The Impact of Urban Expansion on the Livelihoods of Peri-Urban Households in Gondar City

Master's Thesis , 2013 , 96 Pages , Grade: 4.0

Sociology - Habitation and Urban Sociology

Recently, Gondar city was grown into a metropolitan city status. This means that, Gondar city is among the Ethiopian urban settings experiencing unprecedented rate of urbanization through expansion expanding in different directions into the surrounding rural areas with fast physical and population growth.

Therefore, the city administration of Gondar has undergone a horizontal expansion pattern. However, no study has been conducted to investigate the impacts of urban expansion on the livelihoods of peri-urban households in Gondar City Administration. This study, therefore, aims to investigate the effects of the expansion program on the livelihoods of the affecting farming households in Gondar city. The study employed household survey, focused group discussion, observation and an in-depth interview with key informants to assess the situation.

The findings were analyzed using both quantitative and qualitative research methods. The results of the study revealed that, the expansion program was not participatory and the compensation payment implemented for the affected households was not fair and equal in relation with the calculation of their possessed assets.

TABLE OF CONTENTS

ABSTRACTS

ACKNOWLEDMENT

TABLE OF CONTENTS

LIST OF TABLES

LIST OF FIGURES AND BOX

LIST OF APPENDICES

ABBREVIATIONS AND ACRONYMS

CHAPTER ONE INTRODUCTION
1.1. Background of the study
1.2. Statement of the Problem
1.3. Research objectives
1.4. Research Question
1.4.1. General Question
1.5. Significance of the Study
1.6. Scope of the Study
1.7. Description of the Study Area
1.8. Limitation of the Study

CHAPTER TWO LITERATURE REVIEW
2.1. Introduction
2.1. Nature of Urban Expansion
2.2. Resettlement and Its Effect on Livelihoods of Resettles
2.2.1. Emperical Studies on Resettlement Impact
2.3. Risks Associated With Displacement
2.4. Cause and Consequence of Urban Expansion
2.4.1. Causes of Urban Expansion
2.4.2. . Consequences of Urban Expansion
2.4.2.1. Social Consequence of Urban Expansion
2.4.2.2. Environmental Consequence of Urban Expansion
2.4.2.3. Economic Consequence of Urban Expansion
2.5. Sustainable Livelihood Approach and Livelihood Strategies in Peri-Urban Area
2.5.1. Sustainable Livelihood Approach
2.5.2. Livelihood Strategies of Peri-Urban Area
2.6. Conceptual Framework

CHAPTER THREE RESEARCH METHDOLOGY
3.1. Introduction
3.2. Research Strategy and Type
3.3. Research Approach
3.4. Methods of Data Collection
3.5. Sample Design
3.5.1. Population or Universe
3.5.2. Sampling Frame
3.5.3. Sampling Unit
3.5.4. Sampling Techniques
3.5.5. Sample Size
3.6. Source of Data
3.6.1. Primary Data
3.6.2. Secondary Data
3.7. Data Analysis and Interpretation
3.8. Operationalization of Variables
3.9. Validity and Reliability
3.10. Ethical Consideration

CHAPTER FOUR DATA ANALYSIS AND PRESENTATION
4.1. Introduction
4.2. Overview of the Displacement program of the Study Area
4.3. The Households’ Socio-demographic Features
4.4. Issues Related to Attitudes on Participation and Benefit Packages of the Households’
4.4.1. Participation in the Urban Expansion Program
4.4.2. Major Purpose of the Expansion and Displacement Program in Gondar City
4.4.3. Urban Expansion led-benefits and Related Issues for Peri-urban Households
4.5. Impacts of Urban Expansion Program on the Affected Peri-urban Households
4.5.1. The Effects of Urban Expansion on Livelihood Assets of the Peri-urban Households’
4.6. Urban Expansion Impact: the Affected Households Livelihood Enhancement Strategies and Coping Mechanisms
4.6.1. Enhancement Strategies of the Affected Households
4.6.2. Coping Mechanisms of the Affected Households
4.7. The Role of Governments or NGOs for the Households
4.8. Livelihood Outcomes of the Affected Households by Urban Expansion Impact
4.9. Summary .

CHAPTER FIVE CONCLUSION AND RECOMMENDATION.
5.1. CONCLUSION
5.1.1. Introduction
5.1.2. Households Attitude about the Benefit Packages and their Participation
5.1.3. Effects on Livelihood Assets
5.1.4. Livelihood Strategies and Coping Mechanisms
5.1.5. Government and/or NGOs Role/Intervention
5.1.6. Livelihood Outcomes
5.2. POLICY IMPLICATIONS
5.3. Recommendation for Further Research

REFERENCES

ANNEX

Abstract

Recently, Gondar city was grown into a metropolitan city status. This means that, Gondar city is among the Ethiopian urban settings experiencing unprecedented rate of urbanization through expansion expanding in different directions into the surrounding rural areas with fast physical and population growth. Therefore, the city administration of Gondar has undergone a horizontal expansion pattern. However, no study has been conducted to investigate the impacts of urban expansion on the livelihoods of peri-urban households in Gondar City Administration. This study, therefore, aims to investigate the effects of the expansion program on the livelihoods of the affecting farming households in Gondar city. The study employed household survey, focused group discussion, observation and an in-depth interview with key informants to assess the situation. The findings were analyzed using both quantitative and qualitative research methods. The results of the study revealed that, the expansion program was not participatory and the compensation payment implemented for the affected households was not fair and equal in relation with the calculation of their possessed assets.

The study has also revealed that, the implemented expansion program has negative and positive effects on the livelihood assets of the affected households’. It has negatively affects the land holding size, the common properties of households, and the possession assets especially livestock of the peri-urban households. However, improving the housing condition and proximity to the social institutions are among the positive aspects of the program. the study also found out the enhancement strategies and coping mechanisms of the households were causal that is directly dependent on daily works, petty trading and agriculture which is being disappear in the area and in relation to this the government is not doing anything in order to rehabilitative the affected households. Furthermore, the urban expansion program has exposed the affected households and their families to landlessness, joblessness, loss of access to common properties and morbidity and health problem in one hand. On the other hand the program does not expose the affected households to homelessness.

