OROMIA STATE UNIVERSITY

COLLEGE OF LAW AND GOVERNANCE

DEPARTMENT OF DEVELOPMENT MANAGEMENT

AN ASSESSMENT OF THE IMPACT OF URBAN EXPANSION FARMERS

AND LIVELIHOOD STRATEGIES OF DISPLACED PEOPLE: THE CASE
OF ADDIS ABABA, BOLE SUB-CITY ADMINISTRATION.
BY ASHENAFI DABA HIRPA

A PROPOSAL SUBMITTED TO THE SCHOOL OF GRADUATE STUDIES

OF OROMIA STATE UNIVERSITY IN PARTIAL FULFILLMENT OF
THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS IN
DEVELOPMENT MANAGEMENT.

ADVISOR: BEKELE LEMI (PH. D)

BURAYU, OROMIA, ETHIOPIA

DECEMBER, 2022
 OROMIA STATE UNIVERSITY

COLLAGE OF LAW AND GOVERNANCE

DEPARTMENT OF DEVELOPMENT MANAGEMENT

A PROPOSAL SUBMITTED TO THE SCHOOL OF GRADUATE STUDIES OF

OROMIA STATE UNIVERSITY IN PARTIAL FULFILLMENT OF THE
REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS IN DEVELOPMENT
MANAGEMENT.

Certificate

This is to certify that the thesis proposal prepared by Ashenafi Daba Hirpa “An Assessment of
The Impact of Urban Expansion Farmers and Livelihood Strategies of Displaced People’’
submitted in partial fulfillment of the requirements for the degree of master of arts of
Development Management complies with the regulation of the university and meets the accepted
standards with respect to originality and quality.

Name of candidate: Ashenafi Daba Hirpa Signature: __________________Date: ___________

Board of examiners:

Chairman of the Department___________sign__________________Date__________________

Graduate committee

Advisor___________________________sign___________________Date__________________

External examiner___________________sign__________________Date___________________

Internal examiner___________________sign___________________Date__________________

I
 OROMIA STATE UNIVERSITY

COLLAGE OF LAW AND GOVERNANCE

DEPARTMENT OF DEVELOPMENT MANAGEMENT

A PROPOSAL SUBMITTED TO THE SCHOOL OF GRADUATE STUDIES OF

OROMIA STATE UNIVERSITY IN PARTIAL FULFILLMENT OF THE
REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS IN DEVELOPMENT
MANAGEMENT.

Declaration

I, the undersigned, declare that the thesis proposal entitled “An Assessment of The Impact of
Urban Expansion Farmers and Livelihood Strategies of Displaced People” is my own work
and that the sources I had used are indicated and acknowledged in the bibliography. The proposal
was done with strict supervision of my advisor Bekele Lemi (PhD. candidate)

Date Name of candidate signature

_____________ Ashenafi Daba _________________

II
 Table of contents

Certificate___________________________________________________________________I
Declaration__________________________________________________________________II
Table of Contents____________________________________________________________III
List of Tables________________________________________________________________IV
List of Figures_______________________________________________________________VI
Acronyms__________________________________________________________________VII
Abstract___________________________________________________________________VIII

CHAPTER ONE: INTRODUCTION__________________________________1

1.1. Background of the Study____________________________________________________1
1.2. Statement of the problem___________________________________________________ 2
1.3. Research Questions________________________________________________________ 3
1.4. Objectives of the Study _____________________________________________________3
1.4.1. General Objective_________________________________________________________3
1.4.2. Specific Objectives_______________________________________________________ _3
1.5. Significance of the Study____________________________________________________3
1.6. Scope of the Study_________________________________________________________3
1.7. Limitations of the Study____________________________________________________4
1.8. Organization of the Study___________________________________________________4

CHAPTER TWO: LITERATURE REVIEW___________________________5

2.1. Conceptual definition and Theoretical Framework______________________________5
2.1.1. Key words and Conceptual Definitions________________________________________5
2.1.2. Theoretical Framework__________________________________________________ _6
2.1.2.1. Theories of Urban Expansion and Growth___________________________________
6
2.1.2.2. Impacts of Urban Expansion_____________________________________________
_8

III
2.1.2.3. Consequence of Urban
Expansion_________________________________________13
2.1.2.4. Urbanization in Africa__________________________________________________ 15
2.1.2.5. Urbanization in Ethiopian______________________________________________ _15
2.2. Research Gap____________________________________________________________18
2.3. Empirical Studies_______________________________________________________ _ 19
2.3.1. Current Government Policy and Guidelines for Urban Redevelopment_____________19
2.3.2. Livelihood Strategies under Constitutional and Legal Frameworks in Ethiopia______21
2.4. Conceptual Framework____________________________________________________23

CHAPTER THREE: RESEARCH METHODOLOGY__________________25

3.1 Description of the Study Area_______________________________________________ 25
3.2 Research Design_________________________________________________________ _26
3.3. Target Population________________________________________________________ 26
3.4. Sample size____________________________________________________________ __27
3.5. Data Sources_____________________________________________________________28
3.6. Data Collection Instruments________________________________________________28
3.6.1. Document
Review________________________________________________________29
3.6.2. Household Survey_______________________________________________________ 29
3.6.3. Participatory
Approach___________________________________________________29
3.7. Method of Data Analysis___________________________________________________30
3.8. Ethical Considerations____________________________________________________ 30
3.9. WORK PLAN AND BUDGET BREAKDOWN________________________________31
3.9.1. Work plan______________________________________________________________31

3.9.2. Budget breakdown______________________________________________________ 32

References__________________________________________________________________ 33
Appendeces__________________________________________________________________ 1

IV
 List of Tables

Table3.1. Sample distribution and the target population in the study area_________________ 28
Table3.2. Developed by the researcher____________________________________________ 31
Table3.3. Researcher Own Construction___________________________________________ 32

V
 List of Figures

Figure 2.1. Trends of urban land areas increase in Addis

Ababa__________________________19 Figure2.2. Conceptual
Framework________________________________________________24 Figure 3.1. The map
of Addis Ababa indicating the sub-cities ___________________________26

VI
 Acronyms

AACA Addis Ababa City Administration

CLA County Landowners Association

CPRE Council for the protection for Rural England

CRC Convention on Right of Children

CSA Central Statics Authority

DFID Department for International Development

ICESCR International Convention on Economic Social and Cultural Rights

IHDP Integrated Housing Development Project
GIS Geographical Information System
ORAAMP Office for the Revision of the Addis Ababa Master Plan
NFU National Farmers Union
SPSS Statistical Package for Social Scientists

VII
 Abstract

Bole Sub-City has been one of the main expansions and industrial areas in Addis Ababa for the
last 40 years. Major factors that contribute for the expansion are availability of high industrial
areas, proximity to market, and its accessibility to various types of infrastructures such as the
road and Bole International Air Lines, However, the expansion of the city has been done at the
expense of avoiding agricultural and green lands. This study will have been done at peri-urban
area of Bole sub-City to analyze the implication on the farming communities and residents due
to the expansion being made in the Sub-City. To do so, a primary data from a sample of 135
households will have been taken who had been displaced from their land due to the city
expansion program. In addition, secondary data from various sources will be also taken to see
its impact in a broader sense. The primary data collected will have been processed and
analyzed, the results will be checked as the expansion has been done by the Addis Ababa city
Administration for the last few years during its expansion period resulted in the shortage of
agricultural land, ownership of land insecurity and losses of assets. Most often, Accessibility of
infrastructures, market finances and off-farm opportunities are obtained as a result of being
close to urban centers. But this may not fully hold true for farmers and residents living in the
peri-urban areas of Bole Sub-City. This could be mainly due to shortage of land size and lack of
economic options that could absorb them. In addition, this study will assess as rehabilitation
mechanisms used by the city municipality, mainly an arrangement of cash compensation for
evicted people, was found to be inadequate to replace the resource base, which is land. Which
may be resulted for most of the families to be exposed to further economic, social and cultural
impoverishment. Thus, the urban expansion, that was carried out in this manner had brought a
significant negative impact on evicted farmers and displaced people. Therefore, to ensure
sustainable city development, the Addis Ababa Administration should make sound planning
prior to displacing farmers and people living on the border of the urban areas to avoid its
negative effects on their lives. These include: arranging appropriate compensation packages and
implementing the existing rehabilitation platform.

VIII
Keywords: urban expansion, peri-urban, socio-economic impact, displacement

IX
 CHAPTER ONE: INTRODUCTION
This chapter will present a general background of the study, objective of the study as well as
statement of the problem. The chapter further will describe the scope of the study, significance of
the study and organization of the study.
1.1. Background of the Study

Urban expansion is synonymous with urban sprawl, to connote the extension of urban settlement
to the surrounding area whose function is nonagricultural. Urban expansion is a common
phenomenon in both developed and developing countries. Urban expansion in many developing
countries is taking place through the inclusion of nearby rural villages and is competing against
the major productive asset (farmland) of the subsistence farm households in these villages
(Mattingly, 2009). This form of urbanization affects the production and livelihood patterns of the
farm households in those areas. In fact, some studies indicate that the poor are likely to become
more vulnerable and marginalized as a result of urban expansion (Mattingly, 2009).

