trees, caves, religious sites and historical monuments AGP Institutional Capacity Physical availability of staff (subject matter specialists suitable for women, youth and other VSGs) Qualification of staff for M & E of women, youth and other VSGs issues Infrastructure at institutions dealing with gender, social and vulnerability issues AGP Enabling Environment Cooperatives, CBOs & local development initiatives accessible to women, youth and other VSGs Land registration/certification for VSGs Land dispute handling at community level Large development programs similar/related to AGP

52 7 Recommendations: Risk Mitigation Measures and Strategies The SA team understands vulnerability as a concept broadly encompassing all disadvantaged social groups in respect to their socio-cultural status as well as their sharing of benefits or negative effects of mainstream development activities. The SA team advises AGP to consider identified social risks and proposed mitigation measures in the area of safeguard policies for specific locations, informal land rent, polygamy and customary practices, business development services, financial services and on physical and natural resources and the institutional capacity to monitor AGP according to these parameters. The documentation of mitigating measures in the PIM and other manuals applied at operational level is essential. There are several highly relevant policies and strategies at federal and regional level specifically promoting VSGs that can be translated into concrete action on the ground. 7.1 Conflict Resolution in Specific Locations Many AGP Woredas experience administrative boundary conflicts (e.g.diga, Ambo and Wondogenet).There is a stiff and not always peaceful competition for remaining natural resources between long-term inhabitants and settlers. There is massive resentment where communal land is given to large scale commercial farms, particularly where an extreme land shortage already exists (e.g. Dodola and Diga). Leaving such issues unaddressed may affect implementation of AGP Component 2 (PIM 5.2. Rural Infrastructure Development and Management) as well some aspects of Component 1 (PIM 5.1.) to support farmers sub-projects in activities related to livestock. It is possible that AGP will cause an increase of instances, where outsiders enter productive areas without fully consulting with traditional users. Aim is to plan and agree on joint projects, their management and share of benefits. Access to and use of commons and natural resources needs to be safeguarded in a process of free, prior and informed consultation. Measures Insist that consultations take place between those traditionally inhabiting an area and external people who made agricultural investments. AGP Task Forces and PCU at various levels must consider traditional conflict resolution mechanisms backed by tested national/international experiences and training through peace and conflict management specialists. Establish committees at Kebele level with all conflicting parties represented to address conflicts and benefit sharing related to the implementation of sub-components that affect private and community properties. Develop a tool box that describes mechanisms through which Kebele-based arbitrations and compensations are implemented. Incorporate such matters in participatory sub-project planning guidelines and screening criteria. 52

53 7.2 Addressing Land Rent Issues Unless informal land markets are enabling youth to become active players, there will be a danger of excluding youth contrary to the intended aims of AGP. In most of the SA Woredas visited, verbal agreements and traditional means have become sources of conflict among the contracting parties. A resurrection of the once planned but later discarded AGP land component may have to be considered to bundle all land-related activities that undoubtedly will merge during AGP implementation. Measures Include information on existing legislation/directives on land contractual arrangements in general strategic AGP information dissemination activities Use best practises from Amhara Region on community based land arbitration Design specific modules that include messages directly aiming at women, youth and other vulnerable groups in addition to a generally applicable base package on land related information. Aggressively disseminate information on region-specific land contracting legislations by Woreda and Kebele level Steering Committees with the aim of allowing parties to choose among customary/informal agreements and formal and legally binding agreements. 7.3 Facilitating Women and Girls Participation in AGP If AGP wishes to succeed in increasing women s active participation in the program, the various proposed activities must consider the element of female time poverty. Most rural women in AGP Woredas can not be considered a productive force per se unless they are given the means to free time for income generating activities. They also need spare time to attend participatory planning exercises, training sessions, for forming of associations and for taking part in project monitoring. As long as traditional duties prevent them from doing so, it is likely that women will not participate in AGP as expected. Measures Roll out the existing regional gender mainstreaming guidelines. Consider initiatives that can actively reduce work load of women and girls. Ensure that the introduction of new labor intensive production, processing, transporting, marketing or rural infrastructure maintenance activities in the AGP value chains do not create additional work load on women and girls. Include the issue of sharing of expected work load between men and women in sub-project screening criteria. Insist on inclusion of women in entire sub-project cycle. Consider women s role in the agricultural calendar when timing sub-project implementation. Create access to appropriate technology for women in production, processing and transport. 53