Based on the findings, the study recommended that, Dislocation program that may be proposed in the future needs comprehensive planning and implementation to ensure community participation and create alternative livelihood.

Acknowledgment

First and foremost, I thank God for always with me in all my attempt and giving me patience to finish my study.

I convey my deepest thanks to my advisor Ato Ezana Haddis for giving me constructive pieces of advice and guidance starting from the proposal writing to the completion of the research project work (Thesis). I thank him for his genuine and energetic encouragement, suggestion, insight, guidance and professional expertise to complete this work.

My special thanks due to my understanding and respection to Yezena Tekeba, my honey. She became encouraging and inspiring factor for my performance on the whole process of my learning as well as my research works.

My family Dad and Mom, particularly Derje Terefe, my intimate & brother, I’m very much grateful to your ever supports to all my educational works.

I also owe my warmest gratitude to all my friends especially Alemnew Biset, Tebebe Solomon, Nigus Solomon, Bemnet Abdisa, Destaw Adino, Lelu Tekeba, Melkie Endalew, Mastewal, Emebiet, Zena, Abdurehman Isa and other whose names are not listed here that supported me during field work from the very beginning of the study.

Especial thanks also to my friend Jemal Yessuf for his initiation, encouragement, material (especially Laptop computer for the thesis writing) and moral support start from the inception to completion of the study. I also thanks to Misa Nigusie for her material especially stationary support and questionnaire writing start from the inception to the completion of the study.

My sincere thanks are also to my colleagues, Frew Girmay, Argahagn Kitaw, Habtamu Gagado, Yitagesu Bekele, Hailemelekot Berhie, Tsegie Tesfaye, Benti Degaga, Assefa Tiku, Desta Berhie, Yirdaw Dadi, Bishaw Abie, Afework Alemayehu and Others whose name are not listed here who directly or indirectly contributed for the success of both my course and thesis work.

With great honor I would like to dedicate this thesis to my lovely wife Yezena Tekeba and my parents.

I would also thank the enumerators and Gondar City administration Municipality Staffs and the dislocated framing community in the study areas for their valuable information supply.

LIST OF TABLES

Table 1. General Characteristics of sample dislocated household heads’

Table 2. Ways of awareness of the Respondents about Expansion Program

Table 3. Decision Maker on Benefit Packages

Table 4. Promised Benefit Packages for the Respondents’

Table 5. Actually Obtained Benefit Packages for Households

Table 6. Respondents Satisfaction towards Gained Benefit Packages

Table 7. Compliant Groups Presented their Appeals to a Responsive Institution

Table 8. The Responses to the Appeals of the Disappointed Groups by the Institution

Table 9. Agricultural Land with its amount of the Respondents’ before and after Displacement

Table 10. Changes in the Ownership of Trees of the Households

Table 11. Closeness to Social Institutions before and after Displacement

Table 12. Family Members of the Households Who Dropout from School

Table 13. Kinship Groups of Households

Table 14. Political Groups or NGOs Active in Settlement of Peri-Urban Households

Table 15. Whether the Households have a member of any Social Organization (ekub, edir and mahber) or not before and after Displacement

Table 16. Level of Security or Safety of the Households’

Table 17. Enhancement Strategies to maximize the existing assets of the Affected Household

Table 18. Renting out Rooms to Enhance the Livelihood of Households

Table 19. Whether the Households have Land or not in the New Settlement

Table 20. The per capita food consumption of households with the Dietary equivalent kilocalorie per households per day

Table 27. Members of Households Suffer from Disease

LIST OF FIGURES

Figure 1. Awareness of the Respondents’ about the Expansion

Figure 2. Respondents’ Reaction on Urban Expansion

Figure 3. Purpose of the Land of the Respondents’

Figure 4. Coping strategies of the Respondents’

Figure 5. Government Support for the Affected Households

LIST OF BOXES

Box 4.1. The role of the Government for the affected Households

Abbreviations and Acronyms

Abbildung in dieser Leseprobe nicht enthalten

CHAPTER ONE INTRODUCTION

The thesis deals with the impacts of urban expansion on the livelihoods of the peri-urban households as a title of the study. The thesis contains five chapters. In this regard the first chapter contains eight sections of the entire study. The second chapter briefly describes literature review of the study, which deals with about different literatures related with the topic. The third chapter is discusses about the methodology of the entire study through identifying the research strategy and type. The fourth chapter is dealing with the results or findings of the entire study with its discussion and interpretation of the findings for each research questions. The last chapter is dealing with the overall conclusion and recommendation parts of the whole study.

1.1. Background of the study

Urban expansion is a common phenomenon in both developed and developing nation. However, in the developed countries, the phenomena of urban expansion and development have been associated with economic development. In this regard, in this countries, urban growth is vital for economic development and social development and hence cities are seen as ‘engines of growth’ adding value to rural products, providing services to regional markets and attracting manufacturing industries and service investment (Tegegne, 2002:65).

Urbanization in developing countries on the other hand, diverges significantly from that of economically developed nations. Unlike the situation in developed countries, urbanization in developing nations is a consequence of the “push” of the rural areas and the “pull “of the urban areas of cities (Aluko, 2010). In most developing countries urban expansion process is usually a mixed blessing having both negative and positive outcome on the Peri-urban areas. Impacts of horizontal urban expansion include not only the loss of agricultural land but also displacement of peasants and change of their livelihood (Cemea, 1997). In the late nineteenth and twentieth century’s’ constitute a period in which Ethiopia entered an important new phase of urban development. Ethiopia is one of the countries of Africa, which are the effects of rapid urbanization are very clear in the cities and Peri-urban areas (Madulu, 2004 ). As cities expand, the main zone of district impact is the Peri-urban area, and those living in the urban interface face new challenges and opportunities in meeting their needs and accommodating the byproduct of the urban population. Rural livelihoods in Ethiopia are mainly dependent on natural resources particularly land for cultivation and grazing is a crucial physical asset in subsistence agricultural economy. A brief exception occurred recently where urban expansion creates problems of land speculation under capitalist market conditions and the implications of haphazard agricultural land conversion to urban uses (Simon, 2008). Any change in land cover or land use has a direct impact on the food production and alternative economic activities. This in turn, directly affects the livelihoods of the peri-urban inhabitants (2008:176).