Urbanization is the process of urban expansion may involve both horizontal and vertical
expansion of the physical structure of urban areas. Similarly, the urbanization process of Addis
Ababa and its horizontal expansion resulted in negative impacts. Even though urbanization
brought some opportunities in the area, it also has posed several negative impacts by not only
consuming farming lands but also disturbing the lives of the farmers and peoples through
dislocation.

Urbanization in Ethiopia faces a number of problems due to sometimes unplanned settlement and
slums which characterize some of the larger cities of the country. In Ethiopia, Addis Ababa has
this character due to the historical background of its establishment. i.e. lack of the proper
planning at the initial point. The settlement pattern practiced in the city was scrambling the
conquered land to the feudal chiefs, and garrison of the king following the military hierarchy.
This traditional feudal settlement of land holding was practiced over the extended forest and
agricultural land around the outskirts of Addis Ababa. The chiefs, Dejazmaches and Rases, were
given large forest and farmland around the royal area and they in turn divided these into plots to
their immediate subordinates to settle in the feudal manner and built their own houses on their
holdings at the fringes of Addis Ababa. Thus, under this circumstance, the hinterlands of Addis

1
Ababa were occupied in the past by evicting the lands of peasants until the Dereg nationalize
(Feyera, 2005).

Currently, Addis Ababa city holds 54,000 hectare it divides into 10 administrative sub-cities.
Four central sub-cities comprise the oldest portions of the city. The four central sub-cities are
Addis Ketema, Arada, Kirkos, and Lideta occupy only 8 %(4,320hactar) of the city’s total area.
Seven significantly larger peri urban sub-cities surround these central sub-cities. The outlying
sub cities are Akaki Kality, Bole, Kolfe Keranio, Gulele, Nifas Silk Lafto and Yeka collectively
hold 92% of the total area (49,800 ha) of the city. Separating the four central sub-cities from the
seven surrounding sub-cities highlights changes between the older and newer parts of the city. In
Addis Ababa, urban planning and land development are the responsibilities of the City
Administration. Twenty-five percent of the city’s budget is spent to preparing and servicing land
for development.

1.2. Statement of the problem

Urban expansion is one of the basic problems that affect the living standard and food security of
many agrarian economy peoples in developing countries. This invasion process leads to the loss
of agricultural farm lands, grazing land, bare land and reduction of crops/food productivity
(Fekadu, 2015).

Displacement due to urban expansion is more significant in the developing countries than the
developed countries because the majority of the people in developing countries live highly
concentrated in the periphery depending on agriculture with fragmented land holdings. This is
particularly so in developing countries like Ethiopia where land remains public or government's
property and amount of compensation paid, in case of possible displacement, depends on
government decision. As result of this, the life of such groups is still endangering. Many
researchers have given a baseline for new research work. However, they are focused only on
livelihood of the dislocated farmers. There is no study that characterizes on the socio-economic
impact of Addis Ababa city expansion and its impact on dislocating farming household’s and
displaced people’s income and assets loss, social and cultural loss, and food insecurity and the
cause of conflict in area in the integral manner.

2
 1.3. Research Questions

The following basic questions will be raised and treated in this research. They are:

1. Does urban expansion of Addis Ababa city affect the livelihoods assets of farmers and
residents in the peri-urban area of Bole sub city?
2. What effective rehabilitation strategy is implemented to support the farming
communities and displaced people during the city’s expansion?
3. Are the affected farmers and displaced people accept a given compensation program?
4. How evicted farmers and displaced people participate on implemented urban
expansions development programs to solve their problems?
1.4. Objectives of the Study

1.4.1. General Objective

The general objective of this study will aim to assess the impact of urban expansion on farmers
and livelihood strategies of displaced people in Addis Ababa, Bole sub city.

1.4.2. Specific Objectives

1. To identify the impact of Addis Ababa city expansion on farmers’ and people’s
livelihood in the peri-urban area of Bole sub city.
2. To find the rehabilitation strategies to support the farming community and
displaced people during the city expansion.
3. To assess the acceptances of a given compensation program by evicted farming
communities and displaced people.
4. To assess the participation of farmers and displaced people in implemented urban
expansions development programs.

1.5. Significance of the Study

Research is a deliberate study for the purpose of increasing understanding or adding to

Knowledge. This research will have been valuable and could be used as an input for different
Parties including the researcher of this study. Becoming a successful researcher is a continual
learning process in which we all make mistakes (Dawson, 2007), so in undertaking this study the

3
researcher of this study will gain valuable skills and techniques which can be employed in other
scientific researches.

1.6. Scope of the Study

The study will be focused on Bole sub city expansion impact and livelihood strategies of affected
farmers and displaced people in the area. The thematic scope of this research mainly focuses on
investigation of urban expansion impacts on farmers at peripheral area and the livelihood
strategies of the peri-urban farming communities and displaced people in Addis Ababa in the
case of Bole sub city. Scope of the study will cover Bole sub city expansion area of Addis Ababa
city and specifically, this study will be conducted in peri-urban areas of Bole sub city in case of
three extremely large neighborhoods expansion wereda’s that is wereda 10, wereda 11 and
wereda 12.
1.7. Limitations of the Study
The study will be based largely on 135 household heads who were dislocated and those who
obtained compensation in cash and housing plot. Therefore, the selected sample household
heads may not adequately represent the characteristics of all affected farmers and displaced
people by the urban expansion. In particular, those household heads who did not possess
housing plot will not represented in the study. In addition, detail information on household
material possession and utilization of incomes will not be covered by the study to make
comparison of their previous and present possession possible and also the study has limited in
the relocate farmers and the resettled community in Bole sub city.

1.8. Organization of the Study

The study will be organized into five chapters. The first Chapter is the introductory part which
deals with background of the study, statement of the problems, objectives of the study, basic
research questions, significance of the study, scope of the study and limitation of the study.
Chapter two will be committed to the review of the related literature to lay down the
theoretical foundation of the study. The third chapter will consist of the research design and
methodology. This chapter will describe source of data, instrument of data collection,
document review and techniques of data analysis. Chapter four will deal with the presentation,

4
 analysis and interpretation of data. Finally, the last chapter will present summary of the major
finding, conclusions and recommendations

CHAPTER TWO: LITERATURE REVIEW

This chapter is all about different literatures pertained to the study. Hence, the key words and
concepts definitions, theories of urban expansion and growth, causes of urban expansion, trends
of urban expansion, impacts of urban expansion on farmers and people of urban peripheries,
legal and constitutional provisions impact and compensations strategies to expropriation,
theoretical and conceptual frameworks all will have been intensively discussed turn by turn.
2.1. Conceptual definition and Theoretical Framework
2.1.1. Key words and Conceptual Definitions
1. Agricultural community: refers to that community whose economic base and livelihood
sources are directly based on farming or /and raring of animals under traditional production,
distribution and consumption patterns.
2. Compensation: according to Proclamation # 455/2005, compensation is a means of payment for the
property that is expropriated by the respective executing body of government both either in cash or kind.
The process of compensating for the evicted house hold should include all forms of asset ownership or
use right among the affected population and provided a detailed strategy for partial or complete loss of
assets.
3. Expropriation: means the action of government taking away a private property from its
owner with legal authority (Proclamation #455/2005). The key element or condition the
accessibility of expropriation is the purpose of taking over private property. The basic criteria
justifying admissibility of expropriation has been and still is the public purpose and public
interest (Proclamation, #455/2005, Muluken, 2009).
4. Financial capital: Consists of stocks of money or other savings in liquid form. In this study
context, it includes not only financial assets but also it does easily disposable assets such as

5
livestock, which in other senses may be considered as natural capital. It includes income levels,
variability over time, and distribution within society of financial savings, access to credit, and
debt levels.

5. Horizontal urban expansion: it is synonymous with urban sprawl, the expansion of the
attentiveness of people or urban settlement to bordering and surrounding areas whose functions
and settlements were not similar with urban ones.

6. Human capital: is constituted by the quantity and quality of labor available. At household
level, therefore, it is determined by household size, but also by education, nutrition, skills,
capacity and health of household members.

7. Livelihood: A livelihood is sustainable when it can cope with and recover from stresses and
shocks and maintain or enhance its capabilities and assets both now and in the future, while not
undermining the natural resource bases (Chambers and Conway,1992, pp.9).

8. Natural capital: consists of land, water and biological resources such as trees, pasture and
biodiversity.

9. Physical capital: Is that created by economic production. It includes infrastructure such as

roads, irrigation works, electricity, reticulated equipment and housing.

10. Social capital: Any assets such as rights or claims that are derived from membership of a
group. This includes the ability to call on friends or kin for help in times of need, support from
trade or professional associations (e.g. framers associations) and political claims on chiefs or
politicians to aid. In one way or in another the social capital is a function of power a given
individual or group assumes and a kind and a level of the relationship that exists in a given
societal structure.