54 Create access to alternative energy sources to free time for income generating activities. 7.4 Mitigating Effects of Customary Practices and HIV/AIDS In polygamous and early marriage areas, the fast spread of HIV/AIDS has resulted in an increase in numbers of widows/widowers and orphaned children, leading to severe stress and burden on both groups. In AGP locations, a common pattern is likely to emerge: when rural households start to diversify income generating activities, they will face a shortage of family labor. This results in the use of child labour for both domestic and paid work. Consulted women groups in Dodola were bitter about polygamy and the resulting prevalence of HIV/AIDS. They explained the situation in their own words...there is no idea in talking about access to labor and agricultural growth before tackling HIV/AIDS. Measures Support specific land titling to women Support and strengthen Child Right Committees (CRCs) Consider mainstreaming of activities countering HIV/AIDS in AGP components. Build institutional capacity in AGP implementing entities in HIV/AIDS. 7.5 Broaden Access to Business Development Services Commonly shared features of the visited Woredas are lavish spending during times of plenty and very low saving rates. This is usually coupled to a low enterprising culture at pre-entrepreneurial stage, and compounded by the absence of properly tailored Business Development Support Services. The above applies to male and female headed households alike, but particularly youth and women have the least exposure and experience for becoming competitive actors in the agriculture commodity market. AGP Sub-component 1.3. Marketing and Agribusiness Development outlines a range of capacity building for agricultural value chain stakeholders and service providers with a 15% cost share of the AGP budget. Measures The SA team recommends Business Development Services to be considered as a separate subcomponent in AGP with the following specific interventions: a) Training: Include demand-driven, aggressive business skills training for women and youth using existing good practices, for example, by ILO, Women in Self Employment (WISE) and GTZ. Assign facilitation role to MoTI and its MSE Desks at Woreda level and build their capacity through ToT courses of various training packages (e.g. SIYB by ILO and CEFE by GTZ) as well as visits to places where BDS successfully facilitates agricultural growth. Provide support for private sector BDS providers. Design a gender and youth specific package to address issues of cost-sharing. Include a one time subsidy to the different training actors and BDS providers in AGP budgets. (b) Value Chain Support: 54

55 Identify and sub-contract BDS providers from private and public sector. BDS facilitators provide business training for existing self-initiated and organized women and youth groups resulting in concrete business plan and value chain development by the operator. Involve agricultural subject matter specialists and other professionals for training and onthe-spot advice according to specific value chain needs. Use BDS facilitators to link the business operators projects with AGP steering committees for support. 7.6 Broaden Access to Financial Services AGP Component 1 and 2 support commodities that are marketable, generate income and create employment. Access to appropriate financial services is crucial throughout the value chain. Existing financial services by rural cooperatives are underdeveloped. Existing Microfinance institutions have limitations to reach out with small enough loans to youth and women clients, while growth-oriented entrepreneurs cannot obtain sufficiently large loans. Poor people interviewed in the SA areas reportedly sell crops/cereals in advance. The advance may be spent on financing the inputs required to produce that crop but may just as likely be used for other needs particularly by households that are vulnerable to external shocks. Measures Appropriate Financial services should be available to all farmers that wish to engage in income generating and growth enhancing activities. The proposed options are generally applicable, but can also be used for creating tailor made loan products specifically targeting women, youth and other marginalized or vulnerable groups of rural society. Commercial banks and MFIs are main entry points for AGP. Two options emerge: (a) Credit Guarantee Arrangements Introduce matching grants scheme through commercial banks that have the capacity to use own resources. Lessons from existing experiences from USAID-VOCA Ethiopia for coffee producers and unions and SIDA-Amhara s rural development programs can be drawn. Provide seed capital through soft loans to rural MFIs that have a better reach to women and youth. Support MFIs in designing tailor-made loans for particularly marginalized groups of society. (b) Warehouse Receipts System Introduce a Warehouse Receipts System, also known as inventory credits, offering credit for inventory of products held in storage. Stored agricultural commodities can serve as collateral, be sold, traded or used for delivery against financial instruments including future contracts. Provide technical and capacity support to existing cooperatives and unions in the area of crop fumigation, stock control, management and warehouse construction. 55