Gondar served as the capital of Ethiopia during the Gondarian period (1636-1769) and is one of the most important historical sites in the country. Now- a- days as a result of more relative stability on urban policies and politics in the country and the construction of Ethio-Sudan main roads, new types of cities are emerged along the main road routes (Gondar City Administration, 2010). The gradually expand from starting the center to small satellite towns and consumes many agricultural land for residential purposes. These expansions believed to capture less the view of Peri-urban farming communities that were forced to leave their land and property. Therefore, the consequence of this ongoing trends of urban expansion on the surrounding area need to be studied to reduce the negative impacts and their by maintain their well-being.

1.2. Statement of the Problem

Relocation due to urban expansion is more significant in developing countries than developed countries because the majority of the people in developing countries live highly concentrated in the periphery depending on agriculture with fragmented holdings. As many international urban expansion prove, in the process of urban development and growth, it is always the neighboring Peri-urban households that are highly affected (Nebiyu, 2000). This is particularly so in developing countries like Ethiopia where land remains public or government property and amount of compensation paid, in case of possible displacement, depends on government decision.

In many ways urban expansion is a spontaneous phenomenon that leads to spontaneous growth displacing rural farming communities. Even planed relocation process has its own effect on the livelihoods of the affected Peri-urban households. Gondar city, the capital of

North Gondar Administrative Zone, is expanding fast in the southern and eastern directions only where as in all other directions the expansion does not prevail due to geographical constraints. As a result, it is creating a continuum with suburbs like Azezo and Tseda to the south, Lozamariam to the southwest and Genifokuch to the southeastern. This expansion has influenced the surrounding farming communities, often leading to forced displacement (Feleke, 2003).

Access to land for sustainable use of agriculture in the periphery is now becoming a critical issue for Gondar city administration. This indicates that the residents of the Peri­urban households around the city are faced with the risk of joblessness, landlessness, homelessness and the low access of social infrastructure services especially women and children (Cernea, 2000). So far the effects of urban expansion on the Peri-urban households where agriculture is the mainstay of livelihood like Ethiopia generally and Gondar city administration particularly is least studied. Hence, the studies conducted in the issue of the impact of urban expansion on the livelihoods of farming communities in Addis Ababa emphasis on the participation, compensation/benefit packages, and major victims of the affected communities (Feyera, 2005). Previous study which has been done in Gondar is problems of gaining access to housing land by government and factory workers in Gondar (Wossen, 2002). So far no study has been conducted to investigate the impacts of urban expansion on the livelihoods of peri-urban households in Gondar City Administration. Therefore, this research intended to fill the gaps in understanding the main effects of urban development or urban expansion on the livelihoods of the Peri­urban households especially through comparing the dislocated household’s asset, coping strategies, access to land for agricultural purpose and their overall livelihoods before and after the urban expansion takes place in Gondar City by taking Ayermarfiya and Lozamariam kebele as a case study.

1.3. Research objectives

The overall objective of the research is to examine the impacts of urban expansion on the livelihoods of the Peri-urban households in Gondar city administration. Within this broad objective, there are other specific objectives. These are:

1. To identify the effects of urban expansion on the livelihood assets/capitals of the dislocated Peri-urban households.
2. To explore the affected households livelihood strategies and mechanisms in the Peri­urban areas.
3. To identify the role of the government and non-government organizations in supporting the dislocated farming communities in the Peri-urban areas.
4. To assess the attitudes of the dislocated households in terms of satisfaction on regarding benefit packages by the city administration
5. To assess the livelihood outcomes of the affected households.

1.4. Research Question

1.4.1. General Question

What are the impacts of urban expansion on the livelihoods of the Peri-urban households in Gondar city administration?

1.5. Significance of the Study

The research was identify the effects of urban expansion that affect the livelihoods of Peri-urban households related to the distraction of natural, social, human, financial and physical assets. In addition, the study examines the affected household coping mechanisms and livelihood strategies that strengthening their assets and overall life’s. These were used for the policy makers, planners, politicians in general as well as administrations in particular to reenact new guidelines and regulations to solve the impacts of urban expansion that affects the livelihoods of Peri-urban households. In this regard the study gives policy implications that indicate how to tackle the impacts of uncontrolled and unplanned urban expansion and how to improve the livelihoods of the affected households. In addition to the above significance, the study also serve as a secondary data and help to create awareness for future researchers on the issue of urban expansion program on the livelihoods of the displaced peoples.

1.6. Scope of the Study

Gondar is one of the ancient cities of the country which is experienced in horizontal expansion since 1987 E.C to recently in different directions of the city (Gondar City Administration, 2010). Therefore, the scope of the research is delimited to the southern and southwestern parts of geographical coverage of Gondar city administration, Azezo’s surrounding Peri-urban area that is specifically AtseTewoderos airport or Ayermarfia and Lozamariam kebele which are highly affected the neighboring farming communities.

The study focuses on the impact of the urban expansion (i.e. the air port expansion project and residential land needs by the city administrators) on the livelihoods of the dislocated farming households by analyzing the effects of the expansion (Air port expansion (runway)) on the livelihood assets and in addition it examines the impacts of the expansion which enforce farmers displaced with inadequate compensation.