11. Socio-economic Strategies: -Copying mechanism, as also known as, Comprise the range
and combination of activities and choices that people undertake in order to achieve their
livelihood goals. They have to be understood as a dynamic process in which people combine
activities to meet their various needs at different times and on different geographical or
economical levels, whereas they may even differ within a household. Their direct dependence on
asset status and transforming structures and processes becomes clear through the position they

6
occupy within the framework. A changing asset status may further or hinder other strategies
depending on the policies and institutions at work.

2.1.2. Theoretical Framework

2.1.2.1. Theories of Urban Expansion and Growth

As Clark (1996) in urban area, as of economic benefits primacy theory, there are the
agglomeration of different economic activities and economies of scale resulting from it. Hence,
to improve economic benefits of production, people move to urban area from rural areas and/or
even one urban areas to another, rural- urban migration and urban-urban migration. This
increment on urban population stimulates urban latexes to grow towards peripheral areas. The
urban social production theory on the other hand argues that, urban is more congested and
congregate, and even much denser than rural and peripheral regions. Still, the area has higher
pulling power of attracting people in to it. This pulling force of urban areas is however the result
of continuous social interaction and internet work which resulted finally in to the congregation of
large people at smaller unit of land than rural regions.

As sited by Muluken (2009, pp. 13) in history of urban evolution, cites began to exist for many
reasons such as defense, trades, political or religious centers. Whatsoever the reason, economic
force is likely to reinforce the original impulse (Harvey and Juwsy ,2004). With industrialization,
which induced more intensive use of existing buildings, change in the pattern of uses and out
ward expansion in the peripheral areas is inevitable (Hall, 2002).

Urbanization is closely linked with modernization, industrialization, and sociological process of

decision making. Most of the rapid urban sprawl in developing nations is due to rural-urban
migration (Free encyclopedia-2022).

According to UN state report of the world population (2007), urbanization occurs naturally from
individual and corporate efforts to reduce time and expense in community and transportation
while improving opportunities of jobs, educations, and housing and transportation statuses.

However, major contributing factor is “rural flight”. In rural areas, often on small farms, it is
difficult to improve one’s standard of living beyond basic subsistence’s [particularly in
developing countries case where rate of population growth outpaces resource production rate].

7
To such communities, their farm is very much dependent on unpredictable conditions such as
drought flood and pestilences. Hence, people make decision to migrate to urban areas “rural
flight”. This then contributes to urban pressure towards peri-urban lands.

National wise, according to Tagegne (2001) two most important actors leading urban expansion
are in-migration (both rural-urban migration and urban-urban migration) and natural population
increase.

According to the UN state of the world population report (2007), sometime in the middle of
2007, the majority of people worldwide will be living in towns or cities for the first time in
history. This is referred to as the “arrival of urban millennium” or the “tripping point” as
depicted here below.

With regard to trends, it is estimated that 93% of urban growth will occur in developing nations
with 80% of urban growth occurring in Asia and Africa. Through this process of development,
the report state that, from what it was 30% in 1950s, urban population will be 70% by 2050,
globally. Reversely, the rural population becomes 30% by 2050 from what it was 70% in 1950.

Particularly, currently African average level of urbanization is 34% while the Ethiopia’s is 18%
which is even very low in Africa. Different studies have projected that the proportion of urban
population in Ethiopia will reach 23% by the year 2030 (CSA, 1994 and MEDAC, 2002). On the
other hand, Ethiopia’s urbanization rate is one of the highest in Africa. The average annual rate
of growth from1960-1991 was 4.8 percent and this figure grew to 5.8 percent per-annum
from1991-2000. This rate of growth puts Ethiopia among the 23 rapidly urbanizing counters of
the world Tegegne (2001).

2.1.2.2. Impacts of Urban Expansion

Urban expansion may involve both horizontal and vertical types of the expansion. The former
refers to the extension of the Physical structure of the urban areas. Such process of urban
expansion is a worldwide phenomenon which can be seen in the history of all urban centers as to
results in the loss of range posture and agricultural lands and natural beauties (Minwuyelet,
2004).

8
Urbanization and urban growth are considered as a modern way of life and centers of varieties of
human opportunities which all can highly contribute to socio-economic growth and
development. However, as Tegegne (2000, pp.1) argues, horizontal expansion of urban areas in
Ethiopia causes are number of socio-economic problems including tenure right violation. As to
Eyob (2010), urban expansion in Ethiopia impedes the livelihood elements and strategies of peri-
urban farmers’ and hence leads them in to vulnerability compounded from trends, shocks and/ or
their combination in a given context. From these scholar findings, we can generalize that, while
well planned and managed urban expansion may enhance the common benefits of stakeholders,
otherwise, the process leads to high negative externalities particularly to those peri-urban
farmers and people by affecting their livelihood portfolios and strategies.

Hence, whether negative or/and positive it is, urban horizontal expansion obviously has impact
on natural, social, human, physical and financial assets (Socio-economic) of the peri-urban
community as Cemea (1997) discusses. The world reached a turning point in 2008, for the first
time in history that more than half of its human population, 3.3 billion people live in urban areas.
Such rapid urban expansion is particularly notable in Africa and Asia where the urban population
will double between 2000 and 2010. By 2030, the towns and cities of developing countries will
make up 81 percent of urban humanity (UN habitat, 2010). While cities command an
increasingly dominant role in the global economy as centers of both production and
consumption, rapid urban growth throughout the developing world is seriously outstripping the
capacity of most cities to provide adequate services for their citizens. Over the next 30 years,
virtually all of the world’s population growth is expected to be concentrated in urban areas in the
developing world Cohen (2006). This growth has a major implication in land use pattern, energy
and water consumption as well as livelihood aspects in household consumption and inequality
(GEC, 2009).

The concept of urbanization can be viewed and perceived to mean a lot of thing by different
peoples. Most commonly it can be viewed as characteristics of social and economic progress and
interaction affecting both population and land use. For instance, physical scientists particularly
ecologists define urbanization from stand point of the built-up environment (Haregewoin, 2005).
Hence, urbanization has powerful social and physical transformation force throughout the world.

9
It became the driving force for settlement change in periphery area. Urban growth is basically a
combination of three basic processes.

First is rural-urban migration: it is a key source of urban growth since the origin of cities.
Rural-Urban migration is driven from perceived economic opportunities, insecurity in rural
areas, climate or economic problems, etc.

Second is Natural increase: this is a combination of increased fertility and decreased mortality
rate.

Third is Re-classification of land from rural to urban categories: Many cities are rapidly
growing into their fringe, engulfing former villages and farm lands and transforming them into
urban development (Redman and Jones, 2004). The rate of natural increase is generally slightly
lower in urban than in rural areas. However, the principal reason for raising the level of
urbanization and city growth are rural-urban migration, geographical expansion of urban areas
through annexation and transformation and reclassification of rural village into small urban
settlements (Cohen, 2006). On the other hand, the expansion of metropolitan periphery can be
caused both by arrival of new migrants and by suburbanization of middle class out of central
city. The relative importance of each of various causes of urbanization and sub-urbanization
varies both within and between different regions and countries (ibid).

If well managed, city offer important opportunities for economic and social development. They
are centers of economic growth, innovation, and employment. Cities provide large efficiency
benefits, which result in unprecedented gain in productivity and competitiveness. They are the
center of knowledge, innovation and specialization of production and services. High
concentrations of peoples in cities generate more opportunities for interaction and
communication, promotes creative thinking, creates knowledge spillovers and develops new idea
and technologies (UNHABITAT, 2008). Nevertheless, as cities grow, managing them becomes
increasingly complex. Particularly, the speed and sheer of scale of urban transformation in
developing countries presents formidable challenges on surrounding environment, natural
resources, health conditions, social cohesion and individual right (Cohen,2006).

The degree as well as type of urbanization in developed and developing countries are contrast
sharply. Rapid urbanization is being observed in less developed countries resulted in out ward

10
expansion of urban centers toward the countryside; a phenomenon usually referred to as urban
sprawl. This phenomenon occurred at the expense of prime agricultural land (Ermias, 2009).

Unlike the developed world where urbanization process trigged by industrialization, the
urbanization process in developing countries is characterized by demographic changes such as
rapid natural population growth and rural-urban migration, which in turn stimulate by urban
growth. Poor African countries are not often capable of managing rapid urban growth. Planning,
land allocation, infrastructure and service are inadequate to cope up such situation. As a result,
an increasing part of urban population lives in unplanned, often illegal, shanty-towns with
limited access to basic needs and with environmental condition that threaten health (UN
HABITAT, 2010).

Ethiopia is characterized by low level of urbanization even by African standard, where only 16%
of populations live in urban area. Despite this, it has recorded a relatively high growth rate of
urban population (4% annually), double that of rural areas (Teller and Assefa, 2010). The growth
of cities presents enormous challenges as well as opportunities for the nation. With little or no
industry and manufacturing in rural areas, urban centers are the main areas for non-agricultural
production in Ethiopia. However, urban centers in Ethiopia are characterized by massive housing
problem around 70-90% of urban population are living in sub-standard housing, low economic
activities, growing population, inadequate upgrading, etc. To reduce the problem the government
has implemented the project, Integrated Housing Development Programmed (IHDP) where
houses are constructed by low cost for medium and low-income groups. The goal is to reduce the
proportion of slum-dwellers by 50% by 2030 (UN habitat, 2008).