56 7.7 Recognizing Social-Environmental Linkages Social well being and environment are closely interlinked and already vulnerable groups are most likely to suffer from further environmental degradation. AGP cannot be allowed to aggravate stress on already overused natural resources. Increases in productivity must not only be achieved by using costly externally supplied inputs that resource poor HHs can not afford. Mitigation measures against increasingly erratic weather patterns must be included in the program. Measures In the sub project screening assess potential negative (and cumulative) impacts of small scale irrigation schemes and dams on water access, especially for downstream communities Consider the limited ability of vulnerable groups to adopt new crops/new technology Promote application of low-input soil improvement techniques affordable for resource poor HHs Identify mitigation measures for climate change effects on resource poor farming HHs with labor shortage and/or those on already marginal lands 7.8 Physical Cultural Resources Substantial numbers of community-based sacred and ritual sites of religious and cultural importance have been identified by SA in all target locations. Measures Include procedures for ensuring that PCRs are considered in the designing process of AGP sub-projects in the ESMF. Include in the PIM a detailed description of mandatory measures once a PCR safeguard is triggered during a sub project screening process. Assist in formation of PCR Interest Groups representing tribal and customary leaders, women and youths to act as whistle blowers for protecting sacred religious sites or landscape features with attached social functions. Enable such interest groups to formulate bye-laws (similar to water users management committee) with specific measures (including sanctions) to safeguard PCRs. Actively involve Ministry of Culture and Tourism and its offices at regional and Woreda level in all AGP structures. Provide limited capacity building support to Culture and Tourism personnel. 7.9 AGP Sub-Project Appraisal and Screening AGP sub-project planning, implementation and monitoring is an obvious entry point for ensuring that interests of vulnerable group and the preservation of PCRs are duly considered. The SA team proposes the following additional criteria for screening of sub-projects. They require further detailing once the final menu of AGP interventions is agreed upon and need to be reflected in the PIM: 56

57 None Low Medium High AGP Ethiopia - Social Assessment Table 6: Tentative Checklist for Sub-Project Screening Potentially Negative Effects Degree of Adverse Effects 1. Existing irrigation users disrupted 2. Tension over irrigation water use 3. Lack of capacity to manage irrigation structures 4. Disruption of down streams users 5. Sub-project pollutes environment and water sources 6. Loss of grazing lands due to road construction 7. Loss of productive land due to canal construction 8. Sub-project aggravates natural resources degradation 9. Use of child labor for paid works 10. Potential conflict on land use contracts 11. Potential discrimination and stigma on HIV/AIDS affected HHs 12. Potential effect over the land use rights of the elders 13. Potential effects on un-equal terms of women s property rights 14. Potential effects on the benefits of FHHs 15. Sub-project discriminates minority tribal groups or occupational minorities 16. Sub-project adds to women s or girls work load 17. Sub-project excludes resource poor farmers from participation 18. Religious sites disturbed due to large scale farming 19. Ritual sites/cultural places affected due to construction of roads or irrigation Measures Start sub-project appraisal processes at Kebele or sub-kebele level focusing on sub-project effects and level of inclusion of women, youth and vulnerable social groups in the proposed project. Screen each sub-project to assess impact on overall livelihood of the local people, culture, and its physical resources before approval of the project. Include Kebele development and sub-kebele development committee (as outlined in the community PPM). Include external experts for assessing social impact of bigger dams, irrigation canal and feeder road construction. Train relevant sector offices that carry out an in-depth evaluation are able in application of social indicators and criteria detailed in the final ESMF Review of Guiding AGP Documents The definition of AGP target groups still seems somewhat inconsistent and proposed program activities can not be clearly enough linked to women, youth or other VSGs. The ESMF, into which the SA fits, will indicate which AGP guiding documents may have to be revised to incorporate social and environmental safeguard issue at operational level. 57