1.7. Description of the Study Area

The study area is located in the northern parts of ANRS and the capital of North Gondar Administrative Zone. The city sits at an elevation of 2,200 meters, and is surrounded on three sides by a crown of 3000 meters high mountains; the climate zone of the city is semi-temperate (weyinadega), average temperature is 20 oc, annual rain fall 1.172mm. Based on the figure from CSA in 2009, Gondar has estimated total population of 288, 384 of who 139, 866 are men and 148, 518 are women. The area of the city also 11,058 square meters and the dominant land use of the city along the outlets are residential, commercial, administrative institutions, industries and agriculture where as in the center of the city the land use mainly dominated by residential, commercial and industrial. In addition to the above general description of the city, I have to also add the description of the two sample kebeles of the study area which is Ayermarfia and Lozamariam. Ayermarfia is one of the peri-urban kebele of Gondar city which is located 18km the south of the city. It has estimated population of 18280 of who 12687 are male and 5595 are female. The area of the kebele also 14.65 square kilometer and the dominant land use of the kebele is mainly farm land and pure residential. The main source of economy of the area is mainly agriculture. Lozamaria is also one of the peri-urban kebele of Gondar city which is located 21km the south western of the city. It has estimated populations of 5667 of who 3776 are male and1891 are female. The area of the kebele also 15.59 square kilometer and the dominant land use of the kebele are mainly farm land and pure residential (Gondar City Administration, 2010).

Figure 1 Map of Gondar City Urban and Peri-Urban Kebeles

Abbildung in dieser Leseprobe nicht enthalten

Source: Gondar Municipality, 2013

1.8.Limitation of the Study

This study focuses mainly on the households those who had been dislocated and hence whose livelihood strategies get changed both by form and content. As a matter of this fact, the selected sample household members may not absolutely represent the characteristics of all farmers affected by urban horizontal expansion. Moreover, there has appeared a problem of up-dated address information of the respondents. In the same token, in access to data, response refusal, omission of responses, non-returns or late return of questionnaire, and misses are what technically limited the processes, accuracy and validities of the study.

In addition, 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.

Furthermore, since every research methodologies and designs along with the specific techniques have each of respective pros and cons. That being the case, 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.

CHAPTER TWO LITERATURE REVIEW

2.1. Introduction

This chapter deals with to the discussion of the theoretical and conceptual issues used to shape the study. The chapter looks at various theoretical views in order to understand the project understudy from different perspectives. The chapter is organized into six sections. The first section will briefly discuss the nature of urban expansion which deals with the shape and size of a growing city. The second section also describes the resettlement and its impacts on the livelihoods of the resettles. This theoretical view guides the study to assess the livelihood impacts of the displaced communities. It also tries to assess the empirical studies of the resettlement impacts. The third section discusses the cause and consequences of urban expansion, which deals with the social, economic and environmental consequences of urban expansion. The fourth and fifth sections will deal with the sustainable livelihood approaches and the risks associated with displacement. This theoretical view provides the study to assess the livelihood assets and the livelihood coping and enhancing strategies of the affected households through identifying different risks which are impoverished the displaced communities. The last section presents the conceptual framework of the study by identifying the vulnerability context, livelihood assets, coping and enhancing strategies and livelihood outcomes.

2.1. Nature of Urban Expansion

Cities are dynamic human artifacts. Even in long-urbanized regions of the world, they constantly undergo structural change, redevelopment and growth. Such processes also involve changes in urban relations with the surrounding peri-urban area, most conspicuously on their outskirts (Simon, 2008). Despite this however, there is no consensus regarding the shape and size of a growing city. Two major arguments are forwarded as to the shape and size of cities.

The first argument states that compact cities are important features of sustainable urban development on the future. The compact city has dominated many historic European cities and the European community was the strongest advocate (Jenks, Buton, and Williams, 1996 cited in Freyera Abdissa, 2005). A compacting city entails higher density development and helps reduce demand for space and travel distance. Urban residents enjoy lower transport expense and power costs. It also reduces potential farmland encroachment by urban uses and makes effective use of urban land (Hillman, 1996).

The second argument rejects the compact city and argues that compact city is unsustainable and unacceptable since the benefits obtained from compaction do not over­weigh the losses to the social, economic and natural environment. Stretton (1996) in his study of urban compaction in Australia argues that loss of urban consolidation is higher than loss from extended urban settlements to the periphery and the solutions lie in reforming transport system rather than imposing compaction to the cities. There are others who favor neither compaction nor expansion of cities advocating for elements from both views. This argument promotes urban regeneration strategies and new intra­urban environmental initiatives in line with the compact city argument and favor controlled direction of inevitable initiatives to the periphery to support a full range of facilities and to the cities that cause the least environmental damage as for the compaction view (Breheny, 1996).

2.2. Resettlement and Its Effect on Livelihoods of Resettles

According to Cernea (1993: 15), “rural-urban inflows and natural population expansion lead to land shortage in urban areas which, he argues, triggers involuntary displacements and relocation of peri-urban inhabitants to make room for urban economic and social development”. He refers to the process as “a necessary companion to economic growth,” (1993: 6). Cernea argues that compulsory displacement is likely to increase in the developing world as more space becomes needed for urbanization, and notes (1993: 4) that urban involuntary displacement is painful and disruptive of people’s livelihoods and is often undemocratically implemented without public consultation, as seen in many resettlement processes in Ethiopia because of urban expansion.

Involuntary resettlement involves the displacement of people arising from development projects such as, dams, bridges, national parks, and roads which encroach on their productive assets, cultural sites and income sources viz, land, grazing fields, other assets, etc (Pascal, 1992). A typical example of such displacement is a government agency’s expropriation of land for a capital development project by eminent domain. People occupying or otherwise dependent on that land for their livelihoods may be offered fair compensation for their losses. However, they have little recourse to oppose the government’s expropriation regardless of their desire to continue occupying or using the affected land (Richard, and Brusberg, 2002).