Rapid urbanization process is demanding a transformation of land use in surrounding rural area
to cater the needs of urban areas (DFID, 2000). Land is the primary asset that can be affected by
intense pressures of land conversion process in peri-urban areas. Changes in land use from rural
to urban activities affects the physical form of environment as well as economic and social
features of peri-urban interface (DFID 1999).

The agricultural land is an important source of new land for industry and service sectors. In most
cases, particularly in developing countries, some negative consequences that come with land
conversion and displacement is not critically considered. Yet, it can have adverse effects on

11
displaced households in terms of livelihood disruption, and social and cultural consequences
(Phuong, 2009).

Administration body of developing countries cities expropriates peasant agricultural land by

appropriation of minimum compensation. The compensation given for land and removed asset is
not valued based up on the market value. That means in most developing countries, the
compensation given is valued based on the legal price called “state price‟ in that the price is
fixed by the government body which resulted very low compensation (Phuong, 2009). On the
other hand, the money received as compensation spends quickly on unplanned expenditure and
unproductive goods such as consumer able goods (Fayera, 2005). Moreover, lack of education
and skill training prohibit them to obtain non- agricultural jobs especially middle age and older
people. In sum, loss of land is equivalent to loss of livelihood (Phuong, 2009)

Basically, poor people living in peri-urban interface develop multi-stranded, risk reducing
livelihood Portfolio that enables them to cope with the changes within interface. However,
factors such as lack of education, skills and means to access credit facilities to start new income
generating activities limit the poor in peri-urban interface. Therefore, the poor usually engage in
low paid casual employment, petty trading and other low return activities (DFID, 2008).

Research finding on peri-urban Nyhururu, Kenya indicated that agriculture is still one of the
predominant economic sectors in the area although its economic significance is declining.

According to this finding, the reason for declining economic importance of agriculture sector is
due to (1) reduction of agricultural land holding size (2) low returns from investments in
agriculture mainly due to declining per unit area and high cost of agricultural input coupled with
low market prices for the output. In this area due to sale of part of the household land to new
developers and land bequests, land available for agriculture has declined rapidly (Mandere et al.,
2010).

Due to the decline in economic conditions of agriculture, farming community are not solely
based their livelihood on subsistence agriculture. Hence, many farm families have sought
alternative pathway of farm development. One alternative pathway is diversification of
agricultural production such as adopting new types of crops/ livestock and increasing focus on
quality products in response to market demand as survival strategy (short food supply chain)

12
(Busck et alt., 2006). In addition, farmers have shifted from traditional extensive agriculture
towards more intensive agricultural farm practice (Mandere et al., 2010).

However, majority of farmers on area lack sufficient land and resources to purchase all the
production input necessary in order to effectively exploit the possibilities offered by the
proximity to urban markets. In most cases, the process of land conversion plays a key role in
transfer of resources (land and financial) from poorer farmer to the richer groups such as larger
farmer, developer, speculator, and other people (DFDI, 2009).

Hence, urbanization disproportionately affects the livelihood of poor people by diminishing the
natural resources available to them. The rapid conversion of land for non-agricultural purpose is
threatening the dominant agricultural activities that are the main source of livelihood for people
who reside in the peri-urban areas (Ampong et al., 2005).

However, planned and sustainable peri-urban development comes up with various opportunities
which enhance to reduce poverty. Due to expansion of the business and market centers,
infrastructure such as electricity, roads, telephone services, new schools and health centers are
easily access by local people (Mandere et al., 2010). These all created new employment
opportunities and thereby increase immigration to the city. Particularly, road is the main factors
that increase the probability for peri-urban community to engage in business and thereby
increase the possibility to increase their income. However, the socio-economic opportunities
available on peri-urban areas are determined and depend on the level the type of developers
involved and their initiatives. Hence, the processes of peri-urban development that accomplish a
reduction in poverty for household in turn depend on the level of infrastructure and availability
of high productive jobs opportunity. This in turn depends on the government policy and private
developers who will be attracted to the region (ibid).

2.1.2.3. Consequence of Urban Expansion

Urban expansion causes displacement, dislocation and segregation that result in social fabrics
disorder. People in the extended urban areas “live still partly rural and where many of the
residents live in the country but are not socially and economically of it” (Carter, 1995, pp. 303).

13
They usually do not participate in the planning and design of resettlement and dislocation
options as well as the distribution of associated costs or benefits.

Since social infrastructure is concentrated in the center, people in the extended area rely on
proximity to facilities. This involves long commute for work, market and other basic social
needs. Low-income households will continue to live in such sever social constraints in the
periphery. There is also a possibility of isolation from the city development and sandwiched
between the rich creating class difference. This began to accelerate the migration of the
disadvantaged groups particularly the farming community who already inhabited the area. Even
urban rich or middle-class incomers whose income permits to commute perhaps many could be
attracted to the liveliness and benefits of the facilities in the center. Thus, the community in the
periphery could face problems of survival strategies, solidarity network, and systems of power to
which the social and economic activities are linked to their original location (Mejia, 1999,
pp.183).

In many of the developing countries urban expansion is at the expense of productive and fertile
agricultural farmland and forest. Thengvel and Sachithanandan (1998, pp.89) discussed the cases
of Madras Metropolitan Area of India; the residential area that was 3,318 hectares in 1964
increased by three-fold and became 20,747 hectares in 1991. Egypt lost more than 10 percent of
the countries productive farmland to extended urban settlement (Hardoy et. al, 2001, cited by
Minwuyelet 2004, pp.18).

On the other hand, urban expansion is not accompanied by environmental protection system.
Urban waste relies on open canals, open drains in the road side and holes in the ground as
regular means of waste disposal particularly in expansion areas. This exposes the dwellers to
sanitation related disease and air pollution. In addition to the farmland, environmental resources
such as clean air and water, peace and quiet, access to the countryside and recreational facilities
are environmental values that the rural farming communities loose due to urban expansion in the
periphery (Balchin et al., 1995, pp. 189).

There are environmental pressure groups to fight such expansion of cities to the periphery in
developed countries. For example, in England there are national pressure groups like the Council
for the Protection of Rural England (CPRE), the County Landowners Association (CLA) or

14
National Farmers’ Union (NFU) that seek to protect the farmland against urban encroachment
(Herington, 1989, pp.37). In developing countries such social groups are rarely found. Hence,
the loss of farmland and forestland with its ecosystem for urban use is free and fast.

The central aim of the paper will assess the impact that this legal urban expansion has on
livelihood of the dislocated farming community and displaced people. In other words, the paper
will deal with the survival strategies that are composed different activities practiced by the
dislocated farming communities and displaced people to come up with to the change in the mode
of life. The livelihood approach adopted by the dislocated farming community and displaced
people in urban settlement is not dependable and is largely based on casual subsistence activity
that heavily relied on agriculture. Agricultural opportunity is getting narrower and narrower than
before because of rapid urban expansion into the periphery for the purpose of urban residential
settlement. Compensation in cash for the land, assets, and provision of housing building plot not
more than 500sqm.

2.1.2.4. Urbanization in Africa

In Africa, most people move into the urban areas because they are pushed out by factors such as
poverty, environmental degradation, religious strife, political persecution, food insecurity and
lack of basic infrastructure and services in the rural areas or because they are pulled into the
urban areas by the advantages and opportunities of the city including education, electricity, water
etc. Even though in many African countries the urban areas offer few jobs for the youth, they are
often attracted there by the amenities of urban life (Tarver, 1996).

The urban population in Ethiopia is increasing rapidly. Estimated at only 17.3 percent in 2012,
Ethiopians urban population share is one of the lowest in the world, well below the Sub-Saharan
Africa average of 37 percent. But this is set to change dramatically. According to official figures
from the Ethiopian Central Statistics Agency, the urban population is projected to nearly triple
from 15.2 million in 2012 to 42.3 million in 2037, growing at 3.8 percent a year. Analysis for
this report indicates that the rate of urbanization will be even faster, at about 5.4 percent a year.
That would mean a tripling of the urban population even earlier by 2034, with 30 percent of the
country’s people in urban areas by 2028 (World Bank, Ethiopia Economic Update II (2013).

15
 2.1.2.5. Urbanization in Ethiopian

Urbanization and urban growth are considered as a modem way of life manifesting economic
growth and development. However, urbanization and urban development in Ethiopia faces a
number of socio-economic problems due to its fast pace (Tegenge, 2000, pp.1). Ethiopia has
long-term experience in urban settlement like Aksume, Lalibeia and Gondar. However, there
was no fixed capital until Menelik II occupied the southern pails of the country and settled at
Fifinne, which latter named it Addis Ababa.

Unplanned settlement and slums characterize Addis Ababa, the capital city of Ethiopia
(Tegenge, 2000, pp.1). This character is highly correlated to the historical background of its
establishment. The settlement pattern practiced was parceling the conquered land to the feudal
chiefs, and garrison of the king following the military hierarchy. This traditional feudal
settlement of land holding was practiced over the extended forest and agricultural land. The
chiefs, Dejazmaches and Rases, were given large forest and farmland around the royal area and
they in turn divided these into plots to their immediate subordinates to settle in the traditional
feudal manner and built their own houses on their extended holdings (Pankhurst,1962, pp.32).