58 Environmental Management Plans will be prepared for sub-projects once they have been identified. The ESMF has already identified the Guidelines for Environmental and Social Impacts of Subprojects of AGP. The ESMF details the steps and provides templates for a screening process. Measures Review planning processes to ensure full consideration of interests of vulnerable groups identified by the SA Put in place compliance mechanisms that ensure adherence to agreed social standards during sub-project implementation and follow-up. Include Labor and Social Affairs and EPLUA representatives as members of AGP Steering/Technical committees M&E of Vulnerable Social Groups and PCRs Woreda level Government institutions working with VSGs and PCRs have very weak capacity in collecting, storing and monitoring and evaluation of data. They are understaffed or work with non subject matter specialists. Vulnerable groups are neglected in most of conventional studies in Ethiopia and specific change monitoring indicators in relation to such groups or sub-groups are often missing. Reliable data on vulnerable social groups in AGP Woredas is missing or incomplete, which makes AGP social impact monitoring difficult. Measures Ensure that relevant government institutions (e.g. Women and Youth Affairs as well as Labour and Social Affairs) and NGOs/CSOs working with VSGs are part of technical and steering committees at all levels. Build these institutions capacity for undertaking baseline studies on vulnerable social groups in their specific location and for defining M&E indicators for easy livelihood change monitoring. Start collection of baseline data for M&E of AGP impact on vulnerable groups at Woreda level before aggregation at regional and federal levels. Commission national level survey data collection and analysis based on agreed indicators to CSA. Table 7: Proposed M&E Indicators in respect to vulnerable groups and PCRs Subject Groups Indicators Data Source and Level of Responsibilities Federal Region Woreda Women MoWA W.Bureau Women Affairs # of FHHs CSA BoLSA # of landless FHHs # of FHHs who rented out land # of FHHs who use family labor # of women in self-help schemes by type # women in polygamous marriage # women under one spouse # of women in marital (land/property) disputes # of women solving disputes using legal means # of women using customary means 58

59 Youth (15-29) Children (<15) Elderly Occupational Minorities Tribal Minorities PCRs MoYS BoYS Youth Offices # of landless/unemployed youth by sex CSA BoLSA Labor and Social Affairs # youth in self-employment by sex and MoTI MoTI MSE Desk business type # youth in wage employment in agriculture # youth in wage employment in other sectors by type of employment # youth supported in organized group business by sex and type of business # youth engaged in self-initiated organized group business by type and sex # youth engaged in contract farming # of children with single parents by sex MoLSA BoLSA LSA # of complete orphans by sex MoWA BoWA WoA # of children with inherited land by sex CSA # of children engaged in paid works by sex and type of work # of child-headed households # of landless elders under family support by sex MoLSA BoLSA LSA # of landless elders with no family support by CSA sex # of elders with land >1ha by sex # of elders with land and without family labor # of elders renting/contracting-out land # of members of occupational minorities engaged in agriculture value chains by sex # of members of tribal minorities engaged in agriculture value chains by sex # of identified community PCRs by type MoCT BoCT CT Office # of protected community PCRs by type CSA # of endangered PCRs by type 7.12 Training and Information Needs at Woreda and Kebele Levels AGP should provide capacity building support in a broad range of gender, minority, social and vulnerability issues, but also insist that responsible institutions are staffed by people with relevant skills. Only then does it make sense to invest in trainings or provision of office equipment. The coordination between various units working with VSG issues is equally important. Measures Include a set of minimum criteria that have to be met before funds for sub-projects can be released covering minimum staffing requirements according to staffing plan are met, staff positions for social, environmental and PCRs are filled etc. Capture capacity gaps in regard to working with vulnerable groups and managing PCRs in comprehensive training needs assessment. Consider putting in place well-trained and equipped Social Development Agents at Kebele level. Design and implement a VSG capacity building strategy. 59