According to Cernea (1988), the types of development projects that most often cause involuntary resettlement are those that are predicated on a major change in land and water use. This commonly occurs in urban development projects that are particularly likely to cause involuntary resettlement include construction or establishment of dams, new towns or ports, housing and urban infrastructure, mines, large industrial plants, railways or highways, irrigation canals, and national parks or protected areas (Pascal, 1992). Such projects are often of crucial importance for national or regional development. They are but one of a variety of situations in which national long term interests may conflict with the interests of groups and individuals who are immediately and adversely affected (Cernea, 1988). Displaced communities should be enabled to reconstruct a land based or employment-based productive existence, compensated for their losses at replacement cost, assisted with the move and during the transition period at the relocation site, assisted in their efforts to improve their former living standards, income earning capacity, and production levels, or at least to restore them (Pascal, 1992:7).

As noted above, the Involuntary Resettlement policy applies to a wide variety of project effects, and the scale of displacement associated with those effects will vary from project to project. As Richard and Brusberg (2002: 5-6), Common types of resettlement and the issues associated with them include the following:

1.Rural resettlement —Displacement of people in rural areas typically results from a project’s acquisition of farm land, pasture, or grazing land or the obstruction of access to natural resources on which affected populations rely for livelihoods (for example, forest products, wildlife, and fisheries).
2. Urban resettlement —Resettlement in urban or prei- urban settings typically results in both physical and economic displacement affecting housing, employment, and enterprises. A major challenge associated with urban resettlement involves restoration of wage-based or enterprise-based livelihoods that are often tied to location ( such as proximity to jobs, customers, and markets).
3.Linear resettlement - Linear resettlement describes projects having linear patterns of land acquisition (highways, railways, canals, and power transmission lines). Linear resettlement contrasts with site-specific resettlement because of the problems that frequently arise when resettlement actions have to be coordinated across multiple administrative jurisdictions and/or different cultural and linguistic areas.
4. Site-specific Resettlement —Site-specific resettlement is associated with discrete, nonlinear projects such as factories, ports, highway interchanges, hotels, commercial plantations, etc., where land acquisition encompasses a fixed area (2002:6).

2.2.1. Empirical Studies on Resettlement Impact

A number of studies shows that poorly designed, very hurriedly undertaken, forced and spontaneous resettlement schemes have had so many adverse effects on bio-physical and human environment as well as the overall livelihoods of the people. According to Cernea (2000) identifies improvishment as a main variable in the resettlement process and formulates eight most important sub processes in which resettlement makes for improvishment. Cernea’s eight most important fundamental sub processes that caused improvishment risks are: landlessness, joblessness, marginalization, increased morbidity and mortality, food security, loss of access to common property and services and social disarticulation. The majority of resettlement schemes have even aggravated the existing natural as well as human related problems like ethnic conflict, food shortage and deforestation (Mengistu, 2005).

Involuntary resettlement has five characteristics. First, it involves imposed social change which has cultural, social, political and economic implications. Second, it usually involves a change in the pattern of peoples’ access to resources. Third, resettled people find themselves in larger and more heterogeneous settlements than before. Fourth, it involves people in wider social and economic structures. And fifth, it involves accelerated socio-economic change which may be beyond the capacity of people to cope with (De Wet, 2004). He further argues that, due to the combination of these factors, resettlement tends to lessen people’s material well-being, limit their choices, reduces their control over their circumstances and increases the levels of social tension and conflict within new settlements.

As Woldeselassie (2004) reported that resettlement involved several social impacts. Primarily, the scheme disintegrated the settlers’ social institutions and organizations, which bind their infinite network of relations and interactions in manifold. It can also bring about separation of families. The author also says that resettlement programmed disrupted the settlers’ production systems and impoverished their livelihood. As a result uncertainties and confusions may happen until painful adaptive adjustments may occur to the new environment. The resettlement programs were carried out where the climate is completely different from their original homeland. As a result, they experienced difficulties since the new climate is less hospitable that led to excessive mortality due to diseases. Similarly, Desalegn (2003b) reported that settlers experienced hardships due to changes in environment and diet as well as they also exposed to different diseases in the new settlement area.

2.3. Risks Associated With Displacement

Urban expansions have effects on the neighboring areas through displacing the farming communities. When urban expansion takes place, there is development of different aspects of a given cities which needs resettlement of the surrounding communities in order to get open space. Therefore, the development project in turn affects the livelihood assets of the displaced households. Various aspects of displacement due to development induced projects have been studied by many scholars. Cernea (1997) argues that most development forced displacement programmed lead to further impoverishment of low income, informal sectors to construct the livelihood assets of the displaced households. He identifies eight key impoverishment risks as follows.

1. Landlessness - Expropriation of land thus removing the foundation upon which productive system, commercial activities and livelihoods are constructed.
2. Joblessness - The risk of losing wage employment is very high both in urban and rural displacements from those employed in enterprises, services or agriculture.
3.Homelessness - Loss of shelter tends to be only temporary for many settlers. But for some, homelessness or a worsening in their housing standards remains a lingering condition.
4.Marginalization- Together with loss of finance and physical asset leads to loss of social status creating lack of self-confidence and esteem and feels a lack of belongingness.
5.Food Insecurity - Insufficient food supply resulting in chronic undernourishment.
6. Loss of Access to Common Property and Services - For poor people, particularly for the landless and asset less, loss of access to the common properties like open space, public utilities such as water supply, electricity and access to roads reduce the asset base.
7. Increased Morbidity and Health - Massive population displacement threatens to cause serious declines in health levels. This implication related to post resettlement psychological stress as well as poor preventive and curative health care could result in high morbidity and mortality.
8. Community Disarticulation - Forced displacement tears apart the existing social fabric. It also in turn loss of kinships, informal organizations and interpersonal ties.