Foreign experts prepared Master Plan for Addis Ababa during the Italian occupation (1935,
pp.1941) though it was not put into effect, However, the Italians extended the settlement pattern
and left their marks (Horvath, 1966, pp.45). Until 1952, there was an increased number of
population growth in the city that may be due to change in the economic base created during
Italian occupation (Solomon, 1986, pp.38). After liberation, land was given to royals while the
farmers became tenants and large areas of urban land have been also allocated to the nobility and
the churches. In early 1960s the church owned "12 percent" of the cities or "212 square
kilometer" (Pankhurst, 1962, pp.52).

The church took not only large areas of urban land but also dominant site of the central land. An
unplanned and scattered growth pattern of the city was created because of this unbalanced and
unplanned distribution of land. From 1952-1961 the population growth of the city decreased
most probably because of the increase of other emerging urban centers in the country (Solomon,
1985, pp.39). Since the late 1960s, Addis Ababa being the seat for the administration of the
country, head office of Organization of African Unity (OAU), branch offices of the United
Nations, head office of the United Nation Economic Commission for Africa (UNECA), and

16
diplomatic machines and residence had increased in population and physical area. In addition to
its natural increase. Addis Ababa has a primate city character with in migration from all regions
that added up its population growth. Administrative reclassification of rural areas in the
periphery to urban settlement extended urban settlement adding to its physical growth. The
combined effects of these factors have brought a significant effect on urbanization and expansion
of Addis Ababa (Bekure, 1999, pp. 16).

After the 1974 Ethiopian revolution, the Derg nationalized urban land and extra houses and
transferred them to a public property. Their management was put under central economic
system. The administration and social changes that the Derg introduced had brought significant
change on the utilization of urban land. No land was provided legally to individuals for any kind
of construction, for the improvement of the city or residence. Inner city became densely
populated with no improvement in house provision to meet the increasing demand. Latter
squatter settlement and illegal land transaction intensified in the peripheries leading to the
extension of Addis Ababa, to the periphery.

After the overthrow of the Derg regime in 1991, the Transitional Government of Ethiopia
introduced free market economy and recognized the problems Addis Ababa is facing in its
horizontal growth. It was agreed to limit its expansion to the place where it was before 1991 and
to give due attention to its vertical growth. This was not, however, practiced because of the
following reasons as indicated ill the City Government's five years development strategic plan
1997-2001. Vertical growth poses problems to bring change in urban development since the
majority of the Addis Ababa city dwellers are poor to develop the city and cannot afford to
construct high-rise dwellings; Private investors are attracted to Addis Ababa and nearby area as a
potential area for investment because of its accessibility to market/export and its relatively
developed infrastructure; The required development plan of action in renewing the city requires
space for resettlement area in the periphery; and Addis Ababa became a chartered city with
autonomous administration that need to cover its cost from the income generated from the
dwellers through extending private investment and creating work opportunity that requires vast
space.

The Federal Democratic Republic Government of Ethiopia has considered the urban space as an
important element in the overall strategy of the development of the city. The Addis Ababa City

17
Government Charter proclamation number 82/1997 was revised and replaced by proclamation
number 361/2003 that gave full autonomy to the City Administration. This proclamation was
meant to empower the Addis Ababa City Administration (AACA) to make the city a suitable
urban space for work and residence fulfilling modem standards, maximizing the achievements of
its development objectives and coping with time through self-renewal.

Accordingly, the Addis Ababa City Administration put long and short-term plans to alleviate
inner city problems and to work on inner city renewal in line with free market economic policy
by creating open space for private investment (AACA, 2000, pp.10-12). In the process of
creating open space in the inner city, urban displacement and relocation of the occupants to the
periphery on agricultural and forestland became a necessity which resulted in dispossession and
dislocation of farmers.

The overall trend and picture of Addis Ababa's population and area growth pattern indicates that
it is the most accelerated growth rates in the world. This accelerated growth is also
accommodated by the conversion of agricultural and forest land to urban settlement. Although it
is a young city compared to several other urban centers in the country, it has grown from simple
military settlement "large number of tents" in 1886 Pankhurast (1962, pp.35) to large
metropolitan city covering about 54,000 hectares today. This indicates that the city has been
encroaching more than 400 hectares of agricultural and forest land into urban administration for
urban land use every year.

This ongoing expansion process captures less the views of farmers and people who were forced
to leave their land and property. Therefore, the effect of these processes of urban expansion on
the surrounding fanning community and people needs to be clearly known in order to reduce the
negative impacts.

2.2. Research Gap

As expansion is a process taking place throughout a series of time, there is a need to get each
phase’s (year’s) information about the expansion. To get all required information, fixing the
appointment and meeting the ousted Municipality staff or officials from previous position has
contributed to the limitation of the study.

18
The other issue worth mentioning here is that, data related to the impact of livelihoods assets due
to urban expansion and annual individual household income earned from various resources
before and after displacement generated through interviewing household heads are all depended
on their recalling ability. On the other hand, household farmers who provoked for dispossession
of property in favor of urban development projects and due to their deep-rooted worry, often
have a tendency of underestimating or overestimating for the provision of information on their
annual income and loss of assets. In addition, compensation fund provided for affected farmers
and displaced people have not been computed how much they get but rather, the information will
be simply collected to know whether all farmers received money compensation or not. In
regarding to house status of farmers, the study will be only focused on collecting information
whether the displaced farmers have gotten access for residence house simply to indicate the
progress of after displacement without considering number of rooms that a house contains and
farmers ownership of the house furniture bought after urban expansion.

Furthermore, since every research methodology and designs along with the specific techniques
have each of respective pros and cons. As a matter of this fact, the methodology employed,
research design developed, techniques selected as well as tools used to collect data have their
own limiting effect on validities and other qualities of the study.

2.3. Empirical Studies

As shown by Abdissa and Degefa (2011), in the years between 1961 and 1984, Addis Ababa area
extended by 400 hectares. From 1984 to 1994, it was about 30,814 hectares and in 2005 its total
area stretched to 54,000 hectares (540,000 square kilo meters)

This expansion has taken place with the cost of forest degradation, loss of agricultural land and
worsening of the hinterland communities’ livelihoods. In some cases, the transformed urban land
was not managed properly and it contributed for the haphazard land development and several
types of urban anomalies. Over the last two decades, Addis Ababa City has been expanding
exponentially as depicted in figure 1 below.

19
 Urban Land Area in KM2 in Addis Ababa
283.9

208.6

149.5

99

1987 1995 2005 2017

Source: Based on Terfa et al. (2019)

Figure 2.1. Trends of urban land areas increase in Addis Ababa

2.3.1. Current Government Policy and Guidelines for Urban Redevelopment

The recommended government intervention strategies, as stated in the Addis Ababa city plan
2001-2010 (ORAAMP 2002), includes Relocation and resettlement of residents for efficient
utilization of potential sites (basic slum areas) and resources; and Bringing balanced and
coordinated investment/development in different parts of the city, among others. The suggested
relocation and resettlement programs in Addis Ababa, as the literature on urban resettlement
states (see for instance, Cernea 1997), can be inescapable as it can be advantageous and the
society, can be better off through improved environment and enhance opportunities of income
and employment that can be realized by involving the private sector and mobilize the potential
land value. Nonetheless, it requires establishment of a policy and guideline, which are the
necessary prerequisites recommended by the literature, to create an enabling environment for
rehabilitation of resettles. In the framework of the suggested strategies, the main objectives of
urban redevelopment in Addis Ababa (ORAAMP 2002; Ayalew 2003; Berhanu 2006) are:
Arresting the continuous overspread and intensification of inner city decay; Addressing public
and private role in the intervention, partnership, and delegation; Improving image and quality
of the city center; Using the built-up areas for different purposes other than residence and to
maximize the land value to address the socio-economic disruption of existing settlements;
Accommodating as much development activities as possible within the existing built-up area

20
for better density to check sprawl; Using the urban land which is not developed or developed to
a very low level for planned urban development; Easing road network problems; and Providing
basic infrastructure and public good. Ethiopia to date does not have a comprehensive urban
policy that guides the development of its urban centers. Nonetheless, there are different
sectorial policies and guidelines. Proclamation No. 455/2005 affirmed the basis and amounts of
compensation in displacement and land expropriation.

It is declared as: A landholder whose holding has been expropriated shall be entitled to payment
of compensation for his property located on the land and for improvements he made to such
land. The amount of compensation shall be determined based on replacement cost of the
property. If the compensation is payable to an urban dweller, it may not, in any case, be less than
the current cost of constructing a single room low cost house compliant with the standard set by
concerned region. Compensation for permanent improvement to land shall be equal to the value
of capital and labor spent on the land. The cost of removal, transportation and erection shall be
paid as compensation for a property that could be relocated and maintain its service as before.
In addition to the above property and other compensations, urban land owner whose landholding
has been expropriated shall be provided with a plot of land for the construction of a dwelling
house and shall be paid a displacement compensation equivalent to the estimated annual rent or
annual source of business (for business houses) of the bulldozed dwelling house or business
house. The period of notification for dwellers should not be less than 90 days and they should
handover within 90 days from date of compensation. Furthermore, the legal compensation
procedures for (re) development-affected people should embrace the following: Land shall be the
main component of compensation.