60 Institutionalise coordination between various AGP units and offices working with VSG issues. Design and implement a PCR capacity building strategy. Design an implement an initial awareness campaign and information dissemination strategy on social, environmental and PCR issues. Table 8: Potential Training and Information Dissemination Needs Details Relevant Woreda sector offices/das Kebele/community /Self-help group/ leaders Social assessments, baseline data collection T ID Relevant social and environment policies and safeguards IK IK WB safeguard policies IK, ID ID Impact analysis and mitigation measures T ID Monitoring and Evaluation T ID Legislatives/Directives on land rent/contract IK IK Dispute management T T Gender sensitization and mainstreaming T T Cross-sector planning and coordination T T HIV/AIDS mainstreaming T T AGP Sub-Project Screening, guidelines and process follow-up T, IK, ID T, IK, ID Need for PCRs, recording and labeling T IK T = Training, IK = Information Kit; ID= Information Dissemination 60

61 Annexes AGP Results Framework Development Objective PDO Indicators 15 Use of Outcome Information The development objective of the proposed AGP is to increase productivity in a sustainable manner, strengthen marketing and facilitate value addition of selected livestock and crop products in targeted areas with particular emphasis on the role of women and youth. Increase in (men / women; youthdisaggregated) productivity / intensity: % increase in crop productivity % increase in cropping intensity % increase in fodder production Increase in area under sustainable land management practices. Increase market proportion and value in crop, livestock and fishery products (men / women; youth-disaggregated): % of crops marketed % of livestock marketed Increased value addition share of (men / women; youthdisaggregated.) farmers engaging in on-farm post-harvest value-addition activities increase in the number of agribusiness enterprises operating in AGP Woredas Assess AGP effectiveness in increasing agricultural productivity of economically important crops and livestock. Assess AGP impact on improve agricultural sustainability and the environment Assess AGP effectiveness at improving marketing and access to market at national and international level. Assess AGP effectiveness at increasing value addition of selected agricultural supply chains. Intermediate Outcome for each Component. Outcome Indicators for Components Use of Outcome Monitoring Component 1 Community-level Production and Marketing Support Input supply increased Demand/Supply gap for the main inputs; Seeds (tons) Fertilizer (tons) Animal/fish ( number of breeding materials) Water (# of irrigated ha) 15 By the end of the implementation, increase is relative to the baseline in selected intervention areas. 61

62 Yield enhancing technologies adopted by farmers. Local 16 institutional capacity improved. Strengthening of cooperatives toward market orientation Supply and quality of agricultural services to farmers increased. Number of farmers adopting new practices or technologies (disaggregated by gender, youth) Number of Woreda level agriculture growth plans finalized, appraised and financed. Number of cooperatives with new market linkages. Number of cooperatives with a business plan; increased revenue from sales; commercially viable 17. Number of cooperatives engaged in new businesses. Number of farmers adopted improved production techniques (disaggregated by gender and youth). Number of livestock farmers adopted improved livestock management practices (gender/youth des.). Percent of farmers are satisfied with frequency / access to and quality of extension services (gender/youth des.) Percent Model Farmers and/ Livestock Farmers are providing extension services and/or knowledge sharing (gender/youth des.). Assess the capacity of local institutions and partners to support AGP implementation. Assess AGP effectiveness in strengthening cooperatives. Monitor the effective use of resources to enhance quality extension services supply and enhance knowledge sharing. Component 2: Rural Infrastructure Development Productivity and marketing enhancing investments in infrastructure realized and sustainably managed. Percent of productivity and marketing enhancing investments on infrastructure realized are technically sound and cost effectively produced. One year after the sub-project was completed, x percent of infrastructure financed are maintained and still operational. One year after the sub-project was completed x percent of beneficiaries are satisfied with the investment (disaggregated by gender and youth). Assess sub-projects relevance, the effectiveness of advisory services and implementation capacity of beneficiaries. 16 DAs, Woredas and local NGOs. 17 Having balance sheet indicating positive turnover trend. 62