2.4. Cause and Consequence of Urban Expansion

2.4.1 . Causes of Urban Expansion

The expansion of urban to the Peri-urban area is mainly derived from two sources namely urban development and urban population increase. The first source of urban expansion to the periphery is striped up by the ‘economic development projects’ or urban clearance or ‘industrialization’ (UN, 2000). Places or sites that are needed for industry, socioeconomic infrastructure, communication and road networks that in turn require resettlement and displacement of the neighboring rural farming community due to the factors of induced development projects (Cernea 1995:41). The second reason for urban expansion to the periphery is urban population increase. The combination of increasing fertility and decreasing mortality in addition the rural to urban migration in the city contributes much more populations living in the city, as a result of this, the city grown horizontally towards the surrounding agricultural land. Therefore, urbanization and urban growth has become central problem in the conversion of agricultural land to non-agriculture use.

2.4.2 Consequence of Urban Expansion

There is no specific theory to study the effect of urban expansion on rural farming community in the periphery. Scholars in the field of development have argued the issue of urban development and growth from different perspectives. The interaction between urban to rural was described in modernization theories of economic development. The main paradigm in this regard is the structural transformation model formulated by W. Arthur Lewis in the mid 1950s. The main focus of this model was the transfer of agricultural labor and growth of output and employment to the modern urban industrial sector through wages that is higher than subsistence agriculture (Burchell, 1998 and Barnett, 1995). The theorist postulated that the city offers cost reducing advantages in economic, social and cultural amenities. However, this structural transformation has historically a great deal of upheaval, conflict, dislocation and human degradation in which the process involves winner and losers (Barnett, 1995).

In contrary to this structural transformation theory the dependency theory maintains that cities grow parasitically by exploiting and holding back their surrounding regions (Blachin, et.al, 2000). One of the major effects of rapid urban growth is urban expansion that increases the loss of farm lands, loss of local resources (minerals), and destroys open space (Bhatta, 2010). It is also evident that in planned activity the development of infrastructure usually does not correspond to the large tract of land that develops in a low-density pattern. Thus urban expansion consequently results in social, environmental and economic problems to the society of the Peri-urban areas (Blachin, et.al, 2000:58).

2.4.2.1. Social Consequence of Urban Expansion

Urban expansion results in displacement, dislocation and segregation of Peri-urban in general and neighboring farmers in particular that result in social makeup disorder. People in the extended urban areas “live still partially rural and where many of the residents live in the country side but are not socially and economically fit” (Carter, 1995). It is obvious that, social infrastructure of a given city is concentrated in the center, so that, people who lives in the Peri-urban area depends on travel 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 (1995:300). Therefore, the community which is live in the periphery could face problems of survival strategies, solidarity network and system of power to which the social and economic activities are linked to their original location (Mejia, 1999).

2.4.2.2. Environmental Consequence of Urban Expansion

In many of developing countries urban expansion takes place at the expense of productive and fertile agricultural farmlands and forests. Thengvel and Sachithanadan (1998) discussed the cases of Madras Metropolitan area of India, the residential area that was 3,318 hectares in 1964 increased by three fold and become 20,747 hectares in 1991.

Egypt lost more than 10 percent of the country’s productive farmland to extend urban settlement (Minwuyelet, 2004 cited in FeryaAbdisa, 2005). On the other hand, urbanization is not accompanied by environmental protection system. Urban waste relay on open canals, open drains in the road side and holes in the ground as regular means of waste disposal particularly in expansion areas (Blachin et.al, 1995).

2.4.2.3. Economic Consequence of Urban Expansion

In developing countries people are migrating from rural to urban centers and from the center the poor also move to the periphery for urban renewal or squatting. Urban expansion affects food production in two ways: by removing agricultural land from cultivation as cities expand, and by reducing the number of family farms, as more farmers move to the cities (Carter, 1995).

2.5. Sustainable Livelihood Approach and Livelihood Strategies in the Peri-Urban Area

2.5.1 Sustainable Livelihood Approach

Ellis (2000) describes the sustainable livelihood approach as a way of thinking of the objectives, scope and priorities for development to enhance progress in poverty reduction. Chambers and Convey in 1992 in (2000:7-8) defined livelihood as “...comprises of capabilities, assets (natural, social, human, physical and financial) or stores, resources, claims and access and activities required for means of living. A livelihood is sustainable which can cope with and recover from stresses and shocks, maintain or enhance its capabilities and assets, and provide sustainable livelihood opportunities for the next generations; and which contributes net benefits to other livelihoods as the local and global levels and in the long and short term”. Livelihood assets comprise of tangible and intangible resources that help people to cope with the external shocks and stresses. Livelihood assets include the following capitals. These are:

1. Natural Capital: The natural capital essentially consists of the renewable natural resources such as land trees, water and fisheries, and the non-renewable resources such as oil and coal, that people use to generate a means of survival (2000:32).
2. Social Capital: The term social capital tries to incorporate the many different forms of social organizations and social relations that households, and individuals within households, are able to draw on to maintain a livelihood in time of adversity ((Hebinck and Shackleton (2011:119).
3. Human Capital: Broadly encompasses the ‘skills, Knowledge, ability to labor, and good health and physical capability important for the successful pursuit of different livelihood strategies’ (2011:119). For many of the poor, labor is their major asset .
4. Physical Capital: Ellis (2000:32) in Hebinck and Shackleton (2011:118) defines physical capital as ‘capital that is created by economic production processes’. Examples of physical capital include roads, machinery, irrigation channels, power lines, water supplies, dams and tools.
5.Financial Capital: Financial resources available to people such as remittance, wages, access to credit, savings, and liquefiable assets and which provide them with different livelihood options (Rakodi, 2002:11). Examples include livestock, food, jewelry and gold.

2.5.2 Livelihood Strategies of Peri-Urban Area

Livelihood strategies are the range and combination of activities people employ in order to achieve their livelihood goals. These strategies should be dynamic in order to deal with dynamic vulnerability context. The main strategies of the Peri-urban area are categorized as urban strategies and rural strategies (Foeken and Mwangi, 1998). The urban strategy is divided in to urban non-farming strategies and urban farming strategies. The urban non­farming strategies include all income generating activities outside income derived from agriculture. These are mainly household activities (cooking and washing) and economic activities which include informal enterprises (open air vehicle repair, and washing), metal work, carpentry, petty commodity trade, local brew making, prostitution, formal employment, house maid and daily labor.