Expropriation shall be executed only after proper compensation has been fully settled. People
should be relocated on site or in surrounding areas as much as possible. Otherwise, people shall
be resettled in developed areas where the required infrastructure and social facilities are better
provided than (or equivalent to) their former areas. Rental houses shall be provided at reasonable
and fair prices for renters who would like to keep on renting and for others the new housing units
shall be privatized at fair prices and favorable terms of payment preferentially to present
residents. Land compensation should reflect on suitable replacement where the owner can
continue his livelihood without gratuitous difficulty. Formalize and improve informal or squatter

21
settlements along with improved provision of land for low-income housing with title deeds and
use permits. Value judgment for compensation should be rooted in current market prices and
shall consider all damages incurred on the livelihood of the owner. The guidelines/directives
(Addis Ababa City Government 1997, 1998, 2001, 2002,2003 and 2006) reveal compensation
conditions as: legal procedures for compensation, legal public house renters‟ compensation, land
replacement, and re-establishment at the resettlement in the main, the city has entertained
various urban development schemes, but their success and justice has attracted controversies.
Some sources (For instance, Berhanu 2006), revealed that the government appeared not to
respect its promises as stated in the legislation paper.

2.3.2. Livelihood Strategies under Constitutional and Legal Frameworks in Ethiopia

“All persons who have been displaced or whose livelihood has been adversely affected as a
result of the state [government development] programs have the right to commensurate monitory
or [and] alternative means of compensation with adequate state [government] assistance. FDRE
constitution 44(2)As can be bluntly understood, there is national constitutional provisions that
state the right of every persons to claim for the unequivocal and commensurate compensation for
their property and land when any government-led developmental programs are founded to
adversely affect their livelihood that is based on the land.”

For most developing nations like Ethiopian, land means all the part and parcel of their livelihood
and hence life. For such nations, land is, among many other things, the means to secure the very
basic needs to their lives mainly the food. Therefore, the right to land is equivalently to mean
right to food and hence the right to life. Right to life is the Universal fundamental human right.

In relation with this, Ethiopia has ratified different International Covenants and agreements
including, but not limited to, the International Convention of Economic, Social, and cultural
rights (ICESCR) which protects the right to food (Article 11) as right to life and Geneva.
Conventions of 1949 and the 1977’s additional protocols on Humanitarian law. The FDRE
constitution defines all of them as per Article 15.
For an agrarian community, land is also the physical and natural capital through which they
ensure the wellbeing of their family such as provision of health and educational services to their
children. Therefore, the wellbeing of the agrarian family child, that is human capital dimension
22
of the livelihood, is by large extent dependent on the respecting and protection of their parents’
right to land. Hence, through this window, we can see that, right of farmers’ and others people to
land means the right of their children. In line with this, Ethiopia has ratified Conventions on
Right of Children (CRC) Articles 24 &27. And, the FDRE constitution well defines this as per
Article 36(1, a & d).

Given the different existing laws, policies and programs, as well provisions of international
treaties to which Ethiopia is a signatory, the right to food could be said one of the fundamental
rights under the national law. In such way it to be therefore, a logical fallacy attempting to
ensure the Right to food and food security among agrarian community without maintaining their
right to land which is a common denominator to all components of their livelihood.

By the very nature of them, both urbanization and agriculturalist are the two counter competing
processes of livelihood strategy development. Under such conditions, there should be the “rules
of games” which maintain the benefit equilibrium among the stakeholders of both processes.

Thus, as it is obliged by International laws to respect, protect and fulfill the rights of its citizen to
food and other basic securities, the national is expected to formulate and enforce laws and
policies “rules of games “which frame-up every development programs and activities in such a
way run across their equilibriums.

2.4. Conceptual Framework

On the following framework (figure.2), it tries to show urban expansion impact concepts of the
study. Specifically, it indicates the direct or indirect relationship of impact of urban expansion
on dislocated farmers and people lives specified impact indicator variables which is economic,
social, cultural and environmental condition of farmers and people poverty measured by
households’ livelihood impact factors.

23
24
Figure2.2. Conceptual Framework

25
 CHAPTER THREE: RESEARCH METHODOLOGY

3.1 Description of the Study Area

Bole is one of the ten sub cities in Addis Ababa city administration. It situated in the east part of
Addis Ababa, bounded from south by Akaki, from west by Kirkos and Nifas Silk, from North
Yeka and from east by Oromia region (Newly formed sub city Lami kura). At present, the sub
city is divided into 14 woredas 152 sub-woredas, 498 sefers and 1603 blocks. Bole is
characterized by a homogeneous type of topography with insignificant elevation difference. In
the sub city, the altitude ranged from 2408 to 2120 meters above sea level which has a range of
288 meters (Atlas of Bole,2014). According to the 2007 census report, Bole has a total
population of 308,714, from which 145,057 are males and 163,657 are females. This constitutes
11.27% of the entire population of the city which makes Bole in the 4 th place in population
covered from the 10 sub cities. Lots of people live in woreda 13 with population number of
32,253 which is 10.44% of the sub city population and relatively few people live in woreda 11
with population number of 7510 which is 2.43% of the sub city’s population. According to
condominium sites, a total of 141 sites which covers an area of 1902.58 hectare are found in the
city. Among these 19 sites which covers an area of 670.64 hectare are found in Bole. This
constitutes 35.3% of the entire condominium area coverage of the city which makes Bole in the
1st place in condominium coverage from the ten sub cities (Ibid).
The land area covered by Bole sub city is 11849.49 hectares. This constitutes 22.8% of the total
land area of the city which makes Bole in the 2th place next to Akaki in land area covered from
the ten sub cities. Among the fourteen woredas, the large area is covered by woreda 10 with
2752.31 hectares that is 23.23% of the sub city land area, and woreda 02 covers the smallest land
area f 117.22 hectares which is 0.99% of the sub city land area (Ibid). There was a high supply of
crop production. It had a total evicted population of about 1925 and 670.64 hectares of land
dislocated which administered by Peasant Association before dislocation. Meri Loqe
Condominium, Ayat Addis Mender, Ayat Condominium [ from wereda 10], Bole Lemi from
[wereda 11] and Goro Sefer, Summit Condominium Ber2 and Arabsa Kele [ fromWereda 12] are
our selected sites for data collection.

26
 Source: http://www.ilic.gov.et/index.php/en

Figure 3.1. The map of Addis Ababa indicating the sub-cities

3.2 Research Design

In this research, the descriptive research design will be employed to make intensive investigation
of the impact of the horizontal urban expansion on the livelihood of peri-urban agricultural
community. Hence, to maintain triangulation in its findings, the design manifested the basic
features of both the qualitative and quantitative researches.

3.3. Target Population

The sampling frame to identify respondents will have been the list 207 of households who were
dislocated (displaced) farmers and people from their farming land, which is our target
population. This list contained wereda10, wereda11 and wereda12 farmers and people
collectively sites of Meri Loqe Condominium, Ayat Addis Mender, Ayat Condominium, Bole

27
Lemi, Goro Sefer, Summit Condominium Ber2, Arabsa Kele, Tafo Condominium (Table3.1).
The Sub-cities and wereda of dislocation have already taken place by purposely selected for the
study. Hence, Bole Sub-cities and three weredas in these Sub cities were selected purposely. In
each wereda, a list of the affected households will be been then generated from roasters of
wereda administration, to form the sampling frame.
3.4. Sample size
Sample Size and Selection of the required Samples Standard statistical approach will be used to
determine the desired sample size. According to (Dirribsa and Tassew, 2015 Representative
samples from the households of selected area will be based on scientific formula at required
degree of confidence. Therefore, representative sample of these households have been calculated
based on formula for sample size determination and for finite population.) is the following
equation.
Where: Sample size n= z2p q N____
e2 (N-1) +z2pq
N =population
n= the desired sample size,
z = the standard normal deviate set at 1.96 which corresponds to the 95 percent confidence level,
P = the proportion of behavior under study set at 50 percent, q = 1 - p, ≫ q= 0.5
e = desired precision of results set at 0.05, and
n = 1.962 x0.5x (1-0.5)207 = 135
0.052(207-1) +1.962x0.5x0.5
A total of 135 sample household (i.e. about 65% of the total dislocated household) will be
considered for the study. proportional allocation of the sample has made on the basis of size
being the total number of dislocated farmers within each size. The required sample households
will be then selected randomly within each site.

Weredas Name of the Total number of Sample % of households Number of

28
 site households given as Sample total sample
Evicted households
1.Meri Loqe 31 14.97% 20
Condominium
2.Ayat Addis 34 16.43% 22
Wereda10
Mender
3.Ayat 30 14.49% 20
Condominium
Wereda11 4.Bole Lemi 71 34.3% 46

5.Goro sefer 12 5.8% 8

Wereda1 6.Summit 14 6.76% 9

2 Condominium
ber2
7.Arabsa Kale 15 7.25% 10
Total 207 100% 135
Source: Bole sub city land management
Table3.1. provides sample distribution and the corresponding target population in the study
area.