63 Component 3: Agri-business Development Value Chains Strengthened Enterprise innovation fund realized and sustainably managed. Number of value-addition steps in key supply chains Number of farmers (disaggregated by gender and youth) accessing new marketing channels, including forward contracts. Number of innovative initiatives identified, approved and financed. Monitor the effectiveness use of resources to enhance enterprise innovation. 63

64 Examples of Main Activities by Components Examples of Activities under Sub-Component 1.1 Sub-sector Possible Interventions Production Related Technical Support (activities could be in support of existing extension activities and/or to support development of identified value chains in conjunction with the Agri-business and Market Support component discussed below) Livestock Pasture and forage development and forage reproductive material development Animal health posts and facilities Improvement of local breeds for meat and milk production Poultry production Milk production Bee keeping and honey production Homestead feeding and fattening Fisheries/aquaculture Aquaculture ponds constructed Fingerling production Cold storage Crops Participatory testing and demonstrations of (a) improved/new varieties and/or crops; and (b) improved cropping practices/systems Improved soil management and carbon sequestration Agro-forestry Tree nurseries Tree planting Demand-based Location Specific Technology Validation and Adaptation Capacity Building Empowerment/Training/skill development for Participating Communities, Government Functionaries at various levels, especially at Kebeles and Woredas, and other partners Integrated nutrient management Integrated pest management Improved on-farm water management practices Farmer managed on-farm technology validation Research/Extension managed technology adaptation trials (could be financed using the competitive research funds mechanism Technology shopping (could apply for introduction of high value crops varieties suing the methodology agreed under RCBP) Farmer-to-farmer extension program operational Training on process related and technical subjects through classroom courses, on the job-training, exposure visits, study tours, workshops etc. Knowledge sharing Documentation and dissemination of success stories and other experiences through electronic and print media aimed at different stakeholders Experience sharing visits Physical facilities for FTCs, Woreda and Zonal offices Office furniture, equipment, computers, motorcycles/cycles, others 64

65 AGP Monitoring Maps Field visit schedule Minutes from meetings Strategy/ with WB and AGP Task Force Approach Polygamy: Aggravating Poverty AGP Program Component Agriculture and Rural Development Development Objective Program Results M&E Interventions M&E Outcome M&E Inputs Financial resources Facilities Knowledge Technological Progress Market development Promotion of agribusiness Small scale irrigation development Capacity building etc Productivity growth Improved food & supplies Increased value addition Sustainable land management More efficient market Improved irrigation infrastructure M&E Impact Economic Environmental Social Working Cultural Process Monitoring Sub Project identification Design and cost estimation Project proposal approval Project implementation Project termination Formal handover Project scale up/expansion Base line survey 65

66 Consequences of Polygamy THE QUADRIPLE CONSEQUENCE OF POLYGAMY: POVERTY AGGRAVATING CHAIN Decreased labour productivity Increased Decrease Number of child orphans care Decrease income Increased Decrease poverty Youth crisis/ unemployment Decrease child care Increased Increase women mortality/ pressure to feed morbidity children Women aspiration for strategic needs diminished Women devt. Decreased prodn. Per HH Inc. number of High child HIV/AIDS carriers population Customary Practice POLYGAMY Land fragmentation Increases marital dispute Increased gender based violence Spousal battering/property grabbing Women forced to see woreda court for securing land entitlement & physical security Opportunity aborted Increased poverty burden Abandon claim over property Give up court cases when could not succeed Increased vulnerability to shocks Fragile HH Income deprivation Emotional & psycho - logical stress 66

67 Women of Occupational Minorities: Double Marginalization and Cyclical Poverty Trap The Case of Potters in Yem Special Woreda 67