Similarly, urban farming strategies are activities deployed on farming by those who have access to a piece of land outside or within the city boundaries. There are two types of livelihood strategies, namely enhancement and coping strategies which are identified in the existing literature are relevant for the present study and are discussed the following section:

1.Enhancement Strategies- Enhancement Strategies are sometimes called accumulation strategies, long term coping strategies, or resource maximization strategies (Tacoli, 1998) . The primary goal of enhancement strategies is to strengthen the asset portfolio of a household by managing the existing capital as well as invest in human, financial, social and physical capital. For instance, the entrance of more household member into the workforce, growing one’s own food, renting out additional rooms and migrating for international and local employment, are some of the enhancement strategies to mention (Rakodi, 1995).
2.Coping Strategies- Coping Strategies, which are also referred to as household responses (Few, 2003 cited in Fernando, 2010) or strategies, coping behavior or survival strategies is not a new concept. In short coping refers to people’s short term response to an immediate shock, risk or stress situation and they are primarily applied after lose or damage in order to survive and recover from such situation (Cohen, 2000).

2.6. Conceptual Framework

The above discussion shows that, sustainable livelihood framework helps to analyze the displaced households how they cope up with the external shocks and stress due to urban expansion effects. However, in order to realize the above approach the researcher identify natural, social, human, physical and financial capitals as a variable which help to strength the livelihoods of displaced households. The current study intends to combine sustainable livelihood framework and displacement taken as the vulnerability context as well as risks of displacement were considered as the impact of urban expansion is treated as an outcome to the livelihoods of people carrying the eight key elements of impoverishment risk. The coping and survival strategies of poor to such external shocks are largely dependent on their social capital in the absence of significant strength in other four capitals (See Annex figure 1.1 for detail).

CHAPTER THREE RESEARCH METHDOLOGY

3.1. Introduction

The chapter in short presents the research methodology that the study was used. The chapter is divided into nine parts. The first part describes the research strategy and type followed by the research approach. Methods of data collection, sampling (design, unit, technique), sample size, source of data, data analysis and interpretation, operationalization of variables, reliability and validity and ethical consideration will be discussed in third, fourth, fifth, sixth, seventh, eighth and ninth parts respectively.

3.2. Research Strategy and Type

The research type is explanatory research which tries to assess the impacts of urban expansion that the livelihoods of the Peri-urban households during the expansion process. This research intends to study the impacts of urban expansion on the Peri-urban area. The impact is strong when the city expands for settlement, investment, market centers, building industries and infrastructural construction purposes which in turn force the cities administration to displace and compensate the neighboring rural communities. For undertaking this research, the researcher was used case study strategy as an overall approach for its ability to incorporate different methods and techniques in the collection and analysis of data that focuses on the various issues of the study. It was help to collect in-depth information from the affected communities. Apart from the research type, the researcher also employed cross-sectional study design and the displaced households were the only unit of analysis of the study.

3.3. Research Approach

To study the intended research, the researcher preferred to use both quantitative and qualitative research approach in presenting the primary and secondary data that are relevant and significant to the study. Why because, using both qualitative and quantitative data in a study can produce a more comprehensive understanding required to inform decision making. And also both qualitative and quantitative data can be collected at the same time. In addition, a mixed method approach might be used for purposes of achieving triangulation of the data, meaning triangulation is necessary in order to increase a study’s validity and interpretability. Therefore, the researcher was used both quantitative and qualitative research approach proposed as very useful for this study to achieve the stated specific objectives.

3.4. Methods of Data Collection

The research was used quantitative data which is gathered from questionnaire methods of data collection; however, to support the quantitative assertion the study was supplemented by qualitative data generated from the in-depth interview and focused group discussion methods of data collection. The study was employed questionnaire, field observation and desk review. The fieldwork for the study took place in Gondar City. 1. Questionnaires: the researcher has developed and administers questionnaires to gather reliable quantitative data and information from the Peri-urban households those who are affected by the expansion. The questionnaire was included both open-ended and close- ended questions. The open-ended questionnaire was prepared to enable the respondents to freely express their opinion and views without prejudices as a result to get adequate and reliable data and information in relation to the objectives set for this study and to answer the research questions. However, closed-ended questions prepare to make the work easier for the data analysis and processing of the gathered data and information.

2. In-depth interviews : In order to understand about the situation of the displaced households and the city administration during the urban expansion process, the researcher was conducted an in-depth interview with various individuals who actively involved in the process or have expertise knowledge about the issue using semi-structured interview guide especially the administration managers and experts of who have first hand information about the resettlement process. Researcher was gathered reliable data and information from the displaced farmers, from the municipality officials through semi­structured interviews. The purpose of the in-depth interview was to generate a first hand and depth information on the overall condition of the urban expansion process in the study area.

3. Filed Observation: the researcher was also observed the trends of the outward expansion of the city, the livelihoods and socio-economic conditions of the displaced farmers supported by checklists, photos, etc.

4. Desk review: In addition to primary sources of information the study was also made use of secondary data sources. A desk review of relevant published and unpublished documents was assessed in order to gain understanding of the situation guiding the process of urban expansion and also to cross validate the data collected from the other sources. Desk review was assessed information from city administration documents, legislations, policy documents, strategies, action plans, performance reports, newspaper articles, and other relevant secondary documents.

5. Focused Group Discussion: Focus group discussions are important to generate detailed information on group dynamics and allow a small group of respondents to be guided by a moderator and to focus on the key issues of the research topic that is why the researcher was used the method. Focus group discussions were held to generate qualitative data so as to supplement the data collected quantitatively. The discussion was held based on the voluntary of the participants and on the appropriate time the participants agreed. Furthermore, based on the prepared checklists and the group included both male and female headed household heads separately in the selected kebeles. The general direction pursed in the discussion was left for the researcher to trigger issues for discussion and promote active group participation.