3.5. Data Sources

In order to attain the main goal of the research, both primary and secondary sources of data will
have been collected and used. The primary data will be collected from focus group discussions;
in-depth interview of the key informants, participant observations and questionnaires. The
secondary data will be collected from all available written documents & electronic sources.
3.6. Data Collection Instruments

In order to make a closer investigation of livelihood impact of urban expansion on farming

community's income situation, attitude and perception, data / information will be collected from
the localities covered by the study by means of structured interviews, and participatory
discussions. Accordingly, the required data / information will be obtained from both primary and

29
secondary sources. The primary data will be collected from household surveys and through
participatory approach, which included focus group discussions, key informants’ interviews and
cases of the displaced community. Guidelines / check lists and both open and closed ended
questionnaires will be used. Secondary data will be collected and used from the relevant
literature and institutions. Thus, the method of data collection is, deskwork, interview with
sample household heads, participatory group discussions and interview of key informants from
the community and officials from relevant bureaus and offices.
3.6.1. Document Review

The document involved review of relevant literature and data information including geographical
information (GIS) from the Bole Sub city, Addis Ababa city Farmers and Urban Agriculture
development commission, the Addis Ababa city Land Development Agency, the CSA and the
Internet.

3.6.2. Household Survey

The household survey is used to collect quantitative data on specific impact on social and
economic attributes related to the process of urban expansion and its implementation. Structured
and unstructured questionnaires will be developed, pre-tested and used to collect data on
economic, social, environmental situation, conflicts over resources due to the expansion and
disposition to the income of the peri-urban farmers. The questionnaires / guidelines will be
prepared on the basis of the list of indicators that cover at least those issues/topics indicated in
the objectives of the study, grouped under: socio-economic impacts, awareness and participation;
compensation Benefit packages Implication and rehabilitation strategy evaluation; and conflict
cause assessment of expansion.

3.6.3. Participatory Approach

Participatory group discussion with men, women, and youth of the affected community will be
conducted separately to elicit data pertinent to community feelings, perceptions and perspectives
on how things have been conducted and should have been conducted. To this end, three focus
group discussions one from each social class (men, women and youth) and three members in
each wereda’s totally 12 members will be randomly selected and conducted. Besides, broader
issues on economic, social, environmental and political impact of urban expansion on the

30
livelihood of the peri-urban farmers and people will have been raised and discussed with the key
informants from the community, wereda administration and relevant sectorial offices of the City
Administration including Addis Ababa Land Development Agency. Accordingly, three key
informants two from the community and one from the wereda administration will have been
interviewed in each wereda. Furthermore, three key informants have been interviewed from the
Addis Ababa City Administration offices of relevant departments. Cases on coping strategy of
individual dislocated farmer household heads complemented the issues raised by the key
informants. The important aspect of this participatory inquiry is that it helped us explore past
problems, assess present situations and anticipate future directions of livelihood strategies of the
farmers in the peri-urban areas.

3.7. Method of Data Analysis

To analyze the data, the statistical tool will be employed is descriptive statics, which will be used
to explain the personal background of respondents and to compare some of the data which will
be collected through content analyses (based). The qualitative data which will be gathered
through open ended questions, interviews and document analysis will be organized according to
their major concepts and will be identified from research questions.

Quantitative data will be collected from sample household heads which will be processed and
analyzed using the Statistical Package for Social Scientists (SPSS). Both Quantitative and
Qualitative data will be gathered through participatory assessment involving key informant
interviews, focus group discussions, cases, and observation and assessment of the researcher will
be processed both manually and electronically to complement data from the household
interviews.

The results of the qualitative data will be then presented using narration. Finally, based on the
findings, conclusions and recommendations will be made.

3.8. Ethical Considerations

31
In order to get a valid information from both the communities and officers of the bureau the
researcher will have been followed the basics of ethical considerations. The first step in this case
will be, the researcher will be explained about the objective of the study for both of them in order
to participate them freely. But the respondents will also be having the right not to participate if
they don’t like. The respondents will be freed when they provide any information related to the
study area and the questions will not include ‘personal sensitive questions such as: name,
economic status, ethnical status of the respondents. As protecting respondents from harm is the
basic and necessary ethical principle, the researcher will not be provided/give the information of
the respondents to the third party without the consent of the respondents. After all the data’s will
be distributed and collected, it has been analyzed in accordance with the on-hand information
without any subtraction or addition of information not to bias the findings of the study.

3.9. WORK PLAN AND BUDGET BREAKDOWN

3.9.1. Work plan

This section outlines the work plan or time table of the study

No. Activities/ Actions Time frame Remark

1 Topic approval Oct.26,2022
2 Proposal preparation Nov.25-Dec.25,2022
3 Submission of first draft proposal Dec.31,2022
4 Submission of final proposal Jan.16,2023
5 Approval of proposal Jan. 25,2023
6 Data collection Jan. 26,2023-Feb.23,2023
7 Data analysis Feb. 25,2023-Mar.26,2023
8 First draft of research report submission Mar. 26,2023
9 Final research report submission April.1-10,2023
10 Defense/ presentation of the report April 12-13,2023
Table 3.2. Developed by the researcher

32
 3.9.2. Budget breakdown

No. Description Quantity Cost per unit Total cost Remark

1 Per day for data collectors 20 200birr 4000
2 Transportation 15 15birr 225
3 Communication expense 300
4 Paper 4pack 700birr 2800
5 Pen 1PACK 300birr 300
6 Notebook 4 110birr 440
7 Flash disk 4 300birr 1200
8 CD- WR 4 45birr 180
9 Photocopy 180 5birr 900
10 Type 160 20birr 3200
11 Print 160 5birr 800
*TOTAL 14,345
Table 3.3. Researcher own construction

33
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 Dirribsa, S. and Tassew B.,2015. Analysis of Livelihood Diversification Strategy of Rural
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Lega Tafo Lega Dadi, MA theses. Addis Ababa University, Addis Ababa.
Fayera Abdisa (2005). Urban Expansion and Livelihood of the Peri-urban Agricultural
Community: the case of Addis Ababa, MA Thesis, Addis Ababa University.
Federal Negarit Gazeta (2005). Expropriation of Land Holding for Public Purposes and
Payments of Compensation. Proclamation No. 455/2005, P. 3124-3132
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case for Yeka Tafo, MA Thesis. Addis Ababa University
Frewu(2010) Urban Expansion and Livelihood of the Peri-urban Agricultural Community: the
case of Tabor city MA Thesis, Addis Ababa University.
Haregewoin Bekele (2005). Urbanization and Urban Sprawl, MSc Thesis. Stockholm
University.

Livelihood and Sustenance in Peri-urban Areas of Ogbmoso, Nigeria, A paper

presented at African conference at Tanzania, Arusha.
http://www;free encyclopedia-2022: Urbanization and its impacts on periphery in developing
nations <URL> [Accessed-15 Dec.2022].
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Addis Ababa: The case of Kolfe keranio sub-city M.A thesis, Addis Ababa University.
Muluken Desalegn, 2009. An Assessment of the Impact of Urbanization on Peripheral
Community Livelihood: Akaki kality Sub-city case, M.A Thesis; Ethiopian Civil
Service College.
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Observer Vol. Vl, No.1, pp. 35-36.
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Addis Ababa', in Ethiopia development Forum Vol. 1, No. I: 76-84.

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UN Habitat (2008). Ethiopian Urban Profile. United Nations Human Settlements Program
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World Bank (1993). Urbanization, Agricultural development and Land allocation. World Bank
discussion paper.

36
 OROMIA STATE UNIVERSITY

COLLAGE OF LAW AND GOVERNANCE

DEPARTMENT OF DEVELOPMENT MANAGEMENT

Appendix 1: - Questionnaire for Sampled households

Dear respondent: -The main aim of this questionnaire is to collect data as input for the study
titled as “An Assessment of The Impact of Urban Expansion Farmers and Livelihood
Strategies of Displaced People’’ submitted in partial fulfillment of the requirements for the
degree of master of arts of Development Management. Its purpose is purely academic and hence
no part of your information would be disclosed to anyone else or can be used for businesses
other than academic purpose. To realize the objective, your response to the items in this
questionnaire is very important. I, therefore request your kind cooperation to that end.

Thank you for your time and cooperation

I. Background of the respondents

Directions:

a. No need of writing your name.

b. Your answer should represent your direct feeling.

c. Ask the data collector if you need extra support before giving your answer in confusion.

Thus, please fill the necessary answers for each item properly by putting “√” mark in the box
prepared.

1. Site____________________
2. Wereda_________________
3. Age_______________
4.Sex A. Male B. Female

5.Level of education

A. Illiterate D. Secondary (9-12)

1
 B. Read and Write E. Tertiary (12 +)

C. Primary (1-8)

6. Family size____________

II. Participation in expansion program

1. Were you aware of the urban expansion program in your former vicinity?

A. Yes B. No

2. If “Yes”, how?

A. Through public orientation

B. Through official training

C. Both

D. Other
specify____________________
__________________________

3. What was your reaction when you’re asked to move from your former possession?

A. Agreed without objection

B. Objected but left force fully

C. Objected but convinced through

bargaining

4. Did you participate in decision making process in the implementation of expropriation

Program?
A. Yes B. No

2
5. If “Yes”, what’re benefits you obtained because of participation?

A. Raised own interest

B. Expressed own opinion

C. Created access to benefit packages

D. Created opportunity to livelihood means

E. Nothing

F. Other
specify_______________________________________
_____________

6. Did you have representatives in decision making on benefit packages allotments?

A. Yes B. No

7. If “Yes” how did that represent?

A. Through community institution

B. Through elected community

C. Through individual interested group

D. Through wereda administration

E. other
specify_____________________________________
________________

8. Who were the main decision makers in determining the amount of benefit packages?

A. Government body C. Both

B. Local community committee D. Other specify

9. Do you, generally, support or oppose expansions policy and process of the city?

A. Strongly support

3
 B. Support with conditions

C. Strongly oppose

10. What conditions do you consider while supporting, if your response for question is “B”?

A. Participatory and willingness based

B. Promissory and institutional based

C. Both

D. Others, specify __________________________________________

III. Benefit of expansion for peri-urban community?

1. What was the base of your livelihood before the coming of urbanization?

A. Farming on land

B. D. Forestry

C. Raising cattle

D. Fodder production

E. All

others specify______________________

2. What are benefit packages had you been promised to be allotted to you as compensation when

You’re asked to leave the land? (multiple answer possible)

A. money compensation B. housing plots

C. access to services D. Job opportunities

E. training to develop skill

F. Other specify ___________________________________________________

3. Which of the benefit packages did you get at last?

A. Money compensation B. Housing plots

4
 D. Job opportunities C. access to service

E. Training to develop skill F. All

G. other specify____________________________________________________

4. What was your reaction towards the kind and amount of compensation (benefits) you
received?
A. Satisfied B. Indifferent C. Dissatisfied

5. If your answer is “C” for above question, did you apply your appeal for a concerned body?

A. Yes B. No

6. If “Yes” what response did you get?

A. Very satisfactory C. Satisfactory

B. Unsatisfactory D. Very unsatisfactory

7. Did you get any training how to use the benefit packages provided to you while you move to
new way of livelihood/urban life?
A. Yes B. No

8. If “Yes” in which of the following training did you participate?

A. private business development, management and supervision

B. Financial management saving

C. Basic entrepreneurship

D. Technical training for livelihood means

11. If “Yes” which of the following up

A. Electricity

B. Water supply

C. School

5
D. Market

E. Clinic and other health institution

F. Telephone

IV. Impact of urban expansion on the income of peri-urban agricultural

communities and their coping mechanisms.

A-Impacts on their livelihood

1. What was the effect of the expansion programs you faced before its actual implantation?

A. Frustration because of lack of orientation on where and how to live in urban settlement

B. In adequate attention from the administration in community development activity

C. In adequate provision of new skills and knowledge on newly urban form of the life

D. All
E. other, specify ________________________________________________

2. What was average annual total income you used to get before expropriation in ETB?

A. above 40,000 D. 10,001-20,000.

B. 30,001-40,000 E. 1000-10,000
C. 20,001-30,000 F. Less than 1000
3. What is an average annual total income you are gaining these days in ETB?

A. above 40,000 D. 10,001-20,000

B. 30, 001-40,000 E. 1000-10,000

C. 20,001-30,000 F. Less than 1000

6
4. What was the total asset possession of the household before and after
expropriation/displacement/ dispossession? Before Now
A. land (in ha)

B. Oxen (#)

C. Cows (#)

D. Sheep (#)

E. Goat (#)

F. Poultry (#)

G. Horse (#)

H. Mule (#)

I. Others
specify________________________________
______________

5. How was your social relationship and value within your community before your land
expropriation/ displacement?
A. Very high D. Low

B. High E. Very low

C. Moderate

6. What is your social relationship and value now?

A. Very high D. Low

B. High E. Very low

C. Moderate

7. Do you agree that urban expansion in to your area is advantageous to your family members
(parents, daughters and boys)?

A. Strongly agree C. Disagree

7
 B. Agree D. Strongly disagree

8. Explain for any of your choice for question no7?

__________________________________________________________________

__________________________________________________________________

9. Which group of “Male” or “Female” is more disadvantages because of urban expansion in to

your vicinity?
A. Male B. Female

10. Provide reason for your choice for question number “9” above? _________________

____________________________________________________________________

B. Coping Mechanisms

1. Were you engaged in any of productive (income means) activities just right after the
dispossession/ displacement of your land?
A. Yes B. No

2. If “Yes” is your choice for question no.”1” above, in which of the following activity did you
engage?
A. agricultural B. Non-agricultural

3. If your response for question number “2” above is “B”, in which of these you engaged
yourself?
A. Raising own business

B. Serving in some one’s house

C. Migration to far areas of urban

D. Migration to far areas of rural

E. Daily labor in the city

F. Begging

G. Others

8
specify_________________________________
_________

4. Do you believe that you get jobs or works easily these days than before?

A. Yes B. No

5. If “No” is your response for question ≠ 4 above, why? ________________________

___________________________________________________________________

6. Do you have a job (work) now?

A. Yes B. No

7. If “Yes” what type of job (work) it is?

A. Self-employer

B. Employed in government organization

C. Employed in private business

D. Daily labor

E. Specify
_____________________________________________
____

8. Do you have any other source of income today?

A. Yes B. No

9. If “Yes”, which of these?

A. Rental income

B. Remittances

C. farm land income from else where

D. Supplementary small and micro enterprises

9
 E. Other,
specify__________________________________
_________

10. What did your family decided to do as an individual or group after land expropriation
(dispossession)?
A. Raised common business

B. Followed each of their livelihood strategies

C. Disintegrated

D. Other,

specify________________________________________
11. Do you believe that the way they turned on become
favorable to them to secure their livelihood?

A. Yes B. No

13. What do you think is major problems you and your family faced while coping up with (to)
the urban type of livelihood strategy?

A. Lack of knowledge in financial utilization

B. lack of due follow- up from the concerned institutions

C. Lack of skill (knowledge) for job opportunity

D. Discrimination by the new settlers

Others, specify__________________________________________________

13. Who is, as to you, a responsive body to improve the current status of your livelihood?

A. Government

B. Philanthropies

C. Private investors

D. D. Private settlers

10
 E. NGO

14. Is there any conflict between evicted farmers and investors?

A. Yes B. No C. Same times

15.If you answer yes in #14 what is the cause?

A. Late compensation payment

B. Not giving job opportunity

C. Lack of awareness

D. Other_______________________

16. What do you think as better to be done to improve your livelihood status?

___________________________________________________________________

____________________________________________________________________

Appendix 2: An Interview guideline to Planers and Implementers as well as Managers

Part I: - Background of Respondent

1.Addres_________________________ Sub-city
___________________kebele________________
2.Levil of education______________________
3. Your position in this organization________________________________

4. Year of services in this organization ______________________________

Part II

Questionnaire about City Expansion

5. What do plan deals with urban expansion?

6. Is the city expansion rate going with planning?

7. What do think is/are the reason if your response is” no” for question number six above?

8. Have the pre- settlers been made participant of planning and implementation programs?

11
 9. What factors, do you believe, are causes for expansion?

10. What benefits and compensations have been given so far or promised to peri-urban
Agricultural community whose livelihood is affected by urban expansion?
11. Do you believe the given or promised benefits compensations are fair enough to farmers
while considering farmers’ economic back ground, living cost and land productivity?
12. If your response is “no” for question number twelve above, what has so far been planned to
improve the beneficiary ship of pre-farmers from the city expansion?
13. Have the dislocated and dispossessed community been given any training, orientation and

Institutional supports in such a way that they can easily sustain their livelihood in
newly Changed urban way of life?
14. As a government institution, what is your organization’s role to internalize negative
externalities of urbanization on that peri-urban community livelihood?

Appendix 3: Guideline for Focus Group Discussion

Warm-up: - For some people urbanization is said to be the better way of life and
hence they advocate for it; however, it becomes opposite to others and hence they
appear strongly against it. In which side, are you? And why?
1. What factors do you think have contributed for urban expansion in this locality?

2. Had you been made participate for planning in urban expansion program and their
implementation?
3. Had you discussed on the issues of compensation and benefit packages?

4. And did you agree on a given (promised) compensation?

5. What are the set or kind of compensations you agreed and why?

6. What advantages and disadvantages you believe are the result of urban expansion towards your
localities specially interims of social and economic aspects?
7. Discuss the copying mechanisms or livelihood strategy of the community at house hold levels
and victims of social groups i.e. newly means or sources of income, job opportunity, social and
cultural influences (neighborhood reaction).

12
8. Discuss whether former agricultural practitioners of the today urban areas have secured their
newly livelihood and adapted the urban way of life through resource utilization.
9. Discuss whether the technical trainings, orientations or institutional follow-up are being made
to you by any of government, NGOs, privates or their Joints to assist you and your family
adapt with, participate in and benefit from urban expansion programs and urbanization.

END

THANK YOU

13