3.5. Sample Design

The sample design describes the proposed target population and the sampling frame of the study in the study area. It also identifies the sampling size, sampling unit and sampling techniques to conduct the intended research.

The city has 21 kebeles and it is surrounding by 5 rural kebeles such as Lozamarian, Fenter, Genifokuch, Azazozuria and Bilajig. From these the cities rapid expansion is highly prevalent to the south direction to Ayermarfia kebele and to the southwest direction to Lozamariam kebele. The researcher was attempting to take representative sample of households from these dislocated farmers. In this regard, the researcher was selecting the two kebeles purposively i.e. Ayerfarifia and Lozamariam. This is due to the fact that the majority of farming communities were displaced from these two surrounding kebeles. So those, a total of 300 and 150 farmers were displaced from Ayermarfia and Lozamariam respectively, therefore, 135 of the displaced farmers were taken as a sample size. Therefore, the following components of this sample design are proposed by the researcher.

3.5.1. Population or universe: all the 450 displaced farming households in the peri­urban areas of Gondar city are the target population of the study.

3.5.2. Sampling frame

The sampling frames for the study are the list of displaced farmers from two surrounding kebeles in the city and different officials who are working in the city and wereda administration of Gondar.

Abbildung in dieser Leseprobe nicht enthalten

3.5.3. Sampling Unit

The sampling unit of the study was the displaced farming households. According to the city administration office, the total agricultural household displaced from their agricultural lands with this specified period was 450 farmers. The study was considered 135 of the displaced farmers.

3.5.4. Sampling Techniques

As the study is intended to generate in-depth information based on the ideas, perceptions and experiences of people, the sampling technique was probability sampling to select the target population because the researcher was study the displaced households of the Peri urban area particularly the Ayermarfia and Lozamariam areas. On the other hand, the study was used snow ball sampling techniques to identify key informants for focus group discussion particularly from the affected community or households.

The researcher was also used systematic random sampling technique as a random sampling to draw representative sample for the target population of the study from the roster. Therefore, the sampling interval (K) was K = N/n, 450/135 = 3, where K- is the first displaced farmer who will be selected, N- is the total population and n- is the sample population of the study. That being the case, using proportional allocation of the sample size to both clusters was calculated as follows:

A sample of size n = 135 draw from the target population size of 450 total displaced farmers, which divided into two cluster of the sample size

N1 = 300 for Ayermarfia and, N2 = 150 for Lozamariam. By doing so, using proportional allocation for the first cluster, the sample size for N1 becomes: n1 = N1*P1 = (300/450)*135 = 90 displaced farmers of sample size was from Ayermarfia kebele and for the second cluster, N2 = 150 farmers, the proportional allocation P1 was become; n2 = N2*P1 = (150/450)*135 = 45 displaced farmers sample size was from Lozamariam. Therefore, using proportional allocation, the sample size of the two cluster was; n1 = 90 and n2 = 45 farmers displaced from Ayermarfia and Lozamariam kebeles respectively. Thus, every 3rd respondents was selected until reach of sample population distribution to 90 and 45 displaced farmers from Ayermarfia and Lozamariam kebeles respectively. The researcher was also employing purposive/judgmental sampling technique to gather reliable data and information from the officials of the city administration.

3.5.5. Sample Size

To select the sample size from the target population of the study, the researcher was employed the formula of rule of thumb that is, if the populations size less than or equal to 1000; it has been used 30% to determine sample size from sampling (Kothari, 1995) as n= N*P, where n-Sample size, N-Total Population, P-Estimated Population n =450*30% = 135.

3.6. Source of Data

The study will be employing both primary and secondary source of data that mentioned below

3.6.1. Primary Data

The primary data for this study will be gather through structured and unstructured questionnaire, interviews, and filed observations from the displaced farmers and officials of the city.

3.6.2. Secondary Data

The researcher was gathered secondary data sources from the Federal, Regional government, city administration documents, reports, different books, published and unpublished papers and journals on the impact of urban expansion on the livelihoods and socio-economic conditions of the neighboring agricultural communities.

3.7. Data Analysis and Interpretation

Data from primary and secondary sources of the intended study was organized and classified according to the specific objective of the study and was entered into the computer. The organized and entered data was encoded by the computer and analyzed using either Microsoft Excel or SPSS (according to the availability of the software). Descriptive statistics such as mean, mode and median was used to interpret the findings of the study.

3.8. Operationalization of Variables

The research questions were operationalized into measurable variables in order to answer the research questions. The variables were collected using specified indicators from the different sources of information using different methods of data collection. The operationalization framework of the study is briefly displayed in Table 1.1 (for detail see annex A).

3.9. Validity and Reliability

Validity is the extent to which the research instrument gives the correct answer. Therefore, the researcher was maintained the validity of the data through applying different methods to collect same information (i.e. methodological triangulation), collecting of same information from different sources, confirmation of the interpretation of the results with the research subjects and checking the divergence of the data from initial assumption. In addition the researcher was maintained the validity through operationalization, proper conceptualization and using relevant instruments to measure the variables, and comparing the findings with the research objectives.

On the other hand, reliability is the extent to which a measure produces the same answer however and whenever it is applied. The researcher ensured the reliability of the research through cross checking of the interviews which are giving by the respondents.

3.10. Ethical Consideration

The researcher received approval of the research title to do a proposal from the research committee of the department of Urban Land Development and Management, Ethiopian Civil Service University. Research must not cause harm to the participants in particular and to people in general. Participants of the study were informed about the objectives of the study emphasizing that the data was used only for the intended academic purpose.

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• Grade: 4.0
• Author: Endalew Terefe Alene (Author)
• Publication Year: 2013
• Pages: 96
• Catalog Number: V1334280
• ISBN (PDF): 9783346900265
• Language: English
• Tags: impact, urban, expansion, livelihoods, peri-urban, households, gondar